CHAPTER 9
Special Requirements
Section 1. Restricted Data and Formerly Restricted Data
9-100. General.
This Section contains information and the requirements for
safeguarding atomic energy information that is designated
"Restricted Data" and "Formerly Restricted Data." Such information
is classified under the authority of the Atomic Energy Act of 1954
and is under the jurisdiction and control of the Department of
Energy (DOE). For purposes of this Section, a distinction is made
between National Security Information and atomic energy information
as explained below.
9-101. Authority and Responsibilities.
a. The Atomic Energy Act of 1954, as amended, provides for the
development, use, and control of atomic energy. The Act establishes
policy for handling atomic energy-related classified information
designated as Restricted Data (RD) and Formerly Restricted Data
(FRD). The Act provides responsibility to DOE to "control the
dissemination and declassification of Restricted Data." In Section
143 of the Act, the Secretary of Defense has the responsibility to
establish personnel and other security procedures and standards
that are in reasonable conformity to the standards established by
the Department of Energy. This Section is intended to ensure
reasonable conformity in policy and procedures used by contractors
for the control of RD and FRD.
b. The Secretary of Energy and the Chairman of the Nuclear
Regulatory Commission retain authority over access to information
which is under their respective cognizance as directed by the
Atomic Energy Act of 1954. The Secretary or the Commission may
inspect and monitor contractor programs or facilities that involve
access to such information or may enter into written agreement with
the DOD to inspect and monitor these programs or facilities.
9-102. Background Information.
a. The Atomic Energy Act is the basis for classification of
atomic energy information as Restricted Data and Formerly
Restricted Data. In accordance with the Atomic Energy Act, all
atomic energy information is classified unless a positive action is
taken to declassify it. This is directly opposite to procedures
used for information classified by E.O. 12356. This is a
significant difference that should be clearly understood. By the
Act, Congress has decreed that atomic energy information is
different -- it is "born classified," it remains classified until
a positive action is taken to declassify it, and it may be
declassified only by the Department of Energy. No other
organization can declassify atomic energy information, and once it
is declassified, it cannot be reclassified.
b. "Restricted Data" (RD) is defined in the Atomic Energy Act as
follows:
"The term Restricted Data means all data concerning, (1)
design, manufacture, or utilization of atomic weapons; (2) the
production of special nuclear material; or (3) the use of special
nuclear material in the production of energy, but shall not include
data declassified or removed from the Restricted Data category
pursuant to Section 142."
c. "Formerly Restricted Data" (FRD) is information which has been
removed from the Restricted Data category after the DOE and the DOD
have jointly determined that the information relates primarily to
the military utilization of atomic weapons and can be adequately
safeguarded as National Security Information in the United States.
Such data may not be given to any other nation except under
specially approved agreements and with the authorization of DOE.
FRD is identified and handled as Restricted Data when sent outside
the United States.
9-103. Unauthorized Disclosures.
Contractors shall report all unauthorized disclosures involving RD
and FRD to the DOE or NRC through their CSA.
9-104. International Requirements.
The Act provides for a program of international cooperation to
promote common defense and security and to make available to
cooperating nations the benefits of peaceful applications of atomic
energy as widely as expanding technology and considerations of the
common defense and security will permit. Information controlled by
the Act may be shared with another nation only under the terms of
an agreement for cooperation. The disclosure by a contractor of RD
and FRD shall not be permitted until an agreement is signed by the
United States and participating governments and disclosure guidance
and security arrangements are established. RD and FRD shall not be
transmitted to a foreign national or regional defense organization
unless such action is approved and undertaken pursuant to an
agreement for cooperation between the United States and the
cooperating entity and supporting statutory determinations as
prescribed in the Act.
9-105. Personnel Security Clearances.
Only DOE, NRC, DoD, and NASA can grant access to RD and FRD.
Contractors of all other federal agencies must be processed for
PCLs by the DOE. The minimum investigative requirements and
standards for access to RD and FRD are set forth below.
a. Top Secret RD-A favorable Single Scope Background
Investigation (SSBI).
b. Secret RD-A favorable SSBI. (SRD as defined pursuant to the
NISPOMSUP).
c. Confidential RD-A favorable NACC.
d. Top Secret FRD-A favorable SSBI.
e. Secret FRD-A favorable NACC.
f. Confidential FRD-A favorable NACC.
DOE and NRC use the designation Q when a favorable access
authorization determination has been conducted based on an SSBI and
L when a favorable access authorization determination has been made
based on an NACC.
9-106. Classification.
a. Since RD is born classified, no classification category
determination by a person with original classification authority is
ever required for RD or FRD; however, an authorized classifier must
determine the classification level. No date or event for automatic
declassification ever applies to RD or FRD.
b. Only RD Classifiers appointed and trained under Government
Agency procedures may derivatively classify material that contains
RD. Any contractor employee authorized to derivatively classify NSI
material may also derivatively classify FRD material. Such
derivative classification determinations shall be based on
classification guidance approved by the DOE or NRC and not on
portion markings in a source document. If such classification
guidance is not available and the information in the document meets
the definition of RD, then the classifier shall, as an interim
measure, mark the document as Confidential RD or, if the
sensitivity of the information in the document so warrants, as
Secret RD. Such document shall be promptly referred to the CSA who
shall provide the contractor with the final determination based
upon official published classification guidance.
c. RD and FRD are not limited to U.S. Government information.
Contractors who develop RD, FRD, or an invention or discovery
useful in the production or utilization of special nuclear material
or atomic energy shall file a report with a complete description
thereof with the DOE or the Commissioner of Patents as prescribed
by the Act. Documents thought to contain RD or FRD shall be marked
temporarily as such. Such documents shall be promptly referred to
the CSA for a final determination based upon official published
classification guidance.
9-107. Declassification.
Documents marked as containing RD and FRD remain classified until
a positive action by an authorized person is taken to declassify
them; no date or event for automatic declassification ever applies
to RD and FRD documents. Only the DOE may declassify contractor
documents marked as RD. Only the DOE or the DOD may declassify
contractor documents marked as FRD. These authorities may be
delegated on a case-by-case basis. Contractors shall send any
document marked as RD or FRD that must be declassified or sanitized
to the appropriate government contracting office.
9-108. Transclassification.
Transclassification occurs when information is removed from the RD
category by a joint determination of DOE and DOD and placed in the
FRD category in accordance with section 142d of the Atomic Energy
Act. This information is primarily related to the military
utilization of atomic weapons and can be adequately safeguarded as
NSI. This authority is severely restricted and cannot be exercised
by RD Classifiers. Contact the DOE for information.
9-109. Marking.
In addition to the markings specified in Chapter 4 for NSI,
classified material containing RD and FRD shall be marked as
indicated below:
a. Restricted Data. The following notice shall be affixed on
material that contains Restricted Data. This may be abbreviated RD.
Restricted Data
This material contains Restricted Data as defined in the Atomic
Energy Act of 1954. Unauthorized disclosure subject to
administrative and criminal sanctions.
Material classified as RD must indicate the classification guide
and the authorized RD classifier. The following marking shall be
applied:
Classified by: (guide)
Classifier: (name and title)
b. Formerly Restricted Data. The following notice shall be
affixed on material which contains Formerly Restricted Data. This
may be abbreviated FRD.
Formerly Restricted Data
Unauthorized disclosure subject to administrative and criminal
sanctions. Handle as Restricted Data in foreign dissemination.
Section 144b, AEA 1954.
Material classified as FRD must indicate the classification guide.
The following marking shall be applied:
Classified by: (guide)
c. Documents shall be marked to indicate CNWDI, Sigmas, and NNPI,
as applicable.
9-110. Automated Information Systems.
See the NISPOMSUP for AIS requirements for TSRD and SRD.
9-111. Physical Security.
See the NISPOMSUP for physical security requirements for TSRD and
SRD.
Section 2. DOD Critical Nuclear Weapon Design Information
9-200. General.
This Section contains the special requirements for protection of
Critical Nuclear Weapon Design Information (CNWDI).
9-201. Background.
CNWDI is a DoD category of TOP SECRET Restricted Data or SECRET
Restricted Data that reveals the theory of operation or design of
the components of a thermonuclear or fission bomb, warhead,
demolition munition, or test device. Specifically excluded is
information concerning arming, fuzing, and firing systems; limited
life components; and total contained quantities of fissionable,
fusionable, and high explosive materials by type. Among these
excluded items are the components that DoD personnel set, maintain,
operate, test or replace. The sensitivity of DoD CNWDI is such that
access shall be granted to the absolute minimum number of employees
who require it for the accomplishment of assigned responsibilities
on a classified contract. Because of the importance of such
information, special requirements have been established for its
control. (DoD Directive 5210.2 establishes these controls in the
DoD).
9-202. Briefings.
Prior to having access to DoD CNWDI, employees shall be briefed on
its sensitivity by the FSO or his or her alternate. (The FSO will
be initially briefed by a Government representative.) The briefing
shall include the definition of DoD CNWDI, a reminder of the
extreme sensitivity of the information, and an explanation of the
individual's continuing responsibility for properly safeguarding
DoD CNWDI and for ensuring that dissemination is strictly limited
to other personnel who have been authorized for access and have a
need-to-know for the particular information. The briefing shall
also be tailored to cover any special local requirements. Upon
termination of access to DoD CNWDI, the employee shall be given an
oral debriefing that shall include a statement of: a. The purpose
of the debriefing; b. The serious nature of the subject matter that
requires protection in the national interest; and c. The need for
caution and discretion.
9-203. Markings.
In addition to other markings required by this Manual, CNWDI
material shall be clearly marked, "Critical Nuclear Weapon Design
Information-DoD Directive 5210.2 Applies." As a minimum, CNWDI
documents shall show such markings on the cover or first page.
Portions of documents that contain CNWDI shall be marked with an
(N) or (CNWDI) following the classification of the portion. For
example, TS(RD)(N) or TS(RD)(CNWDI).
9-204. Subcontractors.
Contractors shall not disclose CNWDI to subcontractors without the
prior written approval of the GCA. This approval may be included in
a Contract Security Classification Specification, other
contract-related document, or by separate correspondence.
9-205. Transmission Outside the Facility.
Transmission outside the contractor's facility is authorized only
to the GCA, or to a subcontractor as approved by 9-204 above. Any
other transmission must be approved by the GCA. Prior to
transmission to another cleared facility, the contractor shall
verify from the CSA that the facility has been authorized access to
CNWDI. When CNWDI is transmitted to another facility, the inner
wrapping shall be addressed to the personal attention of the FSO or
his or her alternate, and in addition to any other prescribed
markings, the inner wrapping shall be marked: "Critical Nuclear
Weapon Design Information-DoD Directive 5210.2 Applies." Similarly,
transmissions addressed to the GCA or other U.S. Government agency
shall bear on the inner wrapper the marking, "Critical Nuclear
Weapon Design Information-DoD Directive 5210.2 Applies."
9-206. Records.
Contractors shall maintain a record of all employees who have been
authorized access to CNWDI, and the date of the special
briefing(s). These records shall be retained for 2 years following
the termination of employment and/or the termination of the
individual's clearance or access, as applicable.
9-207. Weapon Data.
That portion of RD or FRD that concerns the design, manufacture, or
utilization (including theory, development, storage,
characteristics, performance, and effects) of atomic weapons or
atomic weapon components and nuclear explosive devices is called
Weapon Data and it has special protection provisions. Weapon Data
is divided into eight Sigma categories the protection of which is
prescribed by DOE Order 5610.2, CONTROL OF WEAPON DATA. However,
certain Weapon Data has been re-categorized as CNWDI and is
protected as described in this Section.
Section 3. Intelligence Information
9-300. General.
This Section contains general information on safeguarding
Intelligence Information. Intelligence Information is under the
jurisdiction and control of the Director of Central Intelligence
(DCI) pursuant to Executive Order (E.O.) 12333, "United States
Intelligence Activities."
9-301. Definitions.
The following definitions are extracts from E.O. 12333, DCI
Directives (DCIDs), and DoD Directives pertaining to Intelligence
Information.
a. Foreign Intelligence. Information relating to the
capabilities, intentions, and activities of foreign powers,
organizations, or persons, but not including counterintelligence
except for information on international terrorist activities.
b. Counterintelligence. Those activities that are concerned with
identifying and counteracting the threat to security posed by
foreign intelligence services or organizations or by individuals
engaged in espionage, sabotage, or subversion.
c. Intelligence Information. Intelligence Information includes
the following classified information: (1) Foreign intelligence and
counterintelligence as defined in E.O. 12333; (2) Information
describing U.S. foreign intelligence and counterintelligence
activities, sources, methods, equipment, or methodology used for
the acquisition, processing, or exploitation of such intelligence;
foreign military hardware obtained for exploitation; and
photography or recordings resulting from U.S. intelligence
collection efforts; and (3) Information on Intelligence Community
protective security programs (e.g., personnel, physical, technical,
and information security). (Such information is collected,
processed, produced or disseminated by the Director of Central
Intelligence and other agencies of the Intelligence Community under
the authority of E.O. 12333.)
d. Intelligence Community. As identified in E.O. 12333, the
Central Intelligence Agency (CIA); the National Security Agency
(NSA); the Defense Intelligence Agency (DIA); offices within the
DoD for the collection of specialized national foreign intelligence
through reconnaissance programs; the Bureau of Intelligence and
Research (INR) of the Department of State; the intelligence
elements of the Army, Navy, Air Force, and Marine Corps, the
Federal Bureau of Investigation (FBI), the Department of the
Treasury, and the Department of Energy (DOE); and the staff
elements of the Director of Central Intelligence (DCI).
e. Senior Officials of the Intelligence Community (SOICs). The
heads of organizations in the Intelligence Community.
f. Senior Intelligence Officer (SIO). The highest ranking
military or civilian individual charged with direct foreign
intelligence missions, functions, or responsibilities within an
element of the Intelligence Community.
g. Sensitive Compartmented Information (SCI). Classified
Intelligence Information concerning or derived from intelligence
sources, methods, or analytical processes, which is required to be
handled within formal access control systems established by the
Director of Central Intelligence.
h. SCI Facility (SCIF). An accredited area, room, group of rooms,
or installation where SCI may be stored, used, discussed, and/or
processed.
9-302. Background.
DCID 1/7, "Security Controls on the Dissemination of Intelligence
Information," establishes policies, controls, procedures, and
control markings for the dissemination and use of intelligence to
ensure that it will be adequately protected. DCID 1/14, "Minimum
Personnel Security Standards and Procedures Governing Eligibility
for Access to Sensitive Compartmented Information," establishes
personnel security standards for personnel requiring access to SCI.
Access to SCI must be approved by the SOICs. DCID 1/19, "Security
Policy for Sensitive Compartmented Information," establishes
policies and procedures for the security, use, and dissemination of
SCI.
9-303. Control Markings Authorized for Intelligence Information.
a. "Warning Notice-Intelligence Sources or Methods Invoved"
(WNINTEL). This marking is used only on Intelligence Information
that identifies or would reasonably permit identification of an
intelligence source or method that is susceptible to
countermeasures that could nullify or reduce its effectiveness.
This marking may be abbreviated as "WNINTEL" or "WN." This marking
may not be used in conjunction with special access or sensitive
compartmented information (SCI) controls.
b. "DISSEMINATION AND EXTRACTION OF INFORMATION CONTROLLED BY
ORIGINATOR" (ORCON). This marking may be used only on Intelligence
Information that clearly identifies or would reasonably permit
ready identification of an intelligence source or method that is
particularly susceptible to countermeasures that would nullify or
measurably reduce its effectiveness. This marking may be
abbreviated as "ORCON" or "OC."
c. "NOT RELEASABLE TO CONTRACTORS/CONSULTANTS" (NOCONTRACT). This
marking may be used only on Intelligence Information that is
provided by a source on the express or implied condition that it
not be made available to contractors; or that, if disclosed to a
contractor, would actually or potentially give him/her a
competitive advantage, which could reasonably be expected to cause
a conflict of interest with his/her obligation to protect the
information. This marking may be abbreviated as "NOCONTRACT" or
"NC."
d. "CAUTION - PROPRIETARY INFORMATION INVOLVED" (PROPIN). This
marking is used, with or without a security classification, to
identify information provided by a commercial firm or private
source under an express or implied understanding that the
information will be protected as a trade secret or proprietary data
believed to have actual or potential value. This marking may be
used in conjunction with the "NOCONTRACT" marking to preclude
dissemination to any contractor. This marking may be abbreviated as
"PROPIN" or "PR."
e. "NOT RELEASABLE TO FOREIGN NATIONALS" (NOFORN). This marking
is used to identify Intelligence Information that may not be
released in any form to foreign governments, foreign nationals, or
non-U.S. citizens. This marking may be abbreviated "NOFORN" or
"NF."
f. "AUTHORIZED FOR RELEASE TO (name of country(ies)/international
organization)" (REL). This marking is used to identify Intelligence
Information that an originator has predetermined to be releasable
or has released, through established foreign disclosure procedures
and channels, to the foreign/international organization indicated.
This marking may be abbreviated "REL (abbreviated name of foreign
organization)."
9-304. Limitation on Dissemination of Intelligence Information.
A contractor is not authorized to further disclose or release
classified Intelligence Information (including release to a
subcontractor) without prior written authorization of the releasing
agency.
9-305. Safeguarding Intelligence Information.
All classified Intelligence Information in the contractor's
possession shall be safeguarded and controlled in accordance with
the provisions of this Manual for classified information of the
same classification level, with any additional requirements and
instructions received from the GCA, and with any specific
restrictive markings or limitations that appear on the documents
themselves.
9-306. Inquiries.
All inquiries concerning source, acquisition, use, control or
restrictions pertaining to Intelligence Information shall be
directed to the releasing agency.