[Federal Register Volume 81, Number 221 (Wednesday, November 16, 2016)]
[Proposed Rules]
[Pages 80612-80618]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-27414]


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 Proposed Rules
                                                 Federal Register
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 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
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  Federal Register / Vol. 81, No. 221 / Wednesday, November 16, 2016 / 
Proposed Rules  

[[Page 80612]]



DEPARTMENT OF ENERGY

10 CFR Part 1016

[Docket No. DOE-HQ-2015-0029-0001]
RIN 1992-AA46


Safeguarding of Restricted Data by Access Permittees

AGENCY: Department of Energy.

ACTION: Notice of proposed rulemaking and public hearings.

-----------------------------------------------------------------------

SUMMARY: The Department of Energy (DOE or Department) proposes to 
revise its regulations governing the standards for safeguarding 
Restricted Data by access permittees. The existing version of this 
regulation was promulgated in 1983, which transferred the regulation 
(originally promulgated in 1976). Since 1983, changes in organizations, 
terminology, and DOE and national policies render portions of the 
existing regulation outdated. The proposed revisions would update 
existing requirements.

DATES: Written comments must be received by DOE on or before December 
16, 2016.
    A public meeting will be held if one is requested by November 23, 
2016.

ADDRESSES: Written comments should be addressed to: Mr. Matthew B. 
Moury, Associate Under Secretary for Environment, Health, Safety and 
Security, Office of Environment, Health, Safety and Security, AU-1/
Forrestal Building, Department of Energy, Docket No. DOE-HQ-2015-0029-
0001, 1000 Independence Avenue SW., Washington, DC 20585 or via email 
at [email protected]. Questions concerning submitting written 
comments should be addressed to: Ms. Linda Ruhnow, Office of Security 
Policy, Office of Environment, Health, Safety and Security, Department 
of Energy, AU-51/Germantown Building, 1000 Independence Avenue SW., 
Washington, DC 20585-1290, (301) 903-4053 or via email at [email protected]. Requests to hold a public meeting should be submitted 
by phone or email to Ms. Ruhnow at the number or email address 
provided. You may submit comments, identified by [DOE-HQ-2015-0029-0001 
and/or 1992-AA46], by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: [email protected]. Include [DOE-HQ-2015-0029-
0001 and/or 1992-AA46] in the subject line of the message.
     Mail: Mailing Address for paper, disk, or CD-ROM 
submissions: Department of Energy, Office of Security Policy, (AU-51, 
Attn: Linda Ruhnow), 1000 Independence Ave. SW., Washington, DC 20585-
1290.
     Hand Delivery/Courier: Street Address: Department of 
Energy, Office of Security Policy, (AU-51, Attn: Linda Ruhnow), 1000 
Independence Ave. SW., Washington, DC 20585-1290.
    As a result of potential delays in the receipt and processing of 
mail sent through the U.S. Postal Service, DOE encourages respondents 
to submit comments electronically to ensure timely receipt.
    Instructions: All submissions received must include the agency name 
and docket number or Regulatory Information Number (RIN) for this 
rulemaking. All comments received will be posted without change to 
http://www.regulations.gov, including any personal information 
provided.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov/#!docketDetail;D=DOE-HQ-2015-0008 or contact Linda Ruhnow at (301) 903-
4053 prior to visiting Department of Energy, Office of Security Policy, 
(AU-51), 19901 Germantown Rd., Germantown, MD 20874.

FOR FURTHER INFORMATION CONTACT: Ms. Linda Ruhnow, Office of Security 
Policy at (301) 903-4053; [email protected].

SUPPLEMENTARY INFORMATION: 

I. Background
II. Section by Section Analysis
III. Regulatory Review and Procedural Requirements
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under 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 Executive Order 13211
    I. Review Under the Treasury and General Government 
Appropriations Act of 1999
IV. Opportunity for Public Comment

I. Background

    The U.S. Department of Energy may issue an access permit to any 
person, as set forth in 10 CFR part 725, who requires access to 
Restricted Data applicable to civil uses of atomic energy for use in 
his/her business, trade or profession. 10 CFR part 725 specifies the 
terms and conditions under which the Department will issue an access 
permit and provides for the amendment, renewal, suspension, termination 
and revocation of an access permit.
    The regulations in 10 CFR part 1016 establish requirements for the 
safeguarding of Secret and Confidential Restricted Data received or 
developed under an access permit. This part does not apply to Top 
Secret information because no such information may be provided to an 
access permittee within the scope of this regulation. The regulations 
in this part apply to all persons who may require access to Restricted 
Data used, processed, stored, reproduced, transmitted, or handled in 
connection with an access permit.
    The original regulations for the safeguarding of Restricted Data 
were Atomic Energy Commission regulations that were transferred to the 
Energy Research and Development Administration (ERDA) upon its 
formation in 1974 (Energy Reorganization Act of 1974; Pub. L. 93-438). 
The regulations were subsequently revised to conform to ERDA's 
organization (41 FR 56775, 56785-56788, Dec. 30, 1976). The regulations 
were updated and transferred from 10 CFR part 795 to 10 CFR part 1016 
in 1983. (48 FR 36432 (Aug. 10, 1983). DOE has developed the proposed 
modifications to 10 CFR part 1016 to reflect organizational, 
terminology and policy changes that have occurred since the regulations 
were last revised.
    The proposed modifications to the sections of 10 CFR part 1016 that 
DOE proposes to amend are described in the Section by Section Analysis 
in section II.

[[Page 80613]]

II. Section by Section Analysis

    The heading for this part would be revised to Safeguarding of 
Restricted Data by Access Permittees. The revision is intended to more 
accurately reflect the contents of the regulation.

Subpart A--General

    In Sec.  1016.3, Definitions, DOE proposes to delete the term 
``Authorized classifier''. Instead, 10 CFR part 1045 would be 
referenced as the source of classification requirements.
    The terms ``Document'', ``Material'' and ``Matter'' would be 
deleted because they are not used in any unique way in this regulation.
    The access authorization terms Q, Q(X), L and L(X) would be updated 
to specify the type of background investigation required. For example, 
single scope background investigations are required for Q access 
authorizations.
    The term ``classified mail address'' would be revised for better 
grammar.
    The term ``classified matter'' would be revised to include all 
documents, material, electronic media and other physical forms that 
reveal or contain classified information.
    The term ``infraction'' would be revised to include non-compliance 
with DOE approvals.
    The term ``intrusion alarm'' would be revised to ``intrusion 
detection system'' and updated for more accurate usage consistent with 
current DOE policy.
    The term ``National Security Information'' would be revised for 
consistency with Executive Order 13526, Classified National Security 
Information.
    The term ``Security Plan'' would be revised to clarify that matter 
refers to classified matter.
    Proposed changes for Sec.  1016.4 would revise the addressee from 
the ``Chief Health, Safety and Security Officer'', to the ``Associate 
Under Secretary of Environment, Health, Safety and Security'' to 
address a recent reorganization.
    Proposed changes for Sec.  1016.5 would require that procedures 
submitted pursuant to this section ensure that access permit holder 
employees are informed about classification and declassification 
requirements in 10 CFR part 1045.
    DOE proposes to change the title of Sec.  1016.8 to clarify the 
section topic.
    The proposed changes for Sec.  1016.9 and Sec.  1016.10 revise 
grammar.
    The proposed changes for Sec.  1016.11 would revise ``DOE 
Operations Office'' to ``the cognizant DOE office'' to direct 
notification to the relevant DOE Element.
    The proposed changes for Sec.  1016.12 would update reference to 
reflect the proposed renumbering of current Sec.  1016.39.
    DOE proposes to renumber Sec. Sec.  1016.21--1016.44 to eliminate 
the gaps in section numbering that exist in the current version of this 
regulation.
    The renumbered Sec.  1016.13, currently Sec.  1016.21, would be 
revised to maintain consistency with current national and U.S. 
Department of Energy policies that no longer allows storage of 
classified matter in a locked steel file cabinet.
    Proposed changes to the renumbered Sec.  1016.14, currently Sec.  
1016.22, would clarify that a person must have need-to-know in addition 
to the appropriate access authorization. This revision does not change 
the intent of the requirement for protecting Restricted Data that is in 
use.
    Proposed changes to the renumbered Sec.  1016.15, currently Sec.  
1016.23, would update intrusion detection system terminology consistent 
with DOE policy and delete the word ``may''.
    Proposed changes to the renumbered Sec.  1016.17, currently Sec.  
1016.25, would update the weapon specification to match current DOE 
policy. DOE Order 473.3, Protection Program Operations lists DOE-
authorized firearms.
    Proposed changes to the renumbered Sec.  1016.18, currently Sec.  
1016.31, would apply the need-to-know criterion for Confidential as 
well as Secret Restricted Data.
    Proposed changes to the renumbered Sec.  1016.19, currently Sec.  
1016.32, would align requirements and terminology with 10 CFR part 
1045, Nuclear Classification and Declassification. Also, the title 
would be changed to more accurately reflect the section and the 
``Office of Health, Safety and Security'' would be replaced with 
``Office of Environment, Health, Safety and Security''.
    Proposed changes to the renumbered Sec.  1016.20, currently Sec.  
1016.33, would specify need-to-know as a basic criteria for determining 
access; indicate required approvals and remove the telephone statement 
because it is a subset of the telecommunication statement.
    Proposed changes to the renumbered Sec.  1016.21, currently Sec.  
1016.34, would reflect that classified matter (including matter in 
electronic format) containing Secret Restricted Data requires 
accountability.
    Proposed changes to the renumbered Sec.  1016.23, currently Sec.  
1016.36, would make changes in classification subject to the 
requirements in 10 CFR part 1045, Nuclear Classification and 
Declassification.
    Proposed changes to the renumbered Sec.  1016.24, currently Sec.  
1016.37, would amend the title to replace ``documents or material'' 
with ``classified matter'' and would delete provisions that are 
duplicative with the renumbered Sec.  1016.21 regarding accountability 
of classified matter that contains Restricted Data.
    Proposed new Sec.  1016.25, Storage, use, processing, transmission 
and destruction of classified information on computers, computer 
networks, electronic devices/media, and mobile devices, would be added 
to include additional direction regarding newer forms of media 
(electronic) that may contain Restricted Data.
    Proposed changes to the renumbered Sec.  1016.27, currently Sec.  
1016.39 would clarify that termination of the security facility 
approval will be in accordance with the requirements in this part.
    Proposed changes to the renumbered Sec.  1016.31, currently Sec.  
1016.43, would update the reference to Executive Order 13526.
    Throughout the proposed changes, the term ``classified matter'' is 
used so as to include documents and material.

III. Rulemaking Requirements

A. Review Under Executive Order 12866

    This action does not constitute a ``significant regulatory action'' 
as defined in section 3(f) of Executive Order 12866, ``Regulatory 
Planning and Review'' (58 FR 51735).

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of a 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, Aug. 16, 2002), DOE published 
procedures and policies on February 19, 2003, to ensure that the 
potential impacts of its rules on small entities are properly 
considered during the rulemaking process. DOE has made its procedures 
and policies available on the Office of the General Counsel's Web site 
(www.gc.doe.gov).
    DOE has reviewed this proposed rule under the Regulatory 
Flexibility Act and certifies that, if adopted, the rule would not have 
a significant impact on a substantial number of small entities. This 
proposed action would amend an existing rule which establishes

[[Page 80614]]

safeguarding of Restricted Data by persons granted an Access Permit 
according to 10 CFR part 725. The rule would only apply to Access 
Permittees, of which there are historically very few (e.g., between 
zero and five), and the proposed changes are administrative changes 
(such as renumbering of several parts and changing office names to 
reflect a recent reorganization), updates to enable consistency with 
current policies and practices, and clarification of requirements.
    Because these standards and requirements consist of clarifications 
and updates to existing standards and requirements, DOE does not expect 
that the impact on any Access Permittees would be significant. DOE 
seeks comment on its estimate of the number of small entities and the 
expected effects of this proposed rule.
    For the above reasons, DOE certifies that the proposed rule, if 
adopted, will not have a significant economic impact on a substantial 
number of small entities.

C. Review Under Paperwork Reduction Act

    This proposed rule does not contain a collection of information 
subject to OMB approval under the Paperwork Reduction Act.

D. Review Under the National Environmental Policy Act

    This proposed rule amends existing policies and procedures 
establishing safeguarding of Restricted Data standards and requirements 
for Access Permittees and has no significant environmental impact. 
Consequently, the Department has determined that this rule is covered 
under Categorical Exclusion A-5, of Appendix A to Subpart D, 10 CFR 
part 1021, which applies to a rulemaking that addresses amending an 
existing rule or regulation that does not change the environmental 
effect of the rule or regulation being amended. 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 develop a formal 
process to ensure meaningful and timely input by State and local 
officials in the development of regulatory policies that have 
``federalism implications.'' Policies that have federalism implications 
are defined in the Executive Order to include regulations that have 
``substantial direct effects 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.'' On March 
7, 2011, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in the 
development of such regulations (65 FR 13735, March 14, 2000).
    DOE has examined the proposed and revised rule and has determined 
that it 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

    Section 3 of Executive Order 12988, (61 FR 4729, February 7, 1996), 
instructs each agency to adhere to certain requirements in promulgating 
new regulations. These requirements, set forth in section 3(a) and (b), 
include eliminating drafting errors and needless ambiguity, drafting 
the regulations to minimize litigation, providing clear and certain 
legal standards for affected legal conduct, and promoting 
simplification and burden reduction. Agencies are also instructed to 
make every reasonable effort to ensure that the regulation describes 
any administrative proceeding to be available prior to judicial review 
and any provisions for the exhaustion of administrative remedies. The 
Department has determined that this regulatory action meets the 
requirements of section 3(a) and (b) of Executive Order 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory action on state, local and tribal governments and the 
private sector. For proposed regulatory actions likely to result in a 
rule that may cause expenditures by State, local, and Tribal 
governments, in the aggregate, or by the private sector of $100 million 
or more in any one year (adjusted annually for inflation), section 202 
of UMRA requires a Federal agency to publish estimates of the resulting 
costs, benefits, and other effects on the national economy. UMRA also 
requires Federal agencies to develop an effective process to permit 
timely input by elected officers of State, local, and Tribal 
governments on a proposed ``significant intergovernmental mandate.'' In 
addition, UMRA requires an agency plan for giving notice and 
opportunity for timely input to small governments that may be affected 
before establishing a requirement that might significantly or uniquely 
affect them. On March 18, 1997, DOE published a statement of policy on 
its process for intergovernmental consultation under UMRA (62 FR 12820, 
March 18, 1997). (This policy is also available at http://www.gc.doe.gov). This proposed rule contains neither an 
intergovernmental mandate, nor a mandate that may result in the 
expenditure of $100 million or more in any year, so these requirements 
do not apply.

H. 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 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 promulgates or is expected to lead to 
the 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 alternates to the action and 
their expected benefits on energy supply, distribution, and use.
    This proposed rule is not a significant energy action, nor has it 
been designated as such by the Administrator of OIRA. Accordingly, DOE 
has not prepared a Statement of Energy Effects.

I. 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 proposed rule or policy that may affect 
family well-being. This proposed rule would not have any impact on the 
autonomy or integrity of the family as

[[Page 80615]]

an institution. Accordingly, DOE has concluded that it is not necessary 
to prepare a Family Policymaking Assessment.

IV. Opportunity for Public Comment

A. Participation in Rulemaking

    DOE encourages the maximum level of public participation in this 
rulemaking. Interested persons are encouraged to participate in the 
public hearings at the times and places indicated at the beginning of 
this proposed rulemaking.
    DOE has established a period of thirty days following publication 
of this proposed rulemaking for persons and organizations to comment. 
All public comments, hearing transcripts, and other docket material 
will be available for review and copying at the DOE offices at each of 
the hearing sites. The docket material will be filed under ``DOE-HQ-
2015-0029-0001.''

B. Written Comment Procedures

    Interested persons are invited to participate in this proceeding by 
submitting written data, views or arguments with respect to the 
subjects set forth in this proposed rulemaking. Instructions for 
submitting written comments are set forth at the beginning of this 
notice and below. Where possible, comments should identify the specific 
section they address.
    Comments should be labeled both on the envelope and on the 
documents, ``Docket No. DOE-HQ-2015-0029-0001'' and must be received by 
the date specified at the beginning of this proposed rulemaking. All 
comments and other relevant information received by the date specified 
at the beginning of this proposed rulemaking will be considered by DOE 
in the subsequent stages of the rulemaking process.
    Pursuant to the provisions of 10 CFR part 1004, any person 
submitting information or data that is believed to be confidential and 
exempt by law from public disclosure should submit one complete copy of 
the document and three copies, if possible, from which the information 
believed to be confidential has been deleted. DOE will make its own 
determination with regard to the confidential status of the information 
or data and treat it according to its determination.

C. Public Hearings

    The dates, times and places of the public hearings are indicated at 
the beginning of this proposed rulemaking. DOE invites any person or 
organization who has an interest in these proceedings to make a request 
to make an oral presentation at one of the public hearings. Requests 
can be phoned in advance to the telephone number indicated at the 
beginning of this proposed rulemaking. The person making the request 
should provide a telephone number where he or she may be contacted.
    DOE reserves the right to schedule the presentations, and to 
establish the procedures governing the conduct of the hearings.
    A DOE official will be designated to preside at the hearings and 
ask questions. Any necessary procedural rules regarding proper conduct 
of the hearings will be determined by the presiding official.
    Transcripts of the hearings will be made and the entire record of 
this rulemaking, including the transcripts, will be retained by DOE and 
made available for inspection and copying as provided at the beginning 
of this proposed rulemaking as well as being posted on 
www.regulations.gov under Docket Number DOE-HQ-2015-0029-0001. Any 
person may also purchase a copy of a transcript from the transcribing 
reporter.

List of Subjects in 10 CFR Part 1016

    Classified information, Nuclear energy, Reporting and recordkeeping 
requirements, Security measures.

    Issued in Washington, DC, on November 1, 2016.
Matthew B. Moury,
Associate Under Secretary for Environment, Health, Safety and Security.
    For the reasons set out in the preamble, DOE proposes to amend part 
1016 of title 10 of the Code of Federal Regulations as set forth below:

PART 1016--SAFEGUARDING OF RESTRICTED DATA BY ACCESS PERMITTEES

0
1. The authority citation for part 1016 continues to read as follows:

    Authority: Sec. 161i of the Atomic Energy Act of 1954, 68 Stat. 
948 (42 U.S.C. 2201).

0
2. The part heading for part 1016 is revised as set forth above.
0
3. Section 1016.3 is amended by:
0
a. Revising paragraph (a).
0
b. Removing paragraphs (c).
0
c. Redesignating paragraphs (d) and (e) as paragraphs (c) and (d), 
respectively.
0
d. Revising newly designated paragraphs (c) and (d).
0
e. Redesignating paragraphs (f) and (g) as paragraphs (e) and (f), 
respectively.
0
f. Removing paragraph (h).
0
g. Redesignating paragraphs (i) through (k) as paragraphs (g) through 
(i), respectively.
0
h. Revising newly designated paragraphs (h) and (i).
0
i. Removing paragraphs (l) and (m).
0
j. Redesignating paragraphs (n) through (z) as paragraphs (j) through 
(v), respectively.
0
k. Revising newly designated paragraphs (k) and (u).
    The revisions read as follows:


Sec.  1016.3  Definitions.

    (a) Access authorization. An administrative determination by DOE 
that an individual who is either a DOE employee, applicant for 
employment, consultant, assignee, other Federal department or agency 
employee (or other persons who may be designated by the Secretary of 
Energy), or a DOE contractor or subcontractor employee, or an access 
permittee is eligible for access to Restricted Data. Access 
authorizations granted by DOE are designated as ``Q,'' ``Q(X),'' ``L,'' 
or ``L(X).''
    (1) ``Q'' access authorizations are based upon single scope 
background investigations as set forth in applicable DOE and national-
level directives. They permit an individual who has ``need to know'' 
access to Top Secret, Secret and Confidential Restricted Data, Formerly 
Restricted Data, National Security Information, or special nuclear 
material in Category I or II quantities as required in the performance 
of duties, subject to additional determination that permitting this 
access will not endanger the common defense or national security of the 
United States. There may be additional requirements for access to 
specific types of RD information.
    (2) ``Q(X)'' access authorizations are based upon the same level of 
investigation required for a Q access authorization when ``Q'' access 
authorizations are granted to access permittees they are identified as 
``Q(X)'' access authorizations and, as need-to-know applies, authorize 
access only to the type of Secret Restricted Data as specified in the 
permit and consistent with appendix A, 10 CFR part 725, ``Categories of 
Restricted Data Available.''
    (3) ``L'' access authorizations are based upon National Agency 
Check with Local Agency Checks and Credit Check background 
investigation as set forth in applicable DOE and national-level 
directives. They permit an individual who has ``need to know'' access 
to Confidential Restricted Data, Secret and Confidential Formerly 
Restricted Data, or Secret and Confidential National Security 
Information, required in the performance of duties, provided such 
information is not designated

[[Page 80616]]

``CRYPTO'' (classified cryptographic information), other classified 
communications security (``COMSEC'') information, or intelligence 
information and subject to additional determination that permitting 
this access will not endanger the common defense or national security 
of the United States. There may be additional requirements for access 
to specific types of RD information.
    (4) ``L(X)'' access authorizations are based upon the same level of 
investigation required for an L access authorization When ``L'' access 
authorizations are granted to access permittees, they are identified as 
``L(X)'' access authorizations and, as need to know applies, authorize 
access only to the type of Confidential Restricted Data as specified in 
the permit and consistent with appendix A, 10 CFR part 725, 
``Categories of Restricted Data Available.''
* * * * *
    (c) Classified mail address. A mail address established for each 
access permittee and approved by the DOE to be used when sending 
Restricted Data to the permittee.
    (d) Classified matter. Anything in physical form (including, but 
not limited to documents and material) that contains or reveals 
classified information.
* * * * *
    (h) Infraction. An act or omission involving failure to comply with 
DOE safeguards and security orders, directives, or approvals and may 
include a violation of law.
    (i) Intrusion detection system. A security system consisting of 
sensors capable of detecting one or more types of phenomena, signal 
media, annunciators, energy sources, alarm assessment systems, and 
alarm reporting elements including alarm communications and information 
display equipment.
* * * * *
    (k) National Security Information. Information that has been 
determined pursuant to Executive Order 13526, as amended ``Classified 
National Security Information'' or any predecessor or successor order 
to require protection against unauthorized disclosure and is marked to 
indicate its classified status when in documentary form.
    (u) Security Plan. A written plan by the access permittee, and 
submitted to the DOE for approval, which outlines the permittee's 
proposed security procedures and controls for the protection of 
Restricted Data and which includes a floor plan of the area in which 
the classified matter is to be used, processed, stored, reproduced, 
transmitted, or handled.
* * * * *
0
4. Section 1016.4 is revised to read as follows:


Sec.  1016.4  Communications.

    Communications concerning rulemaking, i.e., petition to change part 
1016, should be addressed to the Associate Under Secretary, Office of 
Environment, Health, Safety and Security, AU-1/Forrestal Building, 
Office of Environment, Health, Safety and Security, U.S. Department of 
Energy, 1000 Independence Avenue SW., Washington, DC 20585. All other 
communications concerning the regulations in this part should be 
addressed to the cognizant DOE or National Nuclear Security 
Administration (NNSA) office.
0
5. Section 1016.5 is revised to read as follows:


Sec.  1016.5  Submission of procedures by access permit holder.

    No access permit holder shall have access to Restricted Data until 
he has submitted to the DOE a written statement of his procedures for 
the safeguarding of Restricted Data and for the security education of 
his employees, and DOE shall have determined and informed the permittee 
that his procedures for the safeguarding of Restricted Data are in 
compliance with the regulations in this part and that his procedures 
for the security education of his employees, who will have access to 
Restricted Data, are informed about and understand the regulations in 
this part. These procedures must ensure that employees with access to 
Restricted Data are informed about and understand who is authorized or 
required to classify and declassify RD and FRD information and 
classified matter as well as how documents containing RD or FRD are 
marked (see 10 CFR part 1045) and safeguarded.
0
6. The section heading for Sec.  1016.8 is revised to read as follows:


Sec.  1016.8  Request for security facility approval.

0
7. Section 1016.9 is revised to read as follows:


Sec.  1016.9  Processing security facility approval.

    Following receipt of an acceptable request for security facility 
approval, the DOE will perform an initial security survey of the 
permittee's facility to determine that granting a security facility 
approval would be consistent with the national security. If DOE makes 
such a determination, security facility approval will be granted. If 
not, security facility approval will be withheld pending compliance 
with the security survey recommendations or until a waiver is granted 
pursuant to Sec.  1016.6 of this part.
0
8. Section 1016.10 is revised to read as follows:


Sec.  1016.10  Granting, denial, or suspension of security facility 
approval.

    Notification of the DOE's granting, denial, or suspension of 
security facility approval will be furnished the permittee in writing, 
or orally with written confirmation. This information may also be 
furnished to representatives of the DOE, DOE contractors, or other 
Federal agencies having a need to transmit Restricted Data to the 
permittee.
0
9. Section 1016.11 is revised to read as follows:


Sec.  1016.11   Cancellation of requests for security facility 
approval.

    When a request for security facility approval is to be withdrawn or 
cancelled, the cognizant DOE Office will be notified by the requester 
immediately by telephone and confirmed in writing so that processing of 
this approval may be terminated.
0
10. Section 1016.12 is revised to read as follows:


Sec.  1016.12  Termination of security facility approval.

    Security facility approval will be terminated when:
    (a) There is no longer a need to use, process, store, reproduce, 
transmit, or handle Restricted Data at the facility; or
    (b) The DOE makes a determination that continued security facility 
approval is not in the interest of common defense and security.
    The permittee will be notified in writing of a determination to 
terminate facility approval, and the procedures outlined in Sec.  
1016.27 of this part will apply.


Sec. Sec.  1016.21 through 1016.23  [Redesignated as Sec. Sec.  1016.13 
through 1016.15]

0
11. Sections 1016.21 through 1016.23 are redesignated as Sec. Sec.  
1016.13 through 1016.15 and revised to read as follows:


Sec.  1016.13  Protection of Restricted Data in storage.

    (a) Persons who possess Restricted Data pursuant to an Access 
Permit shall store the Restricted Data classified matter when not in 
use in a locked storage container or DOE-approved vault to which only 
persons with appropriate access authorization and a need to know the 
information contained have access. Storage containers used for storing 
classified matter must conform to U.S. General Services Administration 
(GSA) standards and specifications.

[[Page 80617]]

    (b) Changes of combination: Each permittee shall change the 
combination on locks of his safekeeping equipment whenever such 
equipment is placed in use, whenever an individual knowing the 
combination no longer requires access to the repository as a result of 
change in duties or position in the permittee's organization, or 
termination of employment with the permittee or whenever the 
combination has been subjected to compromise, and in any event at least 
once a year. Permittees shall classify records of combinations no lower 
than the highest classification of the classified matter authorized for 
storage in the safekeeping equipment concerned.


Sec.  1016.14  Protection of Restricted Data while in use.

    While in use, classified matter containing Restricted Data shall be 
under the direct control of a person with the appropriate access 
authorization and need to know. Unauthorized access to the Restricted 
Data shall be precluded.


Sec.  1016.15   Establishment of security areas.

    (a) When, because of their nature or size, it is impracticable to 
safeguard classified matter containing Restricted Data in accordance 
with the provisions of Sec. Sec.  1016.13 and 1016.14, a security area 
to protect such classified matter shall be established.
    (b) The following controls shall apply to security areas:
    (1) Security areas shall be separated from adjacent areas by a 
physical barrier designed to prevent entrance into such areas, and 
access to the Restricted Data within the areas, by unauthorized 
individuals.
    (2) During working hours, admittance shall be controlled by an 
appropriately cleared individual posted at each unlocked entrance.
    (3) During nonworking hours, admittance shall be controlled by 
protective personnel on patrol, with protective personnel posted at 
unlocked entrances, or by such intrusion detection system as DOE 
approves.
    (4) Each individual authorized to enter a security area shall be 
issued a distinctive badge or pass when the number of employees 
assigned to the area exceeds thirty.


Sec.  1016.24  [Redesignated as Sec.  1016.16]

0
12. Section 1016.24 is redesignated as Sec.  1016.16.


Sec.  1016.25  [Redesignated as Sec.  1016.17]

0
13. Section 1016.25 is redesignated as Sec.  1016.17 and revised to 
read as follows:


Sec.  1016.17  Protective personnel.

    Whenever armed protective personnel are required in accordance with 
Sec.  1016.15, such protective personnel shall:
    (a) Possess a ``Q'' or ``L'' access authorization or ``Q(X)'' or 
``L(X)'' access authorization if the Restricted Data being protected is 
classified Confidential, or a ``Q'' access authorization or ``Q(X)'' 
access authorization if the Restricted Data being protected is 
classified Secret.
    (b) Be armed with sidearms of 9mm or greater.


Sec. Sec.  1016.31 through 1016.34  [Redesignated as Sec. Sec.  1016.18 
through 1016.21]

0
14. Sections 1016.31 through 1016.34 are redesignated as Sec. Sec.  
1016.18 through 1016.21 and revised to read as follows:


Sec.  1016.18  Access to Restricted Data.

    (a) Except as DOE may authorize, no person subject to the 
regulations in this part shall permit any individual to have access to 
Restricted Data in his possession unless the individual has an 
appropriate access authorization granted by DOE, or has been certified 
by DOD or NASA through DOE, and;
    (1) The individual is authorized by an Access Permit to receive 
Restricted Data in the categories involved and the permittee determines 
that such access is required in the course of his duties, or
    (2) The individual needs such access in connection with such duties 
as a DOE employee or DOE contractor employee, or as certified by DOD or 
NASA.
    (b) Inquiries concerning the access authorization status of 
individuals, the scope of Access Permits, or the nature of contracts 
should be addressed to the cognizant DOE or NNSA office.


Sec.  1016.19  Review, classification and marking of classified 
information.

    (a) Classification. Restricted Data generated or possessed by an 
Access Permit holder must be appropriately classified and marked in 
accordance with 10 CFR part 1045 or its successor. CG-DAR-2, ``Guide to 
the Declassified Areas of Nuclear Energy Research U 08/98,'' will be 
furnished each permittee. In the event a permittee originates 
classified information which falls within the definition of Restricted 
Data or information for which the permittee is not positive that the 
information is outside of that definition and CG-DAR-2 does not provide 
positive classification guidance for such information, the permittee 
shall designate the information as Confidential, Restricted Data and 
request classification guidance from the DOE through the Classification 
Officer at the cognizant DOE or NNSA office. If the DOE Classification 
Officer does not have authority to provide the guidance, he will refer 
the request to the Director, Office of Classification, AU-60/Germantown 
Building, Office of Environment, Health, Safety and Security, U.S. 
Department of Energy, 1000 Independence Avenue SW., Washington, DC 
20585-1290.
    (b) Challenges. If a person receives a document or other classified 
matter which, in his opinion, is not properly classified, or omits the 
appropriate classification markings, he is encouraged to challenge the 
classification and there shall be no retribution for submitting a 
challenge. Challenges shall be submitted in accordance with 10 CFR part 
1045.
    (c) Classification markings. Restricted Data generated or possessed 
by an individual approved for access must be appropriately identified 
and marked in accordance with 10 CFR part 1045, Nuclear Classification 
and Declassification. Questions and requests for additional direction 
or guidance regarding the marking of classified matter may be submitted 
to the Director, Office of Classification, AU-60/Germantown Building, 
Office of Environment, Health, Safety and Security, U.S. Department of 
Energy, 1000 Independence Avenue SW., Washington, DC 20585-1290


Sec.  1016.20  External transmission of Restricted Data.

    (a) Restrictions. (1) Restricted Data shall be transmitted only to 
persons who possess appropriate access authorization, need to know, and 
are otherwise eligible for access under the requirements of Sec.  
1016.18.
    (2) In addition, such classified matter containing Restricted Data 
shall be transmitted only to persons who possess approved facilities 
for their physical security consistent with this part. Any person 
subject to the regulations in this part who transmits such Restricted 
Data containing Restricted Data shall be deemed to have fulfilled his 
obligations under this subparagraph by securing a written certification 
from the prospective recipient that such recipient possesses facilities 
for its physical security consistent with this part.
    (3) Restricted Data shall not be exported from the United States 
without prior authorization from DOE.
    (b) Preparation of documents. Documents containing Restricted Data 
shall be prepared for transmission outside an individual installation 
in accordance with the following:
    (1) They shall be enclosed in two sealed, opaque envelopes or 
wrappers.

[[Page 80618]]

    (2) The inner envelope or wrapper shall be addressed in the 
ordinary manner and sealed with tape, the appropriate classification 
shall be marked on both sides of the envelope, and any additional 
marking required by 10 CFR part 1045 shall be applied.
    (3) The outer envelope or wrapper shall be addressed in the 
ordinary manner. No classification, additional marking, or other 
notation shall be affixed which indicates that the document enclosed 
therein contains classified information or Restricted Data.
    (4) A receipt which identifies the document, the date of transfer, 
the recipient, and the person transferring the document shall accompany 
the document and shall be signed by the recipient and returned to the 
sender whenever the custody of a document containing Secret Restricted 
Data is transferred.
    (c) Preparation of other classified matter. Classified matter, 
other than documents, containing Restricted Data shall be prepared for 
shipment outside an individual installation in accordance with the 
following:
    (1) The classified matter shall be so packaged that the classified 
characteristics will not be revealed.
    (2) A receipt which identifies the classified matter, the date of 
shipment, the recipient, and the person transferring the classified 
matter shall accompany the classified matter, and the recipient shall 
sign such receipt whenever the custody of classified matter containing 
Secret Restricted Data is transferred.
    (d) Methods of transportation. (1) Secret classified matter shall 
be transported only by one of the following methods:
    (i) By messenger-courier system specifically created for that 
purpose and approved for use by DOE.
    (ii) Registered mail.
    (iii) By protective services provided by United States air or 
surface commercial carriers under such conditions as may be preserved 
by the DOE.
    (iv) Individuals possessing appropriate DOE access authorization 
who have been given written authority by their employers.
    (2) Confidential classified matter may be transported by one of the 
methods set forth in paragraph (d)(1) of this section or by U.S. first 
class, express, or certified mail.
    (e) Telecommunication of classified information. There shall be no 
telecommunication of Restricted Data unless the secure 
telecommunication system has been approved by the DOE.


Sec.  1016.21  Accountability for Secret Restricted Data.

    Each permittee possessing classified matter (including classified 
matter in electronic format) containing Secret Restricted Data shall 
establish accountability procedures and shall maintain logs to document 
access to and record comprehensive disposition information for all such 
classified matter that has been in his custody at any time.


Sec.  1016.35   [Redesignated as Sec.  1016.22]

0
15. Section 1016.35 is redesignated as Sec.  1016.22.


Sec. Sec.  1016.36 and 1016.37  [Redesignated as Sec. Sec.  1016.23 and 
1016.24]

0
16. Sections 1016.36 and 1016.37 are redesignated as Sec. Sec.  1016.23 
and 1016.24 and revised to read as follows:


Sec.  1016.23  Changes in classification.

    Classified matter containing Restricted Data shall not be 
downgraded or declassified except as authorized by DOE and in 
accordance with 10 CFR part 1045.


Sec.  1016.24  Destruction of classified matter containing Restricted 
Data.

    Documents containing Restricted Data may be destroyed by burning, 
pulping, or another method that assures complete destruction of the 
information which they contain. Restricted Data contained in classified 
matter, other than documents, may be destroyed only by a method that 
assures complete obliteration, removal, or destruction of the 
Restricted Data.
0
17. Add Sec.  1016.25 to read as follows:


Sec.  1016.25  Storage, use, processing, transmission and destruction 
of classified information on computers, computer networks, electronic 
devices/media and mobile devices.

    Storage, use, processing, and transmission of Restricted Data on 
computers, computer networks, electronic devices/media and mobile 
devices must be approved by DOE. DOE-approved methods must be used when 
destroying classified information that is in electronic format.


Sec.  1016.38  [Redesignated as Sec.  1016.26]

0
18. Section 1016.38 is redesignated as Sec.  1016.26.


Sec.  1016.39  [Redesignated as Sec.  1016.27]

0
19. Section 1016.39 is redesignated as Sec.  1016.27 and revised to 
read as follows:


Sec.  1016.27  Termination, suspension, or revocation of security 
facility approval.

    (a) In accordance with Sec.  1016.12, if the need to use, process, 
store, reproduce, transmit, or handle classified matter no longer 
exists, the security facility approval will be terminated. The 
permittee may deliver all Restricted Data to the DOE or to a person 
authorized to receive them; or the permittee may destroy all such 
Restricted Data. In either case, the facility must submit a 
certification of non-possession of Restricted Data to the DOE.
    (b) In any instance where security facility approval has been 
suspended or revoked based on a determination of the DOE that further 
possession of classified matter by the permittee would endanger the 
common defense and national security, the permittee shall, upon notice 
from the DOE, immediately deliver all Restricted Data to the DOE along 
with a certificate of non-possession of Restricted Data.


Sec. Sec.  1016.40 through 1016.42  [Redesignated as Sec. Sec.  1016.28 
through 1016.30]

0
20. Sec. Sec.  1016.40 through 1016.42 are redesignated as Sec. Sec.  
1016.28 through 1016.30.


Sec.  1016.43  [Redesignated as Sec.  1016.31]

0
21. Section 1016.43 is redesignated as Sec.  1016.31 and revised to 
read as follows:


Sec.  1016.31  Inspections.

    The DOE shall make such inspections and surveys of the premises, 
activities, records, and procedures of any person subject to the 
regulations in this part as DOE deems necessary to effectuate the 
purposes of the Act, Executive Order 13526, and DOE orders and 
procedures.


Sec.  1016.44  [Redesignated as Sec.  1016.32]

0
22. Section 1016.44 is redesignated as Sec.  1016.32.

[FR Doc. 2016-27414 Filed 11-15-16; 8:45 am]
 BILLING CODE 6450-01-P