INDEX
CHAPTER I
ABBREVIATIONS, ACRONYMS, AND DEFINITIONS
1. ABBREVIATIONS AND ACRONYMS.
a. ADC - Authorized Derivative Classifier.
b. C - Confidential.
c. CGS - Classification Guidance System.
d. D6 - Downgrade in 6 years.
e. D8 - Downgrade in 8 years.
f. D10 - Downgrade in 10 years.
g. DOD - Department of Defense.
h. DOE - Department of Energy.
i. DP-1 - Assistant Secretary for Defense Programs.
j. SA-1 - Director of Security Affairs.
k. SA- 10 - Director of Safeguards and Security.
l. SA-20 - Director of Classification.
m. EO - Executive order.
n. FOIA - Freedom of Information Act.
o. FRD - Formerly Restricted Data.
p. GC-42 - Assistant General Counsel for Patents.
q. GDS - General Declassification Schedule.
r. HQ - Headquarters.
s. ISOO - Information Security Oversight Office.
t. NNPI - Naval Nuclear Propulsion Information.
u. NSI - National Security Information.
v. OADR - Originating Agency's Determination Required.
w. OUO - Official Use Only.
x. RD - Restricted Data.
y. R&D - Research and Development.
z. REV20 - Review in 20 years.
aa. REV30 - Review in 30 years.
bb. S - Secret.
cc. SCI - Sensitive Compartmented Information.
dd. TS - Top Secret.
ee. UCNI - Unclassified Controlled Nuclear Information.
ff. XGDS - Exempt from the General Declassification Schedule.
2. DEFINITIONS.
a. Appointing Official. A DOE Headquarters, Field Element, or
contractor official authorized by SA-20 to designate individuals as
having various classification and declassification authorities.
b. Authorized Classifier. A term used to identify either an Original
Classifier or a Derivative Classifier.
(1) Original Classifier. An individual authorized to classify
National Security Information (NSI) by an original
determination based on Executive Order 12356, where no
specific guidance exists.
(2) Derivative Classifier (also referred to as Authorized
Derivative Classifier or ADC). An individual authorized to
determine that documents or material are (a) unclassified or
(b) classified as Restricted Data (RD), Formerly Restricted
Data (FRD), or NSI in accordance with existing guidance or
source documents.
c. Authorizing Official. See "Denying Official," paragraph 2z, below.
d. Classification.
(1) Original Classification. The initial determination that
information requires protection as NSI under the provisions of
Executive Order 12356. Includes the specification of a
classification level and the classification duration.
(2) Derivative Classification.
(a) Restricted Data or Formerly Restricted Data. A
determination in accordance with approved classification
guidance or source documents that a document or material
contains RD or FRD.
(b) National Security Information. A determination in
accordance with approved classification guidance, source
documents, or instructions from an Original Classifier
that a document or material contains NSI.
e. Classification Appraisal. A systematic evaluation performed to
determine how well a Headquarters, field, or contractor
classification program complies with the requirements of this
Order.
f. Classification Authority.
(1) Original Classification Authority. Authority to originally
classify information as NSI.
(2) Derivative Classification Authority. Authority to
derivatively classify documents or material as RD, FRD, or
NSI.
g. Classification Board. A committee appointed by Heads of Field
Elements or prime contractor organizations or Classification
Officers to assist them in discharging their classification and
declassification responsibilities.
h. Classification Category. One of the three kinds of classified
information (i.e., RD, FRD, or NSI).
i. Classification Guidance System. An indexed, free text, automated
search system that contains DOE classification guides.
j. Classification Guide. A document containing explicit
classification guidance for the use of Authorized Classifiers and
Derivative Declassifiers in making classification and
declassification determinations.
k. Classification Level. One of the three terms which indicate the
sensitivity of classified information (i.e., Top Secret, Secret,
Confidential).
l. Classification/Security Markings. Stamps or markings applied to
classified documents or material to indicate, among other things,
the classification category of information contained therein (i.e.,
RD, FRD, or NSI), the classification level (i.e., Top Secret,
Secret, or Confidential), and other markings required in this Order
and DOE 5635.1A.
m. Classification Officer.
(1) Department of Energy Classification Officer. One appointed by
SA-20, or by the Head of a Field Element with SA-20 approval,
to administer its classification program and oversee or
monitor the classification programs of contractor
organizations under its jurisdiction.
(2) Contractor Classification Officer. One appointed by the head
of a contractor organization, with Field Element and SA-20
approval, to administer a contractor's classification program
and oversee or monitor the classification programs of
subcontractor organizations under its jurisdiction.
n. Classification Policy. DOE policy on classification,
transclassification, downgrading, and declassification of
information under its purview.
o. Classification Potential Categories.
(1) Category I: An activity with virtually no potential for using
or generating classified information.
(2) Category II: An activity with the potential for using or
generating classified information.
(3) Category III: An activity with great potential for using or
generating classified information.
p. Classified Document. Any document containing classified
information.
q. Classified Information. Certain information that the U.S.
Government has determined, pursuant to an Executive order, statute,
or regulation, requires protection against unauthorized disclosure
for reasons of national security (i.e., RD, FRD, and NSI).
r. Confidential. The lowest classification level applied to
information whose unauthorized disclosure could reasonably be
expected to cause damage to the national security.
s. Confidential Source. Any individual or organization that has
provided, or that may reasonably be expected to provide,
information to the United States on matters pertaining to the
national security with the expectation, expressed or implied, that
the information or identity of the source, or both, will be held in
confidence.
t. Contractor Classification Officer. See "Classification Officer,"
paragraph 2m(2), above.
u. Contractor. A person or entity that is a party to a contract with
the DOE, including subcontractors of any tier, consultants, agents,
grantees, and cooperative agreement participants.
v. Declassification.
(1) Information. A determination by appropriate authority in
accordance with approved classification policy that
information is no longer classified; or
(2) Documents or Material. A determination by appropriate
authority in accordance with approved classification guidance
that a document or material no longer contains classified
information.
w. Declassification Authority. Authority to determine that (1)
information or (2) documents and material may be declassified and
to effect such declassification.
x. Declassification Event. An event that eliminates the need for
continued classification.
y. Declassified Document. A previously classified document that (1)
has been declassified in accordance with approved guidance and from
which the classification markings have been removed or cancelled or
(2) is marked for declassification at a specific time/event and
that time/event has passed.
z. Denying Official. A DOE official authorized to make initial
determinations for DOE to deny, in whole or in part, requests for
records under the FOIA as defined in DOE 1700.1. For classified
information, SA-1 is the Denying Official.
aa. Departmental Element. A Headquarters (HQ) Element or a Field
Element.
(1) Headquarters Element. A DOE HQ organization headed by a
Secretarial Officer.
(2) Field Element. One of the Departmental elements located
outside the Metropolitan Washington area.
bb. Department of Energy Classification Officer. See Classification
Officer, paragraph 2m(1), above.
cc. Derivative Classification. See "Classification," paragraph 2d(2),
above.
dd. Derivative Classification Authority. See Classification
Authority," paragraph 2f(2), above.
ee. Derivative Classifier. See "Authorized Classifier," paragraph
2b(2), above.
ff. Derivative Declassifier. One authorized to downgrade and
declassify documents or material in specified areas.
gg. Document. Any record of information regardless of physical form or
characteristics, including, but not limited to, the following:
(1) All handwritten, printed, or typed matter;
(2) All painted, drawn, or engraved matter;
(3) All sound, magnetic, electromechanical, or optical recordings;
(4) All photographic prints, exposed or developed film, and still
or motion pictures;
(5) Automatic data processing input, memory, program, or output
information or records such as punch cards, tapes, memory
drums or disks, or visual displays; and
(6) All reproductions of the foregoing by any process.
hh. Downgrading. A determination by appropriate authority that (1)
information may be handled at a level lower than the original
classification level or (2) documents or material may be handled at
a level and/or category lower than the original classification
level and/or category. In either case, the revised classification
level shall not be lower than Confidential.
ii. Field Element. See "Departmental Element," paragraph 2aa(2),
above.
jj. Foreign Government Information.
(1) Information provided by a foreign government or governments,
an international organization of governments, or any element
thereof with the expectation, expressed or implied, that the
information, the source of the information, or both, are to be
held in confidence; or
(2) Information produced by the United States pursuant to or as a
result of a joint arrangement with a foreign government(s) or
an international organization of governments, or any element
thereof, requiring that the information, the arrangement, or
both, are to be held in confidence.
kk. Formal Report. A formal topical or progress report distributed in
accordance with specific categories of the Standard Distribution
Lists DOE/TIC-4500 for unclassified information and M-3679 for
classified information, and by other lists as designated by the
Manager of the Office of Scientific and Technical Information.
ll. Formerly Restricted Data. Classified information jointly
determined by SA-1 and the DOD to be related primarily to the
military utilization of atomic weapons, and removed by SA-1 from
the RD category pursuant to section 142d of the Atomic Energy Act.
mm. Government Agency. Any executive department, commission,
independent establishment, or corporation, wholly or partly owned
by the United States of America, which is an instrumentality of the
United States, or any board, bureau, division, service, office,
officer, authority, administration, or other establishment in the
executive branch of the Government.
nn. Headquarters Classification Representative. An individual
appointed by his or her element to serve as the point of contact
with SA-20 on classification policies and procedures, and to assist
others in their element with classification and declassification
responsibilities and authorities.
oo. Headquarters Element. See "Departmental Element," paragraph
2aa(1), above.
pp. Information. Facts, data, or knowledge itself, rather than the
medium of its conveyance. (Documents or material are deemed to
convey or contain information and are not considered to be
information per se.)
qq. Information Security Oversight Office (ISOO). An organization
within the General Services Administration responsible for
implementing and monitoring the information security program
prescribed in Executive Order 12356. The National Security Council
provides overall policy direction for this program.
rr. Local Classification Guide. A classification guide prepared and
issued by DOE or a DOE contractor organization and approved by the
DOE for a specific facility or activity. It is based on one or
more program classification guides and provides detailed
classification guidance.
ss. Mandatory Review. A declassification review that can be initiated
or requested by a member of the public, a Government employee, or
another Government agency pursuant to Executive Order 12356 and
this Order.
tt. Material. Any substance regardless of its physical or chemical
form (e.g., chemicals, raw materials, fabricated or processed
items, machinery, or equipment).
uu. National Security. The national defense and foreign relations of
the United States.
vv. National Security Information. Information that has been
determined pursuant to Executive Order 12356 or any predecessor
order to require protection against unauthorized disclosure and
that is so designated.
ww. Naval Nuclear Propulsion Information (NNPI). Information,
classified or unclassified, concerning the design, arrangement,
development, manufacture, testing, operation, administration,
training, maintenance, and repair of the propulsion plants of naval
nuclear-powered ships and prototypes, including the associated
nuclear support facilities. Information concerning equipment,
components, or technology which are applicable to both naval
nuclear and conventional propulsion plants is not considered to be
NNPI when used in reference to conventional applications only,
provided no association with naval nuclear propulsion can be
directly identified from the information in question. In cases
where an association with naval nuclear propulsion can be directly
identified from the information in question, designation of the
information as NNPI is mandatory. More specific guidance on what
constitutes NNPI will be provided on a case-by-case basis by the
Deputy Assistant Secretary for Naval Reactors, or his delegate,
upon request by those Departmental Elements requiring it. Some
unclassified NNPI is also Unclassified Controlled Nuclear
Information, as described in DOE 5630.8A.
xx. Need-to-Know. A determination by a person having responsibility
for classified information or material that a proposed recipient's
access to such classified information or matter is necessary in the
performance of official or contractual duties of employment.
yy. Non-DOE Funded Work. Any work performed for non-DOE entities that
utilize DOE facilities or contractor personnel and is not directly
funded in whole or in part by DOE.
zz. Official Information. Any information, regardless of its physical
form or characteristics, that is owned by, produced by or for, or
under the control of the United States Government.
aaa. Official Use Only.
(1) A designation identifying certain unclassified but sensitive
information that may be exempt from public release under the
FOIA; or
(2) A former (7-18-49 through 10-22-51) security classification
marking.
bbb. Original Classification. See "Classification," paragraph 2d(1),
above.
ccc. Original Classification Authority. See "Classification Authority,"
paragraph 2f(1), above.
ddd. Original Classifier. See "Authorized Classifier," paragraph 2b(1),
above.
eee. Policy Guide. A guide by which SA-1 approves basic DOE policy
statements on the classification and declassification of all DOE
nuclear-related information.
fff. Portion Marking. The application of NSI classification markings to
individual words, phrases, sentences, or paragraphs of a document
to indicate their specific classification.
ggg. Program Classification Guide. A guide that states specific
classification policy for a particular DOE program and provides the
basis for the development of local guides.
hhh. Reclassification. Restoration of classification to information
previously classified as NSI and then declassified.
iii. Remarking. The removal, cancellation, or alteration; i.e.,
downgrading, upgrading, or declassification, of classification
markings on a document or material.
jjj. Research and Development Activity Categories.
(1) Category I: An activity with virtually no potential for using
or generating classified information.
(2) Category II: An activity with the potential for using or
generating classified information.
(3) Category III: An activity with great potential for using or
generating classified information.
kkk. Responsible Reviewers. Those appointed to advise Field Element and
contractor Classification Officers and SA-20 on matters in their
fields of professional expertise.
lll. Restricted.
(1) A former U.S. security classification marking (prior to
12-15-53); or
(2) An active security classification marking used by some foreign
governments and international organizations.
mmm. Restricted Data. All data concerning the following, but not
including data declassified or removed from the RD category
pursuant to section 142 of the Atomic Energy Act:
(1) Design, manufacture, or utilization of atomic weapons;
(2) Production of special nuclear material; or
(3) Use of special nuclear material in the production of energy.
nnn. Sanitizing. The physical removal of both classified and
unclassified but controlled information from a document, usually
for the purpose of making the document eligible for release to the
public.
ooo. Secret. The classification level between Confidential and Top
Secret applied to information whose unauthorized disclosure could
reasonably be expected to cause serious damage to the national
security.
ppp. Sensitive Compartmented Information. Classified 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.
qqq. Source Document. A classified document, other than a
classification guide, from which information is extracted for
inclusion in another document. The classification of the
information extracted is determined by the classification markings
shown in/on the source document.
rrr. Subcontractor. See "Contractor," paragraph 2u, above.
sss. Systematic Review. The classification review under Executive Order
12356 in which the Archivist of the United States, acting under the
Federal Records Act, determines which National Security Information
records and Presidential papers are of sufficient historical value
or other value to warrant permanent retention.
ttt. Systematic Review Guidelines. Guidelines required by Executive
Order 12356 for identifying NSI or documents containing NSI that
may not be declassified automatically by the National Archives at
30 years.
uuu. System Manager. The DOE official responsible for a DOE system of
records, as designated in the system notice of that system
published by DOE in the "Federal Register," in accordance with the
provisions of the Privacy Act of 1974.
vvv. Technical Evaluation Panel. A panel of technical experts appointed
to advise SA-1 on the technical aspects of information under the
cognizance of SA-20.
www. Top Secret. The highest classification level applied to
information whose unauthorized disclosure could reasonably be
expected to cause exceptionally grave damage to the national
security.
xxx. Transclassification.
(1) Restricted Data to Formerly Restricted Data. The removal of
information from the RD category by joint determination with
the Department of Defense and its placement in the FRD
category in accordance with section 142d of the Atomic Energy
Act. This information is primarily related to utilization of
atomic weapons and can be adequately safeguarded as defense
information.
(2) Restricted Data to National Security Information. The removal
of information from the RD category by joint determination
with the Director of Central Intelligence and its placement in
the NSI category in accordance with section 142e of the Atomic
Energy Act. This information can be adequately safeguarded as
defense information.
yyy. Unclassified. The designation for information, a document, or
material that has been determined not to be classified or that has
been declassified by proper authority.
zzz. Unclassified Controlled Nuclear Information. Certain unclassified
Government information prohibited from unauthorized dissemination
under section 148 of the Atomic Energy Act and DOE 5650.3.
aaaa. Upgrading. Raising the classification level and/or category of (1)
information or (2) documents or material, including correction of
classification on such items erroneously issued as unclassified or
at too low a classification level or category.
bbbb. Visual Materials. Graphic devices such as photographs, motion
pictures, slides, artists' concepts, engineering drawings, plant
layouts, plots, plans, and maps.