INDEX
CHAPTER II
RESPONSIBILITIES AND AUTHORITIES
PART A - HEADQUARTERS
1. SECRETARY (S-1).
a. Originally classifies NSI up to and including Top Secret.
b. Delegates Top Secret Original Classification Authority to those
principal subordinates who frequently need to exercise such
authority.
c. Requests interpretations of Executive Order 12356 from the Attorney
General for any question arising in the course of its
administration pursuant to section 6.2(b) of Executive order 12356.
2. DIRECTOR OF SECURITY AFFAIRS (SA-1):
a. Oversees the implementation of the classification and
declassification provisions of the Atomic Energy Act and Executive
Order 12356.
b. Approves basic DOE policy on the classification and
declassification of RD, FRD, and NSI; approves the "Classification
Policy Guide for Nuclear Programs" and other formal statements of
DOE classification policy.
c. Declassifies and transclassifies RD and declassifies FRD in
accordance with sections 142a, c, d, and e of the Atomic Energy
Act.
d. Reclassifies NSI previously declassified and disclosed, in
accordance with section 1.6(c) of Executive Order 12356.
e. Assures DOE implementation of the classification and
declassification provisions of the Atomic Energy Act and Executive
Order 12356.
f. Determines which categories of information, in addition to those in
section 1.3(a) of Executive Order 12356, are related to the
national security and require protection against unauthorized
disclosure.
g. Grants and revokes waivers of the requirement to portion mark
documents containing NSI only.
h. Grants and revokes waivers of the requirement to prepare
classification guides in areas concerning NSI for specified classes
of documents and information.
i. Appoints members and consultants to the Technical Evaluation Panel
(TEP).
3. DIRECTOR OF INTELLIGENCE (IN-1).
a. Serves as the Senior Intelligence Officer for DOE.
b. Implements uniform procedures for administrative handling and
accountability of Sensitive Compartmented Information (SCI),
including the classification review and marking of SCI documents
and material.
4. DIRECTOR OF CLASSIFICATION (SA-20).
a. General Responsibilities and Authorities.
(1) Develops (for the approval of SA-1) the "Classification Policy
Guide for Nuclear Programs" and other formal statements of DOE
classification policy; coordinates proposed policies with
appropriate DOE program organizations.
(2) Interprets DOE classification policy.
(3) Develops and implements DOE classification and
declassification rules, regulations, and procedures.
(4) Recommends to SA-1 all actions for removing information from
the RD and FRD categories.
(5) Determines the proper classification category and level of DOE
information; interprets what information falls within the RD
definition.
(6) Manages the development and issuance of DOE classification
guidance.
(a) Assures the preparation, coordination, and issuance of
classification guidance for DOE programs that involve or
generate classified information.
(b) Coordinates and assures issuance of classification
guidance for classified information generated under the
cognizance of DOE when the classification policy for such
information is developed by other Government agencies or
foreign governments.
(c) Approves all program classification guides prior to their
issuance. Approves local classification guides or
delegates authority for their approval to Field Elements,
as appropriate.
(d) Conducts a continuing review of all DOE classified
information and classification guides to ensure their
accuracy and currency and to identify which information
may be declassified without undue risk to the common
defense and security.
(e) Maintains an index of all DOE and DOE contractor
classification guides.
(7) Oversees international classification cooperation.
(a) Maintains liaison and serves as DOE contact with foreign
governments on matters concerning classification and
declassification of information.
(b) Develops classification and declassification standards as
required for international agreements for cooperation
entered into pursuant to the provisions of the Atomic
Energy Acts and reviews and evaluates foreign
classification and declassification policies, procedures,
and actions established or taken pursuant to such
agreements to assure that they are consistent with the
requirements of the agreements.
(8) Manages programs for the classification and declassification
review of documents and material.
(a) Performs final reviews of all classified documents
requested from DOE under the provisions of a statute or
Executive order; determines their proper classification;
if possible and required, prepares sanitized versions of
such documents; and is the DOE Denying Official with
regard to the denial of classified information requested
pursuant to a statute or Executive order.
(b) Reviews all testimony, transcripts, and other documents
prepared for the Congress in potentially classified
subject areas and, as requested, documents prepared by
Congress dealing with DOE-related programs involving
classified information or where any uncertainty may exist
concerning the classification of such documents.
(c) Reviews documents for classification and declassification
submitted by Departmental Elements, DOE contractors, and
other Government agencies.
(d) Reviews patent applications in potentially classified
subject areas.
(e) Reviews documents submitted by uncleared authors.
(9) Conducts a continuous review of the classification and
declassification program to ensure compliance with the
classification provisions of the Atomic Energy Act, Executive
Order 12356, and this Order.
(10) Develops classification and declassification education and
training programs, and administers such programs for HQ
personnel and, as required, Field Element personnel.
(11) Advises and assists Heads of Departmental Elements with regard
to classification and declassification policies and procedures
and changes thereto.
(12) Approves requests and specific procedures for large-scale
declassification or downgrading reviews.
(13) Appraises the effectiveness of the classification functions of
Departmental Elements.
(14) Obtains service of Field Elements, contractor personnel, or
private consultants, when necessary, in the classification and
declassification program.
(15) Approves, after coordination with the appropriate Headquarters
Element, a procedure for discharging classification and
declassification responsibilities and authorities related to
Headquarters-administered contracts.
(16) Maintains liaison and serves as the DOE contact with other
Government agencies and private interests on matters
concerning DOE classification and declassification policies
and procedures and, as appropriate, provides classification
and declassification guidance and training.
(17) Acts as DOE Headquarters Classification Officer.
(18) Approves appointments of DOE and DOE contractor Classification
Officers.
(19) Performs other functions assigned by SA-1.
b. Responsibilities and Authorities Derived From Executive Order
12356.
(1) Serves as the Senior Agency Official responsible for the
direction administration of the DOE information security
program, except for those provisions of the Executive order
and implementing directives which deal with the safeguarding
of classified information such as personnel security, physical
security, and the establishment of special access programs.
(2) Originally classifies NSI information as Top Secret, Secret,
or Confidential (Executive Order 12356, section 1.2(d)(2)).
(3) Publishes in the "Federal Register" those parts of DOE
classification regulations which implement Executive Order
12356 and affect members of the public.
(4) Makes recommendations to SA-1 with regard to the determination
of categories of information related to national security and
requiring protection against unauthorized disclosure pursuant
to section 1.3(a)(10) of Executive Order 12356; ensures that
such determinations are reported to the Information Security
Oversight Office (ISOO).
(5) Declassifies NSI on a Department-wide basis, consistent with
established DOE classification policy.
(6) Represents the Secretary in any interagency meetings convened
by the ISOO; acts as the DOE contact with the ISOO; and
advises the Secretary and SA-1 with regard to actions and
determinations made by the Director of the ISOO affecting DOE.
(7) Collects, prepares, and submits information to the ISOO
pursuant to Executive Order 12356, its implementing
directives, and requests of the ISOO.
(8) Makes recommendations to the Secretary concerning the
designation of certain Top Secret Classifiers; acts for the
Secretary in designating other Top Secret Classifiers, all
Original Secret and Confidential Classifiers, and all HQ
Derivative Classifiers and maintains records of all so
designated.
(9) Notifies the Director of Safeguards and Security (SA-10) of
the appointment of Top Secret Classifiers so that SA-10 may
assign appropriate Top Secret authenticating symbols.
(10) Monitors the requirements for and use of Original
Classification Authority in DOE organizations.
(11) Acts for the Secretary in designating Derivative Declassifiers
and maintains a record of all DOE and DOE contractor
Derivative Declassifiers.
(12) Issues, reviews, and updates guidelines for systematic
declassification review and designates experienced personnel
to assist the Archivist of the United States in the conduct of
systematic reviews of information originated by DOE.
(13) Conducts, as required, an internal systematic review program
for classified information originated by DOE.
(14) Develops procedures to process requests for the mandatory
review of NSI and publishes in the "Federal Register" the
Departmental Element to which such requests may be addressed.
(15) Serves as the central DOE authority for receiving all requests
for declassification review of information under the mandatory
review provisions of Executive Order 12356.
(16) Exercises, as necessary, the authority granted by section
1.6(d) of Executive Order 12356 to classify or reclassify
information after receiving a request for it under the Freedom
of Information Act, the Privacy Act of 1974, or the mandatory
review provisions of the Executive order.
5. HEADS OF HEADQUARTERS ELEMENTS.
a. Establish internal procedures to assure compliance with this Order
and any other regulations or instructions issued by SA-20.
b. Appoint, if so requested by SA-20, an individual (HQ Classification
Representative) to be responsible for liaison with SA-20.
c. Request designations of classification authority as needed for HQ
Elements or contractors under their jurisdiction.
d. Assure participation by personnel with classification
responsibility in the planning stages of new programs that have
potential for involving or generating classified information.
e. Inform SA-20 of all proposed projects or HQ-administered contracts
that could involve classified information so that SA-20 may assure
that appropriate and adequate classification guidance is available
for such projects or contracts.
f. Establish, with the approval of SA-20, procedures to carry out an
appropriate classification program for HQ-administered contracts.
g. Assure that DOE and DOE contractor personnel within their
jurisdiction who publish or deliver papers at conferences or any
other presentation concerning potentially classified subject areas
are informed on existing classification guidance in the subject
areas of their papers and advised as to potential danger areas in
the discussion following their presentations.
h. Assure appropriate classification review of all documents and
material prepared by DOE or DOE contractor personnel under their
jurisdiction concerning potentially classified subject areas.
i. Assist SA-20 in preparing and revising program classification
guides.
j. Obtain classification guidance from SA-20 for programs under their
purview that have a potential for involving or generating
classified information; assure that all employees in their HQ
element or contractors under their jurisdiction receive adequate
classification guidance for their work.
k. Assure that approved classification guidance is included with
authorization of new work initiated by their HQ element when such
work is likely to involve or generate classified information.
l. Provide SA-20 with information required to be maintained by SA-20
or reported to the ISOO in accordance with Executive Order 12356
and its implementing directives or as determined to be required by
SA-20.
m. Establish, when necessary, detailed procedures for large-scale
declassification or downgrading reviews and submit such procedures
to SA-20 for approval.
n. Assist SA-20 in the classification education program for HQ
Elements and their contractors.
o. Assist SA-20 in the classification appraisal of HQ Elements and
contractors involved with classified information; be cognizant of
the DOE Classification Appraisal Procedural Guide; follow up on
appraisal findings requiring corrective action; take action on
recommendations made in appraisals of the classification programs
under their supervision; ensure that contractor organizations
conduct classification appraisals of their organizations involved
with classified information.
p. Take appropriate and prompt corrective action whenever a
classification violation occurs within their organizations.
q. Designate an individual(s) to be responsible for bringing to the
attention of the contracting officer each procurement falling
within the scope of this Order. Unless another individual is
designated, the responsibility is that of the procurement request
originator (the individual responsible for initiating a requirement
on DOE F 4200.33, "Procurement Request-Authorization".)
6. HEADQUARTERS CLASSIFICATION REPRESENTATIVES.
a. Serve as the lead Authorized Classifiers and document review
coordinators for their organizations.
b. Serve as the point-of-contact for their organizations with SA-20
concerning classification policies and procedures.
c. Assist the Heads of HQ Elements in exercising their classification
and declassification responsibilities and authorities.
d. Respond to questions from individuals within their organizations
concerning classification policies and procedures and refer
questions, as necessary, to SA-20.
e. Maintain a current listing of Authorized Classifiers and Derivative
Declassifiers within their organizations.
7. DEPARTMENT OF ENERGY EMPLOYEES.
a. Refer questions concerning classification or declassification of
(1) information or (2) documents or material to Authorized
Classifiers, their classification office, or through channels to
SA-20.
b. Obtain a determination from an Authorized Classifier on (1)
information or (2) documents or material whose classification is in
question.
c. Refer suggestions, complaints, or challenges concerning the DOE
classification and declassification program to their classification
office or SA-20.
8. DIRECTOR, NAVAL NUCLEAR PROPULSION PROGRAM shall, in accordance with the
responsibilities and authorities assigned by Executive Order 12344
(statutorily prescribed by 42 U.S.C. 7158, note) and to ensure
consistency throughout the joint Navy/DOE organization of the Naval
Nuclear Propulsion Program, implement and oversee all policy and
practices pertaining to this DOE Order for activities under the
Director's cognizance.