INDEX
CHAPTER V
CLASSIFICATION OF INFORMATION AND DOCUMENTS
PART A - CLASSIFICATION AUTHORITIES
1. GENERAL. Classification authority is granted to a specific individual
while in a specific position. Classification authority is not
automatically transferred with an individual when he or she transfers to
a different position. Similarly, an individual who assumes a position
previously held by an authorized classifier or who acts in that position
does not automatically assume that classification authority.
2. TYPES OF CLASSIFICATION AUTHORITY. There are two basic types of
classification authority:
a. Original Classification Authority. Original Classification
Authority applies to information independent of its medium or form.
Original classification applies only to NSI because RD and FRD are
"born classified" under the Atomic Energy Act. Original
Classification Authority allows an authorized individual to make
the initial determination that information is classified. An
original classification decision shall not be made when
classification guidance exists. An individual with Original
Classification Authority may also classify documents and material
on a derivative basis. See Chapter VI for additional information.
b. Derivative Classification Authority. Derivative Classification
Authority applies to documents or material, not directly to the
information contained in or revealed by the document or material.
It allows an authorized individual to make a determination that a
document or material does or does not contain or reveal information
that is substantively the same as information already classified.
Derivative classification is based on explicit instructions
contained in formal classification guides, implicit guidance
(example) found in source documents, or on instructions from an
Original Classifier that a document contains NSI. Derivative
classification applies to documents or material containing or
revealing RD, FRD, or NSI. Derivative Classification Authority
does not include the authority to declassify or downgrade documents
or material. See Chapter VI for additional information.
3. EXCEPTIONS.
a. Temporary Classification. Any individual may temporarily mark and
protect a questionable document or material as RD, FRD, or NSI;
however, the document or material must be promptly referred to an
appropriate classification authority for final determination.
b. Freedom of Information Act or Privacy Act Requests. Only SA-20 or
higher authority may classify NSI-only documents or material being
requested under the FOIA or Privacy Act.
4. ORIGINAL CLASSIFICATION AUTHORITY.
a. Restricted Data and Formerly Restricted Data. No individual has
Original Classification Authority for RD or FRD; both categories of
information are originally classified by the Atomic Energy Act.
SA-20, however, must determine the classification level (TS, S, or
C) of RD and FRD to indicate the degree of protection to be
afforded the information. All RD and FRD material is classified
indefinitely.
b. National Security Information. An Authorized Original Classifier
may make an original determination that, pursuant to Executive
Order 12356, certain previously unclassified information requires
protection against unauthorized disclosure in the interest of
national security. In addition to determining the classification
category (NSI), the classifier must determine the classification
level (TS, S, or C) to indicate the degree of protection required
and the duration of the classification.
c. Qualifications. An Original Classifier must (1) be a Federal
employee; (2) have demonstrated competence in the subject area in
which the authority will be used; (3) be knowledgeable in DOE
classification policy and procedures (especially with all
classification guides in the subject area in which the authority
will be used); (4) be in a position with a proven or anticipated
need for Original Classification Authority; (5) have successfully
completed a training program and examination given by the local
classification office; and (6) be so designated in writing by SA-20
as described below.
d. Designation.
(1) Requests for Original Classification Authority must be
submitted to SA-20 in the format of Attachment X-1 or in any
other format that contains the same information.
(2) Individuals for whom Original Classification Authority is
requested must successfully complete a training program and
examination given by the local classification office and
receive official notification of approval by SA-20 prior to
assuming classification authority.
(3) When an individual assumes a position for which Original
Classification Authority has previously been granted, a
request for classification authority must be submitted to
SA-20 for approval in the format of Attachment X-1 or in any
other format that contains the same information. The
individual may not assume Original Classification Authority
until he or she has completed the requirements set forth in
paragraph (2) above, except that the appointing official may
waive those requirements if the individual has (a) met the
requirements within the last 3 years and (b) is transferring
to a similar programmatic position.
(4) Original Classification Authority may not be redelegated.
(5) Original Classification Authority is granted for a period of 3
years at which time the individual must be recertified by
passing an examination. SA-20 may grant a waiver for
Classification Officers.
(6) Past frequency of use of Original Classification Authority is
a factor in determining whether renewal of such authority is
needed by an individual. Such use includes the review of
information to determine whether it is or is not classified.
e. Cancellation.
(1) If the Head of a Departmental Element determines that an
individual's position no longer requires Original
Classification Authority, the Element Head will promptly
inform SA-20 using the format of Attachment X-2 or any other
format that contains the same information.
(2) When an individual with Original Classification Authority
vacates a position, the Head of the individual's Departmental
Element shall promptly inform SA-20 using the format of
Attachment X-2 or any other format that contains the same
information.
(3) If SA-20 determines that an individual no longer requires
Original Classification Authority, SA-20 shall advise the Head
of the individual's Departmental Element of such
determination, of the reason(s) therefor, and of the date on
which the authority will end.
f. Recordkeeping Requirements. SA-20 shall maintain a list of all
individuals with Original Classification Authority. This list
shall include (1) the level of the authority granted, (2) the name
and title of the individual granted the authority, (3) the
individual's Departmental Element, and (4) the effective date and
expiration date of the designation. In addition, each Departmental
Element shall maintain a similar list of all individuals with
Original Classification Authority within their jurisdiction.
g. Authority Definition. (See also Chapter X, Part C.) An individual
with Original Classification Authority may:
(1) Information.
(a) Originally classify NSI within the classifier's
programmatic jurisdiction at any classification level up
to and including the level (TS, S, C) of the classifier's
authority whenever classification guidance or relevant
source documents are not available. Such determinations
must be consistent with established DOE classification
policy. Original Classification Authority does not apply
to RD or FRD. See Chapter X, Part D, for a detailed
analysis regarding making an original classification
determination.
(b) Originally declassify or downgrade NSI from any
classification level up to and including the level (TS,
S, C) of the classifier's authority over which the
classifier has sole programmatic jurisdiction and which
the classifier, his or her predecessors, or their
subordinates originally classified, so long as such
action is consistent with DOE classification policy and
guidance. Original declassification or downgrading
authority does not apply to RD or FRD.
(2) Documents or Material.
(a) Derivatively classify documents or material within his or
her programmatic jurisdiction and which contain RD, FRD,
and/or NSI at any classification level up to and
including the level (TS, S, C) of the classifier's
authority. Such determinations shall be based on
classification guides authorized for the classifier's
use, on source documents, or on instruction from an
Original Classifier.
(b) Derivatively declassify or downgrade documents or
material (except formal reports) which the classifier,
his or her predecessors, or their subordinates originally
or derivatively classified from any classification level
up to and including the level (TS, S, C) of the
classifier's authority. Such determinations shall be
based on classification guides authorized for the
classifier's use. Derivative declassification or
downgrading authority is applicable to all documents
marked as containing any category of classified
information (RD, FRD, or NSI).
(3) Reporting Requirements. An Original Classifier shall report
all original classification determinations to SA-20 as soon as
possible using the format of Attachment X-3 or any other
format containing the same information. The originator of
this report will review it for classification; if the report
is not classified, it will be marked "Official Use Only."
5. DERIVATIVE CLASSIFICATION AUTHORITY.
a. Applicability. Individuals with Derivative Classification
Authority may classify documents or material that contain or reveal
RD, FRD, or NSI in accordance with classification guides authorized
for the classifier's use, source documents, or instructions from an
Original Classifier.
b. Qualifications. A Derivative Classifier must (1) have demonstrated
competence in the subject area in which the authority will be used;
(2) be knowledgeable in DOE classification policy and procedures
(especially with all classification guides in the subject area in
which the authority will be used); (3) be in a position with a
proven or anticipated need for Derivative Classification Authority;
(4) have successfully completed a training program and examination
given by the local classification office; and (5) be so designated
in writing by appropriate authority as described below.
c. Headquarters. SA-20 appoints all Derivative Classifiers within HQ
Elements, including contractors under the direct purview of a HQ
Element.
d. Field. Each Field Office will establish a system to appoint
Derivative Classifiers in the Field Elements and contractor
organizations under its purview.
e. Designation.
(1) Requests for Derivative Classification Authority must be
submitted to an appointing official in the format of
Attachment X-1 or in any other format containing the same
information.
(2) Individuals for whom Derivative Classification Authority is
requested must successfully complete a training program and
examination given by the local classification office and
receive official notification of approval from an appointing
official prior to assuming classification authority.
(3) When an individual assumes a position for which Derivative
Classification Authority has previously been granted, a
request for classification/declassification authority must be
submitted to the appointing official in the format of
Attachment X-1 or in any other format containing the same
information. The individual may not assume Derivative
Classification Authority until he or she has completed the
requirements given in paragraph (2) above, except that the
appointing official may waive those requirements if the
individual has (a) met the requirements within the last 3
years and (b) is transferring to a similar programmatic
position.
(4) Derivative Classification Authority may not be redelegated.
(5) Derivative Classification Authority is granted for a period of
3 years at which time the individual must be recertified by
passing an examination.
(6) Past frequency of use of Derivative Classification Authority
is a factor in determining whether renewal of such authority
is needed by an individual. Such use includes the review of
documents or material to determine whether they are or are not
classified.
f. Cancellation.
(1) If the Head of a Departmental Element or contractor
organization determines that an individual's position no
longer requires Derivative Classification Authority, the Head
of the Departmental Element or contractor organization will
promptly inform the appointing official (e.g., SA-20 for HQ)
using the format of Attachment X-2 or any other format that
contains the same information.
(2) When an individual with Derivative Classification Authority
vacates a position, the Head of the Departmental Element or
contractor organization will promptly inform the appointing
official using the format of Attachment X-2 or any other
format containing the same information.
(3) If the appointing official determines that an individual no
longer requires Derivative Classification Authority, the
appointing official shall advise the Head of the individual's
Departmental Element or contractor organization of such
determination, of the reason(s) therefor, and of the date on
which the authority will end.
g. Recordkeeping Requirements. Each appointing official shall
maintain a list of all individuals with Derivative Classification
Authority under his or her purview. This list shall include (1)
the level of the authority granted, (2) the name and title of the
individual granted the authority, (3) the individual's Departmental
Element or contractor organization, and (4) the effective date and
expiration date of the designation.
h. Reporting Requirements. Each Field Office shall report annually as
part of the annual statistical report for the ISOO the total number
of Derivative Classification Authorities, at each level, appointed
in Field Elements and contractor organizations under its purview.
i. Authority Definition. (See also Chapter X, Part C). An individual
with Derivative Classification Authority may derivatively classify
documents or material within his or her programmatic jurisdiction
and which contain RD, FRD, and/or NSI as defined in their letters
of appointment at any classification level up to and including the
level (TS, S, C) of the classifier's authority. Such
determinations shall be based on classification guides authorized
for the classifier's use, on classified source documents, or on
instructions from an Original Classifier. See Chapter X, Part E,
for a detailed analysis on making derivative classification
determinations. Derivative Classifiers do not have
declassification or downgrading authority.