INDEX
PART F - CLASSIFICATION STATUS OF
RESEARCH AND DEVELOPMENT ACTIVITIES
1. GENERAL.
a. To the greatest extent possible, DOE-sponsored research and
development (R&D) is kept unclassified to promote the free exchange
of information essential to the development of the Nation's
scientific and industrial capability. However, national security
interests dictate that certain information must be controlled by
classification. All DOE R&D activities must be reviewed prior to
the issuance of formal authorization to initiate work and
periodically thereafter to determine the nature and extent of any
classification requirements applicable to these activities.
b. This review requires an evaluation of the activity's potential for
generating or utilizing classified information. Based on this
evaluation, a classification status is designated for the activity,
and classification requirements are assigned according to this
designation (see paragraph 4).
c. To conduct the review (classification potential evaluation), an
activity is defined by specifying an R&D effort or a logical
grouping of identifiable R&D efforts (research grants, contracts,
cooperative agreements, etc.). These efforts comprise the activity
and are associated with one and only one activity. An activity is
redefined when one or more existing efforts are removed or new
efforts added. Each activity is assigned to Category I, II, or III
depending on its potential for using or generating classified
information (see page I-8, Chapter I, paragraph 2jjj).
2. AUTHORITIES FOR DESIGNATED CLASSIFICATION STATUS.
a. Defining Authority. The definition of an activity is the
responsibility of Heads of HQ Elements. These officials are
responsible for grouping all efforts under their programmatic
jurisdiction into activities. An activity may contain any number
of efforts; however, the same classification status may apply to
all efforts of the activity.
b. Designating Authority. Heads of HQ Elements are responsible for
the designation, subject to SA-20 approval, of the classification
status of all R&D work under their sponsorship. These officials
are also responsible for making any appointments as required by the
category designations (see paragraph 4).
c. Delegation. Authority for defining activities and/or designating
their classification status may be delegated by Heads of HQ
Elements to their DOE field organizations as appropriate. Efforts
may be grouped into activities according to common programmatic
themes, common field management responsibilities, or any other
logical structure, subject to the constraint that all efforts of an
activity may be similarly categorized.
3. PROCEDURAL REQUIREMENTS FOR EVALUATING CLASSIFICATION POTENTIAL AND
DESIGNATING CLASSIFICATION STATUS.
a. Evaluation Procedures. A logical series of questions leading to
the evaluation of an activity's classification potential is
presented in Part G of Chapter X. There are two bases for
classification of information (the Atomic Energy Act for RD or FRD
and Executive Order 12356 for NSI). Consequently, designating the
classification status of a DOE R&D activity requires merging two
different but parallel classification potential evaluations. The
steps involved in this procedure are also given in Part G of
Chapter X. Additional procedural guidance is available from SA-20.
b. Schedules. The classification status of an activity must be
evaluated (1) when it is initially defined, (2) whenever it is
redefined, and (3) periodically or no less than on an annual basis.
Any R&D covered by a grant, contract, or cooperative agreement to
be awarded by a DOE HQ or Field Element must be assigned to an
activity. The classification status of the activity must be
evaluated prior to any such award.
c. HQ Element Recordkeeping. HQ Elements shall maintain a record for
each activity under their jurisdiction (1) defining the activity in
terms of its elements; (2) listing the local classification offices
under whose purview the respective elements are being carried out;
(3) giving the classification status category and the date of
designation; (4) giving the name(s) and office(s) of the person(s)
designating the category; and (5) giving the name(s) and office(s)
of any individuals appointed to monitor the activity.
d. Field Coordination. HQ Elements shall effect the timely
dissemination of category determinations to field organizations
involved in each R&D element covered. Field organizations shall
submit promptly to sponsoring HQ Elements any questions as to the
need for evaluation or reevaluation of R&D work under their
purview.
e. Local Classification Office Recordkeeping. Local classification
offices shall maintain a record of all classification status
designations for efforts within an activity being carried out under
their purview. This record shall include: (1) the name of the
activity; (2) the name(s) and office(s) of the person(s) defining
the activity; (3) a listing of those efforts within the activity
which are under the purview of the local office; (4) the
classification status category and the date of designation; (5) the
name(s) and office(s) of the person(s) designating the category;
and (6) the name and office of any classification monitors
appointed for the activity.
4. APPOINTMENTS AND REVIEW REQUIREMENTS.
a. Appointments. Category III activities require the appointment of a
Classification Officer at each site (if one does not already exist)
participating in the activity (e.g., the overall contractor
classification officer) or special coordination with the
responsible HQ or local classification office. Category II
activities require that an authorized classifier be appointed to
monitor the activity. If any classified information is used or
generated by the activity, it is identified and appropriately
protected, and the activity is upgraded to Category III. If a
Category II activity is redefined to exclude the use or generation
of classified information, it should be reduced to Category I.
Category I activities do not have any appointment requirements.
b. Guides. Approved classification guides are required for Category
III activities. Guidance or benchmarks that trigger evaluations
are required for monitoring Category II activities.
c. Reviews. The classification status of all activities shall be
reviewed at least annually. Benchmark requirements for Category II
activities may necessitate more frequent reviews.
d. Changes in Status. The classification status of a Category III
activity may be downgraded (1) when it is formally determined that
the type of classified information originally associated with the
activity is no longer classified or (2) the activity is redefined
to exclude all elements which have a great potential to use or
generate classified information. The classification status of a
Category II activity may have to be upgraded or downgraded
according to the results of annual and benchmark triggered reviews.
Application to change classification status may be initiated by an
activity monitor, classification officer, or program office
personnel. Applications should be forwarded to the designating
office for decision via the local classification office, which may
endorse or comment on the application. Application to downgrade a
Category III activity must be reviewed by SA-20.
5. REPORTING REQUIREMENTS. Designating offices shall report all
classification status designations and the results of all required
reviews (annual and benchmark) of an activity's status to SA-20 and the
local DOE classification offices where the various R&D efforts are being
carried out. This report shall include the information described in
paragraph 3e, items 1 through 6.
6. LOCAL CLASSIFICATION OFFICE REVIEW. Local classification offices shall
periodically review all R&D under the purview of their field office to
assure each effort has received a classification category designation.
For any R&D effort that does not have a classification designation, a
report shall be submitted to SA-20 identifying the effort and the HQ
Element that supports it.