INDEX
TABLE OF CONTENTS
CHAPTER I - ABBREVIATIONS, ACRONYMS, AND DEFINITIONS Page
1. Abbreviations and Acronyms..................................I-1
2. Definitions.................................................I-2
a. Appointing Official....................................I-2
b. Authorized Classifier..................................I-2
(1) Original Classifier...............................I-2
(2) Derivative Classifier.............................I-2
c. Authorizing Official...................................I-2
d. Classification.........................................I-2
(1) Original Classification...........................I-2
(2) Derivative Classification.........................I-2
(a) Restricted Data or Formerly Restricted Data..I-2
(b) National Security Information................I-3
e. Classification Appraisal...............................I-3
f. Classification Authority...............................I-3
(1) Original Classification Authority.................I-3
(2) Derivative Classification Authority...............I-3
g. Classification Boards..................................I-3
h. Classification Category................................I-3
i. Classification Guidance System.........................I-3
j. Classification Guide...................................I-3
k. Classification Level...................................I-3
l. Classification/Security Markings.......................I-3
m. Classification Officer.................................I-3
(1) Department of Energy Classification Officer.......I-3
(2) Contractor Classification Officer.................I-4
n. Classification Policy..................................I-4
o. Classification Potential Categories....................I-4
(1) Category I........................................I-4
(2) Category II.......................................I-4
(3) Category III......................................I-4
p. Classified Document....................................I-4
q. Classified Information.................................I-4
r. Confidential...........................................I-4
s. Confidential Source....................................I-4
t. Contractor Classification Officer......................I-4
u. Contractor.............................................I-4
v. Declassification.......................................I-4
(1) Information.......................................I-4
(2) Documents or Material.............................I-4
w. Declassification Authority.............................I-5
x. Declassification Event.................................I-5
y. Declassified Document..................................I-5
z. Denying Official.......................................I-5
aa. Departmental Element...................................I-5
(1) Headquarters Element..............................I-5
(2) Field Element.....................................I-5
bb. Department of Energy Classification Officer............I-5
cc. Derivative Classification..............................I-5
dd. Derivative Classification Authority....................I-5
ee. Derivative Classifier..................................I-5
ff. Derivative Declassifier................................I-5
gg. Document...............................................I-5
hh. Downgrading............................................I-6
ii. Field Element..........................................I-6
jj. Foreign Government Information.........................I-6
kk. Formal Report..........................................I-6
ll. Formerly Restricted Data...............................I-6
mm. Government Agency......................................I-6
nn. Headquarters Classification Representative.............I-6
oo. Headquarters Element...................................I-6
pp. Information............................................I-6
qq. Information Security Oversight Office(ISOO)............I-7
rr. Local Classification Guide.............................I-7
ss. Mandatory Review.......................................I-7
tt. Material...............................................I-7
uu. National Security......................................I-7
vv. National Security Information..........................I-7
ww. Naval Nuclear Propulsion Information (NNPI)............I-7
xx. Need-to-Know...........................................I-7
yy. Non-DOE Funded Work....................................I-7
zz. Official Information...................................I-8
aaa. Official Use Only......................................I-8
bbb. Original Classification................................I-8
ccc. Original Classification Authority......................I-8
ddd. Original Classifier....................................I-8
eee. Policy Guide...........................................I-8
fff. Portion Marking........................................I-8
ggg. Program Classification Guide...........................I-8
hhh. Reclassification.......................................I-8
iii. Remarking..............................................I-8
jjj. Research and Development Activity Categories...........I-8
kkk. Responsible Reviewers..................................I-8
lll. Restricted.............................................I-9
mmm. Restricted Data........................................I-9
nnn. Sanitizing.............................................I-9
ooo. Secret.................................................I-9
ppp. Sensitive Compartmented Information....................I-9
qqq. Source Document........................................I-9
rrr. Subcontractor..........................................I-9
sss. Systematic Review......................................I-9
ttt. Systematic Review Guidelines...........................I-9
uuu. System Manager.........................................I-9
vvv. Technical Evaluation Panel.............................I-10
www. Top Secret.............................................I-10
xxx. Transclassification....................................I-10
yyy. Unclassified...........................................I-10
zzz. Unclassified Controlled Nuclear Information............I-10
aaaa. Upgrading..............................................I-10
bbbb. Visual Materials.......................................I-10
CHAPTER II - RESPONSIBILITIES AND AUTHORITIES
PART A - HEADQUARTERS...........................................II-1
1. Secretary...................................................II-1
2. Director of Security Affairs................................II-1
3. Director of Intelligence....................................II-1
4. Director of Classification..................................II-2
a. General Responsibilities and Authorities...............II-2
b. Responsibilities and Authorities Derived from
Executive Order 12356..................................II-4
5. Heads of Headquarters Elements..............................II-5
6. Headquarters Classification Representatives.................II-7
7. Department of Energy Employees..............................II-7
8. Director, Naval Nuclear Propulsion Program..................II-7
PART B - FIELD ELEMENTS AND CONTRACTOR ORGANIZATIONS............II-9
1. Heads of Field Elements.....................................II-9
2. Field Element and Contractor Classification Officers........II-11
3. Responsible Reviewers.......................................II-12
4. Field Element and Contractor Employees......................II-12
PART C - QUALIFICATIONS AND APPOINTMENTS........................II-13
1. Authorized Classifiers......................................II-13
2. Authorized Declassifiers....................................II-13
3. Classification Officers (Field Element and Contractor)......II-13
a. Qualifications.........................................II-13
b. Appointment............................................II-13
4. Headquarters Classification Representatives.................II-13
a. Qualifications.........................................II-13
b. Appointment............................................II-13
5. Responsible Reviewers.......................................II-13
a. Qualifications.........................................II-13
b. Appointment............................................II-13
CHAPTER III - POLICY AND OBJECTIVES
1. General.....................................................III-1
2. Restricted Data and Formerly Restricted Data................III-1
3. National Security Information...............................III-1
4. Limitations on Classification of National Security
Information.................................................III-2
5. Classification of Documents Received from Foreign Governments
or International Organizations..............................III-2
6. Challenges to Classification................................III-3
CHAPTER IV - CLASSIFICATION CRITERIA AND LEVELS
PART A - CRITERIA FOR CLASSIFICATION............................IV-1
1. Restricted Data and Formerly Restricted Data................IV-1
2. National Security Information...............................IV-1
a. Criteria for Classification............................IV-1
b. Unofficial Publication or Inadvertent or Unauthorized
Disclosure.............................................IV-2
PART B - LEVEL OF CLASSIFICATION................................IV-3
1. Classification Levels.......................................IV-3
a. Top Secret.............................................IV-3
b. Secret.................................................IV-3
c. Confidential...........................................IV-3
2. Use of the Term "Unclassified"..............................IV-3
3. Mosaic Compilation..........................................IV-3
CHAPTER V - CLASSIFICATION OF INFORMATION AND DOCUMENTS
PART A - CLASSIFICATION AUTHORITIES.............................V-1
1. General.....................................................V-1
2. Types of Classification Authority...........................V-1
a. Original Classification Authority......................V-1
b. Derivative Classification Authority....................V-1
3. Exceptions..................................................V-1
a. Temporary Classification...............................V-1
b. Freedom of Information Act or Privacy Act Requests.....V-1
4. Original Classification Authority...........................V-2
a. Restricted Data and Formerly Restricted Data...........V-2
b. National Security Information..........................V-2
c. Qualifications.........................................V-2
d. Designation............................................V-2
e. Cancellation...........................................V-3
f. Recordkeeping Requirements.............................V-3
g. Authority Definition...................................V-3
(1) Information.......................................V-3
(2) Documents or Material.............................V-4
(3) Reporting Requirements............................V-4
5. Derivative Classification Authority.........................V-4
a. Applicability..........................................V-4
b. Qualifications.........................................V-4
c. Headquarters...........................................V-4
d. Field..................................................V-4
e. Designation............................................V-5
f. Cancellation...........................................V-5
g. Recordkeeping Requirements.............................V-6
h. Reporting Requirements.................................V-6
i. Authority Definition...................................V-6
PART B - CLASSIFICATION GUIDANCE................................V-7
1. Types of Classification Guidance............................V-7
a. CG-C-2, "Classification Policy Guide"..................V-7
(1) Originator/Source of Authority....................V-7
(2) Purpose...........................................V-7
(3) Users.............................................V-7
b. "Guide to the Declassified Areas of Nuclear Energy
Research"..............................................V-7
(1) Originator/Source of Authority....................V-7
(2) Purpose...........................................V-7
(3) Users.............................................V-7
c. Program/Topical Classification Guides..................V-7
(1) Originator/Source of Authority....................V-7
(2) Purpose...........................................V-8
(3) Users.............................................V-8
d. Classification Bulletins...............................V-8
(1) Originator/Source of Authority....................V-8
(2) Purpose...........................................V-8
(3) Users.............................................V-8
e. Local Classification Guides............................V-8
(1) Originator/Source of Authority....................V-8
(2) Purpose...........................................V-8
(3) Users.............................................V-9
2. Use of Program and Local Classification Guides..............V-9
a. General................................................V-9
b. Classification Level/Category..........................V-9
c. Duration of Classification.............................V-9
d. Other Information......................................V-9
3. Conversion of Declassification and Review Dates.............V-9
4. Requirement for Periodic Review of Classification Guides....V-9
5. Classification Guide List Review............................V-10
6. Distribution of Local Guides to Director of Classification..V-10
7. Index of Classification Guides..............................V-10
8. Classification Guidance for Non-DOE-Funded Work.............V-10
9. Classification Guidance for Jointly Funded Work.............V-11
10. Classification Guidance for DOE-Funded Work at Non-DOE
Facilities..................................................V-11
PART C - CLASSIFICATION/SECURITY MARKINGS.......................V-13
1. General.....................................................V-13
2. Classification Authority....................................V-13
a. Restricted Data or Formerly Restricted Data............V-13
b. National Security Information Only.....................V-14
(1) Originally Classified.............................V-14
(2) Derivatively Classified...........................V-14
(3) More Than One Classification Source...............V-14
3. Duration of Classification..................................V-14
a. Restricted Data or Formerly Restricted Data............V-14
b. National Security Information Only.....................V-14
(1) Originally Classified.............................V-15
(2) Derivatively Classified...........................V-15
4. Obsolete Markings...........................................V-16
a. Restricted.............................................V-16
b. Official Use Only......................................V-16
5. Portion Marking.............................................V-16
6. Sanitized Documents and Extracts............................V-17
7. Mosaic Compilation..........................................V-17
PART D - UPGRADING..............................................V-19
1. Authority to Upgrade the Classification of Information and
Documents...................................................V-19
a. Information............................................V-19
(1) Restricted Data and Formerly Restricted Data......V-19
(2) National Security Information.....................V-19
b. Documents or Material..................................V-19
2. Procedures for Upgrading the Classification of Information
and Documents...............................................V-19
a. Notification of Upgrading..............................V-19
(1) Information.......................................V-19
(2) Documents or Material.............................V-19
(a) Content of Notices...........................V-19
(b) Formal Reports...............................V-20
(c) Forwarding of Notices........................V-20
b. Marking of Upgraded Documents..........................V-20
PART E - RECLASSIFICATION.......................................V-21
1. Authority to Reclassify Information and Documents...........V-21
a. Information............................................V-21
(1) Restricted Data and Formerly Restricted Data......V-21
(2) National Security Information.....................V-21
b. Documents or Material..................................V-21
2. Procedures for Reclassifying Information and Documents......V-21
a. Notification of Reclassification.......................V-21
(1) Information.......................................V-21
(2) Documents or Material.............................V-21
(a) Content of Notices...........................V-21
(b) Forwarding of Notices........................V-22
b. Marking of Reclassified Documents......................V-22
PART F - CLASSIFICATION STATUS OF RESEARCH AND DEVELOPMENT
ACTIVITIES.............................................V-23
1. General.....................................................V-23
2. Authorities for Designated Classification Status............V-23
a. Defining Authority.....................................V-23
b. Designating Authority..................................V-23
c. Delegation.............................................V-23
3. Procedural Requirements for Evaluating Classification
Potential and Designating Classification Status.............V-24
a. Evaluation Procedures..................................V-24
b. Schedules..............................................V-24
c. HQ Element Recordkeeping...............................V-24
d. Field Coordination.....................................V-24
e. Local Classification Office Recordkeeping..............V-24
4. Appointments and Review Requirements........................V-24
a. Appointments...........................................V-24
b. Guides.................................................V-25
c. Reviews................................................V-25
d. Changes in Status......................................V-25
5. Reporting Requirements......................................V-25
6. Local Classification Office Review..........................V-25
PART G - CLASSIFICATION REVIEW OF NEWLY GENERATED DOCUMENTS.....V-27
1. General.....................................................V-27
2. Documents Originated by Departmental Elements or Departmental
Contractor Personnel........................................V-27
a. Documents That Concern Category I Activities...........V-27
b. Documents That Concern Category II or Category III
Activities.............................................V-27
c. Documents Intended For Widespread Distribution or
Public Release.........................................V-28
d. Oral Presentations.....................................V-28
3. Documents Originated by Other than Departmental Elements or
Departmental Contractor Personnel...........................V-28
a. Documents Written by Persons with Active Security
Clearances.............................................V-28
b. Documents Written by Persons Who Have Had But No Longer
Have a Security Clearance..............................V-28
c. Documents Originated by Persons Who Never Had a
Security Clearance.....................................V-28
4. Review of Documents (Patent Applications and Reports)
Referred Under Section 151 of the Atomic Energy Act.........V-28
5. Waiver of Review Requirements...............................V-29
CHAPTER VI - DECLASSIFICATION AND DOWNGRADING
PART A - AUTHORITY FOR DECLASSIFICATION AND DOWNGRADING.........VI-1
1. Information.................................................VI-1
a. Restricted Data and Formerly Restricted Data...........VI-1
(1) Authority.........................................VI-1
(2) Information Declassification Procedures...........VI-1
b. National Security Information..........................VI-1
2. Documents or Material.......................................VI-1
a. General................................................VI-1
b. Derivative Declassification Authority..................VI-1
(1) Qualifications....................................VI-1
(2) Designation.......................................VI-2
(3) Cancellation......................................VI-2
(4) Recordkeeping Requirements........................VI-3
(5) Authority Definition..............................VI-3
PART B - AUTOMATIC DECLASSIFICATION AND DOWNGRADING.............VI-5
1. Restricted Data and Formerly Restricted Data................VI-5
2. National Security Information...............................VI-5
a. Documents Classified Pursuant to Executive Order 10290.VI-5
b. Documents Classified Pursuant to Executive Order 10501
(as amended by Executive Order 10964)..................VI-5
(1) Groups I and 2....................................VI-5
(2) Group 3...........................................VI-5
(3) Group 4...........................................VI-5
c. Documents Classified Pursuant to Executive Order
11652..................................................VI-5
(1) Advanced Declassification Schedule................VI-5
(2) General Declassification Schedule.................VI-5
(3) Documents Marked as Exempt from the General
Declassification Schedule.........................VI-5
d. Documents Classified Pursuant to Executive Order
12065..................................................VI-5
e. Documents Classified Pursuant to Executive Order
12356..................................................VI-6
PART C - REVIEW OF DOCUMENTS FOR DECLASSIFICATION OR
DOWNGRADING............................................VI-7
1. General.....................................................VI-7
2. Review by Derivative Declassifiers..........................VI-8
3. Review by Original Classifiers..............................VI-8
4. Large-Scale Reviews.........................................VI-8
5. Patent Application Review...................................VI-10
6. Reviews Pursuant to Executive Order or Statute..............VI-10
a. Executive Order 12356..................................VI-10
(1) Mandatory Review for Declassification.............VI-10
(a) Conditions for Request.......................VI-10
(b) Invalid Requests.............................VI-11
(c) Valid Requests...............................VI-11
(d) Appeals of Denials of Mandatory
Declassification Review Requests.............VI-12
(2) Systematic Review by the Archivist of the United
States............................................VI-12
(a) Systematic Review Guidelines.................VI-12
(b) Assistance to the Archivist..................VI-12
(c) Internal Systematic Review Programs..........VI-12
b. Freedom of Information Act.............................VI-13
(1) Denial Authority..................................VI-13
(2) Review............................................VI-13
(3) Appeals of Denials of Requests Pursuant to FOIAs..VI-13
(a) Authority....................................VI-13
(b) Analytical Support...........................VI-13
(4) Foreign Government Information....................VI-13
c. Privacy Act of 1974....................................VI-13
(1) Review............................................VI-13
(2) Appeals of Denials of Requests Pursuant to the
Privacy Act.......................................VI-13
d. Confirmation of Existence of Requested Documents.......VI-14
7. Other Reviews by the Office of Classification...............VI-14
a. Centralized Categorical Reviews........................VI-14
b. Priority Reviews.......................................VI-14
c. Reviews Upon Termination of Employment.................VI-14
8. Departmental and Contractor Review Responsibility...........VI-14
a. Originating Departmental Element or Contractor
Organization...........................................VI-14
b. Departmental Element or Contractor Organization with
Programmatic Interest in a Document....................VI-14
c. Director of Classification.............................VI-14
d. External Coordination..................................VI-15
9. Reproduction for Declassification Review....................VI-15
PART D - NOTIFICATION OF DECLASSIFICATION OR DOWNGRADING........VI-17
1. General.....................................................VI-17
a. Top Secret Documents...................................VI-17
b. Secret and Confidential Documents......................VI-17
c. Documents Sent to the Office of Scientific and
Technical Information..................................VI-17
d. Forwarding of Notices..................................VI-17
2. Declassification Notices....................................VI-17
PART E - RE-MARKING DECLASSIFIED OR DOWNGRADED DOCUMENTS........VI-19
1. General.....................................................VI-19
2. Removal or Cancellation of Classification Markings from
Documents...................................................VI-19
3. Automatic Declassification..................................VI-19
CHAPTER VII - EDUCATION
1. Objective....................................................VII-1
2. Education Programs...........................................VII-1
a. Initial Classification Education.......................VII-1
b. Continuing Education...................................VII-1
c. Classifier or Declassifier Training and Certification..VII-1
d. Special Briefings......................................VII-2
3. Other Classification Education Methods......................VII-2
4. Private Organizations and Individuals.......................VII-2
CHAPTER VIII - CLASSIFICATION APPRAISALS
1. Policy......................................................VIII-1
2. Objectives..................................................VIII-1
3. Standards and Procedures....................................VIII-1
a. Appraisal Guidance and Instructions....................VIII-1
b. Scope of Appraisals....................................VIII-1
(1) Management Awareness..............................VIII-1
(2) Management Support................................VIII-1
(3) Practices.........................................VIII-2
(4) Classification Guidance...........................VIII-2
(5) Education Program.................................VIII-2
(6) Classification Board..............................VIII-2
(7) Classifying and Declassifying Officials...........VIII-2
(8) Declassification..................................VIII-2
(9) Appraisals........................................VIII-2
(10) Other Classifying Organizations...................VIII-2
(11) Non-nuclear Programs..............................VIII-2
c. Frequency of Appraisals................................VIII-2
d. Visits.................................................VIII-3
e. Appraisal Reports......................................VIII-3
f. Followup...............................................VIII-4
CHAPTER IX - VIOLATIONS AND INFRACTIONS
1. Violations..................................................IX-1
a. Atomic Energy Act of 1954, as amended..................IX-1
b. Executive Order 12356..................................IX-1
2. Infractions.................................................IX-2
3. Reporting Requirements......................................IX-2
a. Incidents of Significant Security Concern..............IX-2
b. Other Violations and Infractions of Security Concern...IX-2
4. Corrective Actions..........................................IX-2
CHAPTER X - REFERENCES AND OPERATING PROCEDURES
PART A - ATOMIC ENERGY ACT EXCERPTS.............................X-1
1. General.....................................................X-1
2. Declassification and Transclassification....................X-1
PART B - EXECUTIVE ORDER 12356 AND DIRECTIVE NO. 1..............X-3
1. Executive Order 12356.......................................X-3
2. 32 CFR Part 2001 (Directive No. 1)..........................X-15
PART C - SUMMARY OF SPECIFIC POWERS OF CLASSIFIERS AND
DECLASSIFIERS..........................................X-23
Figure X-1 - Powers of Classification/Declassification
Authorities........................................X-23
PART D - ORIGINAL CLASSIFICATION OF NATIONAL SECURITY
INFORMATION............................................X-25
1. Authority...................................................X-25
2. Procedures..................................................X-25
3. Reporting Requirements......................................X-27
Figure X-2 - Original Classification of National Security
Information........................................X-28
PART E - DERIVATIVE CLASSIFICATION DETERMINATIONS...............X-29
1. Authority...................................................X-29
2. Procedures..................................................X-29
Figure X-3 - Derivative Classification of Document or Material..X-32
PART F - DURATION OF CLASSIFICATION CONVERSION TABLE............X-33
Figure X-4 - Duration of Classification Conversion Table........X-33
PART G - DETERMINATION OF THE CLASSIFICATION OF DOE RESEARCH
AND DEVELOPMENT ACTIVITIES.............................X-35
1. Restricted Data/Formerly Restricted Data....................X-35
2. National Security Information...............................X-36
3. Determination of Program Classification Status Category.....X-37
Figure X-5 - R&D Activity Classification Status
Step 1 - Restricted Data/Formerly Restricted Data...........X-38
Figure X-6 - R&D Activity Classification Status
Step 2 - National Security Information......................X-39
Figure X-7 - R&D Activity Classification Status
Step 3 - Determination of Classification Status Category....X-40
ATTACHMENT X-1 - Request for Classification/Declassification
Authority ............................................Attachment X-1
ATTACHMENT X-2 - Notification of Cancellation(s) of
Classification/Declassification Authority.............Attachment X-2
ATTACHMENT X-3 - Report of Original Classification
Determination.........................................Attachment X-3
ATTACHMENT X-4 - Index................................Attachment X-4