32 CFR Parts 2001 and 2003 Classified National Security Information; Final Rule
Classified National Security Information
AGENCY: Information Security Oversight Office (ISOO), National Archives
and Records Administration (NARA).
ACTION: Implementing directive; final rule.
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SUMMARY: The Information Security Oversight Office (ISOO), National
Archives and Records Administration (NARA), is publishing this
Directive as a final rule and pursuant to Executive Order 13526
(hereafter the Order), relating to classified national security
information. The Executive order prescribes a uniform system for
classifying, safeguarding, and declassifying national security
information. It also establishes a monitoring system to enhance its
effectiveness. This Directive sets forth guidance to agencies on
original and derivative classification, downgrading, declassification,
and safeguarding of classified national security information.
DATES: Effective Date: June 25, 2010.
FOR FURTHER INFORMATION CONTACT: William J. Bosanko, Director,
Information Security Oversight Office, at 202-357-5250.
SUPPLEMENTARY INFORMATION: This final rule is issued pursuant to the
provisions of 5.1(a) and (b) of Executive Order 13526, issued December
29, 2009, and published January 5, 2010 (75 FR 707), and amends 32 CFR
part 2001 published on September 22, 2003 (68 FR 55168). The purpose of
this Directive is to assist in implementing the Order; users of the
Directive shall refer concurrently to that Order for guidance. As of
November 17, 1995, ISOO became a part of the National Archives. The
Archivist of the United States (the Archivist) delegated the
implementation and monitoring functions of this program to the Director
of ISOO. The drafting, coordination, and issuance of this Directive
fulfills one of the responsibilities of the implementation delegated to
the Director of ISOO.
This rule is being issued as a final rule without prior notice of
proposed rulemaking as allowed by the Administrative Procedure Act, 5
U.S.C. 553(b)(3)(A) for rules of agency procedure and interpretation.
The interpretive guidance contained in this rule will assist agencies
in implementing Executive Order 13526, which was issued on December 29,
2009. NARA has also determined that delaying the effective date for 30
days is unnecessary as this rule updates the existing Directive
implementing Executive Order 12958, as amended. Moreover, since
Executive Order 13526 becomes effective on June 27, 2010, Federal
agencies will benefit immediately by having up-to-date ISOO guidance,
and any delay in the effective date would hinder agency procedure and
be contrary to the public interest.
Regulatory Impact
This rule is not a significant regulatory action for the purposes
of Executive Order 12866. This rule is not a major rule as defined in 5
U.S.C. Chapter 8, Congressional Review of Agency Rulemaking. As
required by the Regulatory Flexibility Act, we certify that this rule
will not have a significant impact on a substantial number of small
entities because it applies only to Federal agencies.
List of Subjects in 32 CFR Parts 2001 and 2003
Archives and records, Authority delegations (Government agencies),
Classified information, Executive orders, Freedom of Information,
Information, Intelligence, National defense, National security
information, Presidential documents, Security information, Security
measures, Standard Forms.
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For the reasons set forth in the preamble, the Information Security
Oversight Office, NARA, is amending 32 CFR Chapter XX as follows:
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1. Title 32 of the Code of Federal Regulations, part 2001, is revised
to read as follows:
PART 2001--CLASSIFIED NATIONAL SECURITY INFORMATION
Subpart A--Scope of Part
Sec.
2001.1 Purpose and scope.
Subpart B--Classification
2001.10 Classification standards.
2001.11 Original classification authority.
2001.12 Duration of classification.
2001.13 Classification prohibitions and limitations.
2001.14 Classification challenges.
2001.15 Classification guides.
2001.16 Fundamental classification guidance review.
Subpart C--Identification and Markings
2001.20 General.
2001.21 Original classification.
2001.22 Derivative classification.
2001.23 Classification marking in the electronic environment.
2001.24 Additional requirements.
2001.25 Declassification markings.
2001.26 Automatic declassification exemption markings.
Subpart D--Declassification
2001.30 Automatic declassification.
2001.31 Systematic declassification review.
2001.32 Declassification guides.
2001.33 Mandatory review for declassification.
2001.34 Referrals.
2001.35 Discretionary declassification.
2001.36 Classified information in the custody of private
organizations or individuals.
2001.37 Assistance to the Department of State.
Subpart E--Safeguarding
2001.40 General.
2001.41 Responsibilities of holders.
2001.42 Standards for security equipment.
2001.43 Storage.
2001.44 Reciprocity of use and inspection of facilities.
2001.45 Information controls.
2001.46 Transmission.
2001.47 Destruction.
2001.48 Loss, possible compromise, or unauthorized disclosure.
2001.49 Special access programs.
2001.50 Telecommunications, automated information systems, and
network security.
2001.51 Technical security.
2001.52 Emergency authority.
2001.53 Open storage areas.
2001.54 Foreign government information.
2001.55 Foreign disclosure of classified information.
Subpart F--Self-Inspections
2001.60 General.
Subpart G--Security Education and Training
2001.70 General.
2001.71 Coverage.
Subpart H--Standard Forms
2001.80 Prescribed standard forms.
Subpart I--Reporting and Definitions
2001.90 Agency annual reporting requirements.
2001.91 Other agency reporting requirements.
2001.92 Definitions.
Authority: Sections 5.1(a) and (b), E.O. 13526, (75 FR 707,
January 5, 2010).
Subpart A--Scope of Part
Sec. 2001.1 Purpose and scope.
(a) This part is issued under Executive Order. (E.O.) 13526,
Classified National Security Information (the Order). Section 5 of the
Order provides that the Director of the Information Security Oversight
Office (ISOO) shall develop and issue such directives as are necessary
to implement the Order.
[Page 37255]
(b) The Order provides that these directives are binding on
agencies. Section 6.1(a) of the Order defines ``agency'' to mean any
``Executive agency'' as defined in 5 U.S.C. 105; any ``Military
department'' as defined in 5 U.S.C. 102; and any other entity within
the executive branch that comes into the possession of classified
information.
(c) For the convenience of the user, the following table provides
references between the sections contained in this part and the relevant
sections of the Order.
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CFR section
Related section of E.O. 13526
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2001.10 Classification standards......... 1.1, 1.4
2001.11 Original classification authority 1.3
2001.12 Duration of classification....... 1.5
2001.13 Classification prohibitions and 1.7
limitations.
2001.14 Classification challenges........ 1.8
2001.15 Classification guides............ 2.2
2001.16 Fundamental classification 1.9
guidance review.
2001.20 General.......................... 1.6
2001.21 Original classification.......... 1.6(a)
2001.22 Derivative classification........ 2.1
2001.23 Classification marking in the 1.6
electronic environment.
2001.24 Additional requirements.......... 1.6
2001.25 Declassification markings........ 1.5, 1.6, 3.3
2001.26 Automatic declassification 3.3
exemption markings.
2001.30 Automatic declassification....... 3.3, 3.7
2001.31 Systematic declassification 3.4
review.
2001.32 Declassification guides.......... 3.3, 3.7
2001.33 Mandatory review for 3.5, 3.6
declassification.
2001.34 Referrals........................ 3.3, 3.6, 3.7
2001.35 Discretionary declassification... 3.1
2001.36 Classified information in the none
custody of private organizations or
individuals.
2001.37 Assistance to the Department of none
State.
2001.40 General.......................... 4.1
2001.41 Responsibilities of holders...... 4.1
2001.42 Standards for security equipment. 4.1
2001.43 Storage.......................... 4.1
2001.44 Reciprocity of use and inspection 4.1
of facilities.
2001.45 Information controls............. 4.1, 4.2
2001.46 Transmission..................... 4.1, 4.2
2001.47 Destruction...................... 4.1, 4.2
2001.48 Loss, possible compromise, or 4.1, 4.2
unauthorized disclosure.
2001.49 Special access programs.......... 4.3
2001.50 Telecommunications, automated 4.1, 4.2
information systems, and network
security.
2001.51 Technical security............... 4.1
2001.52 Emergency authority.............. 4.2
2001.53 Open storage areas............... 4.1
2001.54 Foreign government information... 4.1
2001.55 Foreign disclosure of classified 4.1(i)(2)
information.
2001.60 Self-Inspections, General........ 5.4
2001.70 Security Education and Training, 5.4
General.
2001.71 Coverage...................1.3(d), 2.1(d), 3.7(b), 4.1(b), 5.4(d)(3)
2001.80 Prescribed standard forms.. 5.2(b)(7)
2001.90 Agency annual reporting 1.3(c), 5.2(b)(4), 5.4(d)(4), 5.4(d)(8)
requirements.
2001.91 Other agency reporting 1.3(d), 1.7(c)(3), 1.9(d), 2.1(d), 5.5
requirements.
2001.92 Definitions...................... 6.1
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Subpart B--Classification
Sec. 2001.10 Classification standards.
Identifying or describing damage to the national security. Section
1.1(a) of the Order specifies the conditions that must be met when
making classification decisions. Section 1.4 specifies that information
shall not be considered for classification unless its unauthorized
disclosure could reasonably be expected to cause identifiable or
describable damage to the national security. There is no requirement,
at the time of the decision, for the original classification authority
to prepare a written description of such damage. However, the original
classification authority must be able to support the decision in
writing, including identifying or describing the damage, should the
classification decision become the subject of a challenge or access
demand pursuant to the Order or law.
Sec. 2001.11 Original classification authority.
(a) General. Agencies shall establish a training program for
original classifiers in accordance with subpart G of this part.
(b) Requests for original classification authority. Agencies not
possessing such authority shall forward requests to the Director of
ISOO. The agency head must make the request and shall provide a
specific justification of the need for this authority. The Director of
ISOO shall forward the request, along with the Director's
recommendation, to the President through the National Security Advisor
within 30 days. Agencies wishing to increase their assigned level of
original classification authority shall forward requests in accordance
with the procedures of this paragraph.
(c) Reporting delegations of original classification authority. All
delegations of original classification authority shall be reported to
the Director of ISOO. This can be accomplished by an initial submission
followed by updates on a frequency determined by the senior agency
official, but at least annually.
[Page 37256]
Sec. 2001.12 Duration of classification.
(a) Determining duration of classification for information
originally classified under the Order--(1) Establishing duration of
classification. Except for information that should clearly and
demonstrably be expected to reveal the identity of a confidential human
source or a human intelligence source or key design concepts of weapons
of mass destruction, an original classification authority shall follow
the sequence listed in paragraphs (a)(1)(i), (ii), and (iii) of this
section when determining the duration of classification for information
originally classified under this Order.
(i) The original classification authority shall attempt to
determine a date or event that is less than 10 years from the date of
original classification and which coincides with the lapse of the
information's national security sensitivity, and shall assign such date
or event as the declassification instruction.
(ii) If unable to determine a date or event of less than 10 years,
the original classification authority shall ordinarily assign a
declassification date that is 10 years from the date of the original
classification decision.
(iii) If unable to determine a date or event of 10 years, the
original classification authority shall assign a declassification date
not to exceed 25 years from the date of the original classification
decision.
(2) Duration of classification of special categories of
information. The only exceptions to the sequence in paragraph (a)(1) of
this section are as follows:
(i) If an original classification authority is classifying
information that should clearly and demonstrably be expected to reveal
the identity of a confidential human source or a human intelligence
source, the duration shall be up to 75 years and shall be designated
with the following marking, ``50X1-HUM;'' or
(ii) If an original classification authority is classifying
information that should clearly and demonstrably be expected to reveal
key design concepts of weapons of mass destruction, the duration shall
be up to 75 years and shall be designated with the following marking,
``50X2-WMD.''
(b) Extending duration of classification for information classified
under the Order. Extensions of classification are not automatic. If an
original classification authority with jurisdiction over the
information does not extend the classification of information assigned
a date or event for declassification, the information is automatically
declassified upon the occurrence of the date or event.
(1) If the date or event assigned by the original classification
authority has not passed, an original classification authority with
jurisdiction over the information may extend the classification
duration of such information for a period not to exceed 25 years from
the date of origin of the record.
(2) If the date or event assigned by the original classification
authority has passed, an original classification authority with
jurisdiction over the information may reclassify the information in
accordance with the Order and this Directive only if it meets the
standards for classification under sections 1.1 and 1.5 of the Order as
well as section 3.3 of the Order, if appropriate.
(3) In all cases, when extending the duration of classification,
the original classification authority must:
(i) Be an original classification authority with jurisdiction over
the information;
(ii) Ensure that the information continues to meet the standards
for classification under the Order; and
(iii) Make reasonable attempts to notify all known holders of the
information.
(c) Duration of information classified under prior orders--(1)
Specific date or event. Unless declassified earlier, information marked
with a specific date or event for declassification under a prior order
is automatically declassified upon that date or event. If the specific
date or event has not passed, an original classification authority with
jurisdiction over the information may extend the duration in accordance
with the requirements of paragraph (b) of this section. If the date or
event assigned by the original classification authority has passed, an
original classification authority with jurisdiction over the
information may only reclassify information in accordance with the
standards and procedures under the Order and this Directive. If the
information is contained in records determined to be permanently
valuable, and the prescribed date or event will take place more than 25
years from the date of origin of the document, the declassification of
the information will instead be subject to section 3.3 of the Order.
(2) Indefinite duration of classification. For information marked
with X1, X2, X3, X4, X5, X6, X7, or X8; ``Originating Agency's
Determination Required'' or its acronym ``OADR,'' ``Manual Review'' or
its acronym ``MR;'' ``DCI Only;'' ``DNI Only;'' and any other marking
indicating an indefinite duration of classification under a prior
order; or in those cases where a document is missing a required
declassification instruction or the instruction is not complete:
(i) A declassification authority, as defined in section 3.1(b) of
the Order, may declassify it;
(ii) An original classification authority with jurisdiction over
the information may re-mark the information to establish a duration of
classification of no more than 25 years from the date of origin of the
document, consistent with the requirements for information originally
classified under the Order, as provided in paragraph (a) of this
section; or
(iii) Unless declassified earlier, such information contained in
records determined to be permanently valuable shall remain classified
for 25 years from the date of its origin, at which time it will be
subject to section 3.3 of the Order.
(3) Release of imagery acquired by space-based intelligence
reconnaissance systems. The duration of classification of imagery as
defined in E.O. 12951, Release of Imagery Acquired by Space-Based
Intelligence Reconnaissance Systems, that is otherwise marked with an
indefinite duration, such as ``DCI Only'' or ``DNI Only,'' shall be
established by the Director of National Intelligence in accordance with
E.O. 12951 and consistent with E.O. 13526. Any such information shall
be remarked in accordance with instructions prescribed by the Director
of National Intelligence.
Sec. 2001.13 Classification prohibitions and limitations.
(a) Declassification without proper authority. Classified
information that has been declassified without proper authority, as
determined by an original classification authority with jurisdiction
over the information, remains classified and administrative action
shall be taken to restore markings and controls, as appropriate. All
such determinations shall be reported to the senior agency official who
shall promptly provide a written report to the Director of ISOO.
(1) If the information at issue is in records in the physical and
legal custody of the National Archives and Records Administration
(NARA) and has been made available to the public, the original
classification authority with jurisdiction over the information shall,
as part of determining whether the restoration of markings and controls
is appropriate, consider whether the removal of the information from
public purview will significantly mitigate the
[Page 37257]
harm to national security or otherwise draw undue attention to the
information at issue. Written notification, classified when appropriate
under the Order, shall be made to the Archivist, which shall include a
description of the record(s) at issue, the elements of information that
are classified, the duration of classification, and the specific
authority for continued classification. If the information at issue is
more than 25 years of age and the Archivist does not agree with the
decision, the information shall nonetheless be temporarily withdrawn
from public access and shall be referred to the Director of ISOO for
resolution in collaboration with affected parties.
(b) Reclassification after declassification and release to the
public under proper authority. In making the decision to reclassify
information that has been declassified and released to the public under
proper authority, the agency head must approve, in writing, a
determination on a document-by-document basis that the reclassification
is required to prevent significant and demonstrable damage to the
national security. As part of making such a determination, the
following shall apply:
(1) The information must be reasonably recoverable without bringing
undue attention to the information which means that:
(i) Most individual recipients or holders are known and can be
contacted and all instances of the information to be reclassified will
not be more widely disseminated;
(ii) If the information has been made available to the public via a
means such as Government archives or reading room, consideration is
given to length of time the record has been available to the public,
the extent to which the record has been accessed for research, and the
extent to which the record and/or classified information at issue has
been copied, referenced, or publicized; and
(iii) If the information has been made available to the public via
electronic means such as the internet, consideration is given as to the
number of times the information was accessed, the form of access, and
whether the information at issue has been copied, referenced, or
publicized.
(2) If the reclassification concerns a record in the physical
custody of NARA and has been available for public use, reclassification
requires notification to the Archivist and approval by the Director of
ISOO.
(3) Any recipients or holders of the reclassified information who
have current security clearances shall be appropriately briefed about
their continuing legal obligations and responsibilities to protect this
information from unauthorized disclosure. The recipients or holders who
do not have security clearances shall, to the extent practicable, be
appropriately briefed about the reclassification of the information
that they have had access to, their obligation not to disclose the
information, and be requested to sign an acknowledgement of this
briefing.
(4) The reclassified information must be appropriately marked in
accordance with section 2001.24(l) and safeguarded. The markings should
include the authority for and the date of the reclassification action.
(5) Once the reclassification action has occurred, it must be
reported to the National Security Advisor and to the Director of ISOO
by the agency head or senior agency official within 30 days. The
notification must include details concerning paragraphs (b)(1) and (3)
of this section.
(c) Classification by compilation. A determination that information
is classified through the compilation of unclassified information is a
derivative classification action based upon existing original
classification guidance. If the compilation of unclassified information
reveals a new aspect of information that meets the criteria for
classification, it shall be referred to an original classification
authority with jurisdiction over the information to make an original
classification decision.
Sec. 2001.14 Classification challenges.
(a) Challenging classification. Authorized holders, including
authorized holders outside the classifying agency, who want to
challenge the classification status of information shall present such
challenges to an original classification authority with jurisdiction
over the information. An authorized holder is any individual who has
been granted access to specific classified information in accordance
with the provisions of the Order to include the special conditions set
forth in section 4.1(h) of the Order. A formal challenge under this
provision must be in writing, but need not be any more specific than to
question why information is or is not classified, or is classified at a
certain level.
(b) Agency procedures. (1) Because the Order encourages authorized
holders to challenge classification as a means for promoting proper and
thoughtful classification actions, agencies shall ensure that no
retribution is taken against any authorized holders bringing such a
challenge in good faith.
(2) Agencies shall establish a system for processing, tracking and
recording formal classification challenges made by authorized holders.
Agencies shall consider classification challenges separately from
Freedom of Information Act or other access requests, and shall not
process such challenges in turn with pending access requests.
(3) The agency shall provide an initial written response to a
challenge within 60 days. If the agency is unable to respond to the
challenge within 60 days, the agency must acknowledge the challenge in
writing, and provide a date by which the agency will respond. The
acknowledgment must include a statement that if no agency response is
received within 120 days, the challenger has the right to forward the
challenge to the Interagency Security Classification Appeals Panel
(Panel) for a decision. The challenger may also forward the challenge
to the Panel if an agency has not responded to an internal appeal
within 90 days of the agency's receipt of the appeal. Agency responses
to those challenges it denies shall include the challenger's appeal
rights to the Panel.
(4) Whenever an agency receives a classification challenge to
information that has been the subject of a challenge within the past
two years, or that is the subject of pending litigation, the agency is
not required to process the challenge beyond informing the challenger
of this fact and of the challenger's appeal rights, if any.
(c) Additional considerations. (1) Challengers and agencies shall
attempt to keep all challenges, appeals and responses unclassified.
However, classified information contained in a challenge, an agency
response, or an appeal shall be handled and protected in accordance
with the Order and this Directive. Information being challenged for
classification shall remain classified unless and until a final
decision is made to declassify it.
(2) The classification challenge provision is not intended to
prevent an authorized holder from informally questioning the
classification status of particular information. Such informal
inquiries should be encouraged as a means of holding down the number of
formal challenges and to ensure the integrity of the classification
process.
Sec. 2001.15 Classification guides.
(a) Preparation of classification guides. Originators of
classification guides are encouraged to consult users of guides for
input when developing or updating guides. When possible, originators of
classification guides are encouraged to communicate within their
agencies and with other agencies
[Page 37258]
that are developing guidelines for similar activities to ensure the
consistency and uniformity of classification decisions. Each agency
shall maintain a list of its classification guides in use.
(b) General content of classification guides. Classification guides
shall, at a minimum:
(1) Identify the subject matter of the classification guide;
(2) Identify the original classification authority by name and
position, or personal identifier;
(3) Identify an agency point-of-contact or points-of-contact for
questions regarding the classification guide;
(4) Provide the date of issuance or last review;
(5) State precisely the elements of information to be protected;
(6) State which classification level applies to each element of
information, and, when useful, specify the elements of information that
are unclassified;
(7) State, when applicable, special handling caveats;
(8) State a concise reason for classification which, at a minimum,
cites the applicable classification category or categories in section
1.4 of the Order; and
(9) Prescribe a specific date or event for declassification, the
marking ``50X1-HUM'' or ``50X2-WMD'' as appropriate, or one or more of
the exemption codes listed in 2001.26(a)(2), provided that:
(i) The exemption has been approved by the Panel under section
3.3(j) of the Order;
(ii) The Panel is notified of the intent to take such actions for
specific information in advance of approval and the information remains
in active use; and
(iii) The exemption code is accompanied with a declassification
date or event that has been approved by the Panel.
(c) Dissemination of classification guides. Classification guides
shall be disseminated as necessary to ensure the proper and uniform
derivative classification of information.
(d) Reviewing and updating classification guides. (1) Agencies
shall incorporate original classification decisions into classification
guides as soon as practicable.
(2) Originators of classification guides are encouraged to consult
the users of guides and other subject matter experts when reviewing or
updating guides. Also, users of classification guides are encouraged to
notify the originator of the guide when they acquire information that
suggests the need for change in the instructions contained in the
guide.
Sec. 2001.16 Fundamental classification guidance review.
(a) Performance of fundamental classification guidance reviews. An
initial fundamental classification guidance review shall be completed
by every agency with original classification authority and which
authors security classification guides no later than June 27, 2012.
Agencies shall conduct fundamental classification guidance reviews on a
periodic basis thereafter. The frequency of the reviews shall be
determined by each agency considering factors such as the number of
classification guides and the volume and type of information they
cover. However, a review shall be conducted at least once every five
years.
(b) Coverage of reviews. At a minimum, the fundamental
classification guidance review shall focus on:
(1) Evaluation of content.
(i) Determining if the guidance conforms to current operational and
technical circumstances; and
(ii) Determining if the guidance meets the standards for
classification under section 1.4 of the Order and an assessment of
likely damage under section 1.2 of the Order; and
(2) Evaluation of use:
(i) Determining if the dissemination and availability of the
guidance is appropriate, timely, and effective; and
(ii) An examination of recent classification decisions that focuses
on ensuring that classification decisions reflect the intent of the
guidance as to what is classified, the appropriate level, the duration,
and associated markings.
(c) Participation in reviews. The agency head or senior agency
official shall direct the conduct of a fundamental classification
guidance review and shall ensure the appropriate agency subject matter
experts participate to obtain the broadest possible range of
perspectives. To the extent practicable, input should also be obtained
from external subject matter experts and external users of the
reviewing agency's classification guidance and decisions.
(d) Reports on results. Agency heads shall provide a detailed
report summarizing the results of each classification guidance review
to ISOO and release an unclassified version to the public except when
the existence of the guide or program is itself classified.
Subpart C--Identification and Markings
Sec. 2001.20 General.
A uniform security classification system requires that standard
markings or other indicia be applied to classified information. Except
in extraordinary circumstances, or as approved by the Director of ISOO,
the marking of classified information shall not deviate from the
following prescribed formats. If markings cannot be affixed to specific
classified information or materials, the originator shall provide
holders or recipients of the information with written instructions for
protecting the information. Markings shall be uniformly and
conspicuously applied to leave no doubt about the classified status of
the information, the level of protection required, and the duration of
classification.
Sec. 2001.21 Original classification.
(a) Primary markings. At the time of original classification, the
following shall be indicated in a manner that is immediately apparent:
(1) Classification authority. The name and position, or personal
identifier, of the original classification authority shall appear on
the ``Classified By'' line. An example might appear as:
Classified By: David Smith, Chief, Division 5
or
Classified By: IDIMNO1
(2) Agency and office of origin. If not otherwise evident, the
agency and office of origin shall be identified and follow the name on
the ``Classified By'' line. An example might appear as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration.
(3) Reason for classification. The original classification
authority shall identify the reason(s) for the decision to classify.
The original classification authority shall include on the ``Reason''
line the number 1.4 plus the letter(s) that corresponds to that
classification category in section 1.4 of the Order.
(i) These categories, as they appear in the Order, are as follows:
(A) Military plans, weapons systems, or operations;
(B) Foreign government information;
(C) Intelligence activities (including covert action), intelligence
sources or methods, or cryptology;
(D) Foreign relations or foreign activities of the United States,
including confidential sources;
(E) Scientific, technological, or economic matters relating to the
national security;
(F) United States Government programs for safeguarding nuclear
materials or facilities;
(G) Vulnerabilities or capabilities of systems, installations,
infrastructures, projects, plans, or protection services relating to
the national security; or
[Page 37259]
(H) The development, production, or use of weapons of mass
destruction.
(ii) An example might appear as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration Reason: 1.4(g)
(4) Declassification instructions. The duration of the original
classification decision shall be placed on the ``Declassify On'' line.
When declassification dates are displayed numerically, the following
format shall be used: YYYYMMDD. Events must be reasonably definite and
foreseeable. The original classification authority will apply one of
the following instructions:
(i) A date or event for declassification that corresponds to the
lapse of the information's national security sensitivity, which is
equal to or less than 10 years from the date of the original decision.
The duration of classification would be marked as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.4(g)
Declassify On: 20201014 or
Declassify On: Completion of Operation
(ii) A date not to exceed 25 years from the date of the original
decision. For example, on a document that contains information
classified on October 10, 2010, apply a date up to 25 years on the
``Declassify On'' line:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.4(g)
Declassify On: 20351010
(iii) If the classified information should clearly and demonstrably
be expected to reveal the identity of a confidential human source or a
human intelligence source, no date or event is required and the marking
``50X1-HUM'' shall be used in the ``Declassify On'' line; or
(iv) If the classified information should clearly and demonstrably
be expected to reveal key design concepts of weapons of mass
destruction, no date or event is required and the marking ``50X2-WMD''
shall be used in the ``Declassify On'' line.
(b) Overall marking. The highest level of classification is
determined by the highest level of any one portion within the document
and shall appear in a way that will distinguish it clearly from the
informational text.
(1) Conspicuously place the overall classification at the top and
bottom of the outside of the front cover (if any), on the title page
(if any), on the first page, and on the outside of the back cover (if
any).
(2) For documents containing information classified at more than
one level, the overall marking shall be the highest level. For example,
if a document contains some information marked ``Secret'' and other
information marked ``Confidential,'' the overall marking would be
``Secret.''
(3) Each interior page of a classified document shall be marked at
the top and bottom either with the highest level of classification of
information contained on that page, including the designation
``Unclassified'' when it is applicable, or with the highest overall
classification of the document.
(c) Portion marking. Each portion of a document, ordinarily a
paragraph, but including subjects, titles, graphics, tables, charts,
bullet statements, sub-paragraphs, classified signature blocks, bullets
and other portions within slide presentations, and the like, shall be
marked to indicate which portions are classified and which portions are
unclassified by placing a parenthetical symbol immediately preceding
the portion to which it applies.
(1) To indicate the appropriate classification level, the symbols
``(TS)'' for Top Secret, ``(S)'' for Secret, and ``(C)'' for
Confidential will be used.
(2) Portions which do not meet the standards of the Order for
classification shall be marked with ``(U)'' for Unclassified.
(3) In cases where portions are segmented such as paragraphs, sub-
paragraphs, bullets, and sub-bullets and the classification level is
the same throughout, it is sufficient to put only one portion marking
at the beginning of the main paragraph or main bullet. If there are
different levels of classification among these segments, then all
segments shall be portion marked separately in order to avoid over-
classification of any one segment. If the information contained in a
sub-paragraph or sub-bullet is a higher level of classification than
its parent paragraph or parent bullet, this does not make the parent
paragraph or parent bullet classified at that same level. Each portion
shall reflect the classification level of that individual portion and
not any other portions. At the same time, any portion, no matter what
its status, is still capable of determining the overall classification
of the document.
(d) Dissemination control and handling markings. Many agencies
require additional control and handling markings that supplement the
overall classification markings. See Sec. 2001.24(j) for specific
guidance.
(e) Date of origin of document. The date of origin of the document
shall be indicated in a manner that is immediately apparent.
Sec. 2001.22 Derivative classification.
(a) General. Information classified derivatively on the basis of
source documents or classification guides shall bear all markings
prescribed in Sec. 2001.20 and Sec. 2001.21, except as provided in
this section. Information for these markings shall be carried forward
from the source document or taken from instructions in the appropriate
classification guide.
(b) Identity of persons who apply derivative classification
markings. Derivative classifiers shall be identified by name and
position, or by personal identifier, in a manner that is immediately
apparent on each derivatively classified document. If not otherwise
evident, the agency and office of origin shall be identified and follow
the name on the ``Classified By'' line. An example might appear as:
Classified By: Peggy Jones, Lead Analyst, Research and Analysis
Division or
Classified By: ID IMN01
(c) Source of derivative classification. (1) The derivative
classifier shall concisely identify the source document or the
classification guide on the ``Derived From'' line, including the agency
and, where available, the office of origin, and the date of the source
or guide. An example might appear as:
Derived From: Memo, ``Funding Problems,'' October 20, 2008, Office
of Administration, Department of Good Works or
Derived From: CG No. 1, Department of Good Works, dated October 20,
2008
(i) When a document is classified derivatively on the basis of more
than one source document or classification guide, the ``Derived From''
line shall appear as:
Derived From: Multiple Sources
(ii) The derivative classifier shall include a listing of the
source materials on, or attached to, each derivatively classified
document.
(2) A document derivatively classified on the basis of a source
document that is itself marked ``Multiple Sources'' shall cite the
source document on its ``Derived From'' line rather than the term
``Multiple Sources.'' An example might appear as:
Derived From: Report entitled, ``New Weapons,'' dated October 20,
2009, Department of Good Works, Office of Administration
(d) Reason for classification. The reason for the original
classification decision, as reflected in the source document(s) or
classification guide, is
[Page 37260]
not transferred in a derivative classification action.
(e) Declassification instructions. (1) The derivative classifier
shall carry forward the instructions on the ``Declassify On'' line from
the source document to the derivative document, or the duration
instruction from the classification or declassification guide, unless
it contains one of the declassification instructions as listed in
paragraph (e)(3) of this section. If the source document is missing the
declassification instruction, then a calculated date of 25 years from
the date of the source document (if available) or the current date (if
the source document date is not available) shall be carried forward by
the derivative classifier.
(2) When a document is classified derivatively on the basis of more
than one source document or more than one element of a classification
guide, the ``Declassify On'' line shall reflect the longest duration of
any of its sources.
(3) When a document is classified derivatively either from a source
document(s) or a classification guide that contains one of the
following declassification instructions, ``Originating Agency's
Determination Required,'' ``OADR,'' or ``Manual Review,'' ``MR,'' or
any of the exemption markings X1, X2, X3, X4, X5, X6, X7, and X8, the
derivative classifier shall calculate a date that is 25 years from the
date of the source document when determining a derivative document's
date or event to be placed in the ``Declassify On'' line.
(i) If a document is marked with the declassification instructions
``DCI Only'' or ``DNI Only'' and does not contain information described
in E.O. 12951, ``Release of Imagery Acquired by Space-Based National
Intelligence Reconnaissance Systems,'' the derivative classifier shall
calculate a date that is 25 years from the date of the source document
when determining a derivative document's date or event to be placed in
the ``Declassify On'' line.
(ii) If a document is marked with ``DCI Only'' or ``DNI Only'' and
the information is subject to E.O. 12951, the derivative classifier
shall use a date or event as prescribed by the Director of National
Intelligence.
(4) When determining the most restrictive declassification
instruction among multiple source documents, adhere to the following
hierarchy for determining the declassification instructions for the
``Declassify On'' line:
(i) 50X1-HUM or 50X2-WMD, or an ISOO-approved designator reflecting
the Panel approval for classification beyond 50 years in accordance
with section 3.3(h)(2) of the Order;
(ii) 25X1 through 25X9, with a date or event;
(iii) A specific declassification date or event within 25 years;
(iv) Absent guidance from an original classification authority with
jurisdiction over the information, a calculated 25-year date from the
date of the source document.
(5) When declassification dates are displayed numerically, the
following format shall be used: YYYYMMDD.
(f) Overall marking. The derivative classifier shall conspicuously
mark the classified document with the highest level of classification
of information included in the document, as provided in Sec.
2001.21(b).
(g) Portion marking. Each portion of a derivatively classified
document shall be marked immediately preceding the portion to which it
applies, in accordance with its source, and as provided in Sec.
2001.21(c).
(h) Dissemination control and handling markings. Many agencies
require additional control and handling markings that supplement the
overall classification markings. See Sec. 2001.24(j) for specific
guidance.
(i) Date of origin of document. The date of origin of the document
shall be indicated in a manner that is immediately apparent.
Sec. 2001.23 Classification marking in the electronic environment.
(a) General. Classified national security information in the
electronic environment shall be:
(1) Subject to all requirements of the Order.
(2) Marked with proper classification markings to the extent that
such marking is practical, including portion marking, overall
classification, ``Classified By,'' ``Derived From,'' ``Reason'' for
classification (originally classified information only), and
``Declassify On.''
(3) Marked with proper classification markings when appearing in an
electronic output (e.g., database query) in which users of the
information will need to be alerted to the classification status of the
information.
(4) Marked in accordance with derivative classification procedures,
maintaining traceability of classification decisions to the original
classification authority. In cases where classified information in an
electronic environment cannot be marked in this manner, a warning shall
be applied to alert users that the information may not be used as a
source for derivative classification and providing a point of contact
and instructions for users to receive further guidance on the use and
classification of the information.
(5) Prohibited from use as source of derivative classification if
it is dynamic in nature (e.g., wikis and blogs) and where information
is not marked in accordance with the Order.
(b) Markings on classified e-mail messages. (1) E-mail transmitted
on or prepared for transmission on classified systems or networks shall
be configured to display the overall classification at the top and
bottom of the body of each message. The overall classification marking
string for the e-mail shall reflect the classification of the header
and body of the message. This includes the subject line, the text of
the e-mail, a classified signature block, attachments, included
messages, and any other information conveyed in the body of the e-mail.
A single linear text string showing the overall classification and
markings shall be included in the first line of text and at the end of
the body of the message after the signature block.
(2) Classified e-mail shall be portion marked. Each portion shall
be marked to reflect the highest level of information contained in that
portion. A text portion containing a uniform resource locator (URL) or
reference (i.e., link) to another document shall be portion marked
based on the classification of the content of the URL or link text,
even if the content to which it points reflects a higher classification
marking.
(3) A classified signature block shall be portion marked to reflect
the highest classification level markings of the information contained
in the signature block itself.
(4) Subject lines shall be portion marked to reflect the
sensitivity of the information in the subject line itself and shall not
reflect any classification markings for the e-mail content or
attachments. Subject lines and titles shall be portion marked before
the subject or title.
(5) For a classified e-mail, the classification authority block
shall be placed after the signature block, but before the overall
classification marking string at the end of the e-mail. These blocks
may appear as single linear text strings instead of the traditional
appearance of three lines of text.
(6) When forwarding or replying to an e-mail, individuals shall
ensure that, in addition to the markings required for the content of
the reply or forward e-mail itself, the markings shall reflect the
overall classification and declassification instructions for the entire
string of e-mails and attachments. This will include any newly drafted
material, material received from previous senders, and any attachments.
[Page 37261]
(c) Marking Web pages with classified content. (1) Web pages shall
be classified and marked on their own content regardless of the
classification of the pages to which they link. Any presentation of
information to which the web materials link shall also be marked based
on its own content.
(2) The overall classification marking string for every web page
shall reflect the overall classification markings (and any
dissemination control or handling markings) for the information on that
page. Linear text appearing on both the top and bottom of the page is
acceptable.
(3) If any graphical representation is utilized, a text equivalent
of the overall classification marking string shall be included in the
hypertext statement and page metadata. This will enable users without
graphic display to be aware of the classification level of the page and
allows for the use of text translators.
(4) Classified Web pages shall be portion marked. Each portion
shall be marked to reflect the highest level of information contained
in that portion. A portion containing a URL or reference to another
document shall be portion marked based on the classification of the
content of the URL itself, even if the content to which it points
reflects a higher classification marking.
(5) Classified Web pages shall include the classification authority
block on either the top or bottom of the page. These blocks may appear
as single linear text strings instead of the traditional appearance of
three lines of text.
(6) Electronic media files such as video, audio, images, or slides
shall carry the overall classification and classification authority
block, unless the addition of such information would render them
inoperable. In such cases, another procedure shall be used to ensure
recipients are aware of the classification status of the information
and the declassification instructions.
(d) Marking classified URLs. URLs provide unique addresses in the
electronic environment for web content and shall be portion marked
based on the classification of the content of the URL itself. The URL
shall not be portion marked to reflect the classification of the
content to which it points. URLs shall be developed at an unclassified
level whenever possible. When a URL is classified, a classification
portion mark shall be used in the text of the URL string in a way that
does not make the URL inoperable to identify the URL as a classified
portion in any textual references to that URL. An example may appear
as:
http://www.center.xyz/SECRET/filename_(S).html
http://www.center.xyz/filename2_(TS).html
http://www.center.xyz/filename_(TS//NF).html
(e) Marking classified dynamic documents and relational databases.
(1) A dynamic page contains electronic information derived from a
changeable source or ad hoc query, such as a relational database. The
classification levels of information returned may vary depending upon
the specific request.
(2) If there is a mechanism for determining the actual
classification markings for dynamic documents, the appropriate
classification markings shall be applied to and displayed on the
document. If such a mechanism does not exist, the default should be the
highest level of information in the database and a warning shall be
applied at the top of each page of the document. Such content shall not
be used as a basis for derivative classification. An example of such an
applied warning may appear as:
This content is classified at the [insert system-high
classification level] level and may contain elements of information
that are unclassified or classified at a lower level than the
overall classification displayed. This content may not be used as a
source of derivative classification; refer instead to the pertinent
classification guide(s).
(3) This will alert the users of the information that there may be
elements of information that may be either unclassified or classified
at a lower level than the highest possible classification of the
information returned. Users shall be encouraged to make further
inquiries concerning the status of individual elements in order to
avoid unnecessary classification and/or impediments to information
sharing. Resources such as classification guides and points of contact
shall be established to assist with these inquiries.
(4) Users developing a document based on query results from a
database must properly mark the document in accordance with Sec.
2001.22. If there is doubt about the correct markings, users should
contact the database originating agency for guidance.
(f) Marking classified bulletin board postings and blogs. (1) A
blog, an abbreviation of the term ``web log,'' is a Web site consisting
of a series of entries, often commentary, description of events, or
other material such as graphics or video, created by the same
individual as in a journal or by many individuals. While the content of
the overall blog is dynamic, entries are generally static in nature.
(2) The overall classification marking string for every bulletin
board or blog shall reflect the overall classification markings for the
highest level of information allowed in that space. Linear text
appearing on both the top and bottom of the page is acceptable.
(3) Subject lines of bulletin board postings, blog entries, or
comments shall be portion marked to reflect the sensitivity of the
information in the subject line itself, not the content of the post.
(4) The overall classification marking string for the bulletin
board posting, blog entry, or comment shall reflect the classification
markings for the subject line, the text of the posting, and any other
information in the posting. These strings shall be entered manually or
utilizing an electronic classification tool in the first line of text
and at the end of the body of the posting. These strings may appear as
single linear text.
(5) Bulletin board postings, blog entries, or comments shall be
portion marked. Each portion shall be marked to reflect the highest
level of information contained in that portion.
(g) Marking classified wikis. (1) Initial wiki submissions shall
include the overall classification marking string, portion marking, and
the classification authority block string in the same manner as
mentioned above for bulletin boards and blogs. All of these strings may
appear as single line text.
(2) When users modify existing entries which alter the
classification level of the content or add new content, they shall
change the required markings to reflect the classification markings for
the resulting information. Systems shall provide a means to log the
identity of each user, the changes made, and the time and date of each
change.
(3) Wiki articles and entries shall be portion marked. Each portion
shall be marked to reflect the highest level of information contained
in that portion.
(h) Instant messaging, chat, and chat rooms. (1) Instant messages
and chat conversations generally consist of brief textual messages but
may also include URLs, images, or graphics. Chat discussions captured
for retention or printing shall be marked at the top and bottom of each
page with the overall classification reflecting all of the information
within the discussion and, for classified discussions, portion markings
and the classification authority block string shall also appear.
(2) Chat rooms shall display system-high overall classification
markings and shall contain instructions informing users that the
information may not be used as a source for derivative classification
unless it is portion marked, contains an overall
[Page 37262]
classification marking, and a classification authority block.
(i) Attached files. When files are attached to another electronic
message or document, the overall classification of the message or
document shall account for the classification level of the attachment
and the message or document shall be marked in accordance with Sec.
2001.24(b).
(ii) Reserved.
Sec. 2001.24 Additional requirements.
(a) Marking prohibitions. Markings other than ``Top Secret,''
``Secret,'' and ``Confidential'' shall not be used to identify
classified national security information.
(b) Transmittal documents. A transmittal document shall indicate on
its face the highest classification level of any classified information
attached or enclosed. The transmittal shall also include conspicuously
on its face the following or similar instructions, as appropriate:
Unclassified When Classified Enclosure Removed or
Upon Removal of Attachments, This Document is (Classification Level)
(c) Foreign government information. Unless otherwise evident,
documents that contain foreign government information should include
the marking, ``This Document Contains (indicate country of origin)
Information.'' Agencies may also require that the portions of the
documents that contain the foreign government information be marked to
indicate the government and classification level, using accepted
country code standards, e.g., ``(Country code--C).'' If the identity of
the specific government must be concealed, the document shall be
marked, ``This Document Contains Foreign Government Information,'' and
pertinent portions shall be marked ``FGI'' together with the
classification level, e.g., ``(FGI-C).'' In such cases, a separate
record that identifies the foreign government shall be maintained in
order to facilitate subsequent declassification actions. If the fact
that information is foreign government information must be concealed,
the markings described in this paragraph shall not be used and the
document shall be marked as if it were wholly of U.S. origin. When
classified records are transferred to NARA for storage or archival
purposes, the accompanying documentation shall, at a minimum, identify
the boxes that contain foreign government information.
(d) Working papers. A working paper is defined as documents or
materials, regardless of the media, which are expected to be revised
prior to the preparation of a finished product for dissemination or
retention. Working papers containing classified information shall be
dated when created, marked with the highest classification of any
information contained in them, protected at that level, and if
otherwise appropriate, destroyed when no longer needed. When any of the
following conditions applies, working papers shall be controlled and
marked in the same manner prescribed for a finished document at the
same classification level:
(1) Released by the originator outside the originating activity;
(2) Retained more than 180 days from the date of origin; or
(3) Filed permanently.
(e) Other material. Bulky material, equipment, and facilities,
etc., shall be clearly identified in a manner that leaves no doubt
about the classification status of the material, the level of
protection required, and the duration of classification. Upon a finding
that identification would itself reveal classified information, such
identification is not required. Supporting documentation for such a
finding must be maintained in the appropriate security facility.
(f) Unmarked materials. Information contained in unmarked records,
or presidential or related materials, and which pertains to the
national defense or foreign relations of the United States, created,
maintained, and protected as classified information under prior orders
shall continue to be treated as classified information under the Order,
and is subject to its provisions regarding declassification.
(g) Classification by compilation/aggregation. Compilation of items
that are individually unclassified may be classified if the compiled
information meets the standards established in section 1.2 of the Order
and reveals an additional association or relationship, as determined by
the original classification authority. Any unclassified portions will
be portion marked (U), while the overall markings will reflect the
classification of the compiled information even if all the portions are
marked (U). In any such situation, clear instructions must appear with
the compiled information as to the circumstances under which the
individual portions constitute a classified compilation, and when they
do not.
(h) Commingling of Restricted Data (RD) and Formerly Restricted
Data (FRD) with information classified under the Order. (1) To the
extent practicable, the commingling in the same document of RD or FRD
with information classified under the Order should be avoided. When it
is not practicable to avoid such commingling, the marking requirements
in the Order and this Directive, as well as the marking requirements in
10 CFR part 1045, Nuclear Classification and Declassification, must be
followed.
(2) Automatic declassification of documents containing RD or FRD is
prohibited. Documents marked as containing RD or FRD are excluded from
the automatic declassification provisions of the Order until the RD or
FRD designation is properly removed by the Department of Energy. When
the Department of Energy determines that an RD or FRD designation may
be removed, any remaining information classified under the Order must
be referred to the appropriate agency in accordance with the
declassification provisions of the Order and this Directive.
(3) For commingled documents, the ``Declassify On'' line required
by the Order and this Directive shall not include a declassification
date or event and shall instead be annotated with ``Not Applicable (or
N/A) to RD/FRD portions'' and ``See source list for NSI portions.'' The
source list, as described in Sec. 2001.22(c)(1)(ii), shall include the
declassification instruction for each of the source documents
classified under the Order and shall not appear on the front page of
the document.
(4) If an RD or FRD portion is extracted for use in a new document,
the requirements of 10 CFR part 1045 must be followed.
(5) If a portion classified under the Order is extracted for use in
a new document, the requirements of the Order and this Directive must
be followed. The declassification date for the extracted portion shall
be determined by using the source list required by Sec.
2001.22(c)(1)(ii), the pertinent classification guide, or consultation
with the original classification authority with jurisdiction for the
information. However, if a commingled document is not portion marked,
it shall not be used as a source for a derivatively classified
document.
(6) If a commingled document is not portion marked based on
appropriate authority, annotating the source list with the
declassification instructions and including the ``Declassify on'' line
in accordance with paragraph (h)(3) of this section are not required.
The lack of declassification instructions does not eliminate the
requirement to process commingled documents for declassification in
accordance with the Order, this Directive, the Atomic Energy
[Page 37263]
Act, or 10 CFR part 1045 when they are requested under statute or the
Order.
(i) Transclassified Foreign Nuclear Information (TFNI). (1) As
permitted under 42 U.S.C. 2162(e), the Department of Energy shall
remove from the Restricted Data category such information concerning
the atomic energy programs of other nations as the Secretary of Energy
and the Director of National Intelligence jointly determine to be
necessary to carry out the provisions of 50 U.S.C. 403 and 403-1 and
safeguarded under applicable Executive orders as ``National Security
Information'' under a process called transclassification.
(2) When Restricted Data information is transclassified and is
safeguarded as ``National Security Information,'' it shall be handled,
protected, and classified in conformity with the provisions of the
Order and this Directive. Such information shall be labeled as ``TFNI''
and with any additional identifiers prescribed by the Department of
Energy. The label ``TFNI'' shall be included on documents to indicate
the information's transclassification from the Restricted Data category
and its declassification process governed by the Secretary of Energy
under the Atomic Energy Act.
(3) Automatic declassification of documents containing TFNI is
prohibited. Documents marked as containing TFNI are excluded from the
automatic declassification provisions of the Order until the TFNI
designation is properly removed by the Department of Energy. When the
Department of Energy determines that a TFNI designation may be removed,
any remaining information classified under the Order must be referred
to the appropriate agency in accordance with the declassification
provisions of the Order and this Directive.
(j) Approved dissemination control and handling markings. (1)
Dissemination control and handling markings identify the expansion or
limitation on the distribution of the information. These markings are
in addition to, and separate from, the level of classification.
(2) Only those external dissemination control and handling markings
approved by ISOO or, with respect to the Intelligence Community by the
Director of National Intelligence for intelligence and intelligence-
related information, may be used by agencies to control and handle the
dissemination of classified information pursuant to agency regulations
and to policy directives and guidelines issued under section 5.4(d)(2)
and section 6.2(b) of the Order. Such approved markings shall be
uniform and binding on all agencies and must be available in a central
registry.
(3) If used, the dissemination control and handling markings will
appear at the top and bottom of each page after the level of
classification.
(k) Portion marking waivers. (1) An agency head or senior agency
official may request a waiver from the portion marking requirement for
a specific category of information. Such a request shall be submitted
to the Director of ISOO and should include the reasons that the
benefits of portion marking are outweighed by other factors. The
request must also demonstrate that the requested waiver will not create
impediments to information sharing. Statements citing administrative
burden alone will ordinarily not be viewed as sufficient grounds to
support a waiver.
(2) Any approved portion marking waiver will be temporary with
specific expiration dates.
(3) Requests for portion marking waivers from elements of the
Intelligence Community (to include pertinent elements of the Department
of Defense) should include a statement of support from the Director of
National Intelligence or his or her designee. Requests for portion
marking waivers from elements of the Department of Defense (to include
pertinent elements of the Intelligence Community) should include a
statement of support from the Secretary of Defense or his or her
designee. Requests for portion marking waivers from elements of the
Department of Homeland Security should include a statement of support
from the Secretary of Homeland Security or his or her designee.
(4) A document not portion marked, based on an ISOO-approved
waiver, must contain a warning statement that it may not be used as a
source for derivative classification.
(5) If a classified document that is not portion marked, based on
an ISOO-approved waiver, is transmitted outside the originating
organization, the document must be portion marked unless otherwise
explicitly provided in the waiver approval.
(l) Marking information that has been reclassified. Specific
information may only be reclassified if all the conditions of section
1.7(d) of the Order and its implementing directives have been met.
(1) When taking this action, an original classification authority
must include the following markings on the information:
(i) The level of classification;
(ii) The identity, by name and position, or by personal identifier
of the original classification authority;
(iii) Declassification instructions;
(iv) A concise reason for classification, including reference to
the applicable classification category from section 1.4 of the Order;
and
(v) The date the reclassification action was taken.
(2) The original classification authority shall notify all known
authorized holders of this action.
(m) Marking of electronic storage media. Classified computer media
such as USB sticks, hard drives, CD ROMs, and diskettes shall be marked
to indicate the highest overall classification of the information
contained within the media.
Sec. 2001.25 Declassification markings.
(a) General. A uniform security classification system requires that
standard markings be applied to declassified information. Except in
extraordinary circumstances, or as approved by the Director of ISOO,
the marking of declassified information shall not deviate from the
following prescribed formats. If declassification markings cannot be
affixed to specific information or materials, the originator shall
provide holders or recipients of the information with written
instructions for marking the information. Markings shall be uniformly
and conspicuously applied to leave no doubt about the declassified
status of the information and who authorized the declassification.
(b) The following markings shall be applied to records, or copies
of records, regardless of media:
(1) The word, ``Declassified;''
(2) The identity of the declassification authority, by name and
position, or by personal identifier, or the title and date of the
declassification guide. If the identity of the declassification
authority must be protected, a personal identifier may be used or the
information may be retained in agency files.
(3) The date of declassification; and
(4) The overall classification markings that appear on the cover
page or first page shall be lined with an ``X'' or straight line. An
example might appear as:
SECRET
Declassified by David Smith, Chief, Division 5, August 17, 2008
Sec. 2001.26 Automatic declassification exemption markings.
(a) Marking information exempted from automatic declassification at
25 years. (1) When the Panel has approved an agency proposal to exempt
permanently valuable information from automatic declassification at 25
years, the ``Declassify On'' line shall be revised to include the
symbol ``25X'' plus the
[Page 37264]
number(s) that corresponds to the category(ies) in section 3.3(b) of
the Order. Except for when the exemption pertains to information that
should clearly and demonstrably be expected to reveal the identity of a
confidential human source, or a human intelligence source, or key
design concepts of weapons of mass destruction, the revised
``Declassify On'' line shall also include the new date for
declassification as approved by the Panel, not to exceed 50 years from
the date of origin of the record. Records that contain information, the
release of which should clearly and demonstrably be expected to reveal
the identity of a confidential human source or a human intelligence
source, or key design concepts of weapons of mass destruction, are
exempt from automatic declassification at 50 years.
(2) The pertinent exemptions, using the language of section 3.3(b)
of the Order, are:
25X1: reveal the identity of a confidential human source, a
human intelligence source, a relationship with an intelligence or
security service of a foreign government or international
organization, or a non-human intelligence source; or impair the
effectiveness of an intelligence method currently in use, available
for use, or under development.
25X2: reveal information that would assist in the development,
production, or use of weapons of mass destruction;
25X3: reveal information that would impair U.S. cryptologic
systems or activities;
25X4: reveal information that would impair the application of
state-of-the-art technology within a U.S. weapon system;
25X5: reveal formally named or numbered U.S. military war plans
that remain in effect, or reveal operational or tactical elements of
prior plans that are contained in such active plans;
25X6: reveal information, including foreign government
information, that would cause serious harm to relations between the
United States and a foreign government, or to ongoing diplomatic
activities of the United States;
25X7: reveal information that would impair the current ability
of United States Government officials to protect the President, Vice
President, and other protectees for whom protection services, in the
interest of the national security, are authorized;
25X8: reveal information that would seriously impair current
national security emergency preparedness plans or reveal current
vulnerabilities of systems, installations, or infrastructures
relating to the national security; or
25X9: violate a statute, treaty, or international agreement that
does not permit the automatic or unilateral declassification of
information at 25 years.
(3) The pertinent portion of the marking would appear as:
Declassify On: 25X4, 20501001
(4) Documents should not be marked with a ``25X'' marking until the
agency has been informed that the Panel concurs with the proposed
exemption.
(5) Agencies need not apply a ``25X'' marking to individual
documents contained in a file series exempted from automatic
declassification under section 3.3(c) of the Order until the individual
document is removed from the file and may only apply such a marking as
approved by the Panel under section 3.3(j) of the Order.
(6) Information containing foreign government information will be
marked with a date in the ``Declassify On'' line that is no more than
25 years from the date of the document unless the originating agency
has applied for and received Panel approval to exempt foreign
government information from declassification at 25 years. Upon receipt
of Panel approval, the agency may use either the 25X6 or 25X9 exemption
markings, as appropriate, in the ``Declassify On'' followed by a date
that has also been approved by the Panel. An example might appear as:
25X6, 20600129, or 25X9, 20600627. The marking ``subject to treaty or
international agreement'' is not to be used at any time.
(b) Marking information exempted from automatic declassification at
50 years. Records exempted from automatic declassification at 50 years
shall be automatically declassified on December 31 of a year that is no
more than 75 years from the date of origin unless an agency head,
within five years of that date, proposes to exempt specific information
from declassification at 75 years and the proposal is formally approved
by the Panel.
(1) When the information clearly and demonstrably could be expected
to reveal the identity of a confidential human source or a human
intelligence source, the marking shall be ``50X1-HUM.''
(2) When the information clearly and demonstrably could reveal key
design concepts of weapons of mass destruction, the marking shall be
``50X2-WMD.''
(3) In extraordinary cases in which the Panel has approved an
exemption from declassification at 50 years under section 3.3(h) of the
Order, the same procedures as those under Sec. 2001.26(a) will be
followed with the exception that the number ``50'' will be used in
place of the ``25.''
(4) Requests for exemption from automatic declassification at 50
years from elements of the Intelligence Community (to include pertinent
elements of the Department of Defense) should include a statement of
support from the Director of National Intelligence or his or her
designee. Requests for automatic declassification exemptions from
elements of the Department of Defense (to include pertinent elements of
the Intelligence community) should include a statement of support from
the Secretary of Defense or his or her designee. Requests for automatic
declassification exemptions from elements of the Department of Homeland
Security should include a statement of support from the Secretary of
the Department of Homeland Security or his or her designee.
(c) Marking information exempted from automatic declassification at
75 years. Records exempted from automatic declassification at 75 years
shall be automatically declassified on December 31 of the year that has
been formally approved by the Panel.
(1) Information approved by the Panel as exempt from automatic
declassification at 75 years shall be marked ``75X'' with the
appropriate automatic declassification exemption category number
followed by the approved declassification date or event.
(2) Requests for exemption from automatic declassification at 75
years from elements of the Intelligence Community (to include pertinent
elements of the Department of Defense) should include a statement of
support from the Director of National Intelligence or his or her
designee. Requests for automatic declassification exemptions from
elements of the Department of Defense (to include pertinent elements of
the Intelligence community) should include a statement of support from
the Secretary of Defense or his or her designee.
Subpart D--Declassification
Sec. 2001.30 Automatic declassification.
(a) General. All departments and agencies that have original
classification authority or previously had original classification
authority, or maintain records determined to be permanently valuable
that contain classified national security information, shall comply
with the automatic declassification provisions of the Order. All
agencies with original classification authority shall cooperate with
NARA in managing automatic declassification of accessioned Federal
records, presidential papers and records, and donated historical
materials under the control of the Archivist.
(b) Presidential papers, materials, and records. The Archivist
shall establish procedures for the declassification of presidential,
vice-presidential, or White House materials transferred to the legal
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custody of NARA or maintained in the presidential libraries.
(c) Classified information in the custody of contractors,
licensees, certificate holders, or grantees. Pursuant to the provisions
of the National Industrial Security Program, agencies must provide
security classification/declassification guidance to such entities or
individuals who possess classified information. Agencies must also
determine if classified Federal records are held by such entities or
individuals, and if so, whether they are permanent records of
historical value and thus subject to section 3.3 of the Order. Until
such a determination has been made by an appropriate agency official,
such records shall not be subject to automatic declassification, or
destroyed, and shall be safeguarded in accordance with the most recent
security classification/declassification guidance provided by the
agency.
(d) Transferred information. In the case of classified information
transferred in conjunction with a transfer of functions, and not merely
for storage, the receiving agency shall be deemed to be the originating
agency.
(e) Unofficially transferred information. In the case of classified
information that is not officially transferred as described in
paragraph (d) of this section but that originated in an agency that has
ceased to exist and for which there is no successor agency, the agency
in possession shall serve as the originating agency and shall be
responsible for actions for those records in accordance with section
3.3 of the Order and in consultation with the Director of the National
Declassification Center (NDC).
(f) Processing records originated by another agency. When an agency
uncovers classified records originated by another agency that appear to
meet the criteria for referral according to section 3.3(d) of the
Order, the finding agency shall identify those records for referral to
the originating agency as described in Sec. 2001.34.
(g) Unscheduled records. Classified information in records that
have not been scheduled for disposal or retention by NARA is not
subject to section 3.3 of the Order. Classified information in records
that become scheduled as permanently valuable when that information is
already more than 20 years old shall be subject to the automatic
declassification provisions of section 3.3 of the Order five years from
the date the records are scheduled. Classified information in records
that become scheduled as permanently valuable when that information is
less than 20 years old shall be subject to the automatic
declassification provisions of section 3.3 of the Order at 25 years.
(h) Temporary records and non-record materials. Classified
information contained in records determined not to be permanently
valuable or non-record materials shall be processed in accordance with
section 3.6(c) of the Order.
(i) Foreign government information. The declassifying agency is the
agency that initially received or classified the information. When
foreign government information appears to be subject to automatic
declassification, the declassifying agency shall determine whether the
information is subject to a treaty or international agreement that does
not permit automatic or unilateral declassification. The declassifying
agency shall also determine if another exemption under section 3.3(b)
of the Order, such as the exemption that pertains to United States
foreign relations, may apply to the information. If the declassifying
agency believes such an exemption may apply, it should consult with any
other concerned agencies in making its declassification determination.
The declassifying agency or the Department of State, as appropriate,
may consult with the foreign government prior to declassification.
(j) Assistance to the Archivist of the United States. Agencies
shall consult with the Director of the NDC established in section 3.7
of the Order concerning their automatic declassification programs. At
the request of the Archivist, agencies shall cooperate with the
Director of the NDC in developing priorities for the declassification
of records to ensure that declassification is accomplished efficiently
and in a timely manner. Agencies shall consult with NARA and the
Director of the NDC before reviewing records in their holdings to
ensure that appropriate procedures are established for maintaining the
integrity of the records and that NARA receives accurate and sufficient
information about agency declassification actions, including metadata
and other processing information, when records are accessioned by NARA.
This data shall include certification by the agency that the records
have been reviewed in accordance with Public Law 105-261, section 3161
governing Restricted Data and Formerly Restricted Data.
(k) Use of approved declassification guides. Approved
declassification guides are the sole basis for the exemption from
automatic declassification of specific information as provided in
section 3.3(b) of the Order and the sole basis for the continued
classification of information under section 3.3(h) of the Order. These
guides must be prepared in accordance with section 3.3(j) of the Order
and include additional pertinent detail relating to the exemptions
described in sections 3.3(b) and 3.3(h) of the Order, and follow the
format required of declassification guides as described in Sec.
2001.32. During a review under section 3.3 of the Order, it is expected
that agencies will use these guides to identify specific information
for exemption from automatic declassification. It is further expected
that the guides or detailed declassification guidance will be made
available to the NDC under section 3.7(b) of the Order and to
appropriately cleared individuals of other agencies to support equity
recognition.
(l) Automatic declassification date. No later than December 31 of
the year that is 25 years from the date of origin, classified records
determined to be permanently valuable shall be automatically
declassified unless automatic declassification has been delayed for any
reason as provided in Sec. 2001.30(n) and sections 3.3(b) and (c) of
the Order. If the date of origin of an individual record cannot be
readily determined, the date of original classification shall be used
instead.
(m) Exemption from Automatic Declassification at 25, 50, or 75
years. Agencies may propose to exempt from automatic declassification
specific information, either by reference to information in specific
records, in specific file series of records, or in the form of a
declassification guide, in accordance with section 3.3(j) of the Order.
Agencies may propose to exempt information within five years of, but
not later than one year before the information is subject to automatic
declassification. The agency head or senior agency official, within the
specified timeframe, shall notify the Director of ISOO, serving as the
Executive Secretary of the Panel, of the specific information being
proposed for exemption from automatic declassification.
(n) Delays in the onset of automatic declassification--(1) Media
that make a review for possible declassification exemptions more
difficult or costly. An agency head or senior agency official shall
consult with the Director of the NDC before delaying automatic
declassification for up to five years for classified information
contained in media that make a review for possible declassification
more difficult or costly. When determined by NARA or jointly determined
by NARA and another agency, the following may be delayed
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due to the increased difficulty and cost of conducting declassification
processing:
(i) Records requiring extraordinary preservation or conservation
treatment, to include reformatting, to preclude damage to the records
by declassification processing;
(ii) Records which pose a potential menace to health, life, or
property due to contamination by a hazardous substance; and
(iii) Electronic media if the media is subject to issues of
software or hardware obsolescence or degraded data.
(2) Referred records. Records containing classified information
that originated with other agencies or the disclosure of which would
affect the interests or activities of other agencies and could
reasonably be expected to fall under one or more of the exemption
categories of section 3.3(b) of the Order shall be identified prior to
the onset of automatic declassification for later referral to those
agencies. Declassification reviewers shall be trained periodically on
other agency equities to aid in the proper identification of other
agency equities eligible for referral.
(i) Information properly identified as a referral to another agency
contained in records accessioned by NARA or in the custody of the
presidential libraries shall be subject to automatic declassification
only after the referral has been made available by NARA for agency
review in accordance with Sec. 2001.34, provided the information has
not otherwise been properly exempted by an equity holding agency under
section 3.3 of the Order.
(ii) Information properly identified as a referral to another
agency contained in records maintained in the physical, but not legal,
custody of NARA shall be subject to automatic declassification after
accessioning and in accordance with Sec. 2001.34, provided the
information has not otherwise been properly exempted by an equity
holding agency under section 3.3 of the Order.
(3) Newly discovered records. An agency head or senior agency
official must consult with the Director of ISOO on any decision to
delay automatic declassification of newly discovered records no later
than 90 days, from the discovery of the records. The notification shall
identify the records, their volume, the anticipated date for
declassification, and the circumstances of the discovery. An agency may
be granted up to three years from the date of discovery to make a
declassification, exemption, or referral determination. If referrals to
other agencies are properly identified, they will be handled in
accordance with subparagraphs 2(i) and 2(ii) above.
(4) Integral file blocks. Classified records within an integral
file block that are otherwise subject to automatic declassification
under section 3.3 of the Order shall not be automatically declassified
until December 31 of the year that is 25 years from the date of the
most recent record within the file block. For purposes of automatic
declassification, integral file blocks shall contain only records dated
within ten years of the oldest record in the file block. Integral file
blocks applied prior to December 29, 2009, that cover more than ten
years remain in effect until December 31, 2012, unless an agency
requests an extension from the Director of ISOO on a case-by-case basis
prior to December 31, 2011, which is subsequently approved.
(5) File series exemptions. Agencies seeking to delay the automatic
declassification of a specific series of records as defined in section
6.1(r) of the Order because it almost invariably contains information
that falls within one or more of the exemption categories under section
3.3(b) must submit their request in accordance with section 3.3(c) of
the Order to the Director of ISOO, serving as Executive Secretary of
the Panel, at least one year prior to the onset of automatic
declassification. Once approved by the Panel, the records in the file
series exemption remain subject to section 3.5 of the Order. This delay
applies only to records within the specific file series. Copies of
records within the specific file series or records of a similar topic
to the specific file series located elsewhere may be exempted in
accordance with exemptions approved by the Panel.
(o) Redaction standard. Agencies are encouraged but are not
required to redact documents that contain information that is exempt
from automatic declassification under section 3.3 of the Order,
especially if the information that must remain classified comprises a
relatively small portion of the document. Any such redactions shall be
performed in accordance with policies and procedures established in
accordance with Sec. 2001.45(d).
(p) Restricted Data and Formerly Restricted Data. (1) Restricted
Data and Formerly Restricted Data are excluded from the automatic
declassification requirements in section 3.3 of the Order because they
are classified under the Atomic Energy Act of 1954, as amended.
Restricted Data concerns:
(i) The design, manufacture, or utilization of atomic weapons;
(ii) The production of special nuclear material, e.g., enriched
uranium or plutonium; or
(iii) The use of special nuclear material in the production of
energy.
(2) Formerly Restricted Data is information that is still
classified under the Atomic Energy Act of 1954, as amended, but which
has been removed from the Restricted Data category because it is
related primarily to the military utilization of atomic weapons.
(3) Any document marked as containing Restricted Data or Formerly
Restricted Data or identified as potentially containing unmarked
Restricted Data or Formerly Restricted Data shall be referred to the
Department of Energy in accordance with Sec. 2001.34(b)(8).
(4) Automatic declassification of documents containing Restricted
Data or Formerly Restricted Data is prohibited. Documents marked as
containing Restricted Data or Formerly Restricted Data are excluded
from the automatic declassification provisions of the Order until the
Restricted Data or Formerly Restricted Data designation is properly
removed by the Department of Energy. When the Department of Energy
determines that a Restricted Data or Formerly Restricted Data
designation may be removed, any remaining information classified under
the Order must be referred to the appropriate agency in accordance with
the declassification provisions of the Order and this Directive.
(5) Any document containing information concerning foreign nuclear
programs that was removed from the Restricted Data category in order to
carry out provisions of the National Security Act of 1947, as amended,
shall be referred to the Department of Energy.
(6) The Secretary of Energy shall determine when information
concerning foreign nuclear programs that was removed from the
Restricted Data category in order to carry out the provisions of the
National Security Act of 1947, as amended, may be declassified. Unless
otherwise determined, information concerning foreign nuclear programs
(e.g., intelligence assessments or reports, foreign nuclear program
information provided to the U.S. Government) shall be declassified when
comparable information concerning the United States nuclear program is
declassified. When the Secretary of Energy determines that information
concerning foreign nuclear programs may be declassified, any remaining
information classified under the Order must be referred to the
appropriate agency in accordance with the declassification
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provisions of the Order and this Directive.
Sec. 2001.31 Systematic declassification review.
(a) General. Agencies shall establish systematic review programs
for those records containing information exempted from automatic
declassification. This includes individual records as well as file
series of records. Agencies shall prioritize their review of such
records in accordance with priorities established by the NDC.
Sec. 2001.32 Declassification guides.
(a) Preparation of declassification guides. Beginning one year
after the effective date of this directive, declassification guides
must be submitted to the Director of ISOO, serving as the Executive
Secretary of the Panel, at least one year prior to the onset of
automatic declassification for approval by the Panel. Currently
approved guides remain in effect until a new guide is approved, to the
extent they are otherwise applied consistent with section 3.3(b) of the
Order. The information to be exempted must be narrowly defined, with
sufficient specificity to allow the user to identify the information
with precision. Exemptions must be based upon specific content and not
type of document. Exemptions for general categories of information are
not acceptable. Agencies must prepare guides that clearly delineate
between the exemptions proposed under sections 3.3(b), 3.3(h)(1) and
(2), and 3.3(h)(3).
(b) General content of declassification guides. Declassification
guides must be specific and detailed as to the information requiring
continued classification and clearly and demonstrably explain the
reasons for continued classification. Declassification guides shall:
(1) Be submitted by the agency head or the designated senior agency
official;
(2) Provide the date of issuance or last review;
(3) State precisely the information that the agency proposes to
exempt from automatic declassification and to specifically declassify;
(4) Identify any related files series that have been exempted from
automatic declassification pursuant to section 3.3(c) of the Order; and
(5) To the extent a guide is used in conjunction with the automatic
declassification provisions in section 3.3 of the Order, state
precisely the elements of information to be exempted from
declassification to include:
(i) The appropriate exemption category listed in section 3.3(b),
and, if appropriate, section 3.3(h) of the Order; and
(ii) A date or event for declassification that is in accordance
with section 3.3(b) or section 3.3(h).
(c) Internal review and update. Agency declassification guides
shall be reviewed and updated as circumstances require, but at least
once every five years. Each agency shall maintain a list of its
declassification guides in use.
(d) Dissemination of guides. (1) Declassification guides shall be
disseminated within the agency to be used by all personnel with
declassification review responsibilities.
(2) Declassification guides or detailed declassification guidance
shall be submitted to the Director of the NDC in accordance with
section 3.7(b)(3) of the Order.
Sec. 2001.33 Mandatory review for declassification.
(a) U.S. originated information--(1) Regulations. Each agency shall
publish, and update as needed or required, in the Federal Register
regulations concerning the handling of mandatory declassification
review requests, to include the identity of the person(s) or office(s)
to which requests should be addressed.
(2) Processing--(i) Requests for classified records in the custody
of the originating agency. A valid mandatory declassification review
request must be of sufficient specificity to allow agency personnel to
locate the records containing the information sought with a reasonable
amount of effort. Requests for broad types of information, entire file
series of records, or similar non-specific requests may be denied by
agencies for processing under this section. In responding to mandatory
declassification review requests, agencies shall make a final
determination within one year from the date of receipt. When
information cannot be declassified in its entirety, agencies shall make
reasonable efforts to release, consistent with other applicable laws,
those declassified portions of the requested information that
constitute a coherent segment. Upon denial, in whole or in part, of an
initial request, the agency shall also notify the requestor of the
right of an administrative appeal, which must be filed within 60 days
of receipt of the denial. Agencies receiving mandatory review requests
are expected to conduct a line-by-line review of the record(s) for
public access and are expected to release the information to the
requestor, unless that information is prohibited from release under the
provisions of a statutory authority, such as, but not limited to, the
Freedom of Information Act, (5 U.S.C. 552), as amended, the
Presidential Records Act of 1978 (44 U.S.C. 2201-2207), or the National
Security Act of 1947 (Pub. L. 235, 61 Stat. 496, 50 U.S.C. Chapter 15).
(ii) Requests for classified records in the custody of an agency
other than the originating agency. When an agency receives a mandatory
declassification review request for records in its possession that were
originated by another agency, it shall refer the request and the
pertinent records to the originating agency. However, if the
originating agency has previously agreed that the custodial agency may
review its records, the custodial agency shall review the requested
records in accordance with declassification guides or guidelines
provided by the originating agency. Upon receipt of a request from the
referring agency, the originating agency shall promptly process the
request for declassification and release in accordance with this
section. The originating agency shall communicate its declassification
determination to the referring agency. The referring agency is
responsible for collecting all agency review results and informing the
requestor of any final decision regarding the declassification of the
requested information unless a prior arrangement has been made with the
originating agency.
(iii) Appeals of denials of mandatory declassification review
requests. The agency appellate authority shall normally make a
determination within 60 working days following the receipt of an
appeal. If additional time is required to make a determination, the
agency appellate authority shall notify the requester of the additional
time needed and provide the requester with the reason for the
extension. The agency appellate authority shall notify the requestor in
writing of the final determination and of the reasons for any denial.
The appellate authority must inform the requestor of his or her final
appeal rights to the Panel.
(iv) Appeals to the Interagency Security Classification Appeals
Panel. In accordance with section 5.3(c) of the Order, the Panel shall
publish in the Federal Register the rules and procedures for bringing
mandatory declassification appeals before it.
(v) Records subject to mandatory declassification review. Records
containing information exempted from automatic declassification in
accordance with section 3.3(c) of the Order or with Sec. 2001.30(n)(1)
are still subject to the mandatory declassification review provisions
of section 3.5 of the Order.
[Page 37268]
(b) Foreign government information. Except as provided in this
paragraph, agencies shall process mandatory declassification review
requests for classified records containing foreign government
information in accordance with this section. The declassifying agency
is the agency that initially received or classified the information.
When foreign government information is being considered for
declassification, the declassifying agency shall determine whether the
information is subject to a treaty or international agreement that does
not permit automatic or unilateral declassification. The declassifying
agency or the Department of State, as appropriate, may consult with the
foreign government(s) prior to declassification.
(c) Cryptologic information. Mandatory declassification review
requests for cryptologic information shall be processed in accordance
with special procedures issued by the Secretary of Defense and, when
cryptologic information pertains to intelligence activities, the
Director of National Intelligence.
(d) Intelligence information. Mandatory declassification review
requests for information pertaining to intelligence sources, methods,
and activities shall be processed in accordance with special procedures
issued by the Director of National Intelligence.
(e) Fees. In responding to mandatory declassification review
requests for classified records, agency heads may charge fees in
accordance with 31 U.S.C. 9701 or relevant fee provisions in other
applicable statutes.
(f) Requests filed under mandatory declassification review and the
Freedom of Information Act. When a requester submits a request both
under mandatory declassification review and the Freedom of Information
Act (FOIA), the agency shall require the requestor to select one
process or the other. If the requestor fails to select one or the
other, the request will be treated as a FOIA request unless the
requested materials are subject only to mandatory declassification
review.
(g) FOIA and Privacy Act requests. Agency heads shall process
requests for declassification that are submitted under the provisions
of the FOIA, as amended, or the Privacy Act of 1974 (5 U.S.C. 552a), as
amended, in accordance with the provisions of those Acts.
(h) Redaction standard. Agencies shall redact documents that are
the subject of an access demand unless the overall meaning or
informational value of the document is clearly distorted by redaction.
The specific reason for the redaction, as provided for in section 1.4
or 3.3(b) of the Order, as applicable, must be included for each
redaction. Information that is redacted due to a statutory authority
must be clearly marked with the specific authority that authorizes the
redaction. Any such redactions shall be performed in accordance with
policies and procedures established in accordance with Sec.
2001.45(d).
(i) Limitations on requests. Requests for mandatory
declassification review made to an element of the Intelligence
Community by anyone other than a citizen of the United States or an
alien lawfully admitted for permanent residence, may be denied by the
receiving Intelligence Community element. Documents required to be
submitted for pre-publication review or other administrative process
pursuant to an approved nondisclosure agreement are not subject to
mandatory declassification review.
Sec. 2001.34 Referrals.
(a) General. Referrals are required under sections 3.3(d)(3) and
3.6(b) of the Order in order to ensure the timely, efficient, and
effective processing of reviews and requests and in order to protect
classified information from inadvertent disclosure.
(b) Automatic declassification. The referral process for records
subject to automatic declassification entails identification of records
containing classified information that originated with other agencies
or the disclosure of which would affect the interests or activities of
other agencies. Those records that could reasonably be expected to fall
under one or more of the exemptions in section 3.3(b) of the Order are
eligible for referral. The referral process also entails formal
notification to those agencies, making the records available for review
by those agencies, and recording final agency determinations.
(1) In accordance with section 3.3(d)(3) of the Order, the
identification of records eligible for referral is the responsibility
of the primary reviewing agency and shall be completed prior to the
date of automatic declassification established by section 3.3(a) of the
Order.
(2) Except as otherwise determined by the Director of the NDC,
primary reviewing agencies shall utilize the Standard Form 715,
Government Declassification Review Tab, to tab and identify any Federal
record requiring referral and record the referral in a manner that
provides the referral information in an NDC database system.
(3) Notification of referral of records accessioned into NARA or in
the custody of the presidential libraries, and making the records
available for review, is the responsibility of NARA and shall be
accomplished through the NDC.
(4) Within 180 days of the effective date of this provision, the
NDC shall develop and provide the affected agencies with a
comprehensive and prioritized schedule for the resolution of referrals
contained in accessioned Federal records and Presidential records. The
schedule shall be developed in consultation with the affected agencies,
consider the public interest in the records, and be in accordance with
the authorized delays to automatic declassification set forth in
section 3.3(d) of the Order. The initial schedule shall cover the
balance of the first effective fiscal year and four subsequent fiscal
years. Thereafter, the schedule shall cover five fiscal years. The NDC
shall consult with the affected agencies and update and provide such
schedules annually.
(5) The NDC shall provide formal notification of the availability
of a referral to the receiving agency and records will be subject to
automatic declassification in accordance with the schedule promulgated
by the NDC in paragraph (b)(4) of this section, unless the information
has been properly exempted by an equity holding agency under section
3.3 of the Order.
(6) Records in the physical but not legal custody of NARA shall be
subject to automatic declassification after accessioning and in
accordance with paragraphs (b)(3) and (b)(5) of this section.
(7) Agencies that establish a centralized facility as described in
section 3.7(e) may make direct referrals provided such activities fall
within the priorities and schedule established by the NDC and the
activity is otherwise coordinated with the NDC. In such cases, the
centralized facility is responsible for providing formal notification
of a referral to receiving agencies and for making the records
available for review or direct formal referral to agencies by providing
a copy of the records unless another mechanism is identified in
coordination with the NDC. As established in section 3.3(d)(3)(B),
referrals to agencies from a centralized agency records facility as
described in section 3.7(e) of the Order will be automatically
declassified up to three years after the formal notification has been
made, if the receiving agency fails to provide a final determination.
(8) Records marked as containing Restricted Data or Formerly
Restricted Data or identified as potentially
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containing unmarked Restricted Data or Formerly Restricted Data shall
be referred to the Department of Energy through the NDC. If the
Department of Energy confirms that the document contains Restricted
Data or Formerly Restricted Data, it shall then be excluded from the
automatic declassification provisions of the Order until the Restricted
Data or Formerly Restricted Data designation is properly removed.
(i) When the Department of Energy provides notification that a
Restricted Data or Formerly Restricted Data designation is not
appropriate or when it is properly removed, the record shall be
processed for automatic declassification through the NDC.
(ii) In all cases, should the record be the subject of an access
demand made pursuant to the Order or provision of law, the information
classified pursuant to Executive order (rather than the Atomic Energy
Act, as amended) must stand on its own merits.
(9) The NDC, as well as any centralized agency facility established
under section 3.7(e) of the Order, shall track and document referral
actions and decisions in a manner that facilitates archival processing
for public access. Central agency facilities must work with the NDC to
ensure documentation meets NDC requirements, and transfer all
documentation on pending referral actions and referral decisions to the
NDC when transferring the records to NARA.
(10) In all cases, receiving agencies shall acknowledge receipt of
formal referral notifications in a timely manner. If a disagreement
arises concerning referral notifications, the Director of ISOO will
determine the automatic declassification date and notify the senior
agency official, as well as the NDC or the primary reviewing agency.
(11) Remote Archives Capture (RAC). Presidential records or
materials scanned in the RAC process shall be prioritized and scheduled
for review by the NDC. The initial notification shall be made to the
agency with primary equity, which shall have up to one year to act on
its information and to identify all other equities eligible for
referral. All such additional referrals in an individual record shall
be made at the same time, and once notified by the NDC of an eligible
referral, such receiving agencies shall have up to one year to review
the records before the onset of automatic declassification.
(c) Agencies eligible to receive referrals. The Director of ISOO
will publish annually a list of those agencies eligible to receive
referrals for each calendar year.
(d) Systematic declassification review. The identification of
equities shall be accomplished in accordance with paragraph (b) of this
section. Priorities for review will be established by the NDC.
(e) Identification of interests other than national security.
Referrals under sections 3.3(d)(3) and 3.6(b) of the Order shall be
assumed to be intended for later public release unless withholding is
otherwise authorized and warranted under applicable law. If a receiving
agency proposes to withhold any such information, it must notify the
referring agency at the time they otherwise respond to the referral.
Such notification shall identify the specific information at issue and
the pertinent law.
Sec. 2001.35 Discretionary declassification.
(a) In accordance with section 3.1(d) of the Order, agencies may
declassify information when the public interest in disclosure outweighs
the need for continued classification.
(b) Agencies may also establish a discretionary declassification
program that is separate from their automatic, systematic, and
mandatory review programs.
Sec. 2001.36 Classified information in the custody of private
organizations or individuals.
(a) Authorized holders. Agencies may allow for the holding of
classified information by a private organization or individual provided
that all access and safeguarding requirements of the Order have been
met. Agencies must provide declassification assistance to such
organizations or individuals.
(b) Others. Anyone who becomes aware of organizations or
individuals who possess potentially classified national security
information outside of government control must contact the Director of
ISOO for guidance and assistance. The Director of ISOO, in consultation
with other agencies, as appropriate, will ensure that the safeguarding
and declassification requirements of the Order are met.
Sec. 2001.37 Assistance to the Department of State.
Heads of agencies shall assist the Department of State in its
preparation of the Foreign Relations of the United States (FRUS) series
by facilitating access to appropriate classified materials in their
custody and by expediting declassification review of documents proposed
for inclusion in the FRUS. If an agency fails to provide a final
declassification review determination regarding a Department of State
referral within 120 days of the date of the referral, or if applicable,
within 120 days of the date of a High Level Panel decision, the
Department of State, consistent with 22 U.S.C. 4353 and any
implementing agency procedures, may seek the assistance of the Panel.
Subpart E--Safeguarding
Sec. 2001.40 General.
(a) Classified information, regardless of its form, shall be
afforded a level of protection against loss or unauthorized disclosure
commensurate with its level of classification.
(b) Except for foreign government information, agency heads or
their designee(s) may adopt alternative measures, using risk management
principles, to protect against loss or unauthorized disclosure when
necessary to meet operational requirements. When alternative measures
are used for other than temporary, unique situations, the alternative
measures shall be documented and provided to the Director of ISOO. Upon
request, the description shall be provided to any other agency with
which classified information or secure facilities are shared. In all
cases, the alternative measures shall provide protection sufficient to
reasonably deter and detect loss or unauthorized disclosure. Risk
management factors considered will include sensitivity, value, and
crucial nature of the information; analysis of known and anticipated
threats; vulnerability; and countermeasure benefits versus cost.
(c) North Atlantic Treaty Organization (NATO) classified
information shall be safeguarded in compliance with U.S. Security
Authority for NATO Instruction (USSAN) 1-07. Other foreign government
information shall be safeguarded as described herein for U.S.
information except as required by an existing treaty, agreement or
other obligation (hereinafter, obligation). When the information is to
be safeguarded pursuant to an existing obligation, the additional
requirements at Sec. 2001.54 may apply to the extent they were
required in the obligation as originally negotiated or are agreed upon
during amendment. Negotiations on new obligations or amendments to
existing obligations shall strive to bring provisions for safeguarding
foreign government information into accord with standards for
safeguarding U.S. information as described in this Directive.
(d) Need-to-know determinations. (1) Agency heads, through their
designees, shall identify organizational missions
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and personnel requiring access to classified information to perform or
assist in authorized governmental functions. These mission and
personnel requirements are determined by the functions of an agency or
the roles and responsibilities of personnel in the course of their
official duties. Personnel determinations shall be consistent with
section 4.1(a) of the Order.
(2) In instances where the provisions of section 4.1(a) of the
Order are met, but there is a countervailing need to restrict the
information, disagreements that cannot be resolved shall be referred by
agency heads or designees to either the Director of ISOO or, with
respect to the Intelligence Community, the Director of National
Intelligence, as appropriate. Disagreements concerning information
protected under section 4.3 of the Order shall instead be referred to
the appropriate official named in section 4.3 of the Order.
Sec. 2001.41 Responsibilities of holders.
Authorized persons who have access to classified information are
responsible for:
(a) Protecting it from persons without authorized access to that
information, to include securing it in approved equipment or facilities
whenever it is not under the direct control of an authorized person;
(b) Meeting safeguarding requirements prescribed by the agency
head; and
(c) Ensuring that classified information is not communicated over
unsecured voice or data circuits, in public conveyances or places, or
in any other manner that permits interception by unauthorized persons.
Sec. 2001.42 Standards for security equipment.
(a) Storage. The Administrator of the General Services
Administration (GSA) shall, in coordination with agency heads
originating classified information, establish and publish uniform
standards, specifications, qualified product lists or databases, and
supply schedules for security equipment designed to provide secure
storage for classified information. Whenever new secure storage
equipment is procured, it shall be in conformance with the standards
and specifications established by the Administrator of the GSA, and
shall, to the maximum extent possible, be of the type available through
the Federal Supply System.
(b) Destruction. Effective January 1, 2011, only equipment listed
on an Evaluated Products List (EPL) issued by the National Security
Agency (NSA) may be utilized to destroy classified information using
any method covered by an EPL. However, equipment approved for use prior
to January 1, 2011, and not found on an EPL, may be utilized for the
destruction of classified information until December 31, 2016. Unless
NSA determines otherwise, whenever an EPL is revised, equipment removed
from an EPL may be utilized for the destruction of classified
information up to six years from the date of its removal from an EPL.
In all cases, if any such previously approved equipment needs to be
replaced or otherwise requires a rebuild or replacement of a critical
assembly, the unit must be taken out of service for the destruction in
accordance with this section. The Administrator of the GSA shall, to
the maximum extent possible, coordinate supply schedules and otherwise
seek to make equipment on an EPL available through the Federal Supply
System.
Sec. 2001.43 Storage.
(a) General. Classified information shall be stored only under
conditions designed to deter and detect unauthorized access to the
information. Storage at overseas locations shall be at U.S. Government-
controlled facilities unless otherwise stipulated in treaties or
international agreements. Overseas storage standards for facilities
under a Chief of Mission are promulgated under the authority of the
Overseas Security Policy Board.
(b) Requirements for physical protection--(1) Top Secret. Top
Secret information shall be stored in a GSA-approved security
container, a vault built to Federal Standard (FED STD) 832, or an open
storage area constructed in accordance with Sec. 2001.53. In addition,
supplemental controls are required as follows:
(i) For GSA-approved containers, one of the following supplemental
controls:
(A) Inspection of the container every two hours by an employee
cleared at least to the Secret level;
(B) An Intrusion Detection System (IDS) with the personnel
responding to the alarm arriving within 15 minutes of the alarm
annunciation. Acceptability of Intrusion Detection Equipment (IDE): All
IDE must be in accordance with standards approved by ISOO. Government
and proprietary installed, maintained, or furnished systems are subject
to approval only by the agency head; or
(C) Security-In-Depth coverage of the area in which the container
is located, provided the container is equipped with a lock meeting
Federal Specification FF-L-2740.
(ii) For open storage areas covered by Security-In-Depth, an IDS
with the personnel responding to the alarm arriving within 15 minutes
of the alarm annunciation.
(iii) For open storage areas not covered by Security-In-Depth,
personnel responding to the alarm shall arrive within five minutes of
the alarm annunciation.
(2) Secret. Secret information shall be stored in the same manner
as Top Secret information or, until October 1, 2012, in a non-GSA-
approved container having a built-in combination lock or in a non-GSA-
approved container secured with a rigid metal lockbar and an agency
head approved padlock. Security-In-Depth is required in areas in which
a non-GSA-approved container or open storage area is located. Except
for storage in a GSA-approved container or a vault built to FED STD
832, one of the following supplemental controls is required:
(i) Inspection of the container or open storage area every four
hours by an employee cleared at least to the Secret level; or
(ii) An IDS with the personnel responding to the alarm arriving
within 30 minutes of the alarm annunciation.
(3) Confidential. Confidential information shall be stored in the
same manner as prescribed for Top Secret or Secret information except
that supplemental controls are not required.
(c) Combinations. Use and maintenance of dial-type locks and other
changeable combination locks.
(1) Equipment in service. Combinations to dial-type locks shall be
changed only by persons authorized access to the level of information
protected unless other sufficient controls exist to prevent access to
the lock or knowledge of the combination. Combinations shall be changed
under the following conditions:
(i) Whenever such equipment is placed into use;
(ii) Whenever a person knowing the combination no longer requires
access to it unless other sufficient controls exist to prevent access
to the lock; or
(iii) Whenever a combination has been subject to possible
unauthorized disclosure.
(2) Equipment out of service. When security equipment is taken out
of service, it shall be inspected to ensure that no classified
information remains and the combination lock should be reset to a
standard combination of 50-25-50 for built-in combination locks or 10-
20-30 for combination padlocks.
(d) Key operated locks. When special circumstances exist, an agency
head may approve the use of key operated locks for the storage of
Secret and Confidential information. Whenever such locks are used,
administrative
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procedures for the control and accounting of keys and locks shall be
included in implementing regulations required under section 5.4(d)(2)
of the Order.
(e) Repairs. The neutralization and repair of GSA-approved security
containers and vault doors will be in accordance with FED STD 809.
Sec. 2001.44 Reciprocity of use and inspection of facilities.
(a) Once a facility is authorized, approved, certified, or
accredited for classified use, then all agencies desiring to conduct
classified work in the designated space(s) at the same security level
shall accept the authorization, approval, certification, or
accreditation without change, enhancements, or upgrades provided that
no waiver, exception, or deviation has been issued or approved. In the
event that a waiver exception, or deviation was granted in the original
accreditation of the designated space(s), an agency seeking to utilize
the designated facility space may require that a risk mitigation
strategy be implemented or agreed upon prior to using the space(s).
(b) Subsequent security inspections or reviews for authorization,
approval, certification, or accreditation purposes shall normally be
conducted no more frequently than annually unless otherwise required
due to a change in the designated facility space(s) or due to a change
in the use or ownership of the facility space(s). This does not imply a
formal one-year inspection or review requirement or establish any other
formal period for inspections or review.
Sec. 2001.45 Information controls.
(a) General. Agency heads shall establish a system of control
measures which assure that access to classified information is provided
to authorized persons. The control measures shall be appropriate to the
environment in which the access occurs and the nature and volume of the
information. The system shall include technical, physical, and
personnel control measures. Administrative control measures which may
include records of internal distribution, access, generation,
inventory, reproduction, and disposition of classified information
shall be required when technical, physical and personnel control
measures are insufficient to deter and detect access by unauthorized
persons.
(1) Combinations. Combinations to locks used to secure vaults, open
storage areas, and security containers that are approved for the
safeguarding of classified information shall be protected in the same
manner as the highest level of classified information that the vault,
open storage area, or security container is used to protect.
(2) Computer and information system passwords. Passwords shall be
protected in the same manner as the highest level of classified
information that the computer or system is certified and accredited to
process. Passwords shall be changed on a frequency determined to be
sufficient to meet the level of risk assessed by the agency.
(b) Reproduction. Reproduction of classified information shall be
held to the minimum consistent with operational requirements. The
following additional control measures shall be taken:
(1) Reproduction shall be accomplished by authorized persons
knowledgeable of the procedures for classified reproduction;
(2) Unless restricted by the originating agency, Top Secret,
Secret, and Confidential information may be reproduced to the extent
required by operational needs, or to facilitate review for
declassification;
(3) Copies of classified information shall be subject to the same
controls as the original information; and
(4) The use of technology that prevents, discourages, or detects
the unauthorized reproduction of classified information is encouraged.
(c) Forms. The use of standard forms prescribed in Subpart H of
this part is mandatory for all agencies that create and/or handle
national security information.
(d) Redaction--(1) Policies and procedures. Classified information
may be subject to loss, compromise, or unauthorized disclosure if it is
not correctly redacted. Agencies shall establish policies and
procedures for the redaction of classified information from documents
intended for release. Such policies and procedures require the approval
of the agency head and shall be sufficiently detailed to ensure that
redaction is performed consistently and reliably, using only approved
redaction methods that permanently remove the classified information
from copies of the documents intended for release. Agencies shall
ensure that personnel who perform redaction fully understand the
policies, procedures, and methods and are aware of the vulnerabilities
surrounding the process.
(2) Technical guidance for redaction. Technical guidance concerning
appropriate methods, equipment, and standards for the redaction of
classified electronic and optical media shall be issued by NSA.
Sec. 2001.46 Transmission.
(a) General. Classified information shall be transmitted and
received in an authorized manner which ensures that evidence of
tampering can be detected, that inadvertent access can be precluded,
and that provides a method which assures timely delivery to the
intended recipient. Persons transmitting classified information are
responsible for ensuring that intended recipients are authorized
persons with the capability to store classified information in
accordance with this Directive.
(b) Dispatch. Agency heads shall establish procedures which ensure
that:
(1) All classified information physically transmitted outside
facilities shall be enclosed in two layers, both of which provide
reasonable evidence of tampering and which conceal the contents. The
inner enclosure shall clearly identify the address of both the sender
and the intended recipient, the highest classification level of the
contents, and any appropriate warning notices. The outer enclosure
shall be the same except that no markings to indicate that the contents
are classified shall be visible. Intended recipients shall be
identified by name only as part of an attention line. The following
exceptions apply:
(i) If the classified information is an internal component of a
packable item of equipment, the outside shell or body may be considered
as the inner enclosure provided it does not reveal classified
information;
(ii) If the classified information is an inaccessible internal
component of a bulky item of equipment, the outside or body of the item
may be considered to be a sufficient enclosure provided observation of
it does not reveal classified information;
(iii) If the classified information is an item of equipment that is
not reasonably packable and the shell or body is classified, it shall
be concealed with an opaque enclosure that will hide all classified
features;
(iv) Specialized shipping containers, including closed cargo
transporters or diplomatic pouch, may be considered the outer enclosure
when used; and
(v) When classified information is hand-carried outside a facility,
a locked briefcase may serve as the outer enclosure.
(2) Couriers and authorized persons designated to hand-carry
classified information shall ensure that the information remains under
their constant and continuous protection and that direct point-to-point
delivery is made. As an exception, agency heads may approve, as a
substitute for a courier on direct flights, the use of
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specialized shipping containers that are of sufficient construction to
provide evidence of forced entry, are secured with a combination
padlock meeting Federal Specification FF-P-110, are equipped with an
electronic seal that would provide evidence of surreptitious entry and
are handled by the carrier in a manner to ensure that the container is
protected until its delivery is completed.
(c) Transmission methods within and between the U.S., Puerto Rico,
or a U.S. possession or trust territory.
(1) Top Secret. Top Secret information shall be transmitted by
direct contact between authorized persons; the Defense Courier Service
or an authorized government agency courier service; a designated
courier or escort with Top Secret clearance; electronic means over
approved communications systems. Under no circumstances will Top Secret
information be transmitted via the U.S. Postal Service or any other
cleared or uncleared commercial carrier.
(2) Secret. Secret information shall be transmitted by:
(i) Any of the methods established for Top Secret; U.S. Postal
Service Express Mail and U.S. Postal Service Registered Mail, as long
as the Waiver of Signature block on the U.S. Postal Service Express
Mail Label shall not be completed; and cleared commercial carriers or
cleared commercial messenger services. The use of street-side mail
collection boxes is strictly prohibited; and
(ii) Agency heads may, when a requirement exists for overnight
delivery within the U.S. and its Territories, authorize the use of the
current holder of the GSA contract for overnight delivery of
information for the Executive Branch as long as applicable postal
regulations (39 CFR. Chapter I) are met. Any such delivery service
shall be U.S. owned and operated, provide automated in-transit tracking
of the classified information, and ensure package integrity during
transit. The contract shall require cooperation with government
inquiries in the event of a loss, theft, or possible unauthorized
disclosure of classified information. The sender is responsible for
ensuring that an authorized person will be available to receive the
delivery and verification of the correct mailing address. The package
may be addressed to the recipient by name. The release signature block
on the receipt label shall not be executed under any circumstances. The
use of external (street side) collection boxes is prohibited.
Classified Communications Security Information, NATO, and foreign
government information shall not be transmitted in this manner.
(3) Confidential. Confidential information shall be transmitted by
any of the methods established for Secret information or U.S. Postal
Service Certified Mail. In addition, when the recipient is a U.S.
Government facility, the Confidential information may be transmitted
via U.S. First Class Mail. However, Confidential information shall not
be transmitted to government contractor facilities via first class
mail. When first class mail is used, the envelope or outer wrapper
shall be marked to indicate that the information is not to be
forwarded, but is to be returned to sender. The use of streetside mail
collection boxes is prohibited.
(d) Transmission methods to a U.S. Government facility located
outside the U.S. The transmission of classified information to a U.S.
Government facility located outside the 50 states, the District of
Columbia, the Commonwealth of Puerto Rico, or a U.S. possession or
trust territory, shall be by methods specified above for Top Secret
information or by the Department of State Courier Service. U.S.
Registered Mail through Military Postal Service facilities may be used
to transmit Secret and Confidential information provided that the
information does not at any time pass out of U.S. citizen control nor
pass through a foreign postal system.
(e) Transmission of U.S. classified information to foreign
governments. Such transmission shall take place between designated
government representatives using the government-to-government
transmission methods described in paragraph (d) of this section or
through channels agreed to by the National Security Authorities of the
two governments. When classified information is transferred to a
foreign government or its representative a signed receipt is required.
(f) Receipt of classified information. Agency heads shall establish
procedures which ensure that classified information is received in a
manner which precludes unauthorized access, provides for inspection of
all classified information received for evidence of tampering and
confirmation of contents, and ensures timely acknowledgment of the
receipt of Top Secret and Secret information by an authorized
recipient. As noted in paragraph (e) of this section, a receipt
acknowledgment of all classified material transmitted to a foreign
government or its representative is required.
Sec. 2001.47 Destruction.
Classified information identified for destruction shall be
destroyed completely to preclude recognition or reconstruction of the
classified information in accordance with procedures and methods
prescribed by agency heads. The methods and equipment used to routinely
destroy classified information include burning, cross-cut shredding,
wet-pulping, melting, mutilation, chemical decomposition or
pulverizing. Agencies shall comply with the destruction equipment
standard stated in Sec. 2001.42(b) of this Directive.
Sec. 2001.48 Loss, possible compromise or unauthorized disclosure.
(a) General. Any person who has knowledge that classified
information has been or may have been lost, possibly compromised or
disclosed to an unauthorized person(s) shall immediately report the
circumstances to an official designated for this purpose.
(b) Cases involving information originated by a foreign government
or another U.S. government agency. Whenever a loss or possible
unauthorized disclosure involves the classified information or
interests of a foreign government agency, or another U.S. government
agency, the department or agency in which the compromise occurred shall
advise the other government agency or foreign government of the
circumstances and findings that affect their information or interests.
However, foreign governments normally will not be advised of any
security system vulnerabilities that contributed to the compromise.
(c) Inquiry/investigation and corrective actions. Agency heads
shall establish appropriate procedures to conduct an inquiry/
investigation of a loss, possible compromise or unauthorized disclosure
of classified information, in order to implement appropriate corrective
actions, which may include disciplinary sanctions, and to ascertain the
degree of damage to national security.
(d) Reports to ISOO. In accordance with section 5.5(e)(2) of the
Order, agency heads or senior agency officials shall notify the
Director of ISOO when a violation occurs under paragraphs 5.5(b)(1),
(2), or (3) of the Order that:
(1) Is reported to oversight committees in the Legislative branch;
(2) May attract significant public attention;
(3) Involves large amounts of classified information; or
(4) Reveals a potential systemic weakness in classification,
safeguarding, or declassification policy or practices.
(e) Department of Justice and legal counsel coordination. Agency
heads shall establish procedures to ensure coordination with legal
counsel whenever a formal action, beyond a
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reprimand, is contemplated against any person believed responsible for
the unauthorized disclosure of classified information. Whenever a
criminal violation appears to have occurred and a criminal prosecution
is contemplated, agency heads shall use established procedures to
ensure coordination with:
(1) The Department of Justice, and
(2) The legal counsel of the agency where the individual
responsible is assigned or employed.
Sec. 2001.49 Special access programs.
(a) General. The safeguarding requirements of this Directive may be
enhanced for information in special access programs (SAP), established
under the provisions of section 4.3 of the Order by the agency head
responsible for creating the SAP. Agency heads shall ensure that the
enhanced controls are based on an assessment of the value, critical
nature, and vulnerability of the information.
(b) Significant interagency support requirements. Agency heads must
ensure that a Memorandum of Agreement/Understanding is established for
each SAP that has significant interagency support requirements, to
appropriately and fully address support requirements and supporting
agency oversight responsibilities for that SAP.
Sec. 2001.50 Telecommunications automated information systems and
network security.
Each agency head shall ensure that classified information
electronically accessed, processed, stored or transmitted is protected
in accordance with applicable national policy issuances identified in
the Committee on National Security Systems (CNSS) issuances and the
Intelligence Community Directive (ICD) 503, Intelligence Community
Information Technology Systems Security Risk Management, Certification,
and Accreditation.
Sec. 2001.51 Technical security.
Based upon the risk management factors referenced in Sec. 2001.40
of this directive, agency heads shall determine the requirement for
technical countermeasures such as Technical Surveillance
Countermeasures and TEMPEST necessary to detect or deter exploitation
of classified information through technical collection methods and may
apply countermeasures in accordance with NSTISSI 7000, TEMPEST
Countermeasures for Facilities, and SPB Issuance 6-97, National Policy
on Technical Surveillance Countermeasures.
Sec. 2001.52 Emergency authority.
(a) Agency heads or any designee may prescribe special provisions
for the dissemination, transmission, safeguarding, and destruction of
classified information during certain emergency situations.
(b) In emergency situations, in which there is an imminent threat
to life or in defense of the homeland, agency heads or designees may
authorize the disclosure of classified information to an individual or
individuals who are otherwise not routinely eligible for access under
the following conditions:
(1) Limit the amount of classified information disclosed to the
absolute minimum to achieve the purpose;
(2) Limit the number of individuals who receive it;
(3) Transmit the classified information via approved Federal
Government channels by the most secure and expeditious method to
include those required in Sec. 2001.46, or other means deemed
necessary when time is of the essence;
(4) Provide instructions about what specific information is
classified and how it should be safeguarded; physical custody of
classified information must remain with an authorized Federal
Government entity, in all but the most extraordinary circumstances;
(5) Provide appropriate briefings to the recipients on their
responsibilities not to disclose the information and obtain a signed
nondisclosure agreement;
(6) Within 72 hours of the disclosure of classified information, or
the earliest opportunity that the emergency permits, but no later than
30 days after the release, the disclosing authority must notify the
originating agency of the information by providing the following
information:
(i) A description of the disclosed information;
(ii) To whom the information was disclosed;
(iii) How the information was disclosed and transmitted;
(iv) Reason for the emergency release;
(v) How the information is being safeguarded; and
(vi) A description of the briefings provided and a copy of the
nondisclosure agreements signed.
(7) Information disclosed in emergency situations shall not be
required to be declassified as a result of such disclosure or
subsequent use by a recipient.
Sec. 2001.53 Open storage areas.
This section describes the minimum construction standards for open
storage areas.
(a) Construction. The perimeter walls, floors, and ceiling will be
permanently constructed and attached to each other. All construction
must be done in a manner as to provide visual evidence of unauthorized
penetration.
(b) Doors. Doors shall be constructed of wood, metal, or other
solid material. Entrance doors shall be secured with a built-in GSA-
approved three-position combination lock. When special circumstances
exist, the agency head may authorize other locks on entrance doors for
Secret and Confidential storage. Doors other than those secured with
the aforementioned locks shall be secured from the inside with either
deadbolt emergency egress hardware, a deadbolt, or a rigid wood or
metal bar which extends across the width of the door, or by other means
approved by the agency head.
(c) Vents, ducts, and miscellaneous openings. All vents, ducts, and
similar openings in excess of 96 square inches (and over 6 inches in
its smallest dimension) that enter or pass through an open storage area
shall be protected with either bars, expanded metal grills, commercial
metal sounds baffles, or an intrusion detection system.
(d) Windows. (1) All windows which might reasonably afford visual
observation of classified activities within the facility shall be made
opaque or equipped with blinds, drapes, or other coverings.
(2) Windows within 18 feet of the ground will be constructed from
or covered with materials which provide protection from forced entry.
The protection provided to the windows need be no stronger than the
strength of the contiguous walls. Open storage areas which are located
within a controlled compound or equivalent may eliminate the
requirement for forced entry protection if the windows are made
inoperable either by permanently sealing them or equipping them on the
inside with a locking mechanism and they are covered by an IDS (either
independently or by the motion detection sensors within the area).
Sec. 2001.54 Foreign government information.
The requirements described below are additional baseline
safeguarding standards that may be necessary for foreign government
information, other than NATO information, that requires protection
pursuant to an existing treaty, agreement, bilateral exchange or other
obligation. NATO classified information shall be safeguarded in
compliance with USSAN 1-07. To the extent practical, and to facilitate
its control, foreign government information
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should be stored separately from other classified information. To avoid
additional costs, separate storage may be accomplished by methods such
as separate drawers of a container. The safeguarding standards
described in paragraphs (a) through (e) of this section may be modified
if required or permitted by treaties or agreements, or for other
obligations, with the prior written consent of the National Security
Authority of the originating government, hereafter ``originating
government.''
(a) Top Secret. Records shall be maintained of the receipt,
internal distribution, destruction, access, reproduction, and
transmittal of foreign government Top Secret information. Reproduction
requires the consent of the originating government. Destruction will be
witnessed.
(b) Secret. Records shall be maintained of the receipt, external
dispatch and destruction of foreign government Secret information.
Other records may be necessary if required by the originator. Secret
foreign government information may be reproduced to meet mission
requirements unless prohibited by the originator. Reproduction shall be
recorded unless this requirement is waived by the originator.
(c) Confidential. Records need not be maintained for foreign
government Confidential information unless required by the originator.
(d) Restricted and other foreign government information provided in
confidence. In order to assure the protection of other foreign
government information provided in confidence (e.g., foreign government
``Restricted,'' ``Designated,'' or unclassified provided in
confidence), such information must be classified under the Order. The
receiving agency, or a receiving U.S. contractor, licensee, grantee, or
certificate holder acting in accordance with instructions received from
the U.S. Government, shall provide a degree of protection to the
foreign government information at least equivalent to that required by
the government or international organization that provided the
information. When adequate to achieve equivalency, these standards may
be less restrictive than the safeguarding standards that ordinarily
apply to U.S. Confidential information. If the foreign protection
requirement is lower than the protection required for U.S. Confidential
information, the following requirements shall be met:
(1) Documents may retain their original foreign markings if the
responsible agency determines that these markings are adequate to meet
the purposes served by U.S. classification markings. Otherwise,
documents shall be marked, ``This document contains (insert name of
country) (insert classification level) information to be treated as
U.S. (insert classification level).'' The notation, ``Modified Handling
Authorized,'' may be added to either the foreign or U.S. markings
authorized for foreign government information. If remarking foreign
originated documents or matter is impractical, an approved cover sheet
is an authorized option;
(2) Documents shall be provided only to persons in accordance with
sections 4.1(a) and (h) of the Order;
(3) Individuals being given access shall be notified of applicable
handling instructions. This may be accomplished by a briefing, written
instructions, or by applying specific handling requirements to an
approved cover sheet;
(4) Documents shall be stored in such a manner so as to prevent
unauthorized access;
(5) Documents shall be transmitted in a method approved for
classified information, unless this method is waived by the originating
government.
(e) Third-country transfers. The release or disclosure of foreign
government information to any third-country entity must have the prior
consent of the originating government if required by a treaty,
agreement, bilateral exchange, or other obligation.
Sec. 2001.55 Foreign disclosure of classified information.
Classified information originating in one agency may be
disseminated by any other agency to which it has been made available to
a foreign government or international organization of governments, or
any element thereof, in accordance with statute, the Order, directives
implementing the Order, direction of the President, or with the consent
of the originating agency, unless the originating agency has determined
that prior authorization is required for such dissemination and has
marked or indicated such requirement on the medium containing the
classified information. Markings used to implement this section shall
be approved in accordance with Sec. 2001.24(j). With respect to the
Intelligence Community, the Director of National Intelligence may issue
policy directives or guidelines pursuant to section 6.2(b) of the Order
that modify such prior authorization.
Subpart F--Self-Inspections
Sec. 2001.60 General.
(a) Purpose. This subpart sets standards for establishing and
maintaining an ongoing agency self-inspection program, which shall
include regular reviews of representative samples of the agency's
original and derivative classification actions.
(b) Responsibility. The senior agency official is responsible for
directing and administering the agency's self-inspection program. The
senior agency official shall designate agency personnel to assist in
carrying out this responsibility. The program shall be structured to
provide the senior agency official with information necessary to assess
the effectiveness of the classified national security information
program within individual agency activities and the agency as a whole,
in order to enable the senior agency official to fulfill his or her
responsibility to oversee the agency's program under section 5.4(d) of
the Order.
(c) Approach. The senior agency official shall determine the means
and methods for the conduct of self-inspections.
(1) Self-inspections should evaluate the adherence to the
principles and requirements of the Order and this directive and the
effectiveness of agency programs covering original classification,
derivative classification, declassification, safeguarding, security
violations, security education and training, and management and
oversight.
(2) Regular reviews of representative samples of the agency's
original and derivative classification actions shall encompass all
agency activities that generate classified information. They shall
include a sample of varying types of classified information (in
document and electronic format such as e-mail) to provide a
representative sample of the activity's classification actions. The
sample shall be proportionally sufficient to enable a credible
assessment of the agency's classified product. Agency personnel who are
assigned to conduct reviews of agencies' original and derivative
classification actions shall be knowledgeable of the classification and
marking requirements of the Order and this directive, and have access
to pertinent security classification guides. In accordance with section
5.4(d)(4) of the Order, the senior agency official shall authorize
appropriate agency officials to correct misclassification actions.
(3) Self-inspections should include a review of relevant security
directives and instructions, as well as interviews with producers and
users of classified information.
(d) Frequency. Self-inspections shall be regular, ongoing, and
conducted at least annually with the senior agency
[Page 37275]
official setting the frequency on the basis of program needs and the
degree of classification activity. Activities that generate significant
amounts of classified information shall include a representative sample
of their original and derivative classification actions.
(e) Coverage. The senior agency official shall establish self-
inspection coverage requirements based on program and policy needs.
Agencies with special access programs shall evaluate those programs in
accordance with sections 4.3(b)(2) and (4) of the Order, at least
annually.
(f) Reporting. Agencies shall document the findings of self-
inspections internally.
(1) Internal. The senior agency official shall set the format for
documenting self-inspection findings. As part of corrective action for
findings and other concerns of a systemic nature, refresher security
education and training should address the underlying cause(s) of the
issue.
(2) External. The senior agency official shall report annually to
the Director of ISOO on the agency's self-inspection program. This
report shall include:
(i) A description of the agency's self-inspection program to
include activities assessed, program areas covered, and methodology
utilized;
(ii) The assessment and a summary of the findings of the agency
self-inspections in the following program areas: Original
classification, derivative classification, declassification,
safeguarding, security violations, security education and training, and
management and oversight;
(iii) Specific information with regard to the findings of the
annual review of the agency's original and derivative classification
actions to include the volume of classified materials reviewed and the
number and type of discrepancies that were identified;
(iv) Actions that have been taken or are planned to correct
identified deficiencies or misclassification actions, and to deter
their reoccurrence; and
(v) Best practices that were identified during self-inspections.
Subpart G--Security Education and Training
Sec. 2001.70 General.
(a) Purpose. This subpart sets standards for agency security
education and training programs. Implementation of these standards
should:
(1) Ensure that all executive branch employees who create, process,
or handle classified information have a satisfactory knowledge and
understanding of classification, safeguarding, and declassification
policies and procedures;
(2) Increase uniformity in the conduct of agency security education
and training programs; and
(3) Reduce instances of over-classification or improper
classification, improper safeguarding, and inappropriate or inadequate
declassification practices.
(b) Responsibility. The senior agency official is responsible for
the agency's security education and training program. The senior agency
official shall designate agency personnel, as necessary, to assist in
carrying out this responsibility.
(c) Approach. Security education and training should be tailored to
meet the specific needs of the agency's security program and the
specific roles employees are expected to play in that program. The
agency official(s) responsible for the program shall determine the
means and methods for providing security education and training.
Training methods may include briefings, interactive videos,
dissemination of instructional materials, on-line presentations, and
other media and methods. Each agency shall maintain records about the
programs it has offered and employee participation in them.
(d) Frequency. The frequency of agency security education and
training will vary in accordance with the needs of the agency's
security classification program, subject to the following requirements:
(1) Initial training shall be provided to every person who has met
the standards for access to classified information in accordance with
section 4.1 of the Order.
(2) Original classification authorities shall receive training in
proper classification and declassification prior to originally
classifying information and at least once each calendar year
thereafter.
(3) Persons who apply derivative classification markings shall
receive training in the proper application of the derivative
classification principles of the Order prior to derivatively
classifying information and at least once every two years.
(4) Each agency shall provide some form of refresher security
education and training at least annually for all its personnel who
handle or generate classified information.
Sec. 2001.71 Coverage.
(a) General. Each department or agency shall establish and maintain
a formal security education and training program which provides for
initial training, refresher training, specialized training, and
termination briefings. This subpart establishes fundamental security
education and training standards for original classification
authorities, derivative classifiers, declassification authorities,
security managers, classification management officers, security
specialists, and all other personnel whose duties significantly involve
the creation or handling of classified information. Agency officials
responsible for the security education and training programs should
determine the specific training to be provided according to the
agency's program and policy needs.
(b) Initial training. All cleared agency personnel shall receive
initial training on basic security policies, principles, practices, and
criminal, civil, and administrative penalties. Such training must be
provided in conjunction with the granting of a security clearance, and
prior to accessing classified information.
(c) Training for original classification authorities. Original
classification authorities shall be provided detailed training on
proper classification and declassification, with an emphasis on the
avoidance of over-classification. At a minimum, the training shall
cover classification standards, classification levels, classification
authority, classification categories, duration of classification,
identification and markings, classification prohibitions and
limitations, sanctions, classification challenges, security
classification guides, and information sharing.
(1) Personnel shall receive this training prior to originally
classifying information.
(2) In addition to this initial training, original classification
authorities shall receive training in proper classification and
declassification at least once each calendar year.
(3) Original classification authorities who do not receive such
mandatory training at least once within a calendar year shall have
their classification authority suspended until such training has taken
place.
(i) An agency head, deputy agency head, or senior agency official
may grant a waiver of this requirement if an individual is unable to
receive this training due to unavoidable circumstances. All such
waivers shall be documented.
(ii) Whenever such a waiver is granted, the individual shall
receive the required training as soon as practicable.
(d) Training for persons who apply derivative classification
markings. Persons who apply derivative classification markings shall
receive
[Page 37276]
training in the proper application of the derivative classification
principles of the Order, emphasizing the avoidance of over-
classification. At a minimum, the training shall cover the principles
of derivative classification, classification levels, duration of
classification, identification and markings, classification
prohibitions and limitations, sanctions, classification challenges,
security classification guides, and information sharing.
(1) Personnel shall receive this training prior to derivatively
classifying information.
(2) In addition to this preparatory training, derivative
classifiers shall receive such training at least once every two years.
(3) Derivative classifiers who do not receive such mandatory
training at least once every two years shall have their authority to
apply derivative classification markings suspended until they have
received such training.
(i) An agency head, deputy agency head, or senior agency official
may grant a waiver of this requirement if an individual is unable to
receive this training due to unavoidable circumstances. All such
waivers shall be documented.
(ii) Whenever such a waiver is granted, the individual shall
receive the required training as soon as practicable.
(e) Other specialized security education and training.
Classification management officers, security managers, security
specialists, declassification authorities, and all other personnel
whose duties significantly involve the creation or handling of
classified information shall receive more detailed or additional
training no later than six months after assumption of duties that
require other specialized training.
(f) Annual refresher security education and training. Agencies
shall provide annual refresher training to employees who create,
process, or handle classified information. Annual refresher training
should reinforce the policies, principles and procedures covered in
initial and specialized training. Annual refresher training should also
address identification and handling of other agency-originated
information and foreign government information, as well as the threat
and the techniques employed by foreign intelligence activities
attempting to obtain classified information, and advise personnel of
penalties for engaging in espionage activities. Annual refresher
training should also address issues or concerns identified during
agency self-inspections.
(g) Termination briefings. Except in extraordinary circumstances,
each agency shall ensure that each employee who is granted access to
classified information and who leaves the service of the agency
receives a termination briefing. Also, each agency employee whose
clearance is withdrawn or revoked must receive such a briefing. At a
minimum, termination briefings must impress upon each employee the
continuing responsibility not to disclose any classified information to
which the employee had access and the potential penalties for non-
compliance, and the obligation to return to the appropriate agency
official all classified documents and materials in the employee's
possession.
(h) Other security education and training. Agencies are encouraged
to develop additional security education and training according to
program and policy needs. Such security education and training could
include:
(1) Practices applicable to U.S. officials traveling overseas;
(2) Procedures for protecting classified information processed and
stored in automated information systems;
(3) Methods for dealing with uncleared personnel who work in
proximity to classified information;
(4) Responsibilities of personnel serving as couriers of classified
information; and
(5) Security requirements that govern participation in
international programs.
Subpart H--Standard Forms
Sec. 2001.80 Prescribed standard forms.
(a) General. The purpose of the standard forms is to promote the
implementation of the government-wide information security program.
Standard forms are prescribed when their use will enhance the
protection of national security information and/or will reduce the
costs associated with its protection. The use of the standard forms
prescribed is mandatory for agencies of the executive branch that
create or handle national security information. As appropriate, these
agencies may mandate the use of these forms by their contractors,
licensees, or grantees who are authorized access to national security
information.
(b) Waivers. Except for the SF 312, ``Classified Information
Nondisclosure Agreement,'' and the SF 714, ``Financial Disclosure
Report,'' (which are waiverable by the Director of National
Intelligence, as the Security Executive Agent, under E.O. 13467,
Reforming Processes Related to Suitability for Government Employment,
Fitness for Contractor Employees, and Eligibility for Access to
Classified National Security Information) only the Director of ISOO may
grant a waiver from the use of the prescribed standard forms. To apply
for a waiver, an agency must submit its proposed alternative form to
the Director of ISOO along with its justification for use. The Director
of ISOO will review the request and notify the agency of the decision.
Waivers approved prior to December 29, 2009, remain in effect and are
subject to review.
(c) Availability. Agencies may obtain copies of the standard forms
prescribed by ordering through FEDSTRIP/MILSTRIP or from the GSA
Consumer Global Supply Centers, or the GSA Advantage on-line service.
Some of these standard forms can be downloaded from the GSA Forms
Library.
(d) Standard Forms. Standard forms required for application to
national security information are as follows.
(1) SF 311, Agency Security Classification Management Program Data:
The SF 311 is a data collection form completed by only those executive
branch agencies that create and/or handle classified national security
information. The form is a record of classification management data
provided by the agencies. The agencies submit the completed forms on an
annual basis to ISOO, no later than November 15 following the reporting
period, for inclusion in a report to the President.
(2) SF 312, Classified Information Nondisclosure Agreement:
(i) The SF 312 is a nondisclosure agreement between the United
States and an employee of the Federal Government or one of its
contractors, licensees, or grantees. The prior execution of this form
by an individual is necessary before the United States Government may
grant that individual access to classified information, with the
exception of an emergency as defined in section 4.2(b) of the Order.
(ii) Electronic signatures on SF-312s are prohibited.
(iii) The SF 312 is the current authorized form; if an employee
originally signed the now outdated SF 189 or SF 189-A, or a form under
an approved waiver, as agreement to nondisclosure, the forms remain
valid. The SF 189 and SF 189-A are no longer available for use with new
employees.
(iv) The use of the ``Security Debriefing Acknowledgement'' portion
of the SF 312 is optional at the discretion of the implementing agency.
If an agency chooses not to record its debriefing by signing/dating the
debriefing section of the SF 312, then
[Page 37277]
the agency shall provide an alternative record.
(v) An authorized representative of a contractor, licensee,
grantee, or other non-Government organization, acting as a designated
agent of the United States, may witness the execution of the SF 312 by
another non-Government employee, and may accept it on behalf of the
United States. Also, an employee of a United States agency may witness
the execution of the SF 312 by an employee, contractor, licensee, or
grantee of another United States agency, provided that an authorized
United States Government official or, for non-Government employees
only, a designated agent of the United States subsequently accepts by
signature the SF 312 on behalf of the United States.
(vi) The provisions of the SF 312, the SF 189, and the SF 189-A do
not supersede the provisions of 5 U.S.C. 2302, which pertain to the
protected disclosure of information by Government employees, or any
other laws of the United States.
(vii) Each agency must retain its executed copies of the SF 312, SF
189, and SF 189-A in file systems from which an agreement can be
expeditiously retrieved in the event that the United States must seek
its enforcement or a subsequent employer must confirm its prior
execution. The original, or a legally enforceable facsimile that is
retained in lieu of the original, such as microfiche, microfilm,
computer disk, or electronic storage medium, must be retained for 50
years following its date of execution. For agreements executed by
civilian employees of the United States Government, an agency may store
the executed copy of the SF 312 and SF 189 in the United States Office
of Personnel Management's Official Personnel Folder as a long-term
(right side) document for that employee. An agency may permit its
contractors, licensees, and grantees to retain the executed agreements
of their employees during the time of employment. Upon the termination
of employment, the contractors, licensee, or grantee shall deliver the
original or legally enforceable facsimile of the executed SF 312, SF
189, or SF 189-A of that employee to the Government agency primarily
responsible for his or her classified work. A contractor, licensee, or
grantee of an agency participating in the National Industrial Security
Program shall provide the copy or legally enforceable facsimile of the
executed SF 312, SF 189, or SF 189-A of a terminated employee to their
cognizant security office. Each agency shall inform ISOO of the file
systems that it uses to store these agreements for each category of
affected individuals.
(viii) Only the Director of National Intelligence, as the Security
Executive Agent, may grant an agency's request for a waiver from the
use of the SF 312. To apply for a waiver, an agency must submit its
proposed alternative nondisclosure agreement to the Director of the
Special Security Center (SSC), Office of the Director of National
Intelligence, along with a justification for its use. The Director,
SSC, shall request a determination about the alternative agreement's
enforceability from the Department of Justice.
(ix) The national stock number for the SF 312 is 7540-01-280-5499.
(3) SF 700, Security Container Information: The SF 700 provides the
names, addresses, and telephone numbers of employees who are to be
contacted if the security container to which the form pertains is found
open and unattended. The form also includes the means to maintain a
current record of the security container's combination and provides the
envelope to be used to forward this information to the appropriate
agency activity or official. If an agency determines, as part of its
risk management strategy, that a security container information form is
required, the SF 700 shall be used. Parts 2 and 2A of each completed
copy of SF 700 shall be classified at the highest level of
classification of the information authorized for storage in the
security container. A new SF 700 must be completed each time the
combination to the security container is changed. The national stock
number for the SF 700 is 7540-01-214-5372.
(4) SF 701, Activity Security Checklist: The SF 701 provides a
systematic means to make a thorough end-of-day security inspection for
a particular work area and to allow for employee accountability in the
event that irregularities are discovered. If an agency determines, as
part of its risk management strategy, that an activity security
checklist is required, the SF 701 will be used. Completion, storage,
and disposition of SF 701 will be in accordance with each agency's
security regulations. The national stock number for the SF 701 is 7540-
01-213-7899.
(5) SF 702, Security Container Check Sheet: The SF 702 provides a
record of the names and times that persons have opened, closed, or
checked a particular container that holds classified information. If an
agency determines, as part of its risk management strategy, that a
security container check sheet is required, the SF 702 will be used.
Completion, storage, and disposal of the SF 702 will be in accordance
with each agency's security regulations. The national stock number of
the SF 702 is 7540-01-213-7900.
(6) SF 703, TOP SECRET Cover Sheet: The SF 703 serves as a shield
to protect Top Secret classified information from inadvertent
disclosure and to alert observers that Top Secret information is
attached to it. If an agency determines, as part of its risk management
strategy, that a TOP SECRET cover sheet is required, the SF 703 will be
used. The SF 703 is affixed to the top of the Top Secret document and
remains attached until the document is downgraded, requiring the
appropriate classification level cover sheet, declassified, or
destroyed. When the SF 703 has been appropriately removed, it may,
depending upon its condition, be reused. The national stock number of
the SF 703 is 7540-01-213-7901.
(7) SF 704, SECRET Cover Sheet: The SF 704 serves as a shield to
protect Secret classified information from inadvertent disclosure and
to alert observers that Secret information is attached to it. If an
agency determines, as part of its risk management strategy, that a
SECRET cover sheet is required, the SF 704 will be used. The SF 704 is
affixed to the top of the Secret document and remains attached until
the document is downgraded, requiring the appropriate classification
level cover sheet, declassified, or destroyed. When the SF 704 has been
appropriately removed, it may, depending upon its condition, be reused.
The national stock number of the SF 704 is 7540-01-213-7902.
(8) SF 705, CONFIDENTIAL Cover Sheet: The SF 705 serves as a shield
to protect Confidential classified information from inadvertent
disclosure and to alert observers that Confidential information is
attached to it. If an agency determines, as part of its risk management
strategy, that a CONFIDENTIAL cover sheet is required, the SF 705 will
be used. The SF 705 is affixed to the top of the Confidential document
and remains attached until the document is destroyed. When the SF 705
has been appropriately removed, it may, depending upon its condition,
be reused. The national stock number of the SF 704 is 7540-01-213-7903.
(9) SF 706, TOP SECRET Label: The SF 706 is used to identify and
protect electronic media and other media that contain Top Secret
information. The SF 706 is used instead of the SF 703 for media other
than documents. If an agency determines, as part of its risk management
strategy, that a TOP SECRET label is required, the SF 706 will be used.
The SF 706 is affixed to the medium containing Top Secret
[Page 37278]
information in a manner that would not adversely affect operation of
equipment in which the medium is used. Once the label has been applied,
it cannot be removed. The national stock number of the SF 706 is 7540-
01-207-5536.
(10) SF 707, SECRET Label: The SF 707 is used to identify and
protect electronic media and other media that contain Secret
information. The SF 707 is used instead of the SF 704 for media other
than documents. If an agency determines, as part of its risk management
strategy, that a SECRET label is required, the SF 707 will be used. The
SF 707 is affixed to the medium containing Secret information in a
manner that would not adversely affect operation of equipment in which
the medium is used. Once the label has been applied, it cannot be
removed. The national stock number of the SF 707 is 7540-01-207-5537.
(11) SF 708, CONFIDENTIAL Label: The SF 708 is used to identify and
protect electronic media and other media that contain Confidential
information. The SF 708 is used instead of the SF 705 for media other
than documents. If an agency determines, as part of its risk management
strategy, that a CONFIDENTIAL label is required, the SF 708 will be
used. The SF 708 is affixed to the medium containing Confidential
information in a manner that would not adversely affect operation of
equipment in which the medium is used. Once the label has been applied,
it cannot be removed. The national stock number of the SF 708 is 7540-
01-207-5538.
(12) SF 709, CLASSIFIED Label: The SF 709 is used to identify and
protect electronic media and other media that contain classified
information pending a determination by the classifier of the specific
classification level of the information. If an agency determines, as
part of its risk management strategy, that a CLASSIFIED label is
required, the SF 709 will be used. The SF 709 is affixed to the medium
containing classified information in a manner that would not adversely
affect operation of equipment in which the medium is used. Once the
label has been applied, it cannot be removed. When a classifier has
made a determination of the specific level of classification of the
information contained on the medium, either the SF 706, SF 707, or SF
708 shall be affixed on top of the SF 709 so that only the SF 706, SF
707, or SF 708 is visible. The national stock number of the SF 709 is
7540-01-207-5540.
(13) SF 710, UNCLASSIFIED Label: In a mixed environment in which
classified and unclassified information are being processed or stored,
the SF 710 is used to identify electronic media and other media that
contain unclassified information. Its function is to aid in
distinguishing among those media that contain either classified or
unclassified information in a mixed environment. If an agency
determines, as part of its risk management strategy, that an
UNCLASSIFIED label is required, the SF 710 will be used. The SF 710 is
affixed to the medium containing unclassified information in a manner
that would not adversely affect operation of equipment in which the
medium is used. Once the label has been applied, it cannot be removed.
However, the label is small enough so that it can be wholly covered by
a SF 706, SF 707, SF 708, or SF 709 if the medium subsequently contains
classified information. The national stock number of the SF 710 is
7540-01-207-5539.
(14) SF 711, DATA DESCRIPTOR Label: The SF 711 is used to identify
additional safeguarding controls that pertain to classified information
that is stored or contained on electronic or other media. If an agency
determines, as part of its risk management strategy, that a DATA
DESCRIPTOR label is required, the SF 711 will be used. The SF 711 is
affixed to the electronic medium containing classified information in a
manner that would not adversely affect operation of equipment in which
the medium is used. The SF 711 is ordinarily used in conjunction with
the SF 706, SF 707, SF 708, or SF 709, as appropriate. Once the label
has been applied, it cannot be removed. The SF 711 provides spaces for
information that should be completed as required. The national stock
number of the SF 711 is 7540-01-207-5541.
(15) SF 714, Financial Disclosure Report: When required by an
agency head or by the Director of National Intelligence, as the
Security Executive Agent, the SF 714 contains information that is used
to make personnel security determinations, including whether to grant a
security clearance; to allow access to classified information,
sensitive areas, and equipment; or to permit assignment to sensitive
national security positions. The data may later be used as a part of a
review process to evaluate continued eligibility for access to
classified information or as evidence in legal proceedings. The SF 714
assists law enforcement agencies in obtaining pertinent information in
the preliminary stages of potential espionage and counter terrorism
cases.
(16) SF 715, Government Declassification Review Tab: The SF 715 is
used to record the status of classified national security information
reviewed for declassification. The SF 715 shall be used in all
situations that call for the use of a tab as part of the processing of
records determined to be of permanent historical value. The national
stock number for the SF 715 is 7540-01-537-4689.
Subpart I--Reporting and Definitions
Sec. 2001.90 Agency annual reporting requirements.
(a) Delegations of original classification authority. Agencies
shall report delegations of original classification authority to ISOO
annually in accordance with section 1.3(c) of the Order and Sec.
2001.11(c).
(b) Statistical reporting. Each agency that creates or safeguards
classified information shall report annually to the Director of ISOO
statistics related to its security classification program. The Director
will instruct agencies what data elements are required, and how and
when they are to be reported.
(c) Accounting for costs.
(1) Information on the costs associated with the implementation of
the Order will be collected from the agencies. The agencies will
provide data to ISOO on the cost estimates for classification-related
activities. ISOO will report these cost estimates annually to the
President. The agency senior official should work closely with the
agency comptroller to ensure that the best estimates are collected.
(2) The Secretary of Defense, acting as the executive agent for the
National Industrial Security Program under E.O.12829, as amended,
National Industrial Security Program, and consistent with agreements
entered into under section 202 of E.O. 12989, as amended, will collect
cost estimates for classification-related activities of contractors,
licensees, certificate holders, and grantees, and report them to ISOO
annually. ISOO will report these cost estimates annually to the
President.
(d) Self-Inspections. Agencies shall report annually to the
Director of ISOO as required by section 5.4(d)(4) of the Order and
outlined in Sec. 2001.60(f).
Sec. 2001.91 Other agency reporting requirements.
(a) Information declassified without proper authority.
Determinations that classified information has been declassified
without proper authority shall be promptly reported in writing to the
Director of ISOO in accordance with Sec. 2001.13(a).
(b) Reclassification actions. Reclassification of information that
has been declassified and released under
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proper authority shall be reported promptly to the National Security
Advisor and the Director of ISOO in accordance with section 1.7(c)(3)
of the Order and Sec. 2001.13(b).
(c) Fundamental classification guidance review. The initial
fundamental guidance review is to be completed no later than June 27,
2012. Agency heads shall provide a detailed report summarizing the
results of each classification guidance review to ISOO and release an
unclassified version to the public in accordance with section 1.9 of
the Order and Sec. 2001.16(d).
(d) Violations of the Order. Agency heads or senior agency
officials shall notify the Director of ISOO when a violation occurs
under sections 5.5(b)(1), (2), or (3) of the Order and Sec.
2001.48(d).
Sec. 2001.92 Definitions.
(a) Accessioned records means records of permanent historical value
in the legal custody of NARA.
(b) Authorized person means a person who has a favorable
determination of eligibility for access to classified information, has
signed an approved nondisclosure agreement, and has a need-to-know.
(c) Classification management means the life-cycle management of
classified national security information from original classification
to declassification.
(d) Cleared commercial carrier means a carrier that is authorized
by law, regulatory body, or regulation, to transport Secret and
Confidential material and has been granted a Secret facility clearance
in accordance with the National Industrial Security Program.
(e) Control means the authority of the agency that originates
information, or its successor in function, to regulate access to the
information.
(f) Employee means a person, other than the President and Vice
President, employed by, detailed or assigned to, an agency, including
members of the Armed Forces; an expert or consultant to an agency; an
industrial or commercial contractor, licensee, certificate holder, or
grantee of an agency, including all subcontractors; a personal services
contractor; or any other category of person who acts for or on behalf
of an agency as determined by the appropriate agency head.
(g) Equity refers to information:
(1) Originally classified by or under the control of an agency;
(2) In the possession of the receiving agency in the event of
transfer of function; or
(3) In the possession of a successor agency for an agency that has
ceased to exist.
(h) Exempted means nomenclature and markings indicating information
has been determined to fall within an enumerated exemption from
automatic declassification under the Order.
(i) Facility means an activity of an agency authorized by
appropriate authority to conduct classified operations or to perform
classified work.
(j) Federal record includes all books, papers, maps, photographs,
machine-readable materials, or other documentary materials, regardless
of physical form or characteristics, made or received by an agency of
the United States Government under Federal law or in connection with
the transaction of public business and preserved or appropriate for
preservation by that agency or its legitimate successor as evidence of
the organization, functions, policies, decisions, procedures,
operations, or other activities of the Government or because of the
informational value of data in them. Library and museum material made
or acquired and preserved solely for reference, and stocks of
publications and processed documents are not included. (44 U.S.C. 3301)
(k) Newly discovered records means records that were inadvertently
not reviewed prior to the effective date of automatic declassification
because the appropriate agency personnel were unaware of their
existence.
(l) Open storage area means an area constructed in accordance with
Sec. 2001.53 of this part and authorized by the agency head for open
storage of classified information.
(m) Original classification authority with jurisdiction over the
information includes:
(1) The official who authorized the original classification, if
that official is still serving in the same position;
(2) The originator's current successor in function;
(3) A supervisory official of either; or
(4) The senior agency official under the Order.
(n) Permanent records means any Federal record that has been
determined by the National Archives to have sufficient value to warrant
its preservation in the National Archives. Permanent records include
all records accessioned by the National Archives into the National
Archives and later increments of the same records, and those for which
the disposition is permanent on SF 115s, Request for Records
Disposition Authority, approved by the National Archives on or after
May 14, 1973.
(o) Permanently valuable information or permanent historical value
refers to information contained in:
(1) Records that have been accessioned by the National Archives;
(2) Records that have been scheduled as permanent under a records
disposition schedule approved by the National Archives; and
(3) Presidential historical materials, presidential records or
donated historical materials located in the National Archives, a
presidential library, or any other approved repository.
(p) Presidential papers, historical materials, and records means
the papers or records of the former Presidents under the legal control
of the Archivist pursuant to sections 2111, 2111 note, or 2203 of title
44, U.S.C.
(q) Redaction means the removal of classified information from
copies of a document such that recovery of the information on the copy
is not possible using any reasonably known technique or analysis.
(r) Risk management principles means the principles applied for
assessing threats and vulnerabilities and implementing security
countermeasures while maximizing the sharing of information to achieve
an acceptable level of risk at an acceptable cost.
(s) Security-in-depth means a determination by the agency head that
a facility's security program consists of layered and complementary
security controls sufficient to deter and detect unauthorized entry and
movement within the facility. Examples include, but are not limited to,
use of perimeter fences, employee and visitor access controls, use of
an Intrusion Detection System (IDS), random guard patrols throughout
the facility during nonworking hours, closed circuit video monitoring
or other safeguards that mitigate the vulnerability of open storage
areas without alarms and security storage cabinets during nonworking
hours.
(t) Supplemental controls means prescribed procedures or systems
that provide security control measures designed to augment the physical
protection of classified information. Examples of supplemental controls
include intrusion detection systems, periodic inspections of security
containers or areas, and security-in-depth.
(u) Temporary records means Federal records approved by NARA for
disposal, either immediately or after a specified retention period.
Also called disposable records.
(v) Transclassification means information that has been removed
from
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the Restricted Data category in order to carry out provisions of the
National Security Act of 1947, as amended, and safeguarded under
applicable Executive orders as ``National Security Information.''
(w) Unscheduled records means Federal records whose final
disposition has not been approved by NARA. All records that fall under
a NARA approved records control schedule are considered to be scheduled
records.
PART 2003--[REMOVED]
0
2. Under the authority of E.O. 12958, 60 FR 19825, 3 CFR Comp., p. 333
as amended by E.O. 13292, 68 FR 15315, March 28, 2003, remove and
reserve 32 CFR part 2003.
Dated: June 22, 2010.
William J. Bosanko,
Director, Information Security Oversight Office.
Approved: June 22, 2010.
David S. Ferriero,
Archivist of the United States.
[FR Doc. 2010-15443 Filed 6-25-10; 8:45 am]
BILLING CODE 7515-01-P