Federal Register: June 28, 2010 (Volume 75, Number 123)
DOCID: fr28jn10-15 FR Doc 2010-15443
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
U.S. Customs and Border Protection
CFR Citation: 32 CFR Parts 2001 and 2003
RIN ID: RIN 3095-AB63
FDM ID: [FDMS Docket ISOO-10-0001]
NOTICE: Part V
DOCID: fr28jn10-15
DOCUMENT ACTION: Implementing directive; final rule.
SUBJECT CATEGORY:
Classified National Security Information
DATES: Effective Date: June 25, 2010.
DOCUMENT 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.
SUMMARY:
National Archives and Records Administration, Information Security Oversight Office
SUPPLEMENTAL 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 uptodate 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.
For the reasons set forth in the preamble, the Information Security
Oversight Office, NARA, is amending 32 CFR Chapter XX as follows:
1. Title 32 of the Code of Federal Regulations, part 2001, is revised to read as follows:
PART 2001CLASSIFIED NATIONAL SECURITY INFORMATION
Subpart AScope of Part
Sec.
2001.1 Purpose and scope.
Subpart BClassification
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 CIdentification 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 DDeclassification
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 ESafeguarding
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 FSelfInspections
2001.60 General.
Subpart GSecurity Education and Training
2001.70 General.
2001.71 Coverage.
Subpart HStandard Forms
2001.80 Prescribed standard forms.
Subpart IReporting 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 AScope 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.
CFR section Related section of E.O. 13526 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 SelfInspections, 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
Subpart BClassification
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, ``50X1HUM;'' 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, ``50X2WMD.''
(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 remark 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 spacebased intelligence
reconnaissance systems. The duration of classification of imagery as
defined in E.O. 12951, Release of Imagery Acquired by SpaceBased
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 documentbydocument 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 pointofcontact or pointsofcontact 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 ``50X1HUM'' or ``50X2WMD'' 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 CIdentification 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: ID
(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
``50X1HUM'' 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 ``50X2WMD'' 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, subparagraphs, 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 subbullets 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
subparagraph or subbullet 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
(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 SpaceBased 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) 50X1HUM or 50X2WMD, or an ISOOapproved 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 25year 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 email messages. (1) Email 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 email shall reflect the classification of the header
and body of the message. This includes the subject line, the text of
the email, a classified signature block, attachments, included
messages, and any other information conveyed in the body of the email.
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 email 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 email content or
attachments. Subject lines and titles shall be portion marked before the subject or title.
(5) For a classified email, the classification authority block
shall be placed after the signature block, but before the overall
classification marking string at the end of the email. 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 email, individuals shall
ensure that, in addition to the markings required for the content of
the reply or forward email itself, the markings shall reflect the
overall classification and declassification instructions for the entire
string of emails 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 systemhigh
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 systemhigh 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 codeC).'' 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., ``(FGIC).'' 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 4031 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 dire
FOR FURTHER INFORMATION CONTACT
William J. Bosanko, Director, Information Security Oversight Office, at 2023575250.