[Federal Register Volume 75, Number 123 (Monday, June 28, 2010)]
[Rules and Regulations]
[Pages 37254-37280]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-15443]



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Part V





National Archives and Records Administration





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Information Security Oversight Office



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32 CFR Parts 2001 and 2003



Classified National Security Information; Final Rule

  Federal Register / Vol. 75, No. 123 / Monday, June 28, 2010 / Rules 
and Regulations  

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

Information Security Oversight Office

32 CFR Parts 2001 and 2003

[FDMS Docket ISOO-10-0001]
RIN 3095-AB63


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.


0
For the reasons set forth in the preamble, the Information Security 
Oversight Office, NARA, is amending 32 CFR Chapter XX as follows:
0
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.

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    (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 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
----------------------------------------------------------------------------------------------------------------

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

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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

[[Page 37265]]

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

[[Page 37266]]

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

[[Page 37267]]

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

[[Page 37269]]

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

[[Page 37270]]

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

[[Page 37271]]

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

[[Page 37272]]

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

[[Page 37273]]

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

[[Page 37274]]

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

[[Page 37279]]

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

[[Page 37280]]

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