DOE O 5635.1A, Control of Classified Documents and Information

U.S. Department of Energy ]) 0" 5 G15" I Washington, D.C. nnilL~ "G' '" I ~,O~~o~ ~:3J-' \L- SU'JECT, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION ORDER DOE 5635.IA 2-12-88 1. PURPOSE. To provide uniform standards and operating procedures for safeguarding and controlling classified documents and information, to ensure that classified documents are furnished only to authorized personnel on a Uneed-to-know n basi s. and to prevent 1ass or comprom; se of classified information. 2. CANCELLATIONS. a. DOE 5635.1, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION, of 11-24-80. b. HQ 5635.1, SECURITY PROCEDURES FOR CLASSIFIED CONTAINER INFORMATION, of 9-24-84. 3. SCOPE. The provisions of this Order apply to all Departmental Elements and contractors performing work for the Department. as provided by law and/or contract and as implemented by the appropriate contracting officer. 4. APPLICABILITY. This Order applies to military personnel, employees of other Government agencies assigned or detailed to the Department, and other persons performing classified work for the Department. 5. REFERENCES. Refer to Attachment 1. 6. DEFINITIONS. Refer to Attachment 2. BY ORDER OF THE SECRETARY OF ENERGY; J DISTRIBUTION: All Departmental Elements LAWRENCE F. DAVENPORT Assistant Secretary Management and Administration INITIATED BY: Office of Safeguards and Security •• DOE 5635.1A 2-12-88 Attachment 1 Page 1 ~. \ ~ ( REFERENCES 1. DOE 1324.2, RECORDS DISPOSITION, of 5-28-80, which prescribes standards for the orderly disposition of DOE records. 2. DOE 1325.1A, CORRESPONDENCE MANUAL, of 6-18-81, which describes procedures for preparing and processing DOE correspondence. 3. DOE 1430.1A, MANAGING SCIENTIFIC AND TECHNICAL INFORMATION, of 9-10-86, which establishes responsibility for managing scientific and technical information developed in" the Department's research and development program. 4. DOE 1430.2, IMPLEMENTATION OF THE SCIENTIFIC AND TECHNICAL INFORMATION MANAGEMENT PROGRAM, of 12-13-83, which establishes the implementation procedures for the Department's scientific and technical information program. 5. DOE 1500.3, FOREIGN TRAVEL AUTHORIZATION, of 11-10-86, which establishes P01;CY and procedures governing official and unofficial foreign travel. 6. DOE 3750.1, WORK FORCE DISCIPLINE, of 3-23-83, which establishes policy and procedures to ensure work force discipline. 7. DOE 5610.2, CONTROL OF WEAPON DATA, of 8-1-80, which establishes procedures for controlling weapon data. 8. DOE 5630.8, SAFEGUARDING OF NAVAL NUCLEAR PROPULSION INFORMATION, of 12-27-82, which promUlgates the Official definition of naval nuclear propulsion information, outlines disclosure policies and general safeguarding requirements for such information, and clarifies the reqUirements for disposal of material containing naval nuclear propulsion information. 9. DOE 5631.1A, SECURITY EDUCATION PROGRAM, of 12-22-86, which establishes the policy for and implementation of a systematic safeguards and security awareness program. 10. DOE 5631 series, Personne~ Security, which establishes policy, responsi­ bil ities, and authorities for implementing the DOE personnel security program. 11. DOE 5632.9, ISSUANCE! CONTROL, AND USE OF BADGES, PASSES, AND CREDENTIALS, of 2-3-88, which establishes policy and procedures governing the issuance and control of credentials, shields, and courier cards. Attachment 1 Page 2 DOE 5635.1A 2-12-88

12. DOE 5631.4, CONTROL OF CLASSIFIED VISITS, of 5-25-84, which establishes the policy and procedures governing classified visits to DOE facilities. 13. DOE 5632.4, PHYSICAL PROTECTION OF SECURITY INTERESTS, of 11-4-85, which prescribes policies, objectives, responsibilities, and authorities for the physical protection of security interests and establishes minimum phYsical protection requirements and standards for such interests. 14. DOE 5631.5, VIOLATIONS OF LAWS, LOSSES, AND INCIDENTS OF SECURITY CONCERNS, of 2-12-88, which sets forth Departmental ~rocedures to ensure timely and effective investigation and other follow-up action relating to violations of Federal laws and to certain losses of security interest. 15. DOE 5634.1A, SECURITY SURVEYS, NUCLEAR MATERIAL SURVEYS AND FACILITY APPROVAL~ of 2-3-88, which establishes Departmental requirements for conducting periodic onsite security surveys of classified facilities under the Department's jurisdiction. The Department shall ensure that all facilities eligible to receive, process, reproduce, store, transmit, or handle classified matter, including special nuclear materials, have been granted facility approval prior to permitting access to such matter or material. 16. DOE 5635.28, PROTECTION OF CLASSIFIED NATIONAL SECURITY COUNCIL INFORMATION, of 4-19-85, Which establiShes procedures to protect National security Council Information. ~ 17. DOE 5635.3, HAND-CARRYING OF CLASSIFIED MATTER ON AIR CARRIERS. of 1-29-88. which provides guidelines and procedures for hand-carrying classified matter on air carriers. 18. DOE 5637.1, CLASSIFIED COMPUTER SECURITY PROGRAM, of 1-29-88, which establishes uniform requirements, policies, and responsibilities for developing and implementing a program to ensure the security of information stored in classified automatic data processing systems. 19. DOE 5636.3A, TECHNICAL SURVEILLANCE COUNTERMEASURES PROGRAM, of 2-3-88, which establishes the Department's technical surveillance countermeasures (TSCM) program. 20. DOE 5636.4, SECURITY MANUAL FOR CLASSIFIED AUTOMATED DATA PROCESSING SYSTEMS, of 7-13-83, which establishes uniform procedures for teChniques to be used when applying computer security measures to protect the classified information being processed, stored, or reproduced on automatic data processing systems. DOE 5635.1A 2-12-88 Attachment 1 Page 3 r 21. DOE 5650.2A, CLASSIFICATION OF INFOR~ATtON, of 5-8-85. which provides specific responsibilities. standards, and procedures for managing the DOE classification system. 22. ODE 56~0.l, MANAGEMENT AND CONTROL OF FOREIGN INTELLIGENCE, of R-22-8S, which sets the guidelines for managing and assigning responsihilities for the Department's foreign intelligence activities. 24. 23. 26. 25. IISecurity Controls on the Dissemination of Intelligence Information Beari~e the Director of Central Intelliience Control Markings." of 5-12-8 • as changed. which implements w thin the Department. the policy control and procedures as set forth in DCID 1/7 and which supplements the policies and procedures set forth in DOE Orders. DOE Procedural Guide. IIsecurit~ Standards for Sensitive comvartmented Information and Facilities. 1i 0 2-86. which establishes pol cY. control. and procedures for the integrity and security of sensitive compartmented facilities. including information security, personnel security and document security, as set forth in DCID 1/14 and 1/19, and DOE Orders.

Title 42 United States Code (U.S.C.) 2011 et seQ., Atomic Energy Act of 1954. as amended. which describes reQuirements for the protection of classified information relating to atomic energy. Devartment of Energy ACQuisition Regulation (DEAR) 952.204-2, wh ch reauires DOE contractors and subcontractors to adhere to DOE regulations and reauirements, including those pertaining to security practices. 27. Public Law 95-91, Department of Energy Organization Act of 1977, which created DOE. 28. Title 42 U.S.C. ~801 et SeQ., Energy Reorganization Act of 1974, as amended, which created the Energy Research and Development Administration and the Nuclear Regulato~ Commission. 29. Executive Order 12356, "National Security Information,1I of 4-6-82, which r.rovides reQuirements for safeguarding National Security Information, and 'Information securi~, Oversight Office Directive No.1," of 6-25-82, which assists in imp ementing Executive Order 12356. 30. Title 32 CFR 2003, Information Security Oversight Office (ISOO) Directive, Part V, of 12-19-85, which sets the procedures and directs the use of standard forms for National Security Information. r Attachment 1 Page 4 DOE 5635.1A 2-12-88 31. M-3679, "Standard Distribution for Classified Scientific Reports," of 3-4-84 (R-13), which prescribes the requirements and standards for the distribution of classified scientific reports. 32. National Security Decision Directive Number 84 (NSDD 84), of 3-11-83, which sets the requirements for safeguarding Natfonal Security Information against unlawful disclosures. 33. National Security Decision Memorandum (NSDM) 119, "Disclosure of Classified United States Military Information to Foreign Governments and International Organizations,li of 1-20-11, which sets policy governing the disclosure of classified U.S. military information to foreign governments and international organizations. 34. National Policy and Procedures for the Disclosure of Classified Military Information to Foreign Governments and International Organizations, of 12-11-69, supplemented by lioisclosure of c1 assi fied Mflitary Information to Foreign Governments and International Organizations," of 7-20-71. 35. Presidential Directive, Basic Policy Governing the Release of Classified Defense Information, of 9-23-58, which relates to National security Information. 36. United States securitl Authori~ for NATO Affairs Instruction 1-69 (5100.55, Encl. 2), 0 198?, wh1ch sets procedures governing the protection and handling of NATO classified information and material. r DOE 5635.1A 2-12-88 DEFINITIONS Attachment 2 Page 1 r 1. ACCESS AUTHORIZATION OR SECURITY CLEARANCE. An administrative determination that an individual who is either a DOE employee, applicant for employment, consultant, assignee, other Federal department or agency employee, DOE contractor or subcontractor employee, or the person designated by the Secretary is eligible for access to classified information or special nuclear material. Clearances granted by the Department are designated as 0, L, Top Secret, or Secret. (See DOE 5631 series.) 2. ACCOUNTABILITY STATION. An organizational unit (or individual) designated by a transfer and accountability station to act as Secret document control point secondary to the transfer and accountability station. 3. AUTHENTICATING OFFICIAL. An official who has received specific authorization to classify information as Top Secret (an authorized Top Secret Classifier). 4. AUTHORIZED CLASSIFIER.

a. Original Classifier. One authorized to classify National Security Information by an original determination based on Executive Order 12356, where no specific guidance exists. b. Derivative Classifier. One authorized to classify documents or material as Restricted Data (RD), Formerly Restricted Data (FRD), or NSI only in accordance with existing guidance. 5. AUTHENTICATION. Certification that a document contains Top Secret 1nformati on. 6. AUTOMATIC DATA PROCESSING (ADP). Data processing performed by a system of electronic or electrical machines including input, processing, and output operations. 7. AUTOMATIC DATA PROCESSING CENTER. One or more rooms or a building containing the main elements of an ADP system. 8. AUTOMATIC DATA PROCESSING SYSTEM. A system comprised of procedures, processes, methods, personnel, and ADP eQuipment to perform a series of data processing operations either manually or automatically. Attachment 2 Page 2 DOE 5635.1A 2-12-88 ~ 1 I 9. BOOK MESSAGE. Amessage forwarded by teletype, telegraph, or other electrical means to two or more addresses, each of whom will receive the message without the list of other addresses. 10. BOUND DOCUMENTS. Documents whose pages are permanently fastened together 1n a manner by which no one Or mOre pages may be removed without leaving evidence that it was done. This excludes methods such as brads, spiral binders, or similar commercial fasteners commonly used. 11. CLASSIFICATION. Classification is a means of identifying information concerning the national defense and foreign relations of the United States that reauires protection against unauthorized disclosure. 12. CLASSIFICATION CATEGORY. One of three kinds of classified information: Restricted Data, Formerly Restricted Data, or National Security Information. 13. rLASSIFICATION LEVEL. One of the three classification levels in descending order: Top Secret (TS), Secret (S), and Confidential (Cl. 14. CLASSIFIED CONTROL OFFICER. A person appointed to control and account for classified matter within DOE or DOE contractor or subcontractor organizations or a level of organization. 15. CLASSIFIED DOCUMENT. Any document containing classified information. 16. CLASSIFIED INFORMATION. Restricted Data, Formerly Restricted Data, or National security Information which reauires safeguarding in the interest of national security. 17. CLASSIFIED MAILING ADDRESS. An authorized postal mail address including ZIP code, where procedures for classified mail deliveries have been approved. Normally a Classified Mailing Address will be listed with specific approved mail services, such as II Regi stered Mai 1 Only. II 18. CLASSIFIED MATTER. Documents and/or material containing classified information or which are classified in and of themselves. 19. CODE WORD. One or more unclassified words, symbols, letters, numbers, or a combination thereof, assigned a special meaning for the safeguarding of classified information. (Nicknames, chemical symbols, abbreviations, and short letters are not considered code words. ) 20. COMPROMISE. Disclosure of classified information to persons not authorized to receive such information. Attachment 2 Page 3 DOE 5635.1A 2-12-88 21. CONFIDENTIAL. Aclassification level which is applied to classified information, the unauthorized disclosure of which reasonably could be expected to cause damage to the national security. 22. CONTIGUOUS UNITED STATES. The adjoining 48 states, and the District of Columbia, excluding Alaska and Hawaii.

23. CONTRACTOR. An agency or person who contracts directly or indirectly to supply goods or services to the DOE. This includes subcontractors of any ~ tier, consultants, agents, grantees, and cooperative agreement participants. r r 24. COURIER. A DOE employee or member of the Armed Forces assigned to and performing duties under the direction and control of the DOE, who is specifically designated for armed protection in transit of Top Secret or other matter which, in the opinion of the responsible Head of a Department Element requires such protection. Couriers are required to carry credential identification. 25. CUSTODIAN. Any person or office or small unit level to whom a classified document is charged by records of the 'DOE or DOE contractors, or in the case of a Confidential document in the absence of records, any person who possesses the document. 26. CUSTODIAN OF RECORD. All authorized Top Secret classifiers, original or derivative, and other permanent holders of Top Secret documents. 27. DECLASSIFICATION. a. A determination by appropriate authority that information no longer requires classification protection; b. A determination by appropriate authority in accordance with approved classification policy or guidance that a previously classified document or material is no longer classified; or c. The removal of classification markings from a document or material in accordance with a declassification notice from an appropriate authority. 28. DECLASSIFIED DOCUMENT. A previously classified document that has been declassified by appropriate authority in accordance with approved declassification procedures and from which the classification markings have been removed or defaced. r Attachment 2 Page 4 29. DERIVATIVE CLASSIFICATION. DOE 5635.1A 2-12-88 a. Restricted Data or Formerly Restricted Data. A determination made by an authorized classifier other than the original classifier in accordance with approved classification guidance or source documents that a document or material contains Restricted Data or Formerly Restricted Data. b. National Security Information. A determination made by an authorized classifier other than the original classifier in accordance with approved classification guidance. source documents. or other instructions from an Original Classifier that a document or material contains National Security Information. 30. OIRECTOR CENTRAL INTELLIGENCE (DCI) AUTHORIZED CONTROL MARKINGS. The six caveats approved for use with other security markings: a. WNINTEL. WARNING NOTICE - Intelligence sources or methods involved. b. ORCON. Dissemination and extraction of information controlled by Ori gi nator. c. NOCONTRACT. Not releasable to contractors/consultants. d. PROPIN. Caution--proprietary information involved. e. NOFORN. Not releasable to foreign nationals. f. REL. Authorized for release to (country). 31. DOCUMENT. Any record of information regardless of physical form or characteristics. including. but not limited to. the following: a. Handwritten. printed. or typed matter. b. Painted. drawn. or engraved matter. c. Sound. magnetic, optical or electromechanical recordings. d. Photographic prints and exposed or developed film or still or motion pictures. e. Automatic data processing input and contents of eouipment and/or media including memory. punch cards, tapes, diskettes. and visual di sp1 ays. f. Reproductions of the foregoing by any process.

32. DOCUMENTATION. An annotation, on the face of a classified document, of the number of pages of a document, the series designation for the particular set of copies, and number of each copy within the set. 33. DOWNGRADING. Lowering the classification level of information, documents, or material. (Does not include declassification.) 34. EXCEPTION. Apermanent exclusion from a specific requirement granted on a case-by-case basis because it m~ be impossible, highly impractical, not cost effective, or unnecessary due to existing measures or standards already exceeding the prescribed requirement. 35. FACILITY. An educational institution, manufacturing plant, laboratory, or office building utilized by the Department or its contractors or subcontractors for the performance of work for the Department. r DOE 5635.1A 2-12-88 Attachment 2 Page 5 r r 36. FOREIGN GOVERNMENT INFORMATION. a. Information provided by a foreign government or governments, an international organization of governments, or any element thereof with the expectation, expressed or implied, that the information, the source of the information, or both, are to be held in confidence; or b. Information produced by the United States pursuant to or as a result of a joint arrangement with a foreign government or governments or an international organization of governments, or any elements thereof, requiring that the information, the arrangement, or both, are to be held in confidence. 37. FORMERLY RESTRICTED DATA (FRD). Classified information jointly determined by DOE and the Department of Defense (DOD) to be related primarily to the military utilization of atomic weapons, and removed by DOE from the Restricted Data category pursuant to section l42{d) of the Atomic Energy Act, as amended, and safeguarded as National Security Information subject to the restrictions of transmission to other countries and regional defense organizations that apply to Restricted Data. 38. GOVERNMENT AGENCY. Any executive department, commission, independent establishment, or corporation, wholly or partly owned by the United States of America and which is an instrumentality of the United States, or any board, bureau, division, service, office, officer, authority, administration, or other establishment in the executive branch of the Government. Attachment 2 Page 6 DOE 5635.1A 2-12-88 39. INFORMATION. Any data, document, or material, regardless of its physical form or characteristics, that is owned by, produced by or for, or under the control of the United States Government. 40. INFORMATION SECURITY OVERSIGHT OFFICE. An organization of the General Services Administration authorized by Executive Order 12356 to oversee Government implementation of that Executive order. 41. INFRACTION. An act or omission involving failure to comply with DOE safeguards and security directives. 42. INTELLIGENCE INFORMATION AND RELATED MATERIALS. ~. Foreign Intelligence. Information relating to the capabilities, intentions and activities of foreign powers, organizations or persons. b. Related Materials. Information describing U.S. foreign intelligence and counterintelligence activities, sources, methods, eQuipment, and methodology used for the aCQuisition, processing, or exploitation of such intelligence; photography or recordings resulting from U.S. collection efforts. 43. INVENTORY. a. Acomplete, detailed, descriptive record of classified document holdings with the capability of making it consistent or compatible with documents or hand (reconciliation).

b. The act of comparing documents to records of holdings. 44. M-3679. A standard distribution list for classified scientific and technical reports, administered by the DOE Office of Scientific and Technical Information. 45. MASTER COPIES FOR REPRODUCTION. Master copies are such items as ditto stencils, photostatic negatives, Multilith plates, and other reproduction master copies which are used for large-scale reproduction. 46. MATERIAL. a. Achemical or metallic substance, including metals; b. A fabricated or processed item; or c. Machinery and eauipment. DOE 5635.1A 2-12-88 Attachment 2 Page 7 ~ 47. MATTER. Information in tangible form (i.e., material or documents). 48. MESSAGE. Adocument transmitted by teletype, telegraph, facsimile, or other electrical means. 49. MICROFICHE/MICROFILM. Film, photo card, or flat negative containing mi croimages. 50. NATIONAL SECURITY. The national defense or foreign relations of the United States. r ~ 51. NATIONAL SECURITY INFORMATION. Information that has been determined pursuant to Executive Order 12356, IINational Security Information,1I (NSI) or any predecessor order to require protection against unauthorized disclosure and that is so designated. 52. NEED-TO-KNOW. A detenmination by persons having responsibility for classified information or matter, that a proposed recipient's access to such classified information or matter is necessary in the performance of official or contractual duties of employment under the cognizance of the Department of Energy. 53. OFFICIAL USE ONLY (OUO). A designation identifying unclassified information that may be exempt from mandatory disclosure under the FOIA. 54. ORIGINAL CLASSIFICATION. The initial determination by an original classifier that information requires protection as NSI under the provisions of Executive Order 12356. Includes the specification of a classification level and the classification duration. 55. PROTECT AS RESTRICTED DATA (PARD). The PARD designation is assigned to computer generated numerical data or related information for which it is not operationally feasible to establish a security classification because detailed knowledge of weapon design or other significant information is essential for determination or because of the high volume of output and low density of potentially classified data. 56. PORTION MARKING. The application of NSI classification markings to individual portions of a document to indicate their specific classification level. 57. PRINTOUT. A printed listing of the contents of an automatic data processing storage device or selected parts of it. Attachment 2 Page 8 DOE 5635.1A 2-12-88 58. PRODUCTION RATE INFORMATION. Information relating to the capacity to produce or actual production of: a. Weapons or weapon components; b. Plutonium, tritium, or enriched lithium-6; c. Uranium enriched in the isotope-235; or d. Uranium-233. 59. RECONCILIATION. The verification of the validity between supporting documents and a control document. 60. RESEARCH AND DEVELOPMENT REPORT. See "Scientific and Technical Report." 61. RESTRICTED DATA. All data concerning design, manufacture or utilization of atomic weapons, the production of special nuclear material, or the use of special nuclear material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to section 142 of the Atomic Energy Act of 1954, as amended.

62. SANITIZING. Physical removal of all classified information from a classified document. 63. SCIENTIFIC AND TECHNICAL REPORTS. For the purpose of this Order, scientific and technical reports are documents that contain results from or pertain to scientific and technical information first used, cumUlated, or developed during work supported by DOE or during work carried out for others at DOE facilities. These documents report on research, development, or demonstration and take the form of technical reports (formal, topical, or progress), journal articles, reprints, theses or dissertations, scientific or technical conference and symposium proceedings, or translations. 64. SECRET. The classification level applied to information, the unauthorized disclosure of which reasonably could be expected to cause serious damage to the national security. 65. SECRETARY. The Secretary of the Department of Energy as provided by Section 102 of the Energy Reorganization Act of 1974. 66. SECURITY AREA. A physically defined space containing classified documents, information, or material and subject to physical protection and personnel access controls that include the reouirement for escort of uncleared visitors. 67. SECURITY INTEREST. A security interest consists of any of the following which requires special protection: classified matter, special nuclear material, security shipments, secure communications center, sensitive compartmented information facilities, automatic data processing centers, or other systems including classified information, or Departmental property. 68. SENIOR OFFICIAL OF THE INTELLIGENCE COMMUNITY. The senior official from a Department/Agency of the intelligence community charged with implementing DCI policy and directives within his or her organization. Within DOE, the Secretary is the Senior Official of the Intelligence Community. 69. SENSITIVE COMPARTMENTED INFORMATION (SCI). All classified information and materials bearing Intelligence community special access controls formally limiting access and dissemination. SCI does not include Restricted Data as defined in the Atomic Energy Act of 1954, as amended. r DOE 5635.1A 2-12-88 Attachment 2 Page 9 r 70. SENSITIVE NUCLEAR MATERIAL PRODUCTION INFORMATION. a. Classified production rate or stockpile auantity information relating to plutonium, tritium, enriched lithium-6 and uranium-235 and -233. b. Laser separation technology. 71. SOURCE DOCUMENT. A document, other than a classification guide, from which information is extracted for inclusion in another document. The term, source document, is used in the context that the classification of information extracted from the document is determined by the classification specified in the source document for the information extracted. 72. SPECIAL ACCESS PROGRAM. Any program imposing need-to-know or access controls beyond those normally provided for access to Confidential, Secret, or Top Secret Information. Such a program may include, but is not limited to, special clearance, adjudication, or investigative requirements, special delegations of officials authorized to determine need-to-know, or special lists of persons determined to have a need-to-know. 73. SPECIAL MESSENGER. A DOE employee, or member of the armed forces, assigned to and performing duties under the direction and control of the DOE, who is authorized to routinely transport Secret and Confidential matter. Attachment 2 Page 10 DOE 5635.1A 2-12-88 ~ I

74. TOP SECRET. The classification level applied to information, the unauthorized disclosure of which could reasonably be expected to cause exceptionally grave damage to the national security. 75. TOP SECRET AUTHENTICATING SYMBOL. Aunique symbol assigned by Director of Safeguards and security (Dp-34) to each Top Secret original or derivative classifier which is indicated on each newly generated Top Secret document classified by the Top Secret classifier, or on each newly received Top Secret document in DOE. 76. TOP SECRET CLASSIFIER. An individual who has received specific authorization to classify information as Top Secret. 77. TRANSCLASSIFICATION. The removal of information from one classification catego~ to another. This term is normally used to describe the removal of information from the Restricted Data catego~ to the catego~ of Formerly Restricted Data. 78. TRANSFER AND ACCOUNTABILITY STATION. An organizational unit which (or individual who) controls the origination, receipt, transmission, and disposition of classified scientific and technical reports, and Secret and Confidential weapon data reports. 79. UNAUTHORIZED DISCLOSURE. A communication or physical transfer of classified information to an unauthorized recipient~ 80. UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION (UCNI). Unclassified information whose unauthorized dissemination is prohibited under section 148 of the Atomic Energy Act. 81. UPGRADING. Raising the classification level of information, documents, or material. (Also applied to the marking of a classified document or material that was initially improperly issued as unclassified.) 82. VIOLATION. Alleged, suspected, or actual criminal breach of Federal laws inVOlving a national or Departmental security interest. Such Federal laws include, but are not limited to: a. The Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.). b. The Internal Security Act of 1950, as amended (50 U.S.C. 781 et seq.) when related to DOE activities (e.g., sections 781 and 784). c. Title 18, U.S.C. as it pertains to: (1) Espionage (sections 791-798); (2) Sabotage (sections 2151-2156); (3) Treason and subversive activity (sections 238-285); (4) Malicious mischief (sections 1361-1363); (5) Actual or threatened use of explosives against persons or property (sections 841-848); (6) Destruction of Government property; (7) Bnbezzlement and theft (sections 641 and 6619); (8) Extortion and threats (sections 876-878); (9) Civil disorders (section ?31); (10) Riots (section 2101). r DOE 5635.1A 2-12-88 Attachment 2 Page 11 d. Executive Order 12356. An intentional breech of security procedures, or a combination of unintentional acts (infractions), which could result in a violation. 83. VISUAL MATERIALS. Photographs, motion pictures, slides, article concepts, engineering drawings, plant layouts, plot plans, maps, viewgraphs, video tapes, flip charts, etc. 84. WAIVER. A temporary exemption from a specified reQuirement. Waivers shall be valid for the minimum time necessary and shall be updated annually. Awaiver reQuest need not be submitted for deficiencies which can be corrected within 60 days of identification. However, compensator,y measures must be applied pending correction. 85. WEAPON DATA. Restricted Data or Formerly Restricted Data concerning the design, manufacture, or utilization (including theory, development, storage, characteristics, performance, and effects) of nuclear weapons or nuclear weapon components, including information incorporated in or related to nuclear explosive devices.

Attachment 2 Page 12 86. WORKSHEETS. DOE 5635.1A 2-12-88 a. Notes, work papers, preliminary copies of pages of a document, and additional or revised pages prior to incorporation into final copy; b. Repetitive fonms used to collect data, or c. In the field of telecommunications, worksheets additionally include manual or machine-produced page copies and carbons (clear text or encrypted), perforated and printed tapes, and magnetic tape media produced by communications centers. r DOE 5635.1A 2-12-88 i TABLE OF CONTENTS CHAPTER I - RESPONSIBILITIES AND AUTHORITIES 1. Assistant Secretary for Defense Programs ••••••••••••••• I-I 2. Deputy Assistant Secretary for Military Applications ••••••••••• I-I 3. Deputy Assistant Secretary for Security Affairs •••••••••••••• 1-2 4. Director of Office of Classification •• . • • • • • • • • • • •••• 1-2 5. Director of International Security Affairs •••••••••••••••• 1-2 6. Director of Safeguards and Security. • • • • • • • • • • • • 1-3 7. Assistant Secretary. Management and Administration ••••••••••.• 1-4 8. Deputy Assistant Secretary for Naval Reactors • • • • • • • • • •••••• 1-5 9. Deputy Assistant Secretary for Uranium Enrichment • • • • • • • • • • • • • 1-5 10. Director of Nuclear Materials Production ••••••••••••••••• 1-6 11. Director of Advanced Technology Projects and Technology Transfer ••••• 1-7 12. Heads of Field Elements • • • • • • • • • • • • • • • • • • • . • 1-7 13. Heads of Headquarters Elements ...•••••••.••••.•••••• 1-10 CHAPTER II - GENERAL PROYISIONS . . . . II-I 11-2 11-2 11-3 11-3 11-4 11-4 11-4 11-4 11-4 11-4 11-5 11-5 11-5 11-5 11-5 11-5 11-5 11-6· . .· . . · . .. . . 1. Security Organization Requirements . • • • •••••••••••• 2. Classified Program Management. • • • • ••••••••• 3. Access to Classified Information •• • •••• 4. Telephone Conversations • • . . • • • • • • • 5. Conferences and Discussions • • • • • • •. •• • • • • • • • 6. Re1ease of Information to the Public •• • • • • • • • • • • • • • • • • 7. Classified Information Originated by Another Agency ••••••••••• 8. DOE-Originated Classified Information to Other Government Agencies ••• 9. Code Words ... . • . • • • . • • . • • . • • • • • • • • • a. Selection and Use of Code Words • • • • • • • • • • • • • • • • . b. Reporting of Code Words • • . . . • • • • • • • • • • • • • • • . c. Safeguardi ng of Code Words •..•••• •• • • • • • • • • d. Use of Meaning . . . . • . • . . • • • • • . • • • • . • . . • e. Dissemination of Code Words • • • • •• f. Responsibility of Originator •••••••••••••••••.•• 10. Transfer or Termination of Employment or Termination of Access Authorization •• • • • • • • • • • • • • • • • • • • • • • • • a. Notification of Security Office . • • • • .•. b. Assurance to be Obtained • • • • • • • • • • • • • • • • c. Death or Disability of Employee • • •••••• r ii 11. Limited Official Use .•••••••••..••.•.•. 12. Sensitive Compartmented Information (SCI) • • • • • • • • 13. Controls on the Dissemination of Intelligence Information Bearing the DCI Authorized Control Markings • • • • • • • NOTE: PAGES 11-7 THRU 11-10 ARE RESERVED Attachment 11-1 - Request for Visit or Access Approval Attachment 11-2 - Security Termination Statement •••. CHAPTER III - PREPARATION OF CLASSIFIED DOCUMENTS DOE 5635.IA Chg 1 6-14-93 11-6 11-6 11-6 11-11 11-13 1. General . . . . . . · · · · · · · · · · · · · · · · · · · · 111-1 2. Numbering Pages • . · · · · · · · · · · · · · · · · · · · III-l 3. Classified Subjects or Titles . · · · · · · · · · · · · • 111-2 4. Marking of Classified Documents . · · · · · · · • I11-2

a. Identify of the Classifier · · · · · · · · · · · · · · · · · • II 1-2 b. Date of Classification and Office of Origin • · · · · · · · · • 111-3 c. Classification Level · · · · · · · · · · · · · · · · · · · · · 111-3 d. Classification Category. · · · · · · · · · · · · · · · · · 111-3 e. Duration of Classification · · · · · · · · · · · · · · • 111-3 f. Declassification Instructions for National Security Information • · · · · · · · · · · · · · · · · · · · • 111-4 ~) g. Automated Declassification or Extension • · · · · · · 111-4 h. Identification of Classifying Authority. · · · · · · · · 111-5 1- Dissemination and Reproduction Limitation. · · · · · · · 111-5 j. Portion-Marking or Notation • · · · · · · · · · · · · · · · · 111-5 k. Foreign Government Information · · · · · · · · · · • 111-6 1. Documents Not Previously Marked • · · · · · · · · • 111-6 m. Change of Classification · · · · · · · · · · · · · 111-6 n. Declassification · · · · · · · · · · · · · · · · · · · · · · · 111-7 o. Special Markings · · · · · · · · · · · · · · · · · · · · 111-7 p. Marking Special Kinds of Documents · · · · · · · · · · · · • 111-10 (1) Files, Folders, or Groups of Documents • · · · · · · · • 111-10 (2) Memorandum or Letter of Transmittal · · · · · · · · · · · • 111-10 (3) Master Copies for Reproduction of Secret Documents • · · · • 111-12 Vertical line denotes change. (4) V; ewgraphs ••....•.••....•.•••••.•...•.........••.•.•...... 111-12 (5) Photographic Slides, Negatives, or Prints ••.•••••••••.•.•. III-12 (6) Charts, Maps, and Drawings•.•.•.••••••••••.•.•..•••••••••• III-13 (7) Motion Picture Film and Video Tapes ••••••••••••••••••.•... III-14 (8) Microfilm Reels III-14 (9) Aperture Cards.....•....•....•.••.....•.•..•..••.•.•...•.. III-l5 (10) Punch Cards ..............•..•.•.................•......... II1-16 (11) ADP Software and Covers ••••••••••••••••••.••••••••••••••.. III-17 (12) Printouts•••.....•...........•.....•..........•........... 111-18 (13) Recordings•••.•.....••••••......•.••••••••.••••...••....•. 111-18 (14) Word Processor Disks (Floppy Disks and Removable Hard D1 sks) .•.•...••••••..•.•...•.••.•••••.•....•.....•. 111-19 (15) Microfiche 111-19 (16) Containers .......•..•.•....••.•.•...•........•..•.•.•..... 111-20 (17) Compilations •..•..........•..•.••.•...•..........•..•..... 111-20 (18) Draft Copies and Worksheets •••••••••••••••••••.••.•••••••• III-21 (19) Documents Pending Review•••••••••••••••.••••..••••••••...• III-21 5. Classified Messages ...•..•.••.•.•....•....••.•••.•.•..••......•....• 111-21 6. Documentati on ••••••••••••••••.•••.•.•••..•.....•.•••••••••••..•....• 111 -21 7. Classified Cover Sheets•.••••.•.••••••••••••••••••••••••.••••.••.••• III-22 a. Top Secret Documents ...•........................•............... I11-22 b. Secret Documents .......••.•.•.........••.•••.•.•......•......... 111-22 c. Confidential Documents .•••.••••••••.••••••••.•.•••.•.••••••••••• III-22 d. Documents Containing Restricted Data •••••••••••••••••••.•.••.•.• III-22 8. Foreign Classification Markings••••••••••••••••.••••••.•.••••••••••• III-23 Attachment 111-1 - Current Markings ••••••••••••••••.•••••.• III-25 Attachment 111-2 - Bound Documents--Confidential National Security Information••.•••••• III-27 Attachment III-3 - Bound Documents--Secret National Security Information .•.••.•••••••••••• III-29 Attachment III-4 - Bound Documents--Confidentia1 Restricted Data or Formerly Restricted Data •.•.••..•.•.••••••••••• III-3l

Attachment III-5 - Bound Documents--Secret Restricted Data or Formerly Restricted Data •••••• III-33 Attachment 111-6 - Documents--Original Classification, Confidential National Security Informati on •.••.•••••••••••••••••••••• III-35 Attachment III-7 - Documents--Derivative Classification, Confidential National Security Infonnation 111-37 r DOE 5635.1A 2-12-88 iii r Attachment III-8 - Documents--Original Classification, Secret National Security Information •• III-39 Attachment III-9 - Documents--Derivative Classification Secret National Security Information .. III-4l iv DOE 5635.1A 2-12-88 Attachment 111-10 - Documents--Confidential Restricted Data or Formerly Restricted Data ••••.• 111-43 Attachment 111-11 - Documents--Secret Restricted Data or Formerly Restricted Data ••••••••••• 111-45 Attachment 111-12 - Memorandum of Transmittal ••••••••••••••• 111-47 Attachment 111-13 - Master Copy of Reproduction ••••••••••••• 111-49 Attachment 111-14 - Viewgraphs •••.•••••••••••••••••••••••••• 111-51 Attachment 111-15 - Photographic Slide, Negative, and Print ...•.•.•.....•.•..•..••.••..••... III-53 Attachment 111-16 - Charts, Maps, and Drawings•••••••••••••• 111-55 Attachment 111-17 - Motion Picture Film and Video Tapes ••••• 111-57 Attachment 111-18 - Microfilm Reels ••••.•••••••••••••••••••. 111-59 Attachment 111-19 - Aperture Cards ..••.••••••••••••••••••••• 111-61 Attachment 111-20 - Punch Cards •.••••••.•••••••••.•••••••••• 111-63 Attachment 111-21 - ADP Software and Covers ••••••••••••••••• 111-65 Attachment 111-22 - Word Processor Disk (Floppy Disks) •••••• 111-67 Attachment 111-23 - Microfiche ••••.••••••••••••••••••••••.•• 111-69 Attachment 111-24 - Weapon Data Message Containing Confidential Restricted Data •••••••.•• 111-71 Attachment 111-25 - Message Containing Secret National Security Information ••••••••• 111-73 Attachment 111-26 - Secret Document Cover Sheet •••••••••.••• 111-75 Attachment 111-27 - Confidential Document Cover Sheet ••••••• 111-77 Attachment 111-28 - Restricted Data Document Cover Sheet (Placement) ••••••••••••••••••.•• 111-79 Attachment 111-29 - Foreign Classification Markings••••••••• 111-81 CHAPTER IV - TRANSMISSION OF CLASSIFIED DOCUMENTS 1. Assurances Reauired Prior to Transmission •..••••.•..•..•.••.••••••••• IV-1 2. Transmission of Secret Documents •.••••••••••.•.•••••••••••••••••••.•• IV-l a. Within Facilities .••.••....•..••...•.•.••••..•........•••••.••... IV-l b. Outside Facilities •.•••.•.•.•.•.•...•....•..•.••••••••...••.•..•• IV-l 3. Transmission of Confidential Documents •••••••.••••.•••.....••.•••••.• IV-3 a. Within Facilities...........•.•...•............•.....•.•..•.•.••. IV-3 b. Outside Facilities ....•..........•.....•.....•..................• IV-3 4. Prohibitions (Removal to Private Residences and Other Public Facilities) ............••...•••............•.....•.••.•....• IV-4 5. Use of Express Service Organizations••••••••.••.•••••••.•••••••••••• IV-4 6. On Air Carriers .............•....................•..•.........•...... IV-5 7. Classified Mailing Addresses •.•.••••••••.•.•.••.••.••.••.•••••••••••• IV-5 8. Preparation of Classified Documents for Transmission •.•.•••••••••.•.. IV-5 a. Receipts for Secret and Confidential Documents .••..•.•••••••••••• IV-5 (1) When Used ......................................•......•.•... IV-5

(2) ADP Classified Documents ••••••••••••••••••••••••••••••••••• IV-S (3) Within a Division or Facility •••••••••••••••••••••••••••••• IV-6 (4) Preparation IV-6 (5) Verification. Signature. and Return •••••••••••••••••••••••• IV-6 (6) Del~ in Return of Receipt••••••••••••••••••••••••••••••••• IV-7 (7) Messenger Receipt...........................•.............. IV-7 (8) Courier Receipt•.•..•.....•.••.•.•.•••...•.•.•••.•.•..•...• IV-7 b. Envelopes and Wrappers •••••••••••••••••••••••••••••••••••••••••• IV-7 (1) Use........................................................ IV-7 (2) Inner Envelope or Wrapper•••••••••••••••••••••••••••••••••• IV-8 (3) Outer Envelope or Wrapper•••••••••••••••••••••••••••••••••• IV-8 (4) Diplomatic Pouch••••....•...••................•............ IV-8 c. Evidence of Tampering••••••••••••••••••••••••••••••••••••••••••• IV-8 d. Delive~ Within a Facility•••••••••••••••••••••••••••••••••••••• IV-9 Attachment IV-l - Authority to Hand-Carry Classified Hatter•.•••.•.••••••.••••••.••.••.••..• IV-ll Attachment IV-2 - Classified Document Receipt•••••••••••••• IV-l3 Attachment IV-3 - DOE Messenger Receipt IV-15 Attachment IV-4 - Courier Receipt••••••••••••••.••••••••••• IV-l7 Attachment IV-5 - Envelopes for Classified Correspondence ••••••••••••••••.••.••••• IV-l9 r DOE 5635.1A Chg 1 6-14-93 v r r·", .' CHAPTER V - ACCOUNTABILITY RECORDS 1. Accountab11 ity V-I 2. Accountab; 1i ty Records ................••....•.•..........•......... V-2 a. When Originated V-2 b. When Reproduced ....•.....................................•..•.• V-2 c. When Recei ved or Transmi tted ......•.....•...................... V-2 d. When Destroyed .....•.•.••••..•.•.....•......................... V-3 e. On Change of Classification .....•..•••..•••••.•.......••....•.• V-3 3. Inventory Requirement V-3 4. Records Retent 1on •.•...........................•.......•........... V-4 Vertical line denotes change. vi CHAPTER VI - REPRODUCTION OF SECRET AND CONFIDENTIAL DOCUMENTS DOE 5635.1A 2-12-88 1. DOE Employees and Contractors •••••••••••••••••••••••••••••••••••••••• VI-1 8. Secret Documents •..•.•..•••.•••••.••••••••••••••••••••••••••••••• VI-l b. Confidential Documents •••.•.••••••••••••••••••••••••••••••••••••• VI-l c. Review for Declassification•••••••••••••••••••••••••••••••••••••• VI-l d. Microfilming.....................•.....•••....••••....•.••••..... VI-2 2. Reproduction by Outside Agencies••••••••••••••••••••••••••••••••••••• VI-2 3. Classification and Other Markings on Reproduction ••••••••••••••••• ~ •• VI-2 4. Documentation.•.•.•.•.••.•.•.•.••.•.•.••••••••••••.••••••••.••••••••• VI-2 5. Photocopy Machines .•...•.•..•.•.•.•.•.•..•••••••••••••••••••••••••••. VI-2 6. Graphic Arts Processes•.•.•..•••.•.••••••.•••••••••••••••.••••••••••. VI-3 CHAPTER VII - SECURITY REPOSITORIES AND STORAGE 1. Securing Repositories •.•..•.•••..•.•.•.••.•.•••.••••••••••••••• •~ ...• VlI-l 8. Storage Facilities •.•..•.....•..••.•....•...••••..••.•••••••..•.• VlI-l b. Records of Co~binations •••••••••••••••••••••••••••••••••••••••••• VII-l c. Selection of Combination Settings•••••••••••••••••••••••••••••••• VII-l d. Change of Combinations••••••••••••••••••••••••••••••••••·••••••••• VII-l (1) For Top Secret Repositories •.•••.•••••••••••••••••••••••••.• VII-l (2) Secret and Confinential Repositories •••••••••••••••••••••••• VII-l e. Security Repository Information•••••••••••••••••••••••••••••••••• VII-2 ~

(1) Security Container Information•••••••••••••••••••••••••••••• VII-? ) (2) Security Container Check Sheets ••••••••••••••••••••••••••••• VII-2 (3) Activity Security Checklist••••••••••••••••••••••••••••••••• VII-3 2. Storage of Inactive Secret and Confidential tlonweapon Data Documents in Federal Records Centers ••••••••••••••••••••••••••••••• VII-3 Attachment VII-l - Security Container Information •••••••••• VII-5 Attachment VII-2 - Security Container Check Sheet•••••••••• VII-7 Attachment VII-3 - Activity Security Checklist••••••••••••• VII-9 CHAPTER VIII - UNACCOUNTED-FOR OR COMPROMISED DOCUMENTS OR COMPROMISES OF INFORMATION 1. Genera' •.•..•..•.•.••..•....•.•..•.•.•••••.••••••••••••.••.•.•••.••.. VIII-l a. DOE or Contractor Originated Documents ••••••••••••••••••••••••• ~.VIII-l b. Forty-Eight Hour Search•••••••••••••••••••••••••••••••••••••••••• VIII-l c. Documents of Other Agencies••••.••••••••••••••••••••••••••••••••• VIII-l d. Alleged or Suspected Violation of Federal law•••••••••••••••.•••• VIII-l e. Written Matter Relating to Unaccounted-For, Compromised, or Possibly Compro~ised Documents or Information ••••••••••••••• VIlI-l f. Notification to the Director of Safeguards and Security Concerning Top Secret, Other Agency, or Other Government Infonnation VIII-2 r.. " . DOE 5635.1A 2-12-88 vii r g. Content of Document Notification Report ••••.••••••.••••••••••••• VIII-2 h. Follow-up Notification .•••.•.•....•.........•..•...........•.... VIII-3 i. Action To be Taken VII1-3 j. Records of Action Taken ••..•.••••••••••••••••••••••••••••••••••• VIII-4 k. Quarterly Report ...•.......•.•....•..•.•.•.••.....•...•..•...•.. VIII-4 2. Notification to Infonmation Security Oversight Office ••••••.•••••.•• VIII-5 Attachment VIII-1 - Reporting Unaccounted-For Documents ••• VIII-7 CHAPTER IX - CLASSIFIED DOCUMENTS FURNISHED TO OTHER GOVERNMENT AGENCIES AND SAFEGUARDING THE DOCUMENTS OF OTHER AGENCIES 1. Classified Documents Furnished to Other Government Agencies ••••••••• IX-1 2. Documents of Other Agencies••••••••••••••••••••••••••••••••••••••••• IX-l a. Safeguards To be Afforded ••.••••••••.•••..••..•••••••••••••••••• IX-l b. Designation of Downgrading or Declassification •••..••••••••••••• IX-2 c. Transmission Outside DOE or Contractor Faci1ities .•••••••••••••• IX-2 d. Reproduction .............•...........•.••.••..•.•......•..•....• IX-2 e. Change of Cl assi fi cati on ••••.•...•..•....•••••••••••.••••••••••• IX-2 f. Regi stered Documents IX-2 g. Other-Agency Documents Not Confonming to DOE Reauirements ••••••• IX-3 h. Improperly Classified Documents Received From an Outsi de Agency••.••.•........•.•••••.••.••.••••••.•.••......•. I X-3 i. Documents Received From Foreign Governments or International Organi zati ons IX-3 j. Foreign Restricted Documents •.••••••••••••.•••••••••••••••••••.• IX-4 (1) Access •......•..•••....•...•.•••••••.•••.•.••....••.••..••• IX-4 (2) Storage IX-4 (3) Transmission IX-4 (4) Destruction IX-4 (5) Documents That Are Unaccounted For or Compromised ••••.••••• IX-4 CHAPTER X- DESTRUCTION OF SECRET AND CONFIDENTIAL DOCUMENTS 1. Disposition X-1 2. Secret Documents .........•....•.•..•.•.............•........•.•..•.• X-1 a• Rec0 rds. . . . . . • . . • . • . . • . . . . • . . . . . . . • • . • • • • . • • • . . . • . . . •.••.•••••.• X-1 b. Who Destroys.•..•••••••.•...•....•.••.••.••.••••••••.•...•.•••••X-l c. Method of Destruction X-l d. Disposal of Waste •..•...•••..•..•.••.••••.....•.•..•••••••..•... X-2 e. Inventory Reductions ...............................•.•.....••.•. X-2

viii DOE 5635.1A 2-12-88 3. Confi denti al Documents X-2 4. Use of Presses and Pl ates ..•..•.............•....•.........•....••.•X-2 Attachment X-1 - Record of Destruction ••••••••••••••••••••• X-3 CHAPTER XI - CONTROL OF TOP SECRET DOCUMENTS 1. General XI-l 2. Authenticating Officia1s ••••.•..•.•.•.....•....•..•.•••••••..•.••.•• X1-1 a. Who Authenticates .•......•...•...•........•..•..•..•..•....•.... XI-l b. Designation of Top Secret Classifiers ••••.•••••••••.•.••.•..•••• XI-l c. Duties of Top Secret C1assifiers .•.•.•.•••••••••••••••••••••••.• XI-2 3. Preparation XI-3 a. Authentication XI-3 (1) Review by Top Secret Classifiers •••.•.•••••••••••.•.•.•..•. XI-3 (2) Review of Other Agency Documents ••.••••••••••••••••••.••••• XI-3 (3) How Documents Are Authenticated••••••..•.••.••.•••••••••.•• XI-3 (4) Drafts, Master Copies, and Worksheets •••••••••••••.••••.•.• XI-4 b. Top Secret Transmittal XI-4 c • Mark; ng..........................•.•.•....••.•...•.•............ XI - 5 d. Documentation XI-5 e. Designation of Date of Destruction•••••••.•••••.•••••••••••••••• XI-6 f. Record Copies XI-6 g. Compilation XI-6 h. Top Secret Cover Sheets XI-6 (1) Top Secret Cover Sheet•.•••.•.••.•••.•••••••••••••••••••••. XI-6 (2) Top Secret Access Sheet••.•.•••••••••.•••..•.••.•.••••••••• XI-7 (3) Documents Containing Restricted Data ••••••••••••••••••••••• XI-7 (4) Tapes and Diskettes ••••.•••••.•••.•.•••••••••••••••••••.•.• XI-7 (5) Signature and Other Data Reauired••••.••••••••••••••••••••• XI-7 (6) Removal ..••••.••••••..•.•••••.••..•.•..•••••••••••••••.•..•XI-7 i. Punch Cards, Magnetic Tapes and Discs, and Printouts •••••••••••• XI-7 j. Records of Combinations XI-8 4. Top Secret Control Officers .••.••.•••.•••••••••••••••••.•.••.••••••• XI-8 a. Designation of Top Secret Control Officers ••.•..••.•.••.•••••••• XI-8 b. Responsibilities of Top Secret Control Officers •••••••.•.•.••••• XI-8 c. Duties of Top Secret Control Officers .••.••..•.••.••.•••••••.••. XI-8 5. Records ..... '.................................•..................... . XI-9 a. On Authentication or Reproduction of Documents ••••••••.••..•.••. XI-9 b. On Receipt of Documents .••.••.•••••••••••••••••••••••••••••••••• XI-1 0 c. On Transmission of Documents Outside the Jurisdiction of the Top Secret Control Officer .••••.••••••••••.•.•••••••••• XI-10 d. On Downgrading, Declassification, or Destruction ••••.••••.••.••. XI-10 6. Storage XI -'0 a. Central Storage XI-l 0 b. Use of Special Folders •••.•.•.•...•.•••••••••••••••••••••••••••• XI-10 ix r r DOE 5635.1A 2-12-88 c. Separate Repositories or Drawers •••.•••.••••••••••••••..••.•••• XI-11 7. Inventory Xl-l1 a. Dates of Inventory XI-l1 b. List of Top Secret Documents ••••.•••••.•••••••••••••.••••..•.•• XI-11 c. Conduct of Inventory............•..•.•......•.•.•.•...•.•.•.... XI-11 d. Spot Check of Inventory •••••••••..•••••••••••••.••.•••••.•••••• XI-12 8. Unaccounted-For, Compromised, or Possibly Compromised Top Secret Documents •.•.••.•.••...••...••.•.•.•.•...•.••....•.•.• XI-12 a. Notification to the Director of Safeguards and Security••.••••• XI-12 b. Notification to Outside Agencies ••.•••••••.••••.•••.•••.•.••••. XI-12 9. Review of Need for Retention and Current C1assification ••••..••.•.• XI-12 a. Annual Review for Retention or Destruction ••••••••••••••••••••• XI-12 b. Annual Review for Current C1assification ••••.•••••.••••••••.••. XI-12

10. Reproduction...............•.......................................XI-13 a. Authority to Reproduce ••••••••••••••.••••.••••••••..••••.••..•• XI-13 b. Emergency Reproduction •••••••••••••••••••••••••••••••••.••••••• X1-13 c. Designation of Date of Destruction•••.•.•••••....••.•••••••.... XI-13 d. Authentication•...••...••.•.•..•................•..•.••...•...• XI-14 e. Reproduction by Outside Agencies .•.•.•••••.••.•.••••••••••••.•• XI-14 11. Transmi 55;on XI-14 a. Receipts XI-14 b. Envelopes or Wrappers ••••••••••••••••••••••••.••••••.•••.••••.. XI-15 c. Approved Methods of Transmission••••...•.•...•.•.•.•.••...•...• XI-15 (l) Within a Security Area ••••••••••••••••••••••••••...••••••• XI-15 (2) Outside Security Areas ••••....•....•.•.•••.••••.•••.•••••• XI-15 12. Destruction.••......•..•........••....•.•.••..•..•.•.•....•.......• XI-16 a. Indication of Date of Destruction••••••.•.••••••••••••••.••..•• XI-16 b. Who Destroys .....................••.•...•.•...•.••.•.....•..•.. XI-16 c. Certification of Destruction•...••••••••••••••••••••••••••••••• XI-16 d. Method of Destruction••..•••..••.•••••..•••••.•.••••••••••••••• X1-16 e. Destruction by Other Agencies •••.•.••.••...•.•......••••••••••• XI-16 f. Replacement Pages......•....•......•.•...•.••..•..•.•.......... XI-17 13. Notification, Authentication, Receipt From Outside Agencies, and Change in Status ...•..•....•.•..•.•.••.....•.....•.••.•.••••• XI-17 a. Notification by Top Secret Control Officers •••••••••••.•.•••.•. XI-17 b. Top Secret Authentication Notices •••••••••• ~ ••••••••••••••••••• XI-17 c. Top Secret Transaction Notices ••••••••••••••••••••••••••••••.•• XI-18 d. Number and Distribution of Copies •••••••••••••••••••••••.••••.• XI-18 e. Completion of Fonns ...•........•..•.•.•........................ XI-18 f. Downgrading or Dec1assification.•..•••..••.••.•.••••••••••••••• XI-18 14. Outside-Agency Top Secret Documents •..••••••••••.•.•••••.•.•••..•.. XI-18 a. Cover Sheets...•.........................•...•.•..•.•...•....•.XI-18 b. Documentation•................•.•..•........................... XI-19 c. Assignment of Document Numbers •••••.•.•••••.••••••••••••••••••• XI-19 d. Notice of Transaction••••..••••••.••••••••••••••••••••••••••••• XI-19 e. Reproduction•....•.....................•....•.•.••.••....•..... XI-20 f. Documents Not Previously Reported•••••••••••••••••••••••••••••. XI-20 x DOE 5635.1A 2-12-88 g. Records ....•.........••...........•.•....•.....•..•..•..••..... XI-20 h. Destruction....•....................•.•....•..•...•............ XI-20 i. Return of Outside-Agency Documents •••••••.••••••••••••••••••••• XI-21 j. Previously Received Documents ••••.•.•.•.••••.•••.•••••••••••••• XI-21 15. Action Necessary When A Top Secret Classifier, Top Secret Control Officer, or Other Custodian Transfers or Terminates •••••• XI-21 8. Top Secret Class;fier..........•.............•........•..•..... XI-21 b. Top Secret Control Officer or Custodian .•••.••••••••••••••••••• XI-21 16. List of Active DOE Top Secret Classifiers •••••••••••••••••••••••••• XI-21 Attachment XI-l - Top Secret Authentication Notice •••••.•• XI-23 Attachment XI-2 - Top Secret Document Authentication •••••• XI-25 Attachment XI-3 - Top Secret Cover Sheet.••••.•••••••••••• XI-27 Attachment XI-4 - Top Secret Access Sheet•••••••••••••••.• XI-29 Attachment XI-5 - Restricted Data Cover Sheet•.••••••••••• XI-31 Attachment XI-6 - Receipt for Top Secret Documents •••••••• XI-33 Attachment XI-7 - Top Secret Transaction Notice ••••••••••. XI-35

CHAPTER XII - SCIENTIFIC AND TECHNICAL REPORTS 1. Purpose XI 1-1 2. Background XII-l 3. Submission of Scientific and Technical Reports to Central Management Activity••••••••••••••••••••••••••••••.••••••• XII-l 4. Preparation XII-l 5. Control of Access XII-l a. Access XII-l b. Transfer-Accountability•••••••••••••••••••••••••••••••.•••••••• XII-1 6. Dissemination XII-l a. To DOE and DOE Contractor Employees •••••••••••••••••••••••••••• XII-2 b. To Other Government Agencies ••••.••••.••••••••••••••••••••••••• XII-2 7. Records ••..•....••......•.•.•.•••••.•.•.•..••••.•.••••••••••.•••••• XII-2 8. Re~uction in Number of Reports •••••.•••••.••••••••••.•.••.••••••••• XII-2 9. Reproduction ........•.•.•..............•.••••••..•...•••.•.••.•••.• XII-2 10. Terminations of Contracts ••••..••.•.•••••.•••••••.••••••••••••••••• XII-3 11. Microfiche of Classified Reports ••••.••••••••.••••••••••••••••••••• XII-3 CHAPTER XIII - TRANSFER OF CLASSIFIED NONMILITARY INFORMATION TO FOREIGN GOVERNMENTS 1• Authori ty XII1-1 a. Classified Nonmilitary Information••••••••••••••••••••••••••••• XIII-l b. Classified Military Information•.••••••.•.•••••....•.••••.••••• XIII-1 c. Restricted Data and Fonmer1y Restricted Data ••.••••••.••••••••• XIII-1 d. Prohibitions and Disclosure••..••.•.•.•.••....•..•.•..•.•.••••• XIII-1 2. ReQui rements XI I1-2r DOE 5635.1A 2-12-88 xi (and xii) r r a. Criteria for Release of Classified Nonmilitary Information ••.•• XIII-2 b. Additional ReQui rements••••••.••.•..•.••.•••••.•.•••.••••••..•. XIII-2 3. Internal Procedures XIII-3 a. Initiation and Coordination••.••.••••••••.•••••••••••••.••••••• XIII-3 b. Determination of Net Advantage to the United States •••••••••••• XIII-3 c. Classified Information Exchange Agreement•.••.•.••..•....•..•.• XIII-3 (1) Necessity for Existence of Government-to-Government Agreements •....................••.•....•.•.........••...XI 11-3 (2) Development of DOE Agreement••••••••••••••.••••••••.••.•.• XIII-3 (3) Contents XIII-3 (4) Execution of A~reement•••••••••••••••.•••..•••••.••••••••• XIII-3 (5) Wai ver of Posi ti ons ••••..•.•••••••••.•.••••••.•.•...•..•.• XI I1-3 d. Transfer of Classified Information .•..••.••••••••••.••..•.••••• XIII-4 (1) Security Assurances or Security Checks ••••.••.•..••.•..••• XIII-4 (2) Results of Security Checks •.••.•.•••••••••••••••••.••••.•• XIII-4 (3) Review of Documents To be Transferred•••..•.•..••••••••••. XIII-4 (4) Preparation and Method of Transmission •••••••.•..••.••••.• XIII-5 (5) Accountabil ity XII 1-5 CHAPTER XIV - COMPLETION OF WORK AND TERMINATION OF CONTRACTS 1. Background.•.................•...................•................. XIV-l 2. Action on Completion of Work •••••••••••••••••••••...•...••••••••••. XIV-l 3. Action on Termination of Agreement•.•••••••••.•.•........••.••.•••• XIV-l 4. Disposition of Classified Documents •••••••••••••••.•..•.•.••••••••• XIV-2 a. Retention of Classified Documents •••••••••.••.....••••.•••••.•. XIV-2 b. Nonpossession of Classified Documents •.••.•..••.••.•••••••••.•• XIV-2 5. Unaccounted For Documents •••.•••.•.•••••••••••.....•..•.••••••••••• XIV-3 Attachment XIV-l - Certification of Possession ••.••.•.•••• XIV-5 Attachment XIV-2 - Certificate of Nonpossession of Classified Documents and Materials ..• XIV-7 CHAPTER XV - COMPUTER-RELATED DOCUMENTS

1• Background....•......•••.••••.•.•.•.•••••••••.•.•••.••.•••••••..••• XV-1 2. Computer-Related Documents in Numerical Text••••••••••••.•..••••••• XV-l 3. Review for Classification and Destruction ..••••.•.•••.•.•.••••••••• XV-l 4. Storage XV-2 5. Surveys of Automatic Data Processing Centers ••••.•.•..••••••••••••• XV-2 6. Implementation of These Procedures ••••••••••.•.••••••••••.••.•••••• XV-2 r DOE 5635.1A 2-12-88 CHAPTER I RESPONSIBILITIES AND AUTHORITIES 1. ASSISTANT SECRETARY FOR DEFENSE PROGRAMS (DP-1) shall: 1-1 ~ ~. a. Review and approve policies, standards, reQuirements, and procedures for controlling classified documents. b. Execute agreements for exchanging classified information with foreign governments as provided in Chapter XIII. c. Review and approve reQuests for waivers of the reQuirement for security assurances and security checks, as they relate to classified information exchanges with foreign governments in accordance with Chapter XIII. d. Review and approve waivers of understandings, as provided on page XIII-1, paragraphs 2b(1) through (4), as they relate to agreements noted under paragraph lc above. e. Approve access to Special Intelligence in accordance with Director of Central Intelligence Directives (DCID). f. Controls access to and dissemination of Sensitive Compartmented Information (SCI) and that information bearing the DCI authorized control markings as prOVided for in Attachment 1, paragraphs 22,23, and 24. 2. DEPUTY ASSISTANT SECRETARY FOR MILITARY APPLICATION (DP-20) shall: a. Develop reQuirements and procedures for controlling nuclear weapon data (refer to DOE 5610.2). b. Ensure that Restricted Data and Formerly Restricted Data documents being sent from the Department and its contractors to foreign entities under cooperative agreements for mutual defense purposes are channeled to the Joint Atomic Information Exchange Group for review and assurance that the information contained therein is transmissible in accordance with statutory determinations formulated under sections 123 and 144 of the Atomic Energy Act of 1954, as amended. c. Approve the distribution and transmission of classified scientific and technical reports containing nuclear-weapon-related information and effects information (specifically categories C-72, C-73, C-74, I-? DOE 5635.1A 2-12-88 C-74a, and C-81 as defined in M-3679 issued by the Office of Scientific and Technical Information (MA-28). Also, coordinate with other organizations in transmitting sensitive information in their areas of programmatic jurisdiction. 3. DEPUTY ASSISTANT SECRETARY FOR SECURITY AFFAIRS CDP-30) shall: a. Oversee the implementation of Executive Order 12356 and its implementing directives. b. Grant and revoke waivers reauiring an annual invento~ of storage systems containing large volumes of Top Secret information. 4. DIRECTOR OF OFFICE OF CLASSIFICATION (DP-32) shall: a. Act as the senior agency official responsible for directing and administrating the DOE information security program, except for those provisions of the Executive order and implementing directives that deal with the safeguarding of such classified information as personnel security, physical security, and the establishment of special access programs. b. Assist in matters involving the classification, upgrading, downgrading, declassification, and transclassification of all classified documents.

c. Make recommendations to the Secretary concerning the designation of certain Top Secret classifiers and acts for the Secrp.ta~ in designating other Top Secret classifiers. d. Inform the Director of Safeguards and Security (DP-34) of the appointment of all Top Secret original and derivative classifiers to ensure the correct assignment of authenticating symbols. 5. DIRECTOR OF INTERNATIONAL SECURITY AFFAIRS (DP-33) shall: a. Determine, in accordance with the provisions on page XIII-3, paragraph 3b, whether furnishing classified information to foreign governments will result in a net advantage to the national security of the United States. b. Assist in developing agreements for exchanging classified information with foreign governments, as set out in Chapter XIII. c. Obtain security assurances, as reQuired on page XIII-4, paragraph 3d(1), on the proposed exchange of classified inforMation with foreign governments. ~.....'" , r DOE 5635.1A 2-12-88 6. DIRECTOR OF SAFEGUARDS AND SECURITY (DP-34) shall: 1-3 Monitors the activities of DOE and contractors involving unaccounted­ for classified documents. Submit to the Information Security Oversight Office semiannual reports of intentional unauthorized disclosures of National Security Information by DOE and contractor employees. j. Submit reports immediately of unauthorized disclosures of classified information, resulting from systemic problems, to the Information Security Oversight Office. a. Develop, for review and approval by the Assistant Secretary for Defense Programs, policies, standards, and procedures for controlling classified documents, in coordination with Departmental Elements. b. Provide guidance and assistance in all phases of the control and accountability of classified documents. c. Administer and oversee implementation of Executive Order 12356 pertaining to special access programs, personnel, and physical security regarding the protection of National Security Information. Compiles and maintains a current central register of code words originated and used by its contractors. Notify designated Heads of Departmental Elements when code words are assigned or discontinued. Maintain central accountability of Top Secret documents originated by, or in the possession of, DOE and its contractors. Assign Top Secret authenticating symbols to all Top Secret classifiers. d. e. f. g. r h. 1. k. Authorize, in writing, DOE and contractor employees to carry Secret and Confidential documents to and from non-Soviet Bloc countries. 1. Authorize the transmission of Secret and Confidential documents by other-than-prescribed means. m. Establish a program for the control, safeguarding, and accountability of classified documents received from other Government agencies and foreign governments. r 1-4 DOE 5635.1A 2-12-88 n. Administer the Department's subre~istry for safeguarding and controlling North Atlantic Treaty Organization (NATOl classified information. Procedures and reQuirements for safeguarding and control of NATO classified information are set forth in U.S. Security Authority for NATO Affairs (USSAN) Instruction 1-69 (5100.55, Encl. 2), of 1982. o. Establish procedures to ensure that DOE and contractor employees, or other persons under their jurisdiction, who possess access authorization to classified information be reQuired to sign a nondisclosure agreement, Standard Form 189 or 189A, "Classified Information Nondisclosure Agreement," as a precondition for access to classified information (see Attachments 11-3 and 11-4). For HeadQuarters the Director of Safeguards and Security shall:

(1) Issues local implementing procedures for the control and accountability of classified documents. (2) Ensure that employees are cognizant of their responsibilities to safeguard and control classified documents. (3) Ensure that all employees who prepare and handle classified documents are afforded appropriate education and training in procedural document control applications to ensure proper implementation and compliance with the provisions of this Order (see DOE 5631.1A). (4) Insti tute an effective security i nfracti on program and conduct administrative inQuiries into serious security infractions reporteci. (5) Conduct an annual review of the Top Secret document control program of each HeadQuarters organization. (6) Maintain in individual's Personnel Security File copies of authorizations for access to Top Secret information. Q. Revie~ and concur on exceptions to the provisions of this Order upon reQuests of Heads of Departmental Elements. ~ I 7. ASSISTANT SECRETARY, MANAGEMENT AND ADMINISTRATION (MA-l) has overall management responsibility for the Department's scientific and technical information program. Through the Director of Admfnistration (MA-2), establishes policy in consultation with Heads of Departmental Elements for the management of the DOE scientific and technical information program. a. Manager of Scientific and Technical Information (MA-28), develops policy for the collection, processing, retrieval, announcement, distribution, and exchange of scientific and technical information. MA-28 obtains approval from cognizant Headquarters organizations to transmit classified scientific and technical reports. b. Director of the Executive Secretariat (MA-29) processes: (1) All National Security Council documents received and dispatched by DOE, with the exception of documents which contain sensitive compartmented information code word material, or documents submitted by the National Security Councilor other Federal agencies to the Office of Classification (DP-32) for classification review. r DOE 5635.1A 2-12-88 1-5 r (2) All classified documents for the Secretary, Deputy Secretary, and Under Secretary. 8. DEPUTY ASSISTANT SECRETARY FOR NAVAL REACTORS (NE-60) shall: a. Approve transmission of classified research and development reports concerning naval reactors, special features of naval reactors information (Category C-82 as defined in M-3679), and other classified documents containing nuclear technology derived from the Naval Reactors Program to Headquarters personnel, field elements, contractors, other Government agencies and their contractors, and to foreign nations. b. Approve all information releases where a requirement exists for disclosing information concerning U.S. naval nuclear propulsion information to foreign nationals, foreign governments, or individuals representing a foreign interest. c. Approve dissemination of naval nuclear propulsion information to U.S. industry, private individuals, or other private interests, except when required in performing of U.S. naval nuclear propulsion program work. 9. DEPUTY ASSISTANT SECRETARY FOR URANIUM ENRICHMENT (NE-30). a. Regarding documents containing isotope separation/gas centrifuge method information and technology/gaseous diffusion process information (Categories C-24 and C-52, as defined in M-3679): (1) Authorizes access by managers of DOE field organizations when NE-30 has programmatic responsibility for the activity at that field organizations.

1-6 DOE 5635.1A 2-12-88 (2) Upon request of any DOE element, approves the transmission of such information between jurisdictions of different field organizations or between field organizations and DOE Headquarters organizations. b. Authorizes access by employees of the DOE field organizations or a DOE contractor to uranium enrichment technology information not related to operations under the jurisdiction of the manager of the field organization concerned. c. Approves the transmission of documents containing uranium enrichment technology information to civilian employees of the Department of Defense, its contractors, or members of the Armed Forces, and to personnel of other Government agencies. d. Approves transmission to DOE Headquarters personnel, DOE field organizations and contractors, and other Government agencies and their contractors and to foreign nations of classified research and development reports containing isotope separation/gas centrifuge method information, technology/gaseous. 10. DIRECTOR OF NUCLEAR MATERIALS PRODUCTION (OP-13). a. Regarding documents containing technology/tritium production information, and plutonium information, as defined in M-3679, Categories C-57 and C-65. (1) Authorizes access by managers of DOE field organizations when DP-13 has programmatic responsibility for the activity at that field organization. (2) Upon request of any DOE element, approves the transmission of information described by subparagraph lOa, above, between jurisdictions of different field organizations or between field organizations and DOE Headquarters organizations. (3) Approves transmission to DOE Headquarters personnel, DOE field organizations and contractors and to foreign nations, of classified research and development reports containing technology/tritium production information and plutonium production information (Categories C-57 and C-65). b. Advises the Manager of Scientific and Technical Information (MA-28) regarding the transmission of classified research and development reports containing production reactor engineering technology to foreign nations. 11. DIKt~TOR OF ADVANCED TECHNOLOGY PROJECTS AND TECHNOLOGY TRANSFER (NE-35). a. Approves transmission of classified research and development reports concerning the Advanced Isotope Separation Program and other classi­ fied documents containing technology derived from the program to DOE Headquarters personnel, DOE field organizations and contractors, other Government agencies and their contractors, and to foreign nations. r DOE 5635.1A 2-12-88 1-7 r b. Approves the transmission of this information between jurisdictions of different field organizations or between field organizations and DOE Headquarters organizations. c. Approves dissemination of this information to U.S. industry, private individuals, or other private interests. 12. HEADS OF FIELD ELEMENTS shall: a. Ensure compliance with security procedures for safeguarding classified documents in accordance with the provisions of this Order. b. Establish programs for the maintenance and accountability of classified documents and issue local implementing procedures. c. Ensure that employees under their jurisdiction are aware of their responsibilities for the security of all classified documents and information entrusted to them. d. Institute effective security infraction programs, determine actions to be taken, and ensure that contractors and other persons under their jurisdiction establish effective infraction programs.

e. Report immediately to DP-34 infractions that can have a major impact on the common defense and security and infractions that result in suspension of DOE or contractor employees or termination of their employment. f. Obtain quarterly infraction reports from DOE and contractor organizations under their jurisdiction. g. Obtain and submit to DP-34 annual unaccounted-for classified document reports from DOE and contractor organizations and other parties under their jurisdiction and ensure that a complete search is performed for unaccounted-for classified documents. h. Submit reports to DP-34 immediately of unauthorized disclosures of classified information. 1-8 1­ j. k. 1. m. n. DOE 5635.1A 2-12-88 Assign and discontinue code words and notify DP-34 of such actions. Notify DP-34 of Department of Defense code words in current use in offices under their jurisdiction. Approve, in writing, the transmission, removal, reproduction, and destruction of classified documents stored in Federal records centers. Establish limitations, based on sensitivity or other security considerations, on type and category of classified documents that are to be excluded from storage in Federal records centers. Reauest the approval of the Director of Safeguards and Security to transmit classified documents by other-than-prescribed means. Ensure the safeguarding of outside agency classified documents with at least those precautions prescribed for DOE documents and information of the same classification. o. Notify the Director of Safeguar~s and Security and the pertinent Government agency when a classified document originated by that agency is compromised or unaccounted for. p. Review and approve in advance of publication contractors implementing procedures for control of classified documents to ensure conformity and compliance with the provisions of this Order. a. Authorize, in writing, DOE and contractor employees and other persons under their administrative jurisdiction to carry Secret or Confidential documents outside security areas within the continental United States. r. Approve the transmission of Secret and Confidential documents originated by DOE and its contractors to other Government agencies and their contractors and to foreign governments and international organizations, deemed appropriate, and in accordance with applicable laws, orders, regulations, or other applicable guidance. s. Reauest the approval of the Director of Safeguards and Security for DOE and contractor employees on official Departmental business to carry Secret and Confidential documents to and from foreign countries. t. Reduce the volume of classified documents, or shall authorize retention or elimination of such documents on completion of work under contract, subcontract, or other agreement. DOE 5635.1A 2-12-88 1-9 r r",,.." r u. Establish procedures to ensure that when DOE or contractor employees, or other persons under their jurisdiction, transfer or terminate their employment, or require extended leave for prolonged disability, that the classified documents entrusted to them be safeguarded, the accountability records checked, and all classified documents in possession or custodY of the person returned. v. Designate, in writing, the personnel under their jurisdiction who have access authorization to Top Secret documents, the catego~ of Top Secret access authorization and the time period for the authorization; copies of such authorization shall be maintained in the individual·s Personnel Security File.

w. Ensure the designation and appointment of Top Secret control officers and alternates as custodians and shall notify the Director of Safeguards and Security of the selection and position titles of the designees. x. Ensure that the conduct and submission to DP-34 of semiannual inventories of Top Secret documents are conducted and the report sent to DP-34. y. Notify DP-34 when a Top Secret authentication symbol becomes inactive. z. Notify DP-34 when a DOE and DOE contractor Top Secret document is authenticated, received, transmitted, reproduced, downgraded, declassified, or destroyed. aa. Notify DP-34 when outside agency Top Secret documents are received, transmitted, reproduced, downgraded, declassified, or destroyed. bb. Report immediately to DP-34 when Top Secret document cannot be accounted-for, is compromised, or may possibly be compromised. cc. Review Top Secret control practices of each organizational unit under their jurisdiction at least annually. dd. Establish procedures to ensure that all persons under their juris­ diction who possess an access authorization to classified information are required to sign a nondisclosure agreement, Standard Form (SF) 189 or 189A, "Classified Information Nondisclosure Agreement", as a precondition of access (see Attachments 111-3 and 111-4.) ee. Ensure that the management of laboratories and supervisory personnel at other facilities establish control procedures that limit unescorted access to automatic data processing centers, and comply with the provisions of Chapter XV. 1-10 DOE 5635.1A 2-12-88 ff. Ensure a complete inventory of Secret documents is conducted at least once every 36 months and forward a report of the inventory to the Director of Safeguards and Security. gg. Submit to DP-34 for review and concurrence requests for exceptions to this Order. hh. Develop and forwards to DP-34 and the cognizant program office for review and consultation an alternative approach to providing equivalent levels of protection when site or program considerations make the strict implementation of the Order infeasible. 13. HEADS OF HEADQUARTERS ELEMENTS. a. Ensure that an effective program is instituted for the control and accountability of classified documents and that such access to classified documents is authorized on a need-to-know basis. b. Ensure that employees under their jurisdiction are aware of their responsibilities to safeguard and control classified documents and that employees who prepare and handle classified documents are given appropriate training in document control and accountability procedures consistent with the provisions of this Order. c. Notify DP-34 of Headquarters or Headquarters contractor personnel entering military service who have had access to Top Secret information or to one or more other categories of information considered sensitive. d. Assign and discontinue code words and notify DP-34 of such actions. e. Notify DP-34 of Department of Defense (DOD) code words in current use in offices under their jurisdiction. f. Assist in determining, as appropriate, whether the classified technical and programmatic information offered for exchange by a foreign country under U.S. and foreign exchange agreements is at least equivalent in benefit or value to the U.S. information proposed for transfer to the foreign country. g. Report immediately to np-34 all security infractions, particularly those with a major impact on the common defense and security, and infractions that result in suspension of DOE or contractor employees or termination of their employment.

h. Submit immediately reports of unauthorized disclosures of classified information to DP-34. r DOE 5635.1A 2-12-88 1-11 (and 1-12) r r i. Designate, in writing, personnel under their jurisdiction who have access authorization to Top Secret documents, the category of Top Secret access authorization and the time period for the authorization, and provide a copy of the written authorization to the Director of Safeguards and Security. j. Report immediately to DP-34 when a Top Secret document(s} cannot be accounted for, is compromised, or may possibly be compromised. k. Authorize, in writing, DOE and contractor employees and other persons under their administrative jurisdiction to carry Secret or Confidential documents outside security areas within the continental United States. 1. Approve the transmission of Secret and Confidential documents originated by DOE and contractors to other Government agencies and their contractors, to foreign governments, and to international organizations, as deemed appropriate. m. Submit to DP-34 for review and concurrence reQuests for exceptions to this Order. n. Ensure a complete inventory of Secret documents at least once every 36 months and forward a report on the results of the inventory to the Director of Safeguards and Security. r DOE 5635.1A 2-12-88 CHAPTER II GENERAL PROVISIONS 1. SECURITY ORGANIZATION REQUIREMENTS. 11-1 ~ ~. r a. Aclearly identifiable chain of responsibility for information security shall exist between the facility security organization's working level and its top management. The security organization shall be established at the organizational level necessary to ensure the compliance of all organizations with the facility's site security plan. b. Managers of security programs shall ensure that a documented and operational self-inspection program exists. Self-inspection shall be conducted annually to ensure that the objectives of the information security program are achieved. c. To ensure the operation of an effective information security program in accordance with the site security plan, the following program reQuirements shall be established: (1) Security management and supervisory functions shall be staffed with knowledgeable individuals to ensure the operation of an effective information security program in accordance with the site security plan. (2) The organization's management shall ensure that adeQuate resources are made available to implement and maintain the information security program. (3) Individuals responsible for managing or implementing security programs shall focus adeQuately on security. Nonsecurity­ related functions shall not detract from the classified information control function. (4) Self-inspections shall address all previously noted deficiencies until they are corrected, as well as a representative sampling from all other applicable areas. (5) Afile of self-inspection results shall be maintained at the organization1s security office. Findings and corrective actions or plans for action shall be approved within 30 days of the inspection. 11-2 DOE 5635.1A 2-12-88 1 2. CLASSIFIED PROGRAM MANAGEMENT. a. Heads of Departmental Elements responsible for programs reQuiring material and document control shall ensure that documented procedures are established and are approved by the element or facility security office before the start of such programs.

b. New programs shall be reviewed to determine if the activities being performed are classified and therefore reQuire material and document control. A determination shall be made to identify the level of classification reQuired and the information shall be forwarded to the appropriate security office. c. All such eXisting programs shall be reviewed at least annually to determine whether the protection systems designed to safeguard classified material and documents are adeQuate. d. Facility management shall be involved in, and supportive of, all aspects of information security. Managers shall demonstrate an active involvement with and support for security activities and programs by regularly (at least annually) visiting and inspecting information security operations to ensure that operations are in compliance with existing standards and policies. e. Management shall ensure assures that information on security is ~ included in the facility's protection program planning documents. 3. ACCESS TO CLASSIFIED INFORMATION. a. Access to classified information shall be granted only to authorized persons who possess the appropriate security clearance and who reauire the information in the performance of official duties or contractual obligations on a need-to-know basis. It is the responsibility of the individual disseminating classified matter to ensure that the recipient of the classified matter has the appropriate security clearance and need-to-know as defined in Attachment 2, page 7, paragraph 52. Access to classified information shall be based on DOE access reauirements, as specified in DOE 5631 series. . b. Access to Top Secret information shall be kept to a minimum and granted only properly cleared persons who reQuire the information in the performance of official duties and who have been specifically designated in writing as reauiring such access. DOE 5635.1A 2-12-88 11-3 r r·· .,. c. Restricted Data may be furnished to employees of other Government agencies only upon the basis of certification in writing by, or in the name of, authorized officials of the agency reQuesting the information. Each certification shall include a brief statement of the scope of work for which the reports are reQuested and shall include: verification of appropriate security clearance for each person; a statement that each person needs and is authorized access to the reports in the performance of officials duties; and a statement that the common defense and security will not be endangered by the access to be granted. d. Restricted Data and Formerly Restricted Data shall be made available to foreign nations or regional defense organizations only under an agreement for cooperation entered into in accordance with sections 123 and 144 of the Atomic Energy Act of 1954, as amended. 4. TELEPHONE CONVERSATIONS. Classified information shall not be discussed over unencrypted or nonsecure telephone systems. No attempts shall be made to talk around classified information by using personally devised code words, nicknames, symbols, abbreviations, or paraphrasing to circumvent this provision. 5. CONFERENCES AND DISCUSSIONS. Heads of organizations responsible for host;ng conferences or discussions that involve classified information will comply with the prOVisions of DOE 5632.4, Page 11-17, paragraph 14, and shall:

a. Ascertain prior to the conference or discussion that participating personnel have been positively identified, have proper clearance, and are otherwise authorized to have access to the information to be discussed. When practical or appropriate, DOE F 5631.20, "ReQuest for Visit or Access Approval ," or similar verification shall be used (see Attachment 11-1). b. Indicate to participating personnel whether classified information is involved and the classification level or category of information to be discussed. c. Ensure that classified discussions are held only in areas that have been approved by DOE for such discussions. d. Ensure that no discussion takes place within the hearing of persons not authorized to have access to the classified information. e. Implement technical surveillance countermeasures in situations where such action is necessary or warranted. II-4 DOE 5635.1A 2-12-88 6. RELEASE OF INFORMATION TO THE PUBLIC. Classified information shall not be released to the public until it has been formally and officially declassified by appropriate classification authority and its release is otherwise permitted by applicable law or regulation. Classified information inadvertently released will not be commented on to confirm or deny its accuracy. 7. CLASSIFIED INFORMATION ORIGINATED BY ANOTHER AGENCY. Classified information originated by another Government agency and furnished to DOE shall not be disseminated outside OOE without the consent of the originating agency. 8. DOE ORIGINATED CLASSIFIED INFORMATION FURNISHED TO OTHER GOVERNMENT AGENCIEs. Classified information originated by DoE and furnished to another Government agency shall not be disseminated outside that agency without the consent of DOE. 9. CODE WORDS. a. Selection and Use of Code Words. (l) Acode word shall have no discernible relationship to the item for which it is used. (2) Code words shall not be used in any manner that might reveal their meaning to individuals who have no official need for the information. (3) Code words shall not be assigned a second time nor shall they be used with more than one meaning. The list of available code words for use by the Department of Defense {DOD} shall be checked by the user to ensure that the code words are not used by DOE. b. Reporting of Code Words. All code words originated by DOE shall be reported to DP-34 and include the following: (l) The meaning assigned to the code word; (2) The classification of the code word when used together with its meaning; and (3) Dissemination made or intended for the code word. DOE 5635.IA 2-12-88 ~ c. Safeguarding of Code Words. (I) DOE code words shall be treated as information subject to limited dissemination in accordance with a need-to-know, as determined by responsible Heads of Departmental Elements. (2) Code words originated by the Department shall be safeguarded in accordance with the assigned classification and category. The classification level and category shall be included in parentheses immediately follOWing the code word (e.g., "Label Confidential/NSI") each time the word is used. Such labels will always be used regardless of portion-marking reqUirements or waivers (see page 111-5, Paragraph 4j). d. USE OF MEANING. The meaning of a code word may be used together with the code word only when it is absolutely essential. e. DISSEMINATIQN OF CODE WORDS. Code words and their meanings shall be disseminated only to individuals who require the information in the performance of their official duties or contractual obligations on a need-to-know basis.

f. RESPONSIBILITY OF THE ORIGINATOR. The originating office shall keep code words under continuous review. In cases of known or suspected compromise, or when the period for which a code word was assigned has expired, or when for any other reason the continued use is inadVisable, that office shall take immediate action to discontinue the code word. 10. TRANSFEROR TERMINATION OF EMPLOYMENT OR TERMINATION OF ACCESS AUTHORIZATION (See Attachment 11-2). a. Notification to Security Office. When a person with an access authorization transfers or terminates his or her DOE or contractor employment or when a person's access authorization is terminated, the responsible DOE or contractor security office shall be notified. b. Assyrance to be Obtained. On transfer or termination of employment of persons who possess an access authorization or on termination of an access authorization, the responsible security office shall ensure that: (1) Accountability records are checked and all classified documents in the possession or custody of the person who is being transferred or whose employment is being terminated are returned. r 11-5 11-6 (thru 11-10) DOE 5635.1A Chg 1 6-14-93 (2) Badges, passes, and other official identification media are recovered. (3) The combinations are changed on any repositories to which the employee has had access. c. Death. Disability or Non-Duty Status of Employee. (1) On the death of an employee, the following actions, at minimum, shall be taken: (a) Prompt notification to the responsible security office; (b) Check of all accountability records and return of all classified documents charged to the employee; (c) Recovery and return of all badges, passes, and other items of official identification to the responsible security office; (d) Prompt removal of the employee's name from all access and mailing lists; and (e) Termination of the employee's access authorization. (2) Measures similar to those in paragraphs 10c(I)(a) through (e) above shall be employed in the case of employee disability or other absences of at least 90 days. 11. LIMITED OFFICIAL USE. A type of administrative controlled information originated by or for the Department of State. It covers material that may include information received from privileged sources and certain personnel, medical, investigative, commercial, and financial records. Such material shall be handled and stored according to Official Use Only security measures. 12. SENSITIVE COMPARTMENTED INFORMATION (SCI). Within DOE the SCI program is administered through the Office of Intelligence. The policy, controls, and procedures applicable to SCI facilities, information security and personnel security are contained in DOE 5639.8. 13. CONTROLS ON THE DISSEMINATION OF INTELLIGENCE INFORMATION BEARING THE DCI AUTHORIZED CONTROL MARKINGS. The policies, controls, and procedures herein are applicable to classified information that bears the DCI control markings. Vertical line denotes change. (1) Contractor personnel or representatives of other Federal agencies may witness the SF 189A signature. In either case the signed and witnessed form must subseQuently be signed by a DOE employee as the acceptance individual. In instances where the witness is from the cognizant DOE office, he or she may also sign as the acceptance official. (2) The use of the Security Debriefing AcknoWledgment section of the SF 189A is optional. The use of this section does not replace the Security Termination Statement (Attachment 11-2), currently reQuired by DOE 5631. series.

12. SECURITY INFRACTIONS. An infraction is an act or omission involving failure to comply with Departmental safeguards and security directives. a. Examples of Infractions. The following actions represent instances wherei n a "Report of Securi ty Infracti on" may be issued. The li st is not all inclusive. If it is determined that any of these actions were intentional or caused by gross negligence, such action may constitute a "violation," resulting in criminal prosecution or other administrative actions. (1) Leaving of classified documents or material exposed and unattended or unsecured at the close of business or whenever a room is unattended; r r DOE 5635.1A 2-12-88 11-7 r (2) Improper storage of classified documents or material; (3) Failure to safeguard or account for classified documents or material resulting in the compromise or unaccountability of the documents; (4) Failure to maintain prescribed records for Top Secret or Secret documents; (5) Removal of classified documents or material from a security area without proper authorization; (6) Failure to properly mark a document after a classification determination has been made; (7) Failure to obtain classification guidance thereby causing a compromise or possible compromise of classified information; (8) Changing of a document's classification status without proper authorization; 11-8 DOE 5635.1A 2-12-88 (9) Failure to properly safeguard combinations of repositories containing classified matter; (10) Destruction of classified documents in other than the prescribed manner; (11) Improper transmission of classified documents or material; (12) Discussion of classified information in the presence or within hearing of unauthorized persons; (13) Discussion of classified information over unencrypted or within nonsecure telephone systems; (14) Failure to escort uncleared persons in security areas; (15) Permitting an unauthorized person to hear, obtain visual access to, or otherwise obtain classified information; and (16) loss of pass or badge because of negligence. (17) Failure to safeguard a computer access password. (18) leaving a computer workstation containing classified information or connected to a classified host computer unattended. b. Report of Security Infraction. DOE F 5630.13, IIReport of Security Infraction ll (Attachment 11-5) shall be used to document security infractions and a copy of the report kept in the employee's personnel and security files. c. Records of Security Infractions. The responsible security office reporting security infractions and the local Departmental Element shall maintain records of each infraction, which shall include all pertinent facts associated with the infraction. (1) In the case of DOE employees, the disciplinary or corrective action shall be determined by the Heads of Departmental Elements in coordination with the Office of Personnel. Any disciplinary or adverse action in connection with a DOE employee shall he taken in accordance with DOE personnel policies and procedures (see DOE 3750.1 t WORK FORCE DISCIPLINE). (2) In the case of contractors and other persons under their jurisdiction, the disciplinary or corrective action shall be determined by appropriate management officials in accordance with the contractors' personnel policies and procedures.

(3) In the case of military personnel and employees of other Government agencies assigned to DOE or DOE contractors, DOE or its contractor shall take corrective action and submit a report of infractions to the military organization or Government agency to which the employee is permanently assigned for whatever disciplinary action that that agency or organization deems necessary. r DOE 5635.1A 2-12-88 11-9 r d. Suggested Schedule of Disciplinary or Corrective Action. The nature and the severity of the security infraction should be considered in determining the appropriate disciplinary action. Some infractions may warrant more severe disciplinary actions than those shown below. The following schedule of disciplinary action is suggested for infractions occurring within any 12-month period. Security practices or procedures shall be reviewed and, if necessary, revised or developed to avoid recurrence. Normally, a first-level supervisory official will be responsible for initiating disciplinary action; as follows: (1) First Infraction. An interview shall be conducted with the person who committed the infraction to impress on that person the seriousness of the matter, to determine the reason for the infraction, to call attention to pertinent security Orders, and to modify office procedure, if necessary, to prevent a recurrence. The employee shall be scheduled to attend at a security indoctrination briefing. A copy of the infraction report shall be filed in the employee's personnel and security files for a minimum of 2 years. (2) Second Infraction. An interview shall be conducted, followed by a written reprimand, warning the employee that another infraction may result in suspension without pay. A notation that the interview was held and a copy of the written reprimand shall be filed in the employee's personnel and security files for a minimum of 2 years. (3) Third Infraction. An interview shall be conducted, followed by suspension without pay for 3 working days; the employee shall receive a written notification that a subsequent infraction could result in dismissal for cause. A notation that the interview was held and a copy of the suspension letter shall be filed in the employee's personnel and security files. (4) II-10 OOE 5635.1A 2-12-88 SubseQuent Infraction. A determination should be made on whether the employee should be dismissed for cause. If the employee should not be dismissed, then other appropriate disciplinary action, such as additional suspension without pay, should be considered. The employee1s personnel and security files shall be documented on the action taken. e. Infraction Reports. (1) Heads of Departmental Elements shall submit written Quarterly reports of infractions to DP-34 on their personnel, contractors, subcontractors, and other persons under their administrative jurisdiction by the 15th day of each January, April, July, and October. . (2) Contractors and subcontractors shall submit written Quarterly reports of infractions on their employees and other persons under their administrative jurisdiction to the Head of Departmental Element with contractual responsibility by the 5th day of each January, April, July, and October. 13. LIMITED OFFICIAL USE. A type of administrative controlled information originated by or for the Department of State. It covers material that may include information received from priVileged sources and certain personnel, medica', investigative, commercial, and financial records. Such material shall be handled and stored according to Confidential level security measures.

14. SENSITIVE COMPARTMENTED INFORMATION (SCI). Within DOE the SCI program is administered through the Special security Office of the Deputy Assistant Secretary for Intelligence, Defense Programs. The policy, controls, and procedures applicable to SCI facilities, information security and personnel security are contained in the SCI Procedural Guide referenced in Attachment 1, paragraph 22. 15. CONTROLS ON THE DISSEMINATION OF INTELLIGENCE INFORMATION BEARING THE DCI AUTHORIZED CONTROL MARKINGS. The policies, controls, and procedures herein are applicable to classified information that bears the DCI control markings. The procedures set forth in the Procedural Guide referenced in Attachment 1, paragraph 21, supplement this and other orders initiated by the DOE, Office of Safeguards and Security, Defense Programs. r DOE 5635.1A 2-12-88 Attachment II-l Page 11-11 (and 11-12) REQUEST FOR VISIT OR ACCESS APPROVAL ooe F 5631 20 (2.fl7) CFormel1y Dp·271) U.S. OEPARTMfNT OF ENERGV REQUEST FOR VISIT OR ACCESS APPROVAL (Not to b6 uled for t,mpo'~'yor pe,m.fn6nt ",.,..,onft61 ,,,'gnm6nu, J OMB Conttol No. 1910·1800 PART "A" To: From: " i........,ed 'ho' tho 'ollDwing I*lOn(.1 ... ;tInted vitilllCCl1l oppro..l: D.ltO "'oparllCl by Symbol: TttlePhont No, -Commltci.l; FTS '0: KJv.. BNO liD v.. No I . ()/ •.. jts" I· . /,:•. ( <' .:~ c:·! '''''"~ ocument Control Programs &Procedures ..0 TM& IIJU 0 •• 0" • CERTIFICATION FOR PERSONNEL HAVING DOE CLEARANCE TIll, Cfftif" t/Yf rtro penonfd MtMd .bovo rtHdI rIIi, _in rIIo ".,tonne,," of dull'. N.",..nd Till., R«IlIlItinll DOD Offie~1 Title, AurlltNililtfl DOD Offie;" lSoe 000 Oiroctlve 5210.2 Ind 5210.81 4:".CIIl LAIT NAN_, "",,'1'. N,DDLa IHIT.AL DATe O~ 0.41.".1:"'1',0111 1''''''. C~.A.A ..e. O • .,.OPAND IOCIAL '.CUR.TV NUM••• Y ••• ....." e••1'" C"'.".Nce 00 . e ...A.....C. CiT..... pper, James S. X 8-12-5.. DOE/DP- 343.3 "Q" WA123456 8184 123-45-6789 iney, John C. X 7-23-5' DOE/DP- 343.3 "Q" WA654321 3/82 987-65-4321 HAM. 0 .. "ACILITY(I.'~ '1'0 •• VII.raD: p'O. "... ~..c .." ••v. D.".' Doe 8oc..rlty Official V.,lfylng Doe CI..,.ncl Oak Ridge Operations Office (OR) 1/20 - 23/88 IDP 11.1.1 1M".,,, T. SmHh • •• Robert 1. Carstens, Dir., Division of Security Title Bob Jones and B Ra Co .. PART"S" Approwll. ,f.llr-dwith Ilmlt.tion,lndlarod bolow: SEE REVERSE OF PART 6 FOR PRIVACY ACT INFORMATION STATEMENT DOE 5635.1A DOE F 5831.211 (W8) (PnlvloUlly DP·138) Attachment 11-2 Page 11-13 (and 11-14) SECURITY TERMINATION STATEMENT OMS Con1roI No. 11110.1800 James Forrestal Building (FacIJlty or InatlDatlon WMnI T.rmlna1ed) U.S. DEPARTMENT OF ENERGY SECURITY TERMINATION STATEMENT NAME AND TITLE (print all blocks) EMPLOYER YOU ARE LEAVING Robert S. Jones U.S. Department of Energy Security Specialist FUTURE RESIDENCE NAME AND ADDRESS OF FUTURE EMPLOYER: 123 Sleepy Hallow Way Relax, lID 12345 None REASON FOR TERMINATION: Retirement SOCIAL SECURITY NUMBER: DATE OF BIRTH: 123-45-6789 8-26-23 DATE OF TERMINATION: DOE NUMBER (IF KNOWN) 1-30-88 Unknown 2. 4. Iam 111.11 ....' be oullJKt 10 eJlmlnal penaIll•• 11 I1Iev• ..-en,In, I.rlelilct (TIIII11. U.S. Code. Secllon 1001" S. llulow 1/I11l11o DlpotImIlI1 01 EnItgy d...... to lie Inlcnnld wilen 10...... DOE or DO~ 10 Top Sec.., Inlo.....lIon or c....llIId In_lion culllnl.., 01 melIrlII IInll1lYl1y to e. I und lInd 111111/11 D.pollmenl 01 EnItgy d...... to beinlollllld wilen p.lIOna wIlD lI.v.lleln II nwnla1 n_. TIIlI _. no' Ill"" 10 lndIYldllall wIlD ollllin DOE _II oulllorlzallon and 1IClI.... aolI'" II "IoJMI 0' 0_ 00......men1 .-.orl/lllr-'

(NDmlllIly. an iMJIvt<JulJ1 wiN"'" 110 0._10 I'lltot/O ClIly rntWll ""_ Ifto 'TI"'" is ollU<ll a n./liIO O' 10 110 cotI__hom "'" .,."qx,ill 0I".,..,.w ""'IY Of INto 110 IIJOC/IJ1 cirwmllanco••li.ting wllJch wou'"moko weir r",lfOIlIJIwl•• hom Ifto tla"""",",,1oIlftono_oJ socun'I)'. 1JIo DOE', socun'I)''''-'' In ruch lnI""'nomtaIIy_. •• "'" potiod 01 ""co.. 10 _ 0.,.. Fotrnt!Ify RosfTi<:rod 00,. Of _ claulflod Infonnl_-.. IIlOflI _.j ", (Signalure of Person Conducllngln18rvlowj (SlgnalUl8 of Person l\o1Io$ll Accasa Aulhorlzalion ia BeIng TonnInal9d 'I (; :. .[ ....i .. '" ~... ,", .... Security Specialist. Division of Security (Tille 0' Posilion) January 30, )988 (08/0) Sa. rave,... lor Prlvecy Act SlItement r DOE 5635.1A 2-12-88 Attachment II-3 Page 11-15 (and 11-16) CLASSIFIED INFORMATION NONDISCLOSURE AGREEMENT CLASSIFIED INFORMATION NONDISCLOSURE AGREEMENT An Agreement Between __..:.;R~0""BE::..:R~T,,",,=,K7·...S~M~I.,.:,Tr.:,H-:-==,...- and the United States (Nome· Prtn'HI or 7')pedJ 1. IntlMdlno to be legally bound. I hereby GCCCPt the oblilPtionl contained in this Agreement in consideration of my being sranted DCCOU to clusifl:od information. As used in this Agroomcnt. classified infct1'l\Gtion is Information that it either dasi'ied cr clllSSUteblo under the stand4rds of EldttUti\18 Order 12356. or under any Other ExecUlivo order at statute that Cf"ohl~ill the unauthorizod disclosuro of information in the int:ef'ost Of national tli6Cutity. I u"-,la1lCI and _I lIlat by baing granted access 10 c,....U;ocJ inl",motion. lP8Cial confidence and trull shall ba plllClld in me by lho Unitod SIlIIllS Go"",nmenl. 2. I herebY aeknowledge that I h.ovo rocoived II security indoctrination concerning tho naturo cnd protection of clllSSified infOlrNtion. including the pr04 cedures to be followed in aseet~ining whothur other person, to whom I contemplato dilClottng thiS information have been approved fer access to it. and Ihal I unda,"and lIlasa P,ocedU'OI. 3. I haw been advised and am !)Wllro that direct or indiroct unaulhorizcd disclosure. unauthOfizod retention. Of nogllg:mt handling of c1ass.lfied Informa· tion by me could cause irreParablo injury to (ho United States or could bo used to odwnt.:IQo by a foreign nation. I haroby ag.ree that I will nevo-r divulge such infotmotion un!ess I haw officially verified that the rociplcnt hBI been property authorizocl by the United Staws Go'lernment to roteiva it or I have been gillOn p,i", w,itten nelics of oulllo,i,alion f,om lIle United Sllltes Governmonl Oep4fllnenl C' Agency (horoi""hc, Doparunenl 0' AGencyl 'all grantino mo a IECUriry dearance that such disclosure is pOfminod, I further understand thtll I amobli;ated to comply with taws and rogulatlon, that prohibit the unauthorized disclosure of elcssified infCftn3tion 4. I hall'Q bc6n advised and am &Waro th.otlny breach of this Agrocmont may result in tho tltrmination of any security clearances I hOld~ remOV3' from any posi lien of sPeCial confidence and trusl rOQuiring such clearaftCos; and the termination of my employment or other ro-latlon5hlps with the Deportmenu Of Agencies thot Granted my security elOllrtaneo or clearances. In lIddltion. I haw been Bd... lsod and am aware that any unauthorized disclosuro of classified in'ormotion by mo may constituto II vietation or violations of United States criminal law•• Including the provisions 0' Suctions 641. 793. 794. 798. tinct 952. Till. 18. Unilod SlalO1 Code, Iho p,cvi,ion, of Se<:lion 783tbl, Tillo 50, UnilOd SlalOl Coda. and Iho p,oYi,lons 01 Ihainlalligoncoidonlilio, P'OIOC' ticn AClof 1982, I ,00c9'1i.o lhal nOlhing In Ihi, Ag,oomonl con,tiIUIa' 8 waiYO, by 1110 Unilod 510101 of Iho ,ight 10 P'OIOCUIlI mo fo' any '1lIIulO'Y violatlon

.tS Agroomem includin9. but not limited to. APPHea· -nat have resultod. will result or Il'lay result from any ..ment Is now and will forever remain thl) property of the United .. ' claim whatsoevet to such in'orm.1tion. I agree that I shall roturn all .dSPontlblo bec.ouse of such access. upon domand bv an authorized rapre· ..,nploymcnt or othor relationship with tho Department or Agency that last .A1uest.1 underltand that this may be a yiol.:.tion of Section 793. T'tlo t8. United 7 _ I undor.tond that all information to whiCh I may obtain lICCOS. Slates Gov"rnmont. I do not novv. nor wi •• I over. PO$$8$S anv matarials which have, or may havo. como into mV POSSCp.i" 58ntative of the United Stares Govornmcnl or upon ,t­ granrod mo a securitY clearanco. 1ft do not roturn 50 Statos Code. a United States criminal law. 5. I hereby asstgn to the United Staten Government all royalties. remunerations. and crnt'" disclosure. Publication. or revelation not eons.istent with tho terms 0' this AGtecment 6- I understand that the united States Government may soo-k any rcmedv avail lion 'Ot I COurt order prohibiting discloturo at infOfmation in brcach ot thi# 8. Unless Ind until I am released in ""riting by an authL . fCQtQ1Cntative of the United SlatEtS Government. I understand that all conditions and obli~. tions imQOSCd upon me bY this AGroolT'Ot't aPPly during t.,e time I am granted aec:eu to clauifted Information. ond at 011 tim&s thereafter. 9. Each proviltOn of thiS Agtee-ment IS severable. If !I court should find any proyision of thll Agreement to be unonlorcC=lo. all other proviStonl 0' this Agreement sholl remain in full force and effect 10. I havo roBd thit Agreement carefully and my questions. if any. have been answered to my satisfact'on. I acknowlodgo that the briefing officer has made aV8il8blO 10 me Soclicns 641. 793. 794, 79B. and 952 of Tilla 18. Uniled Slales Codo. Se<:lion 783lbl of Tille 50. Unlled Slales Codo.lhe Inlolli, goncoldenlilias P,olo<tion Acl 011982. and ExOCUli"" O,do, 12356. '0 lhall may mod Ihem 81 this limo. if 110 choo... ,,_ I mako this Agreement ""itheut mental reservation or purpose of 8vB$ion. DATE 06/06/1990 SOCIAL SECURITV ....0. (S#, rtOtitlf bIf'owJ 123-45-6789 Physical Protection Branch, U.S. Department of Energy The execution of this Agreement was witnessed by the undersigned, who. on behalf of the United States Govern· ment. agreed to its terms and accepted it as a prior condition of authorizing access to classified information, WITNESS AND ACCEPTANCE: DATE 06/06/1990 NOTiCE; T". P'lvacy Act. S U.S.C. ,&2.1••~ulr... tl'l" 'Od••al .~nC"1 In'Of'm Indlvldu.I... .It th. Um. In'o.m,Uon I. 'OIlClt~ r.om th.m. wMtl'l" th. :~':I':~u~~~: :.~=~:~..:r':::'I~~~yy:J;S::~:~~~~~\~t~~:o~n~r;:,~:.",l.sr~~II'~E.:~e,i::·6r':J':rl:~~7?*V::~t:~':~llt~o:='~:id~~~I"'~;:':~:: C:IMly wh.n II II MCUUiry to 1) certify t".t you I'\lyO &""1 10 th. In'ormaUon 'ndlC.ted .IbOw or 2. Clot.rmlne 'h.t your .ccess 10 Il'It Info.ma1l0n 'ncUuttd ....1 Ittmlnal.a. Alt"'OU9h dllCeOI"rt 01 your SSN I. not m.nclatory. your '1IIu•• '0 do so mlY Imp.C. tho prOCOIJln9 0' IUCh cortlflcatlonl or d,tttmtnitionl. r NSN 754C·OI·16I-1a69 .".,. OOVCRNVDIT PRDtI'UfG Orrlt'E ltll 414-G'l/e~1 STANDARD FORM 188 la·831 "'-_ by GSA/'SOO ~fR :IC03; E,O. ,:me r DOE 5635.1A 2-12-88 Attachment II-4 Page II-17 CLASSIFIED INFORMATION NONDISCLOSURE AGREEMENT (INDOSTRIA[/COMMERCIA[/NON-GOVERNMENT) OMe "'0. 3OI04Dll

CLASSIFIED INFORMATION NONDISCLOSURE AGREEMENT (INDUSTRIAL/COMMERCIALINON-GOVERNMENTI AN AGREEMENT BETWEEN JAMES W. WILLIAMS AND THE UNITED STATES r ,. Intendin\j to be legally bound, I hereby accept the obligations contained in this Agreement in consideration of my being granted access to classified ir.formation. As used in this Agreement. classified information is information that is classified under the standards of Executive Order 12356, or under any other Executive order or statute that prohibits the unauthorized disclosure of information in the interest of national security. I understand and accept that by being granted access to classified information, special confidence and trust shall be placed in me by the United States Govern· ment. 2. I hereby acknowledge that I have received a security indoctrination concerning the nature and protection of classi· fied information. including the procedures to be followed in ascertaining whether other persons to whom I contemplate disclosing this information have been approved for access to it, and that I understand these procedures. 3. I have been advised and am aware that direct or indirect unauthorized disclosure, unauthorized retention. or negli. gent handling of classified information by me could cause irreparable injury to the United States or could te used to advantage by a foreign nation. I hereby agree that I will never divulge such information unless I have officially verified that the recipient has been properly authorized by the United States Government to receive it or I have been given prior written notice of authorization from the United States Government Department or Agency (hereinafter Department or Agency) responsible for the classification of the information tha r' .h disclosure is permitted. I further understand that I am obligated to comply with laws and regulations that prohi... · 'l8uthorized disclosure of classified information. 4. I have been advised and am aware that any brp' .dment may result in the termination of any security clearances I hold and removal from any positi,. _........ ..ldence and trust requiring such clearances. In addition. I have been advised and am aware that any I .vlosure of classified information by me may constitute a viola- tion, or violations, of United States rr- ~Iuding the provisions of Sections 641, 793, 794, and 798, Title 18, United States Code, and the prov: . I tell igence Identities Protection Act of 1982. I recognize that nothing in this Agreement constitutes a waiver ••mited States of the right to prosecute me for any statutory violation. .. 5. I hereby assign to the United States Government all royalties, remunerations, and emoluments that have resulted, will result or may result from any disclosure, publication, or revelation not consistent with the terms of this Agreement. 6. I understand that the United States Government may seek any remedy available to it to enforce this Agreement in· eluding, but not limited to, application for a court order prohibiting disclosure of information in breach of this Agree­ ment. 7. I understand that all classified information to which I may obtain access by signing this Agreement is now and will forever remain the property of the United States Government. I do not now. nor will I ever, possess any right, interest. title. or claim whatsoever to such information. I agree that I shall return all materials which have, or may have, come into my possession or for which I am responsible because of such access. upon demand by an authorized representative of the United States Government or upon the conclusion of my employment or other relationship that requires access to classified information. If I do not return such materials upon request, I understand that this may be a viOlation of Sec­ tion 793, Title 18, United States Code, a United States criminal law.

8. Unless and until I am released in writing by an authorized representative of the United States Government. I under­ stand that all conditions and obligations imposed upon me by this Agreement apply during the time I am granted access to classified information, and at all times thereafter. 9. Each provision of this Agreement is severable. If a court should find any provision of this Agreement to be unen· forceable, all other provisions of this Agreement shall remain in full force and effect. __.zI1_ STANDARD 1'011II , .... 10-101 ~'&'..tIIJ.l~ Attachment 11-4 Page 11-18 DOE 5635.1A 2-12-88 CLASSIFIED INFORMATION NONDISCLOSURE AGREEMENT (INOUSTRIAL/COMMERCIAL/NON-GOVERNMENT) (CONT.) 10. , have read this Agreement carefully and my questions, if any, have been answered to my satisfaction. I acknowledge that the briefing officer has made available to me Sections 641, 793, 794, and 798, of Title 18, United States Code. the Intelligence Identities Protection Act of 1982. and ExecUtive Order 12356, so that I may read them at this time, if I so choose. 11. I make this Agreement without mental reservation or purpose of evasion. ORAl. SUP1'LY CODE NUMBER ... ". """1/CD pY~~--- JAMES W. WILLIAMS OAT 01/11/1999 SOCIAL SECURITV NUMBER (SH"olk. /10'0"') 123-45-6789 J.W. Williams, Inc. 1111 - 12th Place, NW Williamstown. FL 00011 01/12/1999 OAT ACCEPTANCE ... O'''MI/ HE UNDERSIGNED ACCEPTED THIS AGREEMENT ON BEHALF OF THE UNITED TATES GOVERNMENT. SIONA~Up' ~--, Charles E.01/11/1999 OAT WITNESS NA AND ADDRESS rh... O'"",,tl THE EXECUTION OF THISAGREEMENTW~ WITNESSED BY THE UNOERSIGNED. J.W. Williams. Inc. 1111 - 12th Place. NW Williamstown, FL 00011 U.S. Department of Energy Oak Ridge Operations Office Office of Safeguards and Security Oak Ridge, TN 23456 SECURITY DEBRIEFING ACKNOWLEDGMENT (Th, UII of fbi, IIcknowf,dgm,nt for security d,brl,flnp I, optional.J I reaffirm that the provisions of the espionegB laws and other Federal criminal laM applicable to the saf8!ll.larding of classified information have been made available to me; that I hava returned all classified information In my custody; that I will not communicate or transmit classi· fied information to any unauthorized person or egBncv; that I will promptly report to the Federel Bureau of Investigation any Ittempt by In unauthorized person to solicit classified information, and that I (haval (have notl (strike out inappropriate word or wordsl received a final oral security briefing. IONATURE OF EMPLOYEE OAT AME OF WITNESS In... "."",,t) STANDARD FORM1fi.AIBACKI la-II' r DOE 5635.1A 2-~2-88 DOE F 563013 (10&01 (Pf8VODU1ly OP-Hl~l Attachment II-5 Page 11-19 (and 11-20) REPORT OF SECURITY INFRACTION U.S. DEPARTMENT DF ENERGY REPORT OF SECURITY INFRACTION Part I.-NOTIFICATION OF INFRACTION To Be compleled by Office of Safeguards and Securil)' and ,cnl 10 Officc concerned. 1. Office in which infraction occurred: Office of the Controller 3. Nature IIf InfmeUon: Unsecured Security Container e123 1 2. Date: 4-10-87 .. neWia or infmeUon: While on routine security patrol, Safe #123, located in Room 4A-lll, Forrestal Building, was found in an open condition by Officer Smith, Jones Security Service, at 7:30 p.m., April 10, 1987. Attempts to contact the responsible individuals as listed on the SF 700, "Security Container Information", met with negative results. In addition, SF 702, "Security Container Check Sheet", has no entries for opening or closing the safe on 4-10-87. The safe was secured at 8:00 p.m., by the guard supervisor, Captain Smith.

To be completed by the Office in whir' and Security within 3 days after <: 1. Name and tlUe of person aeknowlco Martha A. Williams, Administrative Assistant, Office of the Controller 2. Highest elasailleation of material hl\'olvecl: Confidential 0 Secret «J Top Secret 0 3. Was "Restrieted Data" in\'ol\'.<l1 ....es 0 - '~IiJ- 4. Reasanllruuaeforinfnu:tion: This safe is used to temporarily store documents by Ms. Williams in her day-to-day activities. On 4-10-87, she received several documents that were intended for other staff members who at the time were out to lunch. Ms. williams opened the safe and placed the documents inside with the intention of giving them to the members on their return. however, the members did not return and the safe was not secyred nor was tb~.~sheet annQ1at~ 3. Corrective action taken (.to IT,·..·•• •i,l. lor .HIIU.ol.d di.eiplinarl/ ....Iiolt): Ms. Williams has been interviewed by me regarding the serious nature of this matter and will take extra precautions in the future to prevent recurrence of incidents such as this. In addition,a system for checking this safe has been instituted. This Will include someone verifying the safe is locked at the close of each working_ day, . _ 6. Signalure of Office Direclor: 17. Date: 4-12-87James J. Dallas r DOE 5635.1A 2-12-88 1. GENERAL. CHAPTER III PREPARATION OF CLASSIFIED DOCUMENTS 111-1 a. This chapter describes the various types of classified documents and how they are prepared, classified, and controlled. It includes information on transmittal, reproduction, change of classification, and destruction of classified documents. b. Aminimum number of copies of classified documents shall be prepared consistent with operational necessity. c. Responsibility for the proper classification, preparation, issuance, and handling of classified documents rests with the originator and the document custodians who maintain control over all classified information charged to them, adhering to prescribed document procedures, including physical security requirements. All classified documents shall be continuously protected to prevent access by unauthorized persons. d. Should the classification status of a document be in doubt, the document shall be handled and protected as though it were classified pending review by an authorized classifier. The review for determining the classification of a document shall begin as soon as possible after the document is generated, regardless of whether the document is in a draft or final format. e. Draft documents believed to contain classified information shall not be removed from a security area or distributed outside of the Department until a review has been completed by an authorized classifier. 2. NUMBERING PAGES. a. All pages of classified documents shall be sequentially numbered in Arabic numerals. b. The sequential numbering shall begin with the first page (cover, title, table of contents, etc.) and continue through the last page of text. The table of contents, enclosures, and attachments are included in the consecutive page numbering of classified documents. Back cover sheets will be marked, but not numbered or included in page count unless they contain text or information. 111-2 DOE 5635.1A 2-12-88 c. Pages of documents prepared to contain text on one side (e.g., memoranda or letters) shall be numbered consecutively on that side, but blank pages or sides shall not be numbered or counted as part of the total number of pages.

d. Pages of two-sided documents (e.g., bound documents) shall be numbered consecutively, whether pages contain text or are blank. Blank pages, inclUding the back of the front cover, shall be marked, "This page intentionally left blank." This statement is reauired on all documents having one or more pages with text on both sides. 3. CLASSIFIED SUBJECTS OR TITLES. a. Classified sUbjects of memoranda and letters or titles of documents may be used only when it is impractical to use unclassified titles. This reauirement exists because classified su~jects or titles must not be used in mail logs and document receipts. Top Secret information shall not be inclurled in a subject or title. When used, classified subjects or titles are followed by the appropriate abbreviated classification, as follows: (SRD) (SFRD) (SNSI) (CRD) (CFRD) (CNSI) for Secret Restricted Data; for Secret Formerly Restricted Data; for Secret National Security Information; for Confidential Restricted Data; for Confidential Formerly Restricted Data; and for Confidential National Security Information b. If the subject or title of a classified document is unclassified, a (U)-marking is not necessary unless portion-marking is reQuired (see page 111-5, paragraph 4j.) 4. MARKING OF CLASSIFIED DOCUMENTS. At the time of classification, markings must be shown on all Classified documents. (Attachments 111-1 through 111-13 are examples of the markings to be used on the various types of hard copies.) a. Identity of the Classifier. The name, title of position, and organization of the person authorizing the classification shall be placed on each document. The identity of the original classifier shall be shown by the marking, "Originally Classified By" and derivative classifier, if any, by the marking "Derivative Classifier." If the signer of a document is also its classifier, the word "signer ll may be sUbstituted for the name and title normally reQuired on these markings. b. Date of Classification and Office of Origin. The date on a document at the time of its orig;nation may be considered the date of classification if the document is also marked as classified on that day. If the document is marked on a day subsequent to its origination, the actual date of marking must be shown on the "0riginally Classified By" line or the "Derivative C1assifier" line. The office of origin is the office, division, or organization in which the originator is employed. c. Classification Level. Regardless of whether a document is permanently bound, the overall classification-level marking (Top Secret, Secret, or Confidential) of the document, shall be stamped or printed in legend (not typed) in ink and conspicuously marked at the top and bottom of the outside front cover, on the title page, on the first page, on the back page, and on the outside of the back cover at the time of preparation. All other pages of the document shall be marked or stamped at the top and bottom with the highest classification of information appearing on that page or, alternatively, with the overall classification of the document or the marking "UNCLASSIFIED" H the page contains no classified information. The minimum height of lettering in classification-level markings shall be 1/4 inch, except for cases in which exceptions are permitted, such as described on page 111-10, paragraph 4p.

d. Classification Categorl . The marking indicating the category, that ;s, the type of class; ied information--Nationa1 Security Information, Restricted Data, or Formerly Restricted Data--sha11 be placed at the time of preparation on the cover and on the title page or on the first page of text if the document has no cover or title page, preferably on the lower left side. Attachments 111-1 through 111-11 show the various types of special markings and stamps in current use. r r DOE 5635.1A 2-12-88 111-3 e. Duration of Classification. In accordance with Executive Order 12356, Nat;onal Secur;ty Information shall be classified as long as required by national security considerations. If a specific date or event for declassification can be determined, it shall be specified by the classification authority at the time of original classification. There is no time limit on the classification of Restricted and Formerly Restricted Data. No date or event for declassification should ever be indicated on a document containing Restricted or Formerly Restricted Data, even if the document also contains National Security Information. 111-4 DOE 5635.1A 2-12-88 f. Declassification Instructions for National Security Information. Declassification instructions shall be shown, as follows: (1) For information to be declassified on a specific date: "Declassi fy On: (date). " (2) For information to be declassified automatically on occurrence of a specific event: "Declassify On: (description of event)." (3) For information not to be declassified automatically: "Declassify On: Originating Agency's Determination Reauired or 'OADR'." g. Automatic Declassification or Extension. (1) Declassification. A previous classifier's determination on automatic declassification of National Security Information shall remain valid, unless the classification, is extended by an authorized classifier. Extensions may apply to individual documents or categories of information. However, reauests to extend the classification of information on other than a document-by-document basis shall be submitted to the Director of Classification. Extensions approved by DP-32 will be reported to the Director of the Information Security Oversight Office. (2) Extension. (a) Documents whose classification is to be extended beyond the original date or event given by the declassification or downgrading instructions shall be marked as follows: "Classification Extended By: (name of original classification authority or classification guide or other source document)." This shall be followed by a brief narrative of need for extension. (b) Extension decisions on a document-by-document basis are limited to authorized classifiers who have classification authority over the information and are designated in writing to have original classification authority at the level of the information to remain classified. h. Identification of Classifying Authority. (1) The identification of the authorized c1assifier(s) of each Restricted or Formerly Restricted Data document, regardless of whether the document is permanently bound, shall be typed or written in ink on the lower right side of the front cover and title pages, cover and first page if no title page, or first page if no cover or title pages. If the signer of a document is also its classifier, then the word "signer" may be substituted for the name and title reQuired in the markings.

(2) The identification of the authorized classifier of each National Security Information document shall be placed in the composite category stamp at the lower left corner of each document. (3) The "Derivatively Classified By" line on NSI documents shall contain one of the following as the source for classifying the documents: The name of the classification guide, the source document, or the original classification authority. (4) If the classification of a document is derived from more than one source, the words "Multip1e Sources II may be used to complete the "Classified By" line, provided that identification of each source is maintained with the file or record copy of the document. r r DOE 5635.1A 2-12-88 III-5 r i. Dissemination and Reproduction Limitation. For classified information whose dissemination or reproduction has been limited by the originator, a statement specifying these restrictions shall be included on the cover sheet and title page, or the first page of text if there is no cover sheet or title page. (Refer to page 111-7, pa ragraph 40.) j. Portion Marking or Notation. (1) Each originally classified document containing only National Security Information is reQuired, by marking or-other means, to clearly indicate which portions (e.g., paragraphs or pages) are classified and which are not classified. Portion-marking of text, when feasible, shall be accomplished by placing a parenthetical designator immediately preceding or following the text that it governs. The following symbols shall be used for this purpose. 111-6 DOE 5635.1A 2-12-88 (TS) - for Top Secret National Security Information; (S) - for Secret National Security Information; (C) - for Confidential National Security Information; and (U) - for Unclassified Information. (2) If individual portion-marking as required above is impracticable, the document shall contain a description sufficient to identify the portions that are classified and the level of classification for each portion. Note: Refer to page 111-7, paragraph 40(2). (3) Derivatively classified documents generated by DOE or its contractors are exempt from portion-marking in accordance with section 1.5(b) of Executive Order 12356 and the Assistant Secretary for Defense Programs (DP-l) waiver of 8-20-82. k. Foreign Government Information. Documents containing foreign government information shall fnclude either the marking "Foreign Government Information" or a marking that otherwise indicates that the information is from a foreign government. If the origin of the information must be concealed then the marking shall not be used and the document shall be marked as if it were of U.S. origin. 1. Documents Not PreViously Marked. Appropriate classification markings shall be applied to all classified documents. Classified documents that require, but do not bear markings indicating declassification on a date or event or other required markings, shall be so marked. All such markings shall be added or verified for accuracy by an authorized classifier. m. Change of Classification. (1) On receipt of proper authorization to change the classification of a document, the person making the change shall line out the former classification level and/or catego~ markings and place the following statement on the first page of the document: Classification changed to: (insert appropriate classification) by authority of (person author;zfng c~ange ;n c1assff;cation, title or pos1t;on, and date by signature of person making the change and the date>.

(2) Changes of classification will normally require lining out the existing classification marking on each page of a document. However, if the document is bound, only the classification-level r DOE 5635.1A 2-12-88 111-7 marking that appears on the outside of the front cover, the title page, the first page of text, the last page of text, and the outside of the back cover needs to be lined out and replaced by the new classification level. Classification-level marking changes must be made on each page to be copied before bound documents or portions of bound documents with classification changes are copied. r (3) The change of classification authorization marking is not reQuired on documents subject to downgrading on the basis of specific downgrading instructions included on the face of the document (e. g., the IIDowngrade to Confi denti al on 11-12-86 11 marking). n. Declassification. (1) The person declassifying a document on receipt of proper authorization shall line out the classification-level marking and place the following statement on the first page of the document: Classification Cancelled by Authority of: (person authorizing declassification, title or ~osition, and date> by (signature of person mak ng the change and date>. (NOTE: See DOE 5650.2A for specific procedures.) (2) Declassification of a document will normally reQuire lining out the classification marking on each page of the document. However, if the document is bound, only the classification-level markings that appear on the outside of the front cover, the title page, the first page, the back page, and the outside of the back cover need to be lined out. (3) The IIClassification Cancelled by Authority of ll statement is not reQuired on documents subject to declassification on the basis of specific declassification instructions on the face of the documents e.g., IIDeclassify on (specific date or event)1I • o. Special Markings. (1) Special Markings are not classification levels but are used on certain classified and unclassified documents to indicate that the document has special access or handling reQuirements. (e) ( f) (g) 111-8 DOE 5635.1A 2-12-88 (2) Listed below are the special markings more commonly found in DOE programs. This list is not all inclusive. Questions concerning other types of special markings should be referred to the Director of Safeguards and Security or Heads of Field Organizations or originator of the document. These markings also should be placed on title pages, cover sheets, and transmittal letters and memoranda. (a) ATOMAL. A North Atlantic Treaty Organization (NATO) term used to designate Restricted Date or Formerly Restricted Data provided by the United States to other NATO components under the NATO Agreement for Cooperation. (b) Atomic. A term that refers to Restricted Data or Formerly Restricted Data before their incorporation in a NATO document or transmission to a NATO component. (c) COSMIC - Aterm used together with the words "Top Secret II to designate NATO Top Secret information. It is not a classification but a special marking indicating specific procedures for handling and dissemination. (d) Critical Nuclear Weapon Design Information (CNWDI). A DOD category of weapon data designating Top Secret or Secret Restricted Data revealing the theory of operation or design of the components of a thermonuclear or implosion-type fission bomb, warhead, demolition munition, or test device. (See DOE 5610.2.)

Foreign Government Information (FGI). Amarking specifying that the document contains foreign government information. However, if the origin of the information must be concealed, this marking will not be used. NATO. A document containing NATO classified information. Naval Nuclear Profulsion Information. In general, this term applies to a 1 information, whether classified or unclassified, concerning the design, arrangement, development, manufacture, testing, operation, administration, training, maintenance, and repair of the propulsion plants of naval nuclear powered ships, including the associated nuclear-support facilities. (h) No Contractor Dissemination (NO CONTRACT). This term indicates that the information contained in the document must not be released to contractors or consultants. ~I I r DOE 5635.1A 2-12-88 III-9 (i) No Foreign Dissemination (NOFORN). This term indicates that the information contained in the document must not be released to foreign nationals or any parties representing foreign interests, nor shall it be released to members of the public, because this is considered to be tantamount to foreign disclosure. (j) Nuclear Weapon Data. Category Sigma (see Sigma Category and Weapon Data below.) r (k) (1) (m) (n) (0) (p) Originator Controlled (ORCON). ORCON indicates that documents bearing the marking are controlled by the originator. Reproduction or redistribution of such documents require the permission of the originator. Production Rate or Stockpile Quantity Information. Classified data related to production rates of weapons or weapon components or to stockpile Quantities of weapons or weapon components. Scientific and Technical Report (also referred to as research and development report). This term applies to formal, topical, or progress reports, recurrent or summary, which present technical information and data to fulfill the various DOE research and development requirements and which are categorized and distributed by the Office of Scientific and Technical Information (MA-28) • Sensitive Nuclear Material Production Information. This term relates to classified production rate or stockpile Quantity information concerning plutonium, tritium, enriched 1ithium-6, uranium 233, and U-235. The term also includes gaseous diffusion technology or classified gas centrifuge technology and laser isotope separation. Sigma Category. This term refers to restricted Data or Formerly Restricted Data specifically defined in 10 separate categories that concern the design, manufacture, or use of atomic weapons or nuclear explosive devices. Warning Notice-Intelligence Sources or Methods Involved (WNINTEL)I. Applies to documents that contain information relating to intelligence sources or methods. 111-10 (a) DOE 5635.1A 2-12-88 wea~on Data. Weapon data are Restricted Data or Formerly Res ricted Data concerning the design, manufacture, or use (including theory, development, storage, characteristics, performance, and effects) of nuclear weapons or nuclear weapon components, including information incorporated in or related to nuclear explosive devices. p. Marking Special Kinds of Documents. (1) Files, Folders, or Groups of Documents. These types of documents shall be marked conspicuously to ensure the level of protection required for the most highly classified document they contain, or with a higher classification level if warranted by the assemblage. Documents in the file, folder, or group shall be marked in accordance with the requirements for individual documents.

(2) Memorandum or Letter of Transmittal (see Attachment 111-12). (a) Marking. 1 The classification-level and category marking on the first page of a memorandum or letter of transmittal shall be at least as high as that of the most highly classified document transmitted. Other pages shall have classification-level markings that apply to their contents. Other markings shall be applied on the first page only if the memorandum or letter of transmittal in itself contains classified information. 2 Memorandums or letters of transmittal that are unclassified shall contain notations in the lower left corner on whether the classified documents forwarded contain National Security Information, Restricted Data, or Formerly Restricted Data. 3 Memorandums or letters of transmittal that contain only National Security Information shall contain notations in the lower left corner indicating when the documents transmitted contain Restricted Data or Formerly Restricted Data. r DOE 5635.1A 2-12-88 III-11 (b) Documentation. Memorandums or letters of transmittal containing Top Secret or Secret information shall be documented. If they do not contain such classified information but are marked Top Secret or Secret because of the classification of the documents forwarded, they shall not be documented (see page 111-21, paragraph 6). (c) Additional Markings. 1 If the memorandum or letter of transmittal does not contain National Security Information, Restricted Data, or Formerly Restricted Data but the enclosures do, one of the following notations, as appropriate, shall be placed on the first page in the lower left corner: a "Document transmitted herewith contains NATIONAL SECURITY INFORMATION II ; b "Document transmitted herewith contains RESTRICTED DATA"; or c "Document transmitted herewith contains FORMERLY RESTRICTED DATA." 2 If the transmittal correspondence is not classified or is of a lower classification level and category than the level of classified information being transmitted, the following notation shall be placed in the lower right-hand corner of the first page: "When separated from enclosures, handle this document as (insert proper classification or that it is unclassified)". (d) The recipient may remove or change the classification markings on the memorandum or letter of transmittal as indicated without further authorization if it is to remain separated from the classified document(s) transmitted. (e) Copies of transmittal correspondence retained in the originating office shall be marked in the same manner as the original transmittal letter or memorandum regardless of whether they contain enclosures. 111-12 DOE 5635.1A 2-12-88 (3) Master Copies for Reproduction of Secret Documents (see Attachment 111-13). Master copies of all documents, including reprodudbles, shall be documented as "copy 1 of 1," "series MC," (original master copy) for copies made from the master copy. (4) Viewgraphs (See Attachment 111-14). (a) The first viewgraph in a series shall contain the classification level at the top and bottom and the category marking in the lower left corner, of the projected image. Succeeding viewgraphs need only contain the classification level at the top and bottom of each viewgraph. If only one viewgraph is prepared, it shall be marked in the manner as the first viewgraph in a series. (b) The classification level (in letters not less than 1/4 inch) shall appear at the top and bottom of each frame of each individual viewgraph.

(c) Documentation of viewgraphs containing Top Secret or Secret information shall be documented in accordance with procedures contained on page 111-21, paragraph 6, or serially numbered to identify individual copies (e.g., "No. 1 of 8 Viewgraphs, Series A"). (5) Photo~raphic Slides, Negatives, and Prints (See Attachment lII-l ). (a) Marking. 1 The classification-level marking shall be conspicuously placed as follows: a On photographic slides and flat negatives, at the top and bottom on both sides; b On photographic negatives in roll form, at the beginning and end of each roll; and c On photographic prints, at the top and bottom of both sides. 2 Letters of not less than 1/4 inch high shall be used except when the size of the slides, negatives, or prints makes this impractical. If the slides, ~ ! negatives, or prints are too small to be marked on the face side, the marking may be included on the reverse side or affixed by pressure-tape label or other comparable means. 3 The words IINational Security Information,1I "Restricted Data, II or "Formerly Restricted Data II may be used in lieu of the full text of the classification category markings, or the abbreviations "NSI," or "RD," or "FRD II and the abbreviation of the downgrading or declassifi­ cation notation. These markings shall be placed at the bottom of the front side of photographic slides, flat negatives, and prints and after the classification­ level marking at the beginning and end of each roll of photographic negatives. 4 Photographic negatives in roll form shall contain the identity of the original or derivative classifier immediately following where the classification category appears at the beginning of the roll. 5 Records maintained in connection with slides, flat negatives, and prints shall identify the classifier{s) and the source of classification authority. (b) Documentation. Photographic slides, flat negatives, or prints containing Top Secret or Secret information shall be documented or serially numbered to identify individual copies (e.g., "No 1 of 8 slides, Series A"). On the photographic negatives in roll form, the number of negatives shall be included. The documentation or serial number shall be placed at the top or bottom of the front of photographic slides, flat negatives, and prints, and after the markings or wording or abbreviation used at the beginning of each roll of photographic negatives. (6) Charts, Maps, and Drawings (see Attachment 111-16). {a} Marking. The classification-level marking shall be placed at the top and bottom as well as under the legend, title block, or scale. The other markings and identity of the original classifier following the words "CLASSIFIED BY" and derivative classifier following the words lIDerivative Classifier," declassification date, and downgrading date, if applicable, shall be placed at the bottom of the chart, map, or drawing unless the chart, map, or drawing is incorporated in a document. r r DOE 5635.1A 2-12-88 111-13 III-14 DOE 5635.1A 2-12-88 (b) Documentation. Documentation shall be applied in the upper right-hand corner, where appropriate. (7) Motion Picture Film and Video Tapes (see Attachment 111-17). The classification-level and category markings; the declassification or downgrading and documentation markings, if applicable; and the identity of the authorized classifier shall appear at the beginning of each reel or tape on the projected image for a minimum of 5 seconds. The classification-level markings shall appear on the projected image at the end of each reel or tape for a minimum of 3 seconds. Reels shall be kept in marked containers when not affixed to a projector. Video cassettes shall also contain appropriate-level and category markings. Running time, rather than page count~ will ~p. used to complete the IIpagesll blank of the documentation stamp.

(8) Microfilm Reels (see Attachment 111-18). Each microfilm reel shall have on its face the classification-level marking and classification-category marking or the words National Security Information, Restricted Data, or Formerly Restricted Data, and the declassification marking and downgrading marking, if any, or abbreviation of the declassification marking and downgrading marking. The documentation stamp shall be on the label of films and cassettes. Running time, rather than page count, will be used to complete the "pages" blank of the documentation stamp. (a) The first image shall contain the classification-level and category markings or the words National Security Information, Restricted Data, or Formerly Restricted Data, declassification marking and downgrading marking, if applicable, or abbreviations of the declassification marking and downgrading marking. (b) The second image shall contain the reel number, which consi sts of the prefi x ItJ1F" (for mi crofil m), the originating office symbol (e.g., "HQ"), the organizational unit responsible for originating the microfilm reel (e.g., II CON II for the IIOffice of Controller ll ), and the number of the particular microfilm reel in a numerical sequence. Example: The first reel originated for the Office of Controller, Headquarters, would be "MF - HQ - CON - 1"; the second, IIMF - HQ - CON - 2"; and so forth. (c) The third image contains the reduction ratio used in microfilming the documents. DOE 5635.1A 2-12-88 III-15 (d) The fourth image preceding the end of the reel is the index of the documents microfilmed, which shall identify the office preparing the microfilm, the reel number and identity of each document or general description of the documents microfilmed, and the classification level and category of each document or of the highest level of information contained in all of the documents microfilmed. r (e) The end of each reel shall contain the classification level and classification category. (f) Secret, Confidential, and unclassified documents may be photographed on the same reel. Top Secret documents shall not be photographed on reels containing documents of a lower classification or containing unclassified documents. (9) Aperture Cards (see Attachment 111-19). (a) Use. Aperture cards shall be used only for Secret, Confidential, or unclassified images. Red-colored stock shall be used only for classified aperture cards. Classified cards shall have no corner cuts. The upper left corner of unclassified cards shall be cut. These measures will assist in the recognition of classified cards when commingled with unclassified cards. (b) Marking. 1 The classification-level marking shall be placed near or above the microfilm image on the face of the aperture card. The words "National Security Information," "Restricted Data," or "Formerly Restricted Data" shall be placed below the microfilm image. 2 If the volume of transactions prevents marking cards according to the above description, cards containing codes for classification-level and other markings shall be used. The fact that this information is coded shall be indicated by the wording "Confidential or Secret as Coded in Col. 52" (or the other number of the appropriate column) preprinted or otherwise marked on the face of the card. 111-16 DOE 5635.1A 2-12-88 3 When the procedure in subparagraph 2, above, is used, the appropriate code shall be punched and printed into the designated column as follows:

C - Confidential National Security Information; E - Confidential Restricted Data; F - Secret Restricted Data; H - Confidential Formerly Restricted Data; J - Secret Formerly Restricted Data; L - Secret Restricted Data - Critical Nuclear Weapon Design Information; and S - Secret National Security Information. (c) Documentation. The drawing number, issue letter, and deck number may be used in place of customary documentation. (d) Microfilm Image. The microfilm image of a drawing, blueprint, chart, or other such configuration appearing on the aperture card shall contain the classification­ level marking, classification category, and documentation if required, and the name(s) of the classifier(s), declassification notation, and downgrading notation, if any, in reduced size. (10) Punch Cards (see Attachment 111-20). (a) Use. Punch cards may be used for classified information; however, a distinctively colored stock card shall be used, whenever practical, for decks containing classified information. Each deck of punch cards shall be considered a separate document. Each card in decks containing classified information at the secret or above level shall be numbered in sequence. (b) Markin~. Punch cards shall contain classification-level and ot er markings, which normally will be preprinted. The classification-level marking is required in only one position on each card. Each punch card shall contain the classification-level and other markings and notations required by the information in the deck or on the individual card, except as indicated below. (c) Records shall be maintained to identify the classifier(s) of decks of punch cards and date of declassification and downgrading, if applicable. 111-17 (d) 1 In situations where the nature of transactions in an automatic data processing (ADP) center would make it burdensome to determine the markings applicable to new decks prepared from existing decks, all punch cards in the new decks may be marked with the highest classification-level and category and other markings applicable to the data contained in the original decks. For example, if National Security Information and Restricted Data are contained in an existing deck and the highest classification of information is Secret, all punch cards in a new deck created from the existing deck shall be marked Secret Restricted Data. 2 The actual classification-level and other markings and notations applicable to the new decks shall be determined and all cards shall contain the proper markings and notations prior to transmission outside the security area. 3 In the case of unmarked punch cards prepared before 2-19-63, the date on which the marking of punch cards was first required, the appropriate markings and notations shall be placed on the drawers containing such cards or on a face card at the beginning of each deck. When decks containing these cards change custody, face cards containing the appropriate markings and notations shall be added. Documentation. Documentation of punch cards is not required. However, receipts used in the transmission of Secret decks shall state the number of cards forwarded. When punch cards are compiled (e.g., placed in a box) a card or sheet of paper shall be placed on the face of the deck indicating the title or subject matter, the classification level, whether they contain National Security Information, Restricted Data, or Formerly Restricted Data, appropriate declassification data, as well as the name, title of position, and organization of the c1assifier(s).

(11) ADP Software and Covers (see Attachment 111-21 ). Classified computer diskettes, cassettes, and other removable storage media shall bear appropriate classification markings, as shall their covers or containers. Documentation markings shall be DOE 5635.1A 2-12~88 r r ~ ~ .. 111-18 DOE 5635.1A 2-12-88 placed on diskettes or cassettes and shall al so be IINo. 1 of 111 with appropriate series. Documentation markings are not mandatory for containers or covers. (12) Printouts. (a) vsfge. Printouts may be used for any classified ln ormation (i.e., Top Secret, Secret, or Confidential). (b) Markings. 1 Printouts shall contain the classification-level and category and other markings and notations, as in the case of other paper documents, and shall be documented in the same manner. 2 The classification marking shall be placed in letters not less than 1/4 inch in heighth or placed conspicuously in upper case letters standard to the ADP eQuipment at the top and bottom of all pages of text. If ADP eQuipment is used to print the markings, there shall be a line feed space between the classification-level marking and the text. Additional classification-level markings shall be applied to the outside of the front and back covers, if any, and to the first page of text. The other markings and notations shall be placed on the front cover, if any, and on the first page of text. 3 The documentation shall be placed in the upper right-hand corner of the first page of text. Documentation need only be applied to printouts when they leave an automatic data processing center. (13) Recordings. (a) Marking. The level of classification and classification category (NSI, RO, or FRO) shall be stated verbally at the beginning of any recording prior to the discussion of the subject matter and at the end of the discussion. The classification-level and other markings, for example, IIRestricted Data,1I IIFormerly Restricted Oata,1I or IINational Security Information;1I the declassification marking and downgrading marking, if applicable; or abbreviation thereof and the identity of the r DOE 5635.1A 2-12-88 111-19 c1assifier(s) shall be applied by adhesive tape or similar material to the face of the recording. Containers shall be marked as in paragraph 4p(14)(a), below. r (b) Documentation shall be placed on the recording label and medi a cover/envelope and shall be marked "No. 1 of 1" with pages showing recording time. (14) Word Processor Disks (Floppy Disks and Removable Hard Disks) (Attachment 111-22). (a) The diskette and diskette folder and/or hard disk shall be marked at the top and bottom, front and back, with the classification-level markings equivalent to the highest level of information contained on the disk. The category marking shall be placed in the lower left corner of the diskette and folder. Documentation markings are not mandatory for diskettes or folders. (b) If a label is placed on the disk or folder to identify the individual documents contained on the disk, the appropriate portion markings designators (see page 111-2, paragraph 3) shall be parenthetically placed after the title of the document it governs. (c) The manufacturer's label on the disk shall be marked with classification markings equivalent to the highest classification level of information contained on the disk. (d) The disk file folder or box shall be marked in accordance with (c) above (e.g., files or folders containing classified documents).

(e) If a label is placed on the disk or file folder to list or identify the individual documents contained on the disk, the appropriate portion marking designators identified for portion-marking shall be parenthetically placed after the document it governs. (15) Microfiche (see Attachment 111-23). The highest level of classification, or a higher level of classification if warranted by assemblage or compilation, and most restrictive 111-20 DOE 5635.1A 2-12-88 category of classified information contained on the microfiche shall be photographically recorded at the top of the film in the space provided in the title area as well as in the first and last image of each document reproduced. Documentation, if necessary, shall be placed under the category marking and shall consist of a prefix letter nVn to indicate microfiche followed by the series designator (e.g., A, B, or C), originating office, region, or contractor acronym (e.g., ADM, RI), number of the particular microfiche, and total number of microfiche originated in the series. Example: nV-A-ADM - 1 of 6, n nV-C-RI - 5 of 5. n Information recorded in the title area is large enough to be read without magnification. In situations where eye-legible classification information cannot be photographically recorded at the top of the film (header), an adhesive-type label identifying the highest level of classified information contained therein shall be affixed to the top of all classified microfiche. Each image of the microfiche shall be appropriately marked to reflect the type of information contained therein (e.g., Unclassified, Confidential) and shall contain other classification markings, as appropriate. Any files, folders, or envelopes used to house the microfiche shall be appropriately marked. (16) Containers. (a) Markings. Except for shipping containers, each container of photographic prints, negatives, slides, video tapes, or motion picture film shall have on its face the classification level, category, and other special markings or the words National Security Information, Restricted Data, or Formerly Restricted Data, and abbreviation of the declassification marking and downgrading marking, if applicable, and identity of the classifier(s). (b) Documentation is not reauired for such containers. (17) ~pilations. A compilation of several existing documents ShiTl be treated as a new document and marked and documented accordingly. "'"..~) ~ I r DOE 5635.1A 2-12-88 (18) (19) I I 1-21 Draft Copies and Worksheets. Draft copies and worksheets of documents containing classified information shall be marked with the appropriate classification level and category of information contained in the document. Draft copies and worksheets of documents classified Secret or above need not be documented unless they are sent outside of the office preparing them or are retained for more than 60 days after preparation of the final document or are reproduced. When documentation is reauired on draft copies, they shall be marked "Draft 1, II "Draft 2, II "Worksheet 1, II "Worksheet 2, II and so forth. Drafts and worksheets shall be appropriately destroyed as soon as the final copy has been prepared, unless special circumstances require their retention.

Documents Pendin¥ Review. Documents that the originator believes to be c assified but that cannot be immediately reviewed by an authorized classifier shall have all the necessary markings placed on them. Additionally, the caption IIMarkings Affixed to this Document Remain Effective Pending Review by an Authorized Classifier" will be placed in the lower right-hand corner of the first page of the text. Such documents shall undergo classification review within 30 days of origin, and the authorized classifier will be specifically identified, subseauent to such a review, on the first page of the text. 5. CLASSIFIED MESSAGES. Requirements and procedures for handling classified messages are described in DOE 1325.1A, Chapter V. For the convenience of individuals who must prepare classified messages, Attachments 111-24 and 111-25 illustrate the correct markings '(DOE F 1325.7', IITelecommunication Message"). 6. DOCUMENTATION. All Top Secret and Secret documents shall be documented. Documentation consists of a statement of the number of pages, copies, and unique number series designated for each copy or set of copies of a newly originated or reproduced document. a. The documentation statement shall be placed, in ink, on the upper right-hand corner of the cover or on the first page of text if there is no cover, such that the wording is not multilated if an unbound document is inserted in a file jacket or other covering. II1-22 DOE 5635.1A 2-12-88 b. Each set of copies prepared is a series and is designated by a capital letter. The original set is Series IIA,II the next reproduced series is "B,II and so forth. For the first of three copies of the original set of a 5-page document, the documentation should read as follows: (Uniaue) Document number This document consists of~5-p-a-ge-s-- No. ! of 3 copies, Series A. (Note: See paragraph 4p(3) for information on proper documentation for master copies). c. An abbreviation of the Departmental Element, contractor, or subcontractor receiving a Secret document from an outside agency may be used in conjunction with the series designation where transmission of more than one copy is indicated. For example: (Uniaue) Document number This document consists of~~5~p-a~g~e-s- No.1 of 1 copies, Series OSS - A d. Documentation of Confidential documents is not required. 7. CLASSIFIED COVER SHEETS. Aclassified cover sheet shall be placed on the face of each copy of a classified document immediately after preparation and shall remain on the document at all times while in custody of DOE, its contractors, or subcontractors. Acover sheet shall be used unless clearly impractical. a. Top Secret Documents. See Chapter XI. b. Secret Documents. An SF-704, "Secret Cover Sheet" (see Attachment 111-26), shall be placed on the face of each copy of a Secret document immediately after preparation and shall remain attached until the document is destroyed. At the time of destruction, SF-704 is removed and, depending on its condition, reused. c. Confidential Documents. An SF-705, "Confidential Cover Sheet" (See Attachment 111-27), shall be affixed to Confidential documents as stated in Paragraph 7b above. d. Documents Containing Restricted Data. A DOE F 5635.12, "This Document Contains Restricted Data" (see Attachment 111-28), shall be affixed to the top of, and over the face of, the standard form cover

sheet for documents that contain Restricted Data and shall remain attached until the document is destroyed. Care shall be exercised when affixing DOE F 5635.12 over the face of the standard form cover sheet to ensure that the classification level of the document is not obscured. At the time of destruction of this document, DOE F 5635.12 is removed and, depending on its condition, reused. 8. Foreign Classification Markings. Foreign security classification systems are not exactly parallel to the u.s. system and equivalent classifications cannot be given. However, comparable designations are used specifying degrees of protection and controls that are similar to those prescribed for equivalent U.S. Classifications (see Attachment 111-29). (See 32 CFR 2001.5 (e)(4) for additional information as appropriate.) r r r DOE 5635.1A 2-12-88 111-23 (and 111-24) CURRENT MARKINGS (To Be Placed on Classified Documents) 1. Classified by James Jones (Original Authority) r DOE 5635.1A 2-12-88 Attachment 111-1 Page 111-25 r 2. Derivative Classifier: James Jones. Chief Policy Division (Name and Title) 3. TOP SECRET. SECRET. CONFIDENTIAL 4. NATIONAL SECURITY INFORMATION Unauthorized disclosure subject to administrative and criminal sanctions. 5. RESTRICTED DATA This document contains Restricted Data as defined in the Atomic Energy Act of 1954. Unauthorized disclosure subject to administrative and criminal sanctions. 6. FORMERLY RESTRICTED DATA Unauthorized disclosure subject to administrative and criminal sanctions. Handle as Restricted Data in foreign dissemination. Section l44b, Atomic Energy Act of 1954. as amended. 7. Declassify or on 12/25/90 Downgrade -----~(D~a~t-e~o~f~Ev-e-n~t)r------- 8. WARNING NOTICE - INTELLIGENCE SOURCES OR METHODS INVOLVED 9. Reproduction or further dissemination requires approval of originator. 10. Downgrade to Confidential ON 7/23/89. Attachment 111-1 Page III-26 DOE 5635.1A 2-12-88 11. The following are acceptable combinations of markings that m~ be used to save space in cases where the markings included are appropriate: a. NATIONAL SECURITY INFORMATION Unauthorized disclosure subject to administrative and criminal sanctions. Classified by James Smith (Original Authority) Derivative Classifier: Dec1 assi fy on: b. NATIONAL SECURITY INFORMATION John Doe, Chief of Security Branch (Name and Title) OADR (Date, Event, or OADR) Unauthorized disclosure subject to criminal and administrative sanctions. Originally classified by: Decl assi fy on: c. NATIONAL SECURITY INFORMATION John Doe (Name) Chief Security Branch (Title) 4/1/89 (Date, Event, or OADR) Unauthorized disclosure subject to criminal and administrative sanctions. Derivative Classifier: Dec1assi fy on: Derivatively classified by: John Doe (Name) Chief Security Branch (Title) 4/1/89 (Date, Event, or OADR) GC-12 (Guide or Source Document) r,.,. DOE 5635.1A 2-12-88 Attachment 111-2 Page 111-27 (and 111-28) BOUND DOCUMENTS CONFIDENTIAL NATIONAL SECURITY INFORMATION FRONT COVER OR TITLE PAGE FIRST PAGE CONFIDENTIAL CONFIDENTIAL ~ CLASSIFICATION FOR.~1CLASSIFICATION FOR ,I EXHIBIT PURPOSES ONLY EXHIBIT PURPOSES ONI.: ~ CONFIDENTIAL j. CONFIDENTIAL BACK OF LAST PAGE OR BACK COVER CONFIDENTIAL CLASSIFICATION FOR EXHIBIT PURPOSES ONLY NATllllIAl SECUIIITY INFORMATION ~ distlll$ilIe s_llol:lilllinal aM ar'l1in'SI.allve sanetions CJdGlnaIIy Classifi~ by: Jane Z. Buck Chief. Policy D~v~sion or CONFIDENTIAL r

.-ay CIlI: Octobef"'~ 2. 1990 DIIIIIllIIr c:.dlId IJt:(O#a ..~ GEN-12 ~._~ DOE 5635.1A 2-12-88 Attachment 111-3 Page 111-29 (and 111-30) BOUND DOCUMENTS SECRET NATIoNAL SECURITY INFORMATION UNIQUE DOCUMENT #I Kx· IZ.:U"", ~HIS DOCUMENT CONSISTS OF S PAGES ~ NO• .L OF 2. COPIES, SERIES A. FRONT COVER OR TITLE PAGE SECRET I CLASSIFICATION FOR I IEXHIBIT PURPOSES ONLY I SECRET tlA1UlIlAL &B:URITY INFORMATION I/llIulIIaItDd disclosure sulljeclloClimlnal and admrn:slralive sanctians ~Iy ClasSifill:l bv: Jane Z. Buck Chigf. Policy D~v~sion or Nt-TIONA!. SECURITY IHfllRMATlOIl tnuIhorlzed dlsclcs":6 jijbjaCllO ~iIIII and adfT,;::;lraUve sane1llW. llIri'q.!Ive ClISSilier: a De Z Bile k Chief, Policy lJ!Wtsion ....., lilt Octobe'F''l2! 1990 I""'" CIIdIIII by:lIlIII 01~ GEN-12__ • _ Da:IIIO IF NO COVER OR nTLE PAGE FIRST PAGE SECRET I CLASSIFICATION FOR I !EXHIBIT PURPOSESONLY SECRET BACK OF LAST PAGE OR BACK COVER SECRET ICLASSIFICATION FOR I EXHIBIT PURPOSES ONLY I SECRET r DOE 5635.1A 2-12-88 Attachment 111-4 Page 111-31 (and 111-32) BOUND DOCUMENTS--CONFIDENTIAL RESTRICTED DATA OR FORMERLY RESTRICTED DATA r FRONT COVER OR nTlE PAGE CONFIDENTIAL I CLASSIFICATION FOR I EXHIBIT PURPOSES ONLY I j ~ CONADENTIAL ~ FIRST PAGE CONFIDENTIAL I CLASSIFICATION FOR I EXHIBITPURPOSES ONLt j ~ CONFIDENTIAL 4. BACK OF lAST PAGE OR BACK COVER CONFIDENTIAL RESTRIcTED DATA 11118 dRum.nt conlllin. Antric:18d Du••• d.fined In th. Atomic Ener,y Act of 1954. Un.uthoriaed dlacloeuN lubject to Admlniltr.lI". and Crimi.... .."etIo_ or I FORMERLY RESTRICTED DATA Un.uthoril.d disc/o.ur. lubject to Admini.tr.d... Ind Crimin.. S.nello.... H.ndl••• A....icl.d D.II i" 'orei,,, 010· ••min.llo" Sectio" '''.b.• Alomic En.,gy .111:1. 115&. CLASSIFICATION FOR EXHIBIT PURPOSES ONLY CONFIDENTIAL DERIVATIVE CLASSIFIER: ,____ _ (NAME AND TITLE) DOE 5635.1A 2-12-88 Attachment 111-5 Page 111-33 (and 111-34) BOUND DOCUMENTS--SECRET RESTRICTED DATA OR FORMERLy RESTRICTED DATA UNIQUE DOCUMENT '/~$"S- THIS DOCUMENT CONSISTS OF .s- PAGES~ NO. L OF 3 COPIES, SERIES II FRONT COVER OR TITLE PAGE IF NO COVER OR TITLE PAGE FIRST PAGE SECRET ·Ir SECRET I CLASSIFICATION FOR I EXHlsrr PURPOSES ONLvi SECRET I ClASSIFICATION FORJ EXHlBrr PURPOSES ONI.: SECRET BACK OF LAST PAGE OR BACK COVER SECRET REsnlcTED DATA Thla docu"'ln' contllnl R.trlcUd DI'" I. defjnld 'n 1111 Alomlc En.,ty Ac, of '954. Unautllorilld dilclnure tubjKt to Admlnil"ld.1 8ftd CIiIrlIfW ..n~ or I FORMERLY RESTRICTED DATA Une"'"D.irld dl.cIDeu.. lubjlet '0 Admin;'Uaf;.1 end e"m;...1 SlnClio... Hlndll .1 R..uiclld Dltl In Fo..lgn Dr. tlminllion Section '4lI.b.. Atomic Energy Act, ,... CLASSIFICATION FOR EXHISrr PURPOSES ONI.: SECRET DERIVATIVE CLASSIFIER: (NAME AND TITLE) r DOE 5635.1A 2-12-88 Attachment 111-6 Page 111-35 (and 111-36) DOCUMENT--ORIGINAL CLASSIFICATION CONFIDENTIAL NATIONAL SECURITY INFORMATION memorandum DOE' ':125.1 l'N4! United States Government DATE: September 12. 1985 R,.e::;:: DP-077 SUBJECT: Confidential NSI (C) ~ A. B. Ingersoll. CS~712 CONFIDENTIA[ Department of Energy r I- (U) This identifies the proper marking of an Driginally Classified CDnfidential National Security Information document. (C) Level markings are placed at the top and bottom of each page. (U) Category, classifier, and declassification marks are placed at lower left on the first page of the text.

(C) Portion marks are required for all originally classified documents. They must be placed immediately preceding or following the text to which they apply. If the subject is classified, it must also be port ion ma rked • ~~:1~1t; Cylinder Fabrication CLASSIFICATION OF THIS DOCUMENT I IS FOR EXAMPLE PURPOSES ONLY. M1DlAL smJllITY INFOIWATION ........dIdl8nlllt4ccl..Cllmin&J... e4ml!dslIaUve sancUw ~""'1Itc Jane Z. Buck Analyst ~ &lildIalIr. SeDtemheM 2. 1995 _crl.-aj CONFIDENTIAL - - II DOE 5635.1A 2-12-88 Attachment 111-7 Page 111-37 {and 111-38} DOCUMENT--DERIVATIVE CLASSIFICATION CONFIDENTIAL NATIONAL SECURITy INFORMATION memorandum Dell. tJiIU (tMll United States Government DA~ September 12, 1985 REP\.YTO ATTN OF: DP-077 SUBJeCT: Confidential NSI ~ A. B. Ingersoll, CS-712 CONFIDENTIAL Department of Energy I- I- This identifies the proper marking of a derivatively classified Confidential National Security Information document. Level markings are placed at the top and bottom of each page. Category, classifier, source, and declassification marks are placed at the lower left, first page of the text. Portion markings are not required in DOE for derivatively classified documents. c(~~~f CYlinder~b~ication CLASSIFICATION OF THIS DOCUMENT I IS FOR EXAMPLE PURPOSES ONLY. ~ • Septemb@ifl 12, 1990 IlPtwatMIy CIa:IlIad IIr.4Il>tI • 1_ GEN-12 (CI,.QCl9l;aR'~l) CONFIDENTIAL - - r DOE 5635.1A 2-12-88 Attachment 111-8 Page 111-39 (and 111-40) DOCUMENT--ORIGINAL CLASSIFICATION SECRET NATIONAL SECURITy INFORMATION 1lOE~1-" ~, United States Government memorandum DATE: December 1. 1982 REPLY TO ATTN OF: RG-49 suareCT: Petroleum Imports (C) ~ Manager. Midwest Enforcement District Department of Energy Unique DocUlIIanti __ (S) (C) (U) (S) r (U) r This identifies the proper marking of an originally classified Secret National Security Information document. Level marks are placed at the top and bottom of each page. Category, classifier, and declassification marks are placed at lower left. first page only. Portion marks for originally classified NSI must be placed immediately preceding or following the text to which it applies. If the subject is classified, it must also be portioned marked. Documentation must be placed at the upper right of the first page for each Secret or Top Secret document. . f4;!a:,e, Headquarters Enforcement Division CLASSIFICATION OF THIS DOCUHE"T IS FOR EXAMPLE PURPOSES ONLY . ...SB»m' 1AllIIA1lIlll u....-......dl"'IOCI1mINlaN~lrl1lvlISIIICl!OllI ~ QmlIed ~ Jane Z. Buck Analyst ....., SECRET DOE 5635.1A 2-12-88 Attachment 111-9 Page 111-41 (and 111-42) DOCUMENT--DERIVATIVE CLASSIFICATION SECRET NATIONAL SECURITy INFORMATION memorandum DOEF11ZU (tHO! United States Government DA11!: December 1. 1982 REPlY TO ATTH OF: DP-077 SUBJeCT: Secret NSI ~ A. B. Ingersoll. CS-7l2 SECRET Department of Energy Ua1ClUll DoC1IIllGDt' _ 11aIa docalIIellt llOIIlbtI of -L.....!QlleS No 1 0' 4 ~ Sed"M".........B."---_ This identifies the proper marking of a derivatively classified Secret National Security Information document. Level markings are placed at the top and bottom of each page. Category. classifier. source. and declassification marks are placed at the lower left. first page of the text. Portion markings are not required in DOE for derivatively classified documents. Documentation must be placed at the upper right of the first page for each Secret or Top Secret document.

~~~~ef CYlinde~:~~icat10n CLASSIFICATION OF THIS DOCUHENTl IS FOR EXAMPLE PURPOSES ONLY. IlIctIuIr -= septembdrl12, 1990 ~ aassmed 11/:_.~ GEN-12 Ill*" • -. o-:q SECRET r DOE 5635.1A 2-12-88 Attachment 111-10 Page 111-43 (and 111-44) DOCUMENT--CONFIDENTIAL RESTRICTED DATA OR FORMERLy RESTRICTED DATA ~~;;:~ States Government CONFIDENTIAL memorandum DATE: 10-4-82 REPLY TO ATTN OF: DP-35l SUIlJECT: Marking of a Classified Document Department of Energy ~ \""" - ~ Directive~ Point of Contact, DP-343.3 Restricted Data is all data concerning the design, manufacture, or utilization of atomic weapons. production of Special Nuclear Materials; or the use of Special Nuclear Material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to Section 142 of the Atomic Energy Act of 1954. Formerly restricted Data is data which has been transclassified from the Restricted Data category and relates primarily to the military utilization of atomic weapons. ~U0b~~ohn . Brown Dire tor, Office of Plans CLASSIFICATION OF THIS DOCUMENT 1 IS FOR EXAMPLE PURPOSES ONLY. - RESTRICTED DATA 11IIs document contains RestrU:led Dlta as defined In the Atomic En~rgy Act of 1954. Unluthorlzod discloscre su:ljecl 10 AdmlnlstllltlYt Ind Criminal Sanctions. I or I EORM ERLY RES1111C\t.Ll "'ATA u t",cIOa., ., c ••• .,.,.,."'_ c.aat... s.""tJoot.. Haltd..•. • 0... Ie ,.,.1.0 o-."'IIUAeUM _' _e-a .......... llf~rvATM SIGNER cv.ssm!A ------''-_:::--_""'':"::Tl!IIl::-:---- - CONFIDENTIAL DOE 5635.1A 2-12-88 Attachment 111-11 Page 111-45 (and 111-46) DOCUMENT--SECRET RESTRICTED DATA OR FORMERLY RESTRICTED DATA 001"-" llH41 SECRET United States Government . memorandum DAlE: 10-4-82 RBP\.Y TO ATTN Of': DP-351 SUllJeCT: Marking of a Classified Document Depertment of Energy . UlU.quo Doc_tI _ Tbla doaauaS ClODUla 01 1 fau No 1 pt 4 Copl8ll, s.t-_-,,_,--_ ~ Directives Point of Contact, DP-343.3 Restricted Data is all data concerning the design, manufacture. or utilization of atomic weapons; production of Special Nuclear Materials; or the use of Special Nuclear Material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to Section 142 of the Atomic Energy Act of 1954. Formerly Restricted Data is data which has been transclassified from the Restricted Data category and relates primarily to the Military utilization of atomic weapons. 1!!f.fr-~~~r~ Office of Plans CLASSIFICATION OF THIS DOCUMENT IS FOR EXAMPLE PURPOSES ONLY. RESTRICTED DATA this dacumlnt contains Restricte~ DlIta as defined lit the Atomic En :rgy .~ct of 1954. UnauttlorlzlId di~clos ..re iuilj.!ct to Administrative and Crim!n::i So1n:tions. I or I F.Of<MERLY R(~Tlll';TED DATA U".wth01ilod dllc'otU": "lIto,_C' 10,...,e..I'''.U"••ft4 ClO~,,,.1 tt."IO.°'Of'oi, HOftCU. aa.uICt.4 0 ••• 1ft 'g"'ln OII.o-n"",·IO" ~~tiO" a".b.. AICUt\.( ('\,••)' ~o. 1'.i54. tJJ~~== J.A. Smith. Chief of Plans__1llIoI SECRET~ r DOE 5635.1A 2-12-88 Attachment 111-12 Page 111-47 (and 111-48) MEMORANDUM OF TRANSMITTAL DllEFI-'"_, United States Government CONFIDENTIA[ Department of Energy memorandum DATE: September 12 1 1985 REPLY TO ATTN OF: DP-077 SU8JECT: Memorandum of Transmi tta1 ~ A. B. Ingersoll, C5-712 1. This illustrates classification marking of a letter of transmittal, the stamp "when separated from enclosures," and the natation regarding the document transmitted.

2. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 3. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - .- ~~~~f CYlfnde~:~~fcation CLASSIFICATION OF THIS DOCUMENT IS FOR EXAMPLE PURPOSES ONLY. r Document TransmItted HUlowlth Contains NI\TIOr-~AL SECURITY INFORMATION (use'appropriate category stamp) CONFIDENTIAL _ ........ ....... MI4IItaia *-1 unclass1fied .. --':o-e=-=""",=::::-:cIaIIllcItln===-)--- DOE 5635.1A 2-12-88 Attachment 111-13 Page 111-49 (and III-50) MASTER COpy OF REPRODUCTION CLASSIFICATION FOR EXHIBIT PURPOSES ONLY RESTRICTED DATA Tllfa d_.m contains Aautct.cI D..... ddln.clln die Atomlll EMtgy Act of 11154. UMutl'lorla.d dfaclQu,. I1lbl_ to Admlnletratlw and CrimlMl Nnetio-. SECRET ll'U4ua _t,__. tIlI8~ OGUlaU .,~ ..._01_.!"'Pia. luia_. D.,.".tlv. ~....lfle,: _ IName and Title) SECRET 1 '1 SECRErrl Unique Document (1 _ No. _1 of ~ Viewgraphs, Series A.... , "J NO 10 ..... lTl N I U1 ex> 0'1 ex>W U1...... > R::STRfCTED DATA '1>'0 d.''''''O''1 CCllbW ""ltdfOd 0&1: •• doll.te1 III til. AsoaIc Ell..., Act .;1 1954. U".¥lltollllll d,.d••",. .u)I,,1 :. -d.".1s1,.""•••d Cr'",'",' So".,••••. @DEPARTMENT OF ENERGY SECRET. <­lTl ~ G') ::0 > -0 :c (I) -0> c»c+ to c+ n>c» n -~-s_n> 1::S Ulc+.....---c» ­::Sl Q. ..... .po---IUl N- DOE 5635.1A 2-12-88 Attachment 111-15 Page III-53 (and III-54) PHOTOGRAPHIC SLIDE, NEGATIVE, AND PRINT PHOTOGRAPHIC SLIDE OR FLAT NEGATIVE ..------~~~--IIIIl!!!!!!!!!!!I_--ORIGINATING OFFICE SECRET SEC. 700 .IA FIRST SLIDE OR NEGATIVE '----11-- DOCUMENT NUMBER DERIVATIVE ClASSlflER .....,- _ SECRET INlmo""" TllIoI BEGUINING 0' ROLL PHOTOGRAPHIC NEGATIVE IN ROLL FORM EIiO 0' ROLL - I.~ III!STIIICT ED C_ SEC·1QO.IA ~~::;\l~~--- RESTRICTED SECRET DATA JaIvl H. II...." CONTENTS SECRET DATA 38 IlEGATIVES ,,~.,..,'~...~'....;..::-- D_ 'I ~1DMJIonol_ PHOTOGRAPHIC PRINT -s-mv InICltllll1lon FRONT SECR ET SEC· 700 • lA BACK SECRET SECRET r DOE 5635.1A 2-12-88 Attachment 111-16 Page III-55 (and III-56) CHARTS, MAPS, AND DRAWINGS PRODUCTION Unique Document fJ, _ Thi~ doeum.nt _SIllS ol_1_lIIll!' No._'_Gl-LCopia,s-a..a. LEGEND nDIIIIIIl PLUTONIUM ~ URANIUM SECRET 4000 I-~QU::AH:.:T.:.:IT.:.:IE.:.S S:::H::.:OW::.H.:.~~EL:.::OW::..:A::R=.r; .:....:FI:.;CT.:,:IO::;,;HA::L --:-=-:::::- ~ 3000 1000 o FY 1910 FY 1911 FY 1912 r RESTRICTED DATA TllII clllcument contain. Reltrieted Olta .. dlfined In me Atomic EnertY An of ,"". Unauthorized dlacloau.. wb/1C1 to Admlnlltred... Md CIImInII ..nc:1lol11. Derlvatlv. Cla..lfler: ~:-.-- (Name and Tide' DOE 5635.1A 2-12-88 Attachment 111-17 Page III-57 (and III-58) MOTION PICTURE FILM AND VIDEO TAPES REEl. 1 HEAD TAIL REEL I HEAD SECRET NATIONAL SECUIlITY INfORMATION U"....I>otlaoll elIte/o·•__joct to Ad_ .",,_ ..... CritNnol ..1IC1Iof& SECRET TAIL REEL 3 HEAD r r DOE 5635.1A 2-12-88 MICROFILM REELS CLASSIFICATION FOR EXHIBIT PURPOSES ONLY SEQUENCE of TARGETS on the MICROFILM REEL Attachment 111-18 Page III-59 (and 111-60) DOE 5635.1A 2-12-88 Attachment 111-19 Page 111-61 (and 111-62) APERTURE CARDS " I I I I il 1 1111, I I I ,._.... ..-. .- , • . .' .,, , , , . . • :-.... , ....... .. -,.,....... " • '-'J:> - • .- 0: • I I' I ,I I II I '. IIi.I1111 •• 111' I I • I •• 1:1 I • 11I1 .It II' •• III ••• I •• I • I" '1'1 CONFlDENT1Al.••••••• ~••• ~.a•••d•••D~I~a•••••• 4 •••~••ft. •••• "'''''''' """'I""~'f'I"" ""'" ]~'~"~ 'l 111111111111 IICIIII II1IIII1II111I1 II IU I I

..............J.... '" t........."',, 1J1,1, 1 I ............ U,II'lull , U .. I ..U..J ..lui.! • I • 11111111111 111111111 ~llill,111S III lIS I ~I!ull ~~ I I • I I. 111' l III • II I I • I II I,ll ....1.. 1'11'1 1I1I III II II 111,.,,,1; '.11 :.L!!1! 0' .........- - ... .... -.-- .__ ... NATIONAL SEClJRIT'Y .... ~ I-iii 111'111 lif ~ ~-- Ie! I: 0 INFORMAnON '::'1 i !Id 1 ; ... hl " .............. , , & II I I I II I I I I I I II I I I II I I II II I I , III I I I I I II I I I I I I I • I I II • ! I I I II I I I I I II I I I I I I I I I I I I I I I"' •• "t .......... ",.. ·.4.t"~ .. "."a~!'t!'"I ••• .,p~ ......:.· .....·...... Il'· •••.• ft.'I .............. ,.... In .... ••• I"t ' .....0..'. In.. " ....... c..... " ... "'" "lIfIJ".c.u:t- ..... :.. e."••- ..~... J_ :..-.e-.. II '!-..... 11111I I I I I!In., -- _fl,. ;;.- ~'!.', # J~~ , ,o!.4#.• ;:;; I I I I . II! , . • ..........~ .~ ..... "".1'.' '.4' ' .'-:' .. ..~.- 'i _, ••••••• u•••_r •••••••••••••• »•••~~•••• • ••• • CLASSIFIED I••i. iI CONFIDENTIAL OR SECRET AS CODED --- ..., I IN COL. 52 1111 I I c______ '~'I ._-_.. I I11UIIl_lIIta t ----,-_.. l;j:1 JIUJlnIall."'__" I 'llCMIwrocrm ...11___----I ._--&-.-- • ,It -,......- - .- _.,.. --- --_ .... ~1=llllilllll ~il! !~ RESTRICTED OAT"--I - IiI.; I!;' ..I.! ....... ~. 1.111 IIII III I I IIIII I II • III II II IIIII • II III iTT ITT I I II IT I I • II III III III III1II11 III • II" .~ :,:."g.••• tI' •• ' ••••••••• Il tLtI "w•••• u tI •• ........... ,. II." . CLASSIFICAnON FOR EXHIBIT PURPOSES ONLY ::::: (WHEN r r r DOE 5635.1A 2-12-88 Attachment 111-20 Page 111-63 (and 111-64) PUNCH CARDS NAnONAL SECURITY •••••••••••••••• I ••••••••••••••••• I • • • • • • • • • • • • • • • • • • INFORMATION ; : : ; : ; ; : ; ~~ ~ ~~ ~ ~ .. ~ ~~~ ~~~ ~ ~~~~ ~~ ~~~ ~~ ~ ~ ~~~ ~ ~~ ~~~ ;~~~: ~ Unauthorized dlldo.ur. I~bj.et 111 n n leoNFlDENTIALI U,UI ~:n~~:~lllfadYa and cnmlnal "" ••• , 11" •• 'JJIJJJJJJI ••• J •• I.; ••••••• J PUNCHED) .. 11111'111'11111'11'1""'1111' , •••••••••••••••••••••••••••• 1.1.1.111 •• 1.'.1.11 •• 1.1 ••••• 11 •• 1••••••••••• 11 •••• 1•• tt't"t"tll"I"""""tlt""""'J"'l"""'"""1"""""11"1'11'" ••••••• , ••• , ••• , •• 11,1'.1.1,1,.,.1 ••• ",.11""1",, •• 1,1,1.,;"1""1,,.,,,.1 •• 11.111111".,111' I • 11.11.11 " , ""'111111111"'11'11'1" t'l'" t I " "'"111" ." • • , •••••••••••••• n ••••••••••••••••••••••••••••••••••••• •••••••••••••••••••• _.~ •••_.- I CLASSIFICATION FOR EXHIBIT PURPOSES ONLY ••••••••••••• ,1,.,11,,1.111,1,,11.,1.,1 •• 1,11.1 ••• ,1 RESTRICTED DATA ~ • I I •••• , .... ~ 'I_ ...... It .:t .• JI A a r. _ 'I • • • • •• • • • ••••• •••• •••• • Thlt documont cant.Ins R..tricted l- I I I I I I I I I I I I I I I I I I I I I I I I , , , I I I I I I I I I I I I I I I I I I I I I I I I IDa" IS dollnllClln lha Alomic Enal1lY . SECRET ACl of 1954. UNlulho,I••d disclosure II , n II11 U U n II r 11111111 , III t lulsi.cno Administrallve end Criminal : 11'11'1""""": ." •• II.I""'Ls_._n_ad_o_na__. ~ .... (WHEN PUNCHED) .. 1111 1111''''111''11'''"'''"''1 . "' • 111111. 111111 " 1111. III' I •• II '"' •• 11.1 II I II I • 11111111 • 111111 11111111111 II I 1II' JJ III II , II JJ " , 'I , 'II II JJ " " " '" , II' , " , '" " JJ , II , " , , " , , , , "I' " , , , " , , •••••••• 11111.1 ••• 111.1 •••• 1••••••••• 1••••• 111 •• 1.1 •• 111.1 •••••• 1111111111111111 .11111" III' " """' '"11111'" 11111 II 1I111t I "I" II II 1111 t 11111" 111111111 "".t •••• ·tl •• ~ •••• 114 •••••••••••••••••••••••••••••••••••••••••••••••••••• ~ ••• ~.~,••_.-

DOE 5635.1A 2-12-88 CLASSIFICATION FOR XHIBIT PURPOSES ONL Attachment 111-21 Page 111-65 (and 111-66) ADP SOFTWARE AND COVERS (WANe) DI.kette--- r r r DOE 5635.1A 2-12-88 Attachment 111-22 Page 111-67 (and 111-68) WORD PROCESSOR DISKS (FLOPPY DISKS) DOE 5635.1A 2-12-88 Read wIthout MagnifIcatIon Attachment 111-23 Page 111-69 (and 111-70) MICROFICHE PhotographIcally recorded or AdhesIve Lebel SECRET RESTRICTED DATA I I Y·A·ADM·1of6 SECRET UnIque Document' ••••••••••••••••••I •••~~I••• •••I~~~iI••11 •••I~l••••••••••••••••••••••ISECRET I t ClassifIcation Level on each microfiche Image Photographically recorded or Adhesive Label r· DOE 5635.1A 2-12-88 Attachment 111-24 Page 111-71 (and 111-72) WEAPON DATA MESSAGE CONTAINING CONFIDENTIAL RESTRICTED DATA z A.M. P.M. SEPTEMBER 5, 1985 I DATI CONfIDENTIAL 4. PRECEDENCE DESIGNATION rx-__ boN. USDOE M.B. ALLEN SUPPLY S1. LOUI S, MO FOR NORMAL USt~••r-, ACTION: ~ ReM... 0 INFO: 0 18 HfI.1 0 I I. FROM 1. INSERT ABOYL aAlSlflCATlON UVEL UNCl.ASSIFlED. OR OFFICIAL USE ONLY DOE',n51 031:11 ~ ~:.S::':'::::"':.~":~:',?~~~", I rrrnsnw~ urWu ",.. bid••, ",.,.«/J .x- VIS . "0 ...--------------------------+S.-US-E-WH-ENREOUiiiEo----·· u.s. DEPARTMENT OF ENERGY TELECOMMUNICATION MESSAGE..._-"".~ I. TO USDOE, R.S. WILLS, CONTRACTS, PIKETON, OHIO • CONFIDENTIAL/RESTRICTED DATA/DERIVATIVE CLASSIFIER J.B.DOAKS/ S I GMA/NARR THIS SAMPLE FORM DOE F 1325.7 ILLUSTRATES A CLASSIFIED MESSAGE CONTAINING WEAPON DATA, INCLUDING: (1) INDICATION OF WEAPON DATA CONTENT IN UPPER RIGHT-HAND CORNER (2) CLASSIFICATION AND OTHER SECURITY MARKINGS (3) PREPARATION OF FIRST LINE OF TEST OF MESSAGE CONTAINING WEAPON DATA. CLASSIFICATION OF THIS DOCUMEN IS FOR EXAMPLE PURPOSES ONLY BE BRIEF - ELlMINATI UNNECESSARY WORDS 10. ORIGINATOR I"" "ponto liM.....,,, -.~ Sl""bo( Ii Tol. No.1 II. DERIVATlVELV CLASBIFIED NSf 12. ORIGINALLY CLASSIFIED NSI u_aClJlll1f _TIllll---­.....................Al1en/dj ~ C-558 x-3145 U_aClJlll1f _TIllll ~ .....--.- ..--DEtrivilti"o CIDS1ifie':~"""::.;.::..1 . IT"" __ Origin,uy Onsil'Cd b.. !:t:::-_. 4 ,""' .. O""'a..ilyon~ 1='---- De.iv3tivcly Ct..".liOO by,~c;s;;:;;-~ De:cf.as,.$lfy on~ v -,;;:~.- - - -- - - .• 11 10 as1KTlII ClAl. n. ..... ......... t-. .."tM~.........................-- I•. [] _Yas1KTlIIIlAIA ~ ... e-. ... ~ ItUI e-w t.. DOE 5635.1A 2-12-88 Attachment 111-25 Page 111-73 (and 111-74) MESSAGE CONTAINING SECRET NATIONAL SECURITY INFORMATION "".. "') 1. INSERr' ABOYI. aA88IFlCATION LEVEL UNaA88IFlED. OR OffiCIAL usa ONLY DOIF1_7-&liIlod>I1> SF I(~",NolR~ """" 11111 SECRET 2. MESSAGE CONTAINS WEAPON DATAl I"X"~ 110•• AI<I_. CcnICt";u no, ____""'"'_ bo"i6".bdJ DYES iXlNO u.s. DEPARTMENT OF ENERGY TELECOMMUNICAnON ME88AGE__.."tor~ 4. PRlClDENCE DESIGNATION rx-~ boll/: FOR NORMAL USE ACTION: lb _ D P,loolly IHFO: tb (8 tlIsJ D 13 HrIJ .. fROM USDOE M.B. ALLEN SUPPLY OAK RIDGE. TN 8. DATE J. USE WHEN REQUIRED ... Unique DoCUllIeDt " 1 ~~~U~ENT 1 PAGES NO•...J- OF -1- CONS. SERIES L z A.M. P.M. SEPTEMBER 5. 1985 COMMVNlCAYIOlIl CIN'IIlIllOU1'IfCO 69 69 f P I ; t •. . USDOE. R.C. LYON SUPPLY. ST. LOUIS, MO (SER C) ~ USDOE. A.L. SHARP SUPPLY. PIKETON. OH (SER D) INFO: USDOE. S. WILLS CONTRACTS. PADUCAH. KY (SER E) SECRET/NATIONAL SECURITY INFORMATION/DERIVATIVE CLASSIFIED JANE Z. BUCK/DECLASSIFY ON OADR/CLASSIFIED BY CG-X15/N 0 NWD/NARR •• TO 12. ORIGINALLY CLASSIFIED NSI CLASSIFICATION OF THIS DOCUMENT IS FOR EXAMPLE PU POSES ONLY

11. DERIVATIVELY CLASSIFIED NSI THIS SAMPLE FORM DOE F 1325.7 ILLUSTRATES A CLASSIFIED MULTIPLE ADDRESS MESSAGE NOT CONTAINING WEAPON DATA. INCLUDING: (1) INDICATION OF EXCLUSION OF WEAPON DATA CONTENT IN UPPER RIGHT-HAND CORNER. (2) DOCUMENTATION, ITEM 3. (3) PREPARATION OF FIRST LINE OF TEST OF MESSAGE NOT CONTAINING WEAPON DATA. BE BRIEF - ELIMINATE UNNECESSARY WORDS 10. ORIGINATOR IOn ._or. h.... ..,.. N.",.. Routing Symbol. & rd. No-l IlATIClIW. SlCUIIT1 lIRIllMAllllII---­_.._- Buck IlATIOIW. IlCUIllTY I_TllIIl--_ .. Derivalive Clas~~I~ttrL. I~":'::"';:""-l:IAUJna'l-lwy~sUot 1C.,g,n.llv CI....t'.d bv ""'.....~----- Decl...ify on;-",'~",,'''''''';,''''.."'''-",----,,...,...:O:.;,A;,;:D;.:R 1"".'.'''''0'----------- Deflvatively ClaSSIfied by: ..."C;..G...,,-_X=-1_5~_~I Declassifv Ofl:..c..::-~::-:Ic::.~:-;.CA"'D::;-.-----­ IGu~ or 5£ute' Dcxun;,m.l Allen/dj Rm C-558 X-3145 13. o R1S1R1tTlD DATA n.~~....,M ..... 1Il .. 1... &.tr.Ad ....~.....................-- 14. C RlllIIEIIlUEmlClIDDATa ~~ -rn.w ...--, __ ... 'I. INSF.RT BELOW. CLASSIFICATION LEVEL. UNCLASSIFIED. OR OFFICIAL USE ONLY DERIVATIVE CLASSIFIER ~ , INamo and Title) DERIVATIVE CLASSIf(ER DOE 5635.1A 2-12-88 Attachment 111-26 Page 111-75 (and 111-76) SECRET DOCUMENT COVER SHEET r DOE 5635.1A 2-12-88 Attachment 111-27 Page 111-77 (and 111-78) CONFIDENTIAL DOCUMENT COVER SHEET DOE 5635.1A 2-12-88 Attachment 111-28 Page 111-79 (and 111-80) RESTRICTED DATA DOCUMENT COVER SHEET (PLACEMENT) r, DOE 5635.1A 2-12-88 Attachment 111-29 Page III-81 FOREIGN CLASSIFICATION MARKINGS NO DIRECT u.s. Country TOP SECRET SECRET CONFIDENTIAL EQUIVALENT Arg,ntln, ESTRICTAMENTE SeCRETO SECRETO CONFIDENCIAL RESERVADO Aultr,'~ TOP SECRET SECRET CONFIDENTIAL RESTRICTED Austri, STRENG GEHEIM GEHEIM VERSCHLUSS Belgium (Fr,nchl TRES SECRET SECRET CONFlOENTIEL DIFFUSION tRomi,h' ZEER GEHEIM GEHEIM VERTROUWEUJK RESTREINTS BePERTKE VERSPREIDING Bolivia SUPERSECRETO or SECRETO CONFIDENCIAL RESERVAOO MUY SECRETO Bruil ULTRA SECRETO SECRETO CONFIDENCIAL RESERVADO Cambodia TRES SECRET SECRET SECRET/CONFIDENTIEL CanIda TOP SECRET SECRET CONFIDENTIAL RESTRICTED Chil, SECRETO SECRETO RESEAVACO RESERVADO Columb~ ULTAASECRETO SECRETO RESERVADO CONFIDENCIALr RESTRINGIDO COStl Rica ALTO SECRETO SECRETO CONFIDENCIAL , D,nm,rk HOJST HIMMILIGT HIMMILlGT FORTROLIGT TIL TJENESTEBRUG Ecuador SECRETISIMO SECRETO CONFIDENCIAL RESERVADO EI Salvador ULTRA SECRETO SeCRETO CONFIOENCIAL RESERVADO Ethiopia YEMIAZ BIRTOU MISTIR MISTIR KILKIL Finland ERITrAIN SALAINEN SALAINEN Franc, TRES SECRET SECRET DEFENSE CONFIOENTIEL DEFENSE DIFFUSION RESTREINTE Germeny STRENG GEHEIM GEHEIM VS.VERTRAULICH Gllece AKPnI AnOPPHTON EMmrrEYTIKON nEPlnPI!MENHI AnOPPHTON XPHIEnI GUltemala ALTO SECRETO SECRETO CONFIDENCIAL RESERVACO Haiti SECRET CONFIDENTIAL Hondu,., SUPEA SECRETO SECRETO CONFIDENCIAL AESEAVADO Hong Kong TOP SECRET SECRET CONFIDENTIAL RESTRICTED Hunlllry SZIGDRUAN TlTKOS TlTXOS BIZALMAS • India TOP SECRET SECRET CONFIDENTIAL RESTRICTED r Attachment 111-29 DOE 5635.1A Page 111-82 2-12-88 l, FOREIGN CLASSIFICATION MARKINGS (Cont'd) NO DIRECT U.S. Count,., TOP SECRET SECRET CONFIDENTIAL EQUIVALENT Indonesia SANG:..TRAHAS{':' R':'HASIA TERBATAS 'ran BEKOLI SERRI SERRI KHEILI MAHRAMANEH MAHRAMANEH oJ,- vlSr "'- "";b~~ ...\.,,- I,.q (Absolutely locrat' IS,cl1l11 IUmiredl lA ..,,,., ~.,. tJi4. ,}J ..... Iceland ALGJORn TRUNADARMAL

Ireland TOP SECRET SECRET CONFIDENTIAL RESTRICTED Gae'ic AN·SICREIDEACH SICREIDEACH RUNDA SRIANTA II,.al 5001 SEYOTER 5001 SHAMUR MUG8AL "V\I'~ ",. ",. 'n... h.&ID IUlly SEGRETISSIMO SEGRETO RISERVATISSIMO RISERVATO Japan KIMITSU GOKUHI HI TORIATSUKAICHUI ~·t 1;, i' -/46. J..~;it, BUGAIHI-IJI '~:AiJ' Jordan MAKTUM JIODAN MAKTUM SIRRI MAHDUD I~ ,,. ",. t~ <II ...... Koraa III KUP PI MIL II KUP PI MIL I KUP PI MIL It Ml; Dt ,,~, ]ti'Wioi l LaOI TRES SECRET SECRET SECRETICONFIDENTIEL DIFFUSION RESTREINTE Labanon TRES SECRET SECRET CONFIDENTIAL Mexico ALTO SECRETO SECRETO CONFIDENCIAL RESTRINGIDO Nartlerlanda ZEER GEHEIM GEHEIM CONFIDENTIEEL or DIENSTGEHEIM VERTROUWELIJK NowZII/and TOP SECRET SECRET CONFIDENTIAL RESTRICTED Nlcarallua ALTO SECRETO SECRETO CONFIDENCIAL RESERVADO Norway STl'ENGT HEMMELIG HEMMELIG KONFIDENEIELT 8EGRENSET 'akilUin TOP SECRET SECRET CONFIOENnAL RESTRICTED Paralluay SECRETO SECRETO CONFIDENCIAL RESERVADO Paru ESTRICTAMENTE SECRETD SECRETO CONFIOENCIAL RESERVADO Philippin.. TOP SECRET SECRET CONFIDENTIAL RESTRICTED Po"",al MUlTO SECRETO SECRETO CONFIDENCIAL RESERVADO Spain MAXIMO SECRETO SECRETO CONFIDENCIAL DIFFUSION LIMITADA Swaclan Ilttj!!ih@) IHeMLIGJ IRad Bordaral Swialfiand IThrea Iln,ualll•• TOP SECRET haa a "lIlalfldon numba, 10 diadnlluilh from SECRET and CON. FIDENTIAL-I-Franch TRES SECRET SECRET DEFENSE CONFIDENTIEL DEFENSE DIFFUSION RESTREINTE Gennan STRENG GEHEIM GEHEIM VERTRAULICH ~ r DOE 5635.1A Attachment 111-29 Page 111-83 (and 111-84) FOREIGN CLASSIFICATION MARKINGS (CONT'D) NO DIRECT u.s. Country TOP SeCRET seCRET CONFIDENnAL EQUIVAlENT Italian SEGRETlSSIMO SEGRETO RISERVATISSIMO AISERVATO Taiwan .U~ 1/ ttt·" t;../it'" ~'I' i' .. J LUPMAAG~n LUP cit POK PID lim)"Thailand LUPTISUD~ Turkay COK GIZLJ olzLI OZEL HIZMETE OZEL Union of South Afric. Engli-'t lOP SECRET SECRET CONFIDENTIAL RESTRICTED Afrikaane U/TERS GEHEIM GEHEIM VERTROULIK 8EPERK Unitad Atlb Rapublic TOP SECRET VERY SECRET SECRET OFFICIAL IEgyptJ i)1l. 'I' I~ '1"'- 'I"" J~ Unitad King.om TOP SECRET SECRET CONFIDENnAL RESTRICTtD Uruguay ULTRA SECRETO SECRETO CONFIDENCIAL AESERVADO USSR COUP:nHIIO Ctxnflo ICC :I0AAUAllili 4.IA CA'l&iSIloro C~ptfllO Or...a:a:HIlD nO"UOIlHICA Viat N.mr Franch TRES SECRET SECRET DEFENSE CONFIDENTIEL DEFENSE DIFFUSION RESTREINTE.... .. " "Vi.tnam... TOI.M.AT MAT KIN TU Ml4T. INTERNATIONAL TOP SECRET SECRET CONFIDENnAL ORGANIZATION NATO COSMIC TOP SECRET NATO SECRET NATO CONFIDENTIAL Th. NATO ••rm "ATOMAL" r.f.~ to RESTRICTED DATA OR FORMERLY RESTRICTED DATA NATO RESTRICTtD r In ." instanca, for.ign securitY cla..ific.tion ,ystam, .... not ...cdy par."el to tha U.S. ,yat.m and ...ct equival.nt c.... ,ific••ion, cannot b. 't.ted. Th. cl..sificatio", glv." .bov. r.pr.,.nt th. n.ar.,t comp.r.ble designatio"s that a,. uNd to lignify d.gr••, of prot.ction and co"uol ,imllar to tho,. pre,crlbed 'or th. .quivalent U.S. c....ificatiON. "ATOMAL" Inform.tlon Is an ••clu,iva design.tion u..d by HATO to Id.ntlfy "R.strict.d D.t." or "Form.rly A••uiC1ad D..." in'orm.tlon r.I....d by the U.S. Govarnment to NATO, Th.r. i. no Swadl'h,acuri!y c....ific.tion equival.nt to US COHFIDENnAL Accordingly••11 Swadi,h in'orm.tion or mat.. rial rec.lv.d by tha U.S. GOVamment and c....ifi.d HEMLIG will ba sa'egu.rded a. U.S. SECRET: U.S. Information or mate­ rial ...celved by the Swedl.h Government end CLASSIFIED CDNFIDENTIAL will be "'egu.rdad .. HEMUG. DOE 5635.1A 2-12-88 CHAPTER IV

TRANSMISSION OF CLASSIFIED DOCUMENTS IV-l - ,r" \ ,/ r ~J 1. ASSURANCES REQUIRED PRIOR TO TRANSMISSION. Prior to transmitting a classified document, the sender shall ensure that the recipient meets the need-to-know criteria as defined in Attachment 2, possesses prescribed access authorization, and has any reQuired programmatic or special access approval. In addition the sender shall assure that the recipient has an approved classified mailing address, and has approved storage facilities for safeguarding the document. The sender may obtain this information from personnel responsible for the security function of the office in which the recipient is employed, the cognizant DOE Security Office, or from the Director of Safeguards and Security (OP-34). Before handing the classified documents to the recipient, the individual delivering the documents shall ensure that the recipient is identified and authorized to receive such delivery. 2. TRANSMISSION OF SECRET DOCUMENTS. Persons hand-carrying Secret documents shall keep the documents continuously in their possession until stored in approved DOE or contractor repositories. a. Within Facilities. Within facilities Secret documents shall be hand-delivered between DOE employees or contractor employees or others possessing DOE access authorizations appropriate for the level and category of information transmitted. b. Outside Facilities. (l) Secret documents shall be transmitted outside facilities by any method approved for the transmission of Top Secret documents (see Chapter XI). (2) DOE employees or contractor employees may be authorized to hand­ carry Secret documents if they possess an access authorization appropriate for the level and category of information to be transmitted and under the following conditions: (a) The documents are urgently reQuired in the performance of their duties (e.g., an emergency or an unanticipated reQuirement for the document exists). (b) It is not practical to use any of the means of transmission described in paragraphs 2b(3} through (5). -~.-- IV-2 DOE 5635.1A 2-12-88 (c) An authorization memorandum or a completed ODE F 5635.13, "Authority to Hand Carry Classified Matter" (see Attachment IV-l) has been obtained from Heads of Departmental Elements. (3) Secret documents may be transmitted through the following postal services: (a) United States Posta1 Service registered mail within and between the 50 States, the District of Columbia, and Puerto Rico. (b) United States Postal Service registered mail through Army, Navy, or Air Force Postal Service facilities, provided that the approval of DP-34 is obtained and information does not pass out of U.S.-citizen control and does not pass through a foreign postal system. This method may be used in transmitting Secret documents to and from U.S. Government or U.S. Government contractor employees or members of the U.S. armed forces in a foreign country. (c) Unite~ States and Canadian registered mail with registered mail receipt 4n trans~itting documents to and between United States Govern~ent and Canadian Govern~ent insta1latiohs in the 50 States, the District of Columbia, and Canada. (4) Documents m~y be trans~itted to U.S. Government or U.S. Government contractor employees or members of the U.S. armed forces in a