DOE O 5650.2B, Identification of Classified Information

1. PURPOSE. To specify responsibilities, authorities, policy, and procedures for the management of the Department of Energy (DOE) program to identify classified information, documents, or material. i I· 1;0 I I •u.s. Department of Energv Washington, D.C. SUB.IECT: IDENTIFICATION OF CLASSIFIED INFORMATION o ORDER DOE 5650.28 12-31-91 o o 2. CANCELLATION. DOE 5650.2A, CLASSIFICATION OF INFORMATION, of 5-8-85. 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. The Naval Nuclear Propulsion Program is exempt from the provisions of this Order. 4. REFERENCES. a. Atomic Energy Act of 1954, as amended, 42 U.S.C. 2011 et seq. (Atomic Energy Act), which is the basis for procedures for the identification of classified atomic energy information. b. Department of Energy Organization Act of 1977, Public Law 95-91, which created DOE. c. DOE Delegation Order No. 0204-2, of 10-1-77, which authorizes the Assistant Secretary for Defense Programs (DP-1) to direct and administer the DOE classification program, based on the Atomic Energy Act. d. DOE Delegation Order No. 0204-101, of 8-1-82, which authorizes DP-l to direct and administer the DOE information security program, based on Executive Order 12356. e. Energy Reorganization Act of 1974, as amended, Public Law 93-438, which created the Energy Research and Development Administration (ERDA) and the Nuclear Regulatory Commission (NRC). f. Executive Order 10290, "Prescribing Regulations Establishing Minimum Standards for the Classification, Transmission, and Handling, by Departments and Agencies of the Executive Branch, of Official Information which Requires Safeguarding in the Interest of the Security of the United States," of 9-24-51 (superseded by Executive Order 10501). g. Executive Order 10501, as amended, "Safeguarding Official Information in the Interests of the Defense of the United States," of 11-5-53 (superseded by Executive Order 11652), which established requirements concerning classification of defense information. DISTRIBUTION: All Departmental Elements INITIATED BY: Office of Classification 2 DOE 5650.28 12-31-91 h. Executive Order 10964) "Amendment of Executive Order No. 10501 Entitled 'Safeguarding Official Information in the Interests of the J. Defense of the United States)'11 of 9-20-61 (superseded by Executive .. Order 11652), which amended classification requirements of Executive . Order 10501. i. Executive Order 11652) as amended) IIClassification and Declassification of National Security Information and Materials)1I of 3-8-72 (superseded by Executive Order 12065), which provided new requirements concerning classification of information. j. Executive Order 12065, IINational Security Information,1I of 6-28-78 (superseded by Executive Order 12356), which provided new requirements concerning classification of information. k. Executive Order 12356, IINational Security Information)1I of 4-6-82, 3 CFR 166 (1983)) which is the basis for the classification of information other than atomic energy information. 1. Information Security Oversight Office Directive No.1, IINational Security Information)1I of 6-23-82) 32 CFR 2001 (1984), which supplements Executive Order 12356. m. Patent Secrecy Act of 1952) Public Law 82-593) which established authority for imposing secrecy on patents of importance to the national security.

n. Presidential Order, "National Security Information," of 5-7-82, 3 CFR\ Page 257 (1983), in which the President grants original classification ~ authority to specified individuals. o. DOE 1700.1, FREEDOM OF INFORMATION PROGRAM, of 11-19-79, which establishes guidelines and procedures for the processing of requests made to the DOE under the Freedom of Information Act. p. DOE 1800.1A, PRIVACY ACT, of 8-31-84, which establishes gUidelines and procedures for implementing the Privacy Act of 1974 in the DOE. q. DOE 3750.1) WORK FORCE DISCIPLINE, of 3-23-83) which provides guidance and procedures and states responsibilities for maintaining work force discipline in the DOE. r. DOE 4300.28, NON-DEPARTMENT OF ENERGY FUNDED WORK (WORK FOR OTHERS), of 7-16-91) which establishes the policies) responsibilities, and procedures for authorizing and administering non-DOE funded work performed under DOE contracts. J I DOE 5650.2B 12 -31-91 o 3 (and 4) s. DOE 5000.3A, OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS INFORMATION, of 5-30-90, which establishes a system for reporting of operations information related to DOE-owned or -operated facilities and processing that information to provide for appropriate corrective action. t. DOE 5630.8A, SAFEGUARDING OF NAVAL NUCLEAR PROPULSION INFORMATION, of 7-31-90, which outlines disclosure policies and general safeguarding requirements for such information and clarifies the requirements for disposal of material containing Naval Nuclear Propulsion Information. u. DOE 5631.5, VIOLATION OF LAWS, LOSSES, AND INCIDENTS OF SECURITY CONCERNS, of 2-12-88, which sets forth DOE procedures to assure timely and effective action relating to violations of criminal laws, losses, and incidents of security concern to DOE. v. DOE 5635.1A, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION, of 2-12-88, which provides uniform standards and operating procedures for safeguarding and controlling classified documents and information. w. DOE 5650.3, IDENTIFICATION OF UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION, of 2-29-88, which establishes policies and procedures for identifying Unclassified Controlled Nuclear Information (UCNI) and for reviewing and marking documents and material containing UCNI. BY ORDER OF THE SECRETARY OF ENERGY: JOHN J. NETTLES, JR. Director of Administration and Human Resource ~lanagell1ent DOE 5650.2B 12 -31-91 • o TABLE OF CONTENTS CHAPTER I - ABBREVIATIONS, ACRONYMS, AND DEFINITIONS o 1. 2. Abbrevi at ions and Acronyms . Definitions . a. Appointing Official . b. Authorized Classifier . (l) Original Classifier . (2) Deri vat i ve Cl assifi er . c. Authorizing Official . d. Classification . (1) Original Classification . (2 Derivative Classification .. (a) Restricted Data or Formerly Restricted Data . (b) National Security Information . e. Classification Appraisal . f. Classification Authority . (1) Original Classification Authority . (2) Derivative Classification Authority . g. Classification Boards . h. Classification Category . i. Classification Guidance System . j. Classification Guide . k. Classification Level . 1. Classification/Security Markings . m. Classification Officer . (1) Department of Energy Classification Officer . (2) Contractor Classification Officer . n. Classification Policy . o. Classification Potential Categories . (1) Category I . (2) Category 1I .•...•......................................... (3) Category III .

p. Cl ass i fi ed Document . q. Classified Information . r. Confidential . s. Confidential Source . t. Contractor Classification Officer . u. Contractor •.................................................... v• Dec1ass i f i cat ion ................•.............................. (1) Information . (2) Documents or Material ..•.................................. w. Declassification Authority . x. Declassification Event . y. Declassified Document . z. De ny in9 Of f i c; a1 .....•......................................... aa. Departmental Element ....•...................................... (l) Headquarters El ement ." .•.................................. (2) Field Element ..............•.............................. 1-1 1-2 1-2 1-2 1-2 1- 2 1-2 1-2 1-2 1-2 1- 2 1-3 1-3 1-3 1-3 1-3 1-3 1-3 1-3 1-3 1-3 1-3 1-3 1-3 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-4 1-5 1-5 1·5 1-5 1-5 1- 5 1-5 i i bb. cc. dd. ee. ff. gg. hh. ii. jj. kk. ll. mm. nne 00. pp. qq. rr. SSe tt. uu. vV. ww. XX. yy. zz. aaa. bbb. ccc. ddd. eee. fff. ggg. hhh. iii. jjj. kkk. 111. mmm. nnn. 000. ppp. qqq. rrr. sss. ttt. uUU. vvv. www. Department of Energy Classification Officer ................ . Derivative Classification .................................. . Derivative Classification Authority ........................ . Derivative Classifier ...................................... . Derivative Declassifier .................................... . Document ............................................................................................. .. Downgrading ................................................ . Field Element .............................................. . Foreign Government Information ............................. . Formal Report .............................................. . Formerly Restri cted Data ................................... . Government Agency .......................................... . Headquarters Classification Representative ................. . Headquarters Element ....................................... . Information ................................................ . Information Security Oversight Office (ISOO) ............... . Local Classification Guide ................................. . Mand atory Rev i ew ........................................... . Materi a 1 ................................................... . National Security .......................................... . National Security Information .............................. . Naval Nuclear Propulsion Information (NNPI) ................ . Need-to-Know ............................................... . Non-DOE Funded Work ........................................ . Official Information ....................................... . Official Use Only .......................................... . Original Classification .................................... . Original Classification Authority .......................... . Original Classifier ........................................ . Policy Guide ............................................... . Portion Marking ............................................ . Program Classification Guide ............................... . Reclassification ........................................... . Remark i ng .................................................. . Research and Development Activity Categories ............... . Responsible Reviewers ...................................... . Restri cted ................................................. . Restricted Data ............................................ . Sanitizing ................................................. . Secret ..................................................... . Sensitive Compartmented Information ........................ . Source Document ............................................ . Subcontractor .............................................. . Systemat; c Revi ew .......................................... . Systematic Review Guidelines ............................... . System Manager ............................................. . Technical Evaluation Panel ................................. . Top Secret .......•..........................................

DOE 5650.28 12-31-91 t Page J~ 1-5 1-5 1-5 1-5 1-5 1-5 1-6 1-6 1-6 1-6 1-6 1-6 1-6 1-6 1-6 1-7 1-7 1-7 1-7 1-7 1-7 1-7 1-7 1-7 1-8 1-8 1-8 1-8 1-8 1-8 1-8 1-8 1-8 1-8 1-8 1-8 1-9 1-9 1-9 1-9 1-9 1-9 1-9 1-9 1-9 1-9 1-10 1-10 J f DOE 5650.2B 12-31-91 • o iii Page xxx. Transclassification..... .•..... 1-10 yyy. Unclassified •.... ........•...................... 1-10 zzz. Unclassified Controlled Nuclear Information.................... 1-10 aaaa. Upgradi ng ..•................................................... 1-10 bbbb. Visual Materials 1-10 CHAPTER II - RESPONSIBILITIES AND AUTHORITIES PART A - HEADQUARTERS II-1 1. Secretary 11 1 2. Director of Security Affairs 11-1 3. Director of Intelligence II-I 4. Director of Classification 11-2 a. General Responsibilities and Authorities 11-2 b. Responsibilities and Authorities Derived from Executive Order 12356 •...•...................................... 11-4 5. Heads of Headquarters Elements 11-5 6. Headquarters Classification Representatives 11-7 7. Department of Energy Employees .....•................. 11-7 PART C - QUALIFICATIONS AND APPOINTMENTS 11-13 1. Authorized Classifiers .........................•...................... 11-13 2. Authorized Declassifiers ...............•.............................. 11-13 3. Classification Officers (Field Element and Contractor) .. 11-13 a. Qualifications... ......•.......................................... 11-13 b. Appoi ntment ............•...•...................................... I I-13 4. Headquarters Class i fi cat ion Representat ives II -13 a. Qualifications. 11-13 b. Appointment........... .•............. 11-13 5. Responsible Reviewers 11-13 a. Qualifications 11-13 b. Appointment 11-13 o o PART B - FIELD ELEMENTS AND CONTRACTOR ORGANIZATIONS . 1. He ads of Fie1d El ements •.............................................. 2. Field Element and Contractor Classification Officers . 3. Responsible Reviewers _ 01 •••••••••••• 11 ••••••••• 4. Field Element and Contractor Employees . CHAPTER III - POLICY AND OBJECTIVES 1. Genera1 " ".. " .. "" .. """ .. 2. Restri cted Data and Formerly Restri cted Data ...•..................... 3. National Security Information ..•...........•......................... 4. Limitations on Classification of National Security Information . 5. Classification of Documents Received from Foreign Governments or International Organizations ...•..................... 6. Challenges to Classification .......•................................. II -9 II -9 II-ll II-ll II -12 II 1-1 II I-} II I-I I II-2 II 1-2 II 1-3 iv DOE 5650.2B 12-31-91 CHAPTER IV - CLASSIFICATION CRITERIA AND LEVELS PART A - CRITERIA FOR CLASSIFICATION ............................. IV-I 1. Restricted Data and Formerly Restricted Data ................. IV-I 2. National Security Information ................................ IV-I a. Criteria for Classification .............................. IV-I b. Unofficial Publication or Inadvertent or Unauthorized Disclosure ................................ IV-2 PART B - LEVEL OF CLASSIFICATION .......•......................... IV-3 1. Classification Levels ........................................ IV-3 a. Top Secret............................................... IV-3 b. Secret. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-3 c. Confidential ............................................. IV-3

2. Use of the Term "Unclassified" ............................... IV-3 3. Mosaic Compilation ........................................... IV-3 CHAPTER V - CLASSIFICATION OF INFORMATION AND DOCUMENTS PART A - CLASSIFICATION AUTHORITIES .............................. V-I 1. General ...................................................... V-I 2. Types of Classification Authority ............................ V-I a. Original Classification Authority ........................ V-I b. Derivative Classification Authority ...................... V-I 3 . Except; ons ................................................... V-I a. Temporary Classification ................................. V-I b. Freedom of Information Act or Privacy Act Requests ........................................... V-I 4. Original Classification Authority ............................ V-2 a. Restricted Data and Formerly Restricted Data ............. V-2 b. National Security Information ............................ V-2 c. Qualifications ........................................... V-2 d. Designation.............................................. V-2 e. Cancellation ............................................. V-3 f. Recordkeeping Requirements ............................... V-3 g. Authority Definition..................................... V-3 (I) Information......................................... V-3 (2) Documents or Material ............................... V-4 (3) Reporting Requirements .............................. V-4 5. Derivative Classification Authority .......................... V-4 a. Applicability ............................................ V-4 b. Qualifications ........................................... V-4 c. Headquarters. . . . . . . . . . . . . .• . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V -4 d. Field ......................................... " ...... "",, .. ,,""""""" V-4 e. Designation.............................................. V-5 f. Cancellation" .... ""." ....... " .. """" ..... ,,"",,.,,""""""""""" V-5 g. Recordkeeping Requirements ............................... V-6 h. Reporting Requirements ................................... V-6 i. Authority Definition ..................................... V-6 J • DOE 5650.2B 12-31-91 • o v PART B - CLASSIFICATION GUIDANCE . 1. Types of Classification Guidance . a. CG-C-2, "Classification Policy Guide" . (I) Originator/Source of Authority . (2) Purpose . (3) Users . b. "Guide to the Declassified Areas of Nuclear Energy Research U .. (I) Originator/Source of Authority . (2) Purpose .....•................................................. (3) Users .. c. Program/Topical Classification Guides . (I) Originator/Source of Authority . (2) Purpose •....•................................................. (3) Users .. d. Classification Bulletins . (I) Originator/Source of Authority . (2) Purpose .. (3) Users " .. e. Local Classification Guides . (I) Originator/Source of Authority . (2) Purpose . (3) Users . 2. Use of Program and Local Classification Guides . a. General . b. Classification Level/Category . c. Duration of Classification . d. Other Information . 3. Conversion of Declassification and Review Dates . 4. Requirement for Periodic Review of Classification Guides . 5. Classification Guide List Review . 6. Distribution of Local Guides to Director of Classification . 7. Index of Classification Guides . 8. Classification Guidance for Non-DOE-Funded Work . 9. Classifi~ation Guidance for Jointly Funded Work .

10. Classification Guidance for DOE-Funded Work at Non-DOE Facilities . Page V-7 V-7 V-7 V-7 V-7 V-7 V-7 V-7 V-7 V-7 V-7 V-7 v-a v-a v-a v-a v-a v-a v-a v-a v-a V-9 V-9 V-9 V-9 V-9 V-9 V-9 V-9 V-10 V-IO V-10 V-10 V-IO V-11 c PART C - CLASSIFICATION/SECURITY MARKINGS V-13 1. General V-13 2. Classification Authority ~. V-l3 a. Restricted Data or Formerly Restricted Data V-13 b. National Security Information Only V-14 (I) Originally Classified V-14 (2) Derivatively Classified V-14 (3) More Than One Classification Source V-I4 b. Official Use Only . 5. Port i on Mark i ng . 6. Sanitized Documents and Extracts . 7. Mosaic Compilation . 3. Duration of Classification . a. Restricted Data or Formerly Restricted Data . b. National Security Information Only . (1) Originally Classified . (2) Derivatively Classified ...•.............................. 4. Obsolete Markings . a", Res tri cted '" '" . vi o DOE 5650.2B ll-.H-:l1 Page V-14 V-I4 V-14 V-I5 V-I5 V-I6 V-16 V-I6 V-16 V-I7 V-I7 • '. PART D - UPGRADING.................................................... V-I9 1. Authority to Upgrade the Classification of Information and Documents I •••• a. Information . (1) Restricted Data and Formerly Restricted Data . (2) National Security Information . b. Documents or Materi a1 . 2. Procedures for Upgrading the Classification of Information and Documents . a. Notification of Upgrading . (1) Information . (2) Documents or Material . (a) Content of Notices . (b) Formal Reports . (c) Forwarding of Notices . b. Marking of Upgraded Documents . V-I9 V-19 V-19 V-19 V-19 V-19 V-I9 V-19 V-19 V-19 V-20 V-20 V-20 PART E - RECLASSIFICATION............................................. V-21 1. Authority to Reclassify Information and Documents V-21 a. Information................................................... V-2I (1) Restricted Data and Formerly Restricted Data V-2I (2) National Security Information V-21 b. Documents or Material V-21 2. Procedures for Reclassifying Information and Documents V-21 a. Notification of Reclassification V-2I (1) Information. . . . .. .. . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-2I (2) Documents or Material V-21 (a) Content of Notices •...................... V-21 (b) Forwarding of Notices V-22 b. Marking of Reclassified Documents V-22 PART F - CLASSIFICATION STATUS OF RESEARCH AND DEVELOPMENT ACTIVITIES ..............•........................................... 1. General . 2. Authorities for Designated Classification Status . a. Defining Authority ., . b. Designating Authority . c. Delegation ., ., ., .,., . V-23 V-23 V-23 V-23 V-23 V-23 f' DOE 5650.28 12-31-91 o o vii Procedural Requirements for Evaluating Classification Potential and Designating Classification Status . a. Evaluation Procedures . b. Schedules . c. HQ El ement Recordkeepi ng . d. Field Coordination . e. Local Classification Office Recordkeeping . 4. Appointments and Review Requirements . a. Appoi ntments ....•.................................................. b. Guides <I <I .. <I <I • ...... "' "' <I •• c. Reviews .. d. Changes in Status ........•......................................... 5. Report i ng Requ i rements . 6. Local Cla~sification Office Review . V-24 V-24 V-24 V-24 V-24 V-24 V-24 V-24 V-25 V-25 V-25 V-25 V-25 o o PART G - CLASSIFICATION REVIEW OF NEWLY GENERATED DOCUMENTS ,. V-21 1. General V-27 2. Documents Originated by Departmental Elements or Departmental

Contractor Personnel V-27 a. Documents That Concern Category I Activities V-27 b. Documents That Concern Category II or Category III Activities .. , V-27 c. Documents Intended For Widespread Distribution or Public Release V-28 d. Oral Presentations V-28 3. Documents Originated by Other than Departmental Elements or Departmental Contractor Personnel V-28 a. Documents Written by Persons with Active Security Clearances V-28 b. Documents Written by Persons Who Have Had But No Longer Have a Security Clearance V-28 c. Documents Originated by Persons Who Never Had a Secur; ty Cl earance <I \I II. '" '" ., , <I •• <I \I V.. 28 4. Review of Documents (Patent Applications and Reports) Referred Under Section 151 of the Atomic Energy Act V-28 5. Waiver of Review Requirements ....................................•..... V-29 CHAPTER VI - DECLASSIFICATION AND DOWNGRADING PART A - AUTHORITY FOR DECLASSIFICATION AND DOWNGRADING VI-l 1. Information VI-l a. Restricted Data and Formerly Restricted Data VI-l b. National Security Information VI-l 2. Documents or Material VI-l a. General e ". VI-! b. Derivative Declassification Authority VI-l (1) Qualifications VI-l (2) Designation................................................... VI-l (3) Cancellation ............................................•..... VI-2 (4) Recordkeeping Requirements VI-2 (5) Authority Definition.......................................... VI-2 viii DOE 5650.2B ') 12-31-91 , PART B - AUTOMATIC DECLASSIFICATION AND DOWNGRADING ................... . Page J' VI -5 1. Restricted Data and Formerly Restricted Data ...................... . VI-5 2. National Security Information ..................................... . VI-5 a. Documents Classified Pursuant to Executive Order 10290 ........ . VI -5 b. Documents Classified Pursuant to Executive Order 10501 (as amended by Execut he Order 10964) ...................... .. VI-5 (1) Groups 1 and 2 ........................................... . VI-5 (2) Group 3 ......................................................... . VI-5 ( 3 ) G rou p 4 .............................................................. . VI-5 c. Documents Classified Pursuant to Executive Order 11652 ........ . VI-5 (I) Advanced Declassification Schedule ....................... . VI-5 (2) General Declassification Schedule ........................ . VI-5 (3) Documents Marked as Exempt from the General Declassification Schedule .............................. . VI-5 d. Documents Classified Pursuant to Executive Order 12065 ........ . VI -5 e. Documents Classified Pursuant to Executive Order 12356 ........ . VI -6 PART C - REVIEW OF DOCUMENTS FOR DECLASSIFICATION OR DOWNGRADING ...... . VI-7 1. General ........................................................................................................ .. VI-7 2. Review by Derivative Declassifiers ................................ . VI -8 3. Review by Original Classifiers .................................... . VI -8 4. Large-Scale Reviews ............................................... . VI -8 5. Patent Application Review ......................................... . VI-IO 6. Reviews Pursuant to Executive Order or Statute .................... . a. Executive Order 12356 ......................................... . (I) Mandatory Review for Declassification .................... . VI-I0 J VI -10 VI-IO (a) Conditions for Request .............................. . VI-IO (b) Invalid Requests .................................... . VI -11 (c) Valid Requests ...................................... . VI -11 (d) Appeals of Denials of Mandatory Declassification

Review Requests ................................... . VI-12 (2) Systematic Review by the Archivist of the United States .. . VI-12 (a) Systematic Review Guidelines ........................ . VI-12 (b) Assistance to the Archivist ......................... . VI-12 (c) Internal Systematic Review Programs ................. . VI-12 b. Freedom of Information Act .................................... . VI -13 (I) Denial Authority ......................................... . VI-13 (2) Review ................................................................................................... .. VI-13 (3) Appeals of Denials of Requests Pursuant to FOIAs ......... . VI-13 (a) Authority ........................................... . VI-13 (b) Analytical Support .................................. . VI-13 (4) Foreign Government Information ........................... . VI-13 c. Privacy Act of 1974 ........................................... . VI-13 ( 1 ) Re vi ew ................................................................................. It .............. .. VI-13 (2) Appeals of Denials of Requests Pursuant to the Privacy Act ..................................................................................... .. VI-13 d. Confirmation of Existence of Requested Documents .............. . VI-14 1. Other Reviews by the Office of Classification ..................... . VI-14 a. Centralized Categorical Reviews ............................... . VI-14 b. Priority Reviews .............................................. . c. Reviews Upon Termination of Employment ........................ . VI-14 J VI-14 DOE 5650.28 12-31-91 o o ix - '0 8. Departmental and Contractor Review Responsibility . a. Originating Departmental Element or Contractor Organization . b. Departmental Element or Contractor Organization with Programmatic Interest in a Document .. c. Director of Classification . d. External Coordi nat ion . 9. Reproduction for Declassification Review . PART D - NOTIFICATION OF DECLASSIFICATION OR DOWNGRADING . 1. General . a. Top Secret Documents . b. Secret and Confidential Documents . c. Documents Sent to the Office of Scientific and Technical Information ...•....................................... d. Forwardi ng of Not ices . 2. Declassification Notices . PART E - RE-MARKING DECLASSIFIED OR DOWNGRADED DOCUMENTS . 1. General . 2. Removal or Cancellation of Classification Markings from Documents . 3. Automatic Declassi fication . VI-I4 VI-I4 VI-I4 VI-I4 VI-IS VI-IS VI-I? VI-I? VI -17 VI-I? VI-I? VI-I? VI -17 VI-I9 VI-I9 VI-I9 VI-I9 ~ CHAPTER VII - EDUCATION 1. Objective............................................................. VI I-I 2. Education Programs VII-I a. Initial Classification Education VII-I b. ContinUing Education.............................................. VII-I c. Classifier or Declassifier Training and Certification VII-I d. Special Briefings. VII-2 3. Other Classification Education Methods VII-2 4. Private Organizations and Individuals VII-2 CHAPTER VIII - CLASSIFICATION APPRAISALS 1. Policy . 2. Objectives . 3. Standards and Procedures . a. Appraisal Guidance and Instructions . b. Scope of Appraisals . (1) Management Awareness . (2) Management Support . (3) Practices . (4) Classification Guidance . (5) Education Program . (6) Classification Board . (7) Classifying and Declassifying Officials . (8) Declassification . VIII-l VIII-l VIII-l VIII-I VII 1-1 VIII-l VIII-l VIII-2 VIII-2 VIII-2 VIII-2 VIII-2 VIII-2

x DOE 5650.28 12-31-91 Page (9) Apprai sal s .....•...•...•.................................. VI I 1-2 (10) Other Classifying Organizations ........................... VIII-2 (11) Non-nuclear Programs ...................................... VIII-2 c. Frequency of Appraisals ••...................................... VIII-2 d. Visits .............•............•.............................. VIII-3 e. Appraisal Reports ....•....•.................•.................. VIII-3 f . F 0 11 owu p ........................................................................................... V I I I -4 CHAPTER IX - VIOLATIONS AND INFRACTIONS I. Violations .•............•.......................................... IX-I a. Atomic Energy Act of 1954, as amended .......................... IX-l b. Executive Order 12356 .......................................... IX-I 2. Infractions .................................................................................. "'........ IX-2 3. Report i n9 Requ i rements ............................................. I X -2 a. Incidents of Significant Security Concern...................... IX-2 b. Other Violations and Infractions of Security Concern ........ '" IX-2 4. Corrective Actions................................................. IX-2 CHAPTER X - REFERENCES AND OPERATING PROCEDURES PART A - ATOMIC ENERGY ACT EXCERPTS .....•............................. 1. General .......................................................... . 2. Declassification and Transclassification ......................... . PART B - EXECUTIVE ORDER 12356 AND DIRECTIVE NO.1 ................... . 1. Executive Order 12356 ............................................ . 2. 32 eFR Part 2001 (Directive No.1) ............................... . PART e - SUMMARY OF SPECIFIC POWERS OF CLASSIFIERS AND DECLASSIFIERS .. Figure X-I - Powers of Classification/Declassification Authorities .... PART D - ORIGINAL CLASSIFICATION OF NATIONAL SECURITY INFORMATION .... . 1. Authori ty ........................................................ . 2. Procedures ............................................•........... 3. Report i ng Requ i rements ..•...........•............................. figure X-2 - Original Classification of National Security Information ............................................................................................................ .. PART E - DERIVATIVE CLASSIFICATION DETERMINATIONS .................... . 1. Author; ty ....................................................................................... . 2. Procedures ....................................................... . Figure X-3 - Derivative Classification of Document or Material ....... . PART F - DURATION OF CLASSIFICATION CONVERSION TABLE ................. . Figure X-4 - Duration of Classification Conversion Table ............. . X-I X-I X-I X-3 X-3 X-I5 X-23 X-23 X-25 X-25 X-25 X-27 X-28 X-29 X-29 X-29 X-32 X-33 X-33 , ..., J PART G - DETERMINATION OF THE CLASSIFICATION OF DOE RESEARCH AND DEVELOPMENT ACTIVITIES X-35 1. Restricted Data/Formerly Restricted Data X-35 2. National Security Information......................................... X-36 3. Determination of Program Classification Status Category............... X-37 Figure X-5 - R&D Activity Classification Status Step 1 - Restricted Data/Formerly Restricted Data X-38 Figure X-6 - R&D Activity Classification Status Step 2 - National Security Information X-39 Figure X-7 - R&D Activity Classification Status

Step 3 - Determination of Classification Status Category.... X-40 ATTACHMENT X-I - Request for Classification/Declassification Authority....................................................... Attachment X-I ATTACHMENT X-2 - Notification of Cancellation(s) of Classification/Declassification Authority Attachment X-2 ATTACHMENT X-3 - Report of Original Classification Determination................................................... Attachment X-3 I j ~ j .I J - f . C·P,""I .. I I I I DOE 5650.28 12-31-91 • o xi (and xi i) DOE 5650.2B • 0 I-I 12-31-91 '0 CHAPTER I ABBREVIATIONS. ACRONYMS. AND DEFINITIONS l. ABBREVIATIONS AND ACRONYMS. a. ADC - Authorized Derivative Classifier. b. C - Confidential. c. CGS - Classification Guidance System. d. 06 - Downgrade in 6 years. e. 08 - Downgrade in 8 years. f. 010 - Downgrade in 10 years. g. DOD - Department of Defense. h. DOE - Department of Energy. i. DP-l Assistant Secretary for Defense Programs. j. SA-l Director of Security Affairs. 0 k. SA-IO - Director of Safeguards and Security. l. SA-20 - Director of Classification. m. EO - Executive order. n. FOIA - Freedom of Information Act. o. FRD - Formerly Restricted Data. p. GC-42 - Assistant General Counsel for Patents. q. GDS - General Declassification Schedule. r. HQ - Headquarters. s. ISOO - Information Security Oversight Office. t. NNPI - Naval Nuclear Propulsion Information. u. NSI - National Security Information. v. OADR - Originating Agency's Determination Required. w. OUO - Official Use Only. 1-2· x. RD - Restricted Data. y. R&D - Research and Development. z. REV20 - Review in 20 years. aa. REV30 - Review in 30 years. bb. S - Secret. cc. SCI - Sensitive Compartmented Information. dd. TS - Top Secret. ee. UCNI - Unclcssified Controlled Nuclear Information. ff. XGDS - Exempt from the General Declassification Schedule. 2. DEFINITIONS. DOE 5650.2B 12-31-91 a. Appointing Official. A DOE Headquarters, Field Element, or contractor official authorized by SA-20 to designate individuals as having various classification and declassification authorities. b. Authorized Classifier. A term used to identify either an Original Classifier or a Derivative Classifier. (1) Original Classifier. An individual authorized to classify National ~ Security Information (NSI) by an original determination based on Executive Order 12356, where no specific guidance exists. (2) Derivative Classifier (also referred to as Authorized Derivative Classifier or ADC). An individual authorized to determine that documents or material are (a) unclassified or (b) classified as Restricted Data (RD), Formerly Restricted Data (FRO), or NSI in accordance with existing guidance or source documents. c. Authorizing Official. See "Denying Official," paragraph 2z, below. d. Classification. (1) Original Classification. The initial determination that information requires protection as NSI under the provisions of Executive Order 12356. Includes the specification of a classification level and the classification duration. (2) Derivative Classification. (a) Restricted Data or Formerly Restricted Data. A determination in accordance with approved classification guidance or source documents that a document or material contains RD or FRO. ~ (b) National Security Information. A determination in accordance with approved classification guidance, source documents, or instructions from an Original Classifier that a document or material contains NSI.

DOE 5650.2B 12-31-91· • • o o e. Classification Appraisal. A systematic evaluation performed to determine how well a Headquarters, field, or contractor classification program complies with the requirements of this Order. f. Classification Authority. (1) Original Classification Authority. Authority to originally classify information as NSI. (2) Derivative Classification Authority. Authority to derivatively classify documents or material as RD, FRO, or NSI. g. Classification Board. A committee appointed by Heads of Field Elements or prime contractor organizations or Classification Officers to assist them in discharging their classification and declassification responsibilities. h. Classification Category. One of the three kinds of classified information (i .e., RD, FRO, or NS 1) . i. Classification Guidance System. An indexed, free text, automated search system that contains DOE classification gUides. j. Classification Guide. A document containing explicit classification guidance for the use of Authorized Classifiers and Derivative Declassifiers in making classification and declassification determinations. k. Classification Level. One of the three terms which indicate the sensitivity of classified information (i.e., Top Secret, Secret, Confidential). 1. Classification/Security Markings. Stamps or markings applied to classified documents or material to indicate, among other things, the classification category of information contained therein (i.e., RD, FRO, or NSI), the classification level (i .e., Top Secret, Secret, or Confidential), and other markings required in this Order and DOE 5635.IA. m. Classification Officer. (1) Department of Energy Classification Officer. One appointed by SA-20, or by the Head of a Field Element with SA-20 approval, to administer its classification program and oversee or monitor the classification programs of contractor organizations under its jurisdiction. 1-4 (2) DOE 5650.2B 12-31-91 Contractor Classification Officer. One appointed by the head of a ~ . contractor organization, with Field Element and SA-20 approval, to .~ administer a contractor's classification program and oversee or monitor the classification programs of subcontractor organizations under its jurisdiction. n. Classification Policy. DOE policy on classification, transclassification, downgrading, and declassification of information under its purview. o. Classification Potential Categories. (1) Category I: An activity with virtually no potential for using or generating classified information. (2) Category II: An activity with the potential for using or generating classified information. (3) Category III: An activity with great potential for using or generating classified information. p. Classified Document. Any document containing classified information. q. Classified Information. Certain information that the U.S. Government has determined, pursuant to an Executive order, statute, or regulation, requires protection against unauthorized disclosure for reasons of national security (i.e., RD, FRO, and NSI). r. Confidential. The lowest classification level applied to information whose unauthorized disclosure could reasonably be expected to cause damage to the national security. s. Confidential Source. Any individual or organization that has provided, or that may reasonably be expected to provide, information to the United States on matters pertaining to the national security with the expectation, expressed or implied, that the information or identity of the source, or both, will be held in confidence.

t. Contractor Classification Officer. See "Classification Officer," paragraph 2m(2), above. u. Contractor. A person or entity that is a party to a contract with the DOE, including subcontractors of any tier, consultants, agents, grantees, and cooperative agreement participants. v. Declassification. (I) Information. A determination by appropriate authority in accordance with approved classification policy that information is no longer classified; or (2) Documents or Material. A determination by appropriate authority in accordance with approved classification guidance that a document or material no longer contains classified information. I DOE 5650.28 12-31-91 • o 1-5 1 o o w. Declassification Authority. Authority to determine that (1) information or (2) documents and material may be declassified and to effect such declassification. x. Declassification Event. An event that eliminates the need for continued classification. y. Declassified Document. A previously classified document that (1) has been declassified in accordance with approved guidance and from which the classification markings have been removed or cancelled or (2) is marked for declassification at a specific time/event and that time/event has passed. z. Denying Official. A DOE official authorized to make initial determinations for DOE to deny, in whole or in part, requests for records under the FOIA as defined in DOE 1700.1. For classified information, SA-I is the Denying Official. aa. Departmental Element. A Headquarters (HQ) Element or a Field Element. (1) Headquarters Element. A DOE HQ organization headed by a Secretarial Officer. (2) Field Element. One of the Departmental elements located outside the Metropolitan Washington area. bb. Department of Energy Classification Officer. See "Classification Officer," paragraph 2m(I), above. cc. Derivative Classification. See "Classification," paragraph 2d(2), above. dd. Derivative Classification Authority. See Classification Authority," paragraph 2f(2), above. ee. Derivative Classifier. See "Authorized Classifier," paragraph 2b(2), above. ff. Derivative Declassifier. One authorized to downgrade and declassify documents or material in specified areas. gg. Document. Any record of information regardless of physical form or characteristics, including, but not limited to, the following: (1) All handwritten, printed, or typed matter; (2) All painted, drawn, or engraved matter; (3) All sound, magnetic, electromechanical, or optical recordings; (4) All photographic prints, exposed or developed film, and still or motion pictures; (5) Automatic data processing input, memory, program, or output information or records such as punch cards, tapes, memory drums or disks, or visual displays; and 1-6 hh. DOE 5650.28 12-31-91 (6) All reproductions of the foregoing by any process. Downgrading. A determination by appropriate authority that (1) information may be handled at a level lower than the original classification level or (2) documents or material may be handled at a level and/or category lower than the original classification level and/or category. In either case, the revised classification level shall not be lower than Confidential. J ii. Field Element. See "Departmental Element," paragraph 2aa(2), above. jj. Foreign Government Information. (I) 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

(2) Information produced by the United States pursuant to or as a result of a joint arrangement with a foreign government(s) or an international organization of governments, or any element thereof, requiring that the information, the arrangement, or both, are to be held in confidence. kk. 11. Formal Report. A formal topical or progress report distributed in accordance with specific categories of the Standard Distribution Lists DOE/TIC-4500 for unclassified information and M-3679 for classified information, and by other lists as designated by the Manager of the Office of Scientific and Technical Information. Formerly Restricted Data. Classified information jointly determined by SA-I and the DOD to be related primarily to the military utilization of atomic weapons, and removed by SA-I from the RD category pursuant to section 142d of the Atomic Energy Act. J mm. Government Agency. Any executive department, commission, independent establishment, or corporation, wholly or partly owned by the United States of America, 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. nn. Headquarters Classification Representative. An individual appointed by his or her element to serve as the point of contact with SA-20 on classification policies and procedures, and to assist others in their element with classification and declassification responsibilities and authorities. 00. Headquarters Element. See "Departmental Element," paragraph 2aa(I), above. pp. Information. Facts, data, or knowledge itself, rather than the medium of its conveyance. (Documents or material are deemed to conveyor contain information and are not considered to be information per se.) J qq. Information Security Oversight Office (ISOO). An organization within the General Services Administration responsible for implementing and monitoring the information security program prescribed in Executive Order 12356. The National Security Council provides overall policy direction for this program. rr. Local Classification Guide. A classification guide prepared and issued by DOE or a DOE contractor organization and approved by the DOE for a specific facility or activity. It is based on one or more program classification guides and provides detailed classification guidance. ss. Mandatory Review. A declassification review that can be initiated or requested by a member of the public, a Government employee, or another Government agency pursuant to Executive Order 12356 and this Order. tt. Material. Any substance regardless of its physical or chemical form (e.g., chemicals, raw materials, fabricated or processed items, machinery, or equipment). uu. National Security. The national defense and foreign relations of the United States. DOE 5650.28 12-31-91 • 1-7 o vv. National Security Information. Information that has been determined pursuant to Executive Order 12356 or any predecessor order to require protection against unauthorized disclosure and that is so designated.

ww. Naval Nuclear Propulsion Information (NNPI). Information, 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 and prototypes, including the associated nuclear support facilities. Information concerning equipment, components, or technology which are applicable to both naval nuclear and conventional propulsion plants is not considered to be NNPI when used in reference to conventional applications only, provided no association with naval nuclear propulsion can be directly identified from the information in question. In cases where an association with naval nuclear propulsion can be directly identified from the information in question, designation of the information as NNPI is mandatory. More specific guidance on what constitutes NNPI will be provided on a case-by-case basis by the Deputy Assistant Secretary for Naval Reactors, or his delegate, upon request by those Departmental Elements requiring it. Some unclassified NNPI is also Unclassified Controlled Nuclear Information, as described in DOE 5630.8A. xx. Need-to-Know. A determination by a person having responsibility for classified information or material that a proposed recipient's access to such classified information or matter is necessary in the performance of official or contractual duties of employment. yy. Non-DOE Funded Work. Any work performed for non-DOE entities that utilize DOE facilities or contractor personnel and is not directly funded in whole or in part by DOE. 1-8 DOE 5650.28 12-31-91 zz. Official Information. Any information, regardless of its physical form or J .. ' characteristics, that is owned by, produced by or for, or under the control of the United States Government. aaa. Official Use Only. (1) A designation identifying certain unclassified but sensitive information that may be exempt from public release under the FOrA; or (2) A former (7-18-49 through 10-22-51) security classification marking. bbb. Original Classification. See "Classification," paragraph 2d(1), above. ccc. Original Classification Authority. See "Classification Authority," paragraph 2f(1), above. ddd. Original Classifier. See "Authorized Classifier," paragraph 2b(1), above. eee. Policy Guide. A guide by which SA-l approves basic DOE policy statements on the classification and declassification of all DOE nuclear-related information. fff. Portion Marking. The application of NSI classification markings to individual words, phrases, sentences, or paragraphs of a document to indicate their specific classification. ggg. Program Classification Guide. A guide that states specific classification ~ policy for a particular DOE program and provides the basis for the ~ development of local guides. hhh. Reclassification. Restoration of classification to information previously classified as NSI and then declassified. iii. Remarking. The removal, cancellation, or alteration; i.e., downgrading, upgrading, or declassification, of classification markings on a document or material. jjj. Research and Development Activity Categories. (1) Category I: An activity with virtually no potential for using or generating classified information. (2) Category II: An activity with the potential for using or generating classified information. (3) Category III: An activity with great potential for using or generating classified information.

kkk. Responsible Reviewers. Those apPointed to advise Field Element and contractor Classification Officers and SA-20 on matters in their fields of professional expertise. DOE 5650.2B 12-31-91 • • 1-9 o o 111. Restricted. (1) A former U.S. security classification marking (prior to 12-15-53); or (2) An active security classification marking used by some foreign governments and international organizations. mmm. Restricted Data. All data concerning the following, but not including data declassified or removed from the RD category pursuant to section 142 of the Atomic Energy Act: (1) Design, manufacture, or utilization of atomic weapons; (2) Production of special nuclear material; or (3) Use of special nuclear material in the production of energy. nnn. Sanitizing. The physical removal of both classified and unclassified but controlled information from a document, usually for the purpose of making the document eligible for release to the public. 000. Secret. The classification level between Confidential and Top Secret applied to information whose unauthorized disclosure could reasonably be expected to cause serious damage to the national security. ppp. Sensitive Compartmented Inform~tion. Classified information concerning or derived from intelligence sources, methods, or analytical processes, which is required to be handled within formal access control systems established by the Director of Central Intelligence. qqq. Source Document. A classified document, other than a classification guide, from which information is extracted for inclusion in another document. The classification of the information extracted is determined by the classification markings shown in/on the source document. rrr. Subcontractor. See "Contractor," paragraph 2u, above. sss. Systematic Revie~. The classification review under Executive Order 12356 in which the Archivist of the United States, acting under the Federal Records Act, determines which National Security Information records and Presidential papers are of sufficient historical value or other value to warrant permanent retention. ttt. Systematic Review Guidelines. Guidelines required by Executive Order 12356 for identifying NSI or documents containing NSI that may not be declassified automatically by the National Archives at 30 years. uuu. ~ystem Manager. The DOE official responsible for a DOE system of records, as designated in the system notice of that system published by DOE in the "Federal Register," in accordance with the provisions of the Privacy Act of 1974. 1-10 DOE 5650.2B 12-31-91 vvv. Technical Evaluation Panel. A panel of technical experts appointed to advise SA-Ion the technical aspects of information under the cognizance of ~ . SA-20. ~ www. Top Secret. The highest classification level applied to information whose unauthorized disclosure could reasonably be expected to cause exceptionally grave damage to the national security. xxx. Transclassification. (I) Restricted Data to Formerly Restricted Data. The removal of information from the RD category by jOint determination with the Department of Defense and its placement in the FRD category in accordance with section 142d of the Atomic Energy Act. This information is primarily related to utilization of atomic weapons and can be adequately safeguarded as defense information.

(2) Restricted Data to National Security Information. The removal of information from the RD category by joint determination with the Director of Central Intelligence and its placement in the NSI category in accordance with section 142e of the Atomic Energy Act. This information can be adequately safeguarded as defense information. yyy. Unclassified. The designation for information, a document, or material that has been determined not to be classified or that has been declassified by proper authority. zzz. Unclassified Controlled Nuclear Information. Certain unclassified ~ Government information prohibited from unauthorized dissemination under ~ section 148 of the Atomic Energy Act and DOE 5650.3. aaaa. Upgrading. Raising the classification level and/or category of (I) information or (2) documents or material, including correction of classification on such items erroneously issued as unclassified or at too low a classification level or category. bbbb. Visual Materials. Graphic devices such as photographs, motion pictures, slides, artists' concepts, engineering drawings, plant layouts, plots, plans, and maps. J •DOE 5650.2B 12-31-91 1. SECRETARY (S-I). • CHAPTER II RESPONSIBILITIES AND AUTHORITIES PART A - HEADQUARTERS 11-1 a. Originally classifies NSI up to and including Top Secret. b. Delegates Top Secret Original Classification Authority to those principal subordinates who frequently need to exercise such authority. c. Requests interpretations of Executive Order 12356 from the Attorney General for any question arising in the course of its administration pursuant to section 6.2(b) of Executive Order 12356. 2. DIRECTOR OF SECURITY AFFAIRS (SA-I). a. Oversees the implementation of the classification and declassification provisions of the Atomic Energy Act and Executive Order 12356. b. Approves basic DOE policy on the classification and declassification of RD, FRO, and NSI; approves the "Classification Policy Guide for Nuclear Programs II and other formal statements of DOE classification policy. c. Declassifies and transclassifies RD and declassifies FRD in accordance with ~ sections 142a, c, d, and e of the Atomic Energy Act. d. Reclassifies NSI previously declassified and disclosed, in accordance with section 1.6(c) of Executive Order 12356. e. Assures DOE implementation of the classification and declassification provisions of the Atomic Energy Act and Executive Order 12356. f. Determines which categories of information, in addition to those in section 1.3(a) of Executive Order 12356, are related to the national security and require protection against unauthorized disclosure. g. Grants and revokes waivers of the requirement to portion mark documents containing NSI only. h. Grants and revokes waivers of the requirement to prepare classification gUides in areas concerning NSI for specified classes of documents and information. i. Appoints members and consultants to the Technical Evaluation Panel (TEP). 3. DIRECTOR OF INTELLIGENCE (IN-I). a. Serves as the Senior Intelligence Officer for DOE. o II -2 DOE 5650.28 12-31-91 b. Implements uniform procedures for administrative handling and accountability of Sensitive Compartmented Information (SCI), including the classification .,.. review and marking of SCI documents and material. ~ 4. DIRECTOR OF CLASSIFICATION (SA-20). a. General Responsibilities and Authorities.

(1) Develops (for the approval of SA-I) the "Classification Policy Guide for Nuclear Programs" and other formal statements of DOE classification policy; coordinates proposed policies with appropriate DOE program organizations. (2) Interprets DOE classification policy. (3) Develops and implements DOE classification and declassification rules, regulations, and procedures. (4) Recommends to SA-I all actions for removing information from the RD and FRO categories. (5) Determines the proper classification category and level of DOE information; interprets what information falls within the RD defi nit ion. (6) Manages the development and issuance of DOE classification guidance. (a) Assures the preparation, coordination, and issuance of .,. classification guidance for DOE programs that involve or generate ~ classified information. (b) Coordinates and assures issuance of classification guidance for classified information generated under the cognizance of DOE when the classification policy for such information is developed by other Government agencies or foreign governments. (c) Approves all program classification guides prior to their issuance. Approves local classification guides or delegates authority for their approval to Field Elements, as appropriate. (d) Conducts a continuing review of all DOE classified information and classification guides to ensure their accuracy and currency and to identify which information may be declassified without undue risk to the common defense and security. (e) Maintains an index of all DOE and DOE contractor classification guides. DOE 5650.2B 12-31-91 • o 11-3 o (7) Oversees international classification cooperation. (a) Maintains liaison and serves as DOE contact with foreign governments on matters concerning classification and declassification of information. (b) Develops classification and declassification standards as required for international agreements for cooperation entered into pursuant to the provisions of the Atomic Energy Act, and reviews and evaluates foreign classification and declassification policies, procedures, and actions established or taken pursuant to such agreements to assure that they are consistent with the requirements of the agreements. (8) Manages programs for the classification and declassification review of documents and material. (a) Performs final reviews of all classified documents requested from DOE under the provisions of a statute or Executive order; determines their proper classification; if possible and required, prepares sanitized versions of such documents; and is the DOE Denying Official with regard to the denial of classified information requested pursuant to a statute or Executive order. (b) Reviews all testimony, transcripts, and other documents prepared for the Congress in potentially classified subject areas and, as requested, documents prepared by Congress dealing with DOE-related programs involving classified information or where any uncertainty may exist concerning the classification of such documents. (c) Reviews documents for classification and declassification submitted by Departmental Elements, DOE contractors, and other Government agencies. (d) Reviews patent applications in potentially classified subject areas. (9) (10) (11) (12) (e) Reviews documents submitted by uncleared authors. Conducts a continuous review of the classification and declassification program to ensure compliance with the classification provisions of the Atomic Energy Act, Executive Order 12356, and this Order.

Develops classification and declassification education and training programs, and administers such programs for HQ personnel and, as required, Field Element personnel. Advises and assists Heads of Departmental Elements with regard to classification and declassification policies and procedures and changes thereto. Approves requests and specific procedures for large-scale declassification or downgrading reviews. 11-4 DOE 5650.2B 12-31-91 (I3) Appraises the effectiveness of the classification functions of Departmental Elements. (14) Obtains service of Field Elements, contractor personnel, or private consultants, when necessary, in the classification and declassification program. (15) Approves, after coordination with the appropriate Headquarters Element, a procedure for discharging classification and declassification responsibilities and authorities related to Headquarters-administered contracts. (I6) Maintains liaison and serves as the DOE contact with other Government agencies and private interests on matters concerning DOE classification and declassification policies and procedures and, as appropriate, providEs classification and declassification guidance and training. (17) Acts as DOE Headquarters Classification Officer. (IS) Approves appointments of DOE and DOE contractor Classification Officers. (19) Performs other functions assigned by SA-I. b. Responsibilities and Authorities Derived From Executive Order 12356. (1) Serves as the Senior Agency Official responsible for the direction and .~ administration of the DOE information security program, except for ~ those provisions of the Executive order and implementing directives which deal with the safeguarding of classified information such as personnel security, physical security, and the establishment of special access programs. (2) Originally classifies NSI information as Top Secret, Secret, or Confidential (Executive Order 12356, section I.2(d)(2». (3) Publishes in the "Federal Register" those parts of DOE classification regulations which implement Executive Order 12356 and affect members of the public. (4) Makes recommendations to SA-I with regard to the determination of categories of information related to national security and requiring protection against unauthorized disclosure pursuant to section I.3(a)(IO) of Executive Order 12356; ensures that such determinations are reported to the Information Security Oversight Office (ISOO). (5) Declassifies NSI on a Department-wide basis, consistent with established DOE classification policy. (6) Represents the Secretary in any interagency meetings convened by the ISOO; acts as the DOE contact with the ISOO; and advises the Secretary ~ and SA-I with regard to actions and determinations made by the Director ~ of the ISOO affecting DOE. DOE 5650.28 12-31-91 • • 11-5 (7) Collects) prepares) and submits information to the ISOO pursuant to Executive Order 12356, its implementing directives, and requests of the ISOO. (8) Makes recommendations to the Secretary concerning the designation of certain Top Secret Classifiers; acts for the Secretary in designating other Top Secret Classifiers, all Original Secret and Confidential Classifiers, and all HQ Derivative Classifiers and maintains records of all so designated. (9) Notifies the Director of Safeguards and Security (SA-I0) of the appointment of Top Secret Classifiers so that SA-I0 may assign appropriate Top Secret authenticating symbols.

(10) Monitors the requirements for and use of Original Classification Authority in DOE organizations. (11) Acts for the Secretary in designating Derivative Declassifiers and maintains a record of all DOE and DOE contractor Derivative Declassifiers. (12) Issues) reviews, and updates guidelines for systematic declassification review and designates experienced personnel to assist the Archivist of the United States in the conduct of systematic reviews of information originated by DOE. (13) Conducts) as required) an internal systematic review program for classified information originated by DOE. (14) Develops procedures to process requests for the mandatory review of NSI and publishes in the "Federal Register" the Departmental Element to which such requests may be addressed. (15) Serves as the central DOE authority for receiving all requests for declassification review of information under the mandatory review provisions of Executive Order 12356. (16) Exercises, as necessary) the authority granted by section 1.6(d) of Executive Order 12356 to classify or reclassify information after receiving a request for it under the Freedom of Information Act, the Privacy Act of 1974, or the mandatory review provisions of the Executive order. 5. HEADS OF HEADQUARTERS ELEMENTS. a. Establish internal procedures to assure compliance with this Order and any other regulations or instructions issued by SA-20. b. Appoint, if so requested by SA-20) an individual (HQ Classification Representative) to be responsible for liaison with SA-20. c. Request designations of classification authority as needed for HQ Elements or contractors under their jurisdiction. 11-6 DOE 5650.2B 12-31-91 d. Assure participation by personnel with classification responsibility in the J.' planning stages of new programs that have potential for involving or generating classified information. e. Inform SA-20 of all proposed projects or HQ-administered contracts that could involve classified information so that SA-20 may assure that appropriate and adequate classification guidance is available for such projects or contracts. f. Establish, with the approval of SA-20, procedures to carry out an appropriate classification program for HQ-administered contracts. g. Assure that DOE and DOE contractor personnel within their jurisdiction who publish or deliver papers at conferences or any other presentation concerning potentially classified subject areas are informed on existing classification guidance in the subject areas of their papers and advised as to potential danger areas in the discussion following their presentations. h. Assure appropriate classification review of all documents and material prepared by DOE or DOE contractor personnel under their jurisdiction concerning potentially classifled subject areas. i. Assist SA-20 in preparing and revising program classification guides. j. Obtain classification guidance from SA-20 for programs under their purview that have a potential for involving or generating classified information; assure that all employees in their HQ element or contractors under their J ... jurisdiction receive adequate classification guidance for their work. k. Assure that approved classification guidance is included with authorization of new work initiated by their HQ element when such work is likely to involve or generate classified information. 1. Provide SA-20 with information required to be maintained by SA-20 or reported to the IS00 in accordance with Executive Order 12356 and its implementing directives or as determined to be required by SA-20.

m. Establish, when necessary, detailed procedures for large-scale declassification or downgrading reviews and submit such procedures to SA-20 for approval. n. Assist SA-20 in the classification education program for HQ Elements and their contractors. o. Assist SA-20 in the classification appraisal of HQ Elements and contractors involved with classified information; be cognizant of the DOE Classification Appraisal Procedural Guide; follow up on appraisal findings requiring corrective action; take action on recommendations made in appraisals of the classification programs under their supervision; ensure that contractor organizations conduct classification appraisals of their organizations involved with classified information. J DOE 5650.28 12-31-91 o • 11-7 (and 11-8) p. Take appropriate and prompt corrective action whenever a classification violation occurs within their organizations. 6. HEADQUARTERS CLASSIFICATION REPRESENTATIVES. a. Serve as the lead Authorized Classifiers and document review coordinators for their organizations. b. Serve as the point-of-contact for their organizations with SA-20 concerning classification policies and procedures. c. Assist the Heads of HQ Elements in exercising their classification and declassification responsibilities and authorities. d. Respond to questions from individuals within their organizations concerning classification policies and procedures and refer questions, as necessary, to SA-20. e. Maintain a current listing of Authorized Classifiers and Derivative Declassifiers within their organizations. 7. DEPARTMENT OF ENERGY EMPLOYEES. a. Refer questions concerning classification or declassification of (1) information or (2) documents or material to Authorized Classifiers, their classification office, or through channels to SA-20. b. Obtain a determination from an Authorized Classifier on (1) information or (2) documents or material whose classification is in question. c. Refer suggestions, complaints, or challenges concerning the DOE classification and declassification program to their classification office or SA-20. DOE 5650.2B 12-31-91 • • 11-9 PART B - FIELD ELEMENTS AND CONTRACTOR ORGANIZATIONS ~ 1. HEADS OF FIELD ELEMENTS. a. Establish internal procedures to assure compliance with prOV1Slons of this Order and other regulations or instructions issued by SA-20. b. Designate, when needed and with the approval of SA-20, persons to serve as DOE Classification Officers. Review contractor nominations for Classification Officers and recommend SA-20 approval. c. Request of SA-20, as needed for Field Elements or contractors, if appropriate, under their jurisdiction, designations of classification authority for and maintain a listing of: (1) Original Classification Authority (all levels -- Government only); (2) Top Secret Derivative Classification Authority; and (3) Derivative Declassification Authority. d. Assure designation of Secret and Confidential Derivative Classifiers, as necessary, and ensure that a listing is maintained of such classifiers for Field Elements or contractors under their jurisdiction. e. Assure participation by appropriate Classification Officers and other personnel with classification responsibility in the early planning stages of new programs that have potential for involving or generating classified information.

f. Before commencement of Category II or Category III non-DOE-funded work, conduct a review of the work request and certify that the sponsoring organization has either provided the appropriate classification guidance or has stated in writing that the non-DOE-funded work will not entail classified activities. g. Obtain classification guidance from SA-20 for programs under their purview that concern potentially classified subject areas. h. Assist SA-20 in preparing and revising program classification guides. i. Assure that Field Elements and contractors under their jurisdiction prepare local classification guides or receive program classification gUides approved for this purpose covering all classified work being performed. (1) Where delegated such authority, approve local classification guides for implementation, providing final copies for the record to SA-20 (see page V-lO, Chapter V, Part B, paragraph 6. (2) Where local approval authority has not been delegated, submit proposed local classification guides and substantive changes in local classification guides to SA-20 for approval prior to their issuance. 11-10 DOE 5650.2B 12-31-91 j. Assure that approved classification guidance is included with authorization of new work initiated by Field Elements or contractors under their J .. jurisdiction when such work is likely to concern classified subject areas, and provide copies of such guidance to SA-20 at the time of initial distribution. k. Where delegated such authority by SA-20, assure that the denial authority described on page 11-3, Chapter II, Part A, paragraph 4a(8)(a), is applied according to the provision of all applicable DOE Orders and any specific instructions in the delegation. 1. Assure that DOE and DOE contractor personnel within their jurisdiction who publish or deliver papers at conferences or any other presentation concerning potentially classified subject areas are informed on existing classification guidance in the subject areas of their papers and advised as to potential danger areas in the discussion following their presentations. m. Assure that all documents and material prepared within their jurisdiction by DOE or DOE contractor personnel concerning potentially classified subject areas receive appropriate classification review. n. Provide SA-20 with information required to be maintained by SA-20 or reported to the ISOO in accordance with Executive Order 12356 and its implementing directives, or as determined to be required by SA-20. o. Establish, when necessary, detailed procedures for special large-scale reviews of accumulations of classified documents in their Field Elements. All such plans developed by Field Elements or contractors under their. .\. jurisdiction shall be forwarded to SA-20 for approval. ~ p. Develop and conduct a classification appraisal program for their Field Elements and contractors involved with classified information; be cognizant of the DOE Classification Appraisal Procedural Guide; follow up on appraisal findings requiring corrective action; take action on recommendations made in appraisals of the classification programs under their supervision; ensure that contractor organizations conduct classification appraisals of their entities involved with classified information. q. Take appropriate and prompt corrective action whenever a classification violation occurs within their Field Elements. r. Assure that an appropriate classification education program is conducted for DOE and DOE contractor organizations under their jurisdiction.

s. Appoint Classification Boards, as appropriate. t. Assure that Heads of contractor organizations discharge, in relation to their own organization, subcontractors, and suppliers, the responsibilities and authorities specified in subparagraphs a through q, above, by including appropriate provisions in their contracts. If these responsibilities entail submission of information to SA-20, it should be made through the appropriate Departmental element. J DOE 5650.2B 12-31-91 o • 2. FIELD ELEMENT AND CONTRACTOR CLASSIFICATION OFFICERS. II-ll a. Assist or act for the Head of their Field Element or contractor organization, as appropriate, in exercising their responsibilities and authorities for classification and declassification programs. b. Maintain continuous contact with appropriate technical staff personnel and with other Classification Officers in related programs. c. Provide classification guidance to employees within their organization and, as appropriate, to their contractors or subcontractors. d. Coordinate the preparation of local classification guides for fields of operation or programs within their purview. e. Assur~ that DOE and DOE contractor personnel within their jurisdiction who publish or deliver papers at conferences or any other presentation concerning potentially classified subject areas are informed on existing classification guidance in the subject areas of their papers and advised as to potential danger areas in the discussion following their presentation. f. Assure that all documents and material prepared by DOE or DOE contractor personnel within their jurisdiction concerning potentially classified subject areas receive appropriate classification review. g. Provide technical advice, as requested, to SA-20. h. Initiate classification and declassification reviews of documents originated within their organizations. i. Supervise special declassification activities or reviews. j. Conduct classification appraisals of their contractor or subcontractor organizations. k. Conduct classification education programs for their organizations and assure that such programs are conducted by their contractors and subcontractors. 1. Appoint Classification Boards, as appropriate. m. Ensure that appropriate classification guidance or a written statement that no classified information will be involved is provided to the cognizant DOE Field Element prior to the commencement of Category II or Category III non­ DOE-funded work in accordance with procedures established by the Field Element Classification Officer. n. Appoint Responsible Reviewers, as appropriate. 3. RESPONSIBLE REVIEWERS. a. Advise Field Element and contractor Classification Officers and SA-20 with regard to the technical aspects of information within their fields of expertise. 11-12 DOE 5650.2B 12-31-91 b. Make recommendations to Field Element and contractor Classification Officers and SA-20 regarding the declassification or continued classification of J.' documents or material submitted for their review. 4. FIELD ELEMENT AND CONTRACTOR EMPLOYEES. a. Refer questions concerning classification or declassification of (1) information or (2) documents or material to Authorized Classifiers, their classification office, or through channels to SA·20. b. Obtain a determination from an Authorized Classifier on (1) information or (2) documents or material whose classification is in question.

c. Refer suggestions, complaints, or challenges concerning the DOE classi­ fication and declassification program to their classification office or through channels to SA-20. J DOE 5650.2B 12-31-91 o • 11-13 (and 11-14) PART C - QUALIFICATIONS AND APPOINTMENTS 1. AUTHORIZED CLASSIFIERS. See Chapter V, Part A. 2. AUTHORIZED DECLASSIFIERS. See Chapter VI, Part A. 3. CLASSIFICATION OFFICERS (FIELD ELEMENT AND CONTRACTOR). a. Qualifications. Classification Officers must have a scientific or technical degree. This qualification requirement may be waived by SA-20 on a case-by­ case basis for those having suitable experience. (Classification Officers shall be designated as Authorized Classifiers.) b. Appointment. Heads of Field Elements shall designate, when needed and with the approval of SA-20, persons to serve as Classification Officers. Field Element Classification Officers shall review contractor nominations for Classification Officers and recommend SA-20 approval. SA-20 approval of DOE and DOE contractor Classification Officers is contingent upon successful completion of a training course specified by SA-20. 4. HEADQUARTERS CLASSIFICATION REPRESENTATIVES. a. Qualifications. HQ Classification Representatives shall be Authorized Classifiers. Exceptions may be granted by SA-20. b. Appointment. HQ Classification Representatives will be designated by the Heads of HQ Elements. Appointment is contingent upon successful completion of a training course specified by SA-20. 5. RESPONSIBLE REVIEWERS. a. Qualifications. Responsible Reviewers must be qualified experts who are recognized authorities in their respective fields. They also must be knowledgeable in DOE classification policies and procedures. b. Appointment. Responsible Reviewers are appointed by Field Element Classification Officers, with notification of appointments made to SA-20. DOE 5650.2B 12-31-91 o CHAPTER III POLICY AND OBJECTIVES • I II-I c 1. 2. 3. GENERAL. The objectives of the DOE classification program are (a) the establishment of policies and procedures which ensure the proper classification of information within the purview of DOE requiring protection in the interest of the security of the United States and (b) the identification of those documents and material which reveal such information so as to assure its protection. Information within the purview of the DOE classification program includes RD and FRO, which are classified at their inception pursuant to the Atomic Energy Act, and NSI, which is classified pursuant to Executive Order 12356. RESTRICTED DATA AND FORMERLY RESTRICTED DATA. a. Pursuant to the Department of Energy Organization Act and the Energy Reorganization Act of 1974, as amended, the Secretary of Energy (the Secretary) has certain responsibilities with regard to the control of information which falls under the purview of the Atomic Energy Act. In accordance with the Atomic Energy Act, it is DOE policy to control the dissemination and declassification of RD and FRO in such a manner as to assure the common defense and security. Consistent with such policy, DOE shall be guided by the following principles (section 141, Atomic Ener'gy Act) : "a. Until effective and enforceable international safeguards against the use of atomic energy for destructive purposes have been established by an international arrangement, there shall be no exchange of Restricted Data with other nations except as authorized by section 144; and

"b. The dissemination of scientific and technical information relating to atomic energy should be permitted and encouraged so as to provide that free interchange of ideas and criticism which is essential to scientific and industrial progress and public understanding and to enlarge the fund of technical information." b. It is DOE's responsibility, through SA-20, to interpret and implement the classification and declassification provisions of the Atomic Energy Act. (See Chapter X, Part A, for excerpts from the Atomic Energy Act.) NATIONAL SECURITY INFORMATION. a. Pursuant to Executive Order 12356 (see Chapter X, Part B, paragraph 1) and the Presidential Order of 5-7-82, "National Security Information" (see Chapter X, Part B, paragraph 2), the Secretary has certain responsibilities with regard to the control of information that falls under the purview of DOE and that may be classified as NSI. It is DOE policy: 111-2 (1) DOE 5650.2B 12-31-91 To classify as NSI information concerning the national defense and foreign relations of the United States that, in the interests of the United States and its citizens, must be protected against unauthorized disclosure. (2) That only individuals specifically authorized to do so may originally classify or declassify information or derivatively classify or declassify documents or material. (3) That, whenever possible, all classification determinations will be made in accordance with published classification guides. b. SA-IO and SA-20 will interpret and implement Executive Order 12356 as it applies to information under the purview of DOE. 4. LIMITATIONS ON CLASSIFICATION OF NATIONAL SECURITY INFORMATION. a. Classification may not be used to conceal violations of the law, inefficiency, or administrative error; to prevent embarrassment to a person, organization, or agency; or to restrain competition. b. Basic scientific research information not clearly related to the national security may not be classified. c. Classification may not be used to limit dissemination of information that is not classifiable or to prevent or delay the public release of such information. 5. CLASSIFICATION OF DOCUMENTS RECEIVED FROM FOREIGN GOVERNMENTS OR INTERNATIONAL ORGANIZATIONS. a. Classified documents originated by a foreign government or international organization shall retain their original classification level marking or be assigned an appropriate U.S. classification level marking. In either case, the marking must identify a degree of protection equivalent to that required by the government or organization that originated the documents. Any such classified. documents shall not be declassified or downgraded without the prior consent of the foreign government or international organization that originated them. b. If the foreign classificltion is in English, no additional U.S. classi­ fication marking is required. If the classification level marking is in a foreign language, an equivalent U.S. classification level marking will be added. Refer to DOE 5635.IA, CONTROL OF CLASSIFIED DOCUMENTS, for a list of foreign classification markings, detailed marking instructions, and instructions for safeguarding "Restricted" documents. If information given "in confidence" by another government is not marked as classified when received, a determination to classify shall be made in accordance with guidance provided by SA-20. J J J DOE 5650.28 12-31-91 o • 111-3 (and 111-4)

CHALLENGES TO CLASSIFICATION. Those involved with classified information are encouraged to challenge the classification of information, a document, or material when there is reason to believe that it is classified unnecessarily, improperly, or for an inappropriate period of time. Those who wish to make such a challenge should, under normal circumstances, request that those responsible for such classifications reexamine their determinations. If satisfactory resolutions are not reached, or if the challengers do not wish to challenge the classifiers directly, they may take the matter to a higher authority for resolution. DOE 5650.28 12-31-91 o • IV-l ' ..~ c CHAPTER IV CLASSIFICATION CRITERIA AND LEVELS PART A - CRITERIA FOR CLASSIFICATION 1. RESTRICTED DATA AND FORMERLY RESTRICTED DATA. Information under the purview of the Atomic Energy Act is classified at its inception by that Act. There is no original determination required to classify such information because all RD and FRO is originally classified by the Act. 2. NATIONAL SECURITY INFORMATION. a. Criteria for Classification. The following two conditions must be met beforf official information may be classified pursuant to Executive Order 12356: (1) The information must concern at least one of the following areas: (a) Military plans, weapons, or operations; (b) Vulnerabilities or capabilities of systems, installations, projects, or plans relating to the national security; (c) Foreign government information; (d) Intelligence activities (including special activities) or intelligence sources or methods; (e) Foreign relations or foreign activities of the United States; (f) Scientific, technological, or economic matters relating to the national security; (g) U.S. Government programs for safeguarding nuclear materials or facilities; (h) Cryptology; (i) A confidential source; or (j) Other categories of information related to the national security that require protection against unauthorized disclosure, as determined by the President, the Secretary, or SA-I. Any determination made under this subsection shall be reported promptly to the Director of ISOO by SA-20. (2) The unauthorized disclosure of the information itself or in the context of other information could reasonably be expected to cause damage to the national security. (Note: Unauthorized disclosure of foreign government information, the identity of a confidential foreign source, or intelligence sources or methods is presumed by Executive Order 12356 to cause damage to the national security.) IV-2 DOE 5650.2B 12-31-91 b. Unofficial Publication or Inadvertent or Unauthorized Disclosure. Information classified in accordance with the above shall not be declassified automatically as a result of any unofficial publication or inadvertent or unauthorized disclosure in the United States or abroad of identical or similar information. J J DOE 5650.2B 12-31-91 o • IV-3 (and IV-4) , 2. G 3. PART B - LEVEL OF CLASSIFICATION CLASSIFICATION LEVELS. The designations used to specify levels of protection for RD, FRO, and NSI are as follows, in descending order of sensitivity: a. Top Secret shall be used only for information whose unauthorized disclosure could reasonably be expected to cause exceptionally grave damage to the national security. b. Secret shall be used only for information whose unauthorized disclosure could reasonably be expected to cause serious damage to the national security.

c. Confidential shall be used only for information whose unauthorized disclosure could reasonably be expected to cause damage to the national security. USE OF THE TERM "UNCLASSIFIED". Only the three foregoing designations can be used to identify a level of classified information. The term "unclassified" is used to indicate information that is not classified pursuant to an Executive order or a statute. Unclassified information normally is not marked as such except to distinguish it from classified information in a classified document when such a distinction is required or serves a useful purpose. Wholly unclassified documents or material normally need not be marked "unclassified" unless such a marking would serve a useful purpose. Note: Certain unclassified documents may require additional markings; for example, Unclassified Controlled Nuclear Information (UCNI). MOSAIC COMPILATION. Certain information which would otherwise be unclassified may require classification when combined or associated with other unclassified or classified information. Classification on this basis shall be supported by a written explanation that, at a minimum, shall be maintained with the file or referenced on the record copy of the document or material containing such information. DOE 5650.2B 12-31-91 • • V-I CHAPTER V CLASSIFICATION OF INFORMATION AND DOCUMENTS PART A - CLASSIFICATION AUTHORITIES 1. GENERAL. Classification authority is granted to a specific individual while in a specific position. Classification authority is not automatically transferred with an individual when he or she transfers to a different position. Similarly, an individual who assumes a position previously held by an authorized classifier or who acts in that position does not automatically assume that classification authority. 2. TYPES OF CLASSIFICATION AUTHORITY. There are two basic types of classification authority: a. Original Classification Authority. Original Classification Authority applies to information independent of its medium or form. Original classification applies only to NSI because RD and FRD are "born classified" under the Atomic Energy Act. Original Classification Authority allows an authorized individual to make the initial determination that information is classified. An original classification decision shall not be made when classification guidance exists. An individual with Original Classification Authority may also classify documents and material on a derivative basis. See Chapter VI for additional information. b. Derivative Classification Authority. Derivative Classification Authority applies to documents or material, not directly to the information contained in or revealed by the document or material. It allows an authorized individual to make a determination that a document or material does or does not contain or reveal information that is substantively the same as information already classified. Derivative classification is based on explicit instructions contained in formal classification guides, implicit guidance (example) found in source documents, or on instructions from an Original Classifier that a document contains NSI. Derivative classification applies to documents or material containing or revealing RD, FRD, or NSI. Derivative Classification Authority does not include the authority to declassify or downgrade documents or material. See Chapter VI for additional information. 3. EXCEPTIONS.

a. Temporary Classification. Any individual may temporarily mark and protect a questionable document or material as RD, FRD, or NSI; however, the document or material must be promptly referred to an appropriate classification authority for final determination. b. Freedom of Information Act or Privacy Act Requests. Only SA-20 or higher authority may classify NSI-only documents or material being requested under the FOIA or Privacy Act. V-2 DOE 5650.2B 12-31-91 4. ORIGINAL CLASSIFICATION AUTHORITY. a. Restricted Data and Formerly Restricted Data. No individual has Original Classification Authority for RD or FRO; both categories of information are originally classified by the Atomic Energy Act. SA-20, however, must determine the classification level (T5, S, Or' C) of RD dud FRO Lu illlJicdLe the degree of protection to be afforded the information. All RD and FRD material is classified indefinitely. b. National Security Information. An Authorized Original Classifier may make an original determination that, pursuant to Executive Order 12356, certain previously unclassified information requires protection against unauthorized disclosure in the interest of national security. In addition to determining the classification category (NSI), the classifier must determine the classification level (T5, 5, or C) to indicate the degree of protection required and the duration of the classification. c. Qualifications. An Original Classifier must (1) be a Federal employee; (2) have demonstrated competence in the subject area in which the authority will be used; (3) be knowledgeable in DOE classification policy and procedures (especially with all classification guides in the subject area in which the authority will be used); (4) be in a position with a proven or anticipated need for Original Classification Authority; (5) have successfully completed a training program and examination given by the local classification office; and (6) be so designated in writing by SA-20 as described below. d. Designation. (1) Requests for Original Classification Authority must be submitted to SA-20 in the format of Attachment X-I or in any other format that contains the same information. (2) Individuals for whom Original Classification Authority is requested must successfully complete a training program and examination given by the local classification office and receive official notification of approval by SA-20 prior to assuming classification authority. (3) When an individual assumes a position for which Original Classification Authority has previously been granted, a request for classification authority must be submitted to SA-20 for approval in the format of Attachment X-I or in any other format that contains the same information. The individual may not assume Original Classification Authority until he or she has completed the requirements set forth in paragraph (2) above, except that the appointing official may waive those requirements if the individual has (a) met the requirements within the last 3 years and (b) is transferring to a similar programmatic position. (4) Original Classification Authority may not be redelegated. J DOE 5650.28 12-31-91 . • • V-3 (5) Original Classification Authority is granted for a period of 3 years at which time the individual must be recertified by passing an examination. SA-20 may grant a waiver for Classification Officers.

(6) Past frequency of use of Original Classification Authority is a factor in determining whether renewal of such authority is needed by an individual. Such use includes the review of information to determine whether it is or is not classified. e. Cancellation. (1) If the Head of a Departmental Element determines that an individual's position no longer requires Original Classification Authority, the Element Head will promptly inform SA-20 using the format of Attachment X-2 or any other format that contains the same information. (2) When an individual with Original Classification Authority vacates a position, the Head of the individual's Departmental Element shall promptly inform SA-20 using the format of Attachment X-2 or any other format that contains the same information. (3) If SA-20 determines that an individual no longer requires Original Classification Authority, SA-20 shall advise the Head of the individual's Departmental Element of such determination, of the reason(s) therefor, and of the date on which the authority will end. f. Recordkeeping Requirements. SA-20 shall maintain a list of all individuals with Original Classification Authority. This list shall include (1) the level of the authority granted, (2) the name and title of the individual granted the authority, (3) the individual's Departmental Element, and (4) the effective date and expiration date of the designation. In addition, each Departmental Element shall maintain a similar list of all individuals with Original Classification Authority within their jurisdiction. g. Authority Definition. (See also Chapter X, Part C.) An individual with Original Classification Authority may: (1) Information. (a) Originally classify NSI within the classifier's programmatic jurisdiction at any classification level up to and including the level (TS, S, C) of the classifier's authority whenever classification gUidance or relevant source documents are not available. Such determinations must be consistent with established DOE classification policy. Original Classification Authority does not apply to RD or FRO. See Chapter X, Part D, for a detailed analysis regarding making an original classification determination. (b) Originally declassify or downgrade NSI from any classification level up to and including the level (TS, $, C) of the classifier's authority over which the classifier has sole programmatic V-4 DOE 5650.2B 12-31-91 jurisdiction and which the classifier, his or her predecessors, or .~ - their subordinates originally classified, so long as such action ~ is consistent with DOE classification policy and guidance. Original declassification or downgrading authority does not apply to RD or FRO. (2) Documents or Material. (a) Derivatively classify documents or material within his or her programmatic jurisdiction and which contain RD, FRO, and/or NSI at any classification level up to and including the level (TS, S, C) of the classifier's authority. Such determinations shall be based on classification guides authorized for the classifier's use, on source documents, or on instruction from an Original Classifier. (b) Derivatively declassify or downgrade documents or material (except formal reports) which the classifier, his or her predecessors, or their subordinates originally or derivatively classified from any classification level up to and including the level (TS, S, C) of the classifier's authority. Such determinations shall be based on classification guides authorized for the classifier's use. Derivative declassification or downgrading authority is applicable to all documents marked as containing any category of classified information (RD, FRO, or NSI).

(3) Reporting Requirements. An Original Classifier shall report all .J original classification determinations to SA-20 as soon as possible using the format of Attachment X-3 or any other format containing the same information. The originator of this report will review it for classification; if the report is not classified, it will be marked "Official Use Only." 5. DERIVATIVE CLASSIFICATION AUTHORITY. a. Applicability. Individuals with Derivative Classification Authority may classify documents or material that contain or reveal RD, FRO, or NSI in accordance with classification guides authorized for the classifier's use, source documents, or instructions from an Original Classifier. b. Qualifications. A Derivative Classifier must (1) have demonstrated competence in the subject area in which the authority will be used; (2) be knowledgeable in DOE classification policy and procedures (especially with all classification guides in the subject area in which the authority will be used); (3) be in a position with a proven or anticipated need for Derivative Classification Authority; (4) have successfully completed a training program and examination given by the local classification office; and (5) be so designated in writing by appropriate authority as described below. c. Headquarters. SA-20 appoints all Derivative Classifiers within HQ Elements, including contractors under the direct purview of a HQ Element. J DOE 5650.28 12-31-91 o • V-5 d. Field. Each Field Office will establish a system to appoint Derivative Classifiers in the Field Elements and contractor organizations under its purview. e. Designation. (1) Requests for Derivative Classification Authority must be submitted to an appointing official in the format of Attachment X-lor in any other format containing the same information. (2) Individuals for whom Derivative Classification Authority is requested must successfully complete a training program and examination given by the local classification office and receive official notification of approval from an appointing official prior to assuming classification iuthority. (3) When an individual assumes a position for which Derivative Classi­ fication Authority has previously been granted, a request for classification/declassification authority must be submitted to the appointing official in the format of Attachment X-lor in any other format containing the same information. The individual may not assume Derivative Classification Authority until he or she has completed the requirements given in paragraph (2) above, except that the appointing official may waive those requirements if the individual has (a) met the requirements within the last 3 years and (b) is transferring to a similar programmatic position. (4) Derivative Classification Authority may not be redelegated. (5) Derivative Classification Authority is granted for a period of 3 years at which time the individual must be recertified by passing an examination. (6) Past frequency of use of Derivative Classification Authority is a factor in determining whether renewal of such authority is needed by an individual. Such use includes the review of documents or material to determine whether they are or are not classified. f. Cancellation. (1) If the Head of a Departmental Element or contractor organization determines that an individual's position no longer requires Derivative Classification Authority, the Head of the Departmental Element or contractor organization will promptly inform the appointing official (e.g., SA-20 for HQ) using the format of Attachment X-2 or any other format that contains the same information.

(2) When an individual with Derivative Classification Authority vacates a position, the Head of the Departmental Element or contractor organization will promptly inform the appointing official using the format of Attachment X-2 or any other format containing the same information. ~ l I ! ! I ! l t t r I I I i, V-6 DOE 5650.2B 12-31-91 (3) If the appointing official determines that an individual no longer requires Derivative Classification Authority, the appointing official shall advise the Head of the individual's Departmental Element or contractor organization of such determination, of the reason{s) therefor, and of the date on which the authority will end. g. Recordkeeping Requirements. Each appointing official shall maintain a list of all individuals with Derivative Classification Authority under his or her purview. This list shall include (1) the level of the authority granted, (2) the name and title of the individual granted the authority, (3) the individual's Departmental Element or contractor organization, and (4) the effective date and expiration date of the designation. h. Reporting Requirements. Each Field Office shall report annually as part of the annual statistical report for the ISOO the total number of Derivative Classification Authorities, at each level, appointed in Field Elements and contractor organizations under its purview. i. Authority Definition. (See also Chapter X, Part C). An individual with Derivative Classification Authority may derivatively classify documents or material within his or her programmatic jurisdiction and which contain RD, FRO, and/or NSI as defined in their letters of appointment at any classification level up to and including the level (TS, S, C) of the classifier's authority. Such determinations shall be based on classification guides authorized for the classifier's use, on classified source documents, or on instructions from an Original Classifier. See Chapter X, Part E, for a detailed analysis on making derivative ~ classification determinations. Derivative Classifiers do not have ~ declassification or downgrading authority. J DOE 5650.2B 12-31-91 • • V-7 c PART B - CLASSIFICATION GUIDANCE TYPES OF CLASSIFICATION GUIDANCE. A hierarchy of documents provides classi­ fication guidance within DOE. These documents range from the "Classification Policy Guide for Nuclear Programs," approved by SA-I, to local classification guides written by DOE Field Elements and contractor organizations. a. CG-C-2, "Classification Policy Guide." (1) Originator/Source of Authority. This document is prepared by SA-20 and approved by SA-I. (2) Purpose. This guide establishes basic DOE policy for the classification and declassification of DOE atomic energy information. It identifies those subject areas that remain classified under the Atomic Energy Act and those that have been declassified pursuant to section 142 of that Act; it identifies those subject areas related to DOE nuclear programs that are classified as NSI pursuant to Executive Order 12356; and finally, it provides the principle of declassification poli cy. (3) Users. SA-20 uses this document as a basis for approving program and local classification guides, for preparing program guides, or for determining that information is unclassified. This document is not to be used by others for classification/declassification determinations except as expressly delegated by SA-20. b. "Guide to the Declassified Areas of Nuclear Energy Research."

(1) Originator/Source of Authority. This guide is developed and issued by SA-20. (2) Purpose. This guide identifies nuclear-related subject areas under the purview of DOE that fall within the definition of RD but have been removed from the category pursuant to section I42a of the Atomic Energy Act. It elaborates on the "Classification Policy Guide for Nuclear Programs. If (3) Users. Any originator of a document may use this guide to verify that the information in question has been declassified. Detailed instructions as to the scope, use, and limitations of this guide are found in the gUide itself. c. Program/Topical Classification Guides. (1) Originator/Source of Authority. These guides implement the "Classification Policy Guide for Nuclear Programs" and other formal statements of DOE policy. Program/topical guides are prepared and approved by SA-20 (together with appropriate officials in other Government agencies if the guide is a joint guide). (CG-W-5, "Joint DOE/DOD Nuclear Weapon Classification Policy Guide," is a program guide.) All program/topical classification guides shall be issued with the name of the approving official and the date of approval. v-a (2) DOE 5650.2B 12-31-91 Purpose. These guides identify specific elements of information under J' the purview of DOE that are classified or unclassified. Such guides also designate the proper classification level of the specific classified information identified with them and, for NSI, the duration of its classification. (3) Users. These guides are used by Authorized Classifiers as the basis for their derivative classification determinations and by Derivative Declassifiers as the basis for their derivative declassification determinations. Classifiers may use only those guides approved for their use. These guides are also used by local classification offices as the basis for preparing detailed local classification guides primarily intended for use within a field or contractor organization. d. Classification Bulletins. (1) Originator/Source of Authority. The originator and the source of authority are the same as for program classification guides except that bulletins also may be based on program classification guides. (2) (3) Purpose. In general, the purpose of classification bulletins is the same as for program classification guides, but with a more limited scope. Most bulletins address specific facts or concepts, whereas program classification guides typically address an entire subject area. Bulletins may interpret, clarify, or expand on guidance contained in a program classification guide. In addition, classification bulletins may be used to promulgate changes in classification procedures. Users. Bulletin users are the same as those for program classification guides. e. Local Classification Guides. (I) Originator/Source of Authority. These guides are based on program classification guides and classification bulletins. Heads of Field Elements and contractor organizations are responsible for assuring that local classification guides are prepared as needed for all classified work within their jurisdictions. Where SA-20 has delegated approval authority to Field Elements, they may approve local classification guides for implementation. In that event, they will provide copies of such guides (and of all subsequent changes to those guides) to SA-20 as prescribed in paragraph 6 below. Where SA-20 has not delegated approval to Field Elements, they will submit all local guides to SA-20 for review and approval before such guides are issued or used. If more than one Field Element, another Government agency (such as DOD), or a foreign government is involved, SA-20 may determine that a local classification guide should be issued as a program classification guide. All local classification guides must contain the name of the approving official and the date of approval.

(2) Purpose. These guides have the same purpose as program classification guides, but are more detailed and tailored to the specific needs of the originating Field Element or contractor. J DOE 5650.2B 12-31-91 • • V-9 (3) Users. These guides are used by Authorized Classifiers as the basis for their derivative classification determinations and by Derivative Declassifiers as the basis for their derivative declassification determinations. Classifiers and Declassifiers may use only those gUides approved for their use. Unless otherwise directed by SA-20, local classification guides may be disseminated to other organizations within and outside DOE as required, in accordance with "need-to-know" principles. 2. USE OF PROGRAM AND LOCAL CLASSIFICATION GUIDES. a. General. Classification gUides are to be used wherever they exist. Use of these gUides often entails difficult judgments and interpretations of topics. Classifiers or Declassifiers may use only those classification guides specifically approved for their use by their local classification office or by SA-20. Omission from any classification gUide of an explicit statement concerning classification of a specific fact within the subject area covered by the guide does not mean that the fact in question is unclassified. In cases in which a guide appears ambiguous, incomplete, or in apparent contradiction to another gUide, the local classification office should be consulted for further guidance, and, if needed, referral may be made to SA-20. Pending resolution of the problem, the most restrictive interpretation should be used. b. Classification Level/Category. These classification gUides indicate the classification level or range of levels and the classification category of specific information within the scope of the subject area of the gUide. c. Duration of Classification. For NSI only, a guide indicates how long specific information must remain classified. This duration can be defined as a period of time measured from the date of origination of the document under review or as an event which must occur prior to declassification. When a specific date or event cannot be determined at the time the classification guide is issued, the declassification instructions will indicate that the "Originating Agency's Determination (is) Required" (OADR). Documents containing RD or FRO, regardless of whether they contain NSI, are not to be marked in advance for declassification. d. Other Information. These classification guides also contain instructions concerning when and how to use and interpret the guides. 3. CONVERSION OF DECLASSIFICATION AND REVIEW DATES. Refer to page VI-5, Chapter VI, Part B, paragraph 2, for instructions on how to interpret the declassification and review instructions found in classification guides issued pursuant to Executive orders preceding Executive Order 12356. 4. REQUIREMENT FOR PERIODIC REVIEW OF CLASSIFICATION GUIDES. Each DOE or DOE contractor organization shall review each classification gUide it issues at least every 2 years to ensure that such guides do not contradict current classification policy. If the review indicates that the guide does not contradict such policy, the reviewer shall annotate the record copy of the gUide with the results and date of the review. If the review indicates that the gUide does contradict such policy, the issuing organization shall also note the nature V-IO DOE 5650.2B 12-31-91

of the problem and the nature of and schedule for planned corrective action. Completion of this review does not require a specific report to DOE HQ, but records of review shall be examined during appraisals. 5. CLASSIFICATION GUIDE LIST REVIEW. In order to maintain currency of the Classification Guidance System, SA-20 shall conduct a classification guide list review on a semiannual basis. This review will consist of the generation and distribution of a list of classification guides to each issuing office. The issuing office wi~l review the list for accuracy and completeness and notify SA-20 within 30 days of the results of its review. If the listing is not current, the issuing office will provide SA-20 with the necessary information to update the listing. This will include, if necessary, distribution noted in paragraph 6 below. 6. DISTRIBUTION OF LOCAL GUIDES TO DIRECTOR OF CLASSIFICATION. A minimum of two printed copies and one copy on magnetic media (e.g., floppy diskette) with the appropriate identifying information (i.e., word processor, file name) of the final version of each local classification guide and all subsequent changes issued by any DOE Field Element or contractor organization shall be sent to SA-20 as part of the initial distribution of the guide. Additional copies of such guides may be requested by SA-20, on a case-by-case basis, for use within HQ. 7. INDEX OF CLASSIFICATION GUIDES. SA-20 shall maintain a list of all DOE and DOE contractor classification guides in current use. 8. CLASSIFICATION GUIDANCE FOR NON-DOE-FUNDED WORK. Classification guidance for J non-DOE-funded work (Work for Others) is the responsibility of the funding organization. Work for Others that involves classified or potentially classified information shall be conducted in accordance with the procedures set forth in DOE 4300.28, NON-DEPARTMENT OF ENERGY FUNDED WORK. For unclassified work, the funding entity shall provide a written statement that classified activities are not a part of the project. a. The DOE Classification Officer (CO) of the Departmental Element under whose purview the work is to be conducted shall insure that appropriate classification guidance has been established prior to commencement of the work. The CO (or a technically competent Authorized Classifier appointed by the CO or, in rare cases, SA-20) shall review the work request and the proposed classification guidance and certify in writing that the guidance is adequate and conforms to DOE policy. b. If additional guidance is required, it may be developed by the DOE, the sponsoring agency, or both. When the guidance is issued, the sponsoring agency must agree in writing to abide by it. SA-20 shall resolve all conflicts; pending such resolution, information shall be classified in accordance with the most restrictive guidance. 9. CLASSIFICATION GUIDANCE FOR JOINTLY FUNDED WORK. Classification guidance for work conducted at DOE facilities funded by both DOE and a non-DOE U.S. Government organization is the joint responsibility of both funding organizations. Program offices should contact SA-20 to assure development of appropriate joint classification guidance. .. c DOE 5650.28 12-31-91 o o V-ll (and V-12) 10. CLASSIFICATION GUIDANCE FOR DOE-FUNDED WORK AT NON-DOE FACILITIES is the responsibility of the DOE. Program offices should contact SA-20 to assure availability or development of appropriate guidance. .. DOE 5650.2B 12-31-91 o o V -13 PART C - CLASSIFICATION/SECURITY MARKINGS

GENERAL. a. All document originators are responsible for ensuring that the necessary classification/security markings are placed on a classified document. These include: (1) Classification level; (2) Classification category; (3) Date of classification; (4) Name, position title, and organization of the Authorized Classifier; (5) Designation of the guide or source document, if derivatively classified (NSI only); (6) Duration of classification (NSI only); (7) Office of origin; and (8) Special markings (if required). Refer to DOE 5635.1A, CONTROL OF CLASSIFIED DOCUMENTS AND INFORMATION, for rules concerning the use, format, and placement of classification security markings. This Order describes only certain markings directly related to the classification of a document. 2. CLASSIFICATION AUTHORITY. All NSI classified documents must indicate the source of classification authority (i.e., a classification guide or a source document) which is the basis for the document's classification. For NSI, RD, and FRO documents, the name, position title, and organization of the Authorized Classifier of the document must be indicated. Documents originated by individuals without appropriate classification authority must be reviewed by an Authorized Classifier having the appropriate authority when it is reasonable to expect that the documents contain classified information or when regulations or other requirements apply. Note that the identification of the classifier of a document, as required in the following paragraphs, is the Authorized Classifier who makes the classification determination. This mayor may not be the individual who might prepare or sign the document. c a. Restricted Data or Formerly Restricted Data. The following rules apply to all classified documents that contain RD or FRO, regardless of whether they also contain NSI. (1) The basic classification authority for documents that contain RD or FRO is the Atomic Energy Act. These documents are always derivatively classified and may, therefore, be classified by an Original or Derivative Classifier. The "Derivative Classifier" line on the document must be completed with the name, position title, and V-14 DOE 5650.28 12-31-91 organization of the classifier of the document. In those cases where J the signer of the document itself is the Derivative Classifier, the 'J' word "signer" may be substituted for the name and position title of the, classifier. b. National Security Information Only. The following rules apply to classified documents that contain Qnly NSI (i.e., they do not contain any RD or FRO). (1) Originally Classified. If the classification of a document is not based on classification guides or source documents, the document must be classified by an Original Classifier. The "Originally Classified by" line on the document must be completed with the name, position title, and organization of the Original Classifier. In those cases where the signer of the document itself is the Original ClaSSifier, the word "signer" may be substituted for the name and position title of the Original Classifier. (Note: Such documents must be portion marked. See page V-16, Chapter V, Part C, paragraph 5, for more detailed information.)

(2) Derivatively Classified. If the classification of a document is based on the use of a classification guide, a source document, or an Original Classifier's determination, the document must be classified by an Original or Derivative Classifier. The "Derivatively Classified by" line on the document must include the identity of the classification source (e.g., a classification guide or the date and originator of the source document that served as the basis for the classification determination). The "Derivative Classifier" line on the document must J', be completed with the name, position title, and organization of the :lassifier of the document. In those cases where the signer of the document itself is the Derivative Classifier, the word "signer" may be substituted for the name and ~osition title of the classifier. (3) More Than One Classification Source. If the classification of a document is based on more than one classification guide, source document, or Original Classifier determination, the "Derivatively Classified by" line must include the term "Multiple Sources." The classifier shall include the identification of each classification source, as specified in the previous two paragraphs, with the file or record copy of the document. Otherwise, the rules for classification marking are as specified in the two preceding paragraphs. 3. DURATION OF CLASSIFICATION. a. Restricted Data or Formerly Restricted Data. Documents that contain RD or FRO (regardless of whether they also contain NSI) remain classified indefinitely. Therefore, they are never to be marked for declassification or review. Such documents do not require a "Declassify on" line. b. National Security Information Only. Documents that contain only NSI (i .e., they do not contain any RD or FRO) shall be marked for declassification in accordance with the following: DOE 5650.28 12-31-91 o o V-IS (1) Originally Classified. If the classification of a document is not based on the use of classification guides or source documents, the Original Classifier of the document shall set a specific date or event for declassification at the time the information is originally classified, if possible. The "Declassify on" line on the document must be completed with this date or event. When a specific date or event for declassification cannot be determined at the time of original classification, the "Declassify on" line on the document must be comp 1 eted with the fo 11 OWl ng: "Ori gi nat i ng Agency' s Determi nat ion Required" or "OADR." (2) Derivatively Classified. (a) If the classification of a document is based on the use of classified information from a source document, the declassi­ fication instructions of the source document should be carried forward to the "Declassify on" line of the new document. (b) 1 Documents deriving their classification from a source document classified pursuant to Executive Order 12356 shall carry forward the declassification instructions from the source document. i Documents deriving their classification from a source document classified pursuant to predecessors of Executive Order 12356 should be marked for declassification according to the conversion table in Chapter X, Part F. See also page VI-5, Chapter VI, Part B, paragraph 2. If the classification of a document is based on instructions in a classification guide, those instructions should be followed.

1 Documents deriving their classification from a classification guide issued pursuant to Executive Order 12356 shall be marked with the latest date or event for declassification specified for the information concerned or with the indication that the "Originating Agency's Determination (is) Required" (OADR) if this instruction is specified for any information in the document under review. 2 Documents deriving their classification from a classification guide issued pursuant to predecessors of Executive Order 12356 should be marked for declassification according to the conversion table in Chapter X, Part F. See also page VI-5, Chapter VI, Part B, paragraph 2. (c) If the classification of a document is derived from a classi­ fication guide or source document that does not specify declassification instructions, the "Declassify on" line should be completed with "OADR." V-16 DOE 5650.2B 12-31-91 (d) Documents deriving their classification from more than one classification guide or source document shall be marked with the latest occurring date or event for declassification indicated in the classification guides or source documents or with "OADR," as approp'ri ate. 4. OBSOLETE MARKINGS. Certain classification or security markings that are no longer used or have a different meaning are defined below. Prior to any use or distribution, old documents marked with these terms shall be reviewed by a classifier or declassifier to determine their current classification status. The markings of such documents shall be changed to show their proper classification. Pending this review, such documents issued in the time periods indicated below shall be safeguarded as Confidentia1-NSI documents. a. Restricted. The term "Restricted" is an obsolete classification marking that identifies a security level less sensitive than "Confidential." Note that "Restricted" is an active classification marking still used by some foreign governments and international organizations. b. Official Use Only. From 7-18-49 to 10-22-51, the Atomic Energy Commission used the term "Official Use Only" ("DUO") as a security marking equivalent to the term "Restricted" defined in the previous paragraph. {Note: This marking is currently used as a designation for certain sensitive but unclassified information which requires some degree of protection.} 5. PORTION MARKING. a. In accordance with the prOV1S10ns of section 1.5(b) of Executive ~ Order 12356, a waiver has been granted to the requirement of that section to portion mark the following types of documents: (1) Documents which contain both RD or FRO and NSI. (2) Documents which contain only NSI and which are derivatively classified. b. Thus, portion marking is required for documents containing only NSI which have been originally classified. c. Any document containing only RD or FRO is not under the jurisdiction of Executive Order 12356. Such a document is not portion marked. (See DOE 5635.1A for the exce~tion regarding classification markings on titles of classified documents.) d. This waiver was sought because it is the position of DOE that the use of classification guides clearly is a superior method for providing guidance to Derivative Classifiers. e. If portion marking an originally classified NSI-on1y document is not practicable, the document shall contain a statement sufficient to identify the information that ;s classified, the level of such classification, and the information that is not classified. If all portions of a document are classified at the same level, this fact should be indicated by a statement to that effect on the face of the document. J

DOE 5650.28 12 -31-91 o • V-17 (and V-18) SANITIZED DOCUMENTS AND EXTRACTS. Documents should not be sanitized unless sanitization is specifically required or requested. In the case of documents being sanitized in response to FOIA requests, notification of sanitization shall be given only to the requester. Each extract or sanitized version of a numbered classified document (i.e., those with report numbers, document numbers, etc.) will be assigned a new, unique number. If necessary, the new version may also be identified as being an extract or sanitized version of the original document by including the term "extract" in the title of the new document. When an extract is declassified, the declassification notice will specifically state that the new document is an extract. 7. MOSAIC COMPILATION. When a compilation of unclassified or classified information must be protected by classifying it at a level higher than any of the included information, the overall classification shall be placed on the document and the basis for that classification included in the document (e.g., on the first or cover page). In addition, the first or cover page of the document shall contain the following statement: "This document has been classified under the 'mosaic compilation' concept and shall not be used as the source for a derivative classification decision." c I I I t I t• I I DOE 5650.28 12-31-91 o • V-I9 PART D - UPGRADING ~ ~ 1. AUTHORITY TO UPGRADE THE CLASSIFICATION OF INFORMATION AND DOCUMENTS. a. Information. (1) Restricted Data and Formerly Restricted Data. Only SA-20 t SA-I, or a higher authority may upgrade the level of classification of RD and FRD. (2) National Security Information. Only SA-20 t SA-It a higher authority, or an Original Classifier may upgrade the classification of NSI, consistent with DOE classification policy. Original Classifiers have authority only over information in their programmatic jurisdiction which they, their predecessors, or their subordinates originally classified. b. Documents or Material. Upgrading the classification of documents or material may be authorized only by Original Classifiers or by Derivative Classifiers pursuant to their designated authorities. However, any individual in possession of a document he or she believes should be upgraded, should protect it accordingly and promptly seek gUidance from an appropriate classification authority. A change of classification markings on a document to indicate an upgrade may be carried out by custodians of the documents upon receipt of notification from proper authority. If such upgrades are authorized through classification gUides t only those authorized to use the classification guides (i.e., Original and Derivative Classifiers) may make changes, or direct that changes be made, on documents or material affected by the change. These requirements do not apply to the immediate correction of a misclassification by issuance of a replacement version. 2. PROCEDURES FOR UPGRADING THE CLASSIFICATION OF INFORMATION AND DOCUMENTS. a. Notification of Upgradin~. (1) Information. Written notification of upgrading of the classification of information shall be made by SA-20 and may be in the format of a classification gUide or bulletin. (2) Documents and Material. Those individuals authorizing the upgrading of documents and material will assure that all holders of the documents who have a clearance for and a need to know the upgraded information are notified as follows:

(a) Content of Notices. Classification upgrading notices shall identify the document as fully as possible, citing the title (or briefly describing the document); the identification number, if any; the author; the document date; the person authorizing the change; and the nature and date of the change. Notices should be classified in accordance with appropriate classification guidance. c I I I i f 1 t ~ f I I r I I t i I I f I I i I r, ! ! V-20 DOE 5650.28 12-31-91 (b) Formal Reports. The person authorizing the upgrading of a formal report that has been distributed outside the originating .J' . organization shall provide a copy of the upgrading notice to the . Office of Scientific and Technical Information, Oak Ridge, Tennessee 37831. (c) Forwarding of Notices. If the recipient of an upgrading notice has transmitted the document to another custodian, the upgrading notice should be forwarded to the new custodian. b. Marking of Upgraded Documents. The person changing the markings of a document upon receipt of proper authorization shall mark the new classification on the document and delete the former markings. Any such changes must be verified by a second individual. A statement containing the following information shall also be placed on the first page of the document: Classification changed to CO';, 10E/IJ rl!9l... - Il!.sZ (Insert appropriate classification level and category) r:Ar!e>P9 Ver if i ed by: -::-::-I--J-J~~:::""'...J.....,~~f!!>bI.¥==-,---..l..J...j...Lf-l-'t~t:t (0 te) Figure V-I Example of Upgraded Document Marking J DOE 5650.28 12-31-91 o PART E - RECLASSIFICATION • V-21 1. AUTHORITY TO RECLASSIFY INFORMATION AND DOCUMENTS. a. Information. (1) Restricted Data and Formerly Restricted Data. Pursuant to section 146 of the Atomic Energy Act of 1954 t as amended t RD and FRO information which has been formally declassified by proper authority may not be reclassified. (2) National Security Information. NSI which has been formally declassified by proper authority may only be reclassified by the Director of Security Affairs (SA-I) or higher authority. Pursuant to section 1.6(c} of Executive Order 12356, previously declassified NSI information may be reclassified if it is determined in writing that (a) the information requires protection in the interest of national security and (b) the information may reasonably be recovered. (See ISOO Directive No.1, paragraph 2001.6, on page X-Ie for further information.) b. Documents or Material. In most cases, documents or material may be reclassified by their Original Classifiers or by Derivative Classifiers pursuant to their designated authority. Custodians of the documents may indicate reclassification by changing the classification markings on a document upon receipt of notification from proper authority. If such reclassifications are authorized through classification guides, only those authorized to use the classification gUides (i.e., Original and Derivative Classifiers) may make changes, or direct that changes be made, on documents or material affected by the ~hange. 2. PROCEDURES FOR RECLASSIFYING INFORMATION AND DOCUMENTS. a. Notification of Reclassification. (1) Information. Written notification of reclassification of information shall be made by SA-20 and may be in the form of a classification guide or bulletin. (2) Documents or Material. Those individuals authorizing the reclassi­ fication of documents or material will assure that all holders of the documents or material who have a clearance for and a need to know the reclassified information are notified as follows:

(a) Content of Notices. Reclassification notices should identify the document as fully as possible t citing the title (or briefly describing the document); the identification number, if any; the authority; the document date; the person authorizing the change; and the nature and date of the change. Notices should be classified in accordance with appropriate classification gUidance. V-22 DOE 5650.28 12-31-91 (b) Forwarding of Notices. If the recipient of a reclassification notice has transmitted the document to another custodian who has ~ . the proper level of clearance and a need to know the reclassified '-" information, the reclassification notice should be forwarded to the new custodian. b. Marking of Reclassified Documents. The person changing the markings of a document upon receipt of proper authorization to reclassify it shall mark the new classification on the document and cancel the former markings (if any). Any such change must be verified by a second individual. A statement containing the following information shall also be placed on the first page of the document: Reclassified to CON rla,t5 N11I9t- - /IJ..s::z::­ (Insert appropriate classification level and category) Figure V-2 Example of Reclassified Document Marking J J DOE 5650.28 12-31-91 • • ----_ _---- V-23 1. GENERAL. PART F - CLASSIFICATION STATUS OF RESEARCH AND DEVELOPMENT ACTIVITIES a. To the greatest extent possible, DOE-sponsored research and development (R&D) is kept unclassified to promote the free exchange of information essential to the development of the Nation's scientific and industrial capability. However, national security interests dictate that certain information must be controlled by classification. All DOE R&D activities must be reviewed prior to the issuance of formal authorization to initiate work and periodically thereafter to determine the nature and extent of any classification requirements applicable to these activities. b. This review requires an evaluation of the activity's potential for generating or utilizing classified information. Based on this evaluation, a classification status is designated for the activity, and classification requirements are assigned according to this designation (see paragraph 4). c. To conduct the review (classification potential evaluation), an activity is defined by specifying an R&D effort or a logical grouping of identifiable R&D efforts (research grants, contracts, cooperative agreements, etc.). These efforts comprise the activity and are associated with one and only one activity. An activity is redefined when one or more existing efforts are removed or new efforts added. Each activity is assigned to Category I, II, or III depending on its potential for using or generating classified ~ 2. AUTH::;~::;t::: ~:::G::~:DI~:~s~::~::~I~~ :~:~~:~Ph 2jjj). a. Defining Authority. The definition of an activity is the responsibility of Heads of HQ Elements. These officials are responsible for grouping all efforts under their programmatic jurisdiction into activities. An activity may contain any number of efforts; however, the same classification status may apply to all efforts of the activity. b. Designating Authority. Heads of HQ Elements are responsible for the designation, subject to SA-20 approval, of the classification status of all R&D work under their sponsorship. These officials are also responsible for making any appointments as required by the category designations (see paragraph 4).

c. Delegation. Authority for defining activities and/or designating their classification status may be delegated by Heads of HQ Elements to their DOE field organizations as appropriate. Efforts may be grouped into activities according to common programmatic themes, common field management responsibilities, or any other logical structure, subject to the constraint that all efforts of an activity may be similarly categorized. c V-24 DOE 5650.2B 12-31-91 3. PROCEDURAL REQUIREMENTS FOR EVALUATING CLASSIFICATION POTENTIAL AND DESIGNATING .J' CLASSIFICATION STATUS. a. Evaluation Procedures. A logical series of questions leading to the evaluation of an activity's classification potential is presented in Part G of Chapter X. There are two bases for classification of information (the Atomic Energy Act for RD or FRO and Executive Order 12356 for NSI). Consequently, designating the classification status of a DOE R&D activity requires merging two different but parallel classification potential evaluations. The steps involved in this procedure are also given in Part G of Chapter X. Additional procedural guidance is available from SA-20. b. Schedules. The classification status of an activity must be evaluated (1) when it is initially defined, (2) whenever it is redefined, and (3) periodically or no less than on an annual basis. Any R&D covered by a grant, contract, or cooperative agreement to be awarded by a DOE HQ or Field Element must be assigned to an activity. The classification status of the activity must be evaluated prior to any such award. c. HQ Element Recordkeeping. HQ Elements shall maintain a record for each activity under their jurisdiction (1) defining the activity in terms of its elements; (2) listing the local classification offices under whose purview the respective elements are being carried out; (3) giving the classification status category and the date of designation; (4) giving the name(s) and office(s) of the person(s) designating the category; and (5) giving the name(s) and office(s) of any individuals appointed to monitor the activity. d. Field Coordination. HQ Elements shall effect the timely dissemination of ~ category determinations to field organizations involved in each R&D element covered. Field organizations shall submit promptly to sponsoring HQ Elements any questions as to the need for evaluation or reevaluation of R&D work under their purview. e. Local Classification Office Recordkeeping. Local classification offices shall maintain a record of all classification status designations for efforts within an activity being carried out under their purview. This record shall include: (1) the name of the activity; (2) the name(s) and office(s} of the person(s) defining the activity; (3) a listing of those efforts within the activity which are under the purview of the local office; (4) the classification status category and the date of designation; (5) the name(s) and office(s) of the person(s} designating the category; and (6) the name and office of any classification monitors appointed for the activity. 4. APPOINTMENTS AND REVIEW REQUIREMENTS. a. Appointments. Category III activities require the apPointment of a Classification Officer at each site (if one does not already exist) participating in the activity (e.g., the overall contractor classification officer) or special coordination with the responsible HQ or local classi- fication office. Category II activities require that an authorized classifier be appointed to monitor the activity. If any classified information is used or generated by the activity, it is identified and appropriately protected, and the activity is upgraded to Category III. If a J

DOE 5650.2B 12-31-9r • o V-25 (and V-26) i \ i,, j j : j 1 I, j 1 1 j I I i j l 1 ~ 1 ~ Category II activity is redefined to exclude the use or generation of classified information, it should be reduced to Category I. Category I activities do not have any appointment requirements. b. Guides. Approved classification guides are required for Category III activities. Guidance or benchmarks that trigger evaluations are required for monitoring Category II activities. c. Reviews. The classification status of all activities shall be reviewed at least annually. Benchmark requirements for Category II activities may necessitate more frequent reviews. d. Changes in Status. The classification status of a Category III activity may be downgraded (1) when it is formally determined that the type of classified infor~ation originally associated with the activity is no longer classified or (2) the activity is redefined to exclude all elements which have a great potential to use or generate classified information. The classification status of a Category II activity may have to be upgraded or downgraded according to the results of annual and benchmark triggered reviews. Application to change classification status may be initiated by an activity monitor, classification officer, or program office personnel. Applications should be forwarded to the designating office for decision via the local classification office, which may endorse or comment on the application. Application to downgrade a Category III activity must be reviewed by SA-20. 5. REPORTING REQUIREMENTS. Designating offices shall report all classification status designations and the results of all required reviews (annual and benchmark) of an activity's status to SA-20 and the local DOE classification offices where the various R&D efforts are being carried out. This report shall include the information described in paragraph 3e, items 1 through 6. 6. LOCAL CLASSIFICATION OFFICE REVIEW. Local classification offices shall periodically review all R&D under the purview of their field office to assure each effort has received a classification category designation. For any R&D effort that does not have a classification designation, a report shall be submitted to SA-20 identifying the effort and the HQ Element that supports it. DOE 5650.28 12-31-91 o o V-27 'CI 1. GENERAL. PART G - CLASSIFICATION REVIEW OF NEWLY GENERATED DOCUMENTS a. The following procedures apply to the classification review of all newly generated documents. Variations in the review process are based on the following factors: (1) Originator (DOE/non-DOE); (2) Format; (3) Purpose; (4) Intended distribution; (5) Originator's security clearance; (6) Originator's classification authority; and (7) Subject area. b. It is DOE policy to provide formal classification guidance whenever possible. However, the absence of a topic in a guide is not sufficient justification to declare a document unclassified. c. Determination that a document is unclassified does not mean it can be released to the public. Other factors; e.g., UCNI, FOIA exemptions, NNPI, Privacy Act exemptions, Patent Secrecy Act, and patent clearance review, may limit the releasability of all or part of the document. 2. DOCUMENTS ORIGINATED 8Y DEPARTMENTAL ELEMENTS OR DEPARTMENTAL CONTRACTOR PERSONNEL. These procedures apply to all documents originated by DOE or DOE contractor personnel who possess valid security clearances. SA-20 or Heads of Field Elements may exempt specific categories of documents or subject areas from these procedures.

a. Documents That Concern Category I Activities or non-R&D subjects having no potential for using or generating classified information do not require classification review. However, it is the originator's responsibility to refer questionable cases to an Authorized Classifier. b. Documents That Concern Category II or Category III Activities or non-R&D subjects having a potential for using or generating classified information must be reviewed by an Authorized Classifier. Such a review is sufficient for documents that the Authorized Classifier determines (1) to be classified or (2) to be unclassified, but which will receive limited distribution. Examples of such unclassified but limited distribution documents include most letters, memorandums, internal analyses, and planning documents. c c. V-28 DOE 5650.2B 12-31-91 Documents Intended for Widespread Distribution or Public Release. A DOE or DOE contractor classification office or SA-20 must review all documents, regardless of format, that concern Category II, Category III, or other classified program areas and are intended for public release or such widespread internal distribution that public release is likely. Heads of HQ and field Elements may delegate this authority to specified Authorized Classifiers. formal reports, journal articles, press releases, speeches, and conference papers are examples of this type of document. d. Oral Presentations. The review requirements described in subparagraphs a, b, and c, above, are also applicable to any oral presentations, including speeches, briefings, or interviews, to be made by DOE or DOE contractor personnel. Whenever possible, the speakers should use prepared texts, reviewed in accordance with the requirements outlined above. When such prior review is not possible, or when extemporaneous remarks are likely, local DOE or DOE contractor classification office representatives will prebrief the speaker on classification guidance pertinent to the presentation subject matter, including danger areas in post-presentation discussions. 3. DOCUMENTS ORIGINATED BY OTHER THAN DEPARTMENTAL ELEMENTS OR DEPAR1MI~TAL CONTRACTOR PERSONNEL. The following procedures apply to documents submitted by other than DOE or DOE contractor personnel with (a) active DOE or other Government agency security clearances, (b) inactive security clearances issued by DOE or other Government agencies, or (c) no security clearance. a. Documents written bv persons with active security clearances are subject to J. the requirements described in paragraph 2, above. The local DOE or DOE contractor classification office or SA-20 will conduct the classification review and will request that any classified or unclassified but controlled information be removed from the document prior to its unclassified publication. b. Documents written by persons who have had but no longer have a security clearance will normally be treated as outlined in subparagraph 3a, above, unless the document deals with information to which the author previously was not authorized access. Those cases will be referred to SA-20. c. Documents originated by persons who never had a security clearance shall be referred to SA-20. The originator may be informed of this referral without further elaboration. 4. REVIEW OF DOCUMENTS (PATENT APPLICATIONS AND REPORTS) REFERRED UNDER SECTION 151 OF THE ATOMIC ENERGY ACT.

a. Reports of inventions and discoveries useful in the production and utilization of special nuclear material or atomic energy and concerning Category II or Category III R&D activities shall be forwarded by the Assistant General Counsel for Patents (GC-42) to SA-20 and reviewed to determ'ine whether the reports contain classified information. J o o DOE 5650.2B V-29 (and V-30) 12-31-91 b. Patent applications referred to GC-42 by the Commissioner of Patents and Trademarks under section 151d of the Atomic Energy Act and forwarded to SA-20 shall be reviewed to determine whether they contain classified information. c. Both reports of inventions and patent applications shall be handled in accordance with section I5le of the Atomic Energy Act, shall be kept in confidence by DOE, and shall not be referred to a Responsible Reviewer for classification review without express written approval of GC-42. 5. WAIVER OF REVIEW REQUIREMENTS. The classification review requirements described in this part may be waived on a case-by-case basis by SA-20. DOE 5650.28 12-31-91 o o VI-I c CHAPTER VI DECLASSIFICATION AND DOWNGRADING PART A - AUTHORITY FOR DECLASSIFICATION AND DOWNGRADING 1. INFORMATION. a. Restricted Data and Formerly Restricted Data. Only SA-I may declassify RD and FRD. SA-I and SA-20 may downgrade RD and FRD. b. National Security Information. Declassification and downgrading authority is limited to the Original Classifiers of such information, SA-20, and SA-I. 2. DOCUMENTS OR MATERIAL. a. General. Documents or material may be declassified or downgraded by SA-I, SA-20, Original Classifiers (see page VI-8, Chapter VI, Part C, paragraph 3, below, for extent and limitations of such authority), or Derivative Declassifiers. (Note: A custodian of classified documents or material does not require declassification authority in order to proceed in accordance with a declassification or downgrading notice from an authorized source.) b. Derivative Declassification Authority. (1) Qualifications. A Derivative Declassifier must (a) have demonstrated competence in the subject area in which the authority will be used; (b) be knowledgeable in DOE classification policy and procedures (especially with all classification guides in the subject area in which the authority will be used); (c) be in a position with a proven or anticipated need for Derivative Declassification Authority; (d) have successfully completed a training program and examination; and (e) be so designated in writing by SA-20 as described below. SA-20 may grant a waiver of the training and examination requirements for Classi­ fication Officers. (2) Designation. (a) Requests for Derivative Declassification Authority must be submitted to SA-20 in the format of Attachment X-lor any other format containing the same information. (b) Individuals for whom Derivative Declassification Authority has been requested must have successfully completed a training program and examination and received official notification of approval by SA-20 prior to assuming classification authority. SA-20 may grant a waiver of the training and examination requirements for Classification Officers. (c) When an individual assumes a position for which Derivative Declassification Authority has previously been granted, a request for declassification authority must be submitted to SA-20 for approval using the format of Attachment X-lor any other format VI-2 DOE 5650.2B 12-31-91

that contains the same information. The individual may not assume J ..... Derivative Declassification Authority until he or she has completed the requirements given in paragraph (b) above, except that the appointing official may waive the requirements if the individual has met such requirements within the past 3 years and is transferring to a similar programmatic position. (d) Derivative Declassification Authority may not be redelegated. (e) Derivative Declassification Authority is granted for a period of 3 years at which time the individual must be recertified by passing an examination. SA-20 may grant a waiver of this examination requirement. (f) Past frequency of use of Derivative Declassification Authority is a factor in determining whether renewal of such authority is needed by an individual. Such use includes the review of documents to determine whether they can or cannot be declassified. (3) Cancellation. (a) If the Head of a Departmental Element determines that an individual's position no longer requires Derivative Declassi­ fication Authority, the Element Head shall promptly inform SA-20 using the format of Attachment X-2 or any other format that contains the same information. (b) When an individual with Derivative Declassification Authority ~ vacates a position, the Head of the individual's Departmental Element will promptly inform SA-20 using the format of Attachment X-2 or any other format containing the same information. (c) If SA-20 determines that an individual no longer requires Derivative Declassification Authority, SA-20 shall advise the Head of the individual's Departmental Element of such determination, of the reason(s) therefor, and of the date on which the authority will end. (4) Recordkeeping Requirements. SA-20 shall maintain a list of all individuals with Derivative Declassification Authority. This list shall include (a) the name and title of the individual granted the authority, (b) the individual's Departmental Element or contractor organization, and (c) the effective date and expiration date of the designation. In addition, each Departmental Element and contractor organization shall maintain a similar list of all individuals with Derivative Declassification Authority within its jurisdiction. (5) Authority Definition. (See page X-23, Chapter X, Part C.) (a) An individual with Derivative Declassification Authority may derivatively declassify or downgrade documents or material originated by his or her organization, its contractors, or the J DOE 5650.28 12-31-91 o • VI-3 (and VI-4) (b) predecessors of these organizations. In certain circumstances, SA-20 may grant broader declassification authority to an individual. Derivative Declassifiers may declassify documents or material only in the areas in which they have been delegated such authority and which disclose only: 1 Information falling within the "unclassified" topics of classification and/or declassification gUidance specifically authorized for their use in declassifying documents; or 2 Information identified as unclassified or that has been declassified by SA-20; or ~ Information of an administrative nature that reveals no technical or programmatic data. (Caution: This criterion is intended for historical documents and is to be interpreted very narrowly. If there is any doubt as to whether information is "purely administrative," specific guidance must be sought.) DOE 5650.28 12-31-91 o o VI-5 PART 8 - AUTOMATIC DECLASSIFICATION AND DOWNGRADING

1. RESTRICTED DATA AND FORMERLY RESTRICTED DATA. Documents containing RD and FRD are not subject to automatic declassification or downgrading. 2. NATIONAL SECURITY INFORMATION. (See Chapter X, Part F, Figure X-4, for a summary conversion table on the duration of classification.) a. Documents Classified Pursuant to Executive Order 10290. Documents classified pursuant to Executive Order 10290 and marked for automatic downgrading or declassification shall be downgraded and declassified in accordance with such markings. b. Documents Classified Pursuant to Executive Order 10501 (as amended by Executive Order 10964). (I) Groups 1 and 2. Documents under Groups 1 and 2 of Executive Order 10501, as amended by Executive Order 10964, are not automatically downgraded or declassified. (2) Group 3. Documents under Group 3 of Executive Order 10501, as amended by Executive Order 10964, shall be downgraded as follows: (a) Top Secret to Secret at 12 years from date of origin of the document or (b) Secret to Confidential at 12 years from origin (unless the document was originally classified as Top Secret, in which case downgrade to Confidential at 12 years from the time it was downgraded to Secret). These documents are not automatically declassified. (3) Group 4. Documents under Group 4 of Executive Order 10501, as amended by Executive Order 10964, are now unclassified. c. Documents Classified Pursuant to Executive Order 11652. (1) Advanced Declassification Schedule. Documents marked for automatic downgrading in advance of the General Declassification Schedule (GDS) of Executive Order 11652 shall be downgraded in accordance with the schedule for downgrading marked on the documents. Unless otherwise specified on the documents, they will be subject to the GDS for the rest of the time they remain classified. (2) General Declassification Schedule. Documents marked as being subject to the GDS of Executive Order 11652 are now unclassified. (3) Documents Marked as Exempt from the General Declassification Schedule of Executive Order 11652 normally were not marked for automatic downgrading. When such documents have been marked for automatic downgrading, they shall be downgraded in accordance with the schedule for downgrading marked on the documents. d. Documents Classified Pursuant to Executive Order 12065 and marked for automatic downgrading or declassification will be downgraded or declassified in accordance with such markings. VI-6 DOE 5650.2B 12-31-91 e. Documents Classified Pursuant to Executive Order 12356 and marked for automatic downgrading or declassification will be downgraded or declassified in accordance with such markings. J o DOE 5650.28 12-31-91 o PART C - REVIEW OF POCUMENTS FOR DECLASSIFICATION OR DOWNGRADING VI-7 c c 1. GENERAL. Part C pertains to RD, FRO, and NSI, except as noted on page VI-14, paragraph 7. Previously generated classified documents shall be reviewed for possible declassification/downgrading in accordance with the procedures described below. Note that a determination that a document is unclassified does not mean that it can be released to the public. Other factors (e.g., FOIA exemptions, Privacy Act exemptions, Patent Secrecy Act, or patent clearance review) may limit the releasability of all or part of the document. a. The following may not be automatically declassified, but must be reviewed in accordance with appropriate procedures before they are declassified.

(1) Documents with classification level markings but with no markings which indicate declassification or review dates or events. (2) Documents marked as RD or FRO. (3) Documents assigned to Groups 1, 2, or 3 as defined in Executive Order 10964. (4) Documents Exempt from the General Declassification Schedule (XGDS) as defined in Executive Order 11652 and marked with a date or event for automatic declassification beyond 20 years from the date of origin of the documents (30 years for documents containing foreign government information) or for which the declassification period was impossible to determine or was indefinite at the time of origin. (5) Documents classified pursuant to Executive Order 12065 and assigned a date or event for review. b. Documents which involve conflicting declassification instructions will be handled in accordance with the most restrictive instructions. When there is reasonable doubt as to the need to continue to classify a document or a group of documents, they shall be safeguarded as Confidential NSI or RD, as appropriate, pending determination of their classification status. Upon this determination, they will be appropriately marked. If the marking or remarking of large quantities is unduly burdensome, the holder of the documents may attach a notice of classification status to the storage unit in lieu of the individual marking action otherwise required. Items withdrawn from the collection for purposes other than transfer for storage shall be marked in accordance with the classification notice or reviewed for proper classification level and category and so marked. c. Documents may be declassified only by Derivative Declassifiers and Original Classifiers under certain conditions prescribed in this Order. (See Chapter VI, Part A, and Chapter V, Part A, respectively.) d. In the declassification review process, referrals may be made, as appropriate, to Responsible Reviewers. It is also the responsibility of the Departmental Element or contractor organization initiating the review to obtain patent clearance where appropriate. VI-8 DOE 5650.2B 12-31-91 e. Under certain circumstances, SA-20 may determine that documents concerned with specific sensitive areas may be declassified only by certain declassifiers. Specific instructions will be issued when and if such occasions arise. If the reviewer decides that he or she is not sufficiently competent in the subject area addressed in the document to determine whether it may be declassified or it is outside his or her jurisdiction, the matter must be referred to the local classification office or, where appropriate, through channels to SA-20. 2. REVIEW BY DERIVATIVE DECLASSIFIERS. J a. Derivative Declassifiers shall review documents or materials submitted to them for declassification review in accordance with the provisions of this Order. If, as a result of the review, documents or material are to be determined declassifiable, the reviewers will declassify them. Documents or material determined not to be declassifiable under this authority, but possibly declassifiable under other authority, may be referred by the Derivative Declassifiers for further processing to the Classification Officer or SA-20, as appropriate.

b. Classified documents requiring sanitization or declassification in order to be approved as unclassified shall receive two independent reviews. The first review can be conducted by either a Derivative Declassifier or an Authorized Classifier knowledgeable in the subject area. A Derivative Declassifier (different from the first reviewer) must conduct the second review and must make the final determination that the documents following J sanitization or declassification are indeed unclassified. This requirement . . may be waived by SA-20 following its consideration of the types of documents to bp. reviewed and its determination that a single review would be adequate for the documents concerned; however, it is the intent of this directive that dual review is the rule for previously classified documents proposed for public disclosure as unclassified and that exceptions to this rule will be made only under unusual circumstances. c. The person who declassifies a document shall notify the originator of the declassification of the document. The originator shall notify all other known holders of the report of the declassification action to the maximum extent practical. 3. REVIEW BY ORIGINAL CLASSIFIER~ Authorized Original Classifiers may originally declassify NSI over which th~y have exclusive programmatic jurisdiction and which they, their predecessors, or subordinates originally classified, provided the declassification is consistent with DOE policy. They may derivatively declassify RD, FRD, and NSI documents (other than formal reports) over which they have exclusive programmatic jurisdiction and which they, their predecessors, or subordinates derivatively classified, provided the declassi­ fication is consistent with DOE policy and gUidance. Derivative declassi­ fication actions must be based on the information appearing as an unclassified topic in a guide approved for the classifier's use in declassifying documents. 4. LARGE-SCALE REVIEWS. A large-scale review may be any review of a group of documents containing classified documents. Whether or not a review is J.. considered large-scale must be determined by the individual facility based on DOE 5650.28 12-31-91 o VI-9 factors such as how many documents must be reviewed, the rate at which they are to be reviewed, what is the impact on current manpower resources, etc. If there is doubt as to whether a review is large-scale or not, SA-20 should be consulted. A large-scale review may consist of file clearance reviews of files containing classified documents that are obsolete or deal with an activity that has been declassified or discontinued to declassify those documents no longer requiring security protection, or it may be a FOIA request review of a group of documents. The routine review of NSI documents to determine whether an established declassification date or event has occurred does not constitute a large-scale review. Large-scale reviews are subject to the following special requirements in addition to normal procedures: a. Special reviews may be approved only by the cognizant DOE Classification Officer after written coordination with SA-20. A request to conduct a special review at a contractor site must be submitted by the DOE contractor Classification Officer to the Field Office. The Field Office will review the proposal and may approve it only after written coordination with SA-20. (HQ and Field Elements should submit requests for such reviews at their sites to SA-20.)

b. All such requests shall include, at a minimum: (1) A description of the nature of the review; (2) An explanation of the requirement for the review; (3) The identities and qualifications of the reviewers; (4) A description of the classification guidance to be used on the review; and (5) Detailed, written procedures for conducting the technical and clerical aspects of the review, including methods of quality assurance to be employed. c. The review must be conducted under the direct supervision of the local Classification Officer (SA-20 in Headquarters). d. As with all declassification reviews, extreme care must be exercised. (1) Particular care must be taken to assure that sufficient time is allowed for a careful and thorough review of the documents. (2) Reviewers must be rebriefed just prior to initiation of the review project to assure they are fully cognizant of their authorities and thoroughly understand the classification guidance to be used. (3) Declassification of each document will require two reviews: the first by an Authorized Classifier or Derivative Declassifier and the second by a different Derivative Declassifier. (4) Specific instructions must be given regarding treatment of information not covered explicitly in current classification guides. VI-IO DOE 5650.2B 12-31-91 5. PATENT APPLICATION REVIEW. a. Requests for declassification review of patent applications shall be sent through the local patent office to GC-42. b. GC-42 initiates requests for declassification review of all patent applications. c. GC-42 shall transmit one copy of the patent application to SA-20 for review to determine if it may be declassified in accordance with current DOE classification policy. d. SA-20 may refer questions about declassification of DOE patent applications to a Responsible Reviewer for review and recommendations. However, classified, private, non-DOE patent applications shall not be referred to a Responsible Reviewer without the express written approval of GC-42. Such special handling of patent applications as is necessary to comply with section ISle of the Atomic Energy Act and as may be required to protect the patent position of the U.S. Government will be observed. e. Upon completion of the required review, SA-20 will return the patent application to GC-42 with the determination. 6. REVIEWS PURSUANT TO EXECUTIVE ORDER OR STATUTE. Executive Order 12356, the FOIA, and the Privacy Act contain provisions requiring classification review of information and documents. The procedures for carrying out such reviews are given in the following subparagraphs: a. Executive Order 12356 requires the establishment of procedures for Mandatory Review for declassification of NSI. It also requires that systematic review guidelines be furnished to the Archivist of the United States for use in reviewing for declassification/downgrading of (1) classified documents accessioned into the National Archives of the United States and (2) classi­ fied Presidential documents under the Archivist's control which were originated by or contain information under the purview of DOE or its predecessors. Under Executive Order 12356, SA-20 may conduct internal and systematic review programs for classified information originated by DOE and contained in documents determined by the Archivist to be permanently valuable, but which have not been accessioned into the National Archives of the United States. (1) Mandatory Review for Declassification.

(a) Conditions for Request. Except as provided in section 3.4(b} of Executive Order 12356, all information classified by DOE under Executive Order 12356 or its predecessor orders (i.e., NSI) is subject to a review for declassification by DOE if the request meets the following conditions: 1 Is made by a U.S. citizen or permanent resident alien, a Federal agency, or a State or local government; J J DOE 5650.2B 12-31-91 o o VI-II l Describes the document or material containing or revealing the NSI in question with sufficient specificity to enable it to be located with a reasonable effort; and l Is sent to the Director of Classification, U.S. Department of Energy, Washington, DC 20585. (b) Invalid ReQuests. The requester is to be notified promptly by SA-20 if his or her request is not valid. This notification letter explains why the request cannot be processed and, if applicable, tells the requester what additional information is needed to allow processing of the request. (c) Valid ReQuests. Upon receipt of a valid request for mandatory declassification review, SA-20 shall: 1 Contact all appropriate Departmental Elements requesting that their files be searched for documents or material responsive to the requ€st. l On the basis of the results of the above search, determine whether estimated review and coordination time required to process the request precludes a prompt declassification determination and, if so, inform the requester of the additional time needed to process the request. l Review the documents or material responsive to the request and determine whether or not the classified information under the purview of DOE contained in or revealed by the documents or material can be declassified. ~ Coordinate with other agencies the review of documents or material originated by DOE that are responsive to the request and that contain information under the purview of those agencies. ~ After deletion of all classified information under the purview of DOE, forward a copy of any documents or material originated by another agency to that agency for further processing and direct response to the requester, including a copy of the request together with recommendations for action and, after consultation with the originating agency, inform the requester of the referral. ] Transmit to the requester the final determination of SA-20 as to whether all or part of any documents or material responsive to the request may be released to the requester. 1 In those cases where a fee is to be charged, notify the requester of the estimated amount of the fee and await confirmation by the requester of willingness to pay the fee. VI-12 DOE 5650.2B 12-31-91 ~ In those cases where no fee is to be charged, or where the requester has agreed to pay the fee, and consistent with other ~ . applicable law, send the requester copies of declassified ~ documents or material or declassified portions of classified documents or material that constitute coherent segments. j In those cases where all or part of documents or material responsive to a request cannot be declassified, notify the requester that he or she has the right to an administrative appeal of the denial within 60 days of receipt of the denial letter. The requester shall be notified that the appeal shall specify why the requester believes the information in question does not warrant classification and, if possible, should include copies of the initial request letter and the denial letter from the Director of Classification. The appeal should be sent to the Director of Security Affairs, U.S. Department of Energy, Washington, DC 20585.

(d) Appeals of Denials of Mandatory Declassification Review Requests. SA-I is the appeal authority for denials of mandatory declassifi­ cation review requests. Appeals will be processed in accordance with procedures established by SA-I. (2) Systematic Review by the Archivist of the United States. Executive Order 12356 requires the Archivist of the United States to systemati­ cally review for declassification or downgrading (a) classified documents accessioned into the National Archives of the United States J", and (b) classified Presidential documents under the Archivist's control. Such documents shall be reviewed in accordance with systematic review guidelines provided by SA-20 for information under the purview of DOE or its predecessors. (a) Systematic Review Guidelines. SA-20 shall issue and maintain guidelines for systematic declassification review of information under the purview of DOE or its predecessors. These guidelines shall be developed in consultation with the Archivist and the Director of the ISOO and are designed to assist the Archivist in the conduct of systematic reviews. These guidelines shall be reviewed and updated at least every 5 years unless earlier review is requested by the Archivist. (b) Assistance to the Archivist. SA-20 shall designate experienced personnel to provide timely assistance to the Archivist in the systematic review process. Such personnel shall be designated as having Derivative Declassification Authority for the documents subject to the systematic review process that contain information under the purview of DOE or its predecessors. (c) Internal Systematic Review Programs. SA-20 may conduct internal systematic review programs of documents containing information under the purview of DOE or its predecessors that have been determined by the Archivist to be permanently valuable but that have not been accessioned into the National Archives of the United J DOE 5650.28 12-31-91 • • VI-13 States. SA-20 shall originate any required instructions or gUidelines on a case-by-case basis for internal systematic review programs. b. Freedom of Information Act. (1) Denial Authority. SA-20 concurs on release and serves as the denying official for that portion of a request involving classified records. (2) Revie~. Classification reviews and other actions regarding review of classified documents requested pursuant to the FOIA shall be conducted in accordance with the provisions of this Order and DOE Order 1700.1, FREEDOM OF INFORMATION PROGRAM. (3) Appeals of Denials of Requests Pursuant to FOIAs. (a) Authority. SA-I shall concur on those parts of all appeal decisions which concern the denial of FOIA requests made under statute or Executive order. In such cases, SA-I shall make the final appeal determination if any portion of a document or material previously denied is to be released. (b) Analytical Support. SA-20 shall provide analytical support and recommendations to assist SA-I in exercising his or her appeal authority concerning the denial of the release of documents or material in all appeals involving such requests made under statute or Executive order. A Denying Official shall provide to SA-20 supporting or background material requested by SA-20 concerning the denial determination made by the Denying Official which is the subject of the appeal. (4) Foreign Government Information. See Chapter III, paragraph 5, page 111-2. c. Privacy Act of 1974.

(1) Review. Classification review and other actions regarding review of classified documents requested pursuant to the Privacy Act shall be conducted in accordance with the provisions of this Order and DOE Order 1800.IA, PRIVACY ACT. (2) Appeals of Denials of Requests Pursuant to the Privacy Act. (a) (b) SA-l shall concur in the final determinations concerning the disclosure and denial of all classified information contained in records or system of records in all appeals involving such requests made under statute or Executive order. SA-20 shall provide analytical support and recommendations to assist SA-I in exercising his or her appeal authority concerning the disclosure and denial of all classified information contained in records or systems of records in all appeals involving such requests made under statute or Executive order. VI-14 DOE 5650.2B 12-31-91 d. Confirmation of Existence of Reguested Documents. Individuals responding to requests for classified documents made pursuant to the FOIA, the Privacy . '\' Act, or the mandatory review provisions of Executive Order 12356 shall ~ refuse to confirm or deny the existence or nonexistence of requested documents whenever the fact of their existence or nonexistence is itself classified. 7. OTHER REVIEWS BY THE OFFICE OF CLASSIFICATION. a. Centralized Categorical Reviews. Under certain circumstances, SA-20 may determine that the declassification review of documents or material dealing with specified categories of information must be conducted by SA-20. b. Priority Reviews. When the Head of a Departmental Element or his or her designated representative determines that an immediate declassification review is required of a document that is beyond the local declassification authority, he or she may request a priority review for declassification by SA-20. SA-20 will conduct the review as rapidly as possible and will return one copy of the document to the initiator of the declassification request with an official notification of final action. When the situation so warrants, a priority review should be explicitly requested, with a brief explanation as to the need for special handling. The purpose of the review and any special instructions should be included in the request. c. Reviews Upon Termination of Employment. DOE or DOE contractor personnel who retire or otherwise terminate employment with the DOE or its contractors and wish to take documents or material; e.g., memorandums, personal records, diaries, that fall wholly or partially in areas that are classified are ..,. personally responsible for assuring that all such documents or material are ~ unclassified and fully releasable. This determination may be made by an Authorized Derivative Classifier or the local Classification Office. 8. DEPARTMENTAL AND CONTRACTOR REVIEW RESPONSIBILITY. a. Origjnating Departmental Element or Contractor Organization. The Departmental Element or contractor organization or its successor which originate~ a document must be consulted before declassification or downgrading of that document. b. Departmental Element or Contractor Organization With Programmatic Interest in a Document. Regardless of who originated it, any document containing information outside the programmatic jurisdiction of the declassifier must be coordinated with the Departmental Element(s) or contractor organi­ zation(s) having programmatic interest. In the case of other agency or foreign government information, see paragraph d, below. This coordination is particularly important when no single organization has sole programmatic jurisdiction over the information in a document.

c. Director of ClaSSification. SA-20 is authorized to make the final determination to declassify or downgrade documents originated by any Departmental Element or contractor organization. This authority may be delegated. J DOE 5650.28 12-31-91 • o VI-IS (and VI-16) d. External Coordination. SA-20 shall conduct all interagency or inter­ Governmental coordination reqUired to declassify or downgrade documents in the possession of DOE or its contractors. When SA-20 receives a request made pursuant to the FOIA, the Privacy Act, or the mandatory review provisions of Executive Order 12356 for classified documents in its custody that were classified by another agency, it shall refer copies of the request and the requested documents to the originating agency for processing t and may, only after consultation with the originating agency, inform the requester of the referral. In cases in which the originating agency determines in writing that a response subject to the conditions specified on page VI-14, paragraph 6d, of this part is required, SA-20 shall respond to the requester in accordance with that paragraph. 9. REPRODUCTION FOR DECLASSIFICATION REVIEW. Reproduction of documents for the sole purpose of facilitating their review for declassification does not require the consent of the originator. DOE 5650.2B 12-31-91 • o VI-I7 PART 0 - NOTIFICATION OF DECLASSIFICATION OR DOWNGRADING '0 1. GENERAL. Part 0 pertains to RO, FRO, and NSI. Those authorizing a change in classification (declassification or downgrading) of a document shall notify holders of the document as follows: a. Top Secret Docyments. The person authorizing the declassification or downgrading of a Top Secret document shall notify SA-IO, who shall notify all custodi ans. b. Secret and Confidential Documents. The person authorizing the declassification or downgrading of a Secret or Confidential document shall notify the originator of the document. Insofar as possible, the originator shall notify all known holders of the document of the declassification or downgl'ading action, c. Documents Sent to the Office of Scientific and Technical Information. The person authorizing the declassification or downgrading of a document that has been sent to the Office of Scientific and Technical Information shall provide a copy of the change of classification notice to the Office of Scientific and Technical Information, P.O. Box 62, Oak Ridge, Tennessee 37831. d. Forwarding of Notices. If the recipient of a declassification or downgrading notice has transmitted the document to another custodian, the change notice should be forwarded to the new custodian. OE~LASSIFICATION NOTICES. a. Declassification Notices shall be prepared, reviewed, and signed by the individuals authoriZing the declassification. It is the responsibility of these individuals to ensure that the notice accurately and uniquely describes the document. In general, recipients of the notice (including the Office of Scientific and Technical Information) will not be in a position to verify its accuracy. b. Internal declassification notification may be handled by each Departmental Element and contractor organization according to its own requirements. Internal declassification notices shall contain, as a minimum, the folloWing information: (I) Full title of the document. If the document is untitled, a description of the document sufficient to uniquely identify it shall be provided.

(2) The identification number of the document (such as report number, short title, document number), if any. (3) The identity of the author, signer, or originator of the document. (4) The document date. VI-IS DOE 5650.28 12-31-91 (5) The number of pages in the document (from the documentation stamp on J... those documents with such a marking; otherwise, this is not required in the notice). (6) The name of the Departmental Element or contractor organization that originated or issued the document. (7) The initial classification of the document. (S) The identities of the persons authorizing the declassification (by names, signatures, titles, and organizations). (9) The effective date of the declassification action. c. All declassification notices will also contain a statement worded substantially as follows: The custodian of the document described herein is authorized to remove, cancel, or otherwise void the classification markings from the document. Such markings may be removed only when the correspondence of this notice to the document has been verified by two persons, who must ensure that the document concerned identically fits the description provided herein. Otherwise, the markings may not be removed. If there is any doubt regarding the identity of the document to which this notice applies, the recipient should contact the originator of the notice for further information. The persons who remove the markings and validate that action shall mark the document as having been. . .~ .. declassified, identify this notice as their authority for dOing so, and ~ sign and date the action on the document. If a person who receives this notice has given the document or copies thereof to others, this notice should also be forwarded to such other custodians. d. When an extract is declassified, the declassification notice will specifically state that the new document is an extract (see page V-I7, Chapter 5, Part C, paragraph 6). J DOE 5650.28 12-31-91 o VI-19 PART E - RE-MARKING DECLASSIFIED OR DOWNGRADED DOCUMENTS .~ 1. GENERAL. Part E pertains to RD, FRD, and NSI, except as noted in paragraph 3, below. 2. REMOVAL OR CANCELLATION OF CLASSIFICATION MARKINGS FROM DOCUMENTS. a. Custodians of documents for which a written notification of declassification is received from an authorized source will ensure that the document concerned exactly corresponds to the description given in the declassi­ fication notice before removing, cancelling, or otherwise voiding the classification markings. At least two persons must verify the applicability of the declassification notice to the document concerned. b. If there is any doubt regarding the identity of a document whose classification markings are to be removed or cancelled, those markings should not be changed. If there is any doubt regarding the identification of a document for which a declassification notice has been received, the custodian shall contact the person authorizing the declassification for more specific identification or confirmation. If clarification is needed for declassification notices published by the Office of Scientific and Technical Information for formal reports, the custodian should contact SA-20 for identification of the person authorizing declassification. c. A document from which classification markings are changed, removed, cancelled, or otherwise voided pursuant to a declassification or downgrading notice shall be marked (see Figure V-I, page V-20) to show:

(1) The new classification status of the document; (2) The authority for declassifying or downgrading the document (e.g., a memorandum, an Office of Scientific and Technical Information notice, a classification guide, or guide topic); (3) The signature of the person removing the markings and the date of the action; and (4) The signature of the person verifying the validity of the action and the date of verification. 3. AUTOMATIC DECLASSIFICATION. a. Automatic declassification determinations under predecessor orders shall remain valid unless the classification is extended by an authorized official of the originating agency. These extensions may be by individual documents or categories of information. The originating agency shall be responsible for notifying holders of the information of such extensions. b. Information classified under predecessor orders and marked for declassification review shall remain classified until reviewed for declassification under the provisions of Executive Order 12356 as described in Chapter VI, Part C, paragraph 7, of this Order. VI-20 DOE 5650.28 12-31-91 c. An NSI document marked with a date or event for automatic declassification is declassified after that date or event has occurred. Any custodian of the J.. ­ document may obliterate the security markings for clarity, but this is not necessary. The declassification/downgrading marking illustrated in Figure V-I is not required. J J DOE 5650.2B 12-31-91 • CHAPTER VII EDUCATION o VII -1 1. 2. OBJECTIVE. Employees of DOE, its contractors, and others who generate or have access to classified information must have sufficient understanding of classification policies, principles, guidance, and procedures to discharge their duties. The classification education program is intended to provide such an understanding. EDUCATION PROGRAMS. a. Initial Classification Education. All new DOE and DOE contractor employees must understand their classification responsibilities before being given access to classified information. Therefore, in preparation, they shall be given a classification orientation which shall, as a minimum: (1) Explain what classification and classified information are, including the classification levels and the difference between RD, FRO, and NSI. (2) Explain the local classification organizational structure and the channels through which new employees should refer classification questions. (3) Stress the individual 's responsibility for assuring that documents are reviewed for classification. In addition, employees who require knowledge of classification guidance in their work should have such guidance explained to them. This may be accomplished either during the initial orientation or at some reasonable time thereafter. b. Continuing Education. All DOE and DOE contractor classification offices shall conduct a continuing classification education program for all cleared employees to maintain classification awareness and apprise employees of applicable changes in classification policies, principles, guidance, and procedures. Such briefings shall take place at least every 3 years.

c. Classifier or Declassifier Training and Certification. Before an individual becomes an Original or Derivative Classifier or a Derivative Declassifier, a representative fro:" the local classification office shall provide training on applicable classification policies, principles, guidance, and procedures and administer an examination to assure sufficient understanding of these areas. Upon successful completion of the training and receipt of a passing score on the examination, an individual shall be certified as an Authorized Classifier or Declassifier for a period of 3 years. Recertification is required eVE~ry 3 years and shall, as a minimum, consist of retesting an individual 's understanding of applicable classification policies, principles, guidance, and procedures. Local classification offices shall determine the type of training and certification that is appropriate for their facility. VII-2 d. DOE 5650.2B 12-31-91 Special Briefings. As needed, a classification representative shall conduct . . special oral or written briefings. Such briefings may be required, for ~ example, because of the issuance of new guidance in a particular subject ~ area or because of a change in classification procedures. Such briefings might be conducted, for example, for all individuals in a given Departmental Element or contractor organization who are involved in the affected technical area. The need for such briefings may be identified by the local classification office or by the potential attendees. 3. OTHER CLASSIFICATION EDUCATION METHODS. Classification Officers are encouraged to provide continuity to their classification education program by utilizing some or all of the following suggested methods: a. Impress supervisors with the importance of observing classification guidance and procedures and urge them to do likewise for their subordinates. b. Encourage discussions of specific classification items and problems at staff meetings. c. Invite outside speakers in the classification field to address employees on specific aspects of the classification and declassification programs. d. Invite technical and scientific personnel to speak in areas in which they have particular expertise and where classification determinations may have an impact. e. Use internal publications, posters, and so forth, for classification J' messages. f. Share information concerning classification efforts with other DOE and DOE contractor classification offices. 4. PRIVATE ORGANIZATIONS AND INDIVIDUALS. The statutory definition of RD is not limited to data developed in Government programs, but includes all data that meet the statutory definition of RD, including data generated in private work. a. DOE is responsible under the Atomic Energy Act for monitoring R&D conducted by private organizations and individuals. b. SA-20 is responsible for educating private organizations and individuals insofar as classification concerns affect their activities. Such education will be carried out primarily by publication of relevant information in the "Federal Register." c. Field classification personnel will assist in this portion of the education program by adVising SA-20 of private R&D or other activity likely to generate RD and where, consequently, there is a need for classification education. DOE 5650.28 12-31-91 o CHAPTER VIII CLASSIFICATION APPRAISALS o VIII-l c c 1. POLICY. The classification practices, procedures, and performance of DOE and DOE contractor organizations shall be appraised to ascertain their adequacy and effectiveness.

2. OBJECTIVES. a. To determine the effectiveness of classification personnel in implementing the classification program. b. To determine whether classification practices and performance conform to DOE policy. c. To evaluate the effectiveness of locally developed methods of implementing DOE classification policy and regulations. d. To evaluate the adequacy of the classification guidance and control provided by DOE and DOE contractor organizations to their subordinate elements. 3. STANDARDS AND PROCEDURES. a. Appraisal Guidance and Instructions. This chapter presents policy, objectives, and general guidance regarding standards and procedures to be used in conducting classification appraisals. Detailed instructions and specific guidance on the conduct of appraisals, including preparation for appraisals, suggested formats for workpapers and reports, and suggested methods for gathering and evaluating relevant information, are contained in the DOE Classification Appraisal Procedural Guide developed and promulgated under the authority of SA-20. b. Scope of Appraisals. The classification programs of the various Departmental Elements and DOE contractor organizations differ in scope, complexity, and sensitivity. No single list of points to be covered in an appraisal is, therefore, appropriate in all cases. The list of areas below is presented merely as a gUideline; it should serve to introduce a measure of uniformity into appraisal reports and to remind the appraisers of areas that may need attention. An appraisal should provide answers to those of the following questions that are applicable: (1) Management Awareness. How actively does management keep informed of current DOE classification policy, especially as it applies to information, projects, and materials under their purview? (2) Management Support. What is the position of the classification function and the Classification Officer in the organization? Are sufficient resources available to the Classification Officer? If the Classification Officer has additional duties, do the Classification VIII-2 DOE 5650.2B 12-31-91 Officer and any assistants devote sufficient time to classification matters? (3) Practices. How closely do classification practices comport with DOE policy? (The answer should be based on a review of representative samplings of classified and unclassified correspondence, records, procurement forms, financial reports, etc.). (4) Classification Guidance. How complete, effective, and timely is the guidance developed for classified projects? (Appraisal of a contractor organization should include review of the classification guidance of both the contractor and subcontractor organizations and the resulting classification practices.) Have local classification guides been prepared for all classified work being performed? Are they kept current? (5) Education Program. How active and effective is the education program for indoctrination and instruction of all individuals in applicable classification policies, principles, guidance, and procedures? (6) Classification Board. If a board has been appointed, what is its purpose, who is on it, what is the frequency of its meetings, and is it effective? (7) Classifying and Declassifying Officials. How current is the appointment of Authorized Classifiers and Authorized Declassifiers? Are their numbers, locations, and qualifications appropriate? (8) Declassification. Is a declassification program needed? If there is a program, is it being effectively administered?

(9) Appraisals. How thorough is the appraisal system in determining compliance with approved guidance? Are subcontractor appraisals being conducted? (IO) Other Classifying Organizations. 00 any organizations other than DOE (for example, 000) have classification responsibilities regarding sole or joint programs at the organization being appraised? If there are inconsistencies between DOE classification guidance and other guidance, have actions been taken to resolve them? (II) Non-nuclear Programs. In Field Elements with jurisdiction over non-nuclear programs, have procedures been implemented for periodic review of these programs for possible need for classification? If so, are these review procedures timely and comprehensive? Have the personnel responsible for the review been properly trained and designated with appropriate classification authority? c. Frequency of Appraisals. The scope and frequency of appraisals shall be determined by the management of the appraising Departmental Element after consideration of the following factors: DOE 5650.28 12-31-91 o o VIII-3 {I} Past Performance Experience and Appraisal Results. Problem areas and key functions representing potential trouble spots should be identified for frequent review. (2) Interval Since Last Appraisal. Every function having a major classification interest should be appraised every 2 years unless particular circumstances indicate otherwise. Effective classification programs or functions having a minor classification interest may be appraised on a less frequent basis (3-5 years). Ineffective programs or those with key personnel turnover may require more frequent (i .e., less than 2 years) appraisals. The local Classification Officer shall determine if particular circumstances justify exceptions to the 2-year appraisal frequency for classification functions within that office's purview, based upon individual program effectiveness. {3} Managemen