DOE M 471.2-1
MANUAL FOR CLASSIFIED MATTER PROTECTION AND CONTROL
1. PURPOSE. This Manual provides detailed requirements to supplement
DOE O 471.2, INFORMATION SECURITY PROGRAM, which establishes policy
for the protection and control of classified and unclassified
2. SUMMARY. This Manual is composed of three chapters that provide
detailed requirements for protection and control of classified matter.
Chapter I provides a concise overview of protection and control
planning considerations. Chapter II establishes protection and
control requirements for classified matter in-use, marking of
classified matter, accountability and control systems, reproduction,
receipt and transmission, contract closeout or facility termination,
and destruction. Chapter III addresses unaccounted-for matter and
compromise of classified information.
3. DEVIATIONS. Deviations to this Manual shall be approved through
procedures established in DOE O 470.1, SAFEGUARDS AND SECURITY
4. ASSISTANCE. Questions concerning this Manual should be directed
to the Classified Matter Protection and Control Program Manager, at
5. IMPLEMENTATION. Most requirements in this directive are the same
as those contained in the superseded directives. Implementation Plans
for any requirements that cannot be implemented within 6 months of the
effective date of this Manual or within existing resources shall be
developed by Heads of Field Elements and submitted to the Office of
Safeguards and Security.
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration
TABLE OF CONTENTS
CHAPTER I - PROTECTION AND CONTROL PLANNING
1. Site-Specific Characteristics I-1
2. Threat I-1
3. Protection Strategy I-1
4. Planning I-1
5. Graded Protection I-1
CHAPTER II - PROTECTION AND CONTROL OF CLASSIFIED MATTER
1. General II-1
2. In Use II-1
3. Marking II-1
4. Accountability and Control Systems II-9
5. Reproduction II-11
6. Receipt and Transmission II-12
7. Contract Closeout/Facility Termination II-20
8. Destruction II-21
9. Emergency Procedures II-23
CHAPTER III - UNACCOUNTED-FOR MATTER AND COMPROMISE OF CLASSIFIED
1. Discovery III-1
2. Inspection III-2
3. Inquiry III-
4. Damage Assessments III-
5. Notification to Information Security Oversight Office III-
PROTECTION AND CONTROL PLANNING
1. SITE-SPECIFIC CHARACTERISTICS. Protection programs shall be
tailored to address specific site characteristics and requirements,
current technology, ongoing programs, and operational needs, and to
achieve acceptable protection levels that reduce inherent risks on a
2. THREAT. The "Design Basis Threat Policy for the Department of
Energy (DOE) Programs and Facilities (U)" shall be used in conjunction
with local threat guidance and vulnerability assessments for
protection and control program planning.
3. PROTECTION STRATEGY.
a. Strategies for the protection and control of classified matter
shall incorporate the applicable requirements established in Chapter
II. In addressing the threat to the Department's information assets,
emphasis must be placed on security systems that will detect or deter
unauthorized disclosure, modification, or loss of availability of
classified and sensitive but unclassified information and its
unauthorized removal from a site or facility.
b. Safeguards and security systems and critical systems elements
shall be performance tested to ascertain their effectiveness in
providing countermeasures to address design basis threats.
a. Site Safeguards and Security Plans. The details of site
protection measures shall be addressed in the Site Safeguards and
Security Plan, as required by DOE O 470.1, SAFEGUARDS AND SECURITY
b. Security Plans. At locations where a Site Safeguards and
Security Plan is not required due to the limited scope of safeguards
and security interests, a security plan shall be developed to describe
the protection program in place.
5. GRADED PROTECTION. By graded approach, DOE intends that, in the
development and implementation of protection and control programs, the
level of effort and magnitude of resources expended for the protection
of a particular security interest are commensurate with the security
interest's importance or the impact of its loss, destruction, or
misuse. Interests whose loss, theft, compromise, and/or unauthorized
use will have serious impact on the national security and/or the
health and safety of DOE and contractor employees, the public, the
environment, or programs shall be given the highest level of
protection. For example, use of a weapon of mass destruction by a
terrorist(s) could have consequences so grave as to demand the highest
attainable standard of security. Protection of other interests shall
be graded accordingly. Asset valuation, threat analysis, and
vulnerability assessments shall be considered (along with the
acceptable level of risk and any uncertainties) to determine the level
of risk and what protection measures are to be applied. Heads of
Departmental Elements shall provide a rational, cost-effective, and
enduring protection framework using risk management as the underlying
basis for making security-related decisions. It should be recognized
that risks will be accepted (i.e., that actions cannot be taken to
reduce the potential for or consequences of all malevolent events to
zero); however, an acceptable level of risk will be determined based
on evaluation of a variety of facility-specific goals and
considerations. Protection-related plans shall describe, justify, and
document the graded protection provided the various safeguards and
CLASSIFIED MATTER PROTECTION AND CONTROL
1. GENERAL. The protection requirements described in this chapter
are consistent with the requirements set forth in the National
Industrial Security Program Operating Manual of October 1994.
Departmental Elements are cautioned, however, that the U.S. Security
Policy Board has directed that the physical protection requirements in
that Manual be reviewed and revised as a matter of priority.
a. Classification level and category shall be used in determining
the degree of protection and control required for classified matter.
b. Access to classified matter shall be limited to persons who
possess appropriate access authorization and who require such access
(need-to-know) in the performance of official duties. Controls shall
be established to detect and deter unauthorized access to classified
c. Custodians and authorized users of classified matter are
responsible for the protection and control of such matter.
d. Buildings and rooms containing classified matter shall be
afforded the security measures necessary to prevent unauthorized
persons from gaining access to classified matter, specifically to
include security measures to prevent unauthorized visual and/or aural
2. IN USE. Classified matter in use shall be constantly attended by
or under the control of a person having the proper access
authorization and a need-to-know who is responsible for its
protection. Local Departmental and/or contractor safeguard and
security authorities may establish written local policy that allows
Confidential and/or Secret matter to be left temporarily unattended
during normal working hours within a locked room that is within an
attended Limited Area, Protected Area, or Exclusion Area. The period
of time shall not exceed 2 hours. Unattended within a locked room for
up to 2-hour periods in such cases is considered "In Use."
3. MARKING. Within 6 months of the date of this directive, the
following requirements shall be fully implemented. Classified matter
marked according to previous requirements need not be remarked to
conform with the following requirements, with the exception of
paragraph 3a(1), which must be followed.
(1) Requirement. Classified matter, regardless of date or
agency of origin, must be marked to indicate at least the
classification level [nd category if Restricted Data ([RD) or Formerly
Restricted Data (FRD)].
(2) Classification Markings. The term "classification
markings" comprises the following elements: classification level,
classification category (if RD or FRD), caveats (special markings),
classifier information, and originator identification. From this
point forward, the term "classification markings" means the markings
listed above. Any deviation from the standard classification markings
will be stated specifically.
(3) Other Markings. Markings other than classification
markings are date of origin, classification of titles, unique
identification numbers (accountable only), destruction date (TOP
SECRET only), and portion marking (Originally classified NSI only).
These markings are covered later in this chapter.
(4) Specific examples of markings, including their recommended
use, format, and placement, are contained in DOE G 471.2-1, CLASSIFIED
MATTER PROTECTION AND CONTROL IMPLEMENTATION GUIDE.
b. Originator Identification. Classified documents shall be
marked on the first page to show the name and address of the
organization responsible for their preparation and the date of
c. Classification Level.
(1) The overall classification level of a document shall be
marked top and bottom on the outside of the front cover (if any), on
the title page (if any), on the first page, and on the outside of the
back cover or last page.
(2) The highest classification level (to include unclassified)
of each page shall be marked at the top and bottom of interior pages
of classified documents; when individual page marking is not feasible,
the overall classification level of the document may be used instead.
(3) These document markings shall be clearly distinguishable
from the informational text.
(4) Classified material shall have classification level
stamped, printed, etched, written, engraved, painted, or affixed by
means of a tag, sticker, decal, or similar device. When marking is
not practical, written notification of the markings shall be furnished
d. Classification Category.
(1) Documents containing RD or FRD must be marked in the
following manner: the overall classification category shall be marked
on the outside of the front cover (if any), on the title page (if
any), and on the first page. These markings shall be clearly
distinguishable from the informational text.
(2) Classified material shall have classification category
stamped, printed, etched, written, engraved, painted, or affixed by
means of a tag, sticker, decal, or similar device. When marking is
not practical, written notification of the markings shall be furnished
e. Mixed Levels and Categories. When classified matter contains
a mix of levels and categories that causes it to be marked at an
overall level and category higher than the protection level required
for the individual portions, a matrix may be used in addition to other
required markings. If a matrix is used, the following marking matrix,
or one similar in content, will be used in addition to other required
This document contains:
Restricted Data at the (e.g., CONFIDENTIAL)level.
Formerly Restricted Data at the (e.g., TOP SECRET) level.
National Security Information at the (e.g., SECRET)
Classified according to: (Guide or Source and Date).
f. Components. When components of a document are to be used
separately, each major component shall be marked as a separate
document. Components include annexes or appendices, attachments to a
letter, and major sections of a report. If an entire major component
is unclassified, "UNCLASSIFIED" may be marked at the top and bottom of
the first page and a statement included, such as: "All portions of
this (annex, appendix, etc.) are UNCLASSIFIED." When this method of
marking is used, no further markings are required on the unclassified
g. Unclassified Matter.
(1) Unclassified matter need not be marked unless it is
essential to convey one of the following conditions.
(a) The matter has been reviewed for classification and
does not contain classified information, or
(b) the matter has been properly declassified.
(2) If unclassified matter is to be marked, the UNCLASSIFIED
marking may be placed on the top and bottom of the cover (if any),
title page (if any), and first page.
(1) For National Security Information (NSI) classified by an
Original Classifier, each section, part, paragraph, or similar portion
of a classified document shall be marked to show the classification
level or be identified as unclassified. In marking portions, the
symbols (TS) for TOP SECRET, (S) for SECRET, (C) for CONFIDENTIAL, and
(U) for UNCLASSIFIED shall be used. Classification levels of portions
of a document shall be shown by the appropriate classification symbol
placed immediately following the portion's letter or number, or in the
absence of letters or numbers, immediately before the beginning of the
portion. Documents containing derivatively classified NSI are not
required to be portion marked.
(2) Documents containing RD or FRD are not required to be
(3) Portions of U.S. documents containing foreign government
information shall be marked to reflect the foreign country of origin
as well as the appropriate classification level, for example, (U.K.-C)
indicating United Kingdom-Confidential, or (FGI) indicating Foreign
(4) Portions of U.S. documents containing North Atlantic
Treaty Organization information shall indicate NATO or COSMIC,
including the appropriate classification level; for example, (NATO-S)
(5) If portion is exempt from automatic declassification, the
exemption category number should be placed immediately following the
classification level; for example, (SX2) or (CX8).
i. Subjects and Titles. Except for extraordinary circumstances,
unclassified subjects and titles shall be used for classified
documents. Subjects or titles shall be marked with the appropriate
classification level (and classification category if RD or FRD); for
example, (U), for unclassified titles or subjects and, when necessary,
(TS), (S), or (C) for classified titles or subjects. The symbols
shall be placed immediately following the title or subject.
j. Classifier Information. DOE 5650.2B, IDENTIFICATION OF
CLASSIFIED INFORMATION, specifies the classifier information that must
be contained on classified matter. The required information is as
(1) Classification Authority (original classification and RD
(a) Name or personal identifier of the authorized
(b) Position title of the authorized classifier.
(2) Justification for Classification.
(a) NSI classification category (original classification
(b) Designation of the guide or source document and date
(derivative classification only).
(3) Duration of classification (NSI only).
(a) Date. Date of reclassification (if applicable), date
of declassification, or exemption category.
(b) Exemptions from automatic declassification at 10
years, if applicable, must be placed on the "Declassify On" line.
(c) Exemptions from automatic declassification at 25
years, if applicable, must be placed on the "Declassify On" line.
(d) Extensions. If the classification is extended, the
new declassification date must be added.
k. Top Secret Destruction Date. When upon origination or
reproduction it is determined that TOP SECRET matter shall be
destroyed at a particular time, the classifier shall note this fact on
all copies except record copies.
l. Caveats. In addition to the markings specified above, as
appropriate, classified matter shall be marked with caveats as
(1) Dissemination and Reproduction Notices. When programmatic
requirements place special dissemination or reproduction limitations
on classified information, one of the following notations, or one
similar in content, shall be used.
(a) "FURTHER DISSEMINATION ONLY AS AUTHORIZED BY
This notation applies to documents whose further
dissemination within the receiving contractor facility is restricted
to persons authorized by the addressee. Dissemination outside the
facility is prohibited without the approval of the contracting
(b) "REPRODUCTION REQUIRES APPROVAL OF ORIGINATOR"
This notation applies to documents that may not be
reproduced without the specific, written approval of the originator.
(2) Foreign Government Information. The notice "FOREIGN
GOVERNMENT INFORMATION" is used on U.S. documents to ensure that
information of foreign origin is not declassified prematurely or made
accessible to nationals of a third country without the consent of the
(3) North Atlantic Treaty Organization (NATO) Information.
(a) NATO CLASSIFIED. NATO has four levels of classified
information: COSMIC TOP SECRET (CTS), NATO SECRET (NS), NATO
CONFIDENTIAL (NC), and NATO RESTRICTED (NR). When "NATO" or "COSMIC"
precedes a classification, the information is the property of NATO.
(b) NATO UNCLASSIFIED (NU). This marking, applied to NATO
information that does not require security protection, is handled in
accordance with information management procedures.
(c) ATOMAL. The ATOMAL category is either U.S. Restricted
Data or Formerly Restricted Data or United Kingdom Atomic Information
that has been officially released to NATO. ATOMAL information is
classified either COSMIC TOP SECRET ATOMAL (CTSA), NATO SECRET ATOMAL
(NSA), or NATO CONFIDENTIAL ATOMAL (NCA), depending upon the damage
that would result from unauthorized disclosure.
(4) Director of Central Intelligence Information. The
following are markings authorized for use only for Intelligence
Information and Naval Nuclear Propulsion Information (NOFORN only).
(a) No Foreign Dissemination (NOFORN). This marking
indicates that the information contained in the document must not be
released to foreign nationals or any parties representing foreign
interests, nor to members of the public because this is considered to
be tantamount to foreign disclosure.
(b) Originator Controlled (ORCON). This marking indicates
that the document bearing the marking is controlled by the originator.
Reproduction, extraction of information, or redistribution of such
documents require the permission of the originator.
(c) Proprietary Information (PROPIN). This marking
indicates that the information contained in the document must not be
released in any form without the permission of the originating agency
to an individual, organization, or foreign government that has any
interests, actual or potential, in competition with the source of the
(d) Authorized for Release to Country (REL). This marking
applies to classified intelligence that the originator has
predetermined to be releasable or has released through established
foreign disclosure procedures and channels to a specified foreign
country(ies), or international organization(s).
(5) Weapon Data. The following are markings associated with
atomic weapons or nuclear explosive devices.
(a) Sigma Category. This marking refers to Restricted
Data and Formerly Restricted Data specifically defined in twelve
separate categories (1-5 and 9-15) concerning the design, manufacture,
or use of atomic weapons or nuclear explosive devices.
(b) Critical Nuclear Weapons Design Information (CNWDI).
A Department of Defense marking designating TOP SECRET or SECRET
Restricted Data revealing the theory of operation or design of the
components of a thermonuclear or implosion-type fission bomb, warhead,
demolition munitions, or test device.
(c) Sensitive Use Control Information (SUCI). This
marking refers to classified matter containing information (sigmas 14
and 15), the knowledge of which would significantly enhance an
adversary's ability to circumvent a weapon's use control features.
m. Re-marking Downgraded/Declassified Matter. Matter marked for
automatic downgrading or declassification may be downgraded or
declassified and re-marked accordingly. Matter not marked for
automatic downgrading or declassification will remain classified until
a determination is made by the originating agency.
n. Upgrading Classified Matter. Upon receiving an official
upgrade notice, the original classification-level markings should be
stricken and replaced with the new classification-level markings. The
authority for and date of the upgrading notice should be entered on
the first page of the document and all known holders of the document
o. Marking Special Documents. Unless otherwise stated, the
standard classification marking requirements remain in effect. The
following are nonstandard configurations of the classification
(1) Charts, Maps, Drawings, and Tracings. When such
documents are printed on larger than standard (8.5 x 11 inch) sheets,
the overall level of the document shall be marked under the legend,
title, or scale block. Classification level shall be visible when
these types of documents are folded or rolled.
(2) Messages. The overall classification level (and category
if RD or FRD) of the message shall be the first item of information in
the text. When messages are printed by an automated system, markings
may be applied by that system, provided the markings are clearly
distinguishable from the informational text. If applicable,
downgrading instructions shall be included on the last line of text
and may be abbreviated as follows.
DNG/S or C (date or event); or
DECL (date or event).
(a) General. Microforms contain images or text in sizes
too small to be read by the unaided eye. Markings shall consider the
media involved, but must be readable by the unaided eye.
(b) Microfiche and Microfilm. All microforms shall
contain markings specified by this chapter (with the exception of
classifier, classification guide, and declassification information) on
the medium (e.g., microfiche or reel) and its container (e.g., paper
sleeve or box).
(c) Microform Document Images. All classification markings
shall be marked on the individual documents contained on the
(4) Motion Picture Films or Video Tapes. At the beginning of
a film or videotape, the following information shall be projected for
approximately 5 seconds in the sequence given: classification level,
classification category (if RD or FRD), caveats (if applicable),
classifier information, and the unique identification number (if
accountable). At the end of a film or videotape, the classification
level shall be projected for approximately 3 seconds. The face of the
videotape cartridge or the face/side of the film's reel shall be
marked with the classification level and category (if RD or FRD).
(5) Photographs. Roll negatives or positives shall be marked
at the beginning and end of each strip. Prints and reproductions
shall show the classification level and category (if RD or FRD) on the
face side of the print. Other classification markings shall be
applied to the reverse side or affixed by pressure-tape label, staple
strip, or other comparable means. When self-processing film or paper
is used to photograph or reproduce classified information and all
parts of the last exposure have not been removed from the camera, the
camera shall be protected at the classification level (and category if
RD or FRD) of information contained on the media.
(6) Transparencies, Slides, and Sheet-Film.
(a) Classification level and category (if RD or FRD) shall
be shown on the image of the first transparency, slide, or sheet film
of a series. All other applicable markings specified in this chapter
shall be shown on either the border or frame or in the accompanying
documentation. The succeeding transparencies, slides, and sheet film
must indicate, at a minimum, classification level.
(b) When any portion or portions of a set of
transparencies, slides, or sheet film are to be handled and controlled
as separate documents, they require all standard markings.
(7) Recordings. Magnetic, electronic, or sound recordings
shall indicate the overall classification level (and category if RD or
FRD) at the beginning and end of the recording.
(8) Classified Information Systems Media. Specific
requirements for the handling of classified information system media
are addressed in DOE M 5639.6A-1, MANUAL OF SECURITY REQUIREMENTS FOR
THE CLASSIFIED AUTOMATED INFORMATION SYSTEM SECURITY PROGRAM.
(9) Translations. U.S. classified information translated into
a foreign language shall be marked as U.S. classified information, and
shall show the equivalent foreign government classification.
(10) Radiographs and X-rays. When standard markings are
not practical on the radiograph or x-ray, they shall be placed on the
jacket, folder, or similar covering. The user must ensure that the
appropriately marked jacket, folder, or covering remains with the
associated radiograph or x-ray.
(11) Training Matter. Unclassified matter used to simulate
or demonstrate classified matter for training purposes must be clearly
marked to indicate that it is unclassified.
p. File Folders and Other Containers. When not in approved
secure storage repositories, file folders and other items containing
classified documents shall be marked conspicuously to indicate the
highest classification level of any classified matter included.
q. Transmittal Documents. The first page of a transmittal
document shall be marked with the highest level of classified
information being transmitted and with an appropriate notation to
indicate its classification when the enclosures are removed.
Additional markings (including category if RD or FRD) from the
enclosure shall be included on transmittal documents when they convey
r. Working Papers and Drafts. Classified working papers and
drafts are considered to be interim production stages toward the
generation of a permanent document. Working papers need only contain
the following markings.
(1) The date created.
(2) The highest classification level (and category if RD or
FRD) of any information contained therein.
(3) The annotation "WORKING PAPERS" or "DRAFT" on the cover
(if any), the title page (if any), and the first page.
(4) Those prescribed for a finished document of the same
(a) released by the originator outside the activity or
(b) retained for more than 180 days from the date of
(c) filed permanently.
s. Miscellaneous. Typewriter ribbon cartridges and spools or
carbons must be marked with the appropriate classification level and
protected accordingly until destroyed. No additional markings are
t. Other Agency and Foreign Government Documents Not Conforming
to DOE Requirements. Documents received from other agencies and
foreign governments not marked to conform to DOE requirements need not
be re-marked. However, as a minimum, all documents received must
indicate a classification level (and category if RD or FRD).
u. Cover Sheets. The Standard Form (SF) cover sheet shall be
applied to all classified documents when removed from a secure storage
repository. Contractors may use locally developed cover sheets of the
same color and format as the standard forms. SF 703 is the TOP SECRET
cover sheet, SF 704 is the SECRET cover sheet, and SF 705 is the
CONFIDENTIAL cover sheet. In lieu of standard forms, a National
Security Council cover sheet shall be affixed to each copy of a
document containing classified National Security Council information.
4. ACCOUNTABILITY AND CONTROL SYSTEMS.
a. General. Control systems shall be established and used to
prevent unauthorized access to classified information. Accountability
systems provide a system of procedures that provide an audit trail.
(1) Accountable matter includes TOP SECRET matter; SECRET
matter stored outside of a limited area (or higher); and any matter
that requires accountability by national, international, or
(2) SECRET matter used or processed outside a limited area
need not be placed into accountability if the classified matter can be
protected in accordance with the requirements of Chapter II, paragraph
b. Control Stations. Control stations shall be established and
used to maintain records and control classified matter (including
facsimiles) received by and/or dispatched from facilities. Employees
must be designated and trained to operate these control station(s),
and the employees shall have access authorizations commensurate with
the level of their classified control responsibilities. TOP SECRET
Control Officers shall function as control stations for TOP SECRET
c. Top Secret Access Records. An up-to-date record (i.e., DOE F
5635.4, "Top Secret Access Sheet" or a form similar in content) shall
be maintained for all persons who are authorized access (including
visual or aural access) to TOP SECRET information. The record shall
identify the item of TOP SECRET matter, show the name of each
individual given access, and show the date (or inclusive dates) of
access. For employees whose duties require knowledge of the
combination of containers holding TOP SECRET matter, the SF 700 is the
only access record that needs to be retained for the combination.
d. Accountability Records. Accountability records are required
when accountable matter is originated, reproduced, transmitted,
received, destroyed, or changed in classification. Control station
operators shall maintain accountability systems for accountable
matter. As a minimum, accountability records shall indicate the
following information for each accountable item.
(1) Date of the matter.
(2) Brief description of the matter (unclassified if
(3) Unique identification number.
(4) Classification level (and category if RD or FRD), and
additional handling caveats, if any, of the matter.
(5) Disposition of the matter (for example: destruction,
downgrading, declassification, dispatch outside the facility, or
incorporation in another accountability record) and the date.
(6) Originator Identification.
(7) Number of copies of documents generated or reproduced.
(8) Contract or other written retention authority that
authorizes the matter to be in the possession of a contractor, which
should be readily available to facilitate compliance disposition
(9) Date received, if applicable.
(10) Activity from which the matter was received, if
e. Inventory. An annual inventory of accountable matter shall be
conducted. Each item listed in an accountability record must be
visually verified. All sites must develop procedures to ensure that
all accountable matter has been entered into the accountability
system. A report of unresolved discrepancies shall be submitted in
accordance with Chapter III.
f. Records Disposition. Records maintained to control and
account for classified matter, including those reflecting receipt,
dispatch, and destruction, shall be retained in accordance with the
DOE Records Schedule and the National Archives Records
Administration's General Records Schedules.
g. Working Papers and Drafts. Classified working papers and
drafts are considered to be interim production stages toward the
generation of a permanent document. Working papers shall be treated
(1) Protected in accordance with the assigned classification.
(2) Destroyed when no longer needed.
(3) Accounted for (if required) and controlled in the manner
prescribed for a finished document of the same classification when the
working papers are:
(a) released by the originator outside the activity or
(b) retained for more than 180 days from the date of
(c) filed permanently.
h. Classified Information System Media.
(1) Removable Storage Media. Removable storage media that
contains accountable classified information shall be entered into
accountability in the same manner as working papers and drafts.
Appropriate data regarding the existence of accountable fixed media
shall be identified in the security plan and maintained with the
system documentation. Accountability is not required for storage
media that contains non-accountable classified information.
(2) Files and Documents. Accountability is not required for
individual files/documents contained on storage media regardless of
the classification level involved.
(3) Top Secret. Contractors must maintain a system
identifying the contracting activity, the classified contract, and a
general description of the TOP SECRET information contained on the
storage media. This requirement may be accomplished through
maintaining current back-up copies of the information, generating a
directory listing/index of the classified files, or documenting the
classified files accessed in the security operation log.
(1) Documents may contain markings that limit reproduction
without the specific, written approval of the originator.
(2) Departmental Elements and contractors shall establish
local controls for the reproduction of classified documents.
Reproduction of classified documents shall be limited to the minimum
number of copies consistent with operational requirements and any
further reproduction limitations shown on the document.
(3) Reproduced copies are subject to the same protection and
control requirements as the original.
(4) Reproduction restrictions shall not restrict the
reproduction of documents to facilitate review for declassification.
However, after such reviews, reproduced documents remaining classified
must be destroyed in accordance with Chapter III, paragraph 9.
b. Top Secret. Only TOP SECRET Control Officers may reproduce
TOP SECRET documents. TOP SECRET matter shall not be reproduced or
photographed without written authorization. However, an approved
contract that requires generation or reproduction of TOP SECRET matter
will satisfy this requirement, and additional authorization will not
c. Secret and Confidential. Unless specifically prohibited,
SECRET and CONFIDENTIAL documents may be reproduced without the
permission of the originator. Documents shall only be reproduced in
the performance of official and contractual duties.
d. Equipment. Classified documents shall be reproduced on
equipment specifically designated for such purpose. To the greatest
extent possible, these machines shall be located within Limited Areas,
Protected Areas, or Exclusion Areas.
e. Mailing Lists. When graphic arts facilities receive standard
mailing or distribution lists for the purpose of mailing reproduced
classified documents, either the appropriate Departmental Element or
the prime contractor is responsible for verifying the need-to-know,
facility approval, and protection capability of the intended
recipients of the documents. If this requirement and appropriate
instructions have been levied on the graphic arts facility in the
contract or subcontract, additional verification is not necessary.
Any changes in the standard mailing list are also the responsibility
of DOE or the prime contractor.
6. RECEIPT AND TRANSMISSION.
a. General. Classified matter may be transmitted only in the
performance of official and contractual duties. Unless the
transmission is required by the specific terms of the contract or
required for performance of the contract, written authorization of the
contracting Departmental Element is required prior to contractors
transmitting classified matter outside a facility.
b. Receiving. When classified matter is received at a facility,
the following controls shall apply.
(1) Classified matter shall be delivered with the inner
envelope unopened to personnel designated to receive it at a control
station(s) or to the TOP SECRET Control Officer. Procedures shall be
established to ensure that when classified matter is not received
directly by the designated control station (regardless of the type of
mail system), the inner container remains unopened before delivery to
the control station.
(2) The package shall be examined for any evidence of
tampering, and the classified contents checked against the receipt (if
provided). Evidence of tampering shall be reported promptly to the
cognizant DOE security office. If the matter was received through the
U.S. Postal System, the appropriate U.S. Postal Inspector shall also
be promptly notified. Discrepancies in the contents of a package
shall be immediately reported to the sender. If the shipment is in
order and includes a receipt, the receipt shall be signed and returned
to the sender, and a copy of the receipt maintained with the control
c. Packaging. Classified matter to be transmitted outside a
facility shall be double-wrapped (enclosed in opaque inner and outer
containers) except as specified below.
(1) When envelopes are used for packaging, the classified
information shall be protected from direct contact with the inner
envelope. The inner envelope shall be sealed and marked with the
receiver's and the sender's classified mailing addresses, the highest
classification of the contents, and any appropriate caveats. The
outer envelope shall be sealed and marked with the receiver's and the
sender's classified mailing addresses. No markings or notations shall
be made indicating that the contents are classified.
(2) If the item is of a size, bulk, weight, or nature
precluding the use of envelopes for packaging, other containers of
sufficient strength and durability shall be used to protect the item
while in transit. To prevent items from breaking out and to
facilitate the detection of tampering, tamper-resistant material (such
as seals, puncture resistant material, or wire mesh) shall be used for
packaging. As long as the item is enclosed in a double container, the
matter may be wrapped or boxed in paper, wood, metal, or a combination
thereof. The inner package shall be addressed to a classified mailing
address, return addressed to a classified mailing address, and marked
with the highest classification of the contents and any appropriate
caveats. The outer container shall be addressed to a classified
mailing address, return addressed to a classified mailing address, and
sealed with no markings to indicate that the contents are classified.
(3) If the classified matter is an internal component of a
packaged item of equipment with an outside shell or body that is
unclassified and that completely shields the classified internal
component from view, the shell or body may be considered as the inner
container. The shell or body shall be marked with the classification
of the equipment but the address and return address may be omitted.
The outer container shall be addressed to a classified mailing
address, return addressed to a classified mailing address, and sealed
with no markings or notations to indicate that the contents are
(4) If the classified matter is an inaccessible internal
component of a bulky item of equipment that cannot be reasonably
packaged, such as a missile, no inner container is required and the
outside shell or body may be considered as the outer container, if it
is unclassified. If the shell or body is classified, the matter shall
be draped with an opaque covering that will conceal all classified
features. The covering must be capable of being secured to prevent
inadvertent exposure of the item.
(5) If specialized shipping containers, including closed cargo
transporters, are used for transmitting classified matter, the
container may be considered as the outer container. The address may
be omitted from the inner and outer container for shipments in full
truckload lots, when such an exception is contained in the provisions
of the contract. Under no circumstances will the outer container, or
the shipping document attached to the outer container, reflect the
classification of the contents or the fact that the contents are
(6) If a locked briefcase is used to hand-carry classified
matter of any level (to include TOP SECRET), the briefcase may serve
as the outer container. The inner container shall be addressed,
return addressed, and marked with the highest classification of the
contents and with any appropriate caveats. The briefcase (outer
container) must indicate the return classified mailing address and
shall contain no markings to indicate that the contents are
classified. A briefcase may not serve as the outer container for
travel aboard commercial aircraft.
d. Receipts. For all accountable and all SECRET matter, DOE F
5635.3, "Classified Document Receipt," or a receipt comparable in
content, shall be used to transmit classified matter outside of
facilities. Receipts shall identify the classified contents and the
name and address of both the sending and receiving facilities.
Receipts shall not contain classified information. The receipt shall
be placed inside the inner container. If not practical, the receipt
may be sent to the recipient with the required advance notification of
shipment, or it may be hand-carried.
(1) Exceptions. Receipts are not required for nonaccountable
classified matter under the following conditions:
(a) transmission of matter within a facility.
(b) hand-carrying of matter.
(c) transmittal of CONFIDENTIAL matter.
(2) Top Secret. Transmittal of TOP SECRET matter shall be
controlled by a continuous receipt system, both inside and outside the
facility. DOE F 1540.2, "Courier Receipt," shall be used by the TOP
SECRET Control Officer when TOP SECRET matter is transmitted by a
(3) Returning Receipts. The receiver of any classified matter
that contains a receipt must complete the receipt and return it to the
sender as soon as possible.
(4) Suspense Copy. When a receipt is required, a duplicate
copy of the receipt shall be maintained in a suspense file at the
control station until the signed receipt is returned. A suspense date
(normally not to exceed 30 days) shall be established, and follow-up
action shall be initiated if the signed receipt, or similar written
confirmation, is not returned within the suspense period. If the
follow-up action is unsuccessful, an inquiry shall be conducted and
the possible loss of the matter shall be reported in accordance with
DOE O 471.2. Copies of signed receipts for classified matter shall be
retained at control stations in accordance with the DOE Records
Schedule and the National Archives and Records Administration's
General Records Schedules.
e. Classified Mailing Address.
(1) Classified matter shall be addressed only to classified
(2) Classified mailing addresses must be verified through the
Safeguards and Security Information Management System.
(3) Office code letters, numbers, or phrases shall be used in
an attention line for internal routing.
(4) When classified matter must be sent to an individual or
consultant operating at a cleared facility other than his or her own,
or when classified matter must be sent to any facility at which only
one cleared employee is assigned, the outer container shall specify
TO BE OPENED BY ADDRESSEE ONLY
POSTMASTER -- DO NOT FORWARD
IF UNDELIVERABLE TO ADDRESSEE,
RETURN TO SENDER
(5) Mail addressed in this manner shall be delivered only to
the addressee or to an agent the addressee has authorized in writing
to receive such mail. Only personnel having an appropriate access
authorization may be designated as agents for the addressee.
f. Within Facilities. Classified matter transmitted within a
facility shall be prepared to ensure adequate security protection for
the classification involved and the method of transmission.
Double-wrapping is not required; however, in all cases, measures shall
be taken to protect against unauthorized disclosure. The matter may
be transmitted by:
(1) personnel having an appropriate access authorization for
the level and category of classified information involved; or
(2) approved electronic means.
g. Top Secret Outside of Facilities.
(1) Individuals may be authorized to hand-carry TOP SECRET in
accordance with Chapter III of this Manual, paragraph 7j.
(2) When authorized by the Director of Safeguards and
Security, TOP SECRET may also be transmitted by the Defense Courier
Service, or the Department of State Courier System.
(3) TOP SECRET may be transmitted over approved communications
networks. See DOE 5300.3D, TELECOMMUNICATIONS: COMMUNICATIONS
SECURITY, for secure communications requirements.
(4) Outside the U.S., provided that the means of
transportation is under U.S. military control or under U.S. registry,
matter may be transmitted in the custody of a cleared individual who
is authorized and specifically approved by a responsible DOE authority
for safeguards and security. Written authorization from Headquarters,
Office of Safeguards and Security, must be obtained prior to hand-
carrying TOP SECRET outside of the U.S.
h. Secret Outside of Facilities.
(1) SECRET matter may be transmitted by any method approved
for the transmission of TOP SECRET matter. The use of postal services
is not permitted for the transmission of SECRET COMSEC material or any
classified Communications Security (COMSEC) keying material; see the
DOE COMSEC Procedural Guide for approved methods of transmission.
(2) SECRET matter may be transmitted through the following
(a) U.S. Postal Service registered mail and U.S. Postal
Service Express Mail within and between the 50 States, the District of
Columbia, and Puerto Rico. The Waiver of Signature and Indemnity
Block of the U.S. Postal Service Express Mail label 11-B may not be
executed, and the use of external (street side) express mail
collection boxes is prohibited.
(b) U.S. registered mail through Army, Navy, or Air Force
Postal Service facilities, provided that the approval of Headquarters
Office of Safeguards and Security is obtained and information does not
pass out of U.S. citizen control or through a foreign postal system.
This method may be used in transmitting SECRET matter to and from U.S.
Government or U.S. Government contractor employees or members of the
U.S. armed forces in a foreign country.
(c) Canadian registered mail with registered mail receipt
in transmitting matter to and between U.S. Government and Canadian
Government installations in the 50 States, the District of Columbia,
(3) Commercial express service organizations may be used to
transmit SECRET matter in accordance with the provisions contained in
paragraph 7k, below.
i. Confidential Outside of Facilities.
(1) CONFIDENTIAL matter may be transmitted by any method
approved for the transmission of SECRET matter. This does not include
COMSEC material; see the DOE COMSEC Procedural Guide for approved
(2) CONFIDENTIAL matter may be transmitted by U.S. Postal
Service Certified within the 50 States, the District of Columbia,
Puerto Rico, and U.S. territories or possessions.
j. Authorized Hand-carriers and Escorts.
(1) Employees having an appropriate access authorization may
be designated to hand-carry or escort classified matter. Hand-
carrying classified matter for the purpose of a meeting or visit
outside a facility shall be authorized only after a determination has
been made that:
(a) an unusual situation warrants such action;
(b) the classified matter is not available at the
(c) the time does not permit transmission by other
(d) the classified matter can be properly handled and
protected during transmission;
(e) the transmission can be successfully completed on the
same day; and
(f) the classified matter can be appropriately stored upon
(2) Only the classified matter absolutely essential for the
purpose of the visit or meeting may be hand-carried by the employee.
(a) Authorized individuals shall have an access
authorization commensurate with the level of the information involved
and be briefed on their responsibility to safeguard classified
(b) The removal of classified matter from approved
facilities to private residences or other unapproved places (e.g.,
hotel or motel rooms) is prohibited. Therefore, travelers
anticipating a destination arrival time outside normal duty hours
shall make prior arrangements for storage of classified matter through
the host security office. All classified matter, when not in the
possession of authorized individuals, shall be stored only in approved
(c) A responsible facility official shall brief a hand-
carrier who does not routinely act as an authorized individual on the
responsibilities to protect classified information.
(d) The authorized individual shall retain the classified
matter in his/her possession at all times. Arrangements shall be made
in advance of departure for overnight storage at an approved facility
that has appropriate storage capability.
(e) When escorting shipments of classified matter via
rail, individuals shall travel in an escort car accompanying the
shipment, keeping the shipment car(s) under observation. When
practicable and time permits, individuals shall detrain at stops to
watch the shipment car(s) and check car(s) or container locks and
seals. In addition, individuals shall maintain liaison with train
crews, other railroad personnel, special police, and law enforcement
agencies, as appropriate.
(f) When escorting shipments of classified matter via
motor vehicle, individuals shall maintain continuous vigilance for the
presence of conditions or situations that might threaten the security
of the cargo, and take appropriate action as circumstances might
require to avoid interference with the continuous safe passage of the
vehicle. In addition, individuals shall check seals and locks at each
stop when time permits, and observe vehicles and adjacent areas during
stops or layovers.
(g) When escorting shipments of classified matter by means
of commercial or military aircraft, individuals shall continuously
observe plane and cargo during ground stops and cargo during loading
and unloading operations.
(h) Classified material may be handcarried aboard
commercial passenger aircraft by cleared employees with the approval
of the Facility Security Officer. Cleared employees shall follow the
procedures contained in FAA Advisory Circular AC 108-3, "Screening of
Persons Carrying U.S. Classified Material."
k. Commercial Express Service Organizations. The use of
commercial express delivery service for transmitting classified matter
is restricted to emergency situations where the information positively
has to be at the receiving facility(ies) on the next working day.
Commercial express service shall not be used as a matter of routine or
convenience for transmitting classified matter. As a minimum, the
sender shall ensure the following conditions are met.
(1) The express service organization has been approved by the
Office of Safeguards and Security. Approval by Departmental Elements
shall conform to requirements established by the Office of Safeguards
and Security, specific to each approved express service organization.
(2) The transmittal address, identified in the Safeguards and
Security Information Management System as the Overnight/Classified
Common Carrier Address, is used.
(3) The intended recipient(s) is/are notified of the proposed
shipment and arrival date.
(4) All packages will be double wrapped before being inserted
into the packaging provided by the commercial express service
(5) The properly wrapped package is hand-carried to the
express mail dispatch center in sufficient time to allow for dispatch
on the same day.
(6) Since express terminals as a matter of policy are not
approved for storage of classified matter, overnight service is not
used on Fridays or on the day preceding a holiday unless prior
assurance has been received from the intended recipient that someone
will be available at the facility(ies) to receive the shipment on
l. Common Carrier Shipments. The following classes of common
carrier services may be utilized upon approval by the cognizant local
safeguards and security authority.
(1) Motor carriers in exclusive use that provide locked and
sealed van service.
(2) Locked and sealed railroad car, provided the carrier shall
furnish a report on request identifying the car location.
(3) Air carriers providing prompt tracking and special
(4) Commercial messenger services engaged in the
intracity/local area delivery (same day delivery only) of classified
matter between cleared facilities and to the U.S. Post Office.
(5) Rail, truck, or air without escort, or special protective
services, when size and weight together preclude removal without the
aid of mechanical devices, and when the containers are securely
banded, sealed, and otherwise fastened so as to readily reveal any
attempted opening or unauthorized access.
m. Additional Requirements. Shipments of classified matter,
including bulk document shipments, are subject to the following
conditions, unless more stringent requirements are imposed elsewhere.
(1) Contents shall be securely packaged and shall meet
applicable regulations (including those of the Department of
(2) Seals or other tamper-resistant devices shall be used on
shipping vehicles and containers, and be placed in a manner to show
evidence of tampering. The type of seal to be used is to be
determined by local safeguards and security authority. Seals shall
have serial numbers. Seal identification shall be entered on bills of
lading or other shipping papers. Seal numbers shall be verified by
the consignee upon arrival of a shipment.
(a) Combination padlocks meeting Federal Specification FF-
P-110 shall be used to secure closed cargo areas of vehicles, vans,
and railroad cars.
(b) Shipments of SECRET or CONFIDENTIAL matter received at
common carrier terminals shall be picked up by the consignee during
the same working day, unless the carrier provides continuous
protective service to the address of the consignee under locally
(c) Unescorted shipments by rail or truck (e.g., truckload
or carload) shall be made under arrangements with carriers to provide
in-transit reports as needed. The carrier shall provide immediate
notice concerning any serious delay of the shipment.
(3) Assurances and Notifications.
(a) Carrier must be approved according to DOE O 470.1.
(b) Notification of shipments shall be transmitted to the
consignee prior to departure with sufficient time to enable proper
handling at the destination. As a minimum, the notification shall
include the nature of the shipment, means of shipment, number of
seals, anticipated time and date of arrival, and requested
notification if not received by a specified time.
(c) The consignee shall advise the consignor of any
shipment not received within 48 hours after the estimated time of
arrival furnished by the consignor or transshipping activities
personnel. Upon receipt of such notice, the consignor shall
immediately initiate tracing of the shipment.
(4) Protective Measures. Protective measures for Departmental
security shipments are as follows.
(a) Sufficient personnel shall be tasked for a specific
movement assignment to ensure continuous protection of the matter
(b) Use of rail, truck, air, and other modes of
transportation shall be based on protection meeting the requirements
outlined in subparagraphs 1, and 2 below.
1 As a minimum, the common carrier or other service
shall be required to provide the following security services.
a Surveillance by an authorized carrier
employee when the classified matter is outside the vehicle.
b A tracking system that ensures prompt tracing
of the shipment while en route.
c When storage is required, classified matter
shall be stored in an alarmed or guarded storage area with immediate
response by a carrier employee, commercial guard, or police officer.
2 Verification shall be made of the identity and
authorization of person(s) who pick up the classified matter.
7. CONTRACT CLOSEOUT/FACILITY TERMINATION.
a. General. Classified matter received or generated in the
performance of a classified contract shall be returned to DOE on
completion of the contract unless the matter has been declassified,
destroyed, or retention is authorized.
b. Contract Completion. Upon completion or termination of a
contract, the contractor must submit, to the Contracting Officer,
either a certification of nonpossession or a certification of
possession. The Contracting Officer shall then transmit the
certifications to the cognizant security office.
c. Certification of Nonpossession.
(1) Upon return or destruction of all classified matter
pertaining to a contract, the contractor shall submit a certification
of nonpossession. The certification must include the contract number
and a statement that all classified matter has been returned or
(2) When a Departmental Element's facility approval is to be
terminated, a certificate of nonpossession must be completed as part
of the facility termination process.
d. Certification of Possession.
(1) Requests to retain classified matter shall indicate the
benefit to DOE and the intended use of the information.
Certifications must specifically identify each piece of TOP SECRET
matter and identify SECRET and CONFIDENTIAL matter by subject matter,
the type or form, and the quantity of matter.
(2) If the classified matter will aid the U.S. Government in
performing another active contract and the matter is being transferred
to the active contract, a copy of the retention notification shall be
provided to the Departmental Element or the other Government agency
holding the contract. If the contractor is not notified to the
contrary, the matter may be transferred and will fall under the
jurisdiction of the gaining contract.
(3) When a certification of possession is submitted, the
contractor may maintain the classified matter for 2 years unless
notified to the contrary by the appropriate Departmental Element.
e. Termination of Facility Approval. Notwithstanding the
provisions for retention outlined above, if a facility approval is
terminated for any reason, classified matter in the facility's
possession shall be returned to DOE or disposed of in accordance with
instructions from the Departmental Element.
a. General. Departmental Elements and contractors shall
establish procedures for an ongoing review of their classified
holdings to reduce their classified inventory to the minimum
necessary. Multiple copies, obsolete matter, and classified waste
shall be destroyed as soon as practical. Classified matter shall be
destroyed in accordance with records disposition schedules, including
the National Archives and Records Administration General Records
Schedules and DOE Records Schedule.
b. Methods. Classified matter shall be destroyed beyond
recognition to preclude reconstruction. Destruction can be
accomplished by burning, shredding, pulping, melting, mutilation,
chemical decomposition, or pulverizing. The following additional
requirements must be satisfied when classified matter is destroyed.
(1) The Departmental Element must approve public destruction
facilities or any other alternative procedures (e.g., burying or
disassembly). If classified matter cannot be destroyed at the
facility, it shall be destroyed on the same day it is removed from the
(2) A record of dispatch is not required unless custody of the
matter is released to another cleared contractor or a Government
(3) Ash residue produced by burning must be examined and
reduced by physical disturbance to ensure that the matter is
completely destroyed and no unburned matter remains.
(4) Classified microforms must be destroyed by burning,
chemical decomposition, disintegration, or other methods approved by
the Departmental Element.
(5) Classified automated information systems media must be
destroyed by pulverizing, smelting, incinerating, disintegrating, or
other appropriate methods.
c. Equipment. Classified matter shall be destroyed by equipment
that has been approved by the cognizant security office. The residue
output shall be inspected each time destruction is effected to ensure
that established requirements are met.
(1) Crosscut shredders that produce residue with a particle
size not exceeding 1/32 of an inch in width by ½ inch in length may be
used for destruction of classified paper and non-paper products,
(2) Pulping equipment shall be equipped with security screens
with perforations of 1/4 inch or smaller.
(3) Pulverizing equipment shall be outfitted with security
screens that meet these specifications.
(a) Hammer mills - the perforations shall not exceed 3/16
inch in diameter.
(b) Choppers and hybridized disintegrators - the
perforations shall not exceed 3/32 inch in diameter.
NOTE: When self-processing film or paper is used to photograph
or reproduce classified information, all parts of the last exposure
shall be removed from the camera and destroyed as classified waste, or
the camera shall be protected at the classification level (and
category if RD or FRD) of information contained on the media.
(1) The destruction of classified matter shall be accomplished
by individuals having appropriate access authorization commensurate to
the classification of matter to be destroyed.
(2) The destruction of SECRET or CONFIDENTIAL matter may be
accomplished by one individual, no witness is required.
(3) The destruction of TOP SECRET matter shall be witnessed by
an appropriately cleared individual other than the person destroying
the matter. Facilities with only one employee having the appropriate
access authorization shall contact their Departmental Element's
security organization for guidance on destruction.
e. Records of Destruction.
(1) Accountable Matter. Destruction of accountable classified
matter must be documented by using DOE F 5635.9, "Record of
Destruction," or a form similar in content, which shall be signed by
the individual destroying the matter. An audit trail must be
maintained until destruction.
(2) TOP SECRET. When TOP SECRET matter is destroyed, a record
of destruction shall be executed indicating the date of destruction
and identifying the matter destroyed. The form shall be signed by the
individual designated to destroy the matter and the witness to the
(3) Disposition of Records. Destruction records must be
maintained in accordance with the National Archives Records
Administration's General Records Schedules and the DOE Records
f. Waste. Classified waste shall be destroyed by approved
methods as soon as practical. Receptacles utilized to accumulate
classified waste shall be clearly marked to indicate its purpose.
Pending destruction, classified waste, and receptacles shall be
protected as required for the level of classified matter involved.
9. EMERGENCY PROCEDURES. Procedures shall be developed for
safeguarding classified matter in emergency situations.
a. If feasible, classified matter shall be secured in security
containers and the intrusion detection system activated.
b. If the emergency is life threatening, the health and safety of
personnel shall take precedence over the need to secure classified
matter. Security containers, vaults, and vault-type rooms shall be
inspected on return to the facility to determine whether classified
information has been compromised or if any classified matter is
UNACCOUNTED-FOR MATTER AND COMPROMISE OF CLASSIFIED INFORMATION
Loss, compromise, or unauthorized disclosure of information and
unaccounted-for matter shall be handled according to DOE O 470.1. In
addition, the following requirements apply.
1. DISCOVERY. Any person who determines that classified matter has
been or may have been lost or compromised or is otherwise
unaccounted-for shall take immediate action to preclude any further or
potential compromises and immediately report this information to the
facility security officer.
2. INSPECTION. Upon determining or learning that classified matter
may be lost or unaccounted-for, an inspection shall be completed
within 48 hours.
a. If the matter is found or otherwise accounted for, the
inspection will be discontinued.
b. If Secret or Confidential matter is unaccounted for, the
cognizant DOE safeguards and security organization shall be notified
within 24 hours following the completion of the inspection.
Notifications must also be made in accordance with DOE O 232.1.
c. If Sigma 1 or Sigma 2 Weapon Data matter is unaccounted for,
the Office of Safeguards and Security, the appropriate Secretarial
Officer, and the Office of Military Applications, through the
cognizant DOE safeguards and security organization, shall be notified
within 24 hours following the completion of the inspection.
d. If Top Secret matter, classified matter of another agency, or
classified matter of a foreign government is unaccounted for, the
Office of Safeguards and Security and the appropriate Secretarial
Officer, through the cognizant DOE safeguards and security
organization, shall be notified within 24 hours following the
completion of the inspection. Documents related to the Joint Atomic
Information Exchange Group shall also be reported to the Deputy
Assistant Secretary for Military Application and Stockpile Support,
who will ensure appropriate reporting to the Joint Atomic Information
a. When inspection efforts fail to reconcile unaccounted for
matter, and for all potential compromises, the appointed Inquiry
Official shall initiate an inquiry. The cognizant DOE safeguards and
security organization shall advise the Office of Safeguards and
Security of the initiation of an inquiry. As a minimum the inquiry
shall accomplish the following.
(1) Obtain signed statements by individuals who may have
knowledge regarding the circumstances.
(2) Complete DOE F 5635.11, "Reporting Unaccounted for
Documents" or a form similar in content when matter is unaccounted-
(3) Assess the potential for compromise; if results of the
inquiry indicate that a compromise has occurred or may have occurred,
notify the cognizant Secretarial Officer.
(4) When an inquiry establishes credible information that a
violation of law may have occurred, the Department of Justice
Eleven-point Criteria shall be completed. A positive response must be
provided to all eleven points for the Department of Justice to
initiate a formal investigation. All documentation and appropriate
information must be provided to support affirmative responses to the
(a) Could the date and identity of the article or articles
disclosing the classified information be provided?
(b) Could specific statements in the article that are
considered classified be identified? Was the data properly
(c) Is the classified data that was disclosed accurate? If
so, provide the name of the person competent to testify concerning the
(d) Did the data come from a specific document and, if so,
what is the origin of the document and the name of an individual(s)
responsible for the security of the classified data disclosed?
(e) Could the extent of official dissemination of the data
(f) Has it been determined that the data has not been
officially released in the past?
(g) Has it been determined that prior clearance for
publication or release of the information was not granted by proper
(h) Does review reveal that educated speculation on the
matter cannot be made from material, background data, or portions
thereof that have been published officially or have previously
appeared in the press?
(i) Could the data be made available for the purpose of
prosecution? If so, include the name of the person competent to
testify concerning the classification.
(j) Has it been determined that declassification had not
been accomplished prior to the publication or release of the data?
(k) Will disclosure of the classified data have an adverse
impact on the national defense?
b. A written inquiry report shall be completed, with supporting
statements/documentation, and forwarded to the Office of Safeguards
and Security and the responsible Secretarial Officer through the
cognizant DOE safeguards and security organization through 5000.3B.
When the possible compromise involves information or matter from
another Government agency or foreign government, the Office of
Security Affairs shall ensure the other agency or government is
informed of the results of the inquiry and subsequent actions.
c. Upon completion of the inquiry, the cognizant DOE safeguards
and security organization shall ensure:
(1) the party or parties responsible for compromise of the
classified information are identified, and as appropriate,
infractions assigned to individuals and disciplinary actions taken;
(2) protection and control and other security measures are in
(3) corrective actions are taken to preclude recurrence of
conditions or activities that allowed or contributed to the compromise
of classified information.
4. DAMAGE ASSESSMENTS.
a. Purpose. Damage assessments to assess potential damage to
national security are required by 32 CFR, Chapter XX, Part 2000,
"National Security Information," Section 2001.47, "Loss or Possible
Compromise." Damage assessments are used by responsible managers to
determine future courses of action within the program and by security
personnel for evaluating possible countermeasures and cover actions to
limit potential damage.
b. When Required. When the inquiries disclose evidence that
information may have been compromised and the compromise can
reasonably be expected to cause damage to the national security, a
damage assessment shall be conducted. Compromises may occur through
espionage, unauthorized disclosures to the press or other members of
the public, loss of classified information, unaccounted for classified
matters, or through various other circumstances. Both circumstances
of the loss and sensitivity of the information must be considered in
determining when a damage assessment is required.
c. Conduct of Damage Assessment. The Secretarial Officer with
programmatic responsibility for the compromised information will
appoint a DOE employee responsible for conducting the damage
assessment and appoint an assessment team consisting of an authorized
classifier and appropriate technical experts (e.g., weapons design,
nuclear policy, material production communications, intelligence,
etc.) to assist in assessment of the value of the compromised
information to foreign governments or hostile organizations.
d. Procedures. The following procedures shall be followed for
all DOE damage assessments.
(1) The originator of the compromised information shall
provide the cognizant DOE safeguards and security organization with a
copy of the compromised information (including a copy of the matter,
if appropriate) and rationale/justification for the assigned
classification with reference to appropriate classification guides.
(2) The originator shall immediately notify all known holders
of the matter of the compromise.
(3) The team performing the damage assessment shall prepare a
draft assessment and coordinate it with the originator.
(4) The damage assessment will then be approved by the
Secretarial Officer with programmatic oversight of the information and
submitted to the Office of Security Affairs.
(5) The assessment team will provide any additional assessment
effort and supporting documentation needed by the Office of Safeguards
and Security to complete any required DOE action.
e. Content. Damage assessments reports, as a minimum, contain
(1) Identification of the source, date, and circumstances of
(2) Classification of the specific information lost.
(3) Description of the specific information lost.
(4) An analysis and statement of the known or probable damage
to the national security that has resulted or may result.
(5) An assessment of the possible advantage to foreign powers
resulting from the compromise.
(6) An assessment of whether classification of the information
should be continued without change; specific information or parts
thereof that shall be modified to minimize or nullify the effects of
the reported compromise and the classification retained; and whether
downgrading, declassification, or upgrading is warranted and, if so,
confirmation of prompt notification to holders of any change.
(7) An assessment of whether countermeasures are appropriate
and feasible to negate or minimize the effect of the compromise.
(8) An assessment of other appropriate corrective,
administrative, disciplinary, or legal actions.
f. Coordination. Whenever an action is contemplated against any
person believed responsible for the compromise of classified
information, damage assessments shall be coordinated with the Office
of the General Counsel.
g. Combining Similar Documents. Damage assessments may be
completed for a group of unaccounted for classified matter discovered
during inventory whenever grouping is a logical method of meeting this
requirement. A logical grouping includes a situation when multiple
matters requiring a damage assessment are related to a programmatic
area and would result in similar damage to the national security or
advantage to foreign powers.
h. Outside Agency Information. Compromise of an outside agency's
classified information shall be reported to the originating agency by
the Office of Security Affairs. The report to the originating agency
must include all data pertinent to the compromise to assist in their
conduct of a damage assessment.
i. Joint Damage Assessments. When a compromise involves another
government agency's information, the following conditions apply.
(1) The other agency has the inherent responsibility to
conduct the damage assessment on their information that was
(2) Whenever a compromise involves the classified information
of DOE and another agency, and if more than one damage assessment is
performed, the Departmental Element responsible for the DOE damage
assessment shall provide, through the Office of Security Affairs, the
findings to the other agency.
(3) When a joint assessment is to be made, the Office of
Security Affairs will coordinate assignment of responsibility between
DOE and the other agency.
(4) Whenever a compromise of DOE classified information is the
result of actions taken by foreign nationals, by foreign government
officials, or by U.S. nationals in the employ of international
organizations, the Office of Security Affairs shall ensure, through
appropriate intergovernmental liaison channels, that information
pertinent to the assessment is obtained.
(5) Whenever a compromise of Sensitive Compartmented
Information has occurred, the Director, Office of Energy Intelligence,
shall consult with the designated representative of the Director of
Central Intelligence and other appropriate officials with
responsibility for the information involved.
5. NOTIFICATION TO INFORMATION SECURITY OVERSIGHT OFFICE. On
receiving written confirmation from a Departmental Element of an
unauthorized disclosure of, or access to, National Security
Information by a DOE employee, DOE contractor, or consultant, the
Office of Safeguards and Security shall notify the Information
Security Oversight Office of the details. Such notification shall be
given immediately when the disclosure results from systematic
problems. Otherwise, semiannual reports of unauthorized disclosures
shall be made.
6 RECORDS RETENTION. Records of all actions pertaining to
unaccounted for/compromised matter or compromises of classified
information must be maintained by the facility security officer and
the cognizant Departmental Element safeguards and security
organization. Records shall be destroyed 5 years after the close of
all associated actions. These records will not be sent to Federal