PROTECTION AND CONTROL OF CLASSIFIED MATTER
a. Classification levels 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
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 persons outside the facility
protective zone from viewing or hearing classified information.
Conference rooms and areas specifically designated for classified
discussions shall follow Technical Surveillance Countermeasures
e. Sensitive Compartmented Information Facilities shall be afforded
physical protection in accordance with the Director of Central
Intelligence Directives (see Attachment 1). Any matters pertaining
to this subject shall be referred to the Director of Safeguards and
Security for coordination.
2. IN USE. Classified matter in use shall be constantly attended by or
under the control of a person or persons having the proper access
authorization and a need-to-know, who are responsible for its
protection. (Exception: Local safeguard and security authorities may
establish written local policy, addressing operational needs, that
allows Confidential and/or Secret matter to be left temporally
unattended within an appropriately locked room, within an attended
Limited Area, Protected Area, or Exclusion Area, during normal working
hours. 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
3. IN STORAGE.
a. General. Classified matter shall be stored in a manner to prevent
unauthorized persons from gaining access.
b. Restrictions on Use of Security Containers.
(1) Funds, firearms, medical items, controlled substances,
precious metals, or other items susceptible to theft shall not
be stored in the same security container that is used to store
(2) Security containers shall not bear any external classification
or other type markings that would indicate the level of
classified matter authorized to be stored within the
container. For identification purposes, each security
container shall externally bear an assigned number.
c. Requirements. Security containers required for the storage of
classified matter shall, as a minimum, conform to the applicable
requirements of Chapter IX of this Manual. Classified matter that
is not under the personal control of an authorized person shall be
stored as prescribed below.
(1) Top Secret Matter. Top Secret matter shall be stored in a
locked, General Services Administration-approved security
container. The security container shall be located within a
Security Area providing as a minimum the protection level of a
Limited Area. In addition, the security container shall be
under intrusion detection alarm protection or protective
patrol, with inspections on a 4-hour basis.
(2) Secret Matter. Secret matter shall be stored in a manner
authorized for Top Secret matter or in one of the following
(a) In a locked General Services Administration approved
1 General Services Administration-approved security
containers not located within the minimum protection
level of a Limited Security Area shall be under
intrusion detection alarm protection.
2 Steel filing cabinets, not meeting General Services
Administration requirements, but approved for use
prior to the date of this Manual, may continue to be
used until there is a need for replacement. They
shall be equipped with a minimum of an Underwriter
Laboratories Group 1R, built-in, changeable
combination lock. Steel filing cabinets located
within the minimum protection level of a Limited
Security Area shall be under intrusion detection
alarm protection or protective patrol on an 8-hour
basis. If the steel filing cabinet is not located
within a minimum protection level of a Limited
Security Area, it shall be under intrusion detection
3 In open storage or in unlocked cabinets within a
locked vault or vault-type room.
(b) Material whose size, weight, or construction offers
substantial resistance to unauthorized removal or
surreptitious access to contents shall be stored within
the minimum protection level of a Limited Security Area
in one of the following ways:
1 Within a locked building, or in a locked room within
a building. The building or room shall provide
visible evidence that an intruder has attempted to
penetrate or has penetrated the building or room.
In addition, the room or building shall be under
intrusion detection alarm protection or subject to
protective patrols on an 8-hour basis.
2 In open storage within a securely locked and
separately fenced area. The classified items, as
appropriate, shall be concealed from unauthorized
view, and the storage area shall be intrusion
detection alarm protected or subject to protective
patrols on a 4-hour basis.
3 In open storage without a separately fenced and
locked area. The classified matter shall be
concealed from unauthorized view. The storage
location shall be under intrusion detection alarm
protection or subject to protective patrols on a
(c) Material whose size, weight, or construction offers
substantial resistance to unauthorized removal, but
nevertheless is susceptible to unauthorized removal or
surreptitious access shall be protected in the manner set
forth in subparagraphs 3c(2)(b) 1, 2, or 3 above, except
that protective patrols shall occur at intervals not to
exceed 2 hours.
(3) Confidential Matter. Confidential matter shall be stored in a
manner authorized for Secret matter or in one of the following
(a) In a locked, General Services Administration-approved
security container or steel filing cabinet. Steel filing
cabinets shall be equipped with a minimum of an
Underwriters Laboratories Group 1R, built-in, changeable
combination lock, or lock bar with combination padlock
that meets Federal Specification FF-P-110 "Padlock,
Changeable Combination." If the steel filing cabinet is
not located within the minimum protection level of a
Limited Area or Exclusion Area, then it shall be under
central alarm station protection.
(b) Time intervals for the protective personnel patrols
referenced in subparagraphs 3c(2)(b) 1, 2, and 3 above
shall be changed to 24, 12, and 6 hours respectively for
d. Protective Personnel.
(1) In the event that an unattended repository or location
containing classified matter is found open, the repository
shall be secured by designated protective personnel and a
custodian shall be notified immediately. The contents shall
be checked no later than the next workday. If there is an
indication of a violation or compromise, the contents shall be
checked immediately by a custodian, being careful not to
destroy fingerprints or other physical evidence. Report as
required by DOE 5639.1, INFORMATION SECURITY PROGRAM, and DOE
5000.3B, OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS
INFORMATION. Refer to DOE 5639.1 regarding the conduct of
(2) Response to intrusion detection alarms shall be by protective
personnel, private security firms, or local law enforcement
personnel, as documented in approved security plans.
e. Alternate Storage Locations.
(1) With prior written Departmental approval, a bank safe deposit
box/vault may be used for storage of Secret or Confidential
matter, provided that the lock and keys to the box/vault are
changed prior to such use and the customer's key is furnished
only to persons authorized access to the contents.
(2) Federal Records Centers approved as outlined in DOE 5634.1B
may be used for the storage of classified information.
4. MARKING. Within 6 months of the date of this Order the following
requirements shall be fully implemented. Classified matter marked
according to previous requirements need not be remarked to conform with
the following requirements. Classified matter must clearly indicate the
classification level (and category if RD or FRD).
a. General. Classified matter must be properly and fully marked to
indicate the classification level (and category if Restricted Data
(RD) or Formerly Restricted Data (FRD)) and any other required
notations. Specific examples of markings, including their use,
format, and placement are contained in "The Guide for
Implementation of CLASSIFIED MATTER PROTECTION AND CONTROL."
b. Originator Identification. Classified documents shall be marked to
show the name of the organization responsible for its preparation
and the date of preparation.
c. Classification Level. The overall classification level of a
document shall be marked 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. These markings shall be
clearly distinguishable from the informational text. 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 to recipients. The
highest classification level of each page shall be marked at the
top and bottom of interior pages of classified documents; or when
individual page marking is not feasible, the overall classification
level of the document may be used instead. These markings shall be
clearly distinguishable from the informational text.
d. Classification Category. 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.
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
to recipients. These markings shall be clearly distinguishable
from the informational text.
e. 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 component.
(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.
(2) Documents containing RD or FRD are not required to be portion
(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).
(4) Portions of U.S. documents containing NATO information shall
indicate NATO or COSMIC, including the appropriate
classification level, for example, (NATO-S) or (COSMIC-TS).
(5) If portion marking is appropriate for Foreign Government
Information this notice may be abbreviated as "FGI."
g. 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
h. Classifier Information. DOE 5650.2B, IDENTIFICATION OF CLASSIFIED
INFORMATION, specifies the classifier information that must be
contained on classified matter. These include:
(1) Date of classification.
(2) Name, position title, and organization of the Authorized
(3) Designation of the guide or source document, if derivatively
classified (NSI) only; and
(4) Duration of classification (NSI only).
i. 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.
j. 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 require special dissemination or reproduction
limitations on classified information the following notation
shall be used:
(a) "FURTHER DISSEMINATION ONLY AS AUTHORIZED BY GOVERNMENT
AGENCY" apply 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 activity.
(b) "REPRODUCTION REQUIRES APPROVAL OF ORIGINATOR" apply 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 originator.
(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
"North Atlantic Treaty Organization (NATO)" or "COSMIC"
precedes a classification information is the property of
(b) NATO UNCLASSIFIED (NU). This marking, applied to NATO
information that does not require security protection, is
handled in accordance with information management
(c) ATOMAL. Another category of NATO information is called
ATOMAL. This 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 by the intelligence
community for intelligence information:
(a) No Dissemination to Contractors (NOCONTRACT). This
marking indicates that the information contained in the
document must not be released to contractors or
consultants without the permission of the originating
(b) 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 shall it be released
to members of the public because this is considered to be
tantamount to foreign disclosure.
(c) Originator Controlled (ORCON). This marking indicates
that the document bearing the marking is controlled by
the originator. Reproduction or redistribution of such
documents require the permission of the originator.
(d) Proprietary Information (PROPIN). This marking indicates
that the information contained in the document must not
be released in any form to an individual, organization,
or foreign government that has any interests, actual or
potential, in competition with the source of the
information, without the permission of the originating
(e) REL (Authorized for Release to Country). This marking
applies to classified intelligence an originator has
predetermined to be releasable or has released through
established foreign disclosure procedures and channels to
a specified foreign country(ies), or international
(f) Warning Notice--Intelligence Sources and Methods
(WNINTEL). This marking applies to documents containing
information relating to intelligence sources or methods.
(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 ten
separate categories (1-5 and 9-13) concerning the design,
manufacture, or use of atomic weapons or nuclear
(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, the
knowledge of which would significantly enhance an
adversary's ability to circumvent a weapon's use control
k. Remarking Downgraded/Declassified Matter. Matter marked for
automatic downgrading or declassification may be downgraded, or
declassified and remarked accordingly. Matter not marked for
automatic downgrading or declassification will remain classified
until a determination is made by the originating agency.
l. Marking Special Documents. The following are specific placement
requirements for markings identified above:
(1) Charts, Maps, Drawings, and Tracings. The overall
classification level of the document shall be marked under the
legend, title, or scale block. Classification markings shall
be visible when charts, maps, drawings, or tracings are folded
(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).
(3) Microforms. Microforms contain images or text in sizes too
small to be read by the unaided eye. Markings specified by
this chapter shall be marked on the medium or its container,
to be readable by the unaided eye. These markings shall also
be included on the image. Markings shall consider the media
(4) Motion Picture Films or Video Tapes. Classified motion
picture films and video tapes shall be marked at the beginning
and end of each reel. Such markings shall be visible when
projected or viewed.
(5) Photographs. Roll negatives or positives shall be marked at
the beginning and end of each strip. Prints and reproductions
shall show these markings on the face side of the print, if
possible. When this is not possible, the marking 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, if 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. Classification level
and category shall be shown on the image of the first
transparency, slide, sheet film of a series. All other
applicable markings specified in this chapter shall be shown
on the border or frame, or in the accompanying documentation.
The succeeding transparencies, slides, and sheet film must
indicate classification level only. When a set of
transparencies, slides, or sheet film is handled and
controlled as a single document, only the title slide or
transparency requires the other applicable 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) Automated Information Systems Media. Specific requirements
for the handling of automated information system media are
addressed in DOE 5639.6, CLASSIFIED COMPUTER SECURITY PROGRAM.
(9) Translations. U.S. classified information translated into a
foreign language shall be marked as U.S. classified
information, and show the equivalent foreign government
(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.
m. File Folders and Other Containers. When not in approved security
containers, file folders and other items containing classified
documents shall be marked to indicate conspicuously the highest
classification level of any classified matter included.
n. 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 restrictions.
o. 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) Date when created;
(2) Highest classification level (and category if RD or FRD) of
any information contained therein;
(3) Those prescribed for a finished document of the same
(a) Released by the originator outside the activity,
(b) Retained for more than 180 days from the date of origin,
(c) Filed permanently.
p. 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
q. 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
remarked. However, as a minimum, all documents received must
indicate a classification level (and category if RD or FRD).
r. Cover Sheets. The Standard Form (SF) cover sheet shall be applied
to classified documents when removed from a security container.
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
5. ACCOUNTABILITY AND CONTROL SYSTEMS.
a. General. Departmental Elements and covered contractors shall
establish control systems to prevent unauthorized access to
classified information. Accountability systems provide a system of
procedures which provide an audit trail. Accountable matter
includes TOP SECRET matter, SECRET matter that is maintained (e.g.,
used, processed, stored) outside of Limited Areas, Exclusion Areas,
or Protected Areas, and any matter that requires accountability by
National, International, or programmatic requirements.
b. Control Stations. Departmental Elements and covered contractors
shall establish control stations to maintain records and control
classified matter received by and/or dispatched from their
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 matter.
c. Top Secret Access Records. An up-to-date record (i.e., DOE Form
5635.4, "Top Secret Access Sheet") shall be maintained of 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 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. Control station operators shall maintain
accountability systems for accountable matter. As a minimum
accountability records shall indicate for each accountable item:
(1) Date of the matter;
(2) Originating activity;
(3) Activity from which the matter was received, if applicable;
(4) Date of receipt, if applicable;
(5) Classification level (and category if RD or FRD), and
additional handling caveats, if any, of the matter;
(6) Brief, unclassified description of the matter;
(7) Unique identification number;
(8) Number of copies of documents generated or reproduced; and
(9) Disposition (for example: destruction, downgrading,
declassification or dispatch outside the facility, or
incorporation in another accountability record) of the matter
and the date.
(10) 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
e. Inventory. An annual inventory of accountable matter shall be
conducted. Each item listed in an accountability record must be
visually verified and the contents of all containers authorized for
storage of classified matter examined to ensure that all
accountable matter has been entered into the accountability system.
A report of unresolved discrepancies shall be submitted in
accordance with DOE 5639.1.
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 DOE 1324.2A,
and the National Archives Records Administration's General Records
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:
(1) Protected in accordance with the assigned classification;
(2) Destroyed when no longer needed; and
(3) Accounted for (if required) and controlled in the manner
prescribed for a finished document of the same classification
(a) Released by the originator outside the activity,
(b) Retained for more than 180 days from the date of origin,
(c) Filed permanently.
h. Automated Information System Media.
(1) 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) Accountability is not required for individual files/documents
contained on storage media regardless of the classification
level involved. Contractors, however, 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 in the event of loss or
compromise. 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
(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
(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 page III-22,
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 which requires generation or reproduction of TOP SECRET
matter will satisfy this requirement, and additional authorization
will not be required.
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.
7. RECEIPT AND TRANSMISSION
a. General. Classified matter may only be transmitted 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 unopened to personnel
designated to receive it at a control station(s) or TOP SECRET
Control Officer. In addition, procedures shall be established
to ensure that authorized personnel deliver such mail to the
control station(s) with the inner container unopened, when
U.S. Registered Mail, U.S. Express Mail, U.S. Certified Mail,
or classified matter delivered by messenger is not received
directly by the designated control station personnel.
(2) The package shall be examined for any evidence of tampering,
and the classified contents checked against the receipt.
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, the receipt shall be
signed and returned to the sender.
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 by a cover sheet. 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 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 facilitate the detection of tampering, seals, puncture
resistant material, wire mesh, or other knife-slash resistant
material 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 which
is unclassified and 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 classified.
(4) If the classified matter is an inaccessible internal component
of a bulky item of equipment that can not 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
(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
(6) If a locked briefcase is used to hand-carry classified matter,
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
when travelling 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 for the transmittal of 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. With the exception of accountable matter,
receipts are not required for:
(a) transmission within a facility;
(b) hand-carrying of matter; and
(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 courier.
(3) Suspense Copy. A duplicate copy of receipts 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 followup action
shall be initiated if the signed receipt, or similar written
confirmation, is not returned within the suspense period. If
the followup action is unsuccessful, an inquiry shall be
conducted and the possible loss of the matter shall be
reported in accordance with DOE 5639.1. Copies of signed
receipts for classified matter shall be retained at control
stations in accordance with DOE 1324.2A, and the National
Archives and Records Administration's General Records
e. Classified Mailing Address. Classified matter shall be addressed
only to classified mailing addresses. Classified mailing addresses
must be verified through the Safeguards and Security Information
Management System. Office code letters, numbers, or phrases shall
be used in an attention line for internal routing. When classified
matter must be sent to individuals operating at a cleared facility,
engaged as a consultant, or to any facility at which only one
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
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 in a manner that ensures 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 electrical means.
g. Top Secret Outside of Facilities.
(1) Individuals may be authorized to hand-carry TOP SECRET in
accordance with page III-17, paragraph 7j.
(2) When authorized by the Director of Safeguards and Security,
TOP SECRET may also be transmitted by the Defense Courier
Service, or 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
(4) Outside the U.S., provided that the means of transportation is
under United States military control or under United States
registry, matter may be transmitted in the custody of a
cleared individual, who is authorized and specifically
approved by a responsible Department of Energy 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.
(2) SECRET matter may be transmitted through the following postal
(a) United States 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) United States Postal Service 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 and does not pass
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 United States
Government and Canadian Government installations in the
50 States, the District of Columbia, and Canada.
(3) Commercial express service organizations may be used for the
transmission of SECRET matter in accordance with the
provisions contained in paragraph 7m, below.
i. Confidential Outside of Facilities.
(1) CONFIDENTIAL matter may be transmitted by any method approved
for the transmission of SECRET matter.
(2) U.S. Postal Service Certified within the 50 States, the
District of Columbia, Puerto Rico, and U.S. territories or
j. Authorized Hand-carriers and Escorts. 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: (i) an
unusual situation warrants such action; (ii) the classified matter
is not available at the destination; (iii) the time does not permit
transmission by other authorized methods; (iv) the classified
matter can be properly handled and protected during transmission;
and (v) the transmission can be successfully completed on the same
day and the classified matter can be appropriately stored upon
arrival. Only the classified matter absolutely essential for the
purpose of the visit or meeting may be hand-carried by the
(1) The authorized individual shall have an access authorization
commensurate with the level of the information involved.
(2) 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 facilities.
(3) 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.
(4) The authorized individual shall retain the classified matter
in their possession at all times. Arrangements shall be made
in advance of departure for overnight storage at an approved
facility that has appropriate storage capability.
(5) 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.
(6) 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
(7) When escorting shipments of classified matter by means of
commercial or military aircraft, individuals shall provide
continuous observation of plane and cargo during ground stops
and of cargo during loading and unloading operations.
(8) Employees authorized to hand-carry classified matter aboard
commercial passenger aircraft shall follow procedures
established in FAA circular 108-3 and be briefed on their
overall responsibility to safeguard the classified matter and
on established procedures.
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 that:
(1) The express service organization has been approved for the
shipping and receiving locations. Approval shall be
accomplished by use of DOE F 5600.2, "Facility Data and
(2) The transmittal address is correct and, in some instances, the
appropriate, special facility handling instructions are used
for such service.
(3) The intended recipient(s) is notified of the proposed shipment
and arrival date.
(4) The properly wrapped package is hand-carried to the express
mail dispatch center in sufficient time to allow for dispatch
on the same day.
(5) 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 arrival.
l. Common Carrier Shipments. The following classes of common carrier
services may be utilized upon approval by the cognizant local
safeguards and security authority, including:
(1) Motor carriers in exclusive use that provide locked and sealed
(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 signature
(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 positive fastening 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
(a) General Services Administration-approved combination
padlocks 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 approved procedures.
(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 5634.1B.
(b) Notification of shipments shall be transmitted prior to
departure either to the consignee or to the Departmental
Element exercising administrative jurisdiction over the
consignee, with sufficient time and information 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
(4) Protective Measures. Protective measures for Departmental
security shipments are as follows:
(a) Appropriately authorized and cleared personnel,
designated by name or title and given written authority
by the responsible manager, may hand-carry, transport, or
escort classified matter. Sufficient personnel shall be
tasked for a specific movement assignment to ensure
continuous protection of the matter being transported.
(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
a Surveillance by an authorized carrier employee
when the classified matter is outside the
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
2 Verification shall be made of the identity and
authorization of person(s) who pick up the
8. 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. Within 120 days after completion or
termination of a contract, the contractor must submit, to the
Contracting Officer, either a certification of non-possession or a
certification of possession. The Contracting Officer shall then
transmit the certifications to the cognizant security office.
c. Certification of Non-possession.
(1) Upon return or destruction of all classified matter pertaining
to a contract, the contractor shall submit a certification of
non-possession. The certification must include the contract
number and a statement that all classified matter has been
returned or destroyed.
(2) When a Departmental Element's facility approval is to be
terminated, a certificate of non-possession must be completed
as part of the facility termination process.
d. Certification of Possession.
(1) Requests to retain classified 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
(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
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
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. Other approved methods such as
disintegration, shredding, or burning shall be used to destroy
paper products, as well as non-paper material such as mylar.
Classified microforms may be destroyed by burning, chemical
decomposition, disintegration, or other methods approved by the
Departmental Element. 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
(2) Classified matter shall be destroyed on the same day it is
removed from the facility. A record of dispatch is not
required unless custody of the matter is released to another
contractor or a Government Agency.
(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.
c. Equipment. Classified matter shall be destroyed by equipment which
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 which produce residue particle size not
exceeding 1/32 of an inch in width by 1/2 inch in length, may
be used for destruction of classified paper and non-paper
products, except microforms.
(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 may be accomplished
by one individual. 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", which shall be signed by the individual
destroying the matter. An audit trail must be maintained
(2) TOP SECRET. When TOP SECRET matter is destroyed, a DOE F
5635.9 shall be executed indicating the date of destruction
and identifying the matter destroyed. The certificate shall
be signed by the individual designated to destroy the matter
and the witness to the destruction.
(3) Disposition of Records. DOE F 5635.9 must be maintained in
accordance with DOE 1324.2A, and the National Archives Records
Administration's General Records Schedules.
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.