This Regulation is issued under the authority of DoD Directive 5200.1, "DoD Information Security Program," December 13, 1996. It prescribes procedures for implementation of Executive Order 12958, "Classified National Security Information," April 20, 1995, within the Department of Defense.

DoD 5200.1-R, "DoD Information Security Program," June 1986, is hereby canceled.

This Regulation applies to the Office of the Secretary of Defense, the Military Departments, the Chairman of the Joint Chiefs of Staff, the Combatant Commands, the Inspector General of the Department of Defense, the Uniformed Services University of the Health Sciences, the Defense Agencies, and the DoD Field Activities (hereafter referred to collectively as "the DoD Components").

This Regulation is effective immediately and is mandatory for use by all the DoD Components. The Heads of the DoD Components may issue implementing instructions when necessary to provide for internal administration of this Regulation within their respective Components.

Send recommended changes to this Regulation through channels to:

Principal Director, Information Warfare, Security and Counterintelligence
Office of the Assistant Secretary of Defense (Command, Control, Communications, and Intelligence)
6000 Defense Pentagon
Washington, DC 20301-6000

The DoD Components may obtain copies of this Regulation through their own publication channels. This Regulation will be published in Title 32, Code of Federal Regulations (CFR), Part 159. The CFR is available in all Government Depository Libraries. Federal Agencies and the public may obtain copies of this Regulation from the U.S. Department of Commerce, National Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161.

s/s Emmett Paige, Jr.

Foreword

Table of Contents iii

CHAPTER 1: POLICY AND PROGRAM MANAGEMENT

Section 1: Policy

1-100 Purpose and Scope 1-1
1-101 Policies 1-1

Section 2: Program Management

1-200 Department of Defense 1-2
1-201 DoD Components 1-2
1-202 Senior Agency Officials 1-2

Section 3: Special Types of Information

1-300 Restricted Data 1-3
1-301 Sensitive Compartmented Information (SCI) and Communications Security (COMSEC) Information 1-3
1-302 Special Access Program Information 1-3
1-303 North Atlantic Treaty Organization and Other Foreign Government Information 1-3

Section 4: Exceptional Situations

1-400 Military Operations 1-3
1-401 Waivers to Requirements 1-3

Section 5: Corrective Actions and Sanctions

1-500 General 1-4
1-501 Sanctions 1-4
1-502 Reporting of Incidents 1-4

Section 6: Reports

1-600 Reporting Requirements 1-4

Section 7: Self-Inspection

1-700 Self-Inspection 1-5

CHAPTER 2: ORIGINAL CLASSIFICATION

Section 1: General Provisions

Section 2: Original Classification Authority

2-200 Policy 2-1
2-201 Delegation of Authority 2-1
2-202 Required Training 2-1

Section 3: The Original Classification Process

2-300 Overview 2-2
2-301 Eligibility for Classification 2-2
2-302 Possibility of Protection 2-2
2-303 The Decision to Classify 2-2
2-304 Level of Classification 2-2
2-305 Duration of Classification 2-3
2-306 Communicating the Decision 2-3

Section 4: Special Considerations

2-400 Compilation 2-3
2-401 The Acquisition Process 2-3
2-402 Limitations and Prohibitions 2-3

Section 5: Security Classification and/or Declassification Guides

2-500 Policy 2-4
2-501 Content 2-4
2-502 Approval, Distribution and Indexing 2-4
2-503 Review, Revision and Cancellation 2-4

Section 6: Information from Private Sources

2-600 Policy 2-5
2-601 Classification Determination 2-5
2-602 Patent Secrecy Act 2-5

CHAPTER 3: DERIVATIVE CLASSIFICATION

Section 1: Policy and General Requirements

3-100 The Nature of the Process 3-1
3-101 Authority and Responsibility 3-1
3-102 Policy 3-1

Section 2: Procedures

3-200 General 3-1
3-201 Special Cases 3-2

CHAPTER 4: DECLASSIFICATION AND REGRADING

Section 1: General

4-100 Policy 4-1
4-101 Declassification Systems 4-1
4-102 Declassification Authority 4-1
4-103 Exceptions 4-1

Section 2: Declassification Decisions by Original Classifiers

4-200 Requirement 4-1
4-201 The "Ten-Year Rule" 4-1
4-202 Exemption from the 10 Year Rule 4-2
4-203 Extension of Ten-Year Declassification Periods 4-2

Section 3: Automatic Declassification at 25 Years

4-300 The Automatic Declassification System 4-2
4-301 Exemption of Specific Information 4-3

Section 4: Mandatory Review for Declassification

4-400 General 4-4
4-401 Responsibilities and Procedures 4-4

Section 5: Systematic Review for Declassification

4-500 General 4-5

Section 6: Downgrading

4-600 Purpose and Authority 4-5
4-601 Downgrading Decisions During Original Classification 4-5
4-602 Downgrading at a Later Date 4-5

Section 7: Upgrading

4-700 General 4-5

Section 8: Foreign Government Information

4-800 Policy and Procedures 4-6
4-801 Communications with Foreign Governments 4-6

Section 9: Challenges to Classification

4-900 Classification Challenges 4-6

CHAPTER 5: MARKING

Section 1: General Provisions

5-100 Marking and Designation Rules 5-1
5-101 Exceptions 5-1
5-102 Marking Classified Documents and Other Material 5-1

Section 2: Specific Markings on Documents

5-200 Overall Classification Marking 5-2
5-201 Agency, Office of Origin, and Date 5-2
5-202 Source(s) of Classification 5-2
5-203 Reason for Declassification 5-2
5-204 Declassification Instructions 5-3
5-205 Downgrading Instructions 5-5
5-206 Identification of Specific Classified Information 5-5
5-207 Page Marking 5-6
5-208 Special Control and Similar Notices 5-6

Section 3: Marking Special Types of Documents

5-300 Documents With Component Parts 5-7
5-301 Transmittal Documents 5-7
5-302 Classification by Compilation 5-7
5-303 Translations 5-8
5-304 Information Transmitted Electronically 5-8
5-305 Documents and Material Marked for Training Purposes 5-8
5-306 Files, Folders, and Groups of Documents 5-8
5-307 Printed Documents Produced by AIS Equipment 5-8

Section 4: Marking Special Types of Materials

5-400 General Policy Statement 5-8
5-401 Blueprints, Schematics, Maps, and Charts 5-9
5-402 Photographs, Negatives, and Unprocessed Film 5-9
5-403 Slides and Transparencies 5-9
5-404 Motion Picture Films and Videotapes 5-9
5-405 Sound Recordings 5-9
5-406 Microforms 5-9
5-407 Removable AIS Storage Media 5-9
5-408 Fixed and Internal AIS Storage Media 5-10
5-409 Standard Form (SF) Labels 5-10
5-410 Intelligence Information 5-10

Section 5: Changes in Markings

5-500 Downgrading and Declassification in Accordance with Markings 5-10
5-501 Downgrading and Declassification Earlier Than Scheduled 5-11
5-502 Upgrading 5-11
5-503 Posted Notice on Bulky Quantities of Material 5-11
5-504 Extensions of Duration of Classification 5-11

Section 6: Remarking and Using Old Classified Material

5-600 Old Markings Can Remain 5-11
5-601 Earlier Declassification and Extension of Classification 5-11

Section 7: Foreign Government Information/Equivalent U.S. Classification Designation

5-700 General 5-12
5-701 Marking NATO Documents 5-12
5-702 Marking Other Foreign Government Documents 5-12
5-703 Marking of Foreign Government and NATO Information in DoD Documents 5-12
5-704 Marking for Transfer to Archives 5-13

CHAPTER 6: SAFEGUARDING

Section 1: Control Measures

6-100 General 6-1
6-101 Working Papers 6-1

Section 2: Access

6-200 Policy 6-1
6-201 Access by Persons Outside the Executive Branch 6-1
6-202 Visits 6-3

Section 3: Safeguarding

6-300 General Policy 6-3
6-301 Care During Working Hours 6-3
6-302 End-of-Day Security Checks 6-3
6-303 Emergency Planning 6-3
6-304 Telephone Conversations 6-4
6-305 Removal of Classified Storage Equipment 6-4
6-306 Residential Storage Arrangements 6-4
6-307 Classified Meetings and Conferences 6-4
6-308 U.S. Classified Information Located in Foreign Countries 6-5
6-309 Information Processing Equipment 6-5

Section 4: Storage

6-400 General Policy 6-6
6-401 Standards for Storage Equipment 6-6
6-402 Storage of Classified Information 6-6
6-403 Procurement of New Storage Equipment 6-7
6-404 Equipment Designations and Combinations 6-7
6-405 Repair of Damaged Security Containers 6-8
6-406 Maintenance and Operating Inspections 6-9

Section 5: Reproduction of Classified Material

6-500 Policy 6-9
6-501 Approval for Reproduction 6-9
6-502 Control Procedures 6-9

Section 6: Foreign Government Information

6-600 General 6-10
6-601 Foreign Government Top Secret, Secret and Confidential Information 6-10
6-602 Foreign Government Restricted Information Provided in Confidence 6-10
6-603 Third-Country Transfers 6-10
6-604 Storage 6-10

Section 7: Disposition and Destruction of Classified Material

6-700 Policy 6-11
6-701 Methods and Standards 6-11

Section 8: Alternative or Compensatory Control Measures

6-800 General 6-11
6-801 Special Access Controls 6-12

CHAPTER 7: TRANSMISSION AND TRANSPORTATION

Section 1: Methods of Transmission or Transportation

7-100 Policy 7-1
7-101 Top Secret Information 7-1
7-102 Secret Information 7-1
7-103 Confidential Information 7-2
7-104 Transmission of Classified Material to Foreign Governments 7-3
7-105 Shipment of Freight 7-3

Section 2: Preparation of Material for Transmission

7-200 Envelopes or Containers 7-3

7-201 Addressing 7-4

Section 3: Escort or Hand-Carrying of Classified Material

7-300 General Provisions 7-4

7-301 Documentation 7-5

7-302 Hand-carrying or Escorting Classified Material Aboard Commercial Passenger Aircraft 7-5

CHAPTER 8: SPECIAL ACCESS PROGRAMS

8-100 Policy 8-1
8-101 SAP Procedures 8-1
8-102 Control and Administration 8-2
8-103 Establishment of DoD SAPs 8-2
8-104 Reviews of SAPs 8-5
8-105 Annual Reports and Revalidation 8-6
8-106 Interim Reports 8-6
8-107 Changes in Classification 8-6
8-108 Termination and Transitioning of SAPs 8-7

CHAPTER 9: SECURITY EDUCATION AND TRAINING

Section 1: Policy

9-100 General Policy 9-1
9-101 Methodology 9-1

Section 2: Initial Orientation

9-200 Cleared Personnel 9-1
9-201 Uncleared Personnel 9-2

Section 3: Special Requirements

9-300 General 9-2
9-301 Original Classifiers 9-2
9-302 Declassification Authorities Other Than Original Classifiers 9-2
9-303 Derivative Classifiers, Security Personnel and Others 9-2
9-304 Others 9-3

Section 4: Continuing Security Education/Refresher Training

9-400 Continuing Security Education 9-3
9-401 Refresher Training 9-3

Section 5: Termination Briefings

9-500 General 9-4

Section 6: Program Oversight

9-600 General 9-4

CHAPTER 10: ACTUAL OR POTENTIAL COMPROMISE OF CLASSIFIED INFORMATION

10-100 Policy 10-1
10-101 Reporting 10-1
10-102 Inquiry/Investigation 10-2
10-103 Results of the Inquiry/Investigation 10-2
10-104 Verification, Reevaluation, and Damage Assessment 10-3
10-105 Debriefings in Cases of Unauthorized Access 10-3
10-106 Management and Oversight 10-4
10-107 Additional Investigation 10-4
10-108 Unauthorized Absences 10-4

APPENDIX A: REFERENCES A-1

APPENDIX B: DEFINITIONS B-1

APPENDIX C: CONTROLLED UNCLASSIFIED INFORMATION C-1

APPENDIX D: SPECIAL PROCEDURES FOR USE IN SYSTEMATIC D-1

AND MANDATORY REVIEW OF CRYPTOLOGIC INFORMATION

APPENDIX E: CONTROL OF DISSEMINATION OF INTELLIGENCE E-1

INFORMATION (to be provided at a later date)

APPENDIX F: EQUIVALENT FOREIGN SECURITY CLASSIFICATIONS F-1

APPENDIX G: PHYSICAL SECURITY STANDARDS G-1

APPENDIX H: TRANSMISSION TO FOREIGN GOVERNMENTS H-1

APPENDIX I: SPECIAL ACCESS PROGRAM DOCUMENTATION I-1

1-100 Purpose and Scope

a. This Regulation implements Executive Order 12958, Classified National Security Information, and associated OMB directives within the Department of Defense. It applies to all Components of the Department of Defense. It establishes the Department of Defense Information Security Program to promote proper and effective classification, protection and downgrading of official information requiring protection in the interest of the national security. It also promotes the declassification of information no longer requiring such protection.

b. There is information, other than classified information, that has been determined to require some type of protection or control. This information is generally known as "controlled unclassified information." Guidance concerning the protection or controls required for such information may be found in a number of DoD Directives, Regulations and Instructions. However, since classified information and controlled unclassified information often exist side-by-side in the work environment, often in the same document, the essence of available guidance pertaining to controlled unclassified information has been captured in Appendix C of this Regulation. The purpose of the Appendix is to provide the user, to the extent possible, a single source document for guidance concerning both classified and controlled unclassified information.

1-101 Policies

a. All personnel of the Department of Defense are personally and individually responsible for providing proper protection to classified information under their custody and control. All officials within the Department of Defense who hold command, management, or supervisory positions have specific, nondelegable responsibility for the quality of implementation and management of the Information Security Program within their areas of responsibility. Management of classified information shall be included as a critical element or item to be evaluated in the rating of original classification authorities, security managers or specialists, and other personnel whose duties primarily involve the creation or handling of classified information.

b. Except for information subject to the Atomic Energy Act of 1954 (as amended), Executive Order 12958 and this Regulation provide the only basis for application of security classification to information within the Department of Defense.

c. Information shall be classified only when necessary in the interest of national security, and shall be declassified as soon as is consistent with the requirements of national security.

d. Information shall not be reclassified after it has been declassified and officially released to the public by proper authority.

e. Persons shall be allowed access to classified information only if they (1) possess a valid and appropriate security clearance, (2) have executed an appropriate non-disclosure agreement, and (3) have a valid need for access to the information to perform a lawful and authorized governmental function. DoD Regulation 5200.2-R contains detailed guidance on personnel security investigation, adjudication and clearance.

f. Classified information shall be protected at all times. See Chapters 6 and 7 of this Regulation.

g. Classified information shall be maintained only when it is required for effective and efficient operation of the organization or its retention is required by law or regulation.

h. Classified documents and material that constitute permanently valuable records of the Government shall be maintained and disposed of in accordance with DoD Directive 5015.2. Other classified material shall be destroyed in accordance with Chapter 6 of this Regulation.

i. Special Access Programs shall be created, continued, managed, and discontinued in conformance with Chapter 8 of this Regulation.

1-200 Department of Defense

The Secretary of Defense has designated the Assistant Secretary of Defense for Command, Control, Communications, and Intelligence (ASD(C3I)) as the senior agency official responsible for direction and administration of the Information Security Program for the Department of Defense. The Under Secretary of Defense for Policy (USD(P)) has been designated as the senior official responsible for administering that portion of the DoD Information Security Program pertaining to Special Access Programs (SAPs), the National Disclosure Policy (NDP), foreign government (including NATO) information, and security arrangements for international programs. These officials shall perform those functions specified in subsection 5.6(c) of Executive Order 12958 and appropriate implementing directives for the Department of Defense.

1-201 DoD Components

The head of each DoD Component shall:

a. Appoint a senior agency official to be responsible for direction and administration of the program within the Component. (The Component head may designate a separate senior official to be responsible for overseeing Special Access Programs within the Component, if necessary.);

b. Commit necessary resources to the effective implementation of the Information Security Program; and

c. Establish procedures to ensure that the head of each activity within the Component that creates, handles or stores classified information appoints an official to serve as security manager for the activity, to provide proper management and oversight of the activity's Information Security Program. Persons appointed to these positions shall be provided training as required by Chapter 9 of this regulation.

1-202 Senior Agency Officials

The senior agency official appointed in each Component in accordance with paragraph 1-201a., above, shall:

a. Oversee the Component's Information Security Program;
b. Promulgate (or cause to be promulgated) implementing directives as necessary for program implementation;
c. Establish and maintain a security education program as required by Chapter 9 of this Regulation;
d. Establish and maintain an ongoing self-inspection program, to include periodic review and assessment of the Component's classified products;
e. Establish procedures to prevent unauthorized access to classified information;
f. Develop special contingency plans, as necessary, for the safeguarding of classified information used in or near hostile or potentially hostile areas;
g. Ensure that the performance contract or other system used to rate the performance of civilian and military personnel includes the management of classified information as a critical element or item to be evaluated in the rating of (1) original classification authorities, (2) security managers and security specialists, and (3) all other personnel whose duties include significant involvement with the creation or handling of classified information;
h. Account for the costs associated with the implementation of this Regulation within the Component and report those costs as required; and
i. Ensure prompt and appropriate response to any request, appeal, challenge, complaint, or suggestion arising out of the implementation of this Regulation within the Component.

1-300 Restricted Data

Classified information in the custody of the Department of Defense marked as Restricted Data under the Atomic Energy Act of 1954 (as amended) shall be stored, protected, and destroyed as required by this Regulation for other information of a comparable level of security classification. DoD policy and procedures concerning access to and dissemination of Restricted Data within DoD are contained in DoD Directive 5210.2.

1-301 Sensitive Compartmented Information (SCI) and Communications Security (COMSEC) Information

SCI and COMSEC information shall be controlled and protected in accordance with applicable national policy and DoD Directives and Instructions. Security classification and declassification policies of this Regulation apply to SCI and COMSEC information in the same manner as other classified information except that Appendix D of this Regulation provides special procedures for use in systematic and mandatory review of cryptologic information.

1-302 Special Access Program Information

Information covered by Special Access Programs established in accordance with Chapter 8 of this Regulation shall be classified, declassified, controlled and protected as required in this Regulation and instructions issued by officials charged with management of those programs. The provisions of this Regulation pertaining to classification, declassification and marking apply, without exception, to Special Access Program information unless waivers of specific requirements are obtained in accordance with Section 4 of this Chapter.

1-303 North Atlantic Treaty Organization and Other Foreign Government Information

North Atlantic Treaty Organization (NATO) classified information shall be safeguarded in compliance with United States Security Authority for NATO (USSAN) Instruction I-69. Other foreign government information shall be safeguarded as described herein for U.S. information except as specified in Appendix H or as required by treaties or international agreements.

1-400 Military Operations

The provisions of this Regulation pertaining to accountability, dissemination, transmission, and storage of classified information and material may be modified by military commanders as necessary to meet local conditions encountered during military operations. Military operations include combat and peacekeeping operations as well as other operations involving military deployments. Classified information shall be introduced into combat areas or zones, or areas of potential hostile activity, only as necessary to accomplish the military mission.

1-401 Waivers to Requirements

a. Unless otherwise specified herein, DoD Components shall submit requests for waivers to the requirements of this Regulation through established channels, to the ASD(C3I) or, for information related to SAPs, foreign government information (including NATO) information, and security arrangements for international programs, to the Under Secretary of Defense (Policy) (USD(P)). The ASD(C3I) and USD(P) shall be responsible for promptly notifying the Director, Information Security Oversight Office of all waivers approved involving E.O. 12958 and its' implementing directives.

b. Requests for waivers shall contain sufficient information to permit a complete and thorough analysis to be made of the impact on national security of approval of the waiver. DoD Components shall maintain documentation regarding approved waivers and furnish such documentation, upon request, to other agencies with whom classified information or secure facilities are shared.

1-500 General

Heads of the DoD Components shall establish procedures to ensure that prompt and appropriate management action is taken in case of compromise of classified information, improper classification of information, violation of the provisions of this Regulation, and incidents that may put classified information at risk of compromise. Such actions shall focus on correction or elimination of the conditions that caused or occasioned the incident.

1-501 Sanctions

a. DoD military and civilian personnel shall be subject to sanctions if they knowingly, willfully, or negligently:

(1) Disclose to unauthorized persons information properly classified under this Regulation;
(2) Classify or continue the classification of information in violation of this Regulation;
(3) Create or continue a Special Access Program contrary to the requirements of this Regulation; or
(4) Violate any other provision of this Regulation.

b. Sanctions include, but are not limited to, warning, reprimand, suspension without pay, forfeiture of pay, removal, discharge, loss or denial of access to classified information, and removal of classification authority. Action may also be taken under the Uniform Code of Military Justice for violations of that Code and under applicable criminal law.

c. In case of demonstration of reckless disregard or a pattern of error in applying the classification standards of this Regulation on the part of a person holding original classification authority, the appropriate official shall, as a minimum, remove the offending individual's original classification authority.

1-502 Reporting of Incidents

Whenever a violation under paragraph 1-501a (1), (2) or (3), above, occurs, the Component Senior Agency Official shall promptly notify the ASD(C3I) through appropriate channels. The ASD(C3I)) shall notify the Director, Information Security Oversight Office, as required by paragraph 5.7(e)(2) of Executive Order 12958. If the violation involves Special Access Program , NATO or foreign government information, it shall be promptly reported to the Assistant Deputy to the USD(P) for Policy Support, who will be responsible for all further notifications and appropriate coordination.

1-600 Reporting Requirements

a. The ASD(C3I) shall establish requirements for the collection and reporting of data necessary to support fulfillment of the requirements of Executive Order 12958 and OMB and Security Policy Board implementing directives. As a minimum, DoD Components shall submit, on a fiscal year basis, a consolidated report concerning the Information Security Program of the Component on Standard Form (SF) 311, "Agency Information Security Program Data," to reach the Principal Director for Information Warfare, Security and Counterintelligence (PD(IWS&CI)), OASD(C3I), by October 20 of each year. SF 311 shall be completed in accordance with the instructions thereon and augmenting instructions issued by the OASD(C3I). The OASD(C3I) shall submit the DoD report (SF 311) to the Information Security Oversight Office by October 31 of each year. Interagency Report Control Number 0230-GSA-AN applies to this information collection requirement.

b. The USD(P) shall establish requirements for the collection and reporting of data necessary to the proper management of Special Access Programs within the Department.

1-700 General

Heads of DoD Components shall establish and maintain a self-inspection program based on program needs and the degree of involvement with classified information. The purpose of the program shall be to evaluate and assess the effectiveness and efficiency of the Component's implementation of the DoD Information Security Program. Component activities that originate significant amounts of classified information should be inspected at least annually.

Original classification is the initial decision that an item of information could be expected to cause damage to the national security if subjected to unauthorized disclosure, and that the interests of the national security are best served by applying the safeguards of the Information Security Program to protect it. This decision may be made only by persons who have been specifically delegated the authority to do so, have received training in the exercise of this authority, and have program responsibility or cognizance over the information. The decision must be made in accordance with the requirements of this chapter.

2-200 Policy

Information may be originally classified only by the Secretary of Defense, the Secretaries of the Military Departments, and other officials who have been specifically delegated this authority in writing. Delegations of original classification authority shall be limited to the minimum required for effective operation of the Department of Defense. The authority shall be delegated only to officials who have a demonstrable and continuing need to exercise it.

2-201 Delegation of Authority

a. Information may be originally classified Top Secret only by the Secretary of Defense, the Secretaries of the Military Departments, or those officials who have been specifically delegated this authority in writing by the Secretary of Defense or the Secretaries of the Military Departments.

b. Information may be originally classified Secret or Confidential only by the Secretary of Defense, the Secretaries of the Military Departments, and the senior agency officials appointed by them in accordance with Section 5.6(c) of E.O. 12958 provided those senior agency officials have also been delegated original Top Secret classification authority. Senior Agency Officials of the Military Departments may further delegate original Secret and Confidential classification authority as necessary to respond to requests received under the provisions of paragraphs c and d. below.

c. Requests for original classification authority for officials serving in OSD and the DoD Components other than the Military Departments shall be submitted to the ASD(C3I). These requests will specify the position title for which the authority is requested, provide a brief justification for the request, and be submitted through established organizational channels.

d. Requests for original classification authority shall be granted only when (1) original classification is required during the normal course of operations in the organization, (2) sufficient expertise and information is available to the prospective original classification authority to permit effective classification decision-making, (3) the need for original classification cannot be eliminated by issuance of classification guidance by existing original classification authorities, and (4) referral of decisions to existing original classification authorities at higher levels in the chain of command or supervision is not practical.

2-202 Required Training

Persons who have been delegated original classification authority must receive training as required by Chapter 9 of this Regulation before they can exercise the delegated authority.

2-300 Overview

In making a decision to originally classify information, designated DoD original classification authorities shall:

a. Determine that the information is owned by, produced by or for, or is under the control of the U.S. Government;
b. Determine that the information falls within one or more of the categories of information listed in subsection 2-301, below;
c. Determine that the unauthorized disclosure of the information could be expected to result in damage to the national security and be able to identify or describe the damage;
d. Select the appropriate level of classification to be applied to the information, based on a judgment as to the degree of damage that could be caused by unauthorized disclosure;
e. Determine the appropriate declassification instructions to be applied to the information; and
f. Communicate the classification decision as required by subsection 2-306, below.

2-301 Eligibility for Classification

Classification may be applied only to information that is owned by, produced by or for, or is under the control of the United States Government. Information may be considered for classification only if it concerns one of the categories specified in Section 1.5 of Executive Order 12958:

a. Military plans, weapon systems, or operations;
b. Foreign government information;
c. Intelligence activities (including special activities), intelligence sources or methods, or cryptology;
d. Foreign relations or foreign activities of the United States, including confidential sources;
e. Scientific, technological, or economic matters relating to the national security;
f. United States Government programs for safeguarding nuclear materials or facilities; or
g. Vulnerabilities or capabilities of systems, installations, projects or plans relating to the national security.

2-302 Possibility of Protection

The original classification authority must determine that, if classification is applied or reapplied, there is a reasonable possibility that the information can be provided protection from unauthorized disclosure. (See paragraph 2-402d. and e., below.)

2-303 The Decision to Classify

a. The decision to apply classification involves two sub-elements, both of which require the application of reasoned judgment on the part of the classifier. The first is the determination that the unauthorized disclosure of the information could reasonably be expected to cause damage to the national security of the United States, and that the damage can be identified or described. It is not necessary for the original classifier to produce a written description of the damage at the time of classification, but the classifier must be prepared to do so if the information becomes the subject of a classification challenge, a request for mandatory review for declassification, or a request for release under the Freedom of Information Act.

b. The second step in this decision is to determine the probable operational, technological and resource impact of classification.

c. If there is significant doubt about the need to classify information, it shall not be classified.

2-304 Level of Classification

The original classifier, again using reasoned judgment, must determine which level of classification is to be applied. If there is significant doubt about the appropriate level of classification, the information shall be classified at the lower level.

a. Top Secret shall be applied to information the unauthorized disclosure of which reasonably could be expected to cause exceptionally grave damage to the national security that the original classification authority is able to identify or describe.

b. Secret shall be applied to information the unauthorized disclosure of which reasonably could be expected to cause serious damage to the national security that the original classification authority is able to identify or describe.

c. Confidential shall be applied to information the unauthorized disclosure of which reasonably could be expected to cause damage to the national security that the original classification authority is able to identify or describe.

2-305 Duration of Classification

At the time of original classification, the original classifier must make a decision about the length of time the information shall require the protection of security classification. The specific options available in making this decision are discussed in Chapter 3 of this Regulation.

2-306 Communicating the Decision

An original classification authority who makes a decision to originally classify information is responsible for ensuring the decision is effectively communicated to persons who will be in possession of the information. This may be accomplished by issuing classification guidance, discussed in Section 5 of this chapter, or by ensuring that a document containing the information is properly marked to reflect the decision. Marking of classified documents is covered by Chapter 5 of this Regulation.

2-400 Compilation

In unusual circumstances, compilations of information that are individually unclassified may be classified if the compiled information reveals an additional association or relationship that a. qualifies for classification under this Regulation, and b. is not otherwise revealed by the individual information. Classification by compilation must meet the same criteria in terms of justification as other original classification actions. (See paragraph 5-206c and subsection 5-302, below, for marking requirements.)

2-401 The Acquisition Process

Classification of information involved in the DoD acquisition process shall conform to the requirements of DoD Directive 5000.1, DoD Regulation 5000.2-R, and DoD Regulation 5000.2-R as well as this chapter.

2-402 Limitations and Prohibitions

a. Classification may not be used to conceal violations of law, inefficiency, or administrative error; to prevent embarrassment to a person, organization, or agency; or to restrain competition.

b. Basic scientific research and its results may be classified only if it clearly relates to the national security.

c. Classification may not be used to prevent or delay the release of information that does not require protection in the interest of the national security.

d. The reclassification of information which was once classified but was declassified and officially released to the public is prohibited.

e. Information may be classified or reclassified after receipt of a request for it under the Freedom of Information Act, the Privacy Act of 1974, or the mandatory review provisions of E.O. 12958 only if it is done on a document-by-document basis with the personal participation or under the direction of the Secretary of Defense or Deputy Secretary of Defense, the Secretary or Under Secretary of a Military Department, or the senior agency official appointed within OSD or a Military Department in accordance with Section 5.6(c) of E.O. 12958.

f. Information that is a product of nongovernment research and development that does not incorporate or reveal classified information to which the producer or developer was given prior access may be classified only as provided in Section 6 of this chapter.

2-500 Policy

A security classification guide shall be issued for each system, plan, program, or project in which classified information is involved.

2-501 Content

a. Security classification guides shall:

(1) Identify specific items, elements or categories of information to be protected;
(2) State the specific classification to be assigned to each item or element of information and, when useful, specify items of information that are unclassified;
(3) Provide declassification instructions for each item or element of information, to include the applicable exemption category for information exempted from automatic declassification;
(4) State a concise reason for classification for each item, element, or category of information that, at a minimum, cites the applicable classification category(ies) in Section 1.5 of E.O. 12958 (See subsection 2-304, of this Regulation, above;
(5) Identify any special handling caveats that apply to items, elements, or categories of information;
(6) Identify, by name or personal identifier and position title, the original classification authority approving the guide and the date of approval; and
(7) Provide a point-of-contact for questions about the guide and suggestions for improvement.

b. For information exempted from automatic declassification because its disclosure would reveal foreign government information or violate a statute, treaty or international agreement (see subsections 4-202 and 4-301 of this Regulation, below), the guide will identify the government or specify the applicable statute, treaty or international agreement as appropriate.

2-502 Approval, Distribution and Indexing

a. Security classification guides shall be approved personally and in writing by an original classification authority who is authorized to classify information at the highest level established by the guide, and who has program or supervisory responsibility for the information or the organization's Information Security Program.

b. Security classification guides shall be distributed by the originating organization to those organizations and activities they believe will be derivatively classifying information covered by the guide.

c. One copy of each guide shall be forwarded to the Director of Freedom of Information and Security Review, Office of the Assistant to the Secretary of Defense for Public Affairs. Guides that cover SCI or Special Access Program information and that contain information that requires special access controls are exempt from this requirement.

d. Two copies of each approved guide (other than those covering SCI or Special Access Program information, or guides determined by the approval authority for the guide to be too sensitive for automatic secondary distribution) shall be provided to the Administrator, Defense Technical Information Center (DTIC). Each guide furnished to DTIC must bear the appropriate distribution statement required by DoD Directive 5230.24.

e. Security classification guides issued under this Regulation will be indexed in DoD 5200.1-I, the DoD Index of Security Classification Guides. Originators of guides shall submit DD Form 2024, "DoD Security Classification Guide Data Elements" to the Administrator, DTIC, upon approval of the guide. If the originator determines that listing the guide in DoD 5200.1-I would be inadvisable for security reasons, issuance of the guide shall be separately reported to the PD(IWS&CI), OASD(C3I), with an explanation of why the guide should not be listed. Special Access Program determinations shall be reported separately to the Director, Special Programs, ODTUSD(P)PS. Report Control Symbol DD-C3I (B&AR) 1418 applies to the reporting requirements of this paragraph.

2-503 Review, Revision and Cancellation

a. Security classification guides shall be reviewed by the originator for currency and accuracy at least once every five years. Changes identified as necessary in the review process shall be promptly made. If no changes are required, the record copy of the guide shall be so annotated, with the date of the review.

b. Guides shall be revised whenever necessary to promote effective derivative classification. When a guide is revised or reissued, computation of declassification instructions will continue to be based on the date of original classification of the information, not the date of revision or reissue.

c. Guides shall be canceled only when (1) all information specified as classified by the guide has been declassified, or (2) when the system, plan, program, or project has been canceled, discontinued, or removed from the inventory, (3) when a major restructure has occurred as the information is incorporated into a new classification guide and there is no reasonable likelihood that information covered by the guide will be the subject of derivative classification. Impact of the cancellation on systems, plans, programs, and projects provided to other nations under approved foreign disclosure decisions; and impact of such decisions on existing U.S. classification guides of similar systems, plans, programs or projects shall be considered in the decision. Upon cancellation of a guide, the responsible official shall consider the need for publication of a declassification guide, discussed in subsection 4-102 of this Regulation below.

d. Revision, reissuance, review, and cancellation of a guide will be reported as required for new guides in paragraph 2-502e, above. Copies of changes, reissued guides, and cancellation notices will be distributed as required by paragraphs 2-502b., c. and d., above.

2-600 Policy

Information that is a product of contractor or individual independent research and development (IR&D) or bid and proposal (B&P) efforts conducted without prior access to classified information or current access to classified information associated with the specific information in question may not be classified unless:

a. The U.S. Government first acquires a proprietary interest in the information; or

b. The contractor conducting the IR&D/B&P requests that the U.S. Government activity place the information under the control of the security classification system without relinquishing ownership of the information.

2-601 Classification Determination

a. The individual or contractor conducting an IR&D/B&P effort and believing that information generated without prior access to classified information or current access to classified information associated with the specific information in question may require protection in the interest of national security should safeguard the information and submit it to an appropriate U.S. Government activity for a classification determination.

b. The Government activity receiving such a request shall issue security classification guidance as appropriate if the information is to be classified. If the information is not under that activity's classification authority, the activity shall refer the matter to the appropriate classification authority or inform the individual or contractor to take that action. The information shall be safeguarded until the matter has been resolved.

c. The activity that holds classification authority over the information shall verify whether the individual or contractor is cleared and has been authorized storage capability. If not, the appropriate contracting authority for the activity shall advise whether clearance action should be initiated.

d. If the individual or contractor refuses to be processed for a clearance and the Government does not acquire a proprietary interest in the information, the information may not be classified.

2-602 Patent Secrecy Act

The Patent Secrecy Act of 1952 provides that the Secretary of Defense, among others, may determine that disclosure of an invention by granting of a patent would be detrimental to national security. See DoD Directive 5535.2. A patent application on which a secrecy order has been imposed shall be handled as follows within the Department of Defense:

a. If the patent application contains information that warrants classification, it shall be assigned a classification and be marked and safeguarded accordingly.

b. If the patent application does not contain information that warrants classification the following procedures shall be followed:

1. A cover sheet (or cover letter for transmittal) shall be placed on the application with substantially the following language:
   The attached material contains information on which secrecy orders have bee issued by the U.S. Patent Office after determination that disclosure would be detrimental to national security (Patent Secrecy Act of 1952, 35 U.S.C. 181-188). Its transmission or revelation in any manner to an unauthorized person is prohibited by law. Handle as though classified CONFIDENTIAL (or other classification as appropriate).

(2.) The information shall be withheld from public release; its dissemination within the Department of Defense shall be controlled; the applicant shall be instructed not to disclose it to any unauthorized person; and the patent application (or other document incorporating the protected information) shall be safeguarded in the manner prescribed for equivalent classified material.

c. If filing of a patent application with a foreign government is approved under provisions of the Patent Secrecy Act of 1952 and agreements on interchange of patent information for defense purposes, the copies of the patent application prepared for foreign registration (but only those copies) shall be marked at the bottom of each page as follows:

Withheld under the Patent Secrecy Act of 1952 (35 U.S.C. 181-188).

Handle as CONFIDENTIAL (or such other level as has been determined appropriate).

3-100 The Nature of the Process

Derivative classification is the process of determining whether information that is to be included in a document or material has been classified and, if it has, ensuring that it is identified as classified information by marking or similar means. Information is derivatively classified whenever it is extracted, paraphrased, restated, or generated in a new form. Application of classification markings to a document or other material as directed by a security classification guide or other source material is derivative classification. Simply photocopying or otherwise mechanically reproducing classified material is not derivative classification.

3-101 Authority and Responsibility

Within the Department of Defense, all cleared personnel who generate or create material that should be derivatively classified are responsible for ensuring that the derivative classification is accomplished in accordance with this chapter. No specific delegation of authority is required by persons doing derivative classification. DoD officials who sign or approve derivatively classified documents have principal responsibility for the quality of their derivative classification.

3-102 Policy

All persons performing derivative classification shall:

a. Observe and respect the classification determinations made by original classification authorities. If they believe information to be improperly classified, they will take action as required by subsection 4-900 of this Regulation, below.
b. Apply markings or other means of identification to the derivatively classified material as required by Chapter 5 of this Regulation.
c. Use only authorized sources of instructions about the classification of the information in question. Authorized sources of instructions about classification are security classification guides, other forms of classification guidance, and markings on material from which the information is extracted. The use of only memory or "general rules" about the classification of broad classes of information is prohibited.
d. Use caution when paraphrasing or restating information extracted from a classified source document to determine whether the classification may have been changed in the process.
e. Take appropriate and reasonable steps to resolve doubts or apparent conflicts about the classification, level of classification, and duration of classification of information. These steps may include consulting a security classification guide or referral to the organization responsible for the original classification. In cases of apparent conflict between a security classification guide and a classified source document about a discrete item of information, the instructions in the security classification guide shall take precedence.

3-200 General

a. Derivative classifiers must carefully analyze the material they are classifying to determine what information it contains or reveals and evaluate that information against the instructions provided by the classification guidance or the markings on source documents.

b. Drafters of documents that must be derivatively classified should be encouraged to portion mark their drafts and keep records of the sources they use, to facilitate derivative classification of the finished product.

c. Declassification instructions for derivatively classified documents shall not be automatically copied from source documents. They must be determined as required by Chapter 4, and applied in accordance with Chapter 5 of this Regulation.

d. When material is derivatively classified based on "multiple sources" (more than one security classification guide, classified source document, or combination thereof), the derivative classifier must compile a list of the sources used. A copy of this list must be included in or attached to the file or record copy of the document.

3-201 Special Cases

a. If information is extracted from a document or section of a document classified by compilation, the derivative classifier will consult the explanation on the source document to determine the appropriate classification. If that does not provide enough guidance, the originator of the source document should be contacted for assistance.

b. If the derivative classifier has reason to believe the classification applied to information is inappropriate, the classifier of the source document shall be contacted to resolve the issue. The information will continue to be classified as specified in the source document until the matter is resolved.

c. If the activity originating the classified information no longer exists, the activity that inherited the functions of the originating activity is responsible for determining the action to be taken with respect to declassification. If the functions of the originating activity were dispersed to more than one other activity, the inheriting activity(ies) cannot be determined or, the functions have ceased to exist, the senior agency official of the DoD Component of which the originating activity was a part, is responsible for determining the action to be taken with respect to classification.

4-100 Policy

E.O. 12958 provides that "information shall be declassified as soon as it no longer meets the standards for classification" established by the Order. It further states that, "in some exceptional cases,....the need to protect...information [still meeting these standards] may be outweighed by the public interest in disclosure of the information, and in these cases the information should be declassified." It is DoD policy that information shall remain classified as long as a. it is in the best interest of the national security to keep it protected, and b. continued classification is in accordance with the requirements of the E.O. If DoD officials have reason to believe that the public interest in disclosure of information outweighs the need for continued classification, they shall refer the matter to the appropriate Senior Agency Official appointed in accordance with Section 5.6(c) of E.O. 12958.

4-101 Declassification Systems

E. O. 12958 established four separate and parallel systems that can bring about the declassification of information: (a) a system requiring the original classifier to decide at the time information is classified when it can be declassified, (b) a system that will cause information of permanent historical value to be automatically declassified on the 25th anniversary of its classification unless specific action is taken to keep it classified, (c) a system for reviewing information for possible declassification upon request, and (d) a process for systematic review of information for possible declassification. The Heads of the DoD Components are responsible for ensuring the establishment and maintenance of declassification programs and/or plans to meet the requirements of this subsection.

4-102 Declassification Authority

a. Information may be declassified and downgraded by the Secretary of Defense, the Secretaries of the Military Departments, those officials who have been delegated Original Classification Authority in accordance with subsection 2-201 of this Regulation, above, and officials who have been delegated declassification authority in accordance with subsection 4-102b, below. The authority to declassify information extends only to information for which the specific official has classification, program, or functional responsibility.

b. DoD Component heads may designate officials within their organizations to exercise declassification authority over specific types or categories of information. Categories of information may be as broad as all information originally classified by officials of the DoD Component. Classification authorities may designate members of their staffs to exercise declassification authority over information under their jurisdiction.

c. Persons with declassification authority shall develop and issue declassification instructions to facilitate effective review and declassification of information classified under predecessor Executive Orders. These instructions may be in the form of separate guides, sections of classification guides, memoranda, etc.

d. Declassification authority is not required for simply canceling or changing classification markings in accordance with instructions placed on a document, directions found in a security classification guide or declassification guide, or instructions received from a declassification authority.

e. Special procedures for use in systematic and mandatory review of cryptologic information are at Appendix D.

4-103 Exceptions

None of the provisions of this chapter apply to information classified in accordance with the Atomic Energy Act of 1954, as amended (Restricted Data and Formerly Restricted Data).

4-200 Requirement

Every time a designated original classification authority (OCA) classifies information, he or she must make a determination about the duration for which the classification will continue. This is an essential part of the original classification process.

4-201 The "Ten-Year Rule"

At the time they classify an item of information, original classifiers shall:

a. Attempt to determine a date within ten years from the date of classification upon which the information can be automatically declassified. If that is not possible, they shall:
b. Attempt to determine a specific event, reasonably expected to occur within 10 years, that can be set as the signal for automatic declassification of the information. If that is not possible, they shall:
c. Designate the information as being automatically declassified on a date ten years from the date of its original classification, unless the provisions of subsection 4-202, below, apply.

4-202 Exemption from the 10-Year Rule

If an original classifier has substantial reason to believe that information being originally classified will require protection for longer than ten years, he or she may exempt the information from the ten-year maximum duration of classification. This may be done if:

a. The unauthorized disclosure of the information could reasonably be expected to cause damage to the national security for a period in excess of 10 years, and

b. The release of the information could reasonably be expected to:

(1) Reveal an intelligence source, method, or activity, or a cryptologic system or activity;
(2) Reveal information that would assist in the development or use of weapons of mass destruction;
(3) Reveal information that would impair the development or use of technology within a United States weapon system;
(4) Reveal United States military plans, or national security emergency preparedness plans;
(5) Reveal foreign government information;
(6) Damage relations between the United States and a foreign government, reveal a confidential source, or seriously undermine diplomatic activities that are reasonably expected to be ongoing for a period greater than 10 years;
(7) Impair the ability of responsible United States Government officials to protect the President, the Vice President, and other individuals for whom protection services, in the interest of national security, are authorized;
(8) Violate a statute, treaty, or international agreement.

4-203 Extension of Ten-Year Declassification Periods.

If information has been assigned a date or event for declassification under the ten-year rule described in subsection 4-201, above, and the original classification authority with jurisdiction over the information has reason to believe longer protection is required, he or she may extend the classification for successive periods not to exceed 10 years consistent with agency records retention schedules. Decisions to extend classification must take into account the potential difficulty of notifying holders of the extension, including the possible inability to ensure continued, uniform protection of the information. Officials who decide to extend a 10-year declassification date are responsible for notifying holders of the information of the decision.

a. For information in records determined to have permanent historical value, successive extensions may not exceed 25 years from the date of the information's origin unless approved as an exception (see section 3 of this chapter).

b. Information in records not determined to have permanent historical value, may be extended past 25 years. However, provisions of normal records retention and destruction requirements must be adhered to. Consult your agency's published retention schedule.

4-300 The Automatic Declassification System

a. Executive Order 12958 established a system for declassification of information in permanently valuable historical records (as defined by Title 44, U.S. Code) 25 years from the date of original classification. This system shall be applied to existing records over a five-year period beginning with the effective date of the Order (14 October 1995), and shall apply after that to all permanently valuable historical records as they become 25 years old. Only the Secretary of Defense and the Secretaries of the Military Departments may exempt information from this automatic declassification under certain circumstances. Information exempted from automatic declassification at 25 years remains subject to the mandatory and systematic declassification review provisions of this Regulation.

b. In accordance with the Executive Order, the Secretary of Defense and the Secretaries of the Military Departments have identified specific file series that are exempt from the 25-year automatic declassification, and have notified the President of these exemptions. Information in these file series shall not be subject to this automatic declassification system unless an Agency head specifically decides to remove the series from the exempted category. Information not contained within these file series shall be automatically declassified at 25 years unless specific information is exempted by an Agency head in accordance with subsection 4-301, below.

c. By 17 April 2000, the Heads of DoD Components shall ensure the declassification of information which: (1) is contained in records which have permanent historical value under Title 44 of the U.S. Code, (2) has not been exempted from automatic declassification at 25 years, and (3) will reach the 25th anniversary of its classification by that date. Declassification operations will be in accordance with plans submitted to the Director of the Information Security Oversight Office in compliance with Subsection 3.4(e) of E.O. 12958.

d. Information contained in records not determined to be permanently valuable and not scheduled for disposal or retention by the National Archives is not subject to automatic declassification. Agency retention and destruction requirements apply.

4-301 Exemption of Specific Information

a. Within the Department of Defense, classified information not contained in file series exempted from the automatic declassification system may be exempted from declassification only by the Secretary of Defense or Secretary of a Military Department. Such exemptions shall be applicable only to specific information. Information may be exempted only if its release would be expected to:

(1) Reveal the identity of a confidential human source, or reveal information about the application of an intelligence source or method, or reveal the identity of a human intelligence source when the unauthorized disclosure of that source would clearly and demonstrably damage the national security interests of the United States;
(2) Reveal information that would assist in the development or use of weapons of mass destruction;
(3) Reveal information that would impair U.S. cryptologic systems or activities;
(4) Reveal information that would impair the application of state of the art technology within a U.S. weapon system;
(5) Reveal actual U.S. military war plans that remain in effect;
(6) Reveal information that would seriously and demonstrably impair relations between the United States and a foreign government, or seriously and demonstrably undermine ongoing diplomatic activities of the United States;
(7) Reveal information that would clearly and demonstrably impair the current ability of United States Government officials to protect the President, Vice President, and other officials for whom protection services, in the interest of national security, are authorized;
(8) Reveal information that would seriously and demonstrably impair current national security emergency preparedness plans; or
(9) Violate a statute, treaty, or international agreement.

b. The Secretary of Defense, the Secretary of a Military Department, or their designated Senior Agency Official, must notify the Director, Information Security Oversight Office (ISOO) of their intent to exempt information from automatic declassification. Information previously exempt in accordance with paragraph 4-300b, above, is excluded. Notification must be received by ISOO, acting as the executive secretary of the Interagency Security Classification Appeals Panel (ISCAP), 180 days before the information is scheduled for automatic declassification. The notice shall:

(1) Describe the specific information to be exempted;
(2) Explain why the information must remain classified; and
(3) Provide a specific date or event upon which the information will be declassified. (This requirement is not applicable to information exempt from search and review under the Central Intelligence Agency Information Act).

Section 4

4-400 General

a. Any individual or organization may request a review for declassification of information classified under E.O. 12958 or predecessor orders. Upon receipt of such a request, the responsible DoD organization shall conduct a review if:

(1) The request describes the document or material with enough specificity to allow it to be located with a reasonable amount of effort;
(2) The information is not exempt from search and review under the Central Intelligence Agency Information Act; and
(3) The information has not been reviewed for declassification within the preceding two years.

b. Information originated by the incumbent President; the incumbent President's White House Staff; committees, commissions, or boards appointed by the incumbent President, or other entities within the Executive Office of the President that solely advise and assist the incumbent President is exempt from the provisions of this section.

4-401 Responsibilities and Procedures

a. Heads of the DoD Components shall establish systems for promptly responding to requests for mandatory declassification review. Information reviewed shall be declassified if it no longer meets the standards for classification established by this Regulation. Information that is declassified shall be released to the requester unless withholding is appropriate under applicable law (for example, the Freedom of Information Act or the Privacy Act of 1974).

b. If documents or material being reviewed for declassification under this Section contain information that has been originally classified by another DoD Component or Government Agency, the reviewing activity shall refer the appropriate portions of the request to the originating organization. Unless the association of that organization with the requested information is itself classified, the DoD Component that received the request may notify the requester of the referral.

c. A DoD Component may refuse to confirm or deny the existence or non-existence of requested information when the fact of its existence or non-existence is properly classified.

d. If the requested information has been reviewed for declassification within the two years preceding the request, the DoD Component will so notify the requester. No further review is required.

e. The mandatory declassification review system shall provide for administrative appeal in cases where the review results in the information remaining classified. The requester shall be notified of the results of the review and of the right to appeal the denial of declassification. If the requester subsequently files an appeal and the appeal is denied, the requester must be notified of the right to appeal the denial to the Interagency Security Classification Appeals Panel.

f. Special procedures for use in mandatory review of cryptologic information are at Appendix D.

4-500 General

a. Heads of the DoD Components that have classified information under E.O. 12958 or predecessor Orders shall, as permitted by available resources, establish systematic review programs to review for declassification information in the custody of the Component that: (1) is contained in permanently valuable historical records, and (2) is exempt from automatic declassification under Section 3 of this chapter. These efforts will concentrate on records that:

(a) Contain information which has been identified by the Information Security Policy Advisory Council established under E.O. 12958 or similar groups to have significant value for historical or scientific research or for promoting the public welfare, and
(b) Have a reasonable likelihood of being declassified upon review.

b. Special procedures for use in systematic review of cryptologic information are at Appendix D.

4-600 Purpose and Authority

Downgrading of information to a lower level of classification is appropriate when the information no longer requires protection at the originally assigned level, and can be properly protected at a lower level. The principal purpose of downgrading is to conserve security resources by avoiding protection of information at too high a level. Information may be downgraded by any official who is authorized to classify or declassify the information. (See subsection 4-102, above.)

4-601 Downgrading Decisions During Original Classification

Downgrading should be considered when original classifiers are deciding on the duration of classification to be assigned. If downgrading dates or events can be identified, they must be specified along with the declassification instruction. Note that downgrading instructions DO NOT replace declassification instructions.

4-602 Downgrading at a Later Date

Information may be downgraded by any official who is authorized to classify or declassify the information. (See subsection 4-102, above.) The authorized official making the downgrading decision shall notify holders of the change in classification.

4-700 Upgrading

Classified information may be upgraded to a higher level of classification only by officials who have been delegated the appropriate level of Original Classification Authority in accordance with Section 2, Chapter 2 of this Regulation. Information may be upgraded only if holders of the information can be notified of the change so that the information will be uniformly protected at the higher level. The Original Classification Authority making the upgrading decision is responsible for notifying holders of the change in classification.

4-800 Policy and Procedures

Within the Department of Defense, every effort must be made to ensure that foreign government information is not subject to downgrading or declassification without the prior consent of the originating government. Foreign government information may exist in two forms:

a. Foreign government information may take the form of foreign documents in the possession of the Department of Defense. If these documents constitute permanently valuable records of the U.S. Government and are subject to the 25-year automatic declassification rule, declassification officials shall consult with the originating foreign government to determine whether it consents to declassification. If the originating foreign government does not consent, the records shall be processed for exemption from automatic declassification in accordance with subsection 4-301, above. The agency head shall determine whether exemption categories 6, 9, or both should be applied.

b. Foreign government classified information may also be included within a DoD document. Such documents shall be marked with declassification instructions consistent with paragraph 5-204c(2) of this Regulation, below. If these documents are permanently valuable records of the U.S. Government and are subject to the 25-year automatic declassification rule, the provisions of paragraph 4-800a., above, apply.

4-801 Communications with Foreign Governments

DoD officials may consult directly with foreign governments regarding downgrading or declassification of foreign government information or seek assistance from the Department of State. In either case, DoD officials should first consult with the Office of the Deputy to the Under Secretary of Defense (Policy Support) for assistance and guidance.

4-900 Classification Challenges

a. If holders of information have substantial reason to believe that the information is improperly or unnecessarily classified, they shall communicate that belief to their security manager or the classifier of the information to bring about any necessary correction. This may be done informally or by submission of a formal challenge to the classification as provided for in E.O. 12958. Informal questioning of classification is encouraged before resorting to formal challenge. Heads of the DoD Components shall establish procedures through which authorized holders of classified information within their organizations may challenge classification decisions, and shall ensure that members of their organization are made aware of the established procedures.

(1) Formal challenges to classification made under this subsection shall include sufficient description of the information being challenged to permit identification of the information and its classifier with reasonable effort. Challenges to classification made by DoD personnel should also include the reason why the challenger believes that the information is improperly or unnecessarily classified. The challenge should be unclassified, if possible.
(2) Heads of Components shall ensure that no retribution is taken against any employee for making a challenge to a classification.

b. Heads of DoD Components shall establish procedures for handling challenges to classification received from within and from outside their Components. These procedures shall conform to the following guidelines:

(1) A system shall be established for processing, tracking, and recording formal challenges to classification.
(2) The Component shall provide a written response to the challenge within 60 days. If the Component cannot respond fully to the challenge within 60 days, the challenge must be acknowledged and an expected date of response provided. This acknowledgment must include a statement that, if no response is received within 120 days, the challenger has the right to forward the challenge to the Interagency Security Classification Appeals Panel. The challenger may also forward the challenge to the Interagency Security Classification Appeals Panel if an agency has not responded to an internal appeal within 90 days of receipt.
(3) If the challenge is denied, the Component shall advise the submitter of his or her right to appeal the decision to the Interagency Security Classification Appeals Panel.
(4) If a challenge is received concerning information that has been the subject of a challenge within the preceding two years, or which is the subject of pending litigation, the Component need not process the challenge. The challenger shall be informed of the situation and appropriate appellate procedures.

c. Information that is the subject of a classification challenge shall continue to be classified and appropriately safeguarded unless and until a decision is made to declassify it.

5-100 Marking and Designation Rules

All classified information shall be identified clearly by electronic labeling, designation or marking. If physical marking of the medium containing classified information is not possible, then identification of classified information must be accomplished by other means. The term "marking" is intended to include the other concepts of identification. Classification markings must be conspicuous. Marking is the principal means of informing holders of classified information about specific protection requirements for that information. Marking and designation of classified information are the specific responsibility of original and derivative classifiers. Markings and designations serve these purposes:

a. Alert holders to the presence of classified information.
b. Identify, as specifically as possible, the exact information needing protection.
c. Indicate the level of classification assigned to the information.
d. Provide guidance on downgrading (if any) and declassification.
e. Give information on the source(s) of and reasons for classification of the information.
f. Warn holders of special access, control, or safeguarding requirements.

5-101 Exceptions

No classification or other security markings may be applied to any article or portion of an article that has appeared in a newspaper, magazine, or other public medium. If such an article is evaluated to see if it contains classified information, the results of the review shall be kept separate from the article. However, the article and the evaluation may be filed together. Exceptions to specific marking requirements are included with the discussions of the markings.

5-102 Marking Classified Documents and Other Material

a. Classified documents must bear the following markings. Material other than ordinary paper documents must have the same information either marked on it or made immediately available to holders by another means. (Specific requirements for each type of marking are found in Section 2 of this chapter.) Requirements for special types of documents are covered in Section 3. Marking material other than paper documents is covered in Section 4. Required markings are:

(1) The overall classification of the document.
(2) The agency, office of origin, and date of the document.
(3) Identification of the source(s) of classification of the information contained in the document and, for originally classified information, a concise reason for classification.
(4) Declassification instructions, and any downgrading instructions that apply. This requirement does not apply to documents containing Restricted Data (RD) or Formerly Restricted Data (FRD). This information is not marked with declassification instructions.
(5) Identification of the specific classified information in the document and its level of classification (page markings and portion markings).
(6) Control notices and other markings that apply to the document.

b. The holder of an improperly marked classified document should contact the document originator to obtain correct markings.

5-200 Overall Classification Marking

Every classified document must be marked to show the highest classification of information it contains. This marking must be conspicuous enough to alert anyone handling the document that it is classified. The overall classification will be marked, stamped, or affixed (with a sticker, tape, etc.) on:

a. The front cover, if there is one.
b. The title page, if there is one.
c. The first page. If the document has no front cover, the first page will be the front page. If it has a cover, the first page is defined as the first page you see when you open the cover. In some documents, the title page and first page may be the same.
d. The outside of the back cover, if there is one.

5-201 Agency, Office of Origin, and Date

Every classified document must show on the first page, title page or front cover (hereafter referred to as the face of the document), the agency and office that originated it, and the date of origination. This information must be clear enough to allow someone receiving the document to contact the preparing office if questions or problems about classification arise.

5-202 Source(s) of Classification

a. Originally Classified Documents. Every originally classified document must have a "Classified by" line placed on the face of the document that identifies the original classification authority responsible for classification of the information it contains. The original classification authority shall be identified by name or personal identifier and position title. If the information normally included on the "Classified by" line would reveal classified information not evident from the rest of the document, the "Classified by" line should be completed with an unclassified personal identifier that can be traced through secure channels. Example:

b. Derivatively Classified Documents. Derivatively classified documents shall not be marked with a "Classified by" line. Instead, they will be marked "Derived from" and the line completed as follows:

(1) If all the information was derivatively classified using a single security classification guide or source document, identify the guide or document on the "Derived from" line. Include the date of the source document or classification guide unless the identification of the classification guide implicitly includes the date. Example:

DERIVED FROM Rpt titled: XXXX

dtd _________ or

DERIVED FROM: SCG Pgm ____

dtd _________

(2) If more than one security classification guide, source document, or combination of these provided the derivative classification guidance, place "Multiple Sources" on the "Derived from" line. If "Multiple Sources" is placed on the "Derived from" line, a record of the sources must be maintained on or with the file or record copy of the document. When feasible, this list should be included with all copies of the document. If the document has a bibliography or reference list, this may be used as the list of sources. Annotate it to distinguish the sources of classification from other references.

c. Combinations of Original and Derivative Classification. If some information was originally classified at the time of preparation of the document and other information was derivatively classified, mark the document with a "Classified by" line and place "Multiple Sources" on the line. (The responsible original classification authority shall be identified by position title as one of the "sources" in the list prepared to be maintained with the file or record copy of the document.)

5-203 Reason for Classification

Each originally classified document shall bear a concise statement of the reason for classification, determined by the original classifier. This shall be included on a line accompanying the "Classified by" and "Declassify on" lines on the face of the document. A citation of the appropriate category of information listed in Section 1.5 of E.O. 12958 will satisfy this requirement. (See subsection 2-301, above, for the list of categories.) Example:

CLASSIFIED BY: ASD(C3I)

REASON: Foreign Relations or

REASON: 1.5(d)

Note that this marking is NOT required on derivatively classified documents.

5-204 Declassification Instructions

Every classified document (except those containing Restricted Data and Formerly Restricted Data) must be marked on the face of the document with a "Declassify on" line, with instructions concerning the declassification of the information in the document. The "Declassify on" line shall be completed according to the following rules:

a. Originally Classified Documents. If all the classified information in the document is classified as an act of original classification, the original classifier must specify the instruction (a date or event less than or equal to 10 years, or an indication that the information is exempt from the 10-year declassification rule) to be placed on the line. If any of the information in the document has been exempted from the 10-year rule (see subsection 4-202, above), the "Declassify on" line will be completed with an "X," followed by a number or numbers that show the applicable exemption category or categories from paragraph 4-202b, above. Examples:

CLASSIFIED BY: ASD(C3I)

REASON: 1.5(d)

DECLASSIFY ON: X2 or

CLASSIFIED BY: S-3, 504 MIB

REASON: Military Plans

DECLASSIFY ON: 20 Jan 1999 or end of Engineering/Manufacturing/Development (EMD)

b. Permanently Valuable 25-Year-Old Documents Exempted from the 25-Year Rule. Only those permanently valuable 25-year-old documents that are approved as exempted from the 25-year automatic declassification system (see Chapter 4, Section 3) will be marked with the designator, "25X," along with the number of the exemption category. The exemption categories are listed in paragraph 4-301a, above. Unless the information concerns a confidential human source or a human intelligence source, the document must also be marked with the declassification date or event set by the exempting authority. An example would be a document exempted from automatic declassification at 25 years that would reveal information that would impair U.S. cryptologic systems or activities, and that was to be declassified on 25 April 2030 might be marked as follows:

CLASSIFIED BY: ASD(C3I)

REASON : Cryptologic Systems

DECLASSIFY ON: 25X3 or

CLASSIFIED BY: ASD(C3I)

REASON: Cryptologic Systems

DECLASSIFY ON: 25X3, 25 Apr 2030

A document that would reveal the identity of a confidential human source would be marked: "Declassify on: 25X1." These markings shall be applied when the exemption from the 25-year rule is approved. Normally, this will mean replacing an older declassification instruction with the exemption marking. Agencies need not apply a "25X" marking to individual documents contained in a file series exempted from automatic declassification until the individual document is removed from the file.

c. Derivatively Classified Documents. In derivative classification, different declassification instructions may apply to the various items of information in your document. To ensure that all the information in the document is protected for as long as necessary, the MOST RESTRICTIVE declassification instruction that applies to any of the information in the document shall be placed on the "Declassify on" line. Examples:

(1) If all the information in the document has THE SAME declassification instruction assigned, and that instruction is an allowable option under E.O. 12958, place that instruction on the "Declassify on" line. The "allowable options" are a date for declassification, an event for declassification, or an exemption marking. Example:

DERIVED FROM: Multiple Sources

DECLASSIFY ON: 25X3 or

DERIVED FROM: SCG Program_____

DECLASSIFY ON: Source dtd 15 July 1995

(2) If all the information in the document has been extracted from a pre-14 October 1995 document marked "OADR," place the statement "Source marked OADR" on the "Declassify on" line, along with the date of the source document. (Example: You extract classified information from a document dated 3 June 1992 and marked "OADR." You mark your document, "Declassify on: Source marked OADR; Date of source: 3 June 1992.") If there is more than one such source, use the latest date found on any of them. Example:

DERIVED FROM: Cite Source

DECLASSIFY ON: Source marked OADR,

dated ______

(3) If your document is classified by "multiple sources," and different declassification instructions apply to information you include, you must determine the MOST RESTRICTIVE declassification instruction that applies to any of that information and place it on your "Declassify on" line. The following procedure applies:

(a) If declassification dates are specified for ALL of the information in the document, place the latest date (the date farthest in the future) on the "Declassify on" line. (Example: Your information is extracted from documents marked for declassification on 20 March 1998, 1 June 2002 and 3 April 2009. Mark your document "Declassify on 3 April 2009.")

(b) If the sources of classification indicate a combination of a date or dates with an event or events, indicate that declassification should occur on the latest date or the occurrence of the event(s), whichever is later. (Example: One source specifies "Declassify on 3 August 2001"; the other is marked "Declassify on completion of tests." Mark your derivatively classified document "Declassify on 3 August 2001 or completion of tests, whichever is later.")

(c) If any of the information in the document does not have a definitive date or event for declassification, you will have to determine which marking is most restrictive. The following rules apply:

1 If you are using information classified under E.O. 12065 or earlier Orders, any information with an indefinite declassification is treated as though it is marked "OADR." (For example, if you are using information classified under E.O. 10964 that indicates "Group 3," this would be treated as though it is marked "OADR.") When using several sources of information classified under previous Executive Orders that are marked or treated as "OADR," the "Source dated" line will show the source with the most recent date. (For example, with one "OADR" document dated 2 August 1989 and one marked "Group-3" and dated 3 December 1962, the new document would be marked "Declassify on: Source marked OADR; Source dated 2 August 1989.") No matter what combination of indefinite declassification instructions and document dates you use as your derivative guidance, you need only find the document with the most RECENT DATE and this will determine what the "Source dated" line is going to be. Whatever the "Declassify on" line indicates will be your "Source marked" line. (If you have three documents, each marked "OADR," and with the dates of 2 September 1990, 3 December 1992 and 5 October 1995, the most resent date (5 October 1995) is the "Source dated" line. You would mark your document "Declassify on: Source marked OADR, Source dated 5 October 1995")

2 Sources marked with E.O. 12958 10-year exemption markings require a different approach. With documents marked "X1" through "X8," complete your "Declassify on" line with the exemption marking found on the sources. (You have two sources you use in making a derivative classification decision. Their declassification instructions are "X1" (14 October 1995) and "X2" (18 October 1995). Your declassification instruction would be "Declassify on: X2.")

3 Sources marked with E.O. 12958 25-year exemption markings will normally have definite declassification dates indicated. The exception is information marked "25X1" and concerning the identity of a confidential human source. This information will not have a declassification date, and will always be considered your most restrictive source. Mark your document "Declassify on: 25X1."

4 With sources having a combination of these types of declassification instructions, you must analyze the combination to determine which is most restrictive. Generally, the most current source document would provide your declassification on line. For example:

Source Declassify on:

Source 1 OADR dtd April 85

Source 2 17 Mar 99

Source 3 OADR dtd Oct 90

The derived document would be marked as follows:

DERIVED FROM: MULTIPLE SOURCES

DECLASSIFY ON: SOURCE MARKED

OADR DTD OCT 90

This information would be subject to declassification 25 years from the date of its origin, thus the date of the source document should always be placed on the declassification instruction line.

If the source information included exemption categories, the same process applies. Example:

Source Declassify on:

Source 1 25X2 (weapons of mass

destruction)

Source 2 17 March 99

Source 3 X5 (foreign government information)

The derived document would be marked as follows:

DERIVED FROM: MULTIPLE SOURCES

DECLASSIFY ON: X5

The information can be extended in successive ten year increments, therefore, the X5 exemption category becomes the most restrictive declassification guidance.

d. Combinations of Original and Derivative Classification. If the classification of the document is through a combination of original and derivative classification, determine the declassification instruction by following the rules in paragraph 5-204.c, above. Use the instruction supplied by the original classifier as if it came from a source document or classification guide.

5-205 Downgrading Instructions

Downgrading instructions are not required for every classified document, but must be placed on the face of each document to which they apply. Mark the document "Downgrade to Secret on..." and/or "Downgrade to Confidential on...," and add the appropriate date or event. (Note: A downgrading instruction is used in addition to, and not as a substitute for, declassification instructions.) Downgrading instructions shall not be applied to documents containing foreign government information or Restricted Data or Formerly Restricted Data.

5-206 Identification of Specific Classified Information

Every classified document must show, as clearly as is possible, which information in it is classified and at what level. Specific marking of each portion ("parenthetical portion marking") shall be used.

a. Each section, part, paragraph, and similar portion of a classified document shall be marked to show the highest level of classification of information it contains, or that it is unclassified. When deciding whether a subportion is included in the term "similar portion," the criterion will be whether the marking is necessary to eliminate doubt about the classification of its contents.

(1) Portions of text shall be marked with the appropriate abbreviation ("TS," "S," "C," or "U"), placed in parentheses immediately before the beginning of the portion. If the portion is numbered or lettered, place the abbreviation in parentheses between the letter or number and the start of the text.

(a) Portions containing Restricted Data and Formerly Restricted Data shall have abbreviated markings ("RD" or "FRD") included with the classification marking, for example, "(S-RD)." Critical Nuclear Weapon Design Information shall be marked with an "N" in separate parentheses following the portion marking: "(S-RD)(N)."
(b) Portions of DoD documents containing foreign government or North Atlantic Treaty Organization (NATO) information shall include identification of the foreign classification in the parenthetical marking, for example, "(UK-S)" or "(N-S)." Use the letter "R" to identify NATO or foreign government Restricted information.
(c) The abbreviation "FOUO" is used to designate unclassified portions that contain information that may be exempt from mandatory release to the public under the Freedom of Information Act (FOIA). See Appendix C for details.

(2) Subjects and titles of classified documents shall be marked to show their classification. Use the same abbreviations as for other portions, but place them in parentheses after the subject of title. This is the only exception to the placement rule.

(3) Charts, graphs, photographs, illustrations, figures, drawings, and similar portions of classified documents must be marked to show their classification. Captions or titles of these portions must also be marked.

(a) Charts, graphs, and similar items shall be marked with the unabbreviated classification, or "UNCLASSIFIED," based on the level of classified information they contain or reveal. The marking shall be placed within the chart, graph, etc., or next to the item.
(b) Captions and titles of charts, graphs, etc., shall be marked as required for text portions (see subparagraph 5-206a(1), above). The marking will indicate the classification of the caption or title, not of the chart itself. (See also paragraph 5-401, below.)

b. If an exceptional situation makes individual markings of each portion clearly impracticable, a statement may be substituted describing which portions are classified and their level of classification. Such a statement must identify the information as specifically as parenthetical portion marking. For classification by compilation, the statement required by subsection 5-302, below, meets this requirement. A waiver is not required in these situations.

c. Documents containing information classified by compilation (as described in subsection 2-400, above) shall be marked as follows:

(1) If portions, standing alone, are unclassified, but the document is classified by compilation, mark the portions "(U)" and the document and pages with the classification of the compilation. You must also add an explanation of the classification (see subsection 5-302, below).
(2) If individual portions are classified at one level, but the compilation is a higher classification, mark each portion with its own classification, and mark the document and pages with the classification of the compilation. Cite the explanation for the classification by compilation on the Classified By/Derived From line or with the record copy of the material.

d. Waivers of the requirements of this subsection may be granted only by the Director of the Information Security Oversight Office. Waivers granted before 14 October 1995 by DoD officials are no longer valid. Requests for waivers from DoD Components shall be forwarded to the Principal Director (Information Warfare, Security & Counterintelligence), ODASD(I&S) for submission to the Director, ISOO. Waiver requests for Special Access Programs will be forwarded to the Director, Special Programs, ODTUSD(P)PS, who will then forward them to the Director, ISOO. The waiver request must include the following:

(1) Identification of the information or class of documents for which the waiver is sought;
(2) A detailed explanation of why the waiver should be granted;
(3) The Component's judgment of the anticipated dissemination of the information or class of documents for which the waiver is sought; and
(4) The extent to which the documents subject to the waiver may be a basis for derivative classification.

5-207 Page Marking

a. Each interior page of a classified document (except blank pages) shall be conspicuously marked, top and bottom, with the highest classification of the information on the page. These markings must stand out from the balance of the information and thus a particular size is not specified. Pages containing only unclassified information shall be marked "UNCLASSIFIED." Blank interior pages will not be marked.

b. An alternative interior page marking scheme is the same as described above except that each page is marked with the highest classification of information in the document. If this alternative is used, parenthetical portion markings must be used instead of the means specified in paragraph 5-206b., above.

5-208 Special Control and Similar Notices

Besides the following, other notices may be required by other DoD Directives. Unless another Directive prescribes different placement, these additional control notices shall be placed on the face of the document.

a. Restricted Data. Documents containing Restricted Data shall be marked:

"This material contains Restricted Data as defined in the Atomic Energy Act of 1954. Unauthorized disclosure subject to administrative and criminal sanctions."

b. Documents containing Formerly Restricted Data, but no Restricted Data, shall be marked:

"Unauthorized disclosure subject to administrative and criminal sanctions. Handle as Restricted Data in foreign dissemination. Section 144.b, Atomic Energy Act, 1954"

c. The Director of Central Intelligence (DCI) establishes policies and procedures for the control of dissemination of intelligence information. The current DCI Directive on this subject is at Appendix E.

d. COMSEC Material

The following marking will be placed on classified COMSEC documents before release to contractors. Apply it when the document is created if release to contractors is likely.

"COMSEC Material - Access by Contractor Personnel Restricted to U.S. Citizens Holding Final Government Clearance."

e. Dissemination and Reproduction Notices

Classified information that is subject to specific dissemination or reproduction limitations may be marked with notices such as:

"Reproduction requires approval of originator or higher DoD authority", or

"Further dissemination only as directed by (insert appropriate office or official) or higher DoD authority."

f. Special Access Program Documents

Special Access Program documentation and information may be identified with the phrase "Special Access Required" and the assigned nickname, codeword, trigraph, or digraph.

g. For Official Use Only. See Appendix C for guidance on the marking of For Official Use Only information contained in classified documents.

h. Other Special Notices

Other requirements for special markings on Restricted Data and Formerly Restricted Data , intelligence and intelligence-related information, COMSEC information, technical documents, NATO-classified information, and other information are found in DoD and other agency directives and publications. Consult the references (Appendix A) for further guidance.

5-300 Documents with Component Parts

If a classified document has components likely to be removed and used or maintained separately, each component shall be marked as a separate document. Examples are annexes or appendices to plans, major parts of a report, or reference charts in a program directive. If the entire major component is unclassified, it may be marked on its face, top and bottom, "UNCLASSIFIED," and a statement added: "All portions of this [annex, appendix, etc.] are Unclassified." No further markings are required on such a component.

5-301 Transmittal Documents

Transmittals are documents that have classified documents enclosed with or attached to them. An example is a letter with classified enclosures. The transmittal document itself may contain information classified as high or higher than the documents transmitted. More often, though, the transmittal document itself is unclassified or classified at a lower level than the transmitted documents.

a. If the transmittal contains information classified higher than or at the same level as the documents it is transmitting, mark it as you would any other classified document. If any special control notices discussed in subsection 5-208, above, apply to the documents transmitted, place them on the face of the transmittal document.

b. If the information in the transmittal document is unclassified or classified at a lower level than one or more of the attachments or enclosures, mark the transmittal document as follows:

(1) Mark the face of the transmittal document conspicuously, top and bottom, with the highest classification found in it or any of the documents transmitted. (Example: An unclassified transmittal document has one Secret and two Confidential attachments. Mark the face of the transmittal document 'SECRET.")
(2) Mark the face of the transmittal document to show its status when separated from the classified material. Examples include: "UNCLASSIFIED WHEN SEPARATED FROM CLASSIFIED ENCLOSURES," "UNCLASSIFIED WHEN ATTACHMENT 2 IS REMOVED," "CONFIDENTIAL UPON REMOVAL OF ENCLOSURES," or a similar statement.
(3) If any of the special control notices described in subsection 5-208, above, apply to the transmittal document or any enclosures, place them on the face of the transmittal document.
(4) Transmittal documents that are classified standing alone must be marked like other classified documents. Unclassified transmittal documents shall not be portion marked. The marking of classification at the top and bottom of interior pages of an unclassified transmittal document is not necessary.

5-302 Classification by Compilation

When a document consisting of individually unclassified items of information is classified by compilation (see subsection 2-400, above), the overall classification shall be marked conspicuously at the top and bottom of each page and the outside of the front and back covers (if there are covers). An explanation of the basis for classification by compilation shall be placed on the face of the document or included in the text. Mark the portions in accordance with paragraph 5-206c, above.

5-303 Translations

Translations of U.S. classified information into a foreign language shall be marked with the appropriate U.S. classification markings and the foreign language equivalent. (See Appendix F for foreign language classifications.) They must also clearly show the United States as the country of origin.

5-304 Information Transmitted Electronically

Information transmitted electronically, such as messages to be retained as permanent records, rather than those that are facsimile (FAX) transmissions, must be marked as required by this chapter for any other classified document, with the following special provisions:

a. The first item in the text must be the overall classification of the information.
b. For information printed by an automated system, overall and page markings may be applied by that system, provided they stand out conspicuously from the text. In older systems, this may be achieved by surrounding the markings with asterisks or other symbols.
c. A properly completed "Classified by" or "Derived from" line, ("Reason," when appropriate), declassification instructions, and downgrading instructions (when appropriate) must be included in the last line. Declassification and downgrading instructions shall not be used for information containing Restricted Data or Formerly Restricted Data. The abbreviations "CLASS" for "Classified by," "RSN" for Reason," DECL" for "Declassify on," "DERV" for "Derived from," and "DNG" for "Downgrade to" may be used.

5-305 Documents and Material Marked for Training Purposes

Documents and material that contain no classified information, but are marked with classification markings for training purposes, must also have a marking which clearly shows that they are actually unclassified. A suitable marking shall be placed on each page of the document, for example, "Unclassified - Marked Classified for Training Only."

5-306 Files, Folders, and Groups of Documents

Classified files, folders, and similar groups of documents must have clear classification markings on the outside of the folder or holder. Attaching a classified document cover sheet (Standard Forms 703, 704, or 705) to the front of the folder or holder will satisfy this requirement. These cover sheets need not be attached when the item is in secure storage.

5-307 Printed Documents Produced by AIS Equipment

Because of the volume and nature of the printed products of automated information systems (AISs), special provisions for marking some AIS-generated documents are required. These special provisions do not apply to documents produced by AISs that function as word processing systems. Documents produced on these AISs are marked like other documents. The exceptional provisions are:

a. Classification markings on interior pages of fan-folded printouts are required. These markings may be applied by the AIS equipment even though they may not meet the normal test of being conspicuous.
b. Special control notices, identification of classification sources, and downgrading and declassification instructions must either be marked on the face of the document or be placed on a separate sheet of paper attached to the front of the document.
c. Portions of AIS printouts removed for separate use or maintenance shall be marked as individual documents.

5-400 General Policy Statement

When classified information is contained in AIS media, audiovisual media, hardware and equipment, or other media not commonly thought of as documents, the provisions of subsection 5-100, above, must be met in a way that is appropriate to the type of material. The main concern is that holders and users of the material are clearly warned of the presence of classified information needing protection. The information provided by other markings required by this chapter must also be made available, either on the item or in documentation that accompanies it. Particular exceptions are as noted in subsections 5-401 through 5-408, below.

5-401 Blueprints, Schematics, Maps, and Charts

Blueprints, engineering drawings, charts, maps, and similar items not contained in a classified document must be marked with their overall classification. The classification marking must be unabbreviated, must be conspicuous, and should be applied top and bottom if possible. The legend or title must also be marked to show its classification. An abbreviated marking in parentheses following the legend or title may be used. If the blueprints, maps and other items are large enough that they are likely to be rolled or folded, classification markings must be placed to be visible when the item is rolled or folded. For guidance on marking these items when they are pages of a classified document, see subparagraph 5-206a.(3), above.

5-402 Photographs, Negatives, and Unprocessed Film

a. Photographs and negatives must be marked with the overall classification of information they contain. Photographs should be marked on the face, if possible. If this cannot be done, the classification marking may be placed on the reverse side. Other markings required by this chapter shall be placed on photographs along with the classification marking, or will be included in accompanying documentation.

b. Roll negatives and positives, and other film containing classified information must be marked with their overall classification. This marking must be placed either on the film itself or on the canister, if one is used. If placed on the film itself, the marking must be placed at the beginning and end of the roll.

5-403 Slides and Transparencies

a. Slides and transparencies shall have the overall classification and special control notices (detailed in subsection 5-208, above) marked on the image area of the item and also on the border, holder, or frame. Information on the image area of the item shall be portion marked in accordance with subsection 5-206, above. Other required security markings may be placed in the image area; on the border, holder, or frame; or in documentation accompanying the item.

b. If a group of slides or transparencies is used together and maintained together as a set, each slide or transparency must have the classification marking and special control notices on it. The other required security markings may be placed on the first slide or transparency in the set; these markings are not needed on the other slides or transparencies. Slides or transparencies that are permanently removed from a set must be marked as a separate document.

5-404 Motion Picture Films and Videotapes

Classified motion picture films and videotapes must be marked with their classification and any appropriate control notices at the beginning and end of the played or protected portion. Other required security markings shall be placed at the beginning of the projected or played portion. Reels and cassettes shall be marked with the overall classification of the item and kept in containers marked with the classification and other required security markings.

5-405 Sound Recordings

Sound recordings containing classified information must have an audible statement of their classification at the beginning and end. Reels or cassettes shall be marked with the overall classification of the item and kept in containers marked with the classification and other required security markings.

5-406 Microforms

Microfilm, microfiche, and similar media must have their overall classification marked in the image area that can be read or copied. They also must have this marking applied so it is visible to the unaided eye. Other required security markings shall be either placed on the item or included in accompanying documentation.

5-407 Removable AIS Storage Media

Removable storage media include magnetic tape reels, disk packs, diskettes, CD-ROMs, removable hard disks, disk cartridges, optical disks, paper tape, reels, magnetic cards, tape cassettes and micro-cassettes, and any other device on which data is stored and which normally is removable from the system by the user or operator. All such devices bearing classified information must be conspicuously marked with the highest level of classification stored on the device and any special control notices that apply to the information using one of the labels specified in subsection 5-409, below. As an exception, in the case of CD-ROMs, the label may be affixed to the sleeve or container in which the CD-ROM is stored. Other information normally provided by document markings (e.g., "classified by" and "declassify on" lines) shall be available as follows:

a. If the information is stored in readily accessible format on the device, it does not have to be marked on the outside of the device. As an example, if classified files or documents prepared with a word processor are stored on a floppy diskette, and each file bears its own declassification instructions as entered with the word processor, the diskette does not need to be marked with declassification instructions. This should be true with respect to most diskettes containing classified word processing files and documents, even though a few of them may not have all of the prescribed markings.
b. If the required information is not stored in readily accessible format on the device, it must be marked on the outside of the device (normally with a sticker or tag) or placed on documentation kept with the device.

5-408 Fixed and Internal AIS Storage Media

System managers shall ensure that AISs, including word processing systems, provide for classification designation of data stored in internal memory or maintained on fixed storage media.

5-409 Standard Form (SF) Labels

a. If not marked otherwise, AIS storage media and other items covered by this Section must be marked with the following labels:

(1) SF 706 - TOP SECRET
(2) SF 707 - SECRET
(3) SF 708 - CONFIDENTIAL
(4) SF 709 - CLASSIFIED
(5) SF 710 - UNCLASSIFIED
(6) SF 711 - DATA DESCRIPTOR

b. SF 711 should be used any time classified AIS storage media are removed from the office in which they were created. There is no intention to require use of SF 710 in environments where no classified information is created or used. SF 709 should not be used if the appropriate classification label (SF 708, SF 707, or SF 706) is available.

5-410 Intelligence Information

a. Additional security controls and markings are established for the dissemination of intelligence information. Appendix E contains a reprint of the current Director of Central Intelligence Directive (DCID) 1/7. The DCID 1/7 establishes policies, controls and procedures for the dissemination and use of intelligence information and is applicable to classifiers of intelligence information.
b. The DCID eliminates several markings. Refer to the DCID for instructions on marking and releasing procedures for information marked with the following obsolete caveats:

Not Releasable to Foreign Nationals (NOFORN)
Release to (REL TO)
Warning Notice-Intelligence Sources or Methods Involved (WNINTEL)
Not Releasable to Contractors/