440.8 - Nuclear Formerly Restricted Data (FRD) and Restricted Data (RD) Information Classification and Declassification

Date: 7/30/2002

OPR: Office of Administrative Policy and Services/Office of Management Services/Security Management Office

1. Policy. This chapter provides policies and procedures in the U.S. Geological Survey (USGS) for the classification and declassification of Department of Energy (DOE) Restricted Data (RD) and Formerly Restricted Data (FRD), as required by Title 10 of the Code of Federal Regulations, Part 1045 (10 CFR 1045), Nuclear Classification and Declassification. These policies and procedures apply: (1) to any USGS employee with authorized access to RD or FRD, and (2) to any USGS employee who generates or possesses a document that may contain RD or FRD.

2. Authority.

A. Executive Order 12958, Classified National Security Information.

B. 32 CFR Part 2001, Office of Management and Budget, Information Security Oversight Office, Directive No. 1, Classified National Security Information, Final Rule.

C. Part 442 of the Departmental Manual, National Security Information.

D. 10 CFR Part 1045, Nuclear Classification and Declassification.

3. Responsibilities. Specific areas of responsibility are as follows:

A. Director. The Director ensures appointment of an RD Management Official who implements these policies and procedures within the USGS, ensures that the performance of classification and declassification activities by the RD Management Official is evaluated periodically, and ensures that the performance of individuals who classify or declassify significant numbers of RD or FRD documents is evaluated periodically.

B. Regional Directors. The Regional Director of each region processing, storing, or having access to RD or FRD material is responsible for:

(1) Ensuring that DOE classified information requirements are carried out within their respective regions and that adequate resources are made available to implement and maintain this program.

(2) Designating, in writing, an appropriately cleared Regional Security Officer and an alternate responsible for implementing the classified national security information program within the region.

C. Regional Security Officers are responsible for:

(1) Ensuring that those positions or individuals within their respective region who are required to derivatively classify RD and FRD documents are designated as RD Classifiers. The Regional Security Officer shall submit a request to the RD Management Official containing the name of the individual to be designated as an RD Classifier, a justification of the need for such authority, and the qualifications of the individual. For example, the individual must have demonstrated competence in subject area for which the authority will be used; and must be familiar with classification policy, procedures, and guidance in the area for which the authority will be used.

(2) Ensuring that RD Classifiers and all employees with access to RD and FRD information are trained in the proper procedures for classifying, declassifying, marking, and handling RD and FRD documents. (The Restricted Data Management Official provides training requirements.)

D. Restricted Data Management Official. For the USGS, the Bureau Security Manager, Office of Management Services, Security Management Office, is designated as the Restricted Data (RD) Management Official. In this capacity, the RD Management Official is responsible for implementing bureau-wide policies and procedures cited within this chapter. This responsibility includes, but is not limited to the following:

(1) Designating RD Classifiers after the proper training and justification requirements have been met.

(2) Ensuring that classification guides covering RD and FRD information are developed jointly with DOE for programs with shared responsibility and are coordinated with the DOE Office of Declassification prior to issuance or when updated.

(3) Ensuring that any classification guide that contains RD or FRD topics is coordinated with the DOE Office of Declassification prior to issuance or when updated. Ensuring that classification guides containing RD or FRD topics are reviewed at least once every 5 years to ensure consistency with DOE classification policy.

(4) Ensuring that any document originated or possessed by an RD Classifier that may contain RD or FRD information and that is intended for widespread distribution or public release is submitted for a classification review and determination prior to dissemination. RD material is to be submitted to the DOE Director of Declassification for review. FRD material is be submitted either to the DOE Director of Declassification or appropriate DOD organization for review.

(5) When necessary, requesting an exemption from procedural provisions of 10 CFR 1045 from the DOE Director of Declassification.

E. Restricted Data Classifiers. All persons who classify RD and FRD documents shall be trained in the proper procedures for classifying, declassifying, marking, and protecting such documents. In this capacity, the RD Classifier is responsible for:

(1) Completion of a training program as determined by the RD Management Official. Upon successful completion of the training, the RD Management Official shall designate the individual as an RD Classifier for a period of 5 years. After 5 years, the need for such authority is reexamined and if still needed, the individual shall successfully complete a refresher training session specified by the RD Management Official before being re-designated for additional years.

(2) Classifying and declassifying RD and FRD documents according to the specifications and requirements cited in Sections 5 and 6 of this chapter.

(3) Providing the classification/declassification assistance and services cited in Section 7 of this chapter.

F. Supervisors. Responsibility for the security of classified information rests with each supervisor to the same degree that the supervisor is charged with the functional responsibility for the organization unit. Supervisors shall ensure that FRD and RD classified material under the custody of their organization is handled in compliance with established security policies and procedures.

G. Individuals.

(1) The basic responsibility for the security of classified information rests with each person having physical custody of the classified information, regardless of how obtained. It is the responsibility of the individual to submit any document they originate or possess that may contain RD or FRD information to an RD Classifier for classification review prior to dissemination. The RD Classifier will determine if the document contains RD or FRD information and the classification level (Confidential Secret, or Top Secret) of the information.

(2) All persons who have access to RD and FRD information shall be trained on the authorities required to classify RD and FRD documents and how to protect such documents. The RD Management Official shall be contacted to provide the training requirements.

4. Classification Guidance. Developing guidance covering RD or FRD information:

A. Shared Responsibility for RD or FRD Program. Any classification guide prepared for a program involving RD or FRD information under the shared responsibility of the USGS and the DOE shall be coordinated with the DOE Office of Declassification through the RD Management Official prior to issuance or when updated.

B. Contains RD or FRD Topics. Any classification guide that contains RD or FRD topics shall be coordinated with the DOE Office of Declassification through the RD Management Official prior to issuance or when updated.

C. Review of Guidance. Each classification guide that contains RD or FRD topics shall be reviewed at least once every 5 years to ensure consistency with DOE classification policies.

5. Classifying RD and FRD Documents.

A. Authority. Only those persons designated as RD Classifiers may classify RD and FRD documents, using classification guides as the primary basis for their determinations.

B. Review Requirements. If an RD Classifier requires a review of their classification action, contact the RD Management Official for assistance.

C. Marking Requirements. The RD Classifiers shall ensure that each RD and FRD document is clearly marked to convey to the holder that it contains RD or FRD information, the level of classification (Confidential, Secret, or Top Secret) assigned, and the additional markings identified below.

D. Front Markings. In addition to the overall classification level of the document, the following notices shall appear on the front of the document, as appropriate:

If the document contains RD:

RESTRICTED DATA

This document contains RESTRICTED DATA as defined in the Atomic Energy Act of 1954.Unauthorized disclosure subject to administrative and criminal sanctions.

If the document contains FRD, but does not contain RD:

FORMERLY RESTRICTED DATA

Unauthorized disclosure subject to administrative and criminal sanctions. Handle as RESTRICTED DATA in foreign dissemination. See Section 144b, Atomic Energy Act of 1954.

An RD or FRD document shall be marked to identify the classification guide or source document, by title and date, used to classify the document:

Derived from: ______________________________________________ 

(Classification Guide or Source Document-Title and Date)

An RD or FRD document shall be marked with the identity of the RD Classifier, unless the classifier is the same as the document originator or signer.

RD Classifier: ______________________________________________

(Name and Position or Title)

E. Interior Page. The RD Classifiers shall ensure that RD and FRD documents are clearly marked at the top and bottom of each interior page with the overall classification level (Confidential, Secret, or Top Secret) and category (RD or FRD) of the document or the classification level and category of the page, whichever is preferred (e.g., SECRET RD or SECRET FRD).

6. Declassifying RD and FRD Documents.

A. Duration of Classification. Documents containing RD or FRD are never automatically declassified. Such documents remain classified until an authorized person takes positive action to declassify them. Under the Atomic Energy Act, no date or event for automatic declassification ever applies to RD/FRD documents, even if such documents also contain National Security Information.

B. Declassifying RD Documents. The DOE Director of Declassification is the only individual who may declassify a document containing RD information. The RD documents needing declassification shall be sent through the RD Management Official who will then transmit them to the DOE Director of Declassification.

C. Declassifying FRD Documents. The DOE Director of Declassification or the appropriate Department of Defense (DOD) organization are the only individuals who may declassify a document containing FRD information under joint DOE DOD classification guides or DOD guides coordinated with DOE. The FRD documents needing declassification shall be sent through the RD Management Official who will then transmit them to the DOE Director of Declassification or the appropriate DOD organization.

7. ADMINISTRATIVE POLICIES AND PROCEDURES.

A. Submitting Information Which May Be Restricted Data. Any person with authorized access to RD who possesses information that they believe may be RD shall submit the information to an RD Classifier for evaluation. If no classification guidance can be applied to the information, but the information meets the RD definition and appears to be potentially sensitive, then the RD Classifier shall forward the information to the RD Management Official. Information forwarded shall be protected as Confidential Restricted Data at a minimum. The RD Management Official will then transmit the information to the DOE Director of Declassification for a determination.

B. Proposals for Declassifying Restricted Data or Formerly Restricted Data. Any person with authorized access to RD or FRD who possesses information that they believe should be declassified shall forward such proposal for declassification to the RD Management Official. The RD Management Official will then transmit the information to the DOE Director of Declassification for evaluation.

C. Suggestions or Complaints about RD Classification or Declassification Policies and Procedures. Any person with a suggestion or complaint about RD classification or declassification policies and procedures shall direct their suggestion or complaint to the Openness Coordinator, U.S. Department of Energy, 19901 Germantown Road, Germantown, Maryland 20874-1290.

D. Request for Exemption to Procedural Requirements. When necessary, the RD Management Official may request an exemption to procedural requirements contained in 10 CFR 1045. Such request shall be made in writing to the DOE Director of Declassification and shall describe the exemption requested, a justification for the exemption, and a proposed alternate or equivalent means of meeting the requirement.

E. Challenges to Classification. Any person with authorized access to RD or FRD may challenge an RD/FRD classification with the RD Classifier who made the determination. Under no circumstances shall the person be subject to retribution for making such a challenge. The RD Classifier shall respond to the challenge within 90 days. If no response is received within 90 days or if the response by the RD Classifier does not satisfy the person making the challenge, the person may submit an initial appeal through the RD Management Official to the DOE Director of Declassification, who shall respond within 90 days. If the response by the DOE Director of Declassification does not satisfy the person making the challenge, the person may submit a final appeal through the RD Management Official to the DOE Director of Security Affairs.

F. Preparing a Classified Addendum. To the maximum extent practical, the originator of a document containing RD or FRD information shall include the unclassified portions in the primary document and shall separate the RD or FRD portions into attachments, appendixes, or supporting documents. If such separation is not practical and there is significant public interest in the document, the originator is encouraged to prepare an unclassified version.

G. Responding to Freedom of Information Act and Mandatory Review Requests. A document containing RD information that is requested under the Freedom of Information Act (FOIA) or the mandatory review provisions of Executive Order 12958 shall be forwarded through the RD Management Official to the DOE Director of Declassification for review. A document containing FRD information that is requested under the FOIA or mandatory review provisions shall be forwarded through the RD Management Official to either the DOE Director of Declassification or the appropriate DOD organization, depending on which agency originated the document.

H. Unmarked Documents. Any individual who is reviewing documents under the automatic declassification or systematic review provisions of Executive Order 12958 or for any other reason who finds a document they suspect contains RD or FRD information (even though it is not so marked) shall send such document to an RD Classifier for review. Such documents are not subject to automatic declassification.

I. No Comment Policy. Authorized holders of RD and FRD shall not confirm or expand upon the classification status or technical accuracy of classified information in the public domain since unauthorized disclosure of classified information does not automatically result in the declassification of that information.