Bidders Library Security - DoDM 5200 01 Vol 2.pdf

Department of Defense

MANUAL

NUMBER 5200.01, Volume 2 February 24, 2012

Incorporating Change 4, Effective July 28, 2020

USD(I&S)

SUBJECT: DoD Information Security Program: Marking of Information

References: See Enclosure 1

1. PURPOSE

a. Manual. This Manual is composed of several volumes, each containing its own purpose.

The purpose of the overall Manual, as authorized by DoD Directive (DoDD) 5143.01 (Reference (a)) and DoD Instruction (DoDI) 5200.01 (Reference (b)), is to reissue DoD 5200.1-R (Reference (c)) as a DoD Manual (DoDM) to implement policy, assign responsibilities, and provide procedures for the designation, marking, protection, and dissemination of controlled unclassified information (CUI) and classified information, including information categorized as collateral, sensitive compartmented information (SCI), and Special Access Program (SAP). This guidance is developed in accordance with Reference (b), Executive Order (E.O.) 13526, E.O.

13556, and parts 2001 and 2002 of title 32, Code of Federal Regulations (References (d), (e), and (f)). This combined guidance is known as the DoD Information Security Program.

b. Volume. This Volume:

(1) Provides guidance for the correct marking of information.

(2) Incorporates and cancels DoD 5200.1-PH, Directive-Type Memorandum (DTM) 04-009, and DTM 05-008 (References (g), (h), and (i)).

2. APPLICABILITY. This Volume:

a. Applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (hereinafter referred to collectively as the “DoD Components”).

DoDM 5200.01-V2, February 24, 2012

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b. Does not alter existing authorities and responsibilities of the Director of National Intelligence (DNI) or of the heads of elements of the Intelligence Community (IC) pursuant to policies issued by the DNI. Consistent with Reference (b), SCI shall be safeguarded in accordance with the policies and procedures issued by the DNI, as implemented by Volumes 1-3 of DoDM 5105.21 (References (j), (k), and (l)) and other applicable guidance.

3. DEFINITIONS. See Glossary.

4. POLICY. It is DoD policy, in accordance with Reference (b), to:

a. Identify and protect national security information and CUI in accordance with national level policy issuances.

b. Promote information sharing, facilitate judicious use of resources, and simplify management through implementation of uniform and standardized processes.

c. Prescribe, use, and enforce standards for marking all classified national security information, consistent with the requirements of References (d) and (f).

d. Facilitate information sharing by application of restrictive dissemination markings only where clearly warranted.

5. RESPONSIBILITIES. See Volume 1, Enclosure 2.

6. PROCEDURES. See Enclosures 2 through 4.

7. RELEASABILITY. Cleared for public release. Available on the Directives Division Website at https://www.esd.whs.mil/DD/.

8. SUMMARY OF CHANGE 4. This administrative change updates the title of the Under Secretary of Defense for Intelligence to the Under Secretary of Defense for Intelligence and Security in accordance with Public Law 116-92 (Reference (au)).

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9. EFFECTIVE DATE. This Volume is effective February 24, 2012.

Enclosures

1. References

2. Overview

3. Marking Principles

4. Marking Standard

Glossary

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TABLE OF CONTENTS

ENCLOSURE 1: REFERENCES

ENCLOSURE 2: OVERVIEW

MARKING STANDARD

EXAMPLES

WAIVERS INVOLVING MARKING OF CLASSIFIED INFORMATION

COVER SHEETS AND CLASSIFICATION LABELS

TRIGRAPHS AND TETRAGRAPHS

REQUESTS FOR OPERATIONAL TETRAGRAPHS

Process Considerations Request Requirements

ENCLOSURE 3: MARKING PRINCIPLES

MARKING REQUIREMENT

GENERAL GUIDELINES

REQUIRED MARKINGS ON CLASSIFIED DOCUMENTS

SPECIAL NOTICES

BANNER LINES

PORTION MARKS

DOD COMPONENT, OFFICE, AND DATE OF ORIGIN

CLASSIFICATION AUTHORITY BLOCK

General Requirements Original Classification Derivative Classification Examples

USE OF CALCULATED DECLASSIFICATION DATE IN PLACE OF PREVIOUS

DECLASSIFICATION INSTRUCTIONS

MARKINGS FOR CHANGES IN CLASSIFICATION

Confirmation of Change Declassification Downgrading Downgrading or Declassification Earlier Than Scheduled Upgrading Extension of Classification Reclassification Bulk Changes

DECLASSIFICATION MARKINGS

CLASSIFICATION AS A RESULT OF COMPILATION

WORKING PAPERS

REFERENCES

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TRANSMITTAL DOCUMENTS

BRIEFING SLIDES

MARKING IN THE ELECTRONIC ENVIRONMENT

General Guidance E-Mail Messages Web Pages URLs Dynamic Documents Bulletin Board Postings and Blogs Wikis Instant Messaging, Chat, and Chat Rooms Attached Files

SPECIAL TYPES OF MATERIALS

General Guidance Blueprints, Engineering Drawings, Charts and Maps Photographic Media Digital Video Discs (DVDs), Video Tapes, Motion Picture Films, and Web Videos Sound Recordings Microfilm, Microfiche, and Similar Microform Media Removable Electronic Storage Media

MARKING FGI

MARKING REQUIREMENTS FOR TRANSFERS OF DEFENSE ARTICLES TO

AUSTRALIA OR THE UNITED KINGDOM WITHOUT AN EXPORT LICENSE

OR OTHER WRITTEN AUTHORIZATION

TRANSLATIONS

MARKING DOCUMENTS FOR TRAINING PURPOSES OR AS AN EXAMPLE

DISTRIBUTION STATEMENTS

ENCLOSURE 4: MARKING STANDARD

OVERVIEW

USE OF THE MARKING “NOT RELEASABLE TO FOREIGN NATIONALS”

(NOFORN)

U.S. CLASSIFICATION MARKINGS

FGI MARKINGS USED ON NON-U.S. DOCUMENTS

General NATO Classification Markings Documents Marked RESTRICTED or That Are Provided “in Confidence”

JOINT CLASSIFICATION MARKINGS

SCI CONTROL SYSTEM MARKINGS

SAP CONTROL MARKINGS

ATOMIC ENERGY ACT INFORMATION MARKINGS

RD

FRD

CNWDI

Sigma

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FGI MARKINGS USED IN U.S. DOCUMENTS

DISSEMINATION CONTROL MARKINGS

Dissemination Control Markings for Intelligence Information

FOUO

CUI

Dissemination and Extraction of Originator Controlled (ORCON) Information Authorized For Release To (REL TO) Display Only

OTHER DISSEMINATION CONTROL MARKINGS

Alternative Compensatory Control Measures (ACCM) Department of State (DoS) Dissemination Control Markings Equivalent Foreign Security Classifications

APPENDIXES

1. DISSEMINATION CONTROL MARKINGS FOR INTELLIGENCE

INFORMATION

2. DOS DISSEMINATION CONTROL MARKINGS

GLOSSARY

PART I. ABBREVIATIONS AND ACRONYMS

PART II. DEFINITIONS

TABLE

1. Authorized Distribution Statements

FIGURES

1. Examples of Banner Markings

2. Examples of Portion Markings

3. Example of Originally Classified Document

4. Example of Derivatively Classified Document

5. Markings on a Memorandum

6. Markings on an Action Memorandum

7. Markings on a Staff Summary Sheet

8. Use of Calculated Declassification Date

9. Declassification Markings

10. Classification as a Result of Compilation

11. Markings on Working Papers

12. Marking References

13. Transmittal Documents

14. Markings on Briefing Slides

15. Multiple Source Listing on Briefing Slides

16. Marking E-Mails

17. Examples of URL with Included Portion Mark

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18. Example of Portion-Marked URL Embedded in Text

19. Warning Statement for Dynamic Documents

20. Markings on Maps

21. Markings on Charts

22. Markings on Photographs

23. Markings on IT Systems and Media

24. Information Provided by Distribution Statements

25. Marking Structure

26. Example of U.S. Classification Markings

27. Example of Markings for Non-U.S. Documents

28. Examples of NATO Markings

29. CONFIDENTIAL—Modified Handling Example

30. Example of Joint Classification Marking

31. Example of Joint Classification Marking with REL TO

32. Example of Joint Classification Marking in a U.S. Derivative Document

33. Examples of SCI Control Markings

34. Examples of SAP Markings

35. Declassification Markings for SAP Information

36. Example of RD Markings

37. Example of FRD Markings

38. Example of CNWDI Markings

39. Example of SIGMA Markings

40. Example of SIGMA 14 Markings

41. Example of FGI Marking

42. Example of FGI Marking with NATO Information

43. Example of FGI Marking When Originating Country Is Concealed

44. Example of FGI Marking with REL TO

45. Example of FOUO Marking in a Classified Document

46. Example of ORCON Marking

47. Example of REL TO Marking

48. Example of REL TO Marking When Not All Portions Are Equally Releasable

49. Example of REL TO Marking When Portions Lack Explicit Release Markings

50. Example of DISPLAY ONLY Marking

51. Example of DISPLAY ONLY Marking with REL TO

52. Example of Markings When Not All Portions Are DISPLAY ONLY

53. Example of DISPLAY ONLY Marking in Mixed Releasability Situation

54. Example of ACCM Markings

55. Example of IMCON Marking

56. Example of IMCON Banner Marking When There Are NOFORN Portions

57. Example of NOFORN Marking

58. Example of NOFORN Markings with REL TO Portions

59. Example of PROPIN Marking

60. Example of RELIDO Marking

61. Example of FISA Marking

62. Example of EXDIS Marking

63. Example of NODIS Marking

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64. Example of SBU Marking

65. Example of SBU-NF Marking

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ENCLOSURE 1

REFERENCES

(a) DoD Directive 5143.01, “Under Secretary of Defense for Intelligence and Security (USD(I&S)),” October 24, 2014, as amended

(b) DoD Instruction 5200.01, “DoD Information Security Program and Protection of Sensitive Compartmented Information (SCI),” April 21, 2016, as amended

(c) DoD 5200.1-R, “Information Security Program,” January 14, 1997 (cancelled by Volume 1 of this Manual)

(d) Executive Order 13526, “Classified National Security Information,” December 29, 2009

(e) Executive Order 13556, “Controlled Unclassified Information,” November 4, 2010

(f) Parts 2001 and 2002 of title 32, Code of Federal Regulations

(g) DoD 5200.1-PH, “DoD Guide to Marking Classified Documents,” April 1997 (hereby cancelled)

(h) Directive-Type Memorandum 04-009, “Security Classification Marking Instructions,”

September 27, 2004 (hereby cancelled)

(i) Directive-Type Memorandum 05-008, “Use of the ‘Not Releasable to Foreign Nationals’

(NOFORN) Caveat on Department of Defense (DoD) Information,” May 17, 2005 (hereby cancelled)

(j) DoD Manual 5105.21, Volume 1, “Sensitive Compartmented Information (SCI) Administrative Security Manual: Administration of Information and Information Systems Security,” October 19, 2012, as amended

(k) DoD Manual 5105.21, Volume 2, “Sensitive Compartmented Information (SCI) Administrative Security Manual: Administration of Physical Security, Visitor Control, and Technical Security,” October 19, 2012, as amended

(l) DoD Manual 5105.21, Volume 3, “Sensitive Compartmented Information (SCI) Administrative Security Manual: Administration of Personnel Security, Industrial Security, and Special Activities,” October 19, 2012, as amended

(m) Intelligence Community Directive 710, “Classification Management and Control Markings System,” June 21, 2013

(n) Director of National Intelligence, “Authorized Classification and Control Markings Register” (current version)1

(o) Director of National Intelligence, “Intelligence Community Classification and Control Markings Implementation Manual” (current version)1

(p) International Organization for Standardization Standard 3166-1:2006, “Codes for the Representation of Names of Countries and Their Subdivisions,” current edition2

(q) DoD Manual 5200.45, ‘Instructions for Developing Security Classification Guides,” April 2, 2013, as amended

1 This document is For Official Use Only (controlled unclassified information). It is available to authorized recipients on SIPRNET (http://www.intelink.sgov.gov/sites/ssc/capco/default.aspx), on JWICS (http://www.intelink.ic.gov/sites/ppr/security/ssc/capco/default.aspx), or from the ODNI Controlled Access Program Coordination Office 2 Available at http://www.iso.org

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(r) DoD Instruction 8320.02, “Sharing Data, Information, and Information Technology (IT) Services in the Department of Defense,” August 5, 2013, as amended

(s) DoD Instruction 5230.24, “Distribution Statements on Technical Documents,” August 23, 2012, as amended

(t) National Security Agency/Central Security Service Policy Manual 3-16, “Control of Communications Security (COMSEC) Material,” August 2005

(u) Executive Order 12951, “Release of Imagery Acquired by Space-Based National Intelligence Reconnaissance Systems,” February 22, 1995

(v) DoD Instruction 5230.09, “Clearance of DoD Information for Public Release,” January 25,

(w) DoD Instruction 5230.29, “Security and Policy Review of DoD Information for Public Release,” August 13, 2014, as amended

(x) National Disclosure Policy-1, “National Policy and Procedures for the Disclosure of Classified Military Information to Foreign Governments and International Organizations,” October 2, 20003

(y) DoD Instruction S-5105.63, “Implementation of DoD Cover and Cover Support Activities (U),” June 20, 2013

(z) DoD Directive 5230.11, “Disclosure of Classified Military Information to Foreign Governments and International Organizations,” June 16, 1992

(aa) DoD Directive 5230.20, “Visits and Assignments of Foreign Nationals,” June 22, 2005

(ab) United States Security Authority for NATO Affairs Instruction 1-07, “Implementation of

North Atlantic Treaty Organization (NATO) Security Requirements,” April 5, 20074

(ac) DoD Directive 5100.55, “United States Security Authority for North Atlantic Treaty

Organization Affairs (USSAN),” February 27, 2006

(ad) Committee on National Security Systems Policy 18, “National Policy on Classified

Information Spillage,” June 20065

(ae) DoD Directive 5205.07, “Special Access Program (SAP) Policy,” July 1, 2010, as amended

(af) DoD Instruction 5205.11, “Management, Administration, and Oversight of DoD Special

Access Programs (SAPs),” February 6, 2013, as amended

(ag) DoD Manual 5205.07, Volume 4, “Special Access Program (SAP) Security Manual:

Marking,” October 10, 2013, as amended

(ah) Section 2011, et seq., of title 42, United States Code (also known as “The Atomic Energy

Act of 1954, as amended”)

(ai) Subpart A of Part 1045 of title 10, Code of Federal Regulations

(aj) DoD Instruction 5210.02, “Access to and Dissemination of Restricted Data and Formerly

Restricted Data,” June 3, 2011, as amended

(ak) DoD Instruction 5210.83, “DoD Unclassified Controlled Nuclear Information (UCNI),”

July 12, 2012, as amended

(al) Section 552 of title 5, United States Code (also known as “The Freedom of Information

Act”)

3 Provided to designated disclosure authorities on a need-to-know basis from the Office of the Deputy Under Secretary of Defense (Policy Integration) and Chief of Staff 4 Available from the Central U.S. Registry 5 Available at http://www.cnss.gov/Assets/pdf/CNSSP-18.pdf

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(am) Director of Central Intelligence Directive 6/6, “Security Controls on the Dissemination of Intelligence Information,” July 11, 20016

(an) Director of National Intelligence Memorandum, E/S 00045, “Guiding Principles for Use of the ORCON Marking and for Sharing Classified National Intelligence with U.S. Entities,” March 11, 20117

(ao) Director of Central Intelligence Directive 6/7, “Intelligence Disclosure Policy,” June 30, 19986

(ap) DoD Instruction 5030.59, “National Geospatial-Intelligence Agency (NGA) LIMITED DISTRIBUTION Geospatial Intelligence (GEOINT),” March 10, 2015, as amended

(aq) Sections 1801, et seq. of title 50, United States Code (also known as “The Foreign Intelligence Surveillance Act of 1978, as amended”)

(ar) DoD Directive 5400.7, “DoD Freedom of Information Act (FOIA) Program,”, April 5,

(as) Executive Order 12333, “United States Intelligence Activities,” December 4, 1981, as amended

(at) Parts 120 through 130 of title 22, Code of Federal Regulations (also known as “The International Traffic in Arms Regulations”)

(au) Public Law 116-92, “National Defense Authorization Act for Fiscal Year 2020,” December 20, 2019

6 SIPRNET at htpps://intelshare.intelink.sgov.gov/sites/ssc/capco/capco%20%web%20part%20pages/dcid-.aspx 7 Classified document available to qualified recipients on a need-to-know basis from the ODNI Controlled Access Program Coordination Office

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ENCLOSURE 2

OVERVIEW

1. MARKING STANDARD. This marking system augments and further defines the markings requirements established in References (d), (e), and (f), as applicable, for overall classification and portion marks.

a. The marking system specifies a uniform list of authorized security classification and control markings and their authorized abbreviations and portion markings.

b. Documents marked in accordance with previous guidance need not be re-marked with markings compliant with guidance in this Volume. All newly created documents (original and derivative) shall carry compliant markings.

c. The marking standard includes a requirement to add the applicable dissemination control markings to the overall classification line and to portion markings. Primary changes to the DoD marking system implemented by this standard are:

(1) The overall classification line is referred to as the “banner line.”

(2) The applicable dissemination control marking(s) (e.g., REL TO (authorized for release to)) shall be included in the banner line and the portion markings.

(3) The portion marks for subjects and titles shall be placed before the subject or title, as for other text. The previous exception to the placement rules for subjects and titles is no longer authorized.

(4) The standard for annotating dates in the classification authority block is YYYYMMDD. (This format is consistent with the metadata standard; see paragraph 2.h of Enclosure 3.)

(5) Markings must appear in the order specified in Enclosure 4.

(6) The format for markings will follow the syntax specified in Enclosure 4.

d. Defense Intelligence Components and personnel working with intelligence and intelligence-related information under the purview of the DNI shall refer to IC Directive (ICD) 710 (Reference (m)), the “Authorized Classification and Control Markings Register” (Reference (n)) (hereafter called the “CAPCO Register”) issued by the Office of the Director of National Intelligence (ODNI) Controlled Access Program Coordination Office (CAPCO), and the “IC Classification and Control Markings Implementation Manual” (Reference (o)) (hereafter called the “Marking Implementation Manual”) for guidance on marking and dissemination of classified and unclassified intelligence information. The CAPCO Register and Marking Implementation Manual are available electronically on the Joint Worldwide Intelligence Communications System

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(JWICS) at http://www.intelink.ic.gov/sites/ppr/security/ssc/capco/ default.aspx and on the SECRET Internet Protocol Router Network (SIPRNET) at http://www.intelink.sgov.gov/sites/ssc/capco/default.aspx.

2. EXAMPLES. All figures and associated markings used in this document are unclassified and are for example only. The markings used in the figures are to illustrate the required format. In order to keep this document unclassified, unclassified memorandums or other samples are used as the basis for some of the examples. The contents of the example documents are not relevant except to the extent they provide further explanation or highlight particular points.

3. WAIVERS INVOLVING MARKING OF CLASSIFIED INFORMATION. Only the Director of the Information Security Oversight Office (ISOO) may grant waivers to the marking requirements specified by References (d) and (f) for classified information. Any portion marking waiver approved will be temporary and will have specific expiration dates. Administrative burden alone will ordinarily not be viewed as sufficient grounds to support a waiver. Requests for waivers from the non-Intelligence DoD Components, including those involving SAPs, should be forwarded to the Office of the Deputy Director for Intelligence (Counterintelligence, Law Enforcement, & Security) (DDI(CL&S)), for submission to the Director, ISOO. DoD Components that are elements of the IC shall furnish a copy to the DDI(CL&S), when submitting waiver requests in accordance with DNI policy. A waiver request shall include:

a. Identification of the information (or class of documents) for which the marking waiver is sought.

b. A detailed explanation of why the Director, ISOO, should grant the waiver.

c. The DoD Component’s judgment of the anticipated dissemination of the information for which the waiver is sought.

d. For portion marking waiver requests:

(1) The extent to which the documents subject to the waiver may be a basis for derivative classification.

(2) How the DoD Component intends to eliminate or mitigate the negative impact that the lack of portion marking has on the sharing of information, as appropriate, between and among the DoD Components, Executive Branch agencies, and foreign partners and allies, as well as State, local, and tribal governments, law enforcement agencies, and the private sector.

(3) A statement of support from the Under Secretary of Defense for Intelligence and Security (USD(I&S)), the Secretary of Defense’s designee for security policy matters. DoD elements of the IC shall also provide a statement of support from the DNI.

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e. For waiver requests involving prescribed standard forms, the proposed alternative form must be submitted with the request.

4. COVER SHEETS AND CLASSIFICATION LABELS

a. Classified files, folders, and similar groups of documents shall have clear classification markings on the outside of the folder or holder. Attaching the appropriate classified document cover sheet (Standard Form (SF) 703, “Top Secret (Cover sheet);” SF 704, “Secret (Cover sheet);” or SF 705 “Confidential (Cover sheet)”) to the front of the folder or holder shall satisfy this requirement. These cover sheets need not be attached when the item is in secure storage (e.g., GSA-approved security container).

b. If not otherwise marked, the SF classification labels listed in subparagraphs (1) through

(3) of this paragraph should be used to identify the highest level of classified information stored on information technology (IT) systems and removable electronic storage media. These labels may also be used on other forms of property to clearly identify the classification level of the information contained in or on that item, when appropriate. In an environment in which both classified and unclassified information is processed or stored, SF 710, “Unclassified (Label)” shall be used to identify unclassified media or equipment. There is no requirement to use SF 710 in environments where no classified information is created or used. If the level of classification of the information on the medium changes (i.e., the information is declassified, downgraded, or upgraded), the label shall be replaced or covered by the appropriate label for the new level of classification.

(1) SF 706, “Top Secret (Label)”

(2) SF 707, “Secret (Label)”

(3) SF 708, “Confidential (Label)”

c. Where cover sheets and classification labels are used, the specified SFs must be used unless a waiver is granted in accordance with section 3 of this enclosure.

5. TRIGRAPHS AND TETRAGRAPHS. Trigraphs which are compatible with the International Organization for Standardization (ISO) Standard 3166 (ISO-3166) (Reference (p)) for country names and a partial list of approved international organization and alliance tetragraphs are available at https://www.intelink.gov/sites/ousdi/hcis/sec/icdirect/information/default.aspx under “Additional Resources.” Complete, current listings of approved country trigraphs and international organization and alliance tetragraphs are posted on the CAPCO websites listed in paragraph 1.d of this enclosure.

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6. REQUESTS FOR OPERATIONAL TETRAGRAPHS

a. Process

(1) All requests for new tetragraphs or changes to an existing tetragraph contained in the Tetragraph Table in Annex A of the CAPCO Register, except as provided in subparagraph 6.a.(2) of this section, shall be submitted to DDI(CL&S), for review and, as appropriate, endorsement, prior to forwarding to CAPCO. Allow 90 days for processing such requests, although submission is encouraged as soon as the need is defined. All requests for action within 30 days must include justification.

(2) Requests for changes to tetragraphs that are solely changes to the existing country list shall be sent directly to CAPCO, with a copy to the DDI(CL&S). Justification or other supporting documentation must be included with such requests.

(3) Care should be taken to ensure all requests are appropriately classified.

(4) It is the requesting organization’s responsibility to notify its workforce and any recipients (foreign or domestic) of the newly created or modified tetragraph, once approved.

b. Considerations. When proposing a new tetragraph, consider:

(1) Frequency of use and stability of the associated membership list. The membership list should not change frequently (i.e., not more than twice a year).

(2) Tetragraph development. The proposed tetragraph must be four alphabetic characters; the same character may not be repeated four times (e.g., RRRR). It should not spell out an actual word and may not be close to or duplicate an approved tetragraph.

(3) Significant impacts to information systems if the request is approved and/or if the membership list changes.

(4) Foreign disclosure office concerns and coordination.

c. Request Requirements. Requests for new operational tetragraphs shall include:

(1) Proposed tetragraph code and full title with classification level and foreign disclosure decision(s) associated with each, if classified. For classified tetragraphs, provide the appropriate classification authority block.

(2) List of member countries or organizations in alphabetical order, with classification level and foreign disclosure decision if classified when associated with the tetragraph code or its title.

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(3) A description of the intent or purpose for the tetragraph, and the impact(s) if the marking is not approved and how that will be addressed. Attach documentation that supports the request.

(4) When the request is intended to remove a country from an existing tetragraph, a description of actions to be taken to prevent continued dissemination (including electronic dissemination) of classified information to a country that is no longer involved in the exchange and how continued protection of classified information already released will be ensured.

(5) A detailed explanation of foreign disclosure office concerns, if any. If none, so state.

(6) Requested date of incorporation into the CAPCO Register.

(7) Identification of the point of contact, giving name, title, organization, phone number and e-mail address. The point of contact will be expected to provide responses to questions and to inform the DDI(CL&S), and CAPCO of any changes in status that impact the tetragraph’s listing.

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ENCLOSURE 3

MARKING PRINCIPLES

1. MARKING REQUIREMENT. All classified information shall be identified clearly by marking, designation, or electronic labeling. If physical marking of the medium containing classified information is not possible, then identification must be accomplished by other means.

The term “marking” includes other concepts of identifying the classification of the information.

Markings, designations, and electronic labeling shall be conspicuous and immediately apparent and shall:

a. Alert holders to the presence of classified information.

b. Identify, as specifically as possible, the exact information needing protection and the level of protection required.

c. Give information on the source(s) of and reasons for classification of the information.

d. Identify the office of origin and document originator applying the classification markings.

e. Provide guidance on information sharing, and warn holders of special access, dissemination control, or safeguarding requirements.

f. Provide guidance on downgrading and declassification for classified information.

2. GENERAL GUIDELINES

a. The proper marking of a classified document is the specific responsibility of the original or derivative classifier (i.e., the author or originator of the information). Derivative classifiers shall refer to the source document(s), security classification guide(s), or other guidance issued by the original classification authority (OCA) when determining the markings to apply. Security Classification Guides will be developed in accordance with DoDM 5200.45 (Reference (q)), and this Manual.

b. The highest level of classified information contained in a document shall appear in a way that will distinguish it clearly from the informational text and shall be conspicuous enough to alert anyone handling the document that it is classified.

c. The holder of an improperly marked classified document shall contact the document originator to obtain correct markings and shall apply those marking as required.

d. 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 an article is

Change 4, 7/28/2020 18 ENCLOSURE 3 evaluated to see if it contains classified information, record the results of the review separately.

However, the article and the evaluation may be filed together.

e. To facilitate information sharing and declassification processes, whenever practicable a classified attachment, addendum, annex, enclosure, or similar section shall be used when classified information constitutes only a small portion of an otherwise unclassified document.

Alternately, a separate product that permits dissemination at the lowest level of classification possible or in unclassified form may be prepared.

f. If a classified document has components likely to be removed and used or maintained separately, mark each component as a separate document. Examples are annexes or appendices to plans, major parts of reports, or reference charts in a program directive. If an 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.

g. Particular attention must be given to information intended for display on websites authorized to host classified information to ensure that the information carries all appropriate markings. Since web technologies permit data access without viewing the initial and/or cover pages, page and portion markings are especially important to ensure users are alerted to the presence of classified information and the level of protection it requires.

h. Metadata and/or other tags shall be applied to electronic data as required by DoDI

8320.02 (Reference (r)) and its implementing guidance. Metadata and tags shall be used to the greatest extent possible to facilitate electronic handling and dissemination of classified information.

(1) Security metadata for classified electronic information shall, to the extent possible, identify the classification level and any control and dissemination caveats required.

(2) Documents released in electronic format shall have their metadata and other electronic tags and labels reviewed for classified information prior to release. Metadata and other electronic tags and labels associated with information in electronic format shall be updated or deleted, as necessary, to reflect the actual classification and other attributes of declassified or downgraded information. Care must be taken to ensure the metadata accurately reflects the information it describes and that classified attributes are not released with unclassified data.

3. REQUIRED MARKINGS ON CLASSIFIED DOCUMENTS. All classified documents shall bear the information identified in this section; however, in exceptional cases specific information required by this section may be excluded if it reveals additional classified information. The information is to be shown using these marking elements: banner lines; portion marks;

Component, office of origin, and date of origin; and classification authority block (OCA or derivative). Specific requirements for each marking element are discussed in sections 5 through 8 of this enclosure; the figures in this enclosure provide examples of correct usage. Material other than ordinary paper (and comparable electronic) documents shall have the same

Change 4, 7/28/2020 19 ENCLOSURE 3 information either marked on it or made immediately apparent to holders by another means. The required information is:

a. The overall classification of the document (i.e., Confidential, Secret, or Top Secret).

b. Identification of the specific classified information in the document and its level of classification.

c. Component, office of origin, and date of origin.

d. Identification of the basis for classification of the information contained in the document and of the OCA or derivative classifier.

e. Declassification instructions and any downgrading instructions that apply.

f. Identification of special access, dissemination control, and handling or safeguarding requirements that apply.

4. SPECIAL NOTICES. In addition to the information specified by section 3 of this enclosure, special notices may be required for specific types or categories of information by this Manual or other DoD issuances. Unless another directive or legal authority prescribes different placement, these notices shall be placed on the face of the document.

a. Technical data, as specified in DoDI 5230.24 (Reference (s), shall be marked with the distribution statements identified in section 24 of this enclosure. If determined to be export-controlled, the warning statement specified by Reference (s) shall be added.

b. The special notice “COMSEC Material - Access by Contractor Personnel Restricted to U.S. Citizens Holding Final Government Clearance” shall be placed on the face of classified documents handled within the COMSEC Material Control System, when required by National Security Agency/Central Security Service Policy Manual 3/16 (Reference (t)). Apply it when the document is created.

c. Other notices are identified in Enclosure 4 with the discussion of the associated marking for the specific type of information. Among the information requiring special notices are North Atlantic Treaty Organization (NATO), Restricted Data (RD), Formerly Restricted Data (FRD), Critical Nuclear Weapon Design Information (CNWDI), For Official Use Only (FOUO), CUI, and Foreign Intelligence Surveillance Act (FISA).

d. When appropriate, classified information that is subject to specific limitations may be marked with notices such as: “Reproduction requires approval of originator or higher DoD authority.”

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5. BANNER LINES

a. The banner line shall specify the highest level of classification (Confidential, Secret, or Top Secret) of information contained within the document and the most restrictive control markings applicable to the overall document (hereafter referred to as “overall classification”).

See Figure 1.

(1) The highest level of classification is determined by the highest level of any one portion within the document.

(2) The classification level in the banner line must be in English and spelled out completely. Only one classification level shall be used.

(3) Any other control markings (e.g., dissemination control markings) included may be spelled out or abbreviated as shown in this Volume.

(4) Banner line markings always use uppercase letters.

Figure 1. Examples of Banner Markings

UNCLASSIFIED

UNCLASSIFIED//FOR OFFICIAL USE ONLY

TOP SECRET

SECRET//REL TO USA, AUS, CAN, GBR

TOP SECRET//SI/TK//RELIDO

SECRET//FRD

SECRET//ORCON/IMCON/NOFORN

b. Conspicuously place the banner line at the top and bottom of the outside of the front cover if any), on the title page (if any), on the first page, and on the outside of the back cover (if any) r last page, of each classified document. Banner line markings are usually centered on the page.

(1) The appropriate markings shall be printed, stamped, or otherwise affixed (with a ticker, tape, etc.) as specified. Material other than ordinary paper (and comparable electronic) ocuments must have the same information either marked on it or made immediately available to olders by another means. (See sections 16, 17, and 18 of this enclosure for additional uidance.)

(2) If the document has no front cover, the first page shall be the front page. If it has a over, the first page is defined as the first page you see when you open the cover. In some ocuments, the title page and first page may be the same.

o s d h g c d

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c. Each interior page of a classified document shall be marked with a banner line at the top and bottom of the page. Banner markings used on interior pages are also referred to as page markings.

(1) The banner line on an interior page shall specify either the highest level of classification of information on that page or “UNCLASSIFIED” if there is no classified information on the page, along with the applicable control markings, or alternatively, all interior pages of the document may be marked with the overall classification of the document and any applicable control markings.

(2) Use of page markings that specify the classification and control markings applicable to the information contained on that specific page requires extreme caution since:

(a) Edits or repagination may cause information of a different classification or requiring different or additional control markings to move to the page from the page before or the page after.

(b) Paragraphs may begin on one page and continue onto a second page, requiring the user to ensure that the page markings on the second page properly reflect the classification and control markings contained in the paragraph’s portion markings as stated on the first page.

d. U.S. documents and other products containing foreign government information (FGI) shall carry an overall classification level of either the classification of the U.S. information or the U.S. equivalent of the FGI’s classification, whichever is higher. (See section 19 of this enclosure and section 9 of Enclosure 4 of this Volume for further guidance.)

e. It is optional to mark “UNCLASSIFIED” in the banner line of hard copy documents that are unclassified and bear no control markings, except as provided in subparagraph 17.b.(7) of this enclosure.

f. Control markings are used in the banner line (and portion markings) to identify special control systems that provide additional access control or physical protection for the information or items covered by the program (e.g., SCI) or to identify the expansion or limitation on the distribution of information (i.e., dissemination controls). These markings are in addition to and separate from the level of classification.

(1) In the banner line, double forward slashes (//) separate the classification level and control markings.

(2) Multiple entries may be chosen from the control marking categories if applicable. If multiple entries are used, they are listed in the order in which they appear in Enclosure 4 and are separated by a single forward slash (/).

6. PORTION MARKS. Every classified document shall show, as clearly as is possible, which information in it is classified and at what level. Derivatively classified documents shall be portion marked in accordance with their source.

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a. Every portion (e.g., subject, title, paragraphs, sections, tabs, attachments, classified signature blocks, bullets, tables and pictures) in every classified document shall be marked to show the highest level of classification that it contains. When deciding whether a subportion is to be treated as a portion and separately marked, the criterion shall be whether the marking is necessary to avoid over-classification of any of the information or to eliminate doubt about the information’s classification level. If there are different levels of classification among a portion and any of its subportions, then all subportions shall be treated as individual portions and marked separately.

b. Portion markings shall be included at the beginning of the respective portion as this position affords maximum visibility to the reader. Thus, the classification level shown always applies to the text immediately to the right of the portion marking.

c. To indicate the appropriate classification level, the symbols ‘‘(TS)’’ for Top Secret, ‘‘(S)’’ for Secret, and ‘‘(C)’’ for Confidential shall be used (see Figure 2). Portions which do not meet the standards for classification shall be marked with “(U)” for Unclassified.

Figure 2. Examples of Portion Markings

UNCLASSIFIED – CLASSIFICATION MARKINGS FOR ILLUSTRATION PURPOSES ONLY

(U) (C) (S) (TS) (U//FOUO) (S//NF/PROPIN)

(C//FRD) (//GBR S) (TS//SI/TK//RELIDO) (S//RD)

(S//REL) (TS//REL TO USA, AUS, CAN, GBR) (S//RD-N)

d. Portion marks shall include any control markings applicable to the portion (see Figure 2).

Within the portion marking, double forward slashes (//) shall separate classification and control markings. Single forward slashes (/) shall separate multiple control markings within the same category (see Enclosure 4, section 1). Hyphens (-) are used to separate control markings and their sub-controls. If multiple control markings are used, they are listed in the order in which they appear in Enclosure 4.

e. Portion markings always use uppercase letters and are enclosed in parentheses.

(1) For numbered or lettered paragraphs or subparagraphs, the portion marking goes after the number or letter, and before the text.

(2) Portion markings for listings of references, enclosures, tabs, or attachments (e.g., as listed on memorandums or transmittal documents) shall be placed before the subject or title and shall indicate the classification of that subject or title, not the classification of the document. See section 15 of this enclosure for additional guidance and examples.

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(3) Charts, graphs, photographs, illustrations, figures, drawings, and similar portions within classified documents must be marked to show their classification. The classification shall be based on the information contained in or revealed by the item. The portion marking shall be placed immediately preceding the chart, graph, etc., or within the item and shall be large enough to ensure viewers easily recognize it. Captions or titles of these portions must also be marked, as for text, and will indicate the classification of the caption or title, not of the portion (e.g., chart or graph) itself. The portion marking may be placed within the chart, graph, etc., and/or spelled out instead of being abbreviated when that more clearly identifies the classified status of the item.

When possible, the marking should be integral to the item, so it is carried along with the item upon extraction.

(4) A classified signature block shall be portion marked to reflect the highest classification level of the information contained within the signature block itself.

f. 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. This statement shall identify the information as specifically as parenthetical portion marking. When classification is a result of compilation, the statement required by section 12 of this enclosure meets this requirement. A waiver is not required in these situations.

g. Each portion of an UNCLASSIFIED document that requires dissemination control shall be portion marked (e.g., (U//FOUO)) to show that it contains information requiring protection.

Unclassified CUI will be marked in accordance with Volume 4 of this Manual. DoD Components that are elements of the IC shall mark those unclassified portions that do not require a dissemination control marking with the portion marking (U); other activities may, but are not required to, mark portions of unclassified documents that do not require dissemination control.

However, if any portion not requiring dissemination control is marked “(U),” all portions of the document shall be marked.

h. A document not portion marked based on an ISOO-approved waiver must:

(1) Contain a warning which states that the document may NOT be used as a source for derivative classification.

(2) Be portion marked when transmitted outside the originating organization, unless the ISOO waiver approval explicitly provides otherwise.

7. DOD COMPONENT, OFFICE, AND DATE OF ORIGIN. Every classified document shall show on the first page, title page, or front cover (hereafter referred to as “the face of the document”), the originating DoD Component and office and the date of the document’s origin.

This information shall be clear enough to allow someone receiving the document to contact the preparing office if issues or questions about the classification arise. If not otherwise evident, the DoD Component and office of origin shall be identified and follow name and position on the ‘‘Classified By:’’ line.

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8. CLASSIFICATION AUTHORITY BLOCK

a. General Requirements. The classification authority block shall appear on the face of each classified U.S. document, except as provided in subparagraph 8.a.(3) of this section, and shall indicate the authority for the classification determination and the duration of classification (i.e., declassification and downgrading instructions). The authority for the classification determination may be either original or derivative.

(1) The only requirement for the placement of the classification authority block is that it be on the face of the document. While placement on the bottom left of the page is most typical, whether it is placed on the right or left side or appears as one line is determined by available space. The classification authority block on electronic e-mails, messages, web pages and similar electronic material may appear as a single line of text (also see section 17).

(2) The standard format YYYYMMDD shall be used when specifying dates in the classification authority block.

(3) Include a “Declassify On:” line on the face of each classified U.S. Government document, except those containing RD or FRD. Documents containing both RD or FRD information and national security information (NSI) must include a “Declassify On:” line annotated as follows: “Not Applicable (or N/A) to RD/FRD portions” and “See source list for NSI portions.” The source list, which must be included and shall not be listed on the first page, must show the declassification instructions for each of the NSI sources. Do not mark documents containing only RD or FRD with declassification instructions.

(4) Downgrading instructions are not required for every classified document, but must be placed on the face of each document to which they apply. 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 FGI, RD, or FRD.

b. Original Classification

(1) On the face of each originally classified document (see Figure 3), regardless of the media, the OCA shall apply these classification authority block markings:

(a) Classified By: List name and position title or personal identifier of the OCA.

Include the DoD Component and office of origin if not otherwise evident.

(b) Reason: Cite the reason for classification.

(c) Downgrade To: If applicable, identify the lower level of classification at which the document should be safeguarded and date or independently verifiable event upon which the downgrading should take place. Note that a downgrading instruction is used in addition to, and not as a substitute for, declassification instructions.

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(d) Declassify On: Specify the date or independently verifiable event for declassification or, as provided in subparagraph 8.b.(5) of this section, an approved exemption category.

(2) Identify the OCA by name and position title or personal identifier. If the information normally included on the “Classified By:” line would reveal classified information not evident from the rest of the document, complete the “Classified By:” line with an unclassified personal identifier that can be traced through secure channels.

(3) If some information was originally classified at the time of preparation of the document and other information was derivatively classified, use the markings required for derivative classification. Identify the OCA by name and position title or personal identifier on the “Classified By:” line. Place “Multiple Sources” on the “Derived From:” line and maintain a record of the sources on or with the document. As part of that record, cite as one of the sources “Originally Classified Information” and identify the OCA and provide all information required for an original classification decision (i.e., provide the full classification authority block for the originally classified information).

(4) Identify the reason for classification by citation of the number “1.4” plus the letter(s) that corresponds to the appropriate category of information listed in section 1.4 of Reference (d).

The OCA shall additionally provide a more detailed explanation of the reason for classification when that is not apparent from the content of the information (e.g., when classified by compilation). The categories, lettered as they appear in section 1.4 of Reference (d), are:

(a) Military plans, weapons systems, or operations.

(b) Foreign government information.

(c) Intelligence activities (including covert action), 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) U.S. Government programs for safeguarding nuclear materials or facilities.

(g) Vulnerabilities or capabilities of systems, installations, infrastructures, projects, plans, or protection services relating to the national…