TN: DT-07-15

To: All NRC Employees

Subject: Transmittal of Management Directive 12.2, "NRC Classified

Information Security Program"

Purpose: Directive and Handbook 12.2, "NRC Classified Information

Security Program," are being revised to incorporate in the

handbook a recommended change resulting from OIG Audit

05-A-18 (WITS Item No. 2006-00101) regarding the

disposal of media/equipment containing classified

information or Safeguards Information.

Office and 

Division of Origin: Office of Nuclear Security and Incident Response

Division of Security Operations

Contact: Rhonda Bethea, 301-415-2254

Date Approved: July 28, 2006 (Handbook page 47 revised: August 2,

2007)

Volume: 12 Security

Directive: 12.2, "NRC Classified Information Security Program"

Availability: Rulemaking, Directives, and Editing Branch

Office of Administration

Michael T. Lesar, 301-415-7163

Christy Moore, 301-415-7086

U.S. NUCLEAR REGULATORY COMMISSION

DIRECTIVE TRANSMITTAL

OFFICE OF ADMINISTRATION
NRC Classified

Information Security

Program

Directive

12.2
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

Approved: December 6, 2005 iii

(Revised: July 28, 2006)

Contents

Policy ...................................................... 1

Objectives .................................................. 1

Organizational Responsibilities and

Delegations of Authority ................................ 1

Chairman . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Inspector General (IG) .......................................... 2

Secretary of the Commission (SECY) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Deputy Executive Director for Reactor and

Preparedness Programs (DEDR) ............................... 3

Deputy Executive Director for Information Services and Administration

and Chief Information Officer (DEDIA) ........................... 4

Office of the General Counsel (OGC) .............................. 5

Director, Office of International Programs (OIP) ...................... 5

Director, Office of Nuclear Security and Incident Response (NSIR) ....... 5

Office Directors and Regional Administrators ........................ 5

Director, Division of Security Operations (DSO), NSIR . . . . . . . . . . . . . . . . . 6

Director, Division of Facilities and Security (DFS), Office of 

Administration (ADM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Applicability ................................................ 8

Handbook ................................................... 8

Exceptions or Deviations .................................. 8

References ................................................. 8
Approved: December 6, 2005 1

(Revised: July 28, 2006)

U. S. Nuclear Regulatory Commission

Volume: 12 Security NSIR

NRC Classified Information Security

Program

Directive 12.2

Policy

(12.2-01)

It is the policy of the U.S. Nuclear Regulatory Commission to

ensure that classified information is handled appropriately and is

protected from unauthorized disclosure in accordance with

pertinent laws, Executive Orders, other management directives,

and applicable directives of other Federal agencies and

organizations.

Objectives

(12.2-02)

To ensure that all NRC personnel responsible for safeguarding

classified information (National Security Information [NSI],

Restricted Data [RD], and Formerly Restricted Data [FRD]) and

activities involving this information shall adhere to the procedures

in this directive and handbook.

Organizational Responsibilities and

Delegations of Authority

(12.2-03)

Chairman

(031)

• Designates NRC personnel authorized original Top Secret

classification authority. This authority may not be delegated. (a)
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

2 Approved: December 6, 2005

(Revised: July 28, 2006)

Organizational Responsibilities and

Delegations of Authority

(12.2-03) (continued)

Chairman

(031) (continued)

• Designates, if required, NRC and other personnel authorized

original Secret or Confidential classification authority. This

authority may be delegated. (b) 

Commission

(032)

• Approves the waiver of requirements normally applicable in

furnishing classified information to foreign governments. (a)

• Acts on appeals for denial of information requested under the

mandatory review procedures of Executive Order (E.O.) 12958,

as amended, when the request involves information generated

by the Chairman, the Commissioners, or Commission-level

offices. (b)

• Reviews and approves classification guides that could affect

NRC major policy decisions before these guides are

published. (c)

• As delegated by the Chairman, has original Top Secret

classification authority. (d)

Inspector General (IG)

(033)

As delegated by the Chairman, has original Secret classification

authority.
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

Approved: December 6, 2005 3

(Revised: July 28, 2006)

Organizational Responsibilities and

Delegations of Authority

(12.2-03) (continued)

Secretary of the Commission (SECY)

(034)

Ensures proper control and accountability over all classified

documents containing National Security Council Information

(NSCI).

Executive Director for Operations (EDO)

(035)

• As delegated by the Chairman, has original Top Secret

classification authority. (a)

• As assigned by the Chairman, is responsible for delegating

original classification authority at the Secret and Confidential

levels to NRC employees. (b)

• Authorizes access to classified NSCI for NRC Commission and

staff personnel with a "Q" clearance. (c)

Deputy Executive Director for

Reactor and Preparedness

Programs (DEDR)

(036)

• As the Senior Agency Official who directs and administers the

agency's program under which information is classified,

safeguarded, and declassified, actively oversees

implementation of E.O. 12958, as amended, by NRC, NRC

contractors, NRC licensees, and licensee-related

organizations. (a)

• Designates original classifying authority at Secret and

Confidential levels to NRC personnel, except for those

officials designated in Commission-level offices. (b)
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

4 Approved: December 6, 2005

(Revised: July 28, 2006)

Organizational Responsibilities and

Delegations of Authority

(12.2-03) (continued)

Deputy Executive Director for

Reactor and Preparedness

Programs (DEDR)

(036) (continued)

• Approves classification guides, except those requiring

Commission approval. (c)

• Issues and maintains guidelines for systematic review for

declassification of 25-year-old NSI under NRC jurisdiction and

40-year-old classified foreign government information in NRC

custody for use by the Archivist of the United States and, upon

approval, by any agency holding the information. (d) 

• Approves the designation of NRC personnel authorized to

declassify or downgrade NSI. (e) 

• Acts on appeals for denial of information requested under the

mandatory review procedures of E.O. 12958, as amended,

when the request involves information generated by offices and

regions reporting to the EDO. (f)

Deputy Executive Director for Information

Services and Administration and Chief

Information Officer (DEDIA)

(037)

Approves plans for the protection of classified information in an

emergency.
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

Approved: December 6, 2005 5

(Revised: July 28, 2006)

Organizational Responsibilities and

Delegations of Authority

(12.2-03) (continued)

Office of the General Counsel (OGC)

(038)

Reviews any concerns regarding the legal aspects of NRC

transfer of information to foreign governments or international

organizations.

Director, Office of International 

Programs (OIP)

(039)

• Determines if furnishing classified information to international

organizations will result in a net advantage to the national

security interests of the United States. (a)

• Assists in the development of classified information exchange

agreements with foreign countries or international

organizations. (b)

Director, Office of Nuclear Security

And Incident Response (NSIR)

(0310)

• Provides overall NRC information security program guidance

and direction. (a) 

• Provides mandatory Web-based Security Awareness training

to be completed annually by all NRC employees. (b) 

Office Directors and 

Regional Administrators

(0311)

• Ensure that NRC employees and NRC contractor personnel

under their jurisdiction are cognizant of and comply with the

provisions of this directive and handbook. (a)
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

6 Approved: December 6, 2005

(Revised: July 28, 2006)

Organizational Responsibilities and

Delegations of Authority

(12.2-03) (continued)

Office Directors and 

Regional Administrators

(0311) (continued)

• Advise the Division of Security Operations (DSO), NSIR, and

the Division of Facilities and Security (DFS), Office of

Administration (ADM), of any existing or proposed classified

activities in organizations under their jurisdiction. Report any

significant change or termination of classified activities to

DSO/DFS for review of associated contracts, subcontracts, or

similar actions. (b)

• Furnish security plans to DSO/NSIR and DFS/ADM, as

appropriate. (c)

• Advise DSO and DFS of any information that indicates

noncompliance with this directive and handbook or is otherwise

pertinent to the proper protection of classified interests and

information. (d) 

• Support and implement NRC's security classification

program. (e)

• Control and safeguard classified information under their

jurisdiction in accordance with this directive and handbook. (f)

• Request exceptions to or deviations from this directive and

handbook, as required. (g)

Director, Division of Security

Operations (DSO), NSIR

(0312)

• Plans, develops, establishes, and administers policies,

standards, and procedures for the NRC classified information
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

Approved: December 6, 2005 7

(Revised: July 28, 2006)

Organizational Responsibilities and

Delegations of Authority

(12.2-03) (continued)

Director, Division of Security

Operations (DSO), NSIR

(0312) (continued)

security program, including management of the security

classification program. (a)

• Coordinates the security aspects of the disclosure of classified

information to foreign governments and international

organizations. (b)

• Renders foreign ownership, control, or influence (FOCI)

determinations and facility security clearances for licensees. (c)

Director, Division of Facilities

And Security (DFS), Office of

Administration (ADM)

(0313)

• Provides physical security requirements and procedures to

protect classified information, sensitive unclassified

information, and facilities and NRC assets. (a)

• Administers the visitor control program, which covers visits

requiring access to classified information. (b)

• Investigates and determines the eligibility of individuals for

NRC access authorization and/or employment clearance. (c)

• Provides facility security clearances for NRC contractors. (d)
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

8 Approved: December 6, 2005

(Revised: July 28, 2006)

Applicability

(12.2-04)

The policy and guidance in this directive and handbook apply to all

NRC employees, NRC contractors as a condition of a contract or

purchase order, and NRC consultants as a condition of the

consultant agreements. However, they do not affect Commission

rules and regulations contained in the Code of Federal Regulations

that are applicable to NRC licensees and others.

Handbook

(12.2-05)

Handbook 12.2 contains guidelines for the preparation,

distribution, accountability, classification, and safeguarding of

classified information.

Exceptions or Deviations

(12.2-06)

NSIR may grant exceptions to or deviations from this directive and

handbook except in those areas in which the responsibility or

authority is vested solely with the Chairman, the Commission, or

the DEDR and is nondelegable or for matters specifically required

by law, Executive Order, or directive to be referred to other

management officials.

References

(12.2-07)

Central Intelligence Agency

Director of Central Intelligence Directives, including No. 1/7-1,

“Security Controls on the Dissemination of Intelligence

Information,” June 30, 1998.

Code of Federal Regulations—

10 CFR Part 2, “Rules of Practice for Domestic Licensing

Proceedings and Issuance of Orders.”
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

Approved: December 6, 2005 9

(Revised: July 28, 2006)

References

(12.2-07) (continued)

10 CFR Part 9, “Public Records.”

10 CFR Part 25, “Access Authorization for Licensee

Personnel.”

10 CFR Part 50, “Domestic Licensing of Production and

Utilization Facilities.”

10 CFR Part 51, “Environmental Protection Regulations for

Domestic Licensing and Related Regulatory Functions.”

10 CFR Part 70, “Domestic Licensing of Special Nuclear

Material.”

10 CFR Part 71, “Packaging and Transportation of Radioactive

Material.”

10 CFR Part 95, “Facility Security Clearance and

Safeguarding of National Security Information and

Restricted Data.”

10 CFR Part 1045, “Nuclear Classification and

Declassification.”

Executive Orders—

Executive Order (E.O.) 12333, “United States Intelligence

Activities,” December 4, 1981.

E.O. 12829, “National Industrial Security Program,” as

amended, January 8, 1993. 

E.O. 12958, as amended, “Classified National Security

Information,” and related directives of the Information Security

Oversight Office, National Archives and Records

Administration, April 20, 1995.
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

10 Approved: December 6, 2005

(Revised: July 28, 2006)

References

(12.2-07) (continued)

E.O. 12968, “Access to Classified Information,” August 2,

1995.

National Policy and Procedures for the Disclosure of Classified

Military Information to Foreign Governments and International

Organizations, December 17, 1969.

National Security Decision Directives

National Security Decision Directive 2 (NSDD-2), “National

Security Council Structure,” January 12, 1982.

National Security Decision Directive 19 (NSDD-19), “Protection

of Classified National Security Council and Intelligence

Information,” January 12, 1982.

National Security Decision Memorandum 119 (NSDM-119),

“Disclosure of Classified Military Information to Foreign

Governments and International Organizations,” July 20, 1971.

Nuclear Regulatory Commission

NRC Management Directives—

3.1, “Freedom of Information Act.”

3.2, “Privacy Act.”

3.4, “Release of Information to the Public.”

5.5, “Public Affairs Program.”

12.1, “NRC Facility Security Program.”

12.3, “NRC Personnel Security Program.”

12.4, “NRC Telecommunications Systems Security

Program.”
Volume 12, Security

NRC Classified Information Security Program

Directive 12.2

Approved: December 6, 2005 11

(Revised: July 28, 2006)

References

(12.2-07) (continued)

12.5, “NRC Automated Information Security Program.”

12.6, “NRC Sensitive Unclassified Information Security

Program.”

NUREG-0910, “NRC Comprehensive Records Disposition

Schedule” (March 1998).

Presidential Directive

“Basic Policy Governing the Release of Classified Defense

Information to Foreign Governments,” September 23, 1958.

United States Code

Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et

seq.). 

Crimes and Criminal Proceedings, Title 18 U.S.C.

Energy Reorganization Act of 1974, as amended (42 U.S.C.

5801 et seq.). 

Freedom of Information Act (5 U.S.C. 552).

Privacy Act (5 U.S.C. 552a).
NRC Classified

Information Security

Program

Handbook

12.2
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Parts I - II

Approved: December 6, 2005 iii

(Revised: July 28, 2006)

Contents

Part I

Protection and Control of Classified Information ............... 1

Scope (A) ................................................... 1

Classification (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Responsibilities To Protect Classified Information (1) ............... 1

Classification of Protected Information (2) . . . . . . . . . . . . . . . . . . . . . . . . 9

Marking Classified Documents (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Change of Classification and Marking (4) . . . . . . . . . . . . . . . . . . . . . . . . 19

Declassification of National Security Information (5) . . . . . . . . . . . . . . . . 25

Deletion of Classified Information From Documents (6) . . . . . . . . . . . . . . 29

Markings for Specific Types of Classified Information (7) . . . . . . . . . . . . 31

Record Classification Actions (RCA) System (8) . . . . . . . . . . . . . . . . . . . 36

Control of Secret and Confidential Documents (C) . . . . . . . . . . . . . . . . . . . . 37

Cover Sheets (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Assurances Required Before Transmission of Classified

Information (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Means of Transmission of Secret Documents Inside the United

States (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

Means of Transmission of Secret Documents Outside the United

States (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Means of Transmission of Confidential Documents Inside and

Outside the United States (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Electronically Transmitted Classified Messages (6) . . . . . . . . . . . . . . . . . 41

Transmission of Documents From Other Agencies (7) . . . . . . . . . . . . . . 43

Preparation of Secret and Confidential Documents for

Transmission (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Classified Documents From Other Agencies (9) . . . . . . . . . . . . . . . . . . . 46

Destruction of Secret and Confidential Documents (10) . . . . . . . . . . . . . 47

Loss or Possible Compromise of Classified Information (11) . . . . . . . . . . 48

Classification Guides (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Types of Guides (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Approval of Guides (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Review of Guides (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Dissemination of Guides (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

Content of Guides (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Parts I - II

iv Approved: December 6, 2005

(Revised: July 28, 2006)

Contents (continued)

Classification Appraisals (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

Frequency of Appraisals (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Reports (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Foreign Ownership, Control, or Influence (FOCI) (F) . . . . . . . . . . . . . . . . . . 52

Part II

Special Handling of Classified Information . . . . . . . . . . . . . . . . . . . . . 55

Control of Top Secret Documents (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

Access Lists (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

Sanctions (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

Central Top Secret Control Officer and Top Secret Control

Officers (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

Accountability Control Files (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

Assignment of a Control Number to Documents From Other

Agencies (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

Physical Inventory (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

Reproduction of Top Secret Documents (7) . . . . . . . . . . . . . . . . . . . . . . . 61

Reproduction of Top Secret Documents From Other Agencies (8) . . . . . 62

Transmission of Top Secret Documents (9) . . . . . . . . . . . . . . . . . . . . . . . 62

Receipts (10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Destruction of Top Secret Documents (11) . . . . . . . . . . . . . . . . . . . . . . . 64

Naval Nuclear Propulsion Information (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

National Security Council Information (NSCI) (C) . . . . . . . . . . . . . . . . . . . . . 65

Responsibilities (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

Access Lists (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

Requirements (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

Transfer of Classified Information to Foreign Governments and

International Organizations (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Authorities (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Criteria (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71

Responsibilities (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

Internal Procedures (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

Classified Conferences (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

Conferences and Symposia (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

Publication or Release of Documents (2) . . . . . . . . . . . . . . . . . . . . . . . . . 82
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Parts I - II

Approved: December 6, 2005 v

(Revised: July 28, 2006)

Contents (continued)

Review of Documents (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Review of Documents Submitted by Uncleared Authors (4) . . . . . . . . . . 82

Review of Documents Submitted by Formerly Cleared Persons

or by Authors With Active Clearances (5) . . . . . . . . . . . . . . . . . . . . . . 83

Hand-carrying Classified Material (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

Courier Letters (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

Courier Card (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

Transporting Classified Material by Commercial Airlines (G) . . . . . . . . . . . . 84

Exhibits

1 Required Markings for Classified Documents . . . . . . . . . . . . . . . . . . . . . 87

2 Declassification Markings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

3 Subject or Title Marking and Portion-Marking . . . . . . . . . . . . . . . . . . . . . 89

4 Upgrading, Downgrading, and Transclassification Markings . . . . . . . . . . 90

5 Deleting Classified Information From Classified Documents . . . . . . . . . . 91

6 Required Markings for an Unclassified Transmittal Document . . . . . . . . . 92

7 Required Markings for a Classified Transmittal Document . . . . . . . . . . . 93

8 Required Markings for Envelopes or Wrappers . . . . . . . . . . . . . . . . . . . . 94

9 Foreign Equivalent Markings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 1

(Revised: July 28, 2006)

Part I

Protection and Control of Classified

Information

Scope (A)

The procedures for classification and control of information to

ensure a uniform system for safeguarding classified information

are discussed below. These procedures implement the provisions

of the Atomic Energy Act (AEA) of 1954, as amended; the Energy

Reorganization Act of 1974, as amended; Executive Orders

(e.g., E.O. 12958, as amended, “Classified National Security

Information”); and other directives (e.g., directives of the

Information Security Oversight Office (ISOO) and the National

Archives and Records Administration). 

Classification (B)

Classification is a means of identifying information concerning the

national defense and foreign relations of the United States that

requires protection against disclosure to unauthorized persons. It

enables access to the information to be restricted to properly

cleared and authorized persons who require access to perform

official duties.

Responsibilities To Protect Classified Information (1)

All personnel are personally and individually responsible for

providing proper protection of classified information in their

custody and control. Any NRC employee who finds classified

information unprotected should take control of it and immediately

contact the Division of Facilities and Security (DFS), Office of

Administration (ADM), for guidance.

Classification Determinations (a)

Classification determinations regarding NRC information must

be made solely by NRC authorized classifiers, including NRC
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

2 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Responsibilities To Protect Classified Information (1)

(continued)

contractors who have been delegated that authority and trained to

exercise the authority. Authorized classifiers are delegated either

original or derivative classification authority. (i)

An authorized classifier with original classification authority may

classify information, on the basis of his or her knowledge,

authority, and expertise, and if it meets the following criterion— (ii)

The information is owned by, produced by or for, or is under

the control of the United States Government and meets the

requirements outlined in E.O. 12958, as amended, Section

1.4(a)-(h).

An authorized classifier with derivative classification authority only

may classify information on the basis of classification

determinations made by an original classification authority, a

source document, or other classification guidance (e.g., a

classification guide, a bulletin, or a notice). The AEA constitutes

the authority for classification of Restricted Data (RD) and

Formerly Restricted Data (FRD). Because the AEA classifies this

information at its inception, all these classification determinations

are derivative. (iii)

Each official with original classification authority also possesses

derivative classification authority. (iv)

In an emergency, when necessary to respond to an imminent

threat to life or in defense of the homeland, the Chairman or any

designee may authorize the disclosure of classified information to

an individual or individuals who are otherwise not eligible for

access, in accordance with Section 4.2(b) of E.O. 12958, as

amended. (v)
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Approved: December 6, 2005 3

(Revised: July 28, 2006)

Classification (B) (continued)

Responsibilities To Protect Classified Information (1)

(continued)

Delegation of Classification Authority (b)

A Federal Register notice of March 28, 2003, designates the

Chairman of NRC as a Top Secret original classification authority

under E.O. 12958, as amended, Section 1.3. As authorized, the

Chairman has delegated original classification authority to the four

Commissioners, the Executive Director for Operations (EDO), the

Deputy Executive Director for Reactor and Preparedness

Programs (DEDR), and the Inspector General (IG). The Chairman

also has assigned the EDO and the DEDR responsibility for

delegating original classification authority at the Secret and

Confidential levels to NRC personnel. Original classification

authority cannot be delegated to NRC contractors. The

responsibility for delegating derivative classification authority to

NRC personnel, NRC contractor personnel, and other personnel

has been assigned by the DEDR to the Director of the Division of

Security Operations (DSO), NSIR. (i)

The appropriate office director or regional administrator shall

submit all requests for classification authority or changes to

existing authority (original or derivative), in writing, to the Director

of DSO. These requests must include— (ii)

• Names and positions of the individuals for whom authority is

sought (a)

• Level of classification authority requested (b)

• Justification for this request, including a description of the type

of information that will require classification and the expected

frequency with which this authority will be exercised (c)

Upon receipt of the written request for classification authority, the

Director of DSO will evaluate the request and take the necessary
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4 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Responsibilities To Protect Classified Information (1)

(continued)

action to approve or disapprove it, or have the DEDR approve or

disapprove a request for original classification authority. (iii)

Authorized Classifier Training (c)

All authorized classifiers must be trained before they exercise their

authority. The Information Security Branch (INFOSEC) of

DSO/NSIR conducts classifier training when an individual is

delegated classification authority. (i)

INFOSEC will provide training materials to those classifiers,

original or derivative, in the regional offices. This training must be

completed before classifiers exercise their authority. (ii)

Responsibilities of Authorized Classifiers (d)

Each person possessing original or derivative classification

authority is accountable for his or her classification actions.

Unnecessary classification, overclassification, and underclassification must be avoided. (i)

Original classification authorities must receive training in original

classification that includes instruction on the proper safeguarding

of classified information and of criminal, civil, and administrative

sanctions that may be brought against an individual who fails to

protect classified information from unauthorized disclosures. (ii)

Authorized original classifiers may make classification

determinations only up to the level for which they have been

delegated authority. Authorized derivative classifiers may classify

only that information that is— (iii)

• Identified in a classification guide (a)
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Approved: December 6, 2005 5

(Revised: July 28, 2006)

Classification (B) (continued)

Responsibilities To Protect Classified Information (1)

(continued)

• Derived from a source document (b) 

• Assigned a classification determination by an authorized

original classifier (c) 

In any case, it is the responsibility of the authorized classifier— (iv)

• To decide whether information requires classification (a)

• To determine the level of classification to be applied to this

information (b) 

• To verify, insofar as practical, that classification guidance as

well as the classification level is current before assigning a

derivative classification (c)

Any authorized classifier may determine that information not

previously classified is unclassified. This determination is different

from a declassification determination concerning currently

classified information. The authorized classifier may use as

guidance the information contained in— (v)

• Classification guides or other guidance approved for use (see

Section (D) of this part) (a)

• Previously declassified information (b)

• Documents already determined to be unclassified (c)

When an authorized classifier is in doubt as to whether information

is classifiable, the interpretation of a classification guide topic or

which topic applies, or the proper level of classification, the matter

should be promptly referred to the next higher classification

authority or to DSO for a determination. When
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6 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Responsibilities To Protect Classified Information (1)

(continued)

there is reasonable doubt about the need to classify information or

the appropriate classification level, the following actions must be

taken— (vi)

• If the need to classify information is in question, the information

must be safeguarded at least as if it were Confidential, pending

a determination about its classification. If it is determined that

the information should be classified, the information must be

marked and protected accordingly. (a)

• If the appropriate classification level is in question, the

information must be safeguarded at the highest level of

classification at issue and with the most restrictive category, for

example, RD, that may be assigned to it, pending a

determination about its classification level and the applicable

category. When the classification level and category have been

determined, the information must be marked and protected

accordingly. (b)

If there is significant doubt about the need to classify information,

it shall not be classified. (vii)

In all cases, a determination must be made within 30 days. (viii)

Authorized classifiers also are responsible for ensuring that

information they determine is classified is marked and protected

in accordance with the provisions of this handbook. (ix)

Responsibilities of Originators (e)

If the originator of information is not an authorized classifier but

believes that this information may require classification, he or she

shall refer the information to an authorized classifier for a decision.

If the originator is certain that the information is unclassified, he or
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Approved: December 6, 2005 7

(Revised: July 28, 2006)

Classification (B) (continued)

Responsibilities To Protect Classified Information (1)

(continued)

she need not refer the information to an authorized classifier but

shall handle it accordingly. (i)

If the originator of classified information is an authorized classifier,

he or she shall classify the information in accordance with the

responsibilities identified in Section (B)(1) of this part. (ii)

"No Comment Policy" for Classified Information (f)

Occasionally, statements may appear in the public domain (e.g.,

newspapers) that contain classified information. The fact that

specific classified information appears is itself protected at the

same level as the information in question within Government

channels. In addition, the fact that the information appeared

publicly does not make it unclassified information. It is NRC policy

to neither confirm nor deny that information appearing in the public

domain is or is not classified information. Any questions raised

about the accuracy, sensitivity, or technical merit of such

information should be responded to in a "no comment" manner.

Classification Challenges (g)

Persons who are in authorized possession of classified National

Security Information (NSI) and who in good faith believe that the

classification level of the information is too high for its content

(overclassification) or too low for its content (underclassification)

are expected to challenge the classification status of that

information. (i) 

Persons who wish to challenge classification status shall— (ii)

• Refer the document or information to the originator or to an

authorized NRC classifier for review. The authorized classifier
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(Revised: July 28, 2006)

Classification (B) (continued)

Responsibilities To Protect Classified Information (1)

(continued)

shall review the document and render a written classification

decision to the holder of the information. (a)

• In the event of a question regarding classification review, the

holder of the information or the authorized classifier shall

consult INFOSEC, DSO/NSIR, for assistance. (b)

• Persons who challenge classification decisions have the right

to appeal the decision to the Interagency Security

Classification Appeals Panel (ISCAP). The ISCAP was created

by the President under Section 5.3 of E.O. 12958, as

amended, to decide on appeals by authorized persons who

have filed classification challenges under Section 1.8 of E.O.

12958, as amended. INFOSEC, DSO, should be contacted in

the event of an appeal. (c)

• Persons seeking to challenge the classification of information

will not be subject to retribution. (d)

• The agency shall provide an initial written response to a

challenge within 60 days. If the agency is unable to respond

within 60 days, the agency must acknowledge the challenge in

writing and provide a date by which the agency will respond. If

the agency does not respond within 120 days, the challenger

has the right to forward the challenge to the ISCAP for a

decision. (e)

Persons who are in authorized possession of an RD or FRD

document and who in good faith believe that the classification level

of the information is improper are encouraged and expected to

challenge the classification with the RD classifier who classified

the document as stated in 10 CFR 1045.39. (iii)
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Approved: December 6, 2005 9

(Revised: July 28, 2006)

Classification (B) (continued)

Responsibilities To Protect Classified Information (1)

(continued)

Limitations on Classification (h)

In accordance with Section 1.7 of E.O. 12958, as amended,

information must not be classified to conceal violations of the law,

inefficiency, or administrative error; to prevent embarrassment to

a person, an organization, or an agency; to restrain competition;

or to prevent or delay the release of information that does not

require protection in the interest of national security. (i)

Basic scientific research information not clearly related to the

national security may not be classified. (ii)

Classification of Protected Information (2)

Classification Process (a)

Classification is the process of identifying information that needs

protection in the interest of the national defense and foreign

relations. This information must be designated as “National

Security Information,” “Restricted Data,” or “Formerly Restricted

Data.” Classification also involves determining the level and

duration of classification and ensuring that information is properly

marked. Among other considerations, a determination of whether

or not information is classified must be made on the basis of the

information that may be revealed by study, analysis, and/or

observation, or use and/or by association with other information,

including that which is known to be in the public domain.

Classification determinations also must be made on the

assumption that any person who has access to the information is

highly qualified in the particular field and thoroughly familiar with

the data that have been treated as unclassified in the general

subject area.
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(Revised: July 28, 2006)

Classification (B) (continued)

Classification of Protected Information (2) (continued)

Types of Information That May Be Classified in Each

Category (b)

The three categories of classified information are “National

Security Information,” “Restricted Data,” and “Formerly Restricted

Data.”

National Security Information (NSI) (i)

Information may not be considered for classification as NSI unless

it concerns—(a)

– Military plans, weapons systems, or operations (1)

– Foreign government information (2)

– Intelligence activities (including special activities) or intelligence

sources or methods or cryptology (3)

– Foreign relations or foreign activities of the United States,

including confidential sources (4)

– Scientific, technological, or economic matters relating to

national security, which includes defense against transnational

terrorism (5)

– U.S. Government programs for safeguarding nuclear materials

or facilities (6)

– The vulnerabilities or capabilities of systems, installations,

infrastructures, projects, plans, or protection services relating

to national security, which includes defense against

transnational terrorism (7)

– Weapons of mass destruction (8)
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(Revised: July 28, 2006)

Classification (B) (continued)

Classification of Protected Information (2) (continued)

Certain information that would otherwise be unclassified may

require classification when combined or associated with other

classified or unclassified information. Classification on this basis

must be supported by a written explanation that must be

maintained with the file or record copy of the information. This

practice is known as classification by compilation. (b)

NSI classified in accordance with Section (B)(2)(b)(i) of this part

must not be automatically declassified as a result of any unofficial

publication or inadvertent or unauthorized disclosure of identical or

similar information. (c)

Restricted Data (RD) and Formerly Restricted Data (FRD) (ii)

The AEA is the basis for the determination that all RD and FRD

are classified. Section II of the AEA defines RD and Section 142

establishes the basis for the concept of FRD. All RD and FRD

classification actions are derived from the AEA. Current

classification guidance conveys the types of information that must

be designated as RD and FRD and the classification level that

must be assigned to the information. This classification guidance

may be obtained from INFOSEC, DSO/NSIR.

Levels of Classification (c)

The three levels of classification for the protection of both NSI and

RD are “Top Secret,” “Secret,” and “Confidential.” Only these three

classification designators may be used to identify the level of

classification assigned to information.

A Special Access Program is established for a specific class of

classified information that imposes safeguarding and access

requirements that exceed those normally required for information

at the same classification level. The number of persons who have

access to this information is reasonably small and commensurate
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12 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Classification of Protected Information (2) (continued)

with the objective of providing enhanced protection for the

information involved.

Sensitivity of the Information (i)

 Sensitivity of the information involved is the basis for assigning the

level of classification. As the sensitivity of the information

increases, so does the level of classification and protection

afforded the information. Unauthorized disclosure of Confidential

information is presumed to cause damage to the national security,

Secret disclosure presumes serious damage, and Top Secret

disclosure presumes exceptionally grave damage.

Classification Authority (ii)

The classification authority for NSI is the authorized original

classifier, a classification guide, or a source document. The

classification authority for RD or FRD is the AEA, as conveyed by

classification guides.

Duration of Classification (iii)

The duration of classification is the length of time the information

must remain classified. For original classifications, NSI must be

classified in accordance with E.O. 12958, as amended. At the

time of original classification, the original classifier shall attempt to

identify a specific date or event for declassification that is less

than 10 years from the date of the original classification. If the

original classifier cannot determine a date or event for

declassification, the information shall be marked for

declassification 10 years from the date of original classification

unless the original classification authority determines the sensitivity

of the information requires that it shall be marked for

declassification 25 years from the date of the original decision.
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Approved: December 6, 2005 13

(Revised: July 28, 2006)

Classification (B) (continued)

Classification of Protected Information (2) (continued)

Records of permanent historical value should be classified under

E.O. 12958, as amended, Section 3.3. 

Declassification Exemptions (iv)

NSI may be exempted from declassification within 10 years if the

information could reasonably be expected to cause damage to the

national security and it qualifies for exemption under E.O. 12958,

as amended, Section 3.3(b). Normally, exemption from

declassification may not exceed 25 years. 

Classification Extensions (v)

If NSI cannot be declassified upon the specific date or event for

declassification set at the time of classification, an original

classification authority may extend the duration of classification,

change the level of classification, or reclassify specific information

only when the standards and procedures for classifying

information under E.O. 12958, as amended, are followed. An

original classification authority may extend the duration of

classification for information contained in nonpermanent records

beyond 25 years in accordance with the standards and procedures

for classifying information. Except for information that identifies a

confidential human source or a human intelligence source, all

other information shall identify a specific date or event for

declassification.

Information Classified Under Previous Executive Orders (vi)

NSI marked “Originating Agency's Determination Required”

(OADR) under previous Executive Orders may be declassified if

the information is declassifiable under E.O. 12958, as amended.

The information may be re-marked to establish a duration of

classification consistent with the requirements of E.O. 12958, as

amended, or if the information is of permanent historical value, it
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14 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Classification of Protected Information (2) (continued)

may remain classified for 25 years from the date of original

classification when it is automatically declassified in accordance

with E.O. 12958, as amended, Section 3.3.

Restricted Data and Formerly Restricted Data Exemption (vii)

RD and FRD are exempt from automatic declassification. AEA

Sections 141 and 142 set forth the policy regarding review and

declassification of RD and transfer of information from the RD

category to the FRD status. See Section (B)(4) of this part for

declassification of NSI, RD, and FRD.

Marking Classified Documents (3)

Portion-Marking (a)

Each section, part, paragraph, or similar portion of a classified

document shall be marked to show the highest level of its

classification, or that the portion is unclassified (see Exhibit 3 of

this handbook). Portions of documents shall be marked in a

manner that eliminates doubt as to which of its portions contain

or reveal classified information. Each portion of a document

containing NSI must be marked. Documents containing RD or

FRD are not portion marked. (i)

To mark portions of the text in a classified document, one of the

following appropriate classification abbreviations is placed

parenthetically immediately before or after the text (e.g., titles,

graphics, and subjects) it governs. (a) 

(TS) for Top Secret

(S) for Secret

(C) for Confidential
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(Revised: July 28, 2006)

Classification (B) (continued)

Marking Classified Documents (3) (continued)

(U) for Unclassified

If a document contains a combination of categories of classified

information, the appropriate classification must be coupled with the

following appropriate category and placed parenthetically

immediately before or after the text it governs. (b)

(RD) for Restricted Data

(FRD) for Formerly Restricted Data

(NSI) for National Security Information 

For example: (CRD), (SRD), or (TSNSI)

If it is not practical to use a parenthetical designation, the

document must contain a statement identifying the information that

is classified and the level and category of classification. If

all portions of a document are classified at the same level and

category, a statement to this effect is sufficient without marking or

specifying each item, for example, “The entire text is classified at

the same level, in conjunction with the page marking.” (c)

ISOO may waive the portion-marking requirement for specific

classes of information upon a written determination either that

there will be minimal circulation of the specified information in

documented form and minimal potential usage of these documents

or their information as a source for derivative classification

determinations or that there is some other basis to conclude that

the potential benefits of portion-marking are clearly outweighed by

the increased administrative burden. Requests for waivers should

be addressed to the Director of DSO, who will evaluate and make

the appropriate recommendation to ISOO. (ii)
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16 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Marking Classified Documents (3) (continued)

In the preparation of classified documents, the highest overall

classification must be placed at the top and bottom of the front

cover (if any), the title page (if any), the first page, and the outside

of the back cover (if any). The highest overall classification level

of the entire document must be placed at the top and bottom of

each page. However, for RD, classifiers shall ensure that

documents containing RD and FRD are clearly marked at the top

and bottom of each interior page with the overall classification

level and category. In all cases, the following markings must be

placed on the face of all classified documents, the front cover, the

title page, or the first page of each classified document (see

Exhibit 1 of this handbook). (iii)

Category of Classified Information (b)

The category markings for RD or FRD must be placed on the

lower left side of the document. The category marking for NSI

need not be placed on the document. 

Classification Markings for National Security Information (c)

Information classified under E.O. 12958, as amended, must show

the name or personal identifier, the position title of the original

classifier, the specific reason for classification as identified in

E.O. 12958, as amended, and the declassification instructions

indicating the decision for the duration of the classification. An

example of an original classification marking is as follows: (i)

Classified By: David Smith, Chief, ABC Branch

Reason: (Cite reason from E.O. 12958, as amended, Section 1.4)

Declassify On: (Date or event for declassification, not to exceed

10 years from the original classification decision, unless exempted)
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Approved: December 6, 2005 17

(Revised: July 28, 2006)

Classification (B) (continued)

Marking Classified Documents (3) (continued)

An example of a derivative classification marking follows:

Derived From: Classification Guide/Date

Reason: (Cite reason from E.O. 12958, as amended, Section 1.4)

Declassify On: (Date or event for declassification, not to exceed

10 years from the original decision, unless exempted)

Classifier: Jane Jones, Chief, XYZ Branch

If a classifier cannot determine an earlier specific date or event for

declassification, NSI shall be marked for declassification 10 years

from the date of the original decision. (ii)

If it is determined that NSI must remain classified longer than 10

years, the original classifier must cite a date that is 25 years from

the date of original classification under E.O. 12958, as amended,

Section 1.4. (iii)

Reclassification of Information (d)

If it is determined that NSI must be reclassified after being

declassified and released to the public, the action is taken in

writing by the Chairman of NRC as identified in E.O. 12958, as

amended, Section 1.7. For example— 

This document has been reclassified in accordance with

E.O.12958, as amended, Section 1.7, by authority of the

Chairman of NRC.

____________________________________

Signed and dated
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18 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Marking Classified Documents (3) (continued)

Classification Markings for Restricted Data (e)

RD will not have the same classification markings as NSI. RD is

never subject to automatic declassification. Documents classified

as “Restricted Data” will have the following category marking

stamped in the lower left of the first page of the document: (i)

This document contains Restricted Data as defined in the

Atomic Energy Act of 1954. Unauthorized disclosure is

subject to Administrative and Criminal sanctions.

In addition, the source and classifier of RD must be identified by

the following marking: (ii)

Classified By: Classification Guide ABC (if the guide is

unavailable, a source document may be used) 

Derivative Classifier: ______________________

(Name and Title)

Classification Authority (f)

The classification authority for NSI is the authorized classifier, the

classification guide, or the source document. If a document is

classified on the basis of more than one source document or

classification guide, the phrase “Multiple Sources” must be cited

as the classification authority. The date of declassification marking

on multiple-source documents will reflect the source that provides

the longest period of classification. (i)

The classification authority for RD and FRD is the authorized

derivative classifier. Original classification authority for RD lies with

the Department of Energy (DOE) under the AEA. NRC may not

make original classification decisions for RD. (ii)
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(Revised: July 28, 2006)

Classification (B) (continued)

Marking Classified Documents (3) (continued)

Declassification Markings (g)

NSI may be declassified by the originator, his or her successor,

their supervisor, or by an individual so designated by the Director

of DSO. RD may be declassified by persons appointed by DOE. (i)

The following marking must be placed on the front of all NSI

documents that have been declassified (see Exhibit 2 of this

handbook): (ii)

This document has been declassified under the provisions

of E.O. 12958, as amended, dated March 28, 2003.

By Authority of ________________________________

(Declassification Authority)

Date of Declassification _________________________

Change of Classification and Marking (4) 

Upgrading (a)

A notice that a document containing NSI was mistakenly issued as

unclassified or was mistakenly declassified must be classified and

marked at an appropriate level, but not lower than Confidential. A

notice that a document containing RD was issued as unclassified

or was mistakenly declassified must be classified and marked at

least “CRD” (Confidential Restricted Data). If the notice contains

information requiring a higher classification or a more restrictive

category, the notice must be marked accordingly (see Exhibit 1 of

this handbook for placement of markings). (i)

The notice of classification or upgrading must identify the

appropriate document as fully as possible, stating— (ii)
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(Revised: July 28, 2006)

Classification (B) (continued)

Change of Classification and Marking (4) (continued)

• Title, subject, or a brief description of the document (a)

• Document number, if any (b)

• Author of the document (c) 

• Date of the document (d)

• Person authorizing the classification or upgrading (e) 

• Portions of the document to be classified or upgraded, if

appropriate (f)

• All markings, including portion-markings, to be placed on the

document (g)

The notice will be distributed to all regional administrators and

office directors; the Secretary of the Commission; the Director of

the Information and Records Services Division, Office of

Information Services (OIS); the Chief of the Security Branch, DFS,

ADM; and all known holders of the document, as determined by

DSO. (iii)

The fact that a document was mistakenly declassified or issued as

unclassified must not be disclosed over unsecured telephone lines.

(iv)

After all copies of the document have been properly accounted for

and re-marked or destroyed, the notice may be declassified,

unless the content of the notice is classified (see Section (B)(5) of

this part for declassification). (v)

A notice that a classified document has been upgraded to a higher

classification may be unclassified, provided no classified

information is included in the notice. (vi)
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(Revised: July 28, 2006)

Classification (B) (continued)

Change of Classification and Marking (4) (continued)

Upon receipt of a notice of classification or upgrading, the

document is to be marked as indicated by the notice of

classification. (vii)

Re-marking requires marking out the existing classification

markings at the top and bottom of each page and all identified

portion-marking designators. The new upgraded classification

portion-marking designators must then be inserted next to the

marked-out designators. If the document is bound, only the

classification on the outside of the front cover, the title page, the

first and the last page of text, and the outside of the back cover

need to be marked out and replaced with the upgraded

classification. Additionally, the following statement is to be placed

on the face of the document, the cover, the title page, or the first

page of text (see Exhibit 4). (viii)

Classification changed to: (insert new level) 

By authority of: (person authorizing change)

By: (signature of person making change)

Date: (date of change)

Downgrading (b)

NSI may be downgraded by the authorized classifier who originally

classified the information (if he or she is still serving in the same

position), by the originator's successor, or by a supervisor of either

who possesses original classification authority. Also, the Director

of DSO and the Chief of INFOSEC have been delegated

downgrading authority. (i)
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Handbook 12.2 Part I

22 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Change of Classification and Marking (4) (continued)

DSO should be consulted for downgrading instructions. RD and

FRD may only be downgraded in accordance with approved

classification guidance (e.g., classification guides or bulletins). (ii)

Upon the determination by an authorized individual that a

document can be downgraded, a notice of downgrading must be

issued and the individual authorizing the downgrading of a

classified document shall notify all known holders of the document.

(iii) 

The downgrading notice must identify the document as fully as

possible, stating— (iv)

• Title, subject, or a brief description of the document (a)

• Document number, if any (b)

• Originator of the document (c) 

• Date of the document (d) 

• Person authorizing the downgrading (e)

• New classification level that will be assigned to the

document (f) 

• Effective date of the change (g) 

• If appropriate, the portions of the document to be

downgraded (h)

If the recipient of a downgrading notice has forwarded the

document to another custodian, the downgrading notice must also

be forwarded to the other custodian. (v)
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Handbook 12.2 Part I

Approved: December 6, 2005 23

(Revised: July 28, 2006)

Classification (B) (continued)

Change of Classification and Marking (4) (continued)

Upon reaching the assigned automatic downgrading date or

event or upon receipt of a downgrading notice, the person

responsible for downgrading the document shall mark out the

existing classification at the top and bottom of each page and all

identified portion-marking designators. The new downgraded

classification and portion-marking designators must then be placed

next to the marked-out designators. If the document is bound, only

the classification on the front cover, the title page, the first and the

last page of text, and the outside back cover need to be marked

out and replaced with the new downgraded classification. (vi)

Additionally, the statement below is to be placed on the face of the

document, the cover, the title page, or the first page of the text of

any document being downgraded by a notice. The statement is not

required on documents downgraded in accordance with automatic

downgrading instructions. (vii)

Classification changed to: (insert new level)

By authority of: (person authorizing change)

By: (signature of person making change)

Date: (date of change)

RD and FRD are exempt from automatic downgrading. NSI may

be subject to automatic downgrading at some date before

declassification if the authorized original classifier determines that

the sensitivity of the document will decrease upon the occurrence

of a specific event or with the passage of time. When automatic

downgrading instructions are placed on a document at the time of

origin (that is, the marking “DOWNGRADE TO _________ON

_______________” is placed under the classification authority
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

24 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Change of Classification and Marking (4) (continued)

notation on the lower right side of the document [see Exhibit 4]),

the document will be downgraded on the assigned date or upon

the occurrence of the designated event, with no notice to holders

required. (viii)

The custodian shall either downgrade his or her copy of the

document on or after the date or event specified or ensure that the

document will be downgraded when it is withdrawn from the files.

If the custodian believes that the downgrading is inappropriate, he

or she shall refer the matter to the Director of DSO. (ix)

Transclassification (c)

“Transclassification” is the transfer of information from the RD

category to the FRD category. All transclassification actions

must be in accordance with AEA Sections 142(d) and (e) and must

take place only upon written notification of this change by the

Director of DSO. Contact DSO when necessary to transclassify

information. (i)

Upon receipt of a transclassification notice, the person responsible

for the transclassification shall cross out the existing RD marking

and insert the “Formerly Restricted Data” marking below or beside

the marked-out classification (see Exhibit 4). Additionally, the

following statement must be placed on the face of the document,

the cover, the title page, or the first page of text. (ii)

Category changed to: (insert new category)

By authority of: (person authorizing change)

By: (signature of person making change)

Date: (Date of change)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 25

(Revised: July 28, 2006)

Classification (B) (continued)

Declassification of National Security Information (5)

Authorities (a)

NSI may be declassified by the authorized classifier who originally

classified the information (if he or she is still serving in the same

position), the originator's successor, a supervisor of either who

possesses original classification authority, or a designated

declassification authority such as the Director of DSO or the Chief

of INFOSEC. (i) 

RD and FRD can only be declassified in accordance with AEA

Section 142. Any proposed declassification actions for these

categories of classified information must be forwarded to the

Director of DSO, who will coordinate the matter with other affected

agencies, as necessary. (ii)

Automatic Declassification (b)

NSI of permanent historical value that is 25 years old or older is

subject to automatic declassification unless the classification has

been extended or the information is exempt from declassification

under E.O. 12958, as amended. (i)

Information may be exempted from automatic declassification if

that information would— (ii)

• Reveal the identity of a confidential human source, or human

intelligence source, or reveal information regarding intelligence

sources or methods (a)

• Assist in the development or use of weapons of mass

destruction (b)

• Impair U.S. cryptologic systems or activities (c)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

26 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Declassification of National Security Information (5)

(continued)

• Reveal actual U.S. military war plans that remain in effect (d)

• Reveal information, including foreign government information,

that would clearly and demonstrably impair U.S. foreign

relations (e)

• Clearly impair the U.S. Government's ability to protect the

President, the Vice President, or other officials (f)

• Clearly and demonstrably impair national preparedness

plans (g)

• Seriously and demonstrably impair current national security

emergency preparedness plans or reveal current vulnerabilities

of systems, installations, or projects relating to the national

security (h)

• Violate a statute, a treaty, or an international agreement (i)

Exemptions of information from automatic declassification must be

approved by appointed declassification authorities. (iii)

At least 180 days before information is automatically declassified

under Section 3.3 of E.O. 12958, as amended, the Senior Agency

Official shall notify the Director of the Information Security

Oversight Office of any specific information beyond that included

above that the agency proposes to exempt from automatic

declassification. (iv)

Declassification Reviews (c)

Any declassification review of documents that may contain

information from other agencies or that may be of direct interest to

other agencies will be coordinated with the affected agencies by

the Director of DSO.
Volume 12, Security

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Handbook 12.2 Part I

Approved: December 6, 2005 27

(Revised: July 28, 2006)

Classification (B) (continued)

Declassification of National Security Information (5)

(continued)

Standard Declassification Reviews (i)

Standard declassification reviews result from a request within

NRC, from NRC contractors or other organizations associated with

an NRC program, or from other Government agencies to review

documents for declassification. Information is subject to review for

declassification under several circumstances: a request (e.g.,

under the Freedom of Information Act [FOIA]), a mandatory

review, or a systematic review. In these cases, a request for

declassification of NSI must be forwarded to the authorized

classifier responsible for the original classification, his or her

successor, a supervisor of either with the required declassification

authority, or the Director of DSO. RD and FRD will be declassified

in accordance with the provisions of Section (B)(2)(c)(vii) of this

part. 

Freedom of Information Act or Privacy Act Declassification

Reviews (ii)

Declassification reviews and other actions involving review of

classified information in accordance with the FOIA or the Privacy

Act (PA) must be conducted in accordance with the provisions of

this part and Management Directive (MD) 3.1, “Freedom of

Information Act.” (a)

The Director of DSO will attempt to resolve any disagreements on

the releasability of information contained in classified documents

that are requested under the FOIA or the PA. (b)

If NRC receives an FOIA or a PA request for records in its

possession that were classified by another agency, NRC will

forward the request and a copy of the records requested to that

agency for processing and may, after consultation with the

originating agency, inform the requester of the referral. When the
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

28 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Declassification of National Security Information (5)

(continued)

other agency does not want its identity disclosed or the existence

or nonexistence of the requested information is itself classifiable,

the response to the requester will comply with these restraints. (c)

Mandatory Review for Declassification (iii)

NRC information classified under E.O. 12958, as amended, or

earlier Executive Orders is subject to a review for declassification

under provisions of E.O. 12958, as amended, Section 3.5. All such

declassification reviews will be conducted in accordance with the

“NRC Mandatory Review for Declassification Procedures,”

published in the Federal Register on November 5, 1996, and

available from DSO upon request. 

Systematic Review for Declassification (iv)

All NRC classified information is subject to systematic review for

declassification under the provisions of E.O. 12958, as amended,

Section 3.4. All such declassification reviews will be conducted in

accordance with the NRC systematic review guidelines, which are

available from DSO upon request. As stated in Section 5.2(b) of

E.O. 12958, as amended, the Director of ISOO will review and

approve implementing regulations and agency guides for

systematic declassification review before issuance by NRC.

Notice of Declassification (v)

Upon the determination by an authorized individual that a

document can be declassified, the following actions must be taken,

as appropriate: 

• Top Secret Documents. The individual authorizing the

declassification of a Top Secret document shall notify the
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 29

(Revised: July 28, 2006)

Classification (B) (continued)

Declassification of National Security Information (5)

(continued)

Director of DSO, who in turn shall notify custodians of all

copies. (a)

• Secret or Confidential Documents. The individual authorizing

the declassification of a Secret document shall send a notice

of declassification to all known holders of the document. An

information copy of this notice also must be sent to the Director

of DSO. (b)

• Contents of the Notice. Declassification notices must identify

the document as fully as possible, stating the title, the subject,

or a brief description of the document; the document number,

if any; the originator of the document; the date of the

document; the person authorizing the declassification; and the

effective date of the declassification. These notices will

normally be unclassified unless some unusual circumstances

require the inclusion of classified information. (c)

• Forwarding of the Notice. If the recipient of a declassification

notice has forwarded the document to another custodian, the

declassification notice also must be forwarded to the other

custodian. However, for documents declassified under the

automatic declassification provision of E.O. 12958, as

amended, Section 3.5, a notification is not necessary because

these documents are official record copies that are released to

the Agencywide Documents Access and Management System

(ADAMS) after declassification. (d)

Deletion of Classified Information From Documents (6)

Deleting classified information from documents involves the

physical removal or obliteration of classified information so as to

produce an unclassified version of the original document (see

Exhibit 5). (a)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

30 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Deletion of Classified Information From Documents (6)

(continued)

Care must be exercised to ensure that classified information is no

longer discernable from any copies. Under no circumstances will

the original copy of the document be redacted; only copies may be

redacted. (b)

An authorized classifier from the office that originated the

document shall identify the classified information to be removed

from the document. DSO will be available for consultation to

ensure that all classified information is identified. (c)

After identification of the classified information, the responsible

person shall ensure that the classified information is removed from

the document and cross out the category and classification

authority markings that appear on the front cover, title page or first

page, and the classification at the top and bottom of each page. If

the document is bound, only the classification on the front cover,

the title page, the first and the last page of text, and the outside

back cover need to be crossed out. Note: all classified information

must be removed from each page. (d)

The following statement is to be placed on the face of the

document, the front cover, the title page, or the first page of text of

all documents in which the classified information has been deleted:

(e)

The classified information has been removed from this document.

This copy of the document is UNCLASSIFIED.

By Authority of: (person authorizing deletion)

By: (signature of person deleting the classified information and the

date of removal)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 31

(Revised: July 28, 2006)

Classification (B) (continued)

Markings for Specific Types of Classified Information (7)

Transmittal Documents (a)

Unclassified Transmittal Documents (i)

The classification marking on the first page of an unclassified

transmittal document must be equivalent to the highest level of

classification being transmitted. Other pages of the transmittal

document must have the same classification marking. (a)

The lower right side of the first page of the transmittal must be

marked to indicate the level of information contained in the

transmittal letter when standing alone; for example, when

separated from the classified enclosure, this transmittal is

unclassified. Additionally, if the information is RD, the lower left

side of the first page of the transmittal document must be marked

to identify it as transmitting RD. (b)

See Exhibit 6 for proper markings and placement of markings on

unclassified transmittal documents. (c)

Classified Transmittal Documents (ii)

Classified transmittal documents must be classified and marked as

required by their content in accordance with Sections (B)(2) and

(3) of this part. However, in some instances, classified transmittal

documents may require the following additional markings (see

Exhibit 7): 

• If the transmittal document is of a lower classification than any

document being transmitted, the classification on the first page

of the transmittal document must be equivalent to the highest

level of classification being transmitted. Other pages of the

transmittal document must be marked to reflect the information

contained therein. (a)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

32 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Markings for Specific Types of Classified Information (7)

(continued)

• The lower right side of the first page of the transmittal

document must be marked to identify the classification of the

transmittal document when it is removed from the

attachments. (b)

• If the category of classified information identified for the

transmittal document is NSI and the other document(s)

being transmitted is (are) RD/FRD, the lower left side of

the transmittal must also be marked “RD/FRD” to reflect the

most restrictive category of classified information being

transmitted. (c)

• The recipient of a transmittal document may downgrade or

declassify his or her copy of the transmittal document without

further authorization if the transmittal document is removed

from the attachments and is to remain permanently separated

from them. The downgrading and declassification marking

requirements of Sections (B)(4)(b) and B(5)(c)(v) of this part,

respectively, must be followed. (d)

Compilations (iii)

A compilation composed of existing information from several

sources must be treated as a new document and classified and

marked in accordance with Sections (B)(2) and (3) of this part.

Classification for the new document must be supported by a

written explanation that, at a minimum, must be maintained with

the file or referenced on the record copy of the information. 

Files or Folders Containing Classified Documents (iv)

Files or folders containing classified documents must be marked

on the outside front and back with a classification equivalent to the
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 33

(Revised: July 28, 2006)

Classification (B) (continued)

Markings for Specific Types of Classified Information (7)

(continued)

highest level of classification contained therein or, if warranted by

compilation, a higher classification level. 

Drafts and Working Copies (b)

Drafts and working copies of documents that contain classified

information must be marked with the appropriate classification

level and RD category marking if the draft contains RD in

accordance with Section (B)(3)(b) of this part. (i)

Other markings (e.g., classification authority, duration,

portion-marking, and documentation) are not required unless the

document will be distributed outside the preparing office or

maintained for file, record, reference, background, or historical

purposes. Drafts retained for 180 days or longer must be marked

to include all classification and declassification information. In

these instances, the document must be classified and entered into

the automated record classification actions (RCA) system in

accordance with Section (B)(8) of this part. (ii)

Top Secret documents must be documented in accordance with

Section II(A) of this handbook, except that the series designator

must be assigned as “Draft 1,” “Draft 2,” and so forth, or “Working

Copy 1,” “Working Copy 2,” and so forth, in lieu of an alphabet

letter. (iii)

Reproduction and Dissemination Limitations (c) 

If the originator of a classified document determines that the

document must be subject to special reproduction and/or

dissemination limitations, the following statement must be placed

on the lower left side of the face of the document, the cover, the

title page, or the first page of text:
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

34 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Markings for Specific Types of Classified Information (7)

(continued)

Reproduction or further dissemination requires approval of

(insert title of authorizing official). See Section (C) of this

part for procedures for reproducing Top Secret, Secret, and

Confidential documents.

Foreign Government Information (d)

Information received from foreign governments must either retain

its original classification designation or be assigned a U.S.

classification level that will ensure a degree of protection at least

equivalent to that required by the entity that furnished the

information (see Exhibit 9 for "Foreign Equivalent Markings"). In

addition, such documents must be identified by placing the

“FOREIGN GOVERNMENT INFORMATION” marking on the lower

right side of the face of the document, the cover, the title page, or

the first page of text. (i)

Documents originated by NRC that contain foreign government

information must be marked in accordance with Section (B)(3) of

this part and, if applicable, assigned a U.S. classification level that

will ensure a degree of protection at least equal to that afforded

equivalent U.S. information. These documents also must be

identified with the “FOREIGN GOVERNMENT INFORMATION”

marking. Any paragraphs that contain foreign government

information must be so identified by placing the designator “FGI”

in parentheses before or after the text it governs. (ii)

The “FOREIGN GOVERNMENT INFORMATION” marking and the

“FGI” portion-marking designator must not be used if the fact that

the information is from a foreign government must be concealed.

In these instances, the information must be marked in accordance

with Section (B)(3) of this part, as if it were wholly of U.S.

origin. (iii)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 35

(Revised: July 28, 2006)

Classification (B) (continued)

Markings for Specific Types of Classified Information (7)

(continued)

Word Processor Disks (e)

Word processor disks that contain classified information must be

marked as follows: (i)

• The manufacturer's label on the disk must be marked with a

classification level equivalent to the highest level classification

contained on the disk. (a)

• The disk file folder or box must be marked in accordance with

Section (B)(7)(a)(iv) of this part. (b)

• If a label is placed on the disk or file folder to list or identify the

individual documents contained on the disk, the appropriate

portion-marking designators identified in Section (B)(3)(a) of

this part must be parenthetically placed after the name of each

document. (c)

NRC personnel who mark word processor disks should use the

preprinted labels available for that purpose. DSO should be

contacted for information regarding other media containing

classified information (e.g., video tapes, photographs, charts,

maps, recordings, or microfilm). (ii)

Translations (f)

Translations of U.S. classified information into a language other

than English must be marked in accordance with this part.

Translations also must be marked to show the United States as

the country of origin and with the foreign language equivalent

markings (see Section (B)(7)(d) of this part for documents received

from foreign countries).
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

36 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification (B) (continued)

Record Classification Actions (RCA) System (8)

The RCA system is an automated system that allows authorized

classifiers to record information about each classification decision

that they make. It ensures that current and accurate information is

available for use by NRC in fulfilling its reporting responsibility to

ISOO and provides traceability of classification, downgrading, and

declassification actions during appraisals, inspections, or audits.

(a)

The RCA system is available on the desktop of each authorized

classifier’s personal computer following his or her designation and

training as a classifier. Upon receiving training, each classifier will

be given a unique number that will allow the classifier to log onto

the RCA system. This automated record should be used in lieu of

paper copies of NRC Form 790, “Classification Record.”

Alternatively, an NRC Form 790 may be completed and submitted

to DSO by the authorized original or derivative classifier

authorizing a classification, downgrading, or declassification

action, excluding automatic downgrading or declassification only

if access to the online system is not available. The authorized

classifier submits the original and one copy of NRC Form 790 to

DSO and retains one copy for his or her files. DSO will monitor all

data index input and maintain the system's records. (b)

DSO is responsible for preparing specific reports on classification

actions that are taken on the basis of information provided by the

RCA system and for submitting these reports to ISOO as required.

The RCA system enables DSO to verify proper classification

actions during appraisals, inspections, or audits in order to

effectively administer the NRC Security Program. (c)
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NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 37

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C)

Cover Sheets (1)

A “SECRET” cover sheet, Standard Form 704, or a

“CONFIDENTIAL” cover sheet, Standard Form 705 (both available

in the NRC Supply Store), must be placed on the face of each

copy of a document classified as Secret or Confidential upon

preparation, or upon receipt from outside sources if no form is

attached. Appropriate marking instructions and selected handling

procedures can be found on the reverse side of the cover sheets.

The cover sheet must remain on the copy whether the copy is held

by NRC, NRC contractors or subcontractors, or transmitted to

other destinations. The cover sheet need not be retained on

Secret or Confidential documents in the file but must be placed on

these documents when they are withdrawn from the file and must

remain with the documents until the documents are destroyed.

Upon destruction of the documents, the cover sheet may be

removed and, depending on its condition, reused. 

Assurances Required Before Transmission of Classified

Information (2)

Before the transmission of classified information, the sender shall

ensure that the recipient needs the information to perform official

duties, is authorized to receive the information, possesses the

appropriate access authorization, and has approved storage

facilities for protecting information. The sender may obtain

assurance of this information from DFS or the recipient's cognizant

security office. (a)

Before delivering hand-carried classified documents to the

addressee or the authorized recipient, the individual delivering the

documents shall require positive identification of the addressee or

the recipient. Authority for NRC or NRC contractor employees to

hand-carry classified documents within the continental United

States must be granted by the Director of DSO. (b)
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NRC Classified Information Security Program

Handbook 12.2 Part I

38 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Assurances Required Before Transmission of Classified

Information (2) (continued)

The removal of classified documents from approved facilities to

private residences or other unapproved places for work purposes

is prohibited. Also, leaving classified documents unattended in

motels or hotels during official travel is prohibited. (c)

All classified documents, when not in the possession of authorized

individuals, must be stored only in approved facilities (see MD

12.1, “NRC Facility Security Program,” for storage of classified

documents). (d)

Bulk quantities of classified documents must be handled in

accordance with instructions obtained from the Director of DFS. (e)

Means of Transmission of Secret Documents Inside the

United States (3)

Persons hand-carrying Secret documents shall keep the

documents continuously in their possession until the documents

are stored in an approved facility. A courier letter or a courier card

approved by the Director of DSO is required when hand-carrying

classified information (see Sections II(F)(1) and (2) for more

details). (a)

Secret documents transmitted internally within facilities must be

hand-delivered by persons authorized access to the information or

transmitted by approved internal mail service. (b)

Secret documents transmitted externally to outside facilities must

be delivered by— (c)

• Methods approved for the transmission of Top Secret

documents in accordance with Section II (A)(9) of this

handbook (i)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 39

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Means of Transmission of Secret Documents Inside the

United States (3) (continued)

• U.S. Postal Service registered mail or U.S. Postal Service

express mail within and between the 50 States, the District of

Columbia, and Puerto Rico (ii)

• A cleared commercial carrier or a cleared commercial

messenger service engaged in intracity/local delivery of

classified mail (iii)

• A commercial delivery company approved by DFS that

provides nationwide, overnight service with computer tracing

and reporting features. (Such companies do not need a

security clearance.) (iv)

Means of Transmission of Secret Documents Outside the

United States (4)

• U.S. Postal Service registered mail through Army, Navy, or Air

Force postal service facilities. (This method must have prior

approval from the Director of DFS and assurance that the

information will not pass out of control of U.S. citizens or

through a foreign postal system. This method may be used to

transmit Secret documents to and from the U.S. Government

or its contractor employees or members of the Armed Forces

in a foreign country.) (a)

• Department of State diplomatic pouch. (Documents may be

transmitted to U.S. Government employees, contractor

employees, or members of the Armed Forces in a foreign

country by use of the Department of State diplomatic pouch.

This method must be approved by the Director of DSO before
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

40 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Means of Transmission of Secret Documents Outside the

United States (4) (continued)

it is used. The approval may be granted for individual

transmissions or on a blanket basis.) (b)

• An authorized person hand-carrying Secret documents to and

from foreign countries. (The approval of the Director of DSO

must be obtained before hand-carrying Secret documents to or

from a foreign country. Arrangements must be made to

preclude the necessity for customs examination of the

documents. Employees transporting Secret documents must

use vehicles or aircraft owned by the U.S. Government or its

contractors, ships of the U.S. Navy, U.S. naval ships manned

by the civil service, and ships of U.S. registry. This method of

transmission may be permitted only when other means set

forth above are impractical and it is necessary to perform

official duties.) (c)

Means of Transmission of Confidential Documents Inside and

Outside the United States (5)

Persons hand-carrying Confidential documents shall keep the

documents continuously in their possession until the documents

are stored in an approved facility or are turned over to a

designated recipient. A courier letter or a courier card approved by

the Director of DSO is required when hand-carrying classified

information (see Sections II(F)(1) and (2) for more details).(a)

Confidential documents transmitted internally within facilities must

be hand-delivered by persons authorized access to the information

or transmitted by an approved internal mail service. (b)

Confidential documents transmitted externally to outside facilities

must be delivered by— (c)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 41

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Means of Transmission of Confidential Documents Inside and

Outside the United States (5) (continued)

• Methods approved for the transmission of Secret documents (i)

• U.S. Postal Service certified or express mail within and

between the 50 States, the District of Columbia, Puerto Rico,

and U.S. territories or possessions (ii)

Electronically Transmitted Classified Messages (6)

Classified messages must be transmitted only by electronic means

that are protected with NSA-approved encryption and that have

been approved by DSO and OIS. Transmission of classified

information in ADAMS or in the Electronic Information Exchange

is prohibited. Procedures applicable to handling classified

messages within approved communications centers are set forth

in MD 12.4, “NRC Telecommunications Systems Security

Program.” (a)

All paper copies of electronically transmitted classified messages

must be marked in accordance with Sections (B)(2) and (3) of this

part. (b)

The originator of a classified message shall be considered the

classifier. Accordingly, a “Classified by” line is not required on

messages in these instances. If the originator is not the classifier,

the words “Classified by” and the identity of the classifier must be

indicated before the text. (c)

Portion-marking must be used to identify the classified and

unclassified portions of the message. Text must be portion-marked

in accordance with Section (B)(3)(a) of this part. (d)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

42 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Electronically Transmitted Classified Messages (6) (continued)

The last line of text of a classified message containing NSI must

show the date or event for automatic declassification or the

appropriate exemption marking. (e)

Upon receipt of a classified message, the transmitting

communications center person shall— (f)

• Review the message to determine that required security

classification markings have been applied to the form and the

message. (i)

• Encrypt, transmit, or otherwise dispatch the message in

accordance with MD 2.3, “Telecommunications,” and MD

12.4. (ii)

• Return to the originating office all messages containing

notations, if so requested. (iii)

• Destroy all copies of classified messages in the center's

possession 90 days after transmission unless a longer period

is approved by the Director of DSO. (iv)

Upon receipt of a classified message, the receiving

communications center person must– (g)

• Receive, decrypt, and edit the message as prescribed by MD

2.3 and add the security markings in accordance with Sections

(B)(3) and (4) of this part. (i)

• Ensure that the message is given to the addressee. (ii)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 43

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Electronically Transmitted Classified Messages (6) (continued)

• Destroy all copies of classified messages in the center's

possession 90 days after receipt unless a longer period is

approved by a regional administrator or the Director of

DSO. (iii)

• Maintain records of the destruction of all Top Secret messages.

(iv)

Transmission of Documents From Other Agencies (7)

Classified documents originated by other agencies must not be

disseminated outside NRC or NRC contractor offices without the

written consent of the originating agency. (a)

Upon receipt of consent, the transmission must be handled in

accordance with Sections (C)(3), (4), or (5) of this part. (b) 

A copy of the documentation of the consent for transmission of

classified documents from other agencies must be forwarded to

the Director of DSO and maintained with the record copy of the

document. (c)

Preparation of Secret and Confidential Documents for

Transmission (8)

Secret and Confidential documents transported by authorized

individuals within an approved building or facility need only be

placed in a cover that conceals the document when it may be

observed by unauthorized individuals. However, documents

transported outside an approved building or facility to another

agency via any means must be handled in accordance with this

section.
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

44 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Preparation of Secret and Confidential Documents for

Transmission (8) (continued)

Preparation of Receipts (a)

The sender shall complete NRC Form 253, “Messenger/Courier

Receipt” (available on the online forms icon). Copies of this form

must be distributed according to the instructions on the form. (i)

Individual forms must be used for each addressee. (ii)

More than one document may be included on the forms if the

same sender and addressee are involved. (iii)

Verification, Signature, and Return of Receipts (b)

NRC Form 126, “Classified Document Receipt” (available on the

online forms icon), must be used for outside transmission of

classified information. For transmission of classified information

within NRC facilities, an NRC Form 126 is not required. 

Envelopes and Wrappers (c)

Classified documents must be enclosed in two opaque envelopes

or wrappers for transmission or delivery outside an approved

building or facility. The envelopes will be marked as shown in

Exhibit 8.

Inner Envelope or Wrapper (i)

The inner envelope should be sealed (e.g., seams taped) so as to

indicate whether or not the envelope has been opened or

otherwise tampered with. (a)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 45

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Preparation of Secret and Confidential Documents for

Transmission (8) (continued)

The inner envelope or wrapper must be addressed to the person

for whom the document is intended. The address approved for

classified mail must be used. The classification must be placed at

the top and bottom on the front and back of the inner envelope or

wrapper. (b)

If documents bearing different classification levels are transmitted

in the same envelope or wrapper, the marking must be that of the

highest classified document, or a higher one if warranted because

of assemblage of the documents. (c)

The marking “Restricted Data” or “Formerly Restricted Data” must

appear on the front and back of each inner envelope or wrapper,

if appropriate. (d)

Outer Envelope or Wrapper (ii)

The outer envelope or wrapper must be adequately sealed and

addressed in the ordinary manner with no indication on the

envelope that it contains a classified document. (a)

The address for classified mail of the intended recipient must be

used. Under no circumstances should the name of the intended

recipient appear on the outer envelope. (b)

Evidence of Tampering (iii)

If the envelope or wrapper used in the transmission of classified

documents indicates any evidence of tampering, the recipient shall

preserve the envelope or wrapper as received and immediately
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

46 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Preparation of Secret and Confidential Documents for

Transmission (8) (continued)

notify DFS, DSO, those personnel responsible for the security

functions in the recipient's office, and the NRC Office of the

Inspector General.

Classified Documents From Other Agencies (9)

Safeguards To Be Afforded (a)

Documents from other agencies must be safeguarded with at least

those precautions prescribed for documents of the same

classification level originated by NRC. 

Third Agency Rule (b)

The “Third Agency Rule” provides that “classified information

originating in one agency may not be disseminated outside any

other agency to which it has been made available without the

consent of the originating agency” (see E.O. 12958, as amended).

No exceptions to this rule are permitted unless coordinated, in

advance, with the Director of DSO. 

Registered Documents (c)

On occasion, NRC or NRC contractors will receive documents

originated by personnel of the Department of Defense that are

numbered and contain the notation on the cover “Registered

Document,” “Serial Document,” or a similar designation. In these

cases, NRC employees or NRC contractor personnel shall comply

with the inventory and reporting requirements established by the

originating agency. Personnel are to consult DSO regarding these

requirements.
Volume 12, Security

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Handbook 12.2 Part I

Approved: July 28, 2006 47

(Revised: August 2, 2007)

Control of Secret and Confidential 

Documents (C) (continued)

Classified Documents From Other Agencies (9) (continued)

Control of Secret and Confidential Documents Received

Without Required Markings (d) 

When NRC receives reports or other correspondence from another

agency without the required classification level, category of

classified information, or other markings, the recipient will apply

the appropriate markings and will notify the other agency of such

action. 

Destruction of Secret and Confidential Documents (10)

Responsibilities (a) 

Secret and Confidential documents must be destroyed by the

custodian or other authorized individuals. 

Method of Destruction (b)

Secret and Confidential classified waste must be disposed of by

shredding with an approved shredder or other specified method or

by placing the waste in the classified paper products waste

receptacles located throughout NRC buildings. (i)

Electronic media/equipment and microfilm/microfiche containing

classified information or Safeguards Information are to be

destroyed as directed in MD 12.5, Part 2, Section 2.6.12,

“Destruction of Storage Media,” or sent to DFS/ADM for

destruction. (ii)

Before acquisition of a shredder to destroy classified documents,

the shredder must be approved by DFS in accordance with the

procedures set forth in MD 13.1, “Property Management.” (iii)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

48 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Secret and Confidential 

Documents (C) (continued)

Destruction of Secret and Confidential Documents (10)

(continued)

Contractors shall use classified waste disposal methods approved

by DFS. (iv)

Loss or Possible Compromise of Classified Information (11)

DSO and DFS shall be advised if personnel responsible for the

security function are unable to resolve discrepancies or if there is

any indication that classified documents are unaccounted for. (a)

Any person who has knowledge of the loss or possible

compromise of classified information shall immediately report

(within 1 hour) the circumstances to DFS. Upon receipt of this

report, DFS shall initiate an inquiry into the matter. (b)

If the information was originated by another agency, DFS, in

consultation with DSO, shall notify officials of the agency involved

so that a damage assessment may be conducted and appropriate

measures taken to negate or minimize any adverse effect. (c)

DFS, in conjunction with DSO, also will determine the cause of the

loss or compromise, place responsibility, and take corrective

measures to prevent a similar occurrence. Appropriate

administrative, disciplinary, or legal action will be taken if

warranted. (d) 

Classification Guides (D)

Classification guides are required under E.O. 12958, as amended,

Section 2.2, for the classification of NSI. There are also

classification guides for RD and FRD.
Volume 12, Security

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Handbook 12.2 Part I

Approved: December 6, 2005 49

(Revised: July 28, 2006)

Classification Guides (D) (continued)

Types of Guides (1)

Within NRC, program classification guides are used for the

following purposes:

• These guides apply classification policy to a particular aspect

of the NRC program through specific topical items. Guides

frequently involve the mission of more than one office. The

Director of DSO is responsible for the issuance and revision of

these guides. A program guide establishes an authoritative

frame of reference within which more detailed local

classification guides may be prepared. (a)

• In conjunction with appropriate offices and regions, DSO

determines that a program classification guide is needed to

implement policy in a field of work or that an existing program

guide requires revision. DSO will coordinate the subsequent

preparation of these guides with appropriate NRC offices and

regions and with other agencies, as required. (b)

Approval of Guides (2)

The Deputy Executive Director for Reactor and Preparedness

Programs (DEDR) will approve each program classification guide

in writing. Any program guide that could affect major NRC policy

decisions will be forwarded to the Commission for review before

being issued. (a)

Each local classification guide must be submitted to the Director

of DSO for approval before it is issued. (b)

Review of Guides (3)

Each classification guide will be kept current and reviewed at least

every 5 years. DSO will maintain a list of all NRC classification

guides in use and will schedule reviews according to the dates the

guides were issued.
Volume 12, Security

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50 Approved: December 6, 2005

(Revised: July 28, 2006)

Classification Guides (D) (continued)

Dissemination of Guides (4)

DSO shall distribute classification guides as widely as necessary

to ensure the proper and uniform derivative classification of

information. 

Content of Guides (5)

At a minimum, classification guides should—

• Identify the subject matter of the classification guide, the

original classification authority by name and position, and the

agency point of contact for questions (a)

• Provide the date of issuance or last review (b)

• State precisely the elements of information to be protected,

indicate which classification level applies to each element of

information, and specify the elements that are unclassified (c)

• State special handling caveats (d)

• Prescribe a specific declassification instruction (i.e., date or

event) (e)

• Specify the exemption category identified in E.O. 12958, as

amended, Section 3.3(b) (f)

• State a concise reason for classification (g)

Classification Appraisals (E)

Classification appraisals are conducted by DSO to review the

classification, downgrading, and declassification practices and

procedures of NRC, NRC contractors, and other organizations

to determine the accuracy and uniformity of interpretation and
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 51

(Revised: July 28, 2006)

Classification Appraisals (E) (continued)

implementation of NRC policy and standards. DSO has appraisal

guidance for the standard format used for classification appraisals.

Frequency of Appraisals (1)

The Director of DSO determines the appraisal intervals for all

Headquarters offices, regional offices, contractors, and other

organizations. Circumstances may indicate a need for yearly

appraisals of some offices, regions, and other organizations,

whereas other appraisals could be at longer intervals.

Reports (2)

A written report must be prepared after each appraisal that clearly

delineates the classification practices of the organization

appraised. (a)

Normally, the appraisal results will be discussed with management

personnel of the appraised organization before completion of the

final report. When this practice is considered inappropriate, the

discussion will be held with the director of the Headquarters office,

the regional administrator, the contractor, or the management staff

of any other organization concerned. (b)

Copies of the findings and recommendations from the appraisal

will be furnished to the regional office, the Headquarters office, the

contractor, or other appraised organization. A copy of the appraisal

report will be furnished to the Director of DSO. (c)

NRC Headquarters offices, regional offices, contractors, or other

organizations will take prompt action to ensure that necessary

corrective measures are introduced on the basis of

recommendations contained in the report. DSO must be provided

written confirmation that the necessary corrective measures have

been taken. (d)
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NRC Classified Information Security Program

Handbook 12.2 Part I

52 Approved: December 6, 2005

(Revised: July 28, 2006)

Foreign Ownership, Control, or 

Influence (FOCI) (F)

The National Industrial Security Program Operating Manual

(NISPOM) implements the provisions of E.O. 12829, “National

Industrial Security Program.” A company is considered to be under

FOCI whenever a foreign interest has the power, direct or indirect,

whether or not exercised, and whether or not exercisable through

the ownership of the U.S. company's securities, by contractual

arrangements or otherwise, to direct or decide matters affecting

the management or operations of that company in a manner that

may result in unauthorized access to classified information or may

adversely affect the performance of classified information

contracts. Upon receiving indication that a potential NRC

contractor requires access to classified information (as evidenced

by designation under block 5 of the NRC Form 187, “Contract

Security and/or Classification Requirements” [available on the

online forms icon]), the Division of Contracts (ADM) shall forward

the NRC Form 187 and Statement of Work to DSO for assessment

to determine whether or not a reasonable basis exists for

concluding that a compromise or an unauthorized disclosure of

classified information may occur. (1)

A U.S. company determined to be under FOCI is not eligible for

facility clearance (FCL). If a company already has an FCL, the

FCL shall be suspended or revoked unless security measures are

taken to remove the possibility of unauthorized access to classified

information. (2)

DSO will consider the following factors to determine whether a

company is under FOCI, its eligibility for an FCL, and the

protective measures required. (3)

• Foreign intelligence threat (a)

• Risk of unauthorized technology transfer (b)

• Type and sensitivity of the information requiring protection (c)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

Approved: December 6, 2005 53

(Revised: July 28, 2006)

Foreign Ownership, Control, or 

Influence (FOCI) (F) (continued)

• Nature and extent of FOCI, including whether a foreign person

occupies a controlling or dominant minority position, and the

source of FOCI, including identification of immediate and

ultimate parent organizations (d)

• Record of compliance with pertinent U.S. laws, regulations,

and contracts (e)

• Nature of bilateral and multilateral security and information

exchange agreement (f)

DSO may require contractors being assessed for FOCI to provide

information concerning— (4)

• Direct or indirect ownership of 5 percent or more of the

applicant company's voting stock by a foreign person (a)

• Direct or indirect ownership of 25 percent or more of any class

of the applicant company's nonvoting stock by a foreign person

(b)

• Management positions, such as directors, officers, or executive

personnel of the applicant company, held by other than U.S.

citizens (c)

• Power of a foreign person to control the election, appointment,

or tenure of directors, officers, or executive personnel of the

applicant company and the power to control decisions or

activities of the applicant company (d)

• Contracts, agreements, understandings, or arrangements

between the applicant company and a foreign person (e)

• Details of loan arrangements between company and a foreign

person if the company's overall debt to equity ratio is 40:60 or

greater; and details of any significant portion of the company's
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part I

54 Approved: December 6, 2005

(Revised: July 28, 2006)

Foreign Ownership, Control, or 

Influence (FOCI) (F) (continued)

financial obligations that are subject to the ability of a foreign

person to demand repayment (f)

• Total revenues or net income in excess of 5 percent from a

single foreign person or in excess of 30 percent from foreign

persons in the aggregate (g)

• Ten percent or more of any class of voting stock in “nominee

shares” or in “street name” or in some other method that does

not disclose the beneficial owner (h)

• Interlocking directors with foreign persons and any officer or

management official of the applicant company who is also

employed by a foreign person (i)

• Any other factor that indicates or demonstrates a capability on

the part of foreign persons to control or influence the

operations or management of the applicant company (j)

• Ownership of 10 percent or more of any foreign interest (k)

If an applicant company provides information that would indicate

FOCI concerns, DSO shall review the case to determine the

relative significance of the information relative to the factors listed

under Sections (F)(3) and (4) above, the extent to which FOCI

could result in unauthorized access to classified information, and

the type of actions necessary to reduce the effects of FOCI to an

acceptable level. However, if DSO determines a company is under

FOCI, DSO shall suspend the FCL. (5)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

Approved: December 6, 2005 55

(Revised: July 28, 2006)

Part II

Special Handling of Classified Information

Control of Top Secret Documents (A)

Access to Top Secret information may be granted only to those

who possess the appropriate access authorization and the need

to know and who have been granted specific written authorization

by their office director or regional administrator.

Access Lists (1)

Access to Top Secret information and National Security Council

Information (NSCI) requires a "Q" clearance, a need to know, and

the written authorization of the regional administrator or the

director of the office sponsoring the activity or in which the

individuals seeking access are employed. Each region and office

with personnel authorized access to Top Secret information or

NSCI will maintain a list of its authorized personnel. (a)

A copy of the access list for each region and office must be

provided to the Division of Security Operations (DSO). Additionally,

a copy of the NSCI access list for each region and office must be

distributed in accordance with Section (C)(2) of this part. (b)

Any updates (e.g., additions or changes) of a regional or office

access list must be reported immediately to DSO and any other

recipient of the list. (c)

Each region and office will review its access lists during January

of each year to ensure that all listed personnel need continued

authorization and will provide DSO and any other recipient with a

revised list on or before January 31 of each year. (d)

Sanctions (2)

NRC employees, NRC contractors, and other organizations

associated with the NRC program shall be subject to appropriate

sanctions if they— (a)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

56 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Top Secret Documents (A) (continued)

Sanctions (2) (continued)

• Knowingly, willfully, or negligently disclose to unauthorized

persons information properly classified under Executive Order

(E.O.) 12958, as amended, or predecessor E.O.s, or the

Atomic Energy Act (AEA). (i)

• Knowingly and willfully classify or continue the classification of

information in violation of E.O. 12958, as amended, or any

implementing directive. (ii)

• Knowingly and willfully violate any other provision of E.O.

12958, as amended, or any implementing directive, or the AEA

relating to the classification and declassification of Restricted

Data (RD) and Formerly Restricted Data (FRD). (iii)

Sanctions may include reprimand, suspension without pay,

removal, termination of classification authority, loss or denial of

access to classified information, or other sanctions in accordance

with applicable law and NRC regulations. (b)

Central Top Secret Control Officer and Top Secret Control

Officers (3)

Central Top Secret Control Officer (a)

The Director of DSO, NSIR, has assigned central control functions

for Top Secret information to the Information Security Section

(INFOSEC) and has appointed a Central Top Secret Control

Officer (CTSCO) and alternates from INFOSEC to ensure efficient

operation of the central control functions for Top Secret

information. These functions include the assignment of control

numbers and, when applicable, series designators for all Top

Secret documents, as well as accountability and inventory

responsibilities. (i)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

Approved: December 6, 2005 57

(Revised: July 28, 2006)

Control of Top Secret Documents (A) (continued)

Central Top Secret Control Officer and Top Secret Control

Officers (3) (continued)

All Top Secret documents originated or received by NRC or its

contractors must be processed through the CTSCO. (ii)

• Top Secret documents originated by NRC or its contractors

working in the Headquarters area must be delivered

immediately to the CTSCO. (Authority to originally classify

NRC documents or NRC contractor documents at the Top

Secret level is limited to the Commissioners, the Executive

Director for Operations (EDO), and the Deputy Executive

Director for Reactor and Preparedness Programs.) (a)

• Top Secret documents received from other agencies by NRC

or NRC contractor personnel in the Headquarters area must be

delivered immediately to the CTSCO. (b)

• Top Secret documents originated by NRC regional offices or

NRC contractor personnel outside the Headquarters area, or

received from other agencies, must be immediately reported by

telephone to the CTSCO. The regional office or contractor

must handle and control the document in accordance with

instructions received from the CTSCO. (c)

Top Secret Control Officers (b)

The Director of DSO designates Top Secret control officers for

each office or division that possesses Top Secret documents. (i)

Top Secret control officers shall receive, transmit, and maintain

accountability records for Top Secret documents handled by their

offices or divisions. (ii)

NRC and NRC contractor offices with Top Secret storage facilities,

approved by DFS, may elect to have Top Secret documents

delivered directly from the CTSCO to the authorized addressee or

through a designated control point (e.g., office of a Top Secret

control officer). (iii)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

58 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Top Secret Documents (A) (continued)

Central Top Secret Control Officer and Top Secret Control

Officers (3) (continued)

In either case, the Top Secret document must be charged to the

individual who assumes custody of the document. (iv)

Accountability Control Files (4)

Accountability records maintained by the CTSCO must identify all

Top Secret documents possessed by NRC and NRC contractors.

This accountability must include the current location or storage of

each document and the name of the custodian for each document.

Accountability files must be maintained as follows: 

Document Register (a)

The document register is a permanent record maintained and

updated, as appropriate, by the CTSCO. Upon receipt or

origination of a Top Secret document by NRC or NRC contractors,

the following information is recorded on the document register: 

• NRC-assigned document control number and all other

documentation information (e.g., series, copy number, and total

number of pages) (i)

• Document title or subject (ii)

• Date of document (iii)

• Date of receipt or origination (iv)

• Originating NRC office, NRC contractor, or outside agency (v)

• Classification and category (National Security Information

[NSI], RD, FRD) and control caveats (vi)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

Approved: December 6, 2005 59

(Revised: July 28, 2006)

Control of Top Secret Documents (A) (continued)

Accountability Control Files (4) (continued)

Receipt File (b)

The receipt file contains records of NRC Form 126, "Classified

Document Receipt," that have been signed by recipients to

whom copies of Top Secret documents were transmitted. This file

also identifies the current authorized custodian (e.g., Top Secret

control officer or, if none, the recipient) of each Top Secret

document in circulation or in storage outside of DSO. 

Document History File (c)

The document history file contains a copy of NRC Form 126 for

Top Secret documents forwarded to another agency and copies of

NRC Form 124, "Top Secret Access Log," for Top Secret

documents that have been downgraded, declassified, or

destroyed. This file also contains copies of all other pertinent

information that the CTSCO deems necessary to ensure a

complete history of actions associated with each Top Secret

document (e.g., downgrading or declassification notices or

destruction authority). 

Assignment of a Control Number to Documents From Other

Agencies (5)

The CTSCO assigns a unique NRC control number to each Top

Secret document received by NRC or NRC contractors from

another agency. The control number will be a four-digit number

preceded by the symbol "OA-NRC" (e.g., OA-NRC-0000). This

number must be placed on the upper right side of the face of the

document, the cover, the title page, or the first page of text above

any existing documentation.

Physical Inventory (6)

Top Secret documents under the control of the CTSCO, as well as

Top Secret documents charged out to authorized recipients, must
Volume 12, Security

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60 Approved: December 6, 2005

(Revised: July 28, 2006)

Control of Top Secret Documents (A) (continued)

Physical Inventory (6) (continued)

be inventoried annually under the direction of the CTSCO. This

inventory must be completed by July 31 of each year. (a)

The CTSCO will initiate the inventory and prepare an inventory

record listing from the accountability control files. The following

identification will be provided for each Top Secret document: the

control number, the abbreviated title or subject, the copy number

and series, the document date, the date of transfer to the

authorized holder, and the name of the person to whom the

document is currently charged. (b)

The CTSCO will forward the inventory record listing of those Top

Secret documents sent to authorized recipients to each person

charged with the custody of the documents involved. The

custodian shall physically account for each document identified

and verify the accuracy of the information listed. He or she will

report immediately by telephone to the CTSCO any discrepancies

and record these discrepancies in the space provided for that

purpose on the listing. After completing the inventory of the Top

Secret documents charged to him or her, the custodian shall sign

and date the inventory record listing and return it to the CTSCO on

or before the specified completion date. (c)

Only the following forms, which are available upon request from

DSO, are authorized for use in recording, transferring, or receiving

Top Secret documents: (d) 

• NRC Form 124, "Top Secret Access Log," must be personally

signed by each person who has access to the document. (i)

• NRC Form 126, "Classified Document Receipt," must be used

when transmitting a Top Secret document to authorized

custodians. (ii)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

Approved: December 6, 2005 61

(Revised: July 28, 2006)

Control of Top Secret Documents (A) (continued)

Physical Inventory (6) (continued)

• Standard Form 703, "Top Secret Cover Sheet" (available in the

NRC Supply Store), must be placed on the face of each copy

of a Top Secret document upon preparation or upon receipt

from outside sources if no form is attached. The cover sheet

must remain on each copy at all times whether the copy is held

by NRC, NRC contractors or subcontractors, or transmitted to

other destinations, until the copy is destroyed. Upon

destruction of the documents, the cover sheet may be removed

and, depending on its condition, reused. (iii)

Reproduction of Top Secret Documents (7)

Only the CTSCO may reproduce Top Secret documents. (a)

To reproduce the original set of a Top Secret document (Series A),

the originator of the Top Secret document, after consultation with

the CTSCO, shall deliver the document to the CTSCO, who will

reproduce the number of copies required for distribution. (b)

Reproduction of subsequent sets of a Top Secret document (e.g.,

Series B, C, D, etc.) after the original set will be authorized only in

an extreme emergency. When such emergencies exist, a written

request describing the circumstances that justify reproduction must

be submitted to the Director of DSO. (c)

If the request is approved, the CTSCO will reproduce the

document. The CTSCO shall assign the copy(ies) the next series

designator (e.g., B, C, D, etc.) and record all pertinent information

required in Sections (A)(5) and (6) of this part. The requester shall

ensure that the following statement is placed on the upper right

side of the copy(ies) underneath the existing documentation and

that it is accurately completed: (d)
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Control of Top Secret Documents (A) (continued)

Reproduction of Top Secret Documents (7) (continued)

"Series ________Copy__________ of___________copies."

The written request for reproduction and the authorization for

reproduction signed by the Director of DSO must be affixed to the

document used to prepare the additional copies. (e)

If the request is disapproved, the Director of DSO shall so advise

the requester in writing. (f)

Reproduction of Top Secret Documents From Other Agencies

(8)

Top Secret documents or portions of documents containing Top

Secret information originated by another U.S. Government agency

or one of its contractors must not be reproduced unless written

approval is obtained from the agency that originated the

document. The individual wishing to reproduce this information

shall obtain written approval from the agency involved. Upon

receipt of this approval, the individual shall request the CTSCO to

reproduce the information. 

Transmission of Top Secret Documents (9)

Top Secret documents may only be transmitted by approved

means. These approved means include the Defense Courier

Service, hand-carried by specifically authorized NRC and NRC

contractor employees, and electronically transmitted through

appropriately encrypted telecommunication circuits. Transmission

of classified information in the Agencywide Documents Access and

Management System (ADAMS) or in the Electronic Information

Exchange is prohibited. Procedures applicable to handling

classified messages within approved communications centers are

set forth in MD 12.4, “NRC Telecommunications Systems Security

Program.” Under no circumstances may Top
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Control of Top Secret Documents (A) (continued)

Transmission of Top Secret Documents (9) (continued)

Secret documents be transmitted through the U.S. Mail or other

NRC or NRC contractor internal mail service. (a)

Top Secret information must be transmitted, to the maximum

extent possible, by discussions between authorized persons in

areas prescribed by the Director of DSO or by secure

communications approved by the Director of DSO. Otherwise, Top

Secret information must be hand-delivered by authorized persons

within the same building, or by NRC authorized couriers or the

Defense Courier Service when Top Secret information must be

delivered to other buildings, facilities, or Government agencies.

Persons hand-carrying Top Secret documents shall keep the

documents continuously in their possession until the information

is stored in an approved facility or is turned over to a designated

recipient. (b)

Before transmission, including electronic transmission, or transfer

of any Top Secret document, the CTSCO shall be consulted.

Approval for NRC contractor employees to hand-carry classified

documents during travel by commercial airlines must be obtained

from the Director of DSO. Additionally, the Transportation Security

Administration (TSA) has issued regulations for screening

travelers and matter transported by air. (c)

Receipts (10)

NRC Form 126 must be used to transfer all NRC-originated or

NRC-possessed Top Secret documents to authorized individuals

in NRC or NRC contractor organizations or to other agencies or

their contractors. 
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Control of Top Secret Documents (A) (continued)

Destruction of Top Secret Documents (11)

The CTSCO or alternates are authorized to destroy Top Secret

documents. Whenever Top Secret documents are destroyed, a

second NRC employee or NRC contractor employee shall witness

the destruction and certify it by signing the destruction record

along with the CTSCO or alternates. (a)

Top Secret documents must be destroyed by shredding, and Top

Secret waste (e.g., paper, or computer disks) must be destroyed

in accordance with instructions received from the CTSCO. (b) 

Naval Nuclear Propulsion

Information (B)

U.S. naval nuclear propulsion information may be either classified

or unclassified information. It must be made available on a

need-to-know basis only to appropriately cleared (L clearance for

access up to Secret National Security Information [NSI] and

Q clearance for access to Secret Restricted Data [SRD] and

above) NRC employees and NRC contractor employees who are

U.S. citizens. Further explanations of the applicable clearances

needed to access U.S. naval nuclear propulsion information can

be obtained in MD 12.3, “NRC Personnel Security Program,”

Section I(B)(2)(b). (1)

When an NRC office determines that an NRC contractor requires

classified or unclassified naval nuclear propulsion information, the

office will forward written justification for access to the Office of

Naval Reactors, Department of Energy (DOE), with an information

copy to DSO. DSO is also available to provide assistance. (2)

Public release of classified and unclassified naval nuclear

propulsion information, or foreign release thereof, is not permitted.

Any request under the Freedom of Information Act (FOIA) from a

source outside NRC for nuclear propulsion documents or

information must be forwarded through the Office of Information
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Naval Nuclear Propulsion

Information (B) (continued)

Services (OIS) to the Office of Naval Reactors, DOE, for

disposition. (3)

Classified naval nuclear propulsion information and documents

must be protected and handled in accordance with existing

security directives. Storage and dissemination of classified or

unclassified naval nuclear propulsion documents in ADAMS is

prohibited. (4)

The Office of Naval Reactors, DOE, in providing either classified

or unclassified naval nuclear propulsion documents to NRC, marks

documents with the statement given below. Any exact

reproductions of documents that bear this marking or preparation

of other documents containing naval nuclear propulsion

information derived from the original documents must contain the

following marking: (5)

This document may not be further distributed by any holder

without the prior approval of the Office of Naval Reactors,

DOE. Distribution to U.S. nationals representing foreign

interests, foreign nationals, foreign governments, foreign

companies and foreign subsidiaries or foreign divisions of

United States companies is specifically prohibited.

National Security Council

Information (NSCI) (C)

Responsibilities (1)

Access to classified NSCI must be limited to the absolute minimum

number of NRC persons holding a "Q" clearance who have a need

to know and who require such access to perform their official

duties. All classified NSCI documents in the possession of NRC

must be protected. National Security Decision Directive 19

(NSDD-19), "Protection of Classified National Security Council and

Intelligence Information," provides the basis for protection. (a)
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National Security Council

Information (C) (continued)

Responsibilities (1) (continued)

The Chairman and the EDO may authorize access to classified

NSCI for NRC Commission and staff personnel with a "Q"

clearance, respectively. (b)

The Commissioners, office directors, and regional administrators

may authorize "Q"-cleared members of their own offices access to

NSCI. (c)

Any difference of opinion at the Commission level regarding

access authorization, period of access, and so forth, must be

resolved by the Chairman or, if necessary, by a Commission vote.

The EDO will resolve any such differences at the staff level. (d)

Access Lists (2)

Access lists reflecting authorizations must be prepared by the

authorizing authority and updated as necessary. The access lists

also must specifically designate those individuals who are

responsible for initial receipt of NSCI in respective offices. (a)

The Offices of the Chairman, the Commissioners, and the EDO,

and other Commission-level offices will each provide a copy of

their access list and any changes to the list to the Office of the

Secretary (SECY). (b)

Staff-level offices will each provide a copy of their access list and

any changes to the Administrative and Correspondence Section,

Office of the EDO. SECY and the Administrative and

Correspondence Section will provide a copy of these access lists

to the Director of DSO. (c)
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National Security Council

Information (C) (continued)

Requirements (3)

Receipt and Handling (a)

All classified NSCI transmitted to NRC by the National Security

Council (NSC) will be addressed to the Chairman and, therefore,

received by SECY. (i)

SECY will maintain strict control and accountability over all

classified documents containing NSCI. (ii)

Upon receipt of NSCI, SECY will— (iii)

• Record the NSC number affixed to the NSC cover sheet. (a)

• Determine who at the Commission level requires access to the

information and record the names of the offices on the NSC

cover sheet. (b)

• Forward the NSCI document to the responsible individual

designated on the intended recipient's access list. (c)

• Ensure that the document and the NSC cover sheet are

returned to SECY for storage after completion of the required

circulation and review. (d)

If the NSCI document is to be distributed at the staff level, the

EDO Administrative and Correspondence Section will duplicate

steps (a) through (d) of item (iii) above for appropriate

distribution. (iv)

Upon return of the document from the staff, the EDO

Administrative and Correspondence Section also will forward the

NSC cover sheet generated for staff distribution to SECY for

storage with the document. (v)
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National Security Council

Information (C) (continued)

Requirements (3) (continued)

In the event an office receives classified NSCI by means other

than those described above, that office will immediately notify

SECY. SECY will obtain the NSCI document from the office and

follow the procedures under item (iii) above to ensure proper

control and accountability. SECY also will notify DFS staff, who will

conduct an inquiry into the matter and take the necessary action

to prevent recurrence. (vi)

All authorized individuals having access to a classified document

containing NSCI shall sign the NSC cover sheet accompanying the

document. If an authorized individual is only responsible for

distribution of the document (e.g., SECY, EDO Administrative and

Correspondence Section, a designated individual of an office), this

individual shall indicate this fact by placing the symbol "DO" (for

"distribution only") after his or her signature on the cover

sheet. (vii) 

Reproduction (b)

Documents containing NSCI will be reproduced only when it is

determined that the document must be circulated quickly to

facilitate a timely NRC response. The determination that a

classified document containing NSCI needs to be reproduced will

be made by SECY. Only SECY may reproduce classified NSCI

documents. (i)

After making the required copies, SECY will complete and affix an

NSC cover sheet to each copy of the document. Above the NSC

number on the cover sheet, SECY will place "NRC Copy _______"

on and assign a sequential alphabetical designator (i.e., A, B, C,

etc.) to each copy of the document. (ii)
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National Security Council

Information (C) (continued)

Requirements (3) (continued)

Documents Generated by NRC (c)

NRC does not routinely generate documents that contain classified

NSCI. However, in the event an office does generate a document

that contains classified NSCI, the document and any drafts and

worksheets must be protected. Additionally, the office generating

the NSCI document must contact SECY to obtain guidance for

accountability of the document. 

Loss or Possible Compromise of Documents (d)

DSO must be notified immediately in the event of loss or possible

compromise of a classified NSCI document. Staff offices shall

submit a written report on any such matter to the Chairman

through the EDO. Commission offices shall submit a written report

on any such matter to the Chairman. DSO will report a loss or a

possible compromise to the NSC and conduct an inquiry into the

matter. A written report on the matter, including corrective

measures taken, where appropriate, shall be submitted by the

EDO to the Chairman. Any resulting corrective action resulting

from the infraction must be communicated to the Office of the

Inspector General (OIG).

Classification, Declassification, or Downgrading (e)

Any classification, declassification, or downgrading questions on

NSCI must be referred to DSO for advice and assistance.

Requests for Information Under the Freedom of Information

Act (f)

SECY, in consultation with the Office of the General Counsel

(OGC), will determine what NSCI records, if any, are subject to the

FOIA. OIS must be notified when NSCI records are the subject

of a FOIA request. OIS will be responsible for referring the records

to the NSC.
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D)

Authorities (1)

Classified Nonmilitary Information (a)

The Presidential Directive of September 23, 1958, "Basic Policy

Governing the Release of Classified Defense Information to

Foreign Governments," specifies policy governing the transfer of

classified nonmilitary information to foreign governments and

access to classified nonmilitary information by individual

representatives of foreign governments.

Classified Military Information (b)

Basic policy governing the release and disclosure of classified

military information is specified in "National Policy and Procedures

for the Disclosure of Classified Military Information to Foreign

Governments and International Organizations" and supplemented

by National Security Decision Memorandum (NSDM)-119,

"Disclosure of Classified Military Information to Foreign

Governments and International Organizations.” 

Restricted Data and Formerly Restricted Data (c)

The provisions of Section (D) of this part do not apply to the

transmission of RD or FRD to foreign governments or international

organizations. RD and FRD are furnished to and received from

foreign governments and international organizations only in

accordance with Agreements for Cooperation negotiated in

accordance with the provisions of Sections 123 and 144 of the

AEA.
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Authorities (1) (continued)

Prohibitions on Disclosure (d)

The disclosure of classified information to foreign governments or

international organizations is not permitted when such disclosure

is prohibited by Presidential orders or directives, Federal

legislation, including the AEA, and the Energy Reorganization Act

of 1974, as amended (ERA), or by any international agreement to

which the United States is a party, or by U.S. policy. 

Criteria (2)

Criteria for Release of Classified Information to Foreign

Governments (a)

The following criteria must be satisfied before the release of

classified nonmilitary information to foreign governments.

• A determination that the furnishing of classified information will

result in a net advantage to the national security interests of

the United States must be made by the Director of the Office

of International Programs (OIP). In making this determination,

disclosure is— (i)

– Consistent with the foreign policy of the United States

toward the recipient government (a)

– Consistent with the policies of the U.S. Government with

regard to the AEA, the ERA, or with regard to information

for which special procedures for release have been or may

hereafter be established by competent authority having

statutory jurisdiction over the subject matter (b)
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Criteria (2) (continued)

– Consistent with the national security interests of the United

States (c)

– Limited to information necessary to the purpose for which

disclosures are made (d)

• The recipient government must have agreed, either generally

or in the particular case, to— (ii)

– Not release the information to a third party without the

approval of the releasing party (a)

– Afford the information substantially the same degree of

protection afforded it by the releasing party (b)

– Not use the information for other than the purpose for which

it was given (c)

– Respect rights such as patents, copyrights, or trade secrets

in the event that the releasing party indicates private rights

are involved in the information. (d)

Criteria for Release of Classified Information to International

Organizations (b)

The release of classified information to international organizations,

with the exception of the International Atomic Energy Agency

(IAEA) noted in the next paragraph, must be on the basis of

criteria identified in Section (D)(2)(a) of this part. However, these

criteria will be addressed on a case-by-case basis for each
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Criteria (2) (continued)

transmittal, taking into account the particular reason for providing

classified information to that organization. (i)

The Commission has determined that the release of classified

information to the IAEA, as agreed upon by the U.S./IAEA

Safeguards Agreement, will result in a net advantage to the

national security interest of the United States. Furthermore, Article

5 of the U.S./IAEA Safeguards Agreement satisfies the criteria of

Section (D)(2)(a) of this part. The criteria of Section (D)(2)(a) of

this part have been waived by the Commission. (ii)

Responsibilities (3)

The Director of OIP will determine that the furnishing of classified

information will result in a net advantage to the national security

interests of the United States. The determination must be made

with the concurrence of OGC, DSO/NSIR, and the responsible

program office. OIP will consult with the Department of State and

other agencies and departments, as appropriate, in making this

determination. OIP also will initiate and coordinate the procedural

process to implement the proposed classified information

transfers. 

Classified Information Exchange Agreements With Foreign

Governments (a)

Before the development of an exchange agreement, DSO will

determine whether an applicable prerequisite

government-to-government agreement exists between the United

States and the foreign country involved. (i)
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Responsibilities (3) (continued)

If an agreement exists, DSO, with the assistance of OIP and OGC,

will develop a separate classified information exchange agreement

for each foreign government agency involved before initial transfer

of classified information or before initial written or oral access. This

information exchange agreement must specify the requirements

necessary to ensure the security of the transferred classified

information. The agreement will be compatible with the terms and

conditions of existing government-to-government agreements

applicable to the transfer of classified information. (ii)

The EDO shall execute the exchange agreement upon a finding

that the recipient government will provide adequate protection of

the classified information to be furnished. The Commission will be

informed by OIP before the execution of any international

agreement. (iii)

The Commission will approve any waiver of the required

understandings identified in Section (D)(2)(a)(ii) of this part

concerning the criteria specified. The Commission will also

approve any waiver of the requirement for a separate classified

exchange agreement referenced in Section (D)(3)(a)(ii) of this part.

(iv)

Agreements with foreign governments will not commit NRC to

disclose any particular or specific classified information. (v)

Classified Information Exchange Agreements With

International Organizations (b)

The release of classified information to international organizations,

with the exception of the IAEA, will be addressed on a

case-by-case basis for each transmittal, considering the particular
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Responsibilities (3) (continued)

reason for providing classified information. Therefore, before

permitting representatives of international organizations (with the

exception of the IAEA) access to classified information, DSO must

be consulted. (i)

DSO will coordinate the matter with OIP, OGC, and others, as

appropriate, and approve or disapprove the access. If the access

is approved, DSO will provide appropriate guidance to effect

access or transmittal. (ii)

Internal Procedures (4)

Transfer of Classified Information to Foreign Governments (a)

Security Assurance and Security Checks (i)

A security assurance must be required and a security check made

regarding the original recipients of classified information. (a)

Security assurances will be obtained from an authorized person of

a foreign government. Upon receipt, the names of the

representatives of foreign governments who need access to

classified information will be submitted by DSO for appropriate

security checks. (b)

The EDO is authorized by PDD 1958 on Foreign Disclosure and

SECY-78-84, “Transfer of Classified Non-military Information to

Foreign Governments by NRC,” to waive the requirement for a

security assurance and/or a security check for high-ranking foreign

government civil or military representatives when necessary. (c)
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Internal Procedures (4) (continued)

Results of Security Checks (ii)

The existence of security assurances and the results of any

security checks, when applicable, must be made a matter of

record in DSO. DSO shall make available any derogatory

information derived from security checks on a confidential basis to

only the Director of OIP and the EDO.

Review of Information To Be Shared With Foreign

Governments (iii)

Classified documents to be transmitted to foreign governments

must be forwarded to DSO for review and transmission. (a)

The review must ensure that— (b)

• Each original recipient possesses a prescribed security

assurance, a security check of each original recipient has been

conducted, and the results of the security check are favorable

or a waiver has been obtained. (1)

• The information transmitted is within the scope of the

government-to-government agreement negotiated with the

country concerned and the classified information exchange

agreement negotiated with the foreign government agency to

which the documents are being furnished. (2)

• Concurrence in the legal aspects of the transfer has been

obtained from OGC. (3)
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Internal Procedures (4) (continued)

If the transfer involves classified documents or other classified

information originated, produced, or received from another

department or agency, DSO will obtain approval from this

department or agency. (c)

Classified information to be shared with foreign governments

within NRC must be coordinated with DSO in advance to

ensure the procedures in Section (D)(4)(a)(iv) of this part are

observed. (d)

Accountability (iv)

A record of accountability of the information being processed for

release must be maintained by DSO and by each NRC office or

division proposing the release of classified nonmilitary information

to foreign governments or concurring in the release. (a)

The record must include— (b)

• Identification of the exact information released or being

processed for release (for documents, the date, title, name of

originator, and classification) (1)

• Names and signatures of approving officials (2)

• Form in which information is released or will be released (e.g.,

oral or documentary) (3)

• Date of release or contemplated release (4)
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Internal Procedures (4) (continued)

• Identity of foreign government organization and the original

individual recipient to whom release is made or is

contemplated (5)

• Security assurance and security check, when applicable, for

each individual recipient (6)

• Waivers exercised or requested, when applicable (7)

• Statement that the information is based on data originated

outside NRC, wherever applicable, and the identity of the

originating organization (8)

• Name of individual in other U.S. Government agency who has

authorized release, if applicable (9)

The office or division contemplating or making oral disclosures

must furnish memoranda before and after these disclosures to the

Directors of DSO and OIP, and to OGC. (c)

Preparation and Method of Transmission (v)

The preparation (including classification) and method of

transmission of documents are specified in Section I(C)(7) of this

handbook. Classified information to be transmitted to foreign

governments will use government-to-government mail channels.

Normally, documents intended for a foreign government will be

forwarded to that country's embassy in the United States.

Transmission of classified mail to foreign countries requires prior

approval of the Director of DSO.
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Internal Procedures (4) (continued)

Transfer of Classified Information to International

Organizations (Except IAEA) (b)

The transfer of classified information to international organizations,

except IAEA (see Section (D)(4)(c) of this part), must be handled

in accordance with guidance from DSO. 

Transfer of Classified Information to IAEA (c)

Written Disclosure Authorization (i)

A written disclosure authorization from DSO is required before

IAEA representatives may have access to NSI. This authorization

states that the individual is an authorized IAEA representative and

is authorized to make visits or inspections in accordance with the

U.S./IAEA Safeguards Agreement. (a)

The authorization includes— (b)

• The identity of the authorized IAEA representative (1)

• Specific authority to disclose NSI to that individual relating to

the visit or inspection (2)

• The level of classified information authorized (3)

• A description of the IAEA representative's identification

documents (4)

• The purpose of the visit or inspection (5)
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Internal Procedures (4) (continued)

• The duration of the authorization to receive the information (6)

In accordance with authority set forth in the disclosure

authorization, classified documents may be furnished to IAEA

representatives for retention or may be transmitted to IAEA. (c)

Review of Documents To Be Transferred (ii)

Classified documents to be furnished to IAEA representatives by

approved means, or transmitted to IAEA representatives, must be

reviewed by DSO before release. The review must ensure that the

information to be furnished or transmitted is within the scope of the

written disclosure authorization. (a)

If access or transmission involves classified information originated

by another department or agency, DSO will obtain approval from

the department or agency before access or transmission. (b)

Accountability (iii)

See Section (D)(4)(a)(iv) of this part.

Preparation and Method of Transmission (iv)

See Section (D)(4)(a)(v) of this part.

Report to the National Disclosure Policy Committee

(NDPC) (v)

DSO will report to the NDPC those transfers of classified

information to foreign governments or international organizations

that must be reported under the national disclosure policy. This
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Transfer of Classified Information to 

Foreign Governments and 

International Organizations (D) (continued)

Internal Procedures (4) (continued)

reporting is required in every instance in which defense

information is involved.

Review and Concurrence in Legal Aspects of Transfer (vi)

OGC will review and concur in the legal aspects of NRC transfer

of information to foreign governments or international

organizations.

Classified Conferences (E)

Conferences and Symposia (1)

At times, NRC employees, NRC contractors, and other

organizations affiliated with NRC sponsor or participate

in conferences and symposia that are intended to be unclassified

but that relate to sensitive programs or installations and may

contain classified information. To minimize the risk of inadvertently

revealing classified information at these meetings, the procedures

below have been established. 

• Papers involving sensitive programs or installations are to be

submitted to an NRC authorized classifier (see Section I (B)(2)

of this handbook) or to DSO for review before unclassified

use. (a)

• All NRC and NRC contractor personnel who are to deliver

briefings that involve sensitive programs or installations shall

have the text of such briefings reviewed for classification by an

NRC authorized classifier or by DSO before presentation. (b)
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Classified Conferences (E) (continued)

Publication or Release of Documents (2)

When there is doubt as to whether a document contains NSI, RD,

or FRD, the author shall refer the information to the appropriate

NRC authorized classifier or the Director of DSO for a

classification review. 

Review of Documents (3)

An NRC employee, an NRC contractor employee, or another

person associated with the NRC program may desire to release,

as unclassified, information relating to his or her activity. Contracts

for classified work contain clauses that require safeguarding of

classified information. To ensure that classified information is

properly safeguarded, proposed disclosures, whether in the form

of documents, visual materials, speeches, or otherwise, must be

reviewed by an authorized classifier to prevent the inadvertent

disclosure of classified information, as well as to obtain

appropriate review for patent clearance. NRC employees and

other personnel associated with the NRC program are under

similar obligation to protect classified information against

disclosure in conjunction with the release of unclassified

information. 

Review of Documents Submitted by Uncleared Authors (4)

Documents submitted for review by an uncleared author who, to

the best of the reviewer's knowledge, has never had access to

classified information, must be forwarded to DSO for review. If,

after review, it is determined that the article contains information

that should be classified, DSO will advise the author, to the extent

possible within the bounds of security and the NRC’s “No

Comment” Policy, of the reason for the classification and, if

possible, take action to have the author delete any classified

information contained in the document. In the course of such a

review, DSO will refer the document to other NRC offices, to the

NRC regions, and to other Government agencies, as appropriate.
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

Approved: December 6, 2005 83

(Revised: July 28, 2006)

Classified Conferences (E) (continued)

Review of Documents Submitted by Formerly Cleared

Persons or by Authors With Active Clearances (5)

Documents submitted by persons formerly cleared at the "Q" or "L"

level, by persons with active NRC clearances other than those set

forth in MD 12.3, "NRC Personnel Security Program," or by

persons formerly or currently cleared by other Government

agencies must be reviewed by an NRC authorized classifier or by

DSO. The author shall be required to delete any classified

information in the document before it is published. 

Hand-carrying Classified Material (F)

An authorized person hand-carrying classified information from an

NRC facility, licensee, or other Government agency for return to

NRC, regardless of the duration or distance of the trip, must obtain

authorization from the Director of DSO.

Courier Letters (1)

A letter of Courier Authorization from the Director of DSO is

required when hand-carrying classified information is deemed

necessary. The authorized person must also sign a courier

procedures agreement in the presence of the issuing official. A

new authorization letter is required for each period of courier

activity.

Courier Card (2)

A courier card from the Director of DSO is issued in lieu of a

courier letter for those authorized persons who require the

handling and transporting of classified material on a regular basis.

When no longer needed, the card will be returned to the issuing

office, which will hold the card until it is needed or it expires.
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

84 Approved: December 6, 2005

(Revised: July 28, 2006)

Transporting Classified Material by 

Commercial Airlines (G)

Approval for NRC employees or contractor employees to

hand-carry classified documents during travel by commercial

airlines must be obtained from the Director of DSO. Additionally,

the Transportation Security Administration (TSA) has issued

regulations for screening travelers and matter transported by air.

Accordingly— (1)

• Each NRC employee and NRC contractor employee

hand-carrying classified information shall carry his or her travel

authorization and his or her NRC identification badge, which

has his or her photograph on it. The employee shall also carry

the document authorizing him or her to hand-carry the

information. (a)

• All passengers and items transported must be screened before

boarding an aircraft. Briefcases or other luggage, including that

containing the classified information, may be opened by airport

screening personnel for inspection. This inspection must be

conducted without opening the envelopes containing classified

documents. The screener should be able to inspect the

envelopes by flexing, touch, weight, x-ray, and so forth. (b)

• If the screener is not satisfied, the passenger will state that the

packages contain classified information. The passenger will

present his or her identification card and travel authorization.

If the screener is still not satisfied, the passenger should

immediately ask to talk to the senior air carrier representative

or TSA security representative and explain the situation. If

necessary, the traveler will contact his or her own supervisor

or DSO. (c)

• When the classified documents to be transported are of a size,

weight, or shape not suitable for the processing specified

above, the following procedures apply: (d)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

Approved: December 6, 2005 85

(Revised: July 28, 2006)

Transporting Classified Material by 

Commercial Airlines (G) (continued)

– NRC employees or NRC contractor personnel who have

been authorized to transport classified documents must

notify airline officials at the point of origin and at

intermediate transfer points in advance of the trip. (i)

– Employees carrying packages must report to the airline

ticket counter and present documentation and a description

of the containers that are exempt from screening. (ii)

– Employees must have the original correspondence signed

by appropriate supervisory personnel authorizing them to

carry classified documents. This correspondence must be

prepared on letterhead stationery of NRC or the contractor

employing the individuals. (iii)

– Employees shall have enough authenticated copies of

this correspondence to provide a copy to each airline

involved. (iv)

The correspondence authorizing an employee to transport

classified documents must contain— (2)

• The full name of the employee and the NRC office or the NRC

contractor by whom employed (a)

• A description of the type of identification the employee will

present (e.g., NRC photo badge) (b)

• A description of the matter being carried (e.g., "Three sealed

packages, 9 inches by 8 inches by 24 inches," and the names

of the sender and the addressee) (c)

• Identification of the point of departure, destination, and known

transfer points (d)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Part II

86 Approved: December 6, 2005

(Revised: July 28, 2006)

Transporting Classified Material by 

Commercial Airlines (G) (continued)

• Date of issue and the expiration date of the correspondence,

which is not to exceed 7 days from the date of issue (e)

• Name, title, signature, and telephone number of official

authorizing the employee to carry the classified documents (f)

• Name and telephone number of the NRC official or the NRC

contractor official who can confirm the letter of authorization (g)

Each package or carton to be exempt from screening must be

signed on its face by the official signing the correspondence.

When an employee is required to transport classified packages on

a return trip and the letter from his or her organization does not

cover this return trip, a letter of authorization must be prepared on

the letterhead stationery of the agency or the contractor being

visited. (3)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

Approved: December 6, 2005 87

(Revised: July 28, 2006)

Exhibit 1

Required Markings for Classified Documents
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

88 Approved: December 6, 2005

(Revised: July 28, 2006)

Exhibit 2

Declassification Markings
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

Approved: December 6, 2005 89

(Revised: July 28, 2006)

Exhibit 3

Subject or Title Marking and Portion-Marking
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

90 Approved: December 6, 2005

(Revised: July 28, 2006)

Exhibit 4

Upgrading, Downgrading, and

Transclassification Markings
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

Approved: December 6, 2005 91

(Revised: July 28, 2006)

Exhibit 5

Deleting Classified Information From

Classified Documents
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

92 Approved: December 6, 2005

(Revised: July 28, 2006)

Exhibit 6

Required Markings for an Unclassified

Transmittal Document
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

Approved: December 6, 2005 93

(Revised: July 28, 2006)

Exhibit 7

Required Markings for a Classified

Transmittal Document
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

94 Approved: December 6, 2005

(Revised: July 28, 2006)

Exhibit 8

Required Markings for Envelopes or Wrappers
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

Approved: December 6, 2005 95

(Revised: July 28, 2006)

Exhibit 9

Foreign Equivalent Markings
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

96 Approved: December 6, 2005

(Revised: July 28, 2006)

Exhibit 9 (continued)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

Approved: December 6, 2005 97

(Revised: July 28, 2006)

Exhibit 9 (continued)
Volume 12, Security

NRC Classified Information Security Program

Handbook 12.2 Exhibits

98 Approved: December 6, 2005

(Revised: July 28, 2006)

Exhibit 9 (continued)