NIST Special Publication 800-60 

 Version 2.0 Volume II: Appendixes to 

Guide for Mapping Types of 

Information and Information 

Systems to Security Categories 

William C. Barker 

Annabelle Lee 

 

I N F O R M A T I O N S E C U R I T Y

Computer Security Division 

Information Technology Laboratory

National Institute of Standards and Technology

Gaithersburg, MD 20899-8930

June 2004

U.S. DEPARTMENT OF COMMERCE

Donald L. Evans, Secretary 

TECHNOLOGY ADMINISTRATION

Phillip J. Bond, Under Secretary of Commerce for Technology 

NATIONAL INSTITUTE OF STANDARDS AND 

TECHNOLOGY

Arden L. Bement, Jr., Director 
Reports on Computer Systems Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) 

promotes the U.S. economy and public welfare by providing technical leadership for the Nation’s 

measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept 

implementations, and technical analyses to advance the development and productive use of information 

technology. ITL’s responsibilities include the development of management, administrative, technical, and

physical standards and guidelines for the cost-effective security and privacy of non-national security-related 

information in Federal information systems. This special publication 800-series reports on ITL’s research,

guidelines, and outreach efforts in information system security, and its collaborative activities with industry, 

government, and academic organizations. 

ii
Authority

The National Institute of Standards and Technology (NIST) has developed this document in furtherance of its 

statutory responsibilities under the Federal Information Security Management Act (FISMA) of 2002, Public Law

107-347. 

NIST is responsible for developing standards and guidelines, including minimum requirements, for providing 

adequate information security for all agency operations and assets, but such standards and guidelines shall not 

apply to national security systems. This guideline is consistent with the requirements of the Office of 

Management and Budget (OMB) Circular A-130, Section 8b(3), Securing Agency Information Systems, as

analyzed in A-130, Appendix IV: Analysis of Key Sections. Supplemental information is provided A-130, 

Appendix III. 

This guideline has been prepared for use by Federal agencies. It may be used by non-governmental 

organizations on a voluntary basis and is not subject to copyright. (Attribution would be appreciated by NIST.) 

Nothing in this document should be taken to contradict standards and guidelines made mandatory and binding 

on Federal agencies by the Secretary of Commerce under statutory authority. Nor should these guidelines be 

interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of the 

OMB, or any other Federal official. 

National Institute of Standards and Technology, Special Publication 800-60 

Natl. Inst. Stand. Technol. Spec. Publ. 800-60, Volume II, 307 pages (June 2004) 

iii
Acknowledgements 

The authors wish to thank their colleagues who reviewed drafts of this document and contributed to its 

development. Special thanks are due to Tanya Brewer-Joneas for her careful and thoughtful review. The 

authors also gratefully acknowledge and appreciate the many comments from the public and private sectors 

whose thoughtful and constructive comments improved the quality and usefulness of this publication. 

iv
Note 

This is Volume II of two volumes. It contains the appendixes to NIST Special Publication 800-60. 

 NIST Special Publication (SP) 800-60 may be used by organizations in conjunction with an emerging family

of security-related publications including:

• FIPS Publication 199, Standards for Security Categorization of Federal Information and Information 

Systems (Pre-publication final), December 2003; 

• NIST SP 800-37, Guide for the Security Certification and Accreditation of Federal Information Systems

(Second public draft), June 2003;

• NIST SP 800-53, Recommended Security Controls for Federal Information Systems, (Initial public draft), 

October 2003. 

• NIST SP 800-53A, Techniques and Procedures for Verifying the Effectiveness of Security Controls in 

Information Systems (Initial public draft), Fall 2004; 

• NIST SP 800-59, Guidelines for Identifying an Information System as a National Security System, August 

2003; and 

• FIPS Publication 200, Minimum Security Controls for Federal Information Systems, (Projected for 

publication, Fall 2005)1

The series of seven documents, when completed, is intended to provide a structured, yet flexible framework for 

selecting, specifying, employing, and evaluating the security controls in Federal information systems—and 

thus, make a significant contribution toward satisfying the requirements of the Federal Information Security

Management Act (FISMA) of 2002. We regret that all seven publications could not be released

simultaneously. However, due to the current international climate and high priority of information security for 

the Federal government, we have decided to release the individual publications as they are completed. While 

the publications are mutually reinforcing and have some dependencies, in most cases, they can be effectively 

used independently of one another. 

The information types and security impact levels in Special Publication 800-60 are based on the OMB Federal 

Enterprise Architecture Program Management Office Business Reference Model 2.0, inputs from participants 

in NIST SP 800-60 workshops, and FIPS 199. Rationale for the example impact level recommendations 

provided in appendixes have been derived from multiple sources, and as such, will require review, 

comment, and modification to achieve consistency in terminology, structure, and content. The prerequisite

role played by security categorization in selection of SP 800-53 security controls, and the importance of 

security controls in the protection of Federal information systems demands early exposure to the community

who will be employing those controls and thus, motivated the release of this document as the earliest 

opportunity. 

 

1

 FIPS Publication 200, Minimum Security Controls for Federal Information Systems, when published in 2005, will 

replace NIST Special Publication 800-53 and become a mandatory standard for Federal agencies in accordance 

with the Federal Information Security Management Act (FISMA) of 2002.

v
[This Page Intentionally Left Blank] 

vi
EXECUTIVE SUMMARY

Title III of the E-Government Act (Public Law 107-347), titled the Federal Information Security 

Management Act (FISMA), tasked the National Institute of Standards and Technology (NIST) to 

develop: 

• Standards to be used by all Federal agencies to categorize all information and information 

systems collected or maintained by or on behalf of each agency based on the objectives 

of providing appropriate levels of information security according to a range of risk levels; 

• Guidelines recommending the types of information and information systems to be 

included in each such category; and 

• Minimum information security requirements (i.e., management, operational, and 

technical controls), for information and information systems in each such category. 

In response to the second of these tasks, this guideline has been developed to assist Federal 

government agencies to categorize information and information systems. The guideline’s 

objective is to facilitate provision of appropriate levels of information security according to a 

range of levels of impact or consequences that might result from the unauthorized disclosure, 

modification, or loss of availability of the information or information system. This guideline 

assumes that the user is familiar with Standards for Security Categorization of Federal 

Information and Information Systems (FIPS 199). The guideline and its appendixes: 

• Review the security categorization terms and definitions established by FIPS 199; 

• Recommend a security categorization process; 

• Describe a methodology for identifying types of Federal information and information 

systems; 

• Suggest provisional security impact levels for common information types; 

• Discuss information attributes that may result in variances from the provisional 

impact level assignment; and 

• Describe how to establish a system security categorization based on the system’s use, 

connectivity, and aggregate information content. 

Types of information can normally be divided into information associated with administrative 

activities common to most agencies and information associated with an agency’s missionspecific activities. In this guideline, administrative, management, and support information is 

referred to as management and support information. This guideline is less prescriptive for 

mission-based information than for administrative and support information because there is 

significantly less commonality of mission information types among agencies than is the case for 

administrative and support information. While specific administrative and support information 

types are identified in this guideline, the treatment of mission-based information focuses on 

general guidelines for identification of information types and assignment of impact levels. 

vii
(Examples of management and support impact assignments are discussed in Appendix C, and 

examples of mission-based impact assignments are discussed in Appendix D.) 

This document is intended as a reference resource rather than as a tutorial. Not all of the 

material will be relevant to all agencies. This document includes two volumes: a basic guideline 

and a volume of appendixes. Users should review the guidelines provided in Volume I, then 

refer to only that specific material from the appendixes that applies to their own systems and 

applications. 

The provisional impact assignments contained in the appendixes are only the first step in impact 

assignment and subsequent risk assessment processes. The impact assignments are not intended 

to be used by auditors as a definitive checklist for information types and impact assignments. 

The basis employed in this guideline for the identification of information types is the Office of 

Management and Budget’s Federal Enterprise Architecture Program Management Office’s June 

2003 publication, The Business Reference Model Version 2.0 (BRM). The BRM describes 

functions relating to the purpose of government (missions, or services to citizens), the 

mechanisms the government uses to achieve its purpose (modes of delivery), the support 

functions necessary to conduct government (support services), and the resource management 

functions that support all areas of the government’s business (management of resources). The 

information types associated with support services and management of resources functions are 

treated as management and support types. (Although the OMB BRM is subject to revision from

time to time, not all BRM changes will result in changes to the information taxonomy employed 

in this guideline.) Some additional information types have been added at the request of Federal 

agencies. Appendix C recommends provisional confidentiality, integrity, and availability 

information categories for each management and support information type and provides 

rationale underlying the provisional impact levels. The information types associated with 

services to citizens and modes of delivery functions are treated as mission-based information. 

Recommended provisional impact levels, underlying rationale, and examples of rationale for 

deviation from the provisional assignments for mission-based information types are provided in 

Appendix D. 

Some information has been established in law, by Executive Order, or by agency regulation as 

requiring protection from disclosure. Appendix E addresses legal and executive sources that 

establish sensitivity and/or criticality (These terms are defined in Appendix A.) characteristics 

for information processed by Federal government departments and agencies. Individual citations 

from the United States Code are listed in the appendix. 

viii
GUIDE FOR MAPPING TYPES OF INFORMATION AND 

INFORMATION SYSTEMS TO SECURITY CATEGORIES 

Volume II: Appendixes 

Table of Contents 

EXECUTIVE SUMMARY ........................................................................................................ vii

APPENDIX A: GLOSSARY OF TERMS..................................................................................1

APPENDIX B: REFERENCES...................................................................................................7

APPENDIX C: MANAGEMENT AND SUPPORT INFORMATION AND 

INFORMATION SYSTEMS IMPACT LEVELS ................................................................9

C.1 Recommended Provisional Impact Levels for Management and Support 

Information Types...................................................................................................................10

C.2 Rationale and Factors for Services Delivery Support Information .................................22

C.2.1 Controls and Oversight ....................................................................................................22 

C.2.1.1 Corrective Action Information Type.........................................................................22 

C.2.1.2 Program Evaluation Information Type......................................................................23 

C.2.1.3 Program Monitoring Information Type.....................................................................25 

C.2.2 Regulatory Development .................................................................................................26 

C.2.2.1 Policy and Guidance Development Information Type..............................................27 

C.2.2.2 Public Comment Tracking Information Type ...........................................................28 

C.2.2.3 Regulatory Creation Information Type .....................................................................29 

C.2.2.4 Rule Publication Information Type...........................................................................30 

C.2.3 Planning and Resource Allocation...................................................................................31 

C.2.3.1 Budget Formulation Information Type .....................................................................31 

C.2.3.2 Capital Planning Information Type...........................................................................33 

C.2.3.3 Enterprise Architecture Information Type ................................................................34 

C.2.3.4 Strategic Planning Information Type ........................................................................35 

C.2.3.5 Budget Execution Information Type.........................................................................37 

C.2.3.6 Workforce Planning Information Type .....................................................................38 

C.2.3.7 Management Improvement Information Type ..........................................................39 

C.2.4 Internal Risk Management and Mitigation ......................................................................40 

C.2.4.1 Contingency Planning Information Type ..................................................................40 

C.2.4.2 Continuity of Operations Information Type..............................................................42 

ix
C.2.4.3 Service Recovery Information Type .........................................................................43 

C.2.5 Revenue Collection ..........................................................................................................45 

C.2.5.1 Debt Collection Information Type ............................................................................45 

C.2.5.2 User Fee Collection Information Type......................................................................46 

C.2.5.3 Federal Asset Sales Information Type ......................................................................47 

C.2.6 Public Affairs...................................................................................................................49 

C.2.6.1 Customer Services Information Type .......................................................................49 

C.2.6.2 Official Information Dissemination Information Type.............................................50 

C.2.6.3 Product Outreach Information Type..........................................................................51 

C.2.6.4 Public Relations Information Type ...........................................................................53 

C.2.7 Legislative Relations........................................................................................................54 

C.2.7.1 Legislation Tracking Information Type ....................................................................54 

C.2.7.2 Legislation Testimony Information Type..................................................................55 

C.2.7.3 Proposal Development Information Type .................................................................56 

C.2.7.4 Congressional Liaison Information Type..................................................................57 

C.2.8 General Government ........................................................................................................59 

C.2.8.1 Central Fiscal Operations Information Type.............................................................59 

C.2.8.2 Legislative Functions Information Type ...................................................................60 

C.2.8.3 Executive Functions Information Type.....................................................................61 

C.2.8.4 Central Property Management Information Type .....................................................62 

C.2.8.5 Central Personnel Management Information Type ...................................................64 

C.2.8.6 Taxation Management Information Type..................................................................65 

C.2.8.7 Central Records and Statistics Management Information Type................................67 

C.2.8.8 Income Information..................................................................................................68 

C.2.8.9 Personal Identity and Authentication Information ...................................................70 

C.2.8.10 Entitlement Event Information...............................................................................72 

C.2.8.11 Representative Payee Information..........................................................................73 

C.3 Rationale and Factors for Government Resource Management Information ................75

C.3.1 Administrative Management............................................................................................75 

C.3.1.1 Facilities, Fleet, and Equipment Management Information Type.............................75 

C.3.1.2 Help Desk Services Information Type ......................................................................78 

C.3.1.3 Security Management Information Type ..................................................................79 

C.3.1.4 Travel Information Type ...........................................................................................81 

C.3.1.5 Workplace Policy Development and Management Information Type (IntraAgency Only) ...........................................................................................................82 

C.3.2 Financial Management.....................................................................................................83 

C.3.2.1 Assets and Liability Management Information Type................................................84 

C.3.2.2 Reporting and Information Information Type...........................................................85 

C.3.2.3 Budget and Finance Information Type......................................................................86 

C.3.2.4 Accounting Information Type...................................................................................88 

C.3.2.5 Payments Information Type ......................................................................................89 

C.3.2.6 Collections and Receivables Information Type ........................................................90 

C.3.3 Human Resources.............................................................................................................91 

x
C.3.3.1 Benefits Management Information Type ..................................................................92 

C.3.3.2 Personnel Management Information Type................................................................93 

C.3.3.3 Payroll Management and Expense Reimbursement Information Type ....................94

C.3.3.4 Resource Training and Development Information Type...........................................96 

C.3.3.5 Security Clearance Management Information Type .................................................97 

C.3.3.6 Staff Recruitment and Employment Information Type.............................................98 

C.3.4 Supply Chain Management..............................................................................................99 

C.3.4.1 Goods Acquisition Information Type .......................................................................99 

C.3.4.2 Inventory Control Information Type.......................................................................101 

C.3.4.3 Logistics Management Information Type ...............................................................103 

C.3.4.4 Services Acquisition Information Type ..................................................................104 

C.3.5 Information and Technology Management....................................................................106 

C.3.5.1 System Development Information Type ...............................................................106 

C.3.5.2 Lifecycle/Change Management Information Type .................................................107 

C.3.5.3 System Maintenance Information Type ..................................................................108 

C.3.5.4 IT Infrastructure Maintenance Information Type ...................................................109 

C.3.5.5 IT Security Information Type..................................................................................111 

C.3.5.6 Record Retention Information Type........................................................................112 

C.3.5.7 Information Management Information Type...........................................................113 

APPENDIX D: IMPACT DETERMINATION FOR MISSION-BASED 

INFORMATION AND INFORMATION SYSTEMS......................................................117

D.1 Defense and National Security...........................................................................................122

D.2 Homeland Security..............................................................................................................123

D.2.1 Border and Transportation Security Information Type .................................................123 

D.2.2 Key Asset and Critical Infrastructure Protection Information Type..............................125 

D.2.3 Catastrophic Defense Information Type........................................................................126 

D.2.4 Executive Functions of the Executive Office of the President (EOP) Information 

Type .............................................................................................................................127 

D.3 Intelligence Operations.......................................................................................................128

D.4 Disaster Management .........................................................................................................130

D.4.1 Disaster Monitoring and Prediction Information Type..................................................130 

D.4.2 Disaster Preparedness and Planning Information Type .................................................131 

D.4.3 Disaster Repair and Restoration Information Type .......................................................133 

D.4.4 Emergency Response Information Type........................................................................134 

D.5 International Affairs and Commerce................................................................................135

D.5.1 Foreign Relations Information Type..............................................................................135 

D.5.2 International Development and Humanitarian Aid Information Type ..........................137 

D.5.3 Global Trade Information Type .....................................................................................139 

xi
D.6 Natural Resources...............................................................................................................141

D.6.1 Water Resource Management Information Type...........................................................141 

D.6.2 Conservation, Marine and Land Management Information Type....................................142 

D.6.3 Recreational Resource Management and Tourism Information Type...........................144 

D.6.4 Agricultural Innovation and Services Information Type ...............................................146 

D.7 Energy ..................................................................................................................................147

D.7.1 Energy Supply Information Type ..................................................................................147 

D.7.2 Energy Conservation and Preparedness Information Type ...........................................149 

D.7.3 Energy Resource Management Information Type.........................................................150 

D.7.4 Energy Production Information Type ............................................................................151 

D.8 Environmental Management .............................................................................................152

D.8.1 Environmental Monitoring and Forecasting Information Type.....................................152 

D.8.2 Environmental Remediation Information Type .............................................................154 

D.8.3 Pollution Prevention And Control Information Type ....................................................155 

D.9 Economic Development ......................................................................................................156

D.9.1 Business and Industry Development Information Type ................................................156 

D.9.2 Intellectual Property Protection Information Type ........................................................157 

D.9.3 Financial Sector Oversight Information Type ...............................................................158 

D.9.4 Industry Sector Income Stabilization Information Type ...............................................160 

D.10 Community and Social Services.......................................................................................161

D.10.1 Homeownership Promotion Information Type............................................................161 

D.10.2 Community and Regional Development Information Type ........................................162 

D.10.3 Social Services Information Type................................................................................163 

D.10.4 Postal Services Information Type................................................................................164 

D.11 Transportation ..................................................................................................................166

D.11.1 Ground Transportation Information Type ...................................................................166 

D.11.2 Water Transportation Information Type......................................................................168 

D.11.3 Air Transportation Information Type ..........................................................................169 

D.11.4 Space Operations Information Type ............................................................................171 

D.12 Education...........................................................................................................................173

D.12.1 Elementary, Secondary, and Vocational Education Information Type .......................173 

D.12.2 Higher Education Information Type............................................................................174 

D.12.3 Cultural and Historic Preservation Information Type .................................................175 

D.12.4 Cultural and Historic Exhibition Information Type.....................................................176 

D.13 Workforce Management...................................................................................................177

D.13.1 Training and Employment Information Type ..............................................................177 

D.13.2 Labor Rights Management Information Type .............................................................178 

D.13.3 Worker Safety Information Type.................................................................................179 

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D.14 Public Health .....................................................................................................................180

D.14.1 Illness Prevention Information Type ...........................................................................181 

D.14.2 Immunization Management Information Type............................................................182 

D.14.3 Public Health Monitoring Information Type ...............................................................183 

D.14.4 Health Care Services Information Type .....................................................................184 

D.14.5 Consumer Health and Safety Information Type .........................................................185 

D.15 Income Security................................................................................................................187

D.15.1 General Retirement and Disability Information Type ................................................187 

D.15.2 Unemployment Compensation Information Type ......................................................188 

D.15.3 Housing Assistance Information Type........................................................................189 

D.15.4 Food and Nutrition Assistance Information Type ......................................................190 

D.15.5 Survivor Compensation Information Type .................................................................191 

D.16 Law Enforcement..............................................................................................................192

D.16.1 Criminal Apprehension Information Type...................................................................193 

D.16.2 Criminal Investigation and Surveillance Information Type ........................................194 

D.16.3 Citizen Protection Information Type ...........................................................................196 

D.16.4 Leadership Protection Information Type .....................................................................197 

D.16.5 Property Protection Information Type .........................................................................198 

D.16.6 Substance Control Information Type...........................................................................200 

D.16.7 Crime Prevention Information Type............................................................................202 

D.16.8 Trade Law Enforcement Information Type .................................................................203 

D.17 Litigation and Judicial Activities.....................................................................................204

D.17.1 Judicial Hearings Information Type ............................................................................204 

D.17.2 Legal Defense Information Type .................................................................................205 

D.17.3 Legal Investigation Information Type .........................................................................207 

D.17.4 Legal Prosecution/Litigation Information Type ..........................................................209 

D.17.5 Resolution Facilitation Information Type....................................................................211 

D.18 Federal Correctional Activities.......................................................................................212

D.18.1 Criminal Incarceration Information Type....................................................................212 

D.18.2 Criminal Rehabilitation Information Type .................................................................213 

D.19 General Sciences and Innovation....................................................................................214

D.19.1 Scientific and Technical Research and Innovation Information Type........................214 

D.19.2 Space Exploration and Innovation Information Type.................................................216 

D.20 Knowledge Creation and Management...........................................................................217

D.20.1 Research and Development Information Type ...........................................................217 

D.20.2 General Purpose Data and Statistics Information Type..............................................218 

D.20.3 Advising and Consulting Information Type ...............................................................220 

D.20.4 Knowledge Dissemination Information Type..............................................................221 

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D.21 Regulatory Compliance and Enforcement ....................................................................222

D.21.1 Inspections and Auditing Information Type ...............................................................222 

D.21.2 Standards Setting/Reporting Guideline Development Information Type...................223 

D.21.3 Permits and Licensing Information Type ...................................................................225 

D.22 Public Goods Creation and Management......................................................................226

D.22.1 Manufacturing Information Type ...............................................................................226 

D.22.2 Construction Information Type...................................................................................227 

D.22.3 Public Resources, Facilities and Infrastructure Management Information Type .......228

D.22.4 Information Infrastructure Management Information Type ........................................229 

D.23 Federal Financial Assistance...........................................................................................231

D.23.1 Federal Grants (Non-State) Information Type............................................................231 

D.23.2 Direct Transfers to Individuals Information Type ......................................................232 

D.23.3 Subsidies Information Type........................................................................................234 

D.23.4 Tax Credits Information Type ....................................................................................235 

D.24 Credit and Insurance .......................................................................................................236

D.24.1 Direct Loans Information Type ..................................................................................236 

D.24.2 Loan Guarantees Information Type ............................................................................237 

D.24.3 General Insurance Information Type ..........................................................................238 

D.25 Transfers to State/Local Governments..........................................................................240

D.25.1 Formula Grants Information Type ..............................................................................240 

D.25.2 Project/Competitive Grants Information Type ...........................................................241 

D.25.3 Earmarked Grants Information Type ..........................................................................242 

D.25.4 State Loans Information Type ....................................................................................243 

APPENDIX E: LEGISLATIVE AND EXECUTIVE SOURCES ESTABLISHING 

SENSITIVITY/CRITICALITY .........................................................................................245

E.1 Legislative Mandates...........................................................................................................245

E.2 Executive Mandates ............................................................................................................282

E.2.1 Office of Management and Budget Memoranda and Guidelines..................................282 

E.2.2 Presidential Directives and Executive Orders................................................................284

E.2.3 Other EOP Guidance ......................................................................................................292 

E.3 OMB and Case Law Interpretations.................................................................................293

xiv
APPENDIX A: GLOSSARY OF TERMS

Agency – Any executive department, military department, government 

corporation, government controlled corporation, or other 

establishment in the executive branch of the government 

(including the Executive Office of the President), or any 

independent regulatory agency, but does not include - 

(i) the General Accounting Office; 

(ii) Federal Election Commission; 

(iii) the governments of the District of Columbia and of the 

territories and possessions of the United States, and their 

various subdivisions; or 

(iv) Government-owned contractor-operated facilities, including 

laboratories engaged in national defense research and 

production activities. 

Authentication – Security control designed to establish the validity of a 

transmission, message, or originator, or a means of verifying an 

individual's authorization to receive specific categories of 

information. 

Authenticity – The property of being genuine and able to be verified and be 

trusted. See authentication. 

Availability – Ensuring timely and reliable access to and use of information. 

Classified 

Information – 

Information that has been determined pursuant to E.O. 13292 or 

any predecessor order to require protection against unauthorized 

disclosure and is marked to indicate its classified status when in

documentary form. 

Command and 

Control – 

The exercise of authority and direction by a properly designated 

commander over assigned and attached forces in the 

accomplishment of the mission. Command and control functions 

are performed through an arrangement of personnel, equipment, 

communications, facilities, and procedures employed by a 

commander in planning, directing, coordinating, and controlling 

forces and operations in the accomplishment of the mission. 

Confidentiality – Preserving authorized restrictions on access and disclosure, 

including means for protecting personal privacy and proprietary 

information. 

1
Counterintelligence – Information gathered and activities conducted to protect against 

espionage, other intelligence activities, sabotage, or assassinations 

conducted by or on behalf of foreign governments or elements 

thereof, foreign organizations, or foreign persons, or international 

terrorist activities. 

Criticality – Refers to the incorrect behavior of a system. The more serious 

the expected direct and indirect effects of incorrect behavior, the 

higher the criticality level. 

Cryptologic – Of or pertaining to cryptology. 

Cryptology – The science that deals with hidden, disguised, or encrypted 

communications. It includes communications security and 

communications intelligence. 

Executive Agency – An executive department specified in 5 U.S.C., Sec. 101; a 

military department specified in 5 U.S.C., Sec.102; an 

independent establishment as defined in 5 U.S.C., Sec. 104(1); or 

a wholly owned government corporation fully subject to the 

provisions of 31 U.S.C., Chapter 91. 

Federal Information 

System – 

An information system used or operated by an executive agency, 

by a contractor of an executive agency, or by another organization 

on behalf of an executive agency. 

Impact – The magnitude of harm that can be expected to result from the 

consequences of unauthorized disclosure of information, 

unauthorized modification of information, unauthorized 

destruction of information, or loss of information or information 

system availability. 

Independent 

Regulatory Agency – 

The Board of Governors of the Federal Reserve System, the 

Commodity Futures Trading Commission, the Consumer Product 

Safety Commission, the Federal Communications Commission, 

the Federal Deposit Insurance Corporation, the Federal Energy 

Regulatory Commission, the Federal Housing Finance Board, the 

Federal Maritime Commission, the Federal Trade Commission, 

the Interstate Commerce Commission, the Mine Enforcement 

Safety and Health Review Commission, the National Labor 

Relations Board, the Nuclear Regulatory Commission, the 

Occupational Safety and Health Review Commission, the Postal 

Rate Commission, the Securities and Exchange Commission, and 

2
any other similar agency designated by statute as a Federal 

independent regulatory agency or commission. 

Individual – A citizen of the United States or an alien lawfully admitted for 

permanent residence. Agencies may, consistent with individual 

practice, choose to extend the protections of the Privacy Act and 

E-Government Act to businesses, sole proprietors, aliens, etc. 

Information 

Resources – 

Information and related resources, such as personnel, equipment, 

funds, and information technology. 

Information Security – Protecting information and information systems from

unauthorized access, use, disclosure, disruption, modification, or 

destruction in order to provide integrity, confidentiality, and 

availability.

Information System – A discrete set of information resources organized for the 

collection, processing, maintenance, use, sharing, dissemination, 

or disposition of information. 

Information 

Technology – 

With respect to an executive agency, any equipment or 

interconnected system or subsystem of equipment that is used in 

the automatic acquisition, storage, manipulation, management, 

movement, control, display, switching, interchange, transmission 

or reception of data or information by the executive agency. For 

purposes of the preceding sentence, equipment is used by an 

executive agency if the equipment is used by the executive 

agency directly or is used by a contractor under a contract with 

the executive agency which 

(i) requires the use of such equipment, or 

(ii) requires the use, to a significant extent, of such equipment in 

the performance of a service or the furnishing of a product. 

The term “information technology” includes computers, 

ancillary equipment, software, firmware and similar 

procedures, services (including support services), and related 

resources. The term “information technology” does not 

include any equipment that is acquired by a Federal 

contractor incidental to a Federal contract. 

Integrity - Guarding against improper information modification or 

destruction, and includes ensuring information non-repudiation 

and authenticity. 

3
Intelligence – (i) the product resulting from the collection, processing, 

integration, analysis, evaluation, and interpretation of 

available information concerning foreign countries or areas; 

or 

(ii) information and knowledge about an adversary obtained 

through observation, investigation, analysis, or 

understanding. The term 'intelligence' includes foreign 

intelligence and counterintelligence.

Intelligence 

Activities –

The term 'intelligence activities' includes all activities that

agencies within the Intelligence Community are authorized to 

conduct pursuant to Executive Order 12333, United States 

Intelligence Activities. 

Intelligence 

Community – 

The term 'intelligence community' refers to the following 

agencies or organizations: 

(i) The Central Intelligence Agency (CIA); 

(ii) The National Security Agency (NSA); 

(iii) The Defense Intelligence Agency (DIA); 

(iv) The offices within the Department of Defense for the 

collection of specialized national foreign intelligence through 

reconnaissance programs; 

(v) The Bureau of Intelligence and Research of the Department 

of State; 

(vi) The intelligence elements of the Army, Navy, Air Force, and 

Marine Corps, the Federal Bureau of Investigation (FBI), the 

Department of the Treasury, and the Department of Energy; 

and 

(vii)The staff elements of the Director of Central Intelligence. 

Mission Critical – Any telecommunications or information system that is defined as 

a national security system (FISMA) or processes any information 

the loss, misuse, disclosure, or unauthorized access to or 

modification of, would have a debilitating impact on the mission 

of an agency. 

National Security 

System – 

Any information system (including any telecommunications 

system) used or operated by an agency or by a contractor on 

behalf of an agency, or any other organization on behalf of an 

agency – 

(i) the function, operation, or use of which: involves intelligence 

activities; involves cryptologic activities related to national 

security; involves command and control of military forces; 

4
involves equipment that is an integral part of a weapon or 

weapon system; or is critical to the direct fulfillment of 

military or intelligence missions (excluding a system that is 

to be used for routine administrative and business 

applications, for example payroll, finance, logistics, and 

personnel management applications); or 

(ii) is protected at all times by procedures established by an 

Executive order or an Act of Congress to be kept classified in 

the interest of national defense or foreign policy. 

Non-repudiation – Assurance that the sender of information is provided with proof of 

delivery and the recipient is provided with proof of the sender’s 

identity, so neither can later legitimately deny having processed, 

stored, or transmitted the information. 

Privacy Impact 

Assessment (PIA) –

An OMB-mandated analysis of how information is handled: 

(i) to ensure handling conforms to applicable legal, regulatory, 

and policy requirements regarding privacy, 

(ii) to determine the risks and effects of collecting, maintaining 

and disseminating information in identifiable form in an 

electronic information system, and 

(iii) to examine and evaluate protections and alternative processes 

for handling information to mitigate potential privacy risks. 

Public Information – Any information, regardless of form or format that an agency 

discloses, disseminates, or makes available to the public. 

Risk – As used in this guideline, the term 'risk' means a combination of: 

(i) the likelihood that a particular vulnerability in an agency 

information system will be either intentionally or

unintentionally exploited by a particular threat resulting in a 

loss of confidentiality, integrity, or availability, and 

(ii) the potential impact or magnitude of harm that a loss of 

confidentiality, integrity, or availability will have on agency 

operations (including mission, functions, and public 

confidence in the agency), an agency’s assets, or individuals 

(including privacy) should there be a threat exploitation of 

information system vulnerabilities. 

Security Category – The characterization of information or an information system

based on an assessment of the potential impact that a loss of 

confidentiality, integrity, or availability of such information or 

information system would have on an agency’s assets or 

5
operations (including mission, functions, and public confidence in 

the agency).

Security Controls – The management, operational, and technical controls (safeguards 

or countermeasures) prescribed for an information system which, 

taken together, satisfy the system’s specified security 

requirements and adequately protect the confidentiality, integrity, 

and availability of the system and its information. 

Security Objectives – Confidentiality, integrity, and availability. 

Sensitivity – Used in this guideline to mean a measure of the importance 

assigned to information by its owner, for the purpose of denoting 

its need for protection. 

System – A generic term used for brevity to mean either a major application 

or a general support system (see NIST SP 800-18). 

Telecommunications – The transmission, between or among points specified by the user, 

of information of the user's choosing, without change in the form

or content of the information as sent and received. 

Threat – Any circumstance or event with the potential to intentionally or 

unintentionally exploit a specific vulnerability in an information 

system resulting in a loss of confidentiality, integrity, or 

availability.

Vulnerability – A flaw or weakness in the design or implementation of an 

information system (including security procedures and security 

controls associated with the system) that could be intentionally or 

unintentionally exploited to adversely affect an agency’s 

operations (including missions, functions, and public confidence 

in the agency), an agency’s assets, or individuals (including 

privacy) through a loss of confidentiality, integrity, or 

availability.

Weapons System – A combination of one or more weapons with all related 

equipment, materials, services, personnel, and means of delivery 

and deployment (if applicable) required for self-sufficiency. 

6
APPENDIX B: REFERENCES

United States Office of Management and Budget, Federal Enterprise Architecture Program

Management Office, Business Reference Model 2.0, June 2003. 

United States Department of Commerce, National Institute of Standards and Technology, Special 

Publication 800-34, Contingency Planning Guide for Information Technology Systems, June 

2002. 

H.R. 2458 [Public Law 107-347], 107th U.S. Cong., 2d Sess., E-Government Act of 2002, 

December 17, 2002. 

H.R. 2458, Title III [Public Law 107-347], 107th U.S. Cong., 2d Sess., Federal Information 

Security Management Act of 2002, December 17, 2002. 

United States Department of Commerce, National Institute of Standards and Technology, Special 

Publication 800-18, Guide for Developing Security Plans for Information Technology Systems, 

December 1998. 

United States Department of Commerce, National Institute of Standards and Technology, Special 

Publication 800-37, Guide for the Security Certification and Accreditation of Federal 

Information Systems, Version 2.0, June 2003 draft. 

S. 1124, Division E [Public Law 104-106], 104th U.S. Cong., 2d Sess., Information Technology 

Management Reform Act of 1996, February 10, 1996. 

United States Office of Management and Budget, OMB Guidance for Implementing the Privacy 

Provisions of the E-Government Act of 2002, September 29, 2003. 

S. 244 [Public Law 104-13], 104th U.S. Cong., 1t Sess., Paperwork Reduction Act of 1995, May 

22, 1995. 

S. 3418 [5 U.S.C. § 552A through Public Law 93-579], 93rd U.S. Cong., 2d Sess., The Privacy 

Act of 1974, December 31, 1974 (effective September 27, 1975). 

Executive Office of the President, Presidential Decision Directive 63, Protecting America’s 

Critical Infrastructures, May 22, 1998. 

United States Department of Commerce, National Institute of Standards and Technology, Special 

Publication 800-53, Recommended Security Controls for Federal Information Systems, Version 

1.9, October 2003. 

7
United States Department of Commerce, National Institute of Standards and Technology, Special 

Publication 800-30 Rev. A, Risk Management Guide for Information Technology Systems, 

January 2004 draft. 

United States Office of Management and Budget, Circular No. A-130, Appendix III, Security of 

Federal Automated Information Resources, February 1996. 

United States Department of Commerce, National Institute of Standards and Technology, Special 

Publication 800-26, Security Self-Assessment Guide for Information Technology Systems, 

November 2001. 

United States Department of Commerce, National Institute of Standards and Technology, 

Federal Information Processing Standards Publication 199, Standards for Security Categorization 

of Federal Information and Information Systems, December 2003. 

H.R. 3162, Titles VII and Title IX [Public Law 107-56], 107th U.S. Cong., 1t Sess., The USA 

PATRIOT Act of 2001, October 26, 2001. 

8
APPENDIX C: MANAGEMENT AND SUPPORT INFORMATION AND 

INFORMATION SYSTEMS IMPACT LEVELS

Much Federal government information and many systems are not employed directly to provide 

services to citizens, but are primarily intended to provide administrative or business services that 

support mission accomplishment. Section 5, “Impact Levels by Type for Management and 

Support Information,” suggests a set of information types for management and support

information and recommended provisional security categories. As stated in Section 5, the source 

used for the identification of information types is the Office of Management and Budget’s 

Federal Enterprise Architecture Program Management Office June 2003 publication, The

Business Reference Model Version 2.0 (BRM). 

Some of the management and support functions executed to support delivery of services or 

manage government resources are also executed by some agencies in delivering services to 

citizens. (See especially the “General Government” line of business.) Most of these information 

types could be included in Appendix D as mission-based information types. Because the BRM 

categorizes them as services delivery support functions, they are included in Section 5 and 

Appendix C. In order to reduce repetition, they are not repeated in Appendix D. 

Appendix C.1, “Recommended Provisional Impact Levels for Management and Support 

Information Types,” documents impact levels for information types identified in Section 5. 

These are provisional levels, subject to review and modification by agency stakeholders. 

Provisional impact assignments are only the first step in impact assignment and are reviewed in 

the subsequent risk assessment processes. They are not designed to be used by auditors as a 

definitive checklist for information types and impact assignments. 

Most information systems employed in both direct service and administrative/management 

support activities perform one or more of the service delivery support functions described in 

Appendix C.2, “Rationale and Factors for Services Delivery Support Information.” These 

service support functions are the day-to-day activities necessary to the organizations that provide

services to the general population and administrative/management services to government 

departments and agencies responsible for the provision of those services. As in the case of 

administrative/business information and information systems, the security objectives and impacts 

are determined by the direct service missions and constituencies ultimately being supported. It is 

likely that all Federal government information systems store, process, and operate under the 

control of information technology (IT) infrastructure maintenance information (e.g., password 

files and file and network access settings). At least a basic set of security controls will apply to 

this set of information and processes in order to combat potential corruption, misuse, or abuse of 

system information and processes. 

Information necessary to conduct administrative or business services that support mission 

accomplishment includes the government resource management information types described in 

Appendix C.3, “Rationale and Factors for Government Resource Management Information.” All 

9
of the departments and agencies performing direct service functions are supported by 

information systems that perform the activities described in Appendix C.3. Many departments 

and agencies operate their own support systems. Others obtain at least some support services 

from other organizations. Some agencies’ missions are primarily to support other government 

departments and agencies in the conduct of direct service missions. As indicated above, security 

objectives and impacts for administrative and management information and systems are 

determined by the natures of the supported direct services and constituencies being supported. 

Much of the discussion of factors affecting assignment of impact level is common to many 

information types. Because this guideline is intended as a reference document, and it is 

anticipated that most users will refer only to one or a few information types of interest, several 

common or similar observations appear with each information type to which they are 

appropriate. Some impact factors common to all information types are discussed in Section 3.5. 

C.1 Recommended Provisional Impact Levels for Management and Support 

Information Types 

Table 3 summarizes provisional impact level recommendations for administrative, management, 

and service information. 

Provisional impact levels are recommended for each security objective (confidentiality, integrity, 

availability) for each management and support Federal government information type. The 

confidentiality, integrity, and assurance impact levels define the security category of each 

information type. 

Most government information systems access, process, and/or disseminate more than one class 

of information. Security objectives and impacts associated with all of the types of information 

and processes served by the information system need to be considered in determining the 

system’s information security requirements. 

Each information type may include one or more elements. For example, benefits management 

information includes employee identification information, benefit plan information for insurance 

and other products, cost information, claims and reimbursement policy information, claims

procedures, etc. 

In some cases, different impact levels are appropriate for different information elements. For 

example, elements of program monitoring information relating to remediation of information 

security vulnerabilities may have a different impact level than elements of program monitoring 

information relating to an office furniture upgrade. 

Each agency that processes an information type may process a distinct combination of elements. 

The authority and responsibilities assigned to each agency that processes an information type can 

10
affect the actual impact level associated with the information within the context of that agency’s 

operations. 

In Table 3, the existence of exceptions to provisional impact assignments are flagged by 

displaying impact assignments in a gray font [gray font]. 

Appendixes C.2 and C.3 identify information elements and contexts that may result in variances 

from the basic impact level assignment. For example, some systems process information the 

compromise of which affect national security, critical infrastructures, or key national assets. 

Impacts associated with such systems are either outside the scope of this document (i.e., national 

security information) or may need to be adjusted upward based on the more severe consequences 

of compromises. 

Many of the information types are also lifecycle-dependent. That is, information that requires 

protection at one stage in system development or operational use of the information is publicly 

accessible at a later stage or following some event. For example, information that has

confidentiality attributes during the period that an agency is using it to make a decision may be 

public knowledge once the decision has been made (e.g., financial/budgetary information used 

during development of requests for proposals in procurement actions). 

11
Table 3: Type-based Impacts for Federal Information and Information Systems

Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

Controls and Oversight Used to ensure that the operations and programs 

of the Federal government and its external business partners comply with applicable laws and regulations and prevent waste, fraud, and abuse. 

 Corrective Action Supports the enforcement functions necessary 

to remedy programs that have been found non-compliant with a given law, regulation, or policy. 

Low Low 

 Program Evaluation Supports the analysis of internal and external 

program effectiveness and the determination of corrective actions as appropriate. 

Low Low 

 Program Monitoring Supports the data-gathering activities required 

to determine the effectiveness of internal and external programs and the extent to which they comply with applicable laws, regulations, and policies. 

Low Low 

Regulatory Development Supports activities associated with providing input 

to the lawmaking process in developing regulations, policies, and guidance to implement laws. 

 Policy and Guidance Development Supports the creation and dissemination of 

guidelines to assist in the interpretation and implementation of regulations. 

Low Low 

 Public Comment Tracking Supports the activities of soliciting, 

maintaining, and responding to public comments regarding proposed regulations.

Low Low 

 Regulatory Creation Supports the activities of researching and

drafting proposed and final regulations. 

Low Low 

 Rule Publication Supports all the activities associated with the 

publication of a proposed or final rule in the Federal Register and Code of Federal 

Low Low 

12
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

Regulations. 

Planning and Resource Allocation Supports the activities of determining strategic 

direction, identifying and establishing programs and processes to enable change, and allocating resources among those programs and processes. 

 Budget Formulation Supports all activities undertaken to determine 

priorities for future spending and to develop an itemized forecast of future funding and expenditures during a targeted period of time. 

Low Low 

 Capital Planning Supports the processes for ensuring that 

appropriate investments are selected for capital expenditures. 

Low Low 

 Enterprise Architecture Supports an established process for describing 

the current state and defining the target state and transition strategy for an organizations people, processes, and technology. 

Low Low 

 Strategic Planning Supports the determination of long-term goals 

and the identification of the best approach for achieving those goals. 

Low Low 

 Budget Execution Supports the day-to-day requisitions and 

obligations for agency expenditures, invoices, billing dispute resolution, reconciliation, service level agreements, and distributions of shared expenses. 

Low Low 

 Workforce Planning Supports the processes for identifying the 

workforce competencies required to meet the agency’s strategic goals and for developing the strategies to meet these requirements. 

Low Low 

 Management Improvement Supports all efforts to gauge the ongoing 

efficiency of business processes and identify opportunities for reengineering or restructuring. 

Low Low 

13
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

 Internal Risk Management and  Mitigation

Supports all activities relating to the processes of analyzing exposure to risk and determining appropriate counter-measures. 

 Contingency Planning Supports the actions required to plan for, 

respond to, and mitigate damaging events. 

Moderate Moderate 

 Continuity of Operations Supports the activities associated with the 

identification of critical systems and processes, and the planning and preparation required to ensure that these systems and processes will be available in the event of a catastrophic event. 

Moderate Moderate 

 Service Recovery Supports the internal actions necessary to

develop a plan for resuming operations after a catastrophe occurs, such as a fire or earthquake. 

Low Low 

Revenue Collection Collection of Government income from all sources.  Debt Collection Supports activities associated with the 

collection of money owed to the United States government from both foreign anddomestic sources. 

Moderate Low 

 User Fee Collection Supports the collection of fees assessed on 

individuals or organizations for the provision of Government services and for the use ofGovernment goods or resources. 

Low Low 

 Federal Asset Sales Supports the activities associated with the 

acquisition, oversight, tracking, and sale of non-internal assets managed by the Federal Government with a commercial value and sold to the private sector. 

Low Moderate 

Public Affairs Supports activities involving the exchange of 

information and communication between the Federal government, citizens and stakeholders in 

14
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

direct support of citizen services, public policy, and/or national interest. 

 Customer Services Supports activities associated with providing 

and managing the delivery of information and support to the government’s customers. 

Low Low 

 Official Information Dissemination Supports efforts to provide official 

government information to externalstakeholders through the use of various types of media. 

Low Low 

 Product Outreach Supports the marketing of government 

services products, and programs to the general public in an attempt to promote awareness and increase the number of customers/beneficiaries of those services and programs. 

Low Low 

 Public Relations Supports the efforts to promote an 

organization’s image through the effectivehandling of citizen concerns. 

Low Low 

Legislative Relations Supports activities aimed at the development, 

tracking, and amendment of public laws through the legislative branch of the Federal government. 

 Legislation Tracking Supports following legislation from conception 

to adoption. Low Low 

 Legislation Testimony Supports activities associated with providing 

testimony/evidence in support of, oropposition to, legislation from conception to adoption. 

Low Low 

 Proposal Development Supports drafting proposed legislation that

creates or amends laws subject to Congressional legislative action. 

Moderate Low 

15
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

 Congressional Liason Supports all activities associated with 

supporting the formal relationship between aFederal Agency and the U.S. Congress. 

Moderate Low 

General Government Supports the general overhead costs of the Federal

government, including legislative and executive activities; provision of central fiscal, personnel, and propertyactivities; and the provision of services that cannotreasonably be classified in any other service support area. 

 Central Fiscal Operations Supports the fiscal operations performed by 

designated organization(s) on behalf of the Government.2

Moderate Low 

 Legislative Functions Supports the service support activities associated

with costs of the Legislative Branch other than the Tax Court, the Library of Congress, and the Government Printing Office revolving fund. 

Low Low 

 Executive Functions3 Supports the operations of the executive office. Low Low  Central Property Management Supports most of the operations of the General 

Services Administration. 

Low4 Low5 

Central Personnel Management Supports most of the operating activities of the 

Office of Personnel Management and related agencies. 

Low Low 

 Taxation Management Supports activities associated with the 

implementation of the Internal Revenue Code and the collection of taxes in the United States and abroad. 

Moderate Low 

2 Tax-related functions are associated with the Taxation Management information type. 3 The OMB Business Reference Model “Executive Function has been expanded to include general agency executive functions as well a

President (EOP) functions. Strictly EOP executive functions are treated in Appendix D, Examples of Impact Determination for Miss

and Information Systems. 

4 High where safety of major critical infrastructure components or key national assets is at stake. 5 Moderate or High in emergency situations where time-critical processes affecting human safety or major assets are involved. 

16
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

 Central Records and Statistics  Management 

Supports the operations surrounding the management of official documents, statistics, and records for the entire Federal government. 

Moderate Low 

 Income Information Supports all the wages, self employment

earnings, savings type data and other financial resources information that is needed to helpdetermine the amount of Retirement, Survivor, or Disability benefits that individuals may be entitled to receive or not receive from theSupplementary Security Income or RSDI Title IIPrograms. 

Moderate Moderate 

 Personal Identity and Authentication Information necessary to ensure that all 

persons who are potentially entitled to receive any federal benefit are enumeratedand identified so that Federal agencies can have reasonable assurance that they are payingor communicating with the right individuals. 

Moderate Moderate 

 Entitlement Event Information Information about events such as death and 

date of occurrence, date of a disabling event and the relating data that can reasonably prove the severity of such disability, proof of age for retirement benefits, birth and relationship of spouse and/or children who may be entitled to benefits only as auxiliaries of the primary beneficiary, and other related information needed to process a claim for benefits. 

Moderate Moderate 

 Representative Payee Information Information required to determine the need 

for representative payees and the data that is gathered to make the determination of who should serve as the representative payee for all beneficiaries of federal benefits who areunable to manage their own funds. 

Moderate Moderate 

17
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

Administrative Management Supports the day-to-day management and 

maintenance of the internal infrastructure. 

 Facilities, Fleet, and Equipment  Management

Supports the maintenance, administration, and operation of offices buildings, fleets, machinery, and other capital assets considered as possessions of the Federal government.

Low4 Low5 

 Help Desk Services Supports the management of a service center 

to respond to government employees' technical and administrative questions. 

Low Low 

 Security Management Supports the physical protection of an

organization’s personnel, assets, and facilities. Moderate Moderate 

 Travel Supports the activities associated with 

planning, preparing, and monitoring of business related travel for an organization’s employees. 

Low Low 

 Workplace Policy Development and  Management 

Supports all activities required to develop and disseminate workplace policies such as dress codes, time reporting requirements, telecommuting, etc. 

Low Low 

Financial Management Supports the aggregate set of accounting practices 

and procedures that allow for the accurate, efficient, transparent, and effective handling of all government revenues, funding, and expenditures. 

 Asset & Liability Management Provides accounting support for the 

management of assets and liabilities of the Federal government. 

Low Low 

 Reporting & Information Provides financial information, reporting and 

analysis of financial transactions. Low Moderate 

 Budget & Finance Supports the management of the Federal

budget process including the development of plans and programs, budgets, and performanceoutputs and outcomes as well as financingFederal programs and operations through 

Moderate Moderate 

18
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

appropriation and apportionment of direct and reimbursable spending authority, fund transfers, investments and other financing mechanisms. 

 Accounting Supports accounting for assets, liabilities, fund 

balances, revenues and expenses associatedwith the maintenance of Federal funds and expenditure of Federal appropriations (Salaries and Expenses, Operation and Maintenance, Procurement, Working Capital, Trust Funds, etc.), in accordance with applicable Federal standards. 

Low Moderate 

 Payments Supports disbursements of Federal funds, via a 

variety of mechanisms, to Federal and private individuals, Federal agencies, state, local and international Governments, and the private sector, to effect payment for goods and services, or distribute entitlements, benefits, grants, subsidies, loans, or claims. 

Low Moderate 

Collections and Receivables Includes deposits, fund transfers, and receipts for

sales or service. Low Moderate 

Human Resources Supports all activities associated with the 

recruitment and management of personnel. 

 Benefits Management Supports the administration of entitled benefits 

for federal personnel such as retirement, medical, disability, and insurance. 

Low Low 

Personnel Management Supports the general management of the federal 

workforce, including functions such as personnel action processing, employee tracking, position classification and management, discipline/grievance, advancement and awards, and labor relations. 

Low Low 

19
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

 Payroll Management and Expense  Reimbursement

Supports the administration and determination of federal employee compensation. 

Low Low 

Resource Training and Development Supports the active building of capacities in staff

members through formal education, technical training, or other means of education. 

Low Low 

 Security Clearance Management Supports the processes associated with ensuring 

employees, contractors, and others have been approved to enter Federal buildings, utilize Federal services, and access sensitive information. 

Low Moderate 

 Staff Recruitment and Employment Supports the active marketing and hiring of 

personnel to fill opportunities and vacancies within an organization. 

Low Low 

Supply Chain Management Supports the purchasing, tracking, and overall 

management of goods and services. 

 Goods Acquisition Supports the procurement of physical goods, 

products, and capital assets to be used by the Federal government. 

Low Low 

 Inventory Control Supports the tracking of information related 

to procured assets and resources with regards to quantity, quality, and location. 

Low Low 

 Logistics Management Supports the planning and tracking of 

personnel and their resources in relation to their availability and location. 

Low Low 

 Services Acquisition Supports the oversight and/or management of

contractors and service providers from the private sector. 

Low Low 

Information & Technology Management Supports the coordination of information 

technology (IT) resources and systems required to support or enable a citizen service. 

 System Development Supports all activities associated with the inhouse design and development of software

applications. 

Low Moderate 

20
Security Categorization of Service Delivery Support Information

Confidentiality Integrity 

 Lifecycle/Change Management Supports the processes that facilitate a 

smooth evolution, composition, and workforce transition of the design and implementation of changes to agency resources such as assets, methodologies, systems, or procedures. 

Low Moderate 

 System Maintenance Supports all activities associated with the 

maintenance of in-house designed software applications. 

Low Moderate 

 IT Infrastructure Maintenance Supports the planning, design, implementation, 

and maintenance of an IT Infrastructure to effectively support automated needs. 

System High Moderate 

 IT Security Supports all functions pertaining to the

securing of Federal data and systems through the creation and definition of security policies, procedures and controls. 

Low Moderate 

 Record Retention Supports the operations surrounding the

management of the official documents and records for an agency. 

Low Low 

 Information Management Supports the coordination of information

collection, storage, and dissemination, and destruction as well as managing the policies, guidelines, and standards regarding information management. 

System High Moderate 

21
C.2 Rationale and Factors for Services Delivery Support Information 

Services delivery support functions provide the critical policy, programmatic, and managerial 

foundation to support Federal government operations. Security objectives and impact levels for 

service delivery support information and systems are generally determined by the natures of the 

supported direct services and constituencies being supported. If a system stores, processes, or 

communicates national security information, it is defined as a national security system, and is 

outside the scope of this guideline.6

 Service delivery support activities are defined in this 

section. 

C.2.1 Controls and Oversight 

Controls and Oversight information is used to ensure that the operations and programs of the 

Federal government and its external business partners comply with applicable laws and 

regulations and prevent waste, fraud, and abuse. 

C.2.1.1 Corrective Action Information Type 

Corrective Action involves the enforcement functions necessary to remedy programs that have

been found non-compliant with a given law, regulation, or policy. The recommended security 

categorization for the corrective action information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of corrective action 

information on the ability of responsible agencies to remedy internal or external programs that 

have been found non-compliant with a given law, regulation, or policy. Unauthorized disclosure 

of most corrective action information should have only a limited adverse effect on agency 

operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will probably be personal information subject to the Privacy Act of 1974 or 

information that is proprietary to a corporation or other organization. Such information will often 

be assigned a moderate confidentiality impact level. The Privacy Act Information provisional 

 

6 A national security system is any information system (including any telecommunications system) used or operated 

by an agency or by a contractor on behalf of an agency, or any other organization on behalf of an agency – (i) the

function, operation, or use of which: involves intelligence activities; involves cryptologic activities related to 

national security; involves command and control of military forces; involves equipment that is an integral part of a

weapon or weapon system; or is critical to the direct fulfillment of military or intelligence missions (excluding a 

routine administrative or business applications system used for applications such as payroll, finance, logistics, and 

personnel management); or (ii) that processes classified information. 

22
impact levels are documented in the Personal Identity and Authentication information type. 

Additionally, there are legislative mandates prohibiting unauthorized disclosure of trade secrets. 

Trade secrets will generally be assigned a moderate confidentiality impact level. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for corrective action information is low. 

Integrity 

The consequences of undetected unauthorized modification or destruction of corrective action 

information can conceivably compromise the effectiveness of compliance enforcement actions 

(e.g., by providing violators with a basis for claiming investigative or enforcement irregularities, 

thus supporting legal challenges to proposed corrective actions). The integrity impact level is 

based on the specific mission and the data supporting that mission, not on the time required to 

detect the modification or destruction of information. Unauthorized modification or destruction 

of most corrective action information should have only a limited adverse effect on agency 

operations, assets, or individuals. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

corrective action information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the corrective action information. The 

availability impact is also dependent on whether the data is time-critical. In most cases, 

disruption of access to corrective action information can be expected to have only a limited 

adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

corrective action information is low. 

C.2.1.2 Program Evaluation Information Type

Program Evaluation involves the analysis of internal and external program effectiveness and the 

determination of corrective actions as appropriate. The impact levels should be commensurate 

with the impact levels of the program that is being evaluated. For example, if the program

contains very sensitive financial data with moderate impact levels for confidentiality and 

integrity, the program evaluation impact levels for confidentiality and integrity should also be 

moderate. The recommended security categorization for the program evaluation information type 

is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

23
Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of program evaluation 

information on the abilities of responsible agencies to analyze internal and external program

effectiveness and to determine appropriate corrective actions. The confidentiality impact of

program evaluation information is largely event-driven. Once the evaluation has been reported, 

most program evaluation information is in the public domain. However, premature unauthorized 

disclosure of program evaluation information can alert personnel associated with programs under 

evaluation to the focus and preliminary findings of investigative and evaluation activities. 

Special Factors Affecting Confidentiality Impact Determination: Where a major programs or human 

safety is at stake, actions taken based on unauthorized disclosure of program evaluation 

information can pose a threat to human life or a loss of major assets. In such cases, the 

confidentiality impact is high. Unauthorized disclosure of most program evaluation information 

often has the potential to seriously affect agency operations. Also, some program evaluation 

information, particularly in the case of current investigations, includes personal information 

subject to the Privacy Act of 1974 and/or information that is proprietary to a corporation or other 

organization. The Privacy Act Information provisional impact levels are documented in the 

Personal Identity and Authentication information type. Additionally, there are legislative 

mandates prohibiting unauthorized disclosure of trade secrets. Trade secrets will generally be 

assigned a moderate confidentiality impact level. If the program evaluation information is 

moved to the public domain, the confidentiality impact level becomes Not Applicable (NA). 

 

Recommended Confidentiality Impact Level: Because there are many cases in which unauthorized 

disclosure of program evaluation information will have only a limited adverse effect on agency 

operations, assets, or individuals, the provisional confidentiality impact level recommended for 

program evaluation information is low. 

Integrity 

The consequences of undetected unauthorized modification or destruction of program evaluation 

information can compromise the effectiveness of an evaluation program (e.g., by providing false 

information intended to mislead investigators or evaluators or to give program personnel a basis 

for claiming investigative or evaluative irregularities). The integrity impact level is based on the 

specific mission and the data supporting that mission, not on the time required to detect the 

modification or destruction of information. Although there are time-sensitive exceptions, 

unauthorized modification or destruction of most program evaluation information should have 

only a limited adverse effect on agency operations, assets, or individuals. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

program evaluation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the program evaluation information. 

24
Although there are time-sensitive exceptions, most program evaluation processes are tolerant of 

reasonable delays. In most cases, disruption of access to program evaluation information can be

expected to have only a limited adverse effect on agency operations, agency assets, or 

individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

program evaluation information is low. 

 C.2.1.3 Program Monitoring Information Type

Program Monitoring involves the data-gathering activities required to determine the 

effectiveness of internal and external programs and the extent to which they comply with related 

laws, regulations, and policies. The impact levels should be commensurate with the impact levels 

of the programs that are being monitored. For example, if a program contains very sensitive 

financial data with moderate impact levels for confidentiality and integrity, the program

monitoring impact levels for confidentiality and integrity should also be moderate. Subject to 

exception conditions described below, the recommended security categorization for the program 

monitoring information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of program monitoring 

information on the ability of responsible agencies to perform data-gathering activities required to 

determine the effectiveness of internal and external programs and the extent to which they 

comply with related laws, regulations, and policies. 

Special Factors Affecting Confidentiality Impact Determination: There are legislative mandates 

prohibiting unauthorized disclosure of trade secrets. Trade secrets will generally be assigned a 

moderate confidentiality impact level. Note that national security information and national 

security systems are outside the scope of this guideline. Otherwise, where the data being 

collected belongs to one of the information types described in this guideline, the confidentiality 

impact assigned the data and system is that of the highest impact information type collected. 

Unauthorized disclosure of program monitoring information can alert personnel associated with 

programs being monitored to the focus and implications of monitoring activities. Where a major 

programs or human safety is at stake, actions taken based on unauthorized disclosure of program

monitoring information can pose a threat to human life or a loss of major assets. In such cases, 

the confidentiality impact is high. If the program monitoring information is moved to the public 

domain, the confidentiality impact level becomes Not Applicable (NA). 

 

Recommended Confidentiality Impact Level: Although there are many circumstances in which 

serious adverse effects on agency operations, agency assets, or individuals can result to justify a

moderate base confidentiality impact level for program monitoring information, in most Federal 

environments, unauthorized disclosure will have only a limited adverse effect on agency 

25
operations, assets, or individuals. Consequently, for most systems, a low provisional 

confidentiality impact level is recommended for program monitoring information. 

Integrity 

The consequences of unauthorized modification or destruction of program monitoring 

information can compromise the effectiveness of the monitoring program. Although there may 

be time-sensitive program monitoring situations, the integrity impact level is based on the 

specific mission and the data supporting that mission, not on the time required to detect the 

modification or destruction of information. The damage likely to be caused by unauthorized 

modification or destruction of program monitoring information may have consequent serious 

adverse effects on agency operations or public confidence in the agency. 

Special Factors Affecting Integrity Impact Determination: The consequences can be particularly 

serious if the destruction or modification of monitoring information invalidates evaluation results 

concerning major programs or concerning threats to human safety. The integrity impact 

resulting from unauthorized modification or deletion of program monitoring information depends 

in part on the nature of the laws or policies with which compliance is being determined and in 

part on the criticality of the processes being monitored. For example, in the case of safety 

regulations affecting manned space flight, the integrity impact level may be high. 

Recommended Integrity Impact Level: There are some regulatory environments in which a high or 

moderate impact level is appropriate. For most compliance monitoring information, the 

recommended provisional integrity impact level is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the program monitoring information. 

Although there may be time-sensitive program monitoring situations, more typically, disruption 

of access to program monitoring information will have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: There are a limited number of compliance 

monitoring operations for which temporary loss of availability is likely to significantly degrade 

mission capability, place the agency at a significant disadvantage, result in loss of major assets, 

or pose a threat to human life. This can result in assignment of a moderate impact level to such 

information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

program monitoring information is low.

C.2.2 Regulatory Development 

Regulatory Development involves activities associated with providing input to the 

lawmaking process in developing regulations, policies, and guidance to implement laws. 

26
C.2.2.1 Policy and Guidance Development Information Type 

Policy and Guidance Development involves the creation and dissemination of guidelines to assist 

in the interpretation and implementation of regulations. In most cases, the effect on public 

welfare of a loss of policy and guidance development mission capability can be expected to be

delayed rather than immediate. As a result, the potential for consequent loss of human life or of 

major national assets is relatively low, since these most catastrophic consequences of impairment 

to mission capability can, in most cases, be corrected before they are fully realized. The 

recommended security categorization for the policy and guidance development information type 

is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of policy and guidance 

information on the ability of responsible agencies to create and disseminate guidelines to assist in 

the interpretation and implementation of regulations. The confidentiality impact of policy and 

guidance information is largely event-driven. Once a policy or guidance statement has been 

promulgated, most policy and guidance information is in the public domain. However, 

premature unauthorized disclosure of candidate policy and guidance material can result in 

disruption of (and inappropriate influence of special interests on) the policy development 

process. 

Special Factors Affecting Confidentiality Impact Determination: The effects of loss of confidentiality

of guidelines during the formative stage can result in attempts by affected entities and other 

interested parties to influence and/or impede the policy and guideline development process. 

Premature public release of formative policies and guidelines before internal coordination and 

review can result in unnecessary damage to public confidence in the agency. This is particularly 

likely where the release includes unedited internal commentary and discussion. Delays can 

impair an agency’s mission, but loss of public confidence can do serious and persistent harm to 

an agency’s ability to effectively perform its mission. In such cases, the provisional 

confidentiality impact level recommended for policy and guidance development information is 

moderate. When the policy and guidance information is in the public domain, the confidentiality 

impact level becomes Not Applicable (NA). 

 

Recommended Confidentiality Impact Level: Although there are cases in which unauthorized and 

premature disclosure of policy and guidance information can result in serious consequences for 

an agency, most of this information is intended to be available to the general public. 

Consequently, the provisional confidentiality impact level recommended for policy and guidance 

development information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

27
Special Factors Affecting Integrity Impact Determination: Some policy and guidance information is 

time-critical. Unauthorized modification or destruction of information affecting external 

communications that contain policy and guidance development information (e.g., web pages, 

electronic mail) may adversely affect operations or public confidence in the agency, but the 

damage to the mission would usually be limited. Public confidence consequences can be 

expected to be much more serious in cases of agencies that have national defense, intelligence, or 

information security missions. In such cases, the impact may be at least moderate. 

Recommended Integrity Impact Level: The provisional integrity level recommended for policy and 

guidance development information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the policy and guidance development 

information. Though some policy and guidance information is time-critical, the policy and 

guidance development process is usually tolerant of delays. 

Recommended Availability Impact Level: the provisional availability impact level recommended for 

policy and guidance development information is low. 

C.2.2.2 Public Comment Tracking Information Type 

Public Comment Tracking involves the activities of soliciting, maintaining, and responding to 

public comments regarding proposed regulations. Subject to exception conditions described 

below, the recommended security categorization for the public comment tracking information 

type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of public comment 

tracking information on the ability of responsible agencies to solicit, maintain, and respond to 

public comments regarding proposed regulations. The effects of loss of confidentiality of 

information associated with the public comment process is unlikely to pose the threat of serious 

harm to agency assets, personnel or operations. 

In a few cases, the rationale for public comments can include information that is sensitive in 

terms of proprietary information sensitive Federal government information, or even national 

security information. However, such cases are exceptional and the information in question 

would be expected to be representative of information types covered elsewhere in this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for public comment tracking information is low. 

28
Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Unauthorized modification or destruction of information affecting external communications that 

contain public comment tracking information (e.g., web pages, electronic mail) may adversely 

affect operations or public confidence in the agency, but the damage to the mission would 

usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

public comment tracking information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the public comment tracking 

information. The effects of disruption of access to public comment tracking information or 

information systems can delay development of standards, guidelines, or regulations. 

The public comment tracking process is usually tolerant of delays. Permanent loss of comment 

information may disrupt some government operations by showing a lack of due diligence in 

response to comments. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

public comment tracking information is low. 

C.2.2.3 Regulatory Creation Information Type

Regulatory Creation involves the activities of researching and drafting proposed and final 

regulations. Subject to exception conditions described below, the recommended security 

categorization for the regulatory creation information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The level of confidentiality impact level is the effect of unauthorized disclosure of regulatory 

creation information on the ability of responsible agencies to research and draft proposed and 

final regulations. The effects of loss of confidentiality of early drafts of regulations can result in 

attempts by affected entities and other affected parties to influence and/or impede the regulation 

development process. 

Special Factors Affecting Confidentiality Impact Determination: Premature public release of draft 

regulations before internal coordination and review has been conducted can result in unnecessary

criticism of the proposed regulation and even damage public confidence in the agency. In such 

cases, the provisional confidentiality impact level recommended for regulatory creation 

29
information is moderate. These consequences are particularly likely where the release includes 

unedited internal commentary and discussion. Delays can impair an agency’s mission, but loss 

of public confidence can do serious and persistent harm to an agency’s ability to effectively 

perform its mission. If the regulatory information is moved to the public domain, the 

confidentiality impact level becomes Not Applicable (NA). 

 

Recommended Confidentiality Impact Level: Because most regulatory information is intended for 

release to the public, the provisional confidentiality impact level recommended for regulatory 

creation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications that contain regulatory information (e.g., web 

pages, electronic mail) may adversely affect operations or public confidence in the agency. The 

consequences of a reduction in public confidence will be more serious for agencies that have 

national defense, intelligence, or information security missions. In such cases, the impact level 

may be at least moderate. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

regulatory creation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the regulatory creation information. 

The regulatory creation process is usually tolerant of delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

regulatory creation information is low. 

C.2.2.4 Rule Publication Information Type 

Rule Publication includes all activities associated with the publication of a proposed or final rule 

in the Federal Register and Code of Federal Regulations. Subject to exception conditions 

described below, the recommended security categorization for the rule publication information 

type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of rule publication 

information on the ability of responsible agencies to publish proposed or final rules in the 

30
Federal Register and Code of Federal Regulations. The published rules are, by definition, public 

information. 

The effects of loss of confidentiality of information associated with the rule publication process 

is unlikely to pose the threat of serious harm to agency assets, personnel or operations. 

 

Recommended Confidentiality Impact Level: In general, the provisional confidentiality impact level 

recommended for rule publication information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

In the worst cases, errata can be published. Unauthorized modification or destruction of 

information may result in unnecessary expenditures, some confusion, and limited damage to 

public confidence in the agency. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for rule 

publication information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the rule publication information. 

Rule publication processes are usually tolerant of delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

rule publication information is low. 

C.2.3 Planning and Resource Allocation 

Planning and Resource Allocation involves the activities of determining strategic direction, 

identifying and establishing programs and processes to enable change, and allocating 

resources (capital and labor) among those programs and processes. 

C.2.3.1 Budget Formulation Information Type

Budget Formulation involves all activities undertaken to determine priorities for future spending 

and to develop an itemized forecast of future funding and expenditures during a targeted period 

of time. This includes the collection and use of performance information to assess the 

effectiveness of programs and develop budget priorities. Subject to exception conditions 

described below, the recommended security categorization for the budget formulation 

information type is as follows: 

31
Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of budget formulation 

information on the ability of responsible agencies to determine priorities for future spending and 

to develop an itemized forecast of future funding and expenditures during a targeted period of 

time. Most budget information is supposed to be available to the public. 

Special Factors Affecting Confidentiality Impact Determination: Some budget information of is 

classified national security information and is outside the scope of this guideline. The effects of 

loss of confidentiality of budget information or of early drafts of budgets can result in attempts 

by competing interests to influence and/or impede the regulation development process. The 

consequences to agency programs and even of the ability of an agency to perform its mission can 

be very serious. Premature public release of draft budgets before internal coordination and 

review has been conducted can result in unnecessary criticism of the proposed regulation and 

even damage public confidence in the agency. These consequences are particularly likely where 

the release includes unedited internal commentary and discussion. Delays that result from

confidentiality compromise can imperil specific agency programs, but loss of public confidence 

can do persistent harm to an agency’s ability to effectively perform its mission. In such cases, 

the confidentiality impact level for budget formulation information is moderate. If the budget 

formulation information is moved to the public domain, the confidentiality impact level becomes 

Not Applicable (NA). 

 

Recommended Confidentiality Impact Level: In spite of the serious harm that can be suffered by an 

agency due to unauthorized and premature disclosure of draft budget information (and associated 

commentary), the provisional confidentiality impact level recommended for budget formulation 

information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Special Factors Affecting Integrity Impact Determination: Some budget formulation information is 

time-critical. Also, unauthorized modification or destruction of information affecting external 

communications that contain budget information (e.g., web pages, electronic mail) may 

adversely affect operations or public confidence in the agency, but the damage to the mission 

would usually be limited. Public confidence consequences will be more serious for agencies that 

have national defense, intelligence, or information security missions. In such cases, the impact 

may be at least moderate. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

budget formulation information is low. 

32
Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the budget formulation information. 

Although some budget formulation information is time-critical, the budget formulation processes 

are usually tolerant of delays. Excessive recovery delays may result in loss of funding. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

budget formulation information is low. 

C.2.3.2 Capital Planning Information Type 

Capital Planning involves the processes for ensuring that appropriate investments are selected for 

capital expenditures. The recommended provisional security categorization for capital planning 

information is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of capital planning 

information on the ability of responsible agencies to ensure that appropriate investments are 

selected for capital expenditures. The effects of loss of confidentiality of capital investment 

plans during the formative stage can result in attempts by affected entities and other interested 

parties to influence and/or impede the policy and guideline development process. Premature 

public release of draft plans before internal coordination and review can result in unnecessary 

damage to public confidence in the agency. This is particularly likely where the release includes 

unedited internal commentary and discussion. The diversion of investment funds that can result 

from compromise of draft plans can pervert investment priorities in a manner that is prejudicial 

to public interest. However, the consequence of loss of confidentiality of most capital planning 

information is likely to do only limited harm to government assets, personnel, or missions. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some of 

the background information that supports development of capital investment plans can reveal 

sensitive vulnerabilities, capabilities, or methods of anti-terrorism, law enforcement, or national 

security activities. Depending on the information in question, the confidentiality impact can be 

moderate, high, or involve national security information (outside the scope of this guideline). 

Also, some capital investment plans of some Federal agencies contain national security 

information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for capital planning information is low. 

33
Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications that contain capital planning information (e.g., 

web pages, electronic mail) may adversely affect operations or public confidence in the agency, 

but the damage to the mission would usually be limited. Public confidence consequences will be 

more serious for agencies that have national defense, intelligence, or information security 

missions. In such cases, the impact may be at least moderate. 

Recommended Integrity Impact Level: The provisional integrity level recommended for capital 

planning information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the capital planning information. 

The capital planning processes are usually tolerant of delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

capital planning information is low. 

C.2.3.3 Enterprise Architecture Information Type 

Enterprise Architecture is an established process for describing the current state and defining the 

target state and transition strategy for an organizations people, processes, and technology. The 

recommended provisional security categorization for the enterprise architecture information type 

is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of enterprise architecture 

information on the ability of responsible agencies to describe the current state and define the 

target state and transition strategy for an organizations people, processes, and technology. The 

effects of loss of confidentiality of preliminary draft enterprise architecture plans can result in 

attempts by affected entities and other interested parties to influence and/or impede the policy 

and guideline development process. Premature public release of draft plans before internal 

coordination and review can result in unnecessary damage to public confidence in the agency. 

This is particularly likely where the release includes unedited internal commentary and 

discussion. However, the consequence of loss of confidentiality of most enterprise architecture 

information is likely to do only limited harm to government assets, personnel, or missions. 

34
Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some of 

the background information that supports development of Federal enterprise architecture can 

reveal sensitive vulnerabilities, capabilities, or methods of anti-terrorism, law enforcement, or 

national security activities.7

 Depending on the information in question, the confidentiality 

impact can be moderate, high, or involve national security information (outside the scope of this 

guideline). Also, some enterprise architecture plans of some Federal agencies are themselves 

national security information. Finally, important financial decisions and planning information 

may be included in this category of information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for enterprise architecture information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications that contain enterprise architecture 

information (e.g., web pages, electronic mail) may adversely affect operations or public 

confidence in the agency, but the damage to the mission would usually be limited. Public 

confidence consequences will be more serious for agencies that have national defense, 

intelligence, or information security missions. In such cases, the impact may be at least 

moderate. 

Recommended Availability Impact Level: In general, the provisional integrity level recommended 

for enterprise architecture information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the enterprise architecture information. 

The enterprise architecture processes are usually tolerant of delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

enterprise architecture information is low. 

C.2.3.4 Strategic Planning Information Type 

Strategic Planning entails the determination of long-term goals and the identification of the best 

approach for achieving those goals. The recommended provisional security categorization for 

strategic planning information is as follows: 

 

7 The Office of Management and Budget (OMB) has placed some emphasis on protecting repositories of this

information. Among other things it may contain details of the technology and security of an agency’s network and 

include information about critical repositories of highly sensitive and/or even National Security information.

35
Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of the unauthorized disclosure of strategic planning 

information on the ability of responsible agencies to determine long-term goals and to identify 

the best approach for achieving those goals. Premature public release of draft plans before 

internal coordination and review can result in unnecessary damage to public confidence in the 

agency. This is particularly likely where the release includes unedited internal commentary and 

discussion. However, the consequence of loss of confidentiality of most strategic planning 

information is likely to do only limited harm to government assets, personnel, or missions. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some of 

the background information that supports development of some Federal strategic plans can reveal 

sensitive vulnerabilities, capabilities, or methods of anti-terrorism, law enforcement, or national 

security activities. Depending on the information in question, the confidentiality impact can be 

moderate, high, or involve national security information (outside the scope of this guideline). 

Also, some strategic plans are themselves national security information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for strategic planning information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications that contain strategic planning information 

(e.g., web pages, electronic mail) may adversely affect operations or public confidence in the 

agency, but the damage to the mission would usually be limited. Public confidence consequences 

will be more serious for agencies that have national defense, intelligence, or information security 

missions. In such cases, the impact may be at least moderate. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

strategic planning information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the strategic planning information. 

Strategic planning processes are usually tolerant of delays. 

 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

strategic planning information is low. 

36
C.2.3.5 Budget Execution Information Type 

Budget Execution involves day-to-day requisitions and obligations for agency expenditures, 

invoices, billing dispute resolution, reconciliation, service level agreements, and distributions of 

shared expenses. The recommended provisional security categorization for budget execution 

information is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of budget execution 

information on the ability of responsible agencies to manage day-to-day requisitions and 

obligations for agency expenditures, invoices, billing dispute resolution, reconciliation, service 

level agreements, and distributions of shared expenses. The effects of loss of confidentiality of

most budget execution information are unlikely to pose the threat of serious harm to agency 

assets, personnel or operations. The consequence of loss of confidentiality of most budget 

execution information is likely to do serious harm to government assets, personnel, or missions. 

Special Factors Affecting Confidentiality Impact Determination: The effects of loss of confidentiality 

of budget execution information can violate privacy regulations, reveal information proprietary 

to private institutions, and reveal procurement-sensitive information. In aggregate, budget 

execution information can reveal capabilities and methods that some agencies (e.g., law 

enforcement, homeland security, national defense, intelligence) consider extremely sensitive. In 

these cases, the potential harm that can result from unauthorized disclosure ranges from 

moderate to high to national security-related. In the last case, the information is outside the 

scope of this document. Public release of sensitive budget execution information can result in 

unnecessary damage to public confidence in the agency. This is particularly likely where the 

release includes unedited internal commentary and discussion. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most budget execution information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Where small 

dollar amounts are modified, the potential damage to an agency’s mission is limited. 

Special Factors Affecting Integrity Impact Determination: In the case of agreements or transactions 

involving large monetary values, asset losses, and damage to agency operations, the potential for 

serious loss of public confidence is high. The consequent integrity impact level is moderate to 

high. If the budget execution information is time-critical or very sensitive, the integrity impact 

level may be moderate or high. 

37
Recommended Integrity Impact Level: The provisional integrity impact level recommended for most 

budget execution information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the budget execution information. The 

budget execution processes are usually tolerant of delays. 

 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

budget execution information is low. 

C.2.3.6 Workforce Planning Information Type

Workforce Planning involves the processes for identifying the workforce competencies required 

to meet the agency’s strategic goals and for developing the strategies to meet these requirements. 

The recommended security categorization for workforce planning information is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of workforce planning 

information on the ability of responsible agencies to identify workforce competencies required to 

meet the agency’s strategic goals and for developing the strategies to meet these requirements. 

Unauthorized disclosure of most workforce planning information will have only a limited 

adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some

background information that supports development of Federal workforce plans can reveal 

sensitive vulnerabilities, tables of organization, capabilities, or methods of anti-terrorism, law 

enforcement, or national security activities. Depending on the information in question, the 

confidentiality impact can be moderate, high, or involve national security information (outside 

the scope of this guideline). 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for workforce planning information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Therefore, 

consequences of undetected unauthorized modification or destruction of workforce planning 

information may compromise the effectiveness of compliance enforcement actions (e.g., by 

providing violators with a basis for claiming investigative or enforcement irregularities). 

38
Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

workforce planning information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the workforce planning information. 

The workforce planning processes are generally tolerant of reasonable delays. In most cases, 

disruption of access to workforce planning information can be expected to have only a limited 

adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

workforce planning information is low. 

C.2.3.7 Management Improvement Information Type

Management Improvement includes all efforts to gauge the ongoing efficiency of business 

processes and identify opportunities for reengineering or restructuring. The recommended 

provisional security categorization for the management improvement information type is as 

follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of management 

improvement information on the ability of responsible agencies to gauge the ongoing efficiency 

of business processes and identify opportunities for reengineering or restructuring. Premature 

public release of draft plans before internal coordination and review can result in unnecessary 

damage to public confidence in the agency. This is particularly likely where the release includes 

unedited internal commentary and discussion. However, the consequence of loss of 

confidentiality of most management improvement information is likely to involve only limited 

harm to government assets, personnel, or missions. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some

background information that supports development of Federal management improvement plans 

can reveal personnel-sensitive information, including information subject to the Privacy Act of 

1974. The Privacy Act Information provisional impact levels are documented in the Personal 

Identity and Authentication information type. Other background information can reveal sensitive 

vulnerabilities, capabilities, or methods of anti-terrorism, law enforcement, or national security 

activities. Depending on the information in question, the confidentiality impact can be 

moderate, high, or involve national security information (outside the scope of this guideline). 

Also, some strategic plans are themselves national security information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for management improvement information is low. 

39
Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications that contain management improvement 

information (e.g., web pages, electronic mail) may adversely affect operations or public 

confidence in the agency, but the damage to the mission would usually be limited. Public 

confidence consequences can be expected to be more serious for agencies that have national 

defense, intelligence, or information security missions. In such cases, the impact may be at least 

moderate. Failure to detect malicious modification of personnel information (mostly 

background information) can result in disruption of some agency operations and disruptive 

administrative or legal actions. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

management improvement information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the management improvement 

information. The management improvement planning processes are usually tolerant of delays. 

 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

management improvement information is low. 

C.2.4 Internal Risk Management and Mitigation 

Internal risk management and mitigation involves all activities relating to the processes of 

analyzing exposure to risk and determining appropriate counter-measures. Note that risks to 

much information and many information systems associated with many internal risk

management and mitigation activities may inherently affect the resistance to 

compromise/damage and recovery from damage with respect to a broad range of critical 

infrastructures and key national assets. 

C.2.4.1 Contingency Planning Information Type 

Contingency planning involves the actions required to plan for, respond to, and mitigate 

damaging events. The recommended provisional security categorization for the contingency 

planning information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

40
Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of contingency planning 

information on the ability of responsible agencies to plan for, respond to, and mitigate damaging 

events. Unauthorized disclosure of contingency planning information may equip an adversary 

with the information necessary to attack a system so that recovery is impaired. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of 

background information that supports development of Federal contingency plans can reveal 

sensitive vulnerabilities, capabilities, intelligence assessments, intelligence sources, or methods 

employed in anti-terrorism, law enforcement, or national security activities. Depending on the 

information in question, the confidentiality impact can be moderate, high, or involve national 

security information (outside the scope of this guideline). Also, some contingency plans are 

themselves national security information. However, the purpose of most contingency planning 

information is to protect against inadvertent or accidental damaging events rather than against 

malicious attacks. Even so, in the case of Federal government systems, the case of hostile 

attacks on systems must be considered. The consequences of unauthorized disclosure of extracts

from contingency plans are likely to have negligible to limited adverse effects on agency 

operations. In such cases, the confidentiality impact would be, at most, low. Unauthorized 

disclosure of the entire plan to malicious entities may have serious effects. As a result, the 

consequence of loss of confidentiality of comprehensive contingency plans is likely to involve 

serious harm to government assets, personnel, or missions. In such cases, the confidentiality 

impact would be, at least, moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for contingency planning information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Errors in 

contingency plans that result from integrity compromise can result in serious consequences to 

system recovery capabilities. These can range from incorrect telephone numbers and e-mail 

addresses on notification lists to erroneous schedules and file designations for database back-ups 

and archives or software baselines, updates, and patches. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

contingency planning information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the contingency planning information. 

The effects of disruption of access to contingency planning information or information systems 

depend on the timing of the disruption. If access to contingency planning information is denied 

41
because of a power outage, recovery may be delayed and the work of government agencies 

disrupted. 

Special Factors Affecting Availability Impact Determination: The contingency planning processes are 

usually tolerant of delays. In contrast, the contingency plan implementation process is not 

tolerant of delays. The consequences of disruption of access to contingency planning 

information depend on both the period of the outage and the criticality of the disrupted processes. 

The consequent impact level may range from low to high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

contingency planning information is moderate. 

C.2.4.2 Continuity of Operations Information Type 

Continuity of operations involves the activities associated with the identification of critical 

systems and processes, and the planning and preparation required to ensure that these systems 

and processes will be available in the event of a catastrophic event. The recommended 

provisional security categorization for the continuity of operations information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of continuity of

operations information on the ability of responsible agencies to identify critical systems and 

processes, and to conduct the planning and preparation required to ensure that these systems and 

processes will be available in the event of a catastrophic event. Unauthorized disclosure of the 

entire plan to malicious entities may have serious effects. As a result, the consequence of loss of 

confidentiality of most continuity of operations plans (and comprehensive continuity of

operations plans) is likely to do serious harm to government assets, personnel, or missions. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of 

background information that supports development of Federal continuity of operations plans can 

reveal sensitive vulnerabilities, capabilities, intelligence assessments, intelligence sources, or 

methods employed in anti-terrorism, law enforcement, or national security activities. Depending 

on the information in question, the confidentiality impact can be moderate, high, or involve 

national security information (outside the scope of this guideline). Unauthorized disclosure of 

continuity of operations information for critical infrastructures and key national assets may 

require a high impact level. However, the purpose of most continuity of operations information 

is to protect against inadvertent or accidental damaging events rather than against malicious 

attacks. Even so, in the case of Federal government systems, hostile attacks on systems must be 

considered. 

The consequences of unauthorized disclosure of extracts from continuity of operations plans are 

likely to have negligible to limited adverse effects on agency operations. In such cases, the 

42
confidentiality impact would be, at most, low. Unauthorized disclosure of continuity of 

operations information may inform an adversary regarding what facilities and processes are 

considered to be critical. Such unauthorized disclosure may also equip an adversary with the 

information necessary to attack a system so that operations are disrupted, and that recovery is 

impaired. In such cases, the confidentiality impact would be, at least, moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for continuity of operations information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Errors in 

continuity of operations plans that result from integrity compromise can result in serious 

consequences to system recovery capabilities. These can range from incorrect telephone 

numbers and e-mail addresses on notification lists to erroneous version numbers for database 

back-ups and archives or software baselines, updates, and patches. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

continuity of operations information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the continuity of operations 

information. 

Special Factors Affecting Availability Impact Determination: The effects of disruption of access to 

continuity of operations information or information systems depend on the timing of the 

disruption. If access to continuity of operations information is denied because of a power 

outage, recovery may be delayed and the work of government agencies disrupted. The continuity 

of operations planning process is usually tolerant of delays. In contrast, the continuity of

operations implementation process is not tolerant of delays. The consequences of disruption of 

access to continuity of operations information depend on both the period of the outage and the 

criticality of the disrupted processes. The consequent impact level will range from low to high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

continuity of operations information is moderate. 

C.2.4.3 Service Recovery Information Type 

Service recovery involves the internal actions necessary to develop a plan for resuming 

operations after a catastrophe occurs, such as a fire or earthquake. The recommended provisional 

security categorization for the service recovery information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

43
Confidentiality 

The confidentiality impact level is the effect of the unauthorized disclosure of service recovery 

information on the ability of responsible agencies to develop plans for resuming operations after 

a catastrophe occurs, such as a fire or earthquake. In the case of service recovery plans for 

natural catastrophes, the information associated with service recovery planning is not 

intrinsically sensitive. In the case of catastrophes caused by malicious activity, unauthorized 

disclosure of service recovery information may inform an adversary regarding what facilities and 

processes are considered to be critical. Such unauthorized disclosure may also equip an 

adversary with the information necessary to attack a system in such a way that operations are 

disrupted, and that recovery is impaired or even blocked. The purpose of most service recovery 

information is to protect against natural catastrophes rather than against malicious attacks. In 

most cases, the consequence of loss of confidentiality of service recovery information is not 

likely to do serious harm to government assets, personnel, or missions. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of 

background information that supports development of Federal service recovery plans can reveal 

sensitive vulnerabilities, capabilities, intelligence assessments, intelligence sources, or methods 

employed in anti-terrorism, law enforcement, or national security activities. Depending on the 

information in question, the confidentiality impact can be moderate, high, or involve national 

security information (outside the scope of this guideline). Also, some service recovery plans are 

themselves national security information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for service recovery information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

service recovery information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the service recovery information. The 

effects of disruption of access to service recovery information or information systems depend on 

the timing of the disruption. If access to service recovery information is denied because of a 

power outage, recovery may be delayed and the work of government agencies disrupted. 

Special Factors Affecting Availability Impact Determination: Service recovery planning processes are 

usually tolerant of delay. In contrast, the implementation of recovery plans is not tolerant of 

delays. For service recovery implementation, the consequences of access disruption depend on 

44
the time period of the disruption and the criticality of the disrupted processes. The consequent 

impact level may range from low to high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

service recovery information is low. 

C.2.5 Revenue Collection 

Revenue Collection includes the collection of Government income from all sources. Note: Tax 

collection is accounted for under the Taxation Management information type in the General 

Government mission area. 

C.2.5.1 Debt Collection Information Type 

Debt Collection supports activities associated with the collection of money owed to the United 

States government from both foreign and domestic sources. The recommended security 

categorization for debt collection information is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of debt collection 

information on the ability of responsible agencies to properly and efficiently collect money owed 

to the United States government from both foreign and domestic sources. The consequences of 

unauthorized disclosure of debt collection information are generally dependent on the identity of 

the debtor and of the nature and value of the debt being collected. Typically, unauthorized 

disclosure of debt collection information will have only a limited adverse effect on agency 

operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will commonly be personal information subject to the Privacy Act of 1974, 

information that is proprietary to a corporation or other organization, or information that is 

politically sensitive by a foreign government. The Privacy Act Information provisional impact 

levels are documented in the Personal Identity and Authentication information type. Such 

information will often be associated with debt collection processes. Where the amount of the 

debt is significant, and unauthorized knowledge might imperil successful collection, then the 

associated confidentiality impact assigned to debt collection information might be moderate (or 

even high in the case of extremely high dollar value cases). 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for debt collection information is moderate. 

45
Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Therefore, the 

consequences of unauthorized modification or destruction of debt collection information depend 

on the type of property being managed and on the immediacy with which the information is 

expected to be used. 

Special Factors Affecting Integrity Impact Determination: If the modified or destroyed information is 

substantive financial data, there is a greater potential for harm to result from actions being taken 

based on incomplete or false information. This can have serious adverse effects on individual 

financial actions with consequent loss of revenue from, or other unanticipated consequences 

regarding the personal property under disposition. The severity of the consequences depends on 

the type of the debt and of the debtor but would be most likely be moderate. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for debt 

collection information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the debt collection information. 

Most Federal debt collection processes are tolerant of delays. Also, the consequences of 

temporary inability to access information concerning foreign or domestic debt will be minimal. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

debt collection information is low. 

C.2.5.2 User Fee Collection Information Type

User fee Collection involves the collection of fees assessed on individuals or organizations for 

the provision of Government services and for the use of Government goods or resources (i.e. 

National Parks). The recommended security categorization for the user fee collection

information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Moderate)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of user fee collection 

information on the ability of responsible agencies to correctly and efficiently enforce, regulate, 

and effect the collection of fees assessed on individuals or organizations for the provision of 

Government services and for the use of Government goods or resources. In general, particularly 

in aggregate, this information is public record. 

46
Recommended Confidentiality Impact Level: The recommended provisional confidentiality impact 

level for user fee collection information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. For example, 

there may be some circumstances when the unauthorized modification or destruction of user fee 

collection information is undertaken as part of a scheme to divert payments, conceal 

underpayment of failure to make payment of fees, or otherwise defraud the government. In 

addition, the consequences of unauthorized modification or destruction of user fee collection 

information may depend on the urgency with which the information is needed or the immediacy 

with which the information is used. In most cases, it is unlikely that the information will be 

needed urgently or acted upon immediately. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications might have an adverse effect on agency 

operations, image and reputation. The integrity impact level assigned may be moderate. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for user 

fee collection information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the user fee collection information. 

The missions supported by user fee collection information are generally tolerant of delay. 

However, any extended period of unavailability would likely be seriously disruptive to the 

operations for which fees are collected. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

user fee collection information is moderate. 

C.2.5.3 Federal Asset Sales Information Type 

Federal Asset Sales encompasses the activities associated with the acquisition, oversight, 

tracking, and sale of non-internal assets managed by the Federal Government with a commercial 

value and sold to the private sector. The recommended security categorization for the Federal 

asset sales information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of the unauthorized disclosure of Federal asset sales 

information on the ability of responsible agencies to properly and efficiently acquire, oversee, 

track, and sell non-internal assets managed by the Federal Government with a commercial value 

47
and sold to the private sector. The consequences of unauthorized disclosure of Federal asset 

sales information are generally dependent on the nature and value of the property being disposed. 

Generally, Federal asset sales information is public. Most managed property would not be of 

sufficient individual value to occasion such an occurrence (bid rigging, etc.). 

Special Factors Affecting Confidentiality Impact Determination: Where unauthorized knowledge 

regarding the property being disposed of might lead to unfair advantage (i.e., ability to accurately 

bid on an auction lot to the detriment of other bidders), then the associated confidentiality impact 

assigned to Federal asset sales information might be moderate. Such an instance might arise if a 

disruption of the proper procedures could reasonably cause an adverse effect on future operations 

of the responsible agency, or if the agency’s image, or individual reputations might be damaged. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for Federal asset sales information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of Federal asset sale information is 

partially dependent on the type of property being managed and whether the data is time-critical. 

If the modified or destroyed information is substantive financial data, actions that are taken 

based on incomplete or false information could have serious adverse effects on individual 

financial actions. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, solicitations for bid, official notices of disposition, etc.) may adversely affect 

the operations, image or reputation of an agency. However, the damage to the management 

mission would usually be of more immediate concern. The severity of the consequent integrity 

impact depends on the nature of the property but would be most likely be moderate. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

Federal asset sales information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the Federal asset sale information. The 

missions supported by Federal asset sale information are generally tolerant of delay. Generally, 

the consequences of temporary inability to access solicitations for bid, official notices of

disposition, etc., will be minimal. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

Federal asset sale information is low. 

48
C.2.6 Public Affairs 

Public Affairs activities involve the exchange of information and communication between 

the Federal Government, citizens and stakeholders in direct support of citizen services, public 

policy, and/or national interest. 

C.2.6.1 Customer Services Information Type 

Customer Service supports activities associated with providing and managing the delivery of 

information and support to the government’s customers. The recommended security 

categorization for the customer service information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of customer service 

information on the ability of responsible agencies to provide and manage the delivery of 

information and support to the government’s customers. Most customer service information is 

likely to be in the public domain and poses no confidentiality impact. In most cases, 

unauthorized disclosure of customer service information will have at most a limited adverse 

effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Some customer service information 

may include customer-provided information covered by the provisions of the Privacy Act of 

1974. The Privacy Act Information provisional impact levels are documented in the Personal 

Identity and Authentication information type. Unauthorized disclosure of large volumes of 

information protected under the Privacy Act can be expected to have a serious to severe effect on 

public confidence in the agency. Actions taken that are intended to establish blame, compensate 

victims, or repair damage done with the exposed information can cause serious disruption of an 

agency’s mission capability. In such cases, the confidentiality impact can be moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for customer service information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Typically, the 

adverse effects of unauthorized modification or destruction of customer service information on 

overall agency mission functions or public confidence in the agency are limited. The more 

serious integrity impacts become increasingly likely as E-government initiatives progress. 

Typically, the unauthorized modification or destruction of information affecting external 

communications (e.g., web pages, electronic mail) will result in limited adverse affect on 

operations or public confidence in the agency and the damage to most missions would usually be 

limited. 

49
Special Factors Affecting Integrity Impact Determination: An increasing proportion of customer 

service activities are interactive. Consequently, there is a potential for customer actions being 

taken based on modified or incomplete information. Similarly, unauthorized modification or 

deletion of customer-supplied information can result in government mishandling of interactions 

with customers. If this occurs on a large-scale serious damage to public confidence in the 

agency may result. In such cases, a moderate integrity may be associated with customer service 

information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

customer service information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the customer service information. The 

effects of disruption of access to or use of customer service information can usually be In 

addition, customer service operations are not typically tolerant of delay. Even temporary loss of 

availability of customer service information is likely to disrupt customer operations. In most 

cases, disruption of access to customer service information can be expected to have only a 

limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: While most outages will result in only 

limited adverse effects on government operations, repeated outages can have a serious adverse 

effect on public confidence in the agency. In such cases, the availability impact might be 

moderate. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

customer service information is low. 

C.2.6.2 Official Information Dissemination Information Type 

Official Information Dissemination includes all efforts to provide official government 

information to external stakeholders through the use of various types of media, such as video, 

paper, web, etc. The recommended security categorization for the official information 

dissemination information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of official information 

dissemination information on the ability of responsible agencies to provide official Federal 

government information to external stakeholders through the use of various communications 

media. Official information dissemination information is usually in the public domain and poses 

no confidentiality impact. 

50
 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for official information dissemination information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In general, the 

adverse effects of unauthorized modification or destruction of official information dissemination 

information on overall agency mission functions will be limited. 

Special Factors Affecting Integrity Impact Determination: There is a potential for customer actions

taken based on modified or incomplete information. In addition, unauthorized modification or 

destruction of official information dissemination information may result in distribution of false 

and misleading information (e.g., modified web pages, electronic mail, video). Such events can 

adversely affect operations or public confidence in the agency. This can significantly degrade 

the official information dissemination mission capability. In such cases, a moderate integrity 

impact may exist. Also, the more serious integrity impacts become increasingly likely as Egovernment initiatives progress. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

official information dissemination information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the official information dissemination 

information. Official information dissemination processes are generally tolerant of limited 

delays. However, even temporary loss of availability of official information dissemination 

information is likely to have an adverse effect on public confidence in the agency. In most cases, 

disruption of access to official information dissemination information can be expected to have 

only a limited adverse effect on overall agency operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: While most cases will result in only 

limited consequences, repeated outages can have a serious adverse effect on public confidence in 

the agency. This can significantly degrade the official information dissemination mission 

capability. In such cases, the availability impact might be moderate. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

official information dissemination information is low. 

C.2.6.3 Product Outreach Information Type 

Product Outreach relates to the marketing of government services products, and programs to the 

general public in an attempt to promote awareness and increase the number of 

51
customers/beneficiaries of those services and programs. The recommended security 

categorization for the product outreach information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of product outreach 

information on the ability of responsible agencies to market government services products, and 

programs to the general public in an attempt to promote awareness and increase the number of 

customers/beneficiaries of those services and programs. Product outreach information is usually 

in the public domain and poses no confidentiality impact. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for product outreach information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In most cases, 

the adverse effect of unauthorized modification or destruction of product outreach information 

on overall agency mission functions will be limited. 

Special Factors Affecting Integrity Impact Determination: The unauthorized modification or 

destruction of product outreach information may result in distribution of false and misleading 

information. Such events may adversely affect operations or public confidence in the agency 

and may significantly degrade the product marketing mission capability. In such cases, a 

moderate integrity impact may exist. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

product outreach information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the product outreach information. 

Product outreach processes are generally tolerant of limited delays. In most cases, disruption of 

access to product outreach information can be expected to have only a limited adverse effect on 

agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

product outreach information is low. 

52
C.2.6.4 Public Relations Information Type 

Public Relations activities involve the efforts to promote an organizations image through the 

effective handling of citizen concerns. The recommended security categorization for the public 

relations information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of public relations 

information on the ability of responsible agencies to promote an organizations image through the 

effective handling of citizen concerns. Public relations information itself is usually in the public 

domain and poses no confidentiality impact. 

Special Factors Affecting Confidentiality Impact Determination: Internal correspondence associated 

with development of public relations information can contain information, the unauthorized 

disclosure of which can have a serious adverse effect on agency operations. This can result in 

assignment of a moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for public relations information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In most cases, 

the adverse effects of unauthorized modification or destruction of public relations information on 

overall agency mission functions will be limited. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of public relations information may result in distribution of false and misleading information. 

Such events can be expected to adversely affect operations and/or public confidence in the 

agency. This can significantly degrade the public relations mission capability. In such cases, a 

moderate integrity impact may exist. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

public relations information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the public relations information. 

Public relations processes are generally tolerant of limited delays. In most cases, disruption of 

access to public relations information can be expected to have only a limited adverse effect on 

agency operations, agency assets, or individuals. 

53
Recommended Availability Impact Level: The provisional availability impact level recommended for 

public relations information is low. 

C.2.7 Legislative Relations 

Legislative Relations involves activities aimed at the development, tracking, and amendment 

of public laws through the legislative branch of the Federal Government.

C.2.7.1 Legislation Tracking Information Type 

Legislation Tracking involves following legislation from conception to adoption. The 

recommended security categorization for the legislation tracking information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of legislation tracking 

information on the ability of responsible agencies to follow legislation from conception to 

adoption. Legislation tracking information itself is usually in the public domain and poses no 

confidentiality impact. 

Special Factors Affecting Confidentiality Impact Determination: In some cases, internal 

correspondence associated with legislation tracking information can contain information, that if 

improperly disclosed, will have a serious adverse effect on agency relationships with other 

agencies and with the legislative branch. This can result in assignment of a moderate impact 

level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for legislation tracking information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In most cases, 

the adverse effects of unauthorized modification or destruction of legislation tracking 

information on overall agency mission functions will be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

legislation tracking information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the legislation tracking information. 

Legislation tracking processes are generally tolerant of limited delays. In most cases, disruption 

54
of access to legislation tracking information will have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

legislation tracking information is low. 

C.2.7.2 Legislation Testimony Information Type

Legislation Testimony involves activities associated with providing testimony/evidence in 

support or, or opposition to, legislation from conception to adoption. Subject to exception 

conditions described below, the recommended security categorization for the legislation 

testimony information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of legislation testimony 

information on the ability of responsible agencies to provide testimony/evidence in support or, or 

opposition to, legislation from conception to adoption. Most testimony regarding legislation is in

the public domain, and even premature release should result in no more than limited harm to 

agency assets, personnel, or operations. 

Special Factors Affecting Confidentiality Impact Determination: The effects of loss of confidentiality

of some information applicable to pending testimony may result in attempts by competing 

interests to influence and/or impede a specific legislative process. The consequences to agency 

programs and of the ability of an agency to perform its mission can be very serious. Premature 

public release of draft testimony before internal coordination and review has been conducted can 

result in unnecessary criticism of the proposed testimony and damage public confidence in the 

agency. These consequences are particularly likely where the release includes unedited internal 

commentary and discussion. The results of unauthorized disclosure of information to the public 

can imperil specific agency programs, but a consequent loss of public confidence can do 

persistent harm to an agency’s ability to effectively perform its mission. This can result in 

assignment of a moderate impact level to such information. Some information associated with 

legislative testimony is classified national security information and is outside the scope of this 

guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for legislation testimony information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

55
Unauthorized modification or destruction of information affecting external publication of 

testimony associated with legislation (e.g., web pages, electronic mail) may adversely affect 

inter-agency relationships, relations with Congress, or public confidence in the agency. 

However, damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

legislation testimony information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the legislation testimony information. 

The legislation testimony processes are usually tolerant of delays. 

Special Factors Affecting Availability Impact Determination: Excessive recovery delays can result in 

damage to agency reputation and to interests associated with specific legislation. This can result 

in assignment of a moderate impact level to such information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

legislation testimony information is low. 

C.2.7.3 Proposal Development Information Type 

Proposal Development involves drafting proposed legislation that creates or amends laws subject 

to Congressional legislative action. Subject to exception conditions described below, the 

recommended security categorization for the proposal development information type is as 

follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of proposal development 

information on the ability of responsible agencies to draft proposed legislation that creates or 

amends laws subject to Congressional legislative action. Legislation is normally in the public 

domain. However, the effects of loss of confidentiality of background information used in the 

development of proposed legislation or of early drafts of proposed legislation could result in 

attempts by competing interests to influence and/or impede a specific legislative process. The 

consequences to agency programs and of the ability of an agency to perform its mission can be 

very serious. Premature public release of proposed legislation before internal coordination and 

review has been conducted can result in unnecessary criticism of the proposed legislation and 

even damage public confidence in the agency. These consequences are particularly likely where 

the release includes unedited internal commentary and discussion. In general, unauthorized 

disclosure of much legislative proposal information, particularly in early phases of the process, is 

likely to result in serious harm to agency assets or operations. 

56
Special Factors Affecting Confidentiality Impact Determination: Some proposal development 

information used by specific Federal agencies (e.g., homeland security, law enforcement, 

defense, intelligence community) is very sensitive or classified national security information. 

National security information is outside the scope of this guideline. The sensitivity level 

recommended for the very sensitive information is high. If the proposal development 

information is moved to the public domain, the confidentiality impact level becomes Not 

Applicable (NA). 

 

Recommended Confidentiality Impact Level: In order to accommodate event-driven consequences of 

unauthorized disclosure of pre-release drafts, the provisional confidentiality impact level 

recommended for proposal development information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Unauthorized modification or destruction of information affecting external publication of 

proposed legislation (e.g., web pages, electronic mail) might adversely affect inter-agency 

relationships, relations with Congress, or public confidence in the agency. However, damage to 

the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

proposal development information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the proposal development information. 

Proposal development processes are usually tolerant of delays. 

Special Factors Affecting Availability Impact Determination: Excessive recovery delays can result in 

damage to agency reputation and to interests associated with specific legislation. This can result 

in assignment of a moderate impact level to such information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

proposal development information is low. 

C.2.7.4 Congressional Liaison Information Type

Congressional Liaison Operations involves all activities associated with supporting the formal 

relationship between a Federal Agency and the U.S. Congress. Subject to exception conditions 

described below, the recommended security categorization for the Congressional liaison 

information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

57
Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of Congressional liaison 

information on the ability of responsible agencies to support their formal relationships with U.S. 

Congress. The effects of loss of confidentiality of information associated with Congressional 

liaison can facilitate attempts by competing interests to influence and/or impede a specific 

legislative process or poison inter-branch relations. The consequences to agency programs and 

even of the ability of an agency to perform its mission can be very serious. Premature public 

release of information associated with Congressional liaison before internal coordination and 

review has been conducted can result in unnecessary criticism of the preliminary data or 

positions, and even damage public confidence in the agency. These consequences are 

particularly likely where the release includes unedited internal commentary and discussion. In 

general, unauthorized disclosure of much Congressional liaison information is likely to result in 

serious harm to agency assets and/or operations. If the Congressional liaison information is 

moved to the public domain, the confidentiality impact level becomes Not Applicable (NA). 

Special Factors Affecting Confidentiality Impact Determination: Some Congressional liaison 

information used by Federal agencies (e.g., homeland security, law enforcement, defense, 

intelligence community) is very sensitive or even classified national security information. 

National security information is outside the scope of this guideline. The sensitivity level 

associated with the very sensitive information is high. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for Congressional liaison information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

Congressional liaison information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the Congressional liaison information. 

Congressional liaison processes are usually tolerant of delays. 

Special Factors Affecting Availability Impact Determination: Excessive recovery delays can result in 

damage to agency reputation and to interests associated with specific legislation. This can result 

in assignment of a moderate impact level to such information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

Congressional liaison information is low. 

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C.2.8 General Government 

General Government involves the overhead costs of the Federal Government, including 

legislative and executive activities; provision of central fiscal, personnel, and property activities; 

and the provision of services that cannot reasonably be classified in any other service support 

area. As a normal rule, all activities reasonably or closely associated with other service support 

areas or information types shall be included in those service support areas or information types 

rather than listed as a part of general government. This service support area is reserved for 

central government management operations; most service delivery (mission-based) management 

activities would not be included here. Unlike the other service support functions, some general 

government information types are associated with specific organizations (e.g., Department of the 

Treasury, Executive Office of the President, Internal Revenue Service).

C.2.8.1 Central Fiscal Operations Information Type 

Central Fiscal Operations includes the fiscal operations that the Department of Treasury 

performs on behalf of the Government.8

 [Note: Tax-related functions are associated with the 

Taxation Management information type.] Impacts to some information and information systems 

associated with central fiscal operations may affect the security of the critical banking and 

finance infrastructure. In most cases, the effect on public welfare of a loss of central fiscal 

operations functionality can be expected to be delayed rather than immediate. The potential for 

consequent loss of human life or of major national assets is low. . The provisional security 

categorization recommended for the central fiscal operations information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of central fiscal 

operations information on the fiscal operations that the Department of Treasury performs on 

behalf of the Government. The effects of loss of confidentiality can reasonably be expected to 

jeopardize relationships and administrative actions necessary to mission fulfillment and/or to 

seriously damage public confidence in the agency. For example, the unauthorized disclosure of 

investigative and enforcement information can have serious economic impact on both individual 

companies and the broader market place (e.g., short-term stock market perturbations). The 

consequences of such unauthorized disclosures may have a serious adverse effect on public 

confidence in the agency. 

Special Factors Affecting Confidentiality Impact Determination: Where the operations in question 

involve liaison with law enforcement or homeland security organizations, the consequences of 

unauthorized disclosure can imperil operations critical to the security of human life, critical 

infrastructure protection, ore the protection of key national assets. For those operations, the 

 

8 Central fiscal operations focus on central Federal government functions rather than on central agency functions. 

59
consequences to key financial infrastructure elements can be serious to severe. In such cases, the 

associated confidentiality impact level will be high. 

 

Recommended Confidentiality Impact Level: The confidentiality impact level recommended for 

most central fiscal operations information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Unauthorized modification or destruction of information affecting external communications that 

include central fiscal operations information (e.g., web pages, electronic mail) may adversely 

affect operations and/or public confidence in the agency, but the damage to the mission would 

usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

central fiscal operations information is normally low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the central fiscal operations 

information. Central fiscal operations processes are usually tolerant of delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

central fiscal operations information is low. 

C.2.8.2 Legislative Functions Information Type

Legislative functions include the service support activities associated with costs of the 

Legislative Branch other than the Tax Court, the Library of Congress, and the Government 

Printing Office revolving fund. The recommended security categorization for the legislative 

service support information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of legislative functions 

information on the ability of responsible agencies to provide service support activities associated 

with costs of the Legislative Branch other than the Tax Court, the Library of Congress, and the 

Government Printing Office revolving fund. The effects of loss of confidentiality of information 

associated with legislative functions can be expected to have only a limited impact on Federal 

government assets, operations, or personnel welfare. 

 

60
Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for legislative functions information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Misunderstandings resulting from modified information that is actually exchanged can usually be 

resolved and any resulting damage to the support function from modified information that is 

exchanged would usually be limited. 

Unauthorized modification or destruction of information affecting external publication of 

legislative service support information (e.g., web pages, electronic mail) may adversely affect 

inter-agency relationships, relations with Congress, or public confidence in the agency. 

However, damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

legislative functions information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the legislative service support 

information. Legislative functions processes are usually tolerant of delays. 

Special Factors Affecting Availability Impact Determination: Excessive recovery delays can result in 

damage to agency reputation and to interests associated with specific legislation. This can result 

in assignment of a moderate impact level to such information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

legislative functions information is low. 

C.2.8.3 Executive Functions Information Type

Subject to exception conditions described below, the recommended provisional security 

categorization for the executive information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level associated with the executive information type is associated with 

executive functions. The effects of loss of confidentiality of policies and guidance during the 

formative stage can result in attempts by affected entities and other interested parties to influence 

and/or impede the policy and guidance development process. Premature public release of 

formative policies and guidance before internal coordination and review can result in

61
unnecessary damage to public confidence in the executive office. These consequences may 

occur when the release includes unedited internal commentary and discussion. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for executive functions information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Unauthorized modification or destruction of information affecting external communications that 

contain executive information (e.g., web pages, electronic mail) may adversely affect public 

confidence in the government. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

executive information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the executive information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

executive functions information is low. 

C.2.8.4 Central Property Management Information Type

Central Property Management involves most of the operations of the General Services 

Administration. The following recommended provisional security categorization of central 

property management information is particularly subject to change where critical infrastructure 

elements or key national assets are involved: 

Security Category = {(confidentiality, Low9), (integrity, Low4), (availability, Low10)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of central property 

management information on the ability of the General Services Administration to acquire, 

provide, and centrally administer offices buildings, fleets, machinery, and other capital assets and 

consumable supplies used by the Federal government. The consequences of unauthorized 

 

9

 Impact level is usually high where safety of major critical infrastructure components or key national assets is at

stake. 10Impact level is usually moderate to high in emergency situations where time-critical processes affecting human 

safety or major assets are involved. 

62
disclosure of most central property management information are likely to have only a limited 

adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of 

information associated with very large procurements can result in fraud, waste, abuse, and/or 

legal proceedings that can have a serious to severe effect on Federal government assets and 

operations. Also, information associated with acquisition, maintenance, administration, and 

operation of many Federal government office buildings, transportation fleets, and operational 

facilities can be of material use to criminals seeking to gain access to Federal facilities to 

facilitate or perpetrate fraud, theft, or some other criminal enterprise. In this case, unauthorized 

disclosure of information can have a serious adverse effect on agency operations, agency assets, 

or individuals. The consequent confidentiality impact would be at least moderate. 

Information associated with maintenance, administration, and operation of other Federal 

government facilities can be of material use to terrorists seeking to penetrate and/or commandeer 

such facilities as part of operations intended to harm critical infrastructures, key national assets, 

or people. Examples of more potentially damaging information include architectural, 

maintenance and administrative information that might permit either covert pedestrian or 

unimpeded vehicular access to government buildings (e.g., Congressional office buildings, FBI 

Headquarters, the National Archives, Smithsonian Institution buildings, dams, nuclear power 

plants, etc.). In such cases, the confidentiality impact level may be high. 

[Some information is classified as national security and is outside the scope of this guideline.] 

Anticipated or realized unauthorized disclosure of one agency’s central property management 

information by GSA could result in negative impacts on cross-jurisdictional coordination within 

the central property management infrastructure and the general effectiveness of organizations 

tasked with acquiring and managing government facilities and supplies. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for central property management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In addition, the 

consequences of unauthorized modification or destruction of central property management 

information usually depends on the urgency with which the information is needed or the 

immediacy with which the information is used. In most cases, it is unlikely that the information 

will be time-critical or acted upon immediately. 

Unauthorized modification or destruction of information affecting external publication of central 

property management information (e.g., web pages, electronic mail) may adversely affect public 

confidence in the agency. However, damage to the mission would usually be limited. 

63
Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

central property management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the central property management 

information. The functions supported by most central property management information are 

tolerant of delays. Typically, the disruption of access to central property management

information will have a limited adverse effect on agency operations (including mission functions 

and public confidence in the agency), agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include emergency 

response aspects of disaster management. In such cases, delays measured in hours can cost lives 

and major property damage. Consequently, the availability impact level associated with 

unauthorized modification or destruction of central property management information needed to 

respond to emergencies may be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

central property management information is low. 

C.2.8.5 Central Personnel Management Information Type

Central Personnel Management involves most of the operating activities of the Office of 

Personnel Management and related agencies. The recommended security categorization for the 

central personnel management information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of central personnel 

management information on the ability of the Office of Personnel Management (OPM) to build a 

high quality and diverse Federal workforce, based on merit system principles. Central personnel 

management information includes human resources management and consulting services, 

education and leadership development services, and investigation services. The unauthorized 

disclosure of most central personnel management information will have only a limited adverse 

effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Very sensitive information is 

typically personal information subject to the Privacy Act of 1974. (The Privacy Act Information 

provisional impact levels are documented in the Personal Identity and Authentication 

information type.) Such information will often be assigned a moderate confidentiality impact 

level. Some information associated with investigative services may be particularly sensitive and 

require a high confidentiality impact level. 

 

64
Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for central personnel management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of undetected unauthorized modification or destruction of central personnel 

management information can conceivably disrupt central personnel management operations (e.g., 

(e.g., by modifying sensitive private personal information or compromising confidentiality 

mechanisms). 

Unauthorized modification or destruction of information affecting external publication of central 

personnel management information (e.g., web pages, electronic mail) may adversely affect 

public confidence in the government. However, damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

central personnel management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the central personnel management 

information. Central personnel management processes are generally tolerant of reasonable 

delays. In most cases, disruption of access to central personnel management information can be 

expected to have only a limited adverse effect on agency operations, agency assets, or 

individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

central personnel management information is low. 

C.2.8.6 Taxation Management Information Type 

Taxation Management includes activities associated with the implementation of the Internal 

Revenue Code and the collection of taxes in the United States and abroad. The recommended 

security categorization for the taxation management information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of taxation management 

information on the ability of the Internal Revenue Service (IRS) to enforce the Internal Revenue 

Code and to collect taxes in the United States and abroad. The IRS Guidebook for Information 

Sensitivity Analysis provides guidelines for identifying IRS Official Use Only (OUO) 

Information. Sensitive information is identified in the IRM as any information which if lost, 

stolen, (accessed), or altered without proper authorization may adversely affect Service 

65
operations. The IRM states that unauthorized disclosure of sensitive information may cause 

lawsuits against Service officials as well as the Service, unwanted notoriety for the Service, and 

public distrust of the Service’s ability to protect such information – all of which may result in an 

increase in noncompliance with tax laws. It notes that unauthorized release of information such 

as the name and address of an informant (in cases of tax evasion or fraud) may threaten a 

person’s life.11 Additionally, sensitive information is defined in Section 25.10 of the IRM as 

information that requires protection due to the risk or magnitude of loss that could result from

inadvertent or deliberate disclosure of the information. Sensitive information includes 

information whose improper use could adversely affect the ability of the agency to accomplish 

its mission, proprietary information, records about individuals that require protection under the 

Privacy Act, and information not releasable under the Freedom of Information Act. The IRS 

OUO guideline notes that prevention of unauthorized disclosure of information revealing internal 

matters, the disclosure of which would risk circumvention of a legal requirement or agency rules 

and regulations has assumed an increasingly important role in homeland security. Unauthorized 

disclosure of sensitive or private IRS information can be expected to have a serious effect on 

both the welfare of individuals and public confidence in the government. 

Special Factors Affecting Confidentiality Impact Determination: In cases where unauthorized 

disclosure of taxation information can impede anti-terrorism or other homeland security 

activities or endanger the lives of agents or informants, the confidentiality impact level is high. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for taxation management information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In addition, the 

consequences of unauthorized modification or destruction of taxation management information 

may depend on the urgency with which the information is needed or the immediacy with which 

the information is used. In most cases, it is unlikely that the information will be needed urgently 

or acted upon immediately. Also, the adverse effects of unauthorized modification or destruction 

of taxation management information on overall agency mission functions is expected to be 

limited. 

Special Factors Affecting Integrity Impact Determination: There is a potential for tax code 

enforcement, other law enforcement, or anti-terrorism actions being taken based on modified or 

incomplete information. Also, unauthorized modification or destruction of taxation management

information may result in distribution of false and misleading information. Such events can be 

expected to adversely affect individuals, operations, and/or public confidence in the agency. 

This can significantly degrade the taxation management mission capability. In extreme cases 

(e.g., misidentification of an informant), the consequences can be life threatening. In such cases, 

a high integrity impact may exist. 

 

11 Such information would have a high confidentiality default confidentiality impact rating. 

66
Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

taxation management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the taxation management information. 

Taxation management processes are generally tolerant of limited delays. In most cases, 

disruption of access to taxation management information can be expected to have only a limited 

adverse effect on overall agency operations, agency assets, or individuals. However, even 

temporary loss of availability of taxation management information is likely to have an adverse 

effect on public confidence in the agency and on Federal government cash flow. 

Special Factors Affecting Availability Impact Determination: While most cases will result in only 

limited consequences, repeated disruptions can have a serious adverse effect on public 

confidence in the agency. This can significantly degrade the taxation management mission 

capability. In such cases, the availability impact might be moderate. Loss of availability of

significant amounts of taxation management information over long periods of time can do 

serious harm to Federal government operations. The economic ramifications would potentially 

be severe. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

taxation management information is low. 

C.2.8.7 Central Records and Statistics Management Information Type

Central Records and Statistics Management involves the operations surrounding the management

of official documents, statistics, and records for the entire Federal Government. This information 

type is intended to include information and information systems associated with the management 

of records and statistics for the Federal government as a whole, such as the records management

performed by NARA or the statistics and data collection performed by the Bureau of the Census. 

Note: Many agencies perform records and statistics management for a particular business 

function and as such should be mapped to the service support, management, or mission area 

associated with that business function. The central records and statistics management

information type is intended for functions performed on behalf of the entire Federal government. 

The recommended security categorization for the central records and statistics management 

information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of central records and 

statistics management information on the ability of responsible agencies to manage official 

documents, statistics, and records for the entire Federal Government. Unauthorized disclosure of 

67
raw data and other source information for central records and statistics management operations is 

likely to violate the Privacy Act of 1974 and other regulations applicable to the dissemination of 

personal and government information. (The provisional impact levels for personnel information 

are documented in the Personal Identity and Authentication, Income, Representative Payee, and 

Entitlement Event information types.) 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some

centrally managed records can pose a threat to human life or a loss of major assets. In such cases, 

the confidentiality impact is high. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for central records and statistics management information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In addition, the 

consequences of unauthorized modification or destruction of central records and statistics 

management information may depend on the urgency with which the information is needed or 

the immediacy with which the information is used. In most cases, it is unlikely that the 

information will be time-critical or acted upon immediately. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

central records and statistics management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the central records and statistics 

management information. Central records and statistics management processes are generally 

tolerant of reasonable delays. Generally, disruption of access to central records and statistics 

management information can be expected to have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

central records and statistics management information is low. 

C.2.8.8 Income Information 

Income information includes all the wages, self-employment earnings, savings data and other 

financial resources information that is needed to help determine the amount of Retirement, 

Survivor, or Disability benefits that individuals may be entitled to receive or not receive from the 

Supplementary Security Income or RSDI Title II Programs. In most cases, the impact levels are 

based on the effects of unauthorized disclosure, modification, or loss of availability of income

information on the ability of the Federal government to identify citizen entitlements and 

68
obligations and to protect individuals against identity theft and the Federal government against 

fraud. The recommended security categorization for the income information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is based on the effects of unauthorized disclosure of income

information on the ability of the Federal government to identify citizen entitlements and 

obligations and to protect individuals against identity theft and the Federal government against 

fraud. Unauthorized disclosure of raw data and other source information for benefits 

determination and revenue collection operations is likely to violate the Privacy Act of 1974 and 

other regulations applicable to the dissemination of personal and government information. 

Unauthorized disclosure of centrally managed income information can have a serious adverse 

effect on agency missions. Very large aggregate tort awards can result from large-scale 

disclosure of income information. Therefore, for agencies that manage large income information 

involving records of the general public, the provisional confidentiality impact level can be 

expected to be at least moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for income information is moderate. 

Integrity 

The integrity impact level is based on the specific purpose to which income information is put; 

and not on the time required to detect the modification or destruction of information. In the case 

of very large data bases containing income information relating to the general public, there is a 

significant probability that erroneous actions will be taken affecting the benefits entitlements or 

liabilities (e.g., tax liabilities) of large numbers of individuals. This can result in at least shortterm financial hardship for citizens. It can also be expected to result in very serious disruption of 

the agency operations due to large time and resource requirements for taking corrective actions. 

In such cases, the integrity impact level would be at least moderate. 

Special Factors Affecting Integrity Impact Determination: In the case of smaller organizations, and 

where the information affected is limited to employees, the consequences may justify only a low

provisional impact rating. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

income information is moderate. 

Availability 

The availability impact level is based on the specific purpose to which income information is 

put; and not on the time required to re-establish access to the income information. Benefits 

determination and liability calculation (e.g., taxation) processes are generally tolerant of 

69
reasonable delays. In many cases, disruption of access to income information can be expected to 

have only a limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: In the case of very large data bases 

containing income information relating to the general public, there is a significant probability 

that processing delays will affect the benefits entitlements or liabilities (e.g., tax liabilities) of 

large numbers of individuals. The larger the number of records affected, the longer the delays 

that can be expected to result. This can result in financial hardship for citizens and in serious 

disruption of the agency operations due to large time and resource requirements for backlog 

processing. In such cases, the availability impact level would be at least moderate. In the case 

of permanent loss of records, the impact might even be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

income information is moderate. 

C.2.8.9 Personal Identity and Authentication Information 

Personal identity and authentication information includes that information necessary to ensure 

that all persons who are potentially entitled to receive any federal benefit are enumerated and 

identified so that Federal agencies can have reasonable assurance that they are paying or 

communicating with the right individuals. This information include individual citizen’s Social 

Security Numbers, names, dates of birth, places of birth, parents’ names, etc.12 The 

recommended security categorization for the personal identity and authentication information 

type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is based on the effects of unauthorized disclosure of personal 

identity and authentication information on the ability of Federal agencies to determine that 

communications with and payments to individuals are being made with or to the correct 

individuals - and to protect individuals against identity theft and the Federal government against 

fraud. Unauthorized disclosure of raw data and other source information for identity 

authentication operations is likely to violate the Privacy Act of 1974 and other regulations 

applicable to the dissemination of personal and government information. There are many cases 

in which unauthorized disclosure of personal identity and authentication information will have 

only a limited adverse effect on government operations, assets, or individuals. However, the 

potential for use of such information by criminals to perpetrate identity theft and related fraud 

can do serious harm to individuals. Unauthorized disclosure of centrally managed personal 

identity and authentication information, such as passport and visa control databases can have a 

serious adverse effect on agency missions. 

 

12 Persons conducting sensitive or payment related business with the government must identify themselves to the 

level prescribed by appropriate governing directives using such data. 

70
Special Factors Affecting Confidentiality Impact Determination: Very large aggregate tort awards can 

result from large-scale disclosure of personal identity and authentication information. For 

agencies that manage large income information involving records of the general public, the 

provisional confidentiality impact level can be expected to be at least moderate. Where personal 

identity and authentication information is used in controlling access to facilities (e.g., Federal 

facilities, critical infrastructure facilities, key national assets) or for border control purposes, the 

consequences of unauthorized disclosure that permits credentials forgery can justify a high

impact assignment. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for personal identity and authentication information is moderate. 

Integrity 

The integrity impact level is based on the specific purpose to which personal identity and 

authentication information is put; and not on the time required to detect the modification or 

destruction of information. In the case of very large databases containing personal identity and 

authentication information relating to the general public, there is a significant probability that 

erroneous actions will be taken affecting benefits entitlements of or access to facilities by large 

numbers of individuals. In the case of benefits, this can result in at least short-term financial 

hardship for citizens. It can also be expected to result in very serious disruption of the agency 

operations due to large time and resource requirements for taking corrective actions. 

Special Factors Affecting Integrity Impact Determination: In the case of smaller organizations, and 

where the information affected is limited to employees, there will still be an impact, but the 

consequences may justify only a low provisional impact rating. Where a data modification 

permits access to facilities (or ingress into the United States) by individuals to whom access 

should be prohibited, the integrity impact could be high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

personal identity and authentication information is moderate. 

Availability 

The availability impact level is based on the specific purpose to which personal identity and 

authentication information is put; and not on the time required to re-establish access to the 

personal identity and authentication information. Benefits determination processes are generally 

tolerant of reasonable delays. In many cases, disruption of access to personal identity and 

authentication information can be expected to have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: In the case of very large data bases 

containing personal identity and authentication information relating to the general public, there is 

a significant probability that processing delays will affect the benefits entitlements of or access to 

71
facilities by large numbers of individuals. The larger the number of records affected, the longer 

the delays that can be expected to result. This can result in financial hardship for citizens and in 

serious disruption of the agency operations due to large time and resource requirements for 

backlog processing. In such cases, the availability impact level would be at least moderate. In 

the case of permanent loss of records or access to facilities by emergency personnel, the impact 

might even be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

personal identity and authentication information is moderate. 

C.2.8.10 Entitlement Event Information 

Entitlement event information includes information about events such as death and date of 

occurrence, date of a disabling event and the relating data that can reasonably prove the severity 

of such disability, proof of age for retirement benefits, birth and relationship of spouse and/or 

children who may be entitled to benefits only as auxiliaries of the primary beneficiary, and other 

related information needed to process a claim for benefits. This also includes means-related 

information required to administer all the means related benefits associated with the Title XVI 

(Supplementary Security Income Program) and the new drug provisions of the recently revised 

Medicare Program. The recommended security categorization for the entitlement event 

information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is based on the effects of unauthorized disclosure of entitlement 

event information on the ability of the Federal government to establish qualifications of

individuals to receive government benefits - and to protect individuals and the Federal 

government against fraud. Unauthorized disclosure of raw data and other source information for 

entitlement operations is likely to violate the Privacy Act of 1974 and other regulations 

applicable to the dissemination of personal information. 

Unauthorized disclosure of centrally managed entitlement event information can have a serious 

adverse effect on agency missions. Significant hardships for individuals and very large 

aggregate tort awards against the government can result from large-scale disclosure of some

entitlement event information. Therefore for agencies that manage large income information 

involving records of the general public, the provisional confidentiality impact level can be 

expected to be at least moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for entitlement event information is moderate. 

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Integrity 

The integrity impact level is based on the specific use of the entitlement event information and 

not on the time required to detect the modification or destruction of information. In the case of 

very large databases containing entitlement event information relating to the general public, there 

is a significant probability that erroneous actions will be taken affecting the benefits entitlements 

of large numbers of individuals. This can result in at least short-term financial hardship for 

citizens. It can also be expected to result in serious disruption of the agency operations due to 

the time and resource requirements for taking corrective actions. In such cases, the integrity 

impact level would be at least moderate. 

Special Factors Affecting Integrity Impact Determination: In the case of smaller organizations, and 

where the information affected is limited to employees, the consequences may justify only a low

provisional impact rating. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

entitlement event information is moderate. 

Availability 

The availability impact level is based on the specific use of the entitlement event information and 

not on the time required to re-establish access to the income information. Benefits determination 

processes are generally tolerant of reasonable delays. In many cases, disruption of access to 

entitlement event information can be expected to have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: In the case of very large data bases 

containing entitlement event information relating to the general public, there is a significant 

probability that processing delays will affect the benefits entitlements of large numbers of

individuals. The larger the number of records affected, the longer the delays that can be 

expected to result. This can result in financial hardship for citizens. It can also result in very 

serious disruption of the agency operations due to large time and resource requirements for 

backlog processing. In such cases, the availability impact level would be at least moderate. In 

the case of permanent loss of records, the impact might even be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

income information is moderate. 

C.2.8.11 Representative Payee Information 

Representative payee information includes the information required to determine the need for 

representative payees and the data that is gathered to make the determination of who should 

serve as the representative payee for all beneficiaries of federal benefits who are unable to 

manage their own funds. This also includes accountability information required to provide 

reasonable assurance that the funds are being used appropriately for the well being of entitled 

individuals. The recommended security categorization for the representative payee information 

type is as follows: 

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Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is based on the effects of unauthorized disclosure of

representative payee information on the ability of the Federal government to determine that 

entitlement funds are being used appropriately for the well being of entitled individuals - and to 

protect individuals against identity theft and the Federal government against fraud. 

Unauthorized disclosure of data for representative payee operations is likely to violate the 

Privacy Act of 1974 and other regulations applicable to the dissemination of personal 

information. 

Unauthorized disclosure of centrally managed representative payee information can have a 

serious adverse effect on agency missions and on large numbers of individuals. Great hardship 

for individuals and very large aggregate tort awards against the government can result from

large-scale disclosure of representative payee information. Therefore, in the case of large 

representative payee information databases, the provisional confidentiality impact level can be 

expected to be at least moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for representative payee information is moderate. 

Integrity 

The integrity impact level is based on the specific use of the payee information and not on the 

time required to detect the modification or destruction of information. In the case of very large 

databases containing representative payee information relating to the general public, there is a 

significant probability that erroneous actions will be taken affecting the benefits payments to 

large numbers of individuals. This can result in at least short-term financial hardship for our 

most vulnerable citizens. Loss of integrity can result in serious disruption of the agency 

operations. In such cases, the integrity impact level would be at least moderate. 

Special Factors Affecting Integrity Impact Determination: In the case of fraudulent diversion of 

payments intended for particularly dependent individuals, there can be life-threatening 

consequences. In such cases, a high integrity impact rating may be justified. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

representative payee information is moderate. 

Availability 

The availability impact level is based on the specific use of the representative payee information 

and not on the time required to re-establish access to the representative payee information. 

Benefits payment processes are not necessarily tolerant of delays. In many cases, disruption of 

access to representative payee information can be expected to have a very serious adverse effect 

on individuals. 

74
Special Factors Affecting Availability Impact Determination: In the case of very large data bases 

containing representative payee information relating to the general public, there is a significant 

probability that processing delays will affect the benefits payments to large numbers of

individuals. The larger the number of records affected, the longer the delays that can be 

expected to result. This can result in financial hardship for some individuals and in serious 

disruption of agency operations. In such cases, the availability impact level would be at least 

moderate. In the case of permanent loss of records, the impact might even be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

representative payee information is moderate. 

C.3 Rationale and Factors for Government Resource Management 

Information 

Resource management functions are the back office support activities that enable the government 

to operate effectively. Security objectives and impacts for resource management functions are 

determined by the direct service missions and constituencies ultimately being supported. It is 

likely that all Federal government information systems store, process, and operate under the 

control of IT infrastructure maintenance information (e.g., password files and file and network 

access settings). A basic set of security controls will apply to this information and processes to 

combat potential corruption, misuse, or abuse of system information and processes. 

C.3.1 Administrative Management 

Administrative Management involves the day-to-day management and maintenance of the 

internal infrastructure. Administrative information is usually routine and is relatively low 

impact. However, some administrative management information is either very sensitive (e.g., 

logistics management for nuclear or other hazardous materials, security management 

information, and security clearance management information) or critical (e.g., inventory control 

and logistics management information needed to support time-critical operations). National 

security information is outside the scope of this guideline. [See Appendix A, Glossary of Terms, 

for a definition of national security information/systems.] Routine administrative management 

information systems that do not process classified information are not usually designated 

national security systems, even if they are critical to the direct fulfillment of military or

intelligence missions.13 

C.3.1.1 Facilities, Fleet, and Equipment Management Information Type 

Facilities, Fleet, and Equipment management involves the maintenance, administration, and 

operation of offices buildings, fleets, machinery, and other capital assets considered as 

possessions of the Federal government. Impacts to some information and information systems 

associated with facilities, fleet, and equipment management may affect the security of some key 

national assets (e.g., nuclear power plants, dams, and other government facilities). The following 

75
recommended provisional categorization of the facilities, fleet, and equipment management 

information type is particularly subject to change where critical infrastructure elements or key 

national assets are involved: 

Security Category = {(confidentiality, Low13), (integrity, Low14), (availability, Low14)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of facilities, fleet, and 

equipment management information on the ability of responsible agencies to maintain, 

administer, and operate offices buildings, fleets, machinery, and other capital assets of the 

Federal government. The consequences of unauthorized disclosure of most facilities, fleet, and 

equipment management information are likely to have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Information associated with 

maintenance, administration, and operation of many Federal government office buildings, 

transportation fleets, and operational facilities can be of material use to criminals seeking to gain 

access to Federal facilities in order to facilitate or perpetrate fraud, theft, or some other criminal 

enterprise (e.g., extract inmates from Federal detention facilities). In this case, unauthorized 

disclosure of information can have a serious adverse effect on agency operations, agency assets, 

or individuals. The consequent confidentiality impact would be at least moderate. 

Information associated with maintenance, administration, and operation of other Federal 

government office buildings, transportation fleets, and operational facilities can be of material 

use to terrorists seeking to penetrate and/or commandeer such facilities as part of operations 

intended to harm critical infrastructures, key national assets, or people. Examples of this 

information include information that reveals specific measures respecting limiting access to and 

operation of government aircraft, maintenance and administrative information that might permit 

either covert pedestrian or unimpeded vehicular access to government buildings (e.g., 

Congressional office buildings, FBI Headquarters, the National Archives, Smithsonian 

Institution buildings, dams, nuclear power plants, etc.), and schedules/itineraries of government 

surface transportation fleets (e.g., for transport of executive personnel or hazardous materials). 

In these cases, the confidentiality impact must be considered to be high. 

[Some information regarding transportation and storage of nuclear materials is classified as 

national security related and is outside the scope of this guideline. Other information, such as 

Nuclear Regulatory Commission “SAFEGUARDS” information is not national security 

information, but must have a high confidentiality impact level.]

 

13 Impact level is usually high where safety of major critical infrastructure components or key national assets is at

stake. 14 Impact level is usually moderate to high in emergency situations where time-critical processes affecting human 

safety or major assets are involved. 

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Anticipated or realized unauthorized disclosure of one agency’s facilities, fleet, and equipment 

management information by another agency could result in negative impacts on crossjurisdictional coordination within the facilities, fleet, and equipment management infrastructure 

and the general effectiveness of organizations tasked with facilities, fleet, and/or equipment 

management. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for facilities, fleet, and equipment management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In addition, the 

consequences of unauthorized modification to or destruction of facilities, fleet, and equipment 

management information may depend on the urgency with which the information is needed or 

the immediacy with which the information is used. In most cases, it is unlikely that the 

information will be time-critical or acted upon immediately. 

Special Factors Affecting Integrity Impact Determination: Exceptions may include emergency 

response aspects of disaster management or leadership protection. In such cases, the integrity 

impact level associated with unauthorized modification or destruction of facilities, fleet, and 

equipment management information can be high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

facilities, fleet, and equipment management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the facilities, fleet, and equipment 

management information. Functions supported by most facilities, fleet, and equipment 

management information is tolerant of delays. Typically, disruption of access to facilities, fleet, 

and equipment management information has a limited adverse effect on agency operations 

(including mission functions and public confidence in the agency), agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include emergency 

response aspects of disaster management or leadership protection. In such cases, delays 

measured in seconds can cost lives and major property damage. Consequently, the availability 

impact level associated with unauthorized modification or destruction of facilities, fleet, and 

equipment management information needed to respond to emergencies will be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

facilities, fleet, and equipment management information is low. 

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C.3.1.2 Help Desk Services Information Type

Help Desk Services involves the management of a service center to respond to government 

employees' technical and administrative questions. Subject to exception conditions described 

below, the recommended provisional security categorization for the help desk service 

information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of help desk service 

information on the ability of responsible agencies to manage of service center responses to 

government employees' technical and administrative questions. The consequences of 

unauthorized disclosure of most help desk service information are likely to have only a limited 

adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Information associated with service 

center responses can provide useful information to adversaries seeking to penetrate Federal 

systems. If the contents or functions of a system have sufficient sensitivity and/or criticality, a 

moderate or high impact level may be considered for help desk information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for help desk service information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In addition, the 

consequences of unauthorized modification to or destruction of help desk service information 

usually depends on the urgency with which the information is needed or the immediacy with 

which the information is used. In most cases, it is unlikely that the information will be timecritical or acted upon immediately. 

Special Factors Affecting Integrity Impact Determination: In relatively few cases would the 

consequences of unauthorized modification of help desk information that is acted upon 

immediately result in more than limited damage to agency operations or assets. Exceptions may 

include bogus information regarding operation of communications processors, data base systems, 

or other systems necessary to emergency response aspects of disaster management, criminal 

apprehension, air traffic control or other time-critical missions. In such cases, a moderate or 

high integrity impact level might be considered for unauthorized modification or destruction of 

help desk service information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for help 

desk service information is low. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to help desk service information. 

Typically, disruption of access to help desk service information will have a limited adverse effect 

on agency operations (including mission functions and public confidence in the agency), agency 

assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include emergency 

response components of disaster management or other time-critical functions (e.g., some systems 

that support air traffic control functions). Consequently, the availability impact level associated 

with unauthorized modification or destruction of help desk service information needed to 

respond to emergencies can be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

help desk service information is low. 

C.3.1.3 Security Management Information Type 

Security Management involves the physical protection of an organization’s personnel, assets, and 

facilities. Impacts to some information and information systems associated with security 

management may affect the security of some critical infrastructure elements and key national 

assets (e.g., nuclear power plants, dams, and other government facilities). Impact levels 

associated with security information directly relate to the potential threat to human life 

associated with the asset(s) being protected (e.g., consequences to the public of terrorist access to 

dams or nuclear power plants). The following recommended categorization of the facilities, fleet, 

and equipment management information type is subject to change where critical infrastructure 

elements or key national assets are involved: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of security management 

information on the ability of responsible organizations to physically protect their personnel, 

assets, and facilities. The consequences of unauthorized disclosure of most security management 

information depend on the likelihood that the information might jeopardize the physical security 

of an organization’s assets and the value, and potential for damage of the assets being protected. 

Information associated with the physical security of many Federal government office buildings, 

transportation fleets, and operational facilities can be of material use to criminals seeking to gain 

access to Federal facilities in order to perpetrate a major crime (e.g., extraction of inmates from

Federal detention facilities, theft of commodities market projections, access to information 

associated with a felony criminal investigation or prosecution, theft of blank license issuing 

facilities and/or materials, access to competition-sensitive information associated with major 

procurements, undetected access to national archives or museum properties, access to currency 

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printing facilities or materials, theft of major currency or bullion storage facilities). In such 

cases, unauthorized disclosure if information can have a serious adverse effect on agency 

operations, agency assets, or individuals. Unauthorized disclosure of one agency’s security 

management information by another agency could result in negative impacts on crossjurisdictional coordination within the security management infrastructure and the general 

effectiveness of organizations tasked with physical protection of Federal facilities. The 

consequences of physical protection failures at most Federal facilities are more likely to result in 

serious15 adverse effects. 

Special Factors Affecting Confidentiality Impact Determination: Information associated with security 

management at other Federal government office buildings, transportation fleets, and operational 

facilities can be of material use to terrorists seeking to penetrate and/or commandeer such 

facilities as part of operations intended to harm critical infrastructures, key national assets, or 

people. Examples of more potentially damaging information includes information that reveals 

specific measures for protecting government aircraft, information that might permit access that 

creates an opportunity to bomb a government building (e.g., Congressional office buildings, FBI 

Headquarters, the National Archives, Smithsonian Institution buildings, dams, nuclear power 

plants, etc.), and leadership protection details that could result in assassination opportunities. In 

these cases, the confidentiality impact must be high. 

Unauthorized disclosure of security management information that can be reasonably expected to 

pose a serious threat to human life (including those of security guards) must also be assigned a 

high confidentiality impact. [Security management information associated with some Federal 

government assets is classified. The classified information is national security related and is 

outside the scope of this guideline.] Other security management information, such as that 

affecting Nuclear Regulatory Commission “SAFEGUARDS” or Internal Revenue Service 

“Limited For Official Use Only” information is not national security information, but must be 

treated as having high confidentiality impact. 

 

Recommended Confidentiality Impact Level: The confidentiality impact level recommended for 

most security management information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of security management information 

may depend on the urgency with which the information is needed or the immediacy with which 

the information is used. In cases of intrusion indications, security management information can 

be time-critical. 

 

15 A loss of confidentiality that causes a significant degradation in mission capability, places the agency at a 

significant disadvantage, or results in major damage to assets, requiring extensive corrective actions or repairs. 

80
The consequences of unauthorized modification or destruction of time-critical security 

management information can reasonably be expected to result in physical security 

vulnerabilities. The range of potential consequences is covered above in Confidentiality. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most security management information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the security management information. 

Functions supported by most security management information are tolerant of delays. Typically, 

disruption of access to security management information will have a limited adverse effect on 

agency operations (including mission functions and public confidence in the agency), agency 

assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include alarm and alert 

communications and interconnections for security management systems and automated control 

systems that support security management processes (e.g., door and gate operations in buildings 

to which access is limited such as detention facilities and many Federal office buildings For 

these exceptions, the data is time-critical. The availability impact level associated with 

unauthorized modification or destruction of such alarm, alert, and automated process security 

management information may be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

security management information is low. 

C.3.1.4 Travel Information Type 

Travel involves the activities associated with planning, preparing, and monitoring of business 

related travel for an organization’s employees. The following security categorization is 

recommended for the travel information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of travel information on 

the abilities of responsible agencies to plan, prepare, and monitor business related travel for the 

organization’s employees. Generally, the consequences of unauthorized disclosure of the 

majority of travel information will result in a limited adverse effect on agency operations, agency 

assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of employee 

identification information coupled with credit information (e.g., name, social security number, 

credit card number) can result in moderate to serious consequences for individuals and local 

81
organizations. The Privacy Act Information provisional impact levels are documented in the 

Personal Identity and Authentication information type. 

Unauthorized disclosure of information concerning carrier/provider contract negotiations can 

have significant financial or legal consequences and put an agency at a serious disadvantage. 

Also, severe consequences may result from unauthorized disclosure of information regarding 

leadership travel plans that might jeopardize personnel security or the confidentiality of sensitive 

operations plans. In the most sensitive cases, the confidentiality impact level may be high. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for travel information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of travel information partially depends 

on the urgency with which the information is normally needed and the consequences of aborted 

or modified travel. 

In the case of travel planning information, the effects of such modifications are generally limited 

with respect to agency mission capabilities or assets. There may be scenarios in which integrity 

compromise of travel information may expose Federal leadership to harm or endanger a sensitive 

or critical operation. However, most such scenarios are dealt with in the context of impacts to 

mission operations information (Appendix D). 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

travel information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the travel information. The nature of 

travel processes is usually tolerant of reasonable delays, at least on the agency mission scale. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

travel information is low. 

C.3.1.5 Workplace Policy Development and Management Information Type (Intra-Agency

Only) 

Workplace policy development and management includes all activities required to develop and 

disseminate workplace policies such as dress codes, time reporting requirements, telecommuting, 

etc. The following security categorization is recommended for the workplace policy development 

and management information type: 

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Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of workplace policy 

development and management information on the abilities of responsible agencies to develop 

and disseminate workplace policies such as dress codes, time reporting requirements, and 

telecommuting. The consequences of unauthorized disclosure of the majority of workplace 

policy development and management information will result in a limited adverse effect on 

agency operations, agency assets, or individuals. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for workplace policy development and management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification to or destruction of workplace policy development 

and management information depends primarily on the criticality of the information with respect 

to agency mission capability, protection of agency assets, and safety of individuals. Typically, 

the effects of modification or deletion of this information are generally limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

workplace policy development and management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the workplace policy development and 

management information. Generally, workplace policy development and management processes 

are tolerant of reasonable delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

workplace policy development and management information is low. 

C.3.2 Financial Management 

Financial management involves the aggregate set of accounting practices and procedures that 

allow for the accurate and effective handling of all government revenues, funding, and 

expenditures. Confidentiality impacts associated with financial management information are 

generally associated with the sensitivity of the existence of specific projects, programs, 

and/or technologies that might be revealed by unauthorized disclosure of information. For 

integrity, temporary successful frauds can affect agency image, and corrective actions are 

often disruptive to agency operations. Permanent loss/unavailability of financial 

management information can cripple agency operations. 

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C.3.2.1 Assets and Liability Management Information Type 

Assets and Liability Management provide accounting support for the management of assets and 

liabilities of the Federal government. Assets and liability management activities measure the 

total cost and revenue of Federal programs, and their various elements, activities and outputs. 

Assets and liability management is essential for providing accurate program measurement 

information, performance measures, and financial statements with verifiable reporting of the cost 

of activities. The recommended security categorization for the assets and liability management 

information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of assets and liability 

management information on the ability of responsible agencies to provide accounting support for 

the management of assets and liabilities of the Federal government. Generally, the unauthorized 

disclosure of assets and liability management information will have only a limited adverse effect 

on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some

asset and liability management information for programs that process high-impact information 

can assist some criminals to evade enforcement activities. Examples range from tax evasion 

resulting from unauthorized disclosure of information regarding audit budgets to unauthorized 

disclosure of budget details for specific border control, antiterrorism, or witness protection 

expenditures. Where actions taken based on unauthorized disclosure of assets and liability 

management details pose a threat to human life or a loss of major assets, the confidentiality 

impact is high. 

 

Recommended Confidentiality Impact Level: The recommended provisional confidentiality impact 

level for assets and liability management information is low. 

Integrity 

The accuracy of assets and liability management information is essential to providing accurate 

program measurement information, performance measures, and financial statements with 

verifiable reporting of the cost of activities. The integrity impact level is based on the specific 

mission and the data supporting that mission, not on the time required to detect the modification 

or destruction of information. Also, the consequences of unauthorized modification or 

destruction of assets and liability management information may depend on the urgency with 

which the information is needed. Assets and liability management activities are not generally 

time-critical and a compromise would have only limited adverse effects on agency operations, 

agency assets, or individuals. 

84
Special Factors Affecting Integrity Impact Determination: If reports based on modified or incomplete 

information are circulated, the adverse effect on mission functions and public confidence in the 

agency can be serious. In such cases, the integrity impact would be moderate. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

assets and liability management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the assets and liability management 

information. Assets and liability management processes are generally tolerant of delay. 

Typically, disruption of access to assets and liability management information can be expected to 

have only a limited adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

assets and liability management information is low. 

C.3.2.2 Reporting and Information Information Type 

Reporting and Information includes providing financial information, reporting and analysis of 

financial transactions. Financial reporting includes the activities necessary to support: 

management’s fiduciary role; budget formulation and execution functions; fiscal management of 

program delivery and program decision making; and internal and external reporting 

requirements. The recommended security categorization for the “financial reporting and 

information” information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of financial reporting 

information on an agency’s ability to provide financial information and reporting and analysis of 

financial transactions. Typically, the unauthorized disclosure of financial reporting information 

will have only a limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of financial 

reporting information for programs that process high-impact information can give adversaries 

damaging insights into details of agency plans, priorities, and operations. In relatively rare cases, 

actions taken based on unauthorized disclosure of financial reporting details pose a threat to 

human life or a loss of major assets, so the confidentiality impact is high. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for reporting and information is low. 

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Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Financial 

reporting activities are not generally time-critical. Many integrity compromises would result in 

limited adverse effects on agency operations, agency assets, or individuals. 

If planning documents, proposals, or reports based on modified or incomplete information are 

circulated; the adverse effect on mission functions or public confidence in the agency can be 

serious. In most cases, serious adverse effects on agency operations, agency assets, or

individuals can be expected. The extensive audit and investigative actions that often follow 

discovery of an agency’s use of falsified financial reports or omission of financial reporting data 

can place the agency at a significant disadvantage. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

reporting and information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the assets and liability management 

information. Financial reporting processes are generally tolerant of delay. Typically, disruption 

of access to financial reporting information can be expected to have only a limited adverse effect 

on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact recommended for 

reporting and information is low. 

C.3.2.3 Budget and Finance Information Type

Budget and Finance includes the management of the Federal budget process including the 

development of plans and programs, budgets, and performance outputs and outcomes as well as 

financing Federal programs and operations through appropriation and apportionment of direct 

and reimbursable spending authority, fund transfers, investments and other financing 

mechanisms. Budget and financial management includes the establishment of a system for 

ensuring an organization does not obligate or disburse funds in excess of those appropriated or 

authorized. The recommended security categorization for the budget and finance information 

type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of budget and finance 

information on the ability of responsible agencies to develop plans and programs, budgets, and 

performance outputs and outcomes; and to finance Federal programs and operations through 

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appropriation and apportionment of direct and reimbursable spending authority, fund transfers, 

investments and other financing mechanisms. 

In general, unauthorized disclosure of budget and finance information, particularly of budget 

allocations for specific programs or program elements, can be seriously detrimental to 

government interests in procurement processes. In many instances, such unauthorized disclosure 

is prohibited by executive order or by law (e.g., Federal Acquisition Regulations). Premature 

release of draft budget and finance information can yield advantages to competing interests and 

seriously endanger agency operations – or even agency mission. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of budget 

and finance information for programs that process classified or high-impact information can give 

adversaries damaging insights into details of agency plans, priorities, and operations. (Classified 

programs and systems are outside the scope of this guideline.) In rare cases, actions taken based 

on unauthorized disclosure of funds management details can pose a threat to human life or a loss 

of major assets, so the confidentiality impact would be high. 

Recommended Confidentiality Impact Level: While, in many cases, unauthorized disclosure of 

funds management information will have only a limited adverse effect on agency operations, 

assets, or individuals, the potential for serious harm is such that the provisional confidentiality 

impact level recommended for budget and finance information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Budget and 

finance activities are not generally time-critical. An accumulation of small changes to data or 

deletion of small entries can result in budget shortfalls or cases of excessive obligations or 

disbursements. 

Recommended Integrity Impact Level: In most cases, the adverse effects of consequent negative 

publicity on mission functions, image or public confidence in the agency can be serious. 

Therefore, the provisional integrity impact level recommended for budget and finance 

information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the budget and finance information. 

Budget and finance processes are generally tolerant of delay. Typically, disruption of access to 

budget and finance information can be expected to have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

budget and finance information is low. 

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C.3.2.4 Accounting Information Type 

Accounting entails accounting for assets, liabilities, fund balances, revenues and expenses 

associated with the maintenance of Federal funds and expenditure of Federal appropriations 

(Salaries and Expenses, Operation and Maintenance, Procurement, Working Capital, Trust 

Funds, etc.), in accordance with applicable Federal standards (FASAB, Treasury, OMB, GAO, 

etc.). The recommended security categorization for the accounting information type is as 

follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of accounting

information on the abilities of government agencies to maintain Federal funds and expenditure of 

Federal appropriations in accordance with applicable Federal standards. Unauthorized disclosure 

of accounting information for programs that process classified or high-impact information can 

give adversaries damaging insights into details of agency plans, priorities, and operations. In 

most cases, unauthorized disclosure of accounting information will have only a limited adverse 

effect on agency operations, assets, or individuals. (Classified programs and systems are outside 

the scope of this guideline.) 

Special Factors Affecting Confidentiality Impact Determination: In relatively rare cases, actions taken 

based on unauthorized disclosure of accounting details can pose a threat to human life or a loss 

of major assets, so the confidentiality impact would be high. 

In some cases, unauthorized disclosure of accounting information can violate proprietary 

information or other non-disclosure agreements. In such cases, the government may suffer not 

only a loss of public confidence, but may become vulnerable to legal actions. Where sensitive or 

proprietary information is involved, the impact of unauthorized disclosure is likely to be 

moderate. Where the accounting information is involved in an audit associated with suspected 

fraud or other criminal activities, the investigation may be imperiled. Here too, the impact of 

unauthorized disclosure is likely to be moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for accounting information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Accounting 

activities are not generally time-critical. An accumulation of small changes to data or deletion of 

small entries can result in cost overruns and other cases of excessive obligations or 

disbursements. In most cases, the adverse effects of consequent negative publicity and 

institution of corrective action programs on mission functions and public confidence in the 

agency can be serious. 

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Special Factors Affecting Integrity Impact Determination: In some cases, undetected integrity 

compromises can be extremely expensive to the government and its employees in terms of both 

monetary losses and loss of reputation. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

accounting information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the accounting information. 

Accounting processes are generally tolerant of delay. Typically, disruption of access to 

accounting information can be expected to have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

accounting information is low. 

C.3.2.5 Payments Information Type

Payments include disbursements of Federal funds, via a variety of mechanisms, to Federal and 

private individuals, Federal agencies, state, local and international Governments, and the private 

sector, to effect payment for goods and services, or distribute entitlements, benefits, grants, 

subsidies, loans, or claims. Payment management provides appropriate control over all 

payments made by or on behalf of an organization, including but not limited to payments made 

to: vendors in accordance with contracts, purchase orders and other obligating documents; state 

governments under a variety of programs; employees for salaries and expense reimbursements; 

other Federal agencies for reimbursable work performed; individual citizens receiving Federal 

benefits; and recipients of Federal loans. The recommended security categorization for the 

payments information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of payments information 

on the ability of responsible agencies to provide appropriate control over all payments made by 

or on behalf of an organization. In most cases, unauthorized disclosure of payments information 

will have only a limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Payment information typically 

includes information needed for electronic payments such as bank account numbers. 

Unauthorized access to this type of information could result in significant financial loss for both 

the Federal government and its payees. Where payment activities are part of an agency’s service 

delivery mission (e.g., payment of benefits), Privacy Act information and other information 

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subject to statutory or regulatory dissemination controls must appear in the payment vehicles 

(e.g., name and social security number on check records). (The provisional impact levels for 

personnel information are documented in the Personal Identity and Authentication, Income, 

Representative Payee, and Entitlement Event information types.) In such cases, the 

confidentiality impact level can be at least moderate. (See C.2.8.8.) 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for payments information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Payments 

activities are not generally time-critical. An accumulation of small changes to data or deletion of 

small entries can result in cost overruns and other cases of excessive disbursements. In most 

cases, the adverse effects of consequent negative publicity and institution of corrective action 

programs on mission functions or public confidence in the agency can be serious. 

Special Factors Affecting Integrity Impact Determination: Where payment activities are part of an 

agency’s service delivery mission (e.g., payment of benefits), the consequences of integrity 

compromises that result in failure of payments to go to the appropriate entity can range from

minor to life-threatening. In such cases, the availability impact level can be high. (See C.2.8.11.) 

Recommended Integrity Impact Level: For most Federal government payment systems, the 

provisional integrity impact level recommended for payments information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the payments information. Payment 

processes are generally tolerant of delay. Typically, disruption of access to payments information 

can be expected to have only a limited adverse effect on agency operations, agency assets, or 

individuals. 

Special Factors Affecting Availability Impact Determination: Where payment activities are part of an 

agency’s service delivery mission (e.g., payment of benefits), the consequences of loss of 

information availability that result in failure of payments to go to the appropriate entity can range 

from minor to life-threatening. In such cases, the availability impact level can be moderate or 

high. (See C.2.8.11.) 

Recommended Availability Impact Level: For most Federal government payment systems, the 

provisional availability impact level recommended for payments information is low. 

C.3.2.6 Collections and Receivables Information Type 

Collections and Receivables include deposits, fund transfers, and receipts for sales or service. 

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Receivable management supports activities associated with recognizing and recording debts due 

to the Government, performing follow-up actions to collect on these debts, and recording cash 

receipts. The recommended security categorization for the collections and receivables 

information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of collections and 

receivables information on the ability of responsible agencies to recognize and record debts due 

to the Government, perform follow-up actions to collect on these debts, and record cash receipts. 

In most cases, unauthorized disclosure of receivable management information will have only a 

limited adverse effect on agency operations, assets, or individuals. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for collections and receivables information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. An 

accumulation of small changes to data or deletion of small entries can result in revenue 

shortfalls. In most cases, the adverse effects of consequent negative publicity and institution of 

corrective action programs on mission functions or public confidence in the agency can be 

serious. 

Recommended Integrity Impact Level: The provisional integrity impact recommended for 

collections and receivables information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the collections and receivables 

information. Collections and receivables processes are generally tolerant of delay. Typically, 

disruption of access to collections and receivables information can be expected to have only a 

limited adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

collections and receivables information is low. 

C.3.3 Human Resources 

Human resources activities involve all activities associated with the recruitment and 

management of personnel. 

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C.3.3.1 Benefits Management Information Type 

Benefits management involves the administration of entitled benefits for federal personnel such 

as retirement, medical, disability, and insurance. The following security categorization is 

recommended for the benefits management information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of benefits management 

information on the abilities of responsible agencies to administer entitled benefits for federal 

personnel such as retirement, medical, disability, and insurance. The consequences of 

unauthorized disclosure of the majority of benefits management information will result in a 

limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will probably be personal information subject to the Privacy Act of 1974, the Health 

Insurance Portability and Accountability Act of 1996, or information that is proprietary to a 

corporation or other organization. In such cases, the consequences of unauthorized disclosure of 

benefits management information could be serious (particularly in cases of exposure of large 

data bases that might reveal private medical information or facilitate identity theft or other 

financial fraud). (The provisional impact levels for personnel information are documented in the 

Personal Identity and Authentication, Income, and Entitlement Event information types.) In such

cases, the confidentiality impact level would be moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for benefits management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of benefits management information 

depends mostly on the criticality of the information with respect to agency mission capability, 

protection of agency assets, and safety of individuals. In general, the effects of modifications or 

deletion of this information are generally limited with respect to agency mission capabilities or 

assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

benefits management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the benefits management information. 

Typically, benefits management processes are tolerant of reasonable delays. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

benefits management information is low. 

C.3.3.2 Personnel Management Information Type 

Personnel Management involves the general management of the federal workforce, including but 

not limited to functions such as personnel action processing, employee tracking, position 

classification and management, discipline/grievance, advancement and awards, labor relations, 

etc. The following security categorization is recommended for the personnel management 

information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of personnel 

management information on the abilities of responsible agencies to manage the federal 

workforce. The consequences of unauthorized disclosure of the majority of personnel 

management information will result in a limited adverse effect on agency operations, agency 

assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will probably be personal information subject to the Privacy Act of 1974, the Health 

Insurance Portability and Accountability Act of 1996, or other laws and executive orders 

affecting the dissemination of information regarding individuals. (The provisional impact levels 

for personnel information are documented in the Personal Identity and Authentication, Income, 

Representative Payee, and Entitlement Event information types.) In such cases, the 

consequences of unauthorized disclosure of personnel management information could be serious. 

In such cases, the confidentiality impact level might be moderate. In a few cases (e.g., where 

some employees are potential targets for retaliation by criminal elements or targets of foreign 

intelligence organizations), unauthorized disclosure of some personnel management information 

(e.g., name, address, title, organization, dependents’ information) can have life-threatening 

consequences and has a high confidentiality impact level. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for personnel management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of personnel management information 

depends mostly on the criticality of the information with respect to agency mission capability, 

protection of agency assets, and safety of individuals. Although there can be serious short-term

93
effects for individuals, the effects of modifications or deletion of this information are generally 

limited with respect to agency mission capabilities or assets. 

Special Factors Affecting Integrity Impact Determination: In some cases (e.g., where an agency’s 

mission is strongly dependent on organized labor), integrity compromises that adversely affect a 

significant subset of the workforce can result in work stoppages that adversely affect the 

agency’s mission. Where interruptions to agency missions can have serious or life-threatening 

consequences for individuals, the impacts of integrity compromises can be moderate or even 

high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

personnel management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the personnel management 

information. Typically, personnel management processes are tolerant of reasonable delays. 

Special Factors Affecting Availability Impact Determination: In some cases (e.g., where an agency’s 

mission is strongly dependent on organized labor), loss of availability of information that 

adversely affects a significant subset of the workforce can result in work stoppages that 

adversely affect the agency’s mission. Where interruptions to agency missions can have serious 

or life-threatening consequences for individuals, the impacts of availability compromises can be 

moderate or even high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

personnel management information is low. 

C.3.3.3 Payroll Management and Expense Reimbursement Information Type 

Payroll management and expense reimbursement involves the administration and determination 

of federal employee compensation. Note: See payments information type for the actual payment 

of salary and expenses. The recommended security categorization for the payroll management 

and expense reimbursement information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of payroll management 

and expense reimbursement information on the ability of responsible agencies to administer and 

determine Federal employee compensation. In most cases, unauthorized disclosure of payroll 

management and expense reimbursement information will have only a limited adverse effect on 

agency operations, assets, or individuals. 

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Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will probably be personal information subject to the Privacy Act of 1974. The 

Privacy Act Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. In a few cases (e.g., where some employees are potential 

targets for retaliation by criminal elements or targets of foreign intelligence organizations), 

unauthorized disclosure of some payroll management and expense reimbursement information 

(e.g., name, address, title, organization, dependents’ information) can have life-threatening 

consequences and has a high confidentiality impact level. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for payroll management and expense reimbursement information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Payroll 

management and expense reimbursement activities are not generally time-critical. 

Special Factors Affecting Integrity Impact Determination: An accumulation of small changes to data 

or deletion of small entries can result in excessive disbursements. In some cases, the adverse 

effects of consequent negative publicity on mission functions or public confidence in the agency 

can be serious. In some other cases (e.g., where an agency’s mission is strongly dependent on 

organized labor), integrity compromises that adversely affect a significant subset of the 

workforce can result in work stoppages that adversely affect the agency’s mission. Where 

interruptions to agency missions can have serious or life-threatening consequences for 

individuals, the impacts of integrity compromises can be moderate or even high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

payroll management and expense reimbursement information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the payroll management and expense 

reimbursement information. Payment processes are generally tolerant of delay. Typically, 

disruption of access to payroll management and expense reimbursement information can be 

expected to have only a limited adverse effect on agency operations, agency assets, or 

individuals. 

Special Factors Affecting Availability Impact Determination: In some cases (e.g., where an agency’s 

mission is strongly dependent on organized labor), loss of availability of information that 

adversely affects a significant subset of the workforce can result in work stoppages that 

adversely affect the agency’s mission. Where interruptions to agency missions can have serious 

or life-threatening consequences for individuals, the impacts of availability compromises can be 

moderate or even high. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

payroll management and expense reimbursement information is low. 

C.3.3.4 Resource Training and Development Information Type 

Resource training and development refers to the active building of capacities in staff members 

through formal, technical, or other means of education. The recommended security 

categorization for the resource training and development information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of resource training and 

development information on the ability of responsible agencies to build capacities in staff 

members through formal, technical, or other means of education. In most cases, unauthorized 

disclosure of resource training and development information will have only a limited adverse 

effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will probably be personal information subject to the Privacy Act of 1974. The 

Privacy Act Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. This can result in assignment of a moderate impact level to 

such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for resource training and development information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of resource training and development 

information depends mostly on the criticality of the information with respect to agency mission 

capability, protection of agency assets, and safety of individuals. Although there can be serious 

short-term effects for individuals, the effects of modifications or deletion of this information are 

generally limited with respect to agency mission capabilities or assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

resource training and development information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the payroll management and expense 

96
reimbursement information. Typically, resource training and development processes are tolerant 

of reasonable delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

resource training and development information is low. 

C.3.3.5 Security Clearance Management Information Type 

Security clearance management refers to the processes associated with ensuring employees, 

contractors, and others have been approved to enter Federal buildings, utilize Federal services, 

and access sensitive information. This includes eligibility determination, badge issuance, 

clearance tracking, and security verification services. Impacts to some information and 

information systems associated with security clearance management may affect the security of 

critical infrastructures and key national assets. Also, although much information associated with 

security clearance management is national security related (outside the scope of this guideline); 

security clearance management, as used in this guideline, is not restricted to national security 

applications. The following security categorization is recommended for the security clearance 

management information type: 

Security Category = {(confidentiality, Low), (integrity, moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of security clearance

information on the abilities of responsible agencies to manage access eligibility determination, 

badge issuance, clearance tracking, and security verification services for Federal information and 

facilities. The consequences of unauthorized disclosure of the majority of security clearance

management information can facilitate attempts by terrorists, other criminals, and other 

unauthorized individuals to enter Federal buildings, utilize Federal services, and access sensitive 

information. The consequences can range from limited loss of public confidence in an agency to 

serious or catastrophic adverse effects on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where terrorist acts are enabled, the 

confidentiality impact must be high. In cases of critical infrastructure facilities, key national 

assets, law enforcement facilities, and homeland security facilities, the confidentiality impact 

must be high. 

Recommended Confidentiality Impact Level: For most Federal government systems, only limited 

harm is expected to result from unauthorized disclosure of security clearance management 

information. Consequently, the provisional confidentiality impact level recommended for 

security clearance management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

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consequences of unauthorized modification or destruction of security clearance information 

depends primarily on the criticality of the information with respect to agency mission capability,

protection of agency assets, and safety of individuals. Modified security clearance management 

information can be used to facilitate attempts by terrorists, other criminals, and other 

unauthorized individuals to enter Federal buildings, utilize Federal services, and access sensitive 

information. The consequences can range from limited loss of public confidence in an agency to 

serious or catastrophic adverse effects on agency operations, agency assets, or individuals. 

Special Factors Affecting Integrity Impact Determination: The consequences of modifications or 

deletion of security clearance management information may be significant with respect to agency 

mission capabilities or assets. Where terrorist acts are enabled, the integrity impact must be high. 

In cases of critical infrastructure facilities, key national assets, law enforcement facilities, and 

homeland security facilities, the integrity impact must be high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

security clearance management information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the security clearance information. 

Loss of availability of security clearance management information may result in denial of

access to Federal government facilities and information. The security clearance processes 

are generally tolerant of reasonable delays. 

Recommended Availability Impact Level: For most Federal government systems, only limited harm

is expected to result from unauthorized disclosure of security clearance management

information. Consequently, the provisional availability impact level recommended for security 

clearance management information is low. 

C.3.3.6 Staff Recruitment and Employment Information Type 

Staff recruitment and employment refers to the active marketing and hiring of personnel to fill 

opportunities and vacancies within an organization. The recommended security categorization 

for the staff recruitment and employment information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of staff recruitment and 

employment information on the ability of responsible agencies to market and hire personnel to 

fill opportunities and vacancies within an organization. In most cases, unauthorized disclosure 

of staff recruitment and employment information will have only a limited adverse effect on 

agency operations, assets, or individuals. 

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Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will probably be personal information subject to the Privacy Act of 1974. The 

Privacy Act Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. This can result in assignment of a moderate impact level to 

such information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for staff recruitment and employment information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of staff recruitment and employment 

information depends mostly on the criticality of the information with respect to agency mission 

capability, protection of agency assets, and safety of individuals. Although there can be serious 

short-term effects for individuals, the effects of modifications or deletion of this information are 

generally limited with respect to agency mission capabilities or assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

staff recruitment and employment information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the staff recruitment and employment 

information. The nature of staff recruitment and employment processes is tolerant of reasonable 

delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

staff recruitment and employment information is low. 

C.3.4 Supply Chain Management 

Supply chain management involves the purchasing, tracking, and overall management of 

goods and services. 

C.3.4.1 Goods Acquisition Information Type 

Goods acquisition involves the procurement of physical goods, products, and capital assets to be

used by the Federal government. The recommended security categorization for the goods 

acquisition information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

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Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of goods acquisition 

information on the ability of agencies to procure physical goods, products, and capital assets to 

be used by the Federal government. The consequences of unauthorized disclosure of most goods 

acquisition information will have only a limited adverse effect on agency operations, agency 

assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of 

information associated with large procurements can result in fraud, waste, abuse, and/or legal 

proceedings that can have a serious to severe effect on Federal government assets and operations. 

Also, information associated with acquisition of many Federal government facilities can be 

useful to criminals seeking to gain access to those facilities. In these cases, unauthorized 

disclosure of information can have a serious adverse effect on agency operations, agency assets, 

or individuals. The consequent confidentiality impact would range from moderate to high. Also, 

unauthorized disclosure of one agency’s goods acquisition information by another agency could 

result in negative impacts on cross-jurisdictional coordination within the goods acquisition 

infrastructure and the general effectiveness of organizations tasked with acquisition of

government facilities and supplies. Additionally, some procurement information associated with

proposals is proprietary. In the case of competitive procurements, much information associated 

with unsuccessful bids remains proprietary following award of the contract (e.g., pricing 

information). Unauthorized disclosure of proprietary information can have serious consequences 

for agencies and have at least a moderate confidentiality impact level. Some procurement 

information is classified. The classified information is national security related and is outside 

the scope of this guideline. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for goods acquisition information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of goods acquisition information 

usually depends on the urgency with which the information is needed or the immediacy with 

which the information is used 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external publication of goods acquisition information (e.g., web pages, 

electronic mail) may adversely affect public confidence in the agency. However, damage to the 

mission would usually be limited. Unauthorized modification or destruction of information 

relating to procurement actions (particularly proposal information) can result in serious 

disruption of procurement processes that can be important or even critical to agency operations. 

In such cases, the integrity impact level can be moderate or even high. 

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Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

modification or destruction of most goods acquisition information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the goods acquisition information. 

Functions and processes supported by most goods acquisition information are tolerant of 

delays i.e., the data supporting the functions/processes are not time-critical. Typically, 

disruption of access will have a limited adverse effect on agency operations (including

mission functions and public confidence in the agency), agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include emergency 

procurements necessary to support response aspects of disaster management. In such cases, 

delays may cost lives and major property damage. Consequently, the availability impact 

level associated with disruption of access to goods acquisition information needed to respond 

to emergencies may be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

goods acquisition information is low. 

C.3.4.2 Inventory Control Information Type 

Inventory control refers to the tracking of information related to procured assets and resources 

with regards to quantity, quality, and location. The recommended security categorization for the 

inventory control information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of inventory control 

information on the ability of agencies to track information related to procured assets and 

resources with regards to quantity, quality, and location. The consequences of unauthorized 

disclosure of most inventory control information are likely to have only a limited adverse effect 

on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of 

information associated with inventories of hazardous materials (e.g., radioactive materials, 

toxins, bio-hazardous items, explosives) can facilitate terrorist or other criminal activities that 

may result in serious effects on Federal government assets and operations and on the general 

public. In general, inventory control information can be of material use to criminals seeking to 

perpetrate fraud, theft, or some other criminal enterprise. In these cases too, unauthorized 

disclosure of information can have a serious adverse effect on agency operations, agency assets, 

or individuals. The consequent confidentiality impact of these types of criminal exploitation of 

unauthorized disclosure of inventory control information would range from moderate to high. 

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Also, unauthorized disclosure of one agency’s inventory control information by another agency 

could result in negative impacts on cross-jurisdictional coordination within the inventory control 

infrastructure and the general effectiveness of organizations tasked with the distribution and 

accounting of government facilities and supplies. Some inventory control information is 

classified. The classified information is national security related and is outside the scope of this 

guideline. 

Recommended Confidentiality Impact Level: Regardless of the moderate or high impact associated 

with unauthorized disclosure of some inventory control information, the provisional 

confidentiality impact level recommended for inventory control information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of inventory control information 

usually depends on the urgency with which the information is needed or the immediacy with 

which the information is used. In most cases, it is unlikely that the information will be needed 

urgently or acted upon immediately. 

Unauthorized modification or destruction of information affecting external publication of 

inventory control information (e.g., web pages, electronic mail) may adversely affect public 

confidence in the agency. However, damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

inventory control information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to inventory control information. 

Functions and processes supported by most inventory control information are tolerant of 

delays i.e., the data supporting the functions/processes are not time-critical. Typically, 

disruption of access to inventory control information will have a limited adverse effect on 

agency operations (including mission functions and public confidence in the agency), agency 

assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include emergency 

requirements to access and distribute materials necessary for disaster management. In such 

cases, delays may cost lives and major property damage. Consequently, the impact level for 

inventory control information needed to respond to emergencies will be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

inventory control information is low. 

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C.3.4.3 Logistics Management Information Type 

Logistics management involves the planning and tracking of personnel and their resources in 

relation to their availability and location. The recommended security categorization for the 

logistics management information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of logistics management 

information on the ability of agencies to plan and track the availability and location of personnel 

and their resources. The consequences of unauthorized disclosure of most logistics management

information are likely to have only limited adverse effects on agency operations, agency assets, 

or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of logistics 

information associated with homeland security, law enforcement and some transportation 

activities (e.g., air transport) can facilitate terrorist or other criminal activities that may result in 

serious on Federal government assets and operations and on the general public. Logistics 

management information associated with a broad range of mission areas can be of material use to 

criminals seeking to perpetrate fraud, theft, or other criminal enterprises. Also, this information 

is a key intelligence target for those seeking information on defense or law enforcement 

capabilities, dispositions and intent. In all these cases, the unauthorized disclosure of logistics 

management information may result in serious adverse effects on agency operations, agency 

assets, and individuals. Therefore, the confidentiality impact level for these types of criminal 

exploitation of unauthorized disclosure of logistics management information will range from

moderate to high. Some logistics management information is classified (e.g., some military 

logistics information). The classified information is national security related and is outside the 

scope of this guideline. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most logistics management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of logistics management information 

usually depends on the urgency with which the information is needed or the immediacy with 

which the information is used. In most cases, the information will not be needed urgently or 

acted upon immediately. 

Unauthorized modification or destruction of information affecting external publication of 

logistics management information (e.g., web pages, electronic mail) may adversely affect public 

confidence in the agency. However, damage to the mission would usually be limited. 

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Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

logistics management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to logistics management information. 

Functions and processes supported by most logistics management information are tolerant of 

delays i.e., the data supporting the functions/processes are not time-critical. Typically, 

disruption of access to logistics management information will have a limited adverse effect 

on agency operations (including mission functions and public confidence in the agency), 

agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include emergency 

requirements to deploy personnel and their resources to support disaster management. In 

such cases, delays may cost lives and major property damage. Consequently, the impact 

level for logistics management information needed to respond to emergencies will be high. 

Recommended Availability Impact Level: The availability impact level recommended for logistics 

management information is low. 

C.3.4.4 Services Acquisition Information Type

Services acquisition involves the oversight and/or management of contractors and service 

providers from the private sector. The recommended security categorization for the services 

acquisition information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of services acquisition 

information on the ability of agencies to oversee and/or manage contractors and service 

providers from the private sector. The consequences of unauthorized disclosure of most services 

acquisition information are likely to have only a limited adverse effect on agency operations, 

agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of 

information associated with very large procurements can result in fraud, waste, abuse, and/or 

legal proceedings that can have a serious effect on Federal government assets and operations. 

Also, information associated with acquisition of some services (e.g., security or protection 

services) can be of material use to criminals seeking to gain access to Federal facilities or 

information in order to facilitate or perpetrate sabotage, murder, fraud, theft, or other criminal 

enterprises. In these cases, unauthorized disclosure of information can have a serious adverse 

effect on agency operations, agency assets, and/or individuals. The consequent confidentiality 

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impact will range from moderate to high. Additionally, some procurement information 

associated with proposals is proprietary. In the case of competitive procurements, much 

information associated with unsuccessful bids remains proprietary following award of the 

contract (e.g., pricing information). Unauthorized disclosure of proprietary information can have 

serious consequences for agencies and have at least a moderate confidentiality impact level. 

Some services procurement information is classified. The classified information is national 

security related and is outside the scope of this guideline. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most services acquisition information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of services acquisition information 

usually depends on the urgency with which the information is needed or the immediacy with 

which the information is used. In most cases, the information will not be needed urgently or 

acted upon immediately. Also, unauthorized modification or destruction of information affecting 

external publication of services acquisition information (e.g., web pages, electronic mail) may 

adversely affect public confidence in the agency. However, damage to the mission would 

usually be limited. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information relating to procurement actions (particularly proposal information) can result in 

serious disruption of procurement processes and loss of availability of services that can be 

important or even critical to agency operations. In such cases, the integrity impact level can be 

moderate or even high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most services acquisition information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to services acquisition information. 

Functions and processes supported by most services acquisition information are tolerant of 

delays i.e., the data supporting the functions/processes are not time-critical. In most cases, 

disruption of access to services procurement information can be expected to have a limited 

adverse effect on agency operations (including mission functions and public confidence in 

the agency), agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

services acquisition information is low. 

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C.3.5 Information and Technology Management 

IT management involves the coordination of IT resources and systems required to support or 

enable a citizen service. Impacts to information associated with the operation of IT systems 

generally need to be considered even when all mission-related information processed by the 

system is intended to be available to the general public. The relevant issues may be different 

for integrity and availability than for confidentiality. Information that has been made public, 

by definition, requires no confidentiality protection. In contrast, integrity and availability 

protection cannot be maintained for copies of information that have been distributed to the 

public. Integrity and availability assurance can only be maintained by maintaining copies of

information in organization-controlled information systems. 

C.3.5.1 System Development Information Type 

System Development supports all activities associated with the in-house design and development 

of software applications. The recommended security categorization for the system development 

information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of system development 

information on the ability of responsible agencies to design and develop software applications inhouse. In the system development phase, a system’s security configuration baseline is 

established. In most cases, the system development information is not particularly sensitive and 

is distributed to the users. In general, disclosure of the system development information is likely 

to result in only limited adverse effects on the confidentiality of system information and 

processes. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for system development information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of system development information 

depend on the maximum aggregate sensitivity and criticality of the information and processes 

associated with the system. 

Special Factors Affecting Integrity Impact Determination: The Recommended Integrity Impact Level 

may range from low to high to national security information (outside the scope of this 

guideline). 

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Recommended Integrity Impact Level: The provisional integrity impact level recommended for most 

system development information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to system development information. 

Functions and processes supported by most system development information are not timecritical. That is, temporary disruption of access to system development information will 

usually have only a limited adverse effect on agency operations (including mission functions 

and public confidence in the agency), agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

system development information is low. 

C.3.5.2 Lifecycle/Change Management Information Type

Lifecycle/Change Management involves the processes that facilitate a smooth evolution, 

composition, and workforce transition of the design and implementation of changes to agency 

resources such as assets, methodologies, systems, or procedures. The recommended security 

categorization for the lifecycle/change management information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of lifecycle/change 

management information on the ability of responsible agencies to execute processes that 

facilitate a smooth evolution, composition, and workforce transition of the design and 

implementation of changes to agency resources such as assets, methodologies, systems, or 

procedures. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some

lifecycle/change management information can provide adversaries with intelligence information 

that may be useful in efforts to compromise the system. This can result in assignment of a 

moderate impact level to such information. Additionally, there are legislative mandates 

prohibiting unauthorized disclosure of trade secrets. Trade secrets will generally be assigned a 

moderate confidentiality impact level. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for lifecycle/change management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of undetected or unauthorized modification or destruction of lifecycle/change 

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management information depends on the maximum aggregate sensitivity and criticality of the 

information and processes associated with the system. 

Special Factors Affecting Integrity Impact Determination: The Recommended Integrity Impact Level 

can range from low to high to national security information (outside the scope of this guideline). 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

lifecycle/change management information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to lifecycle/change management 

information. Functions and processes supported by most lifecycle/change management

information are not time-critical. That is, temporary disruption of access to lifecycle/change 

management information will usually have only a limited adverse effect on agency 

operations (including mission functions and public confidence in the agency), agency assets, 

or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

lifecycle/change management information is low. 

C.3.5.3 System Maintenance Information Type

System Maintenance supports all activities associated with the maintenance of in-house designed 

software applications. The recommended security categorization for the system maintenance 

information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of system maintenance 

information on the ability of responsible agencies to maintain in-house designed software 

applications. In most cases, system maintenance information is not particularly sensitive and is 

distributed to the users. In general, disclosure of system maintenance information is likely to 

result in only limited adverse effects on the confidentiality of system information and processes. 

Recommended Confidentiality Impact Level: The provisional impact level recommended for system

maintenance information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of system maintenance information 

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can be particularly serious because specific modifications to system changes can be difficult to 

identify. 

Special Factors Affecting Integrity Impact Determination: The consequences of undetected or 

unauthorized modification or destruction of system maintenance information may depend on the 

maximum aggregate sensitivity and criticality of the information and processes associated with 

the system. The Recommended Integrity Impact Level can range from low to high to national 

security information (outside the scope of this guideline). 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

system maintenance information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to maintenance information. 

Functions and processes supported by most maintenance information are not time-critical. 

That is, temporary disruption of access to maintenance information will usually have only a 

limited adverse effect on agency operations (including mission functions and public 

confidence in the agency), agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

system maintenance information is low. 

C.3.5.4 IT Infrastructure Maintenance Information Type

IT infrastructure maintenance involves the planning, design, implementation, and maintenance of 

an IT Infrastructure to effectively support automated needs (i.e. operating systems, applications 

software, platforms, networks, servers, printers, etc.). IT infrastructure maintenance also 

includes information systems configuration and security policy enforcement information. This 

information includes password files, network access rules and implementing files and/or switch 

setting, hardware and software configuration settings, and documentation that may affect access 

to the information system’s data, programs, and/or processes. The impact levels associated with 

IT infrastructure maintenance information are primarily a function of the information processed 

in and through that infrastructure. 

The IT Maintenance Information type represents a complex set of data elements that are used to 

secure the design, implementation, and maintenance of systems and networks. The security of 

each of these data elements is dependent on the security of the other data elements. Security 

compromise of one data element type will propagate to others. 

The recommended security categorization for the IT infrastructure maintenance information type 

is as follows: 

Security Category = {(confidentiality, System High), (integrity, Low), (availability, Low)} 

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Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of IT infrastructure 

maintenance information on the ability of responsible agencies to plan, design, implement, and 

maintain an IT Infrastructure to effectively support automated needs (i.e. operating systems, 

applications software, platforms, networks, servers, printers, etc.). [See also Appendixes C.3.5.5, 

IT Security Information and C.3.5.7, Information Management Information.] IT infrastructure 

maintenance also includes information systems configuration and security policy enforcement 

information. Unauthorized disclosure of some IT infrastructure maintenance information can 

lead to confidentiality compromise of information processed by the system (e.g., password files, 

file access tables, cryptographic keying information, network access rules, and hardware and 

software configuration settings, and documentation that may affect access to the information 

system’s data, programs, and/or processes). As a result, the confidentiality impact associated 

with this information is that of the highest impact information processed by the system. Also, a 

higher confidentiality impact may be associated with information in aggregate than is associated 

with any single element of information. 

Recommended Confidentiality Impact Level: Particularly in the case of passwords and 

cryptographic keys, the provisional impact level recommended for IT infrastructure maintenance 

information depends on the sensitivity and criticality of system information and processes. As a 

result the recommended provisional impact level is “system high.” 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of IT infrastructure maintenance 

information usually depends on the urgency with which the data processed in the IT 

infrastructure is needed or the time-critical nature of the data. In most cases, it is unlikely that the 

information will be needed urgently or acted upon immediately. In most cases, the consequences 

of unauthorized modification of IT infrastructure maintenance information will result in limited 

damage to agency operations or assets. 

Special Factors Affecting Integrity Impact Determination: Exceptions may include incorrect 

information used for emergency response aspects of disaster management, criminal 

apprehension, air traffic control or other time-critical missions. In such cases, a moderate or 

high integrity impact level might be considered. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for IT 

infrastructure maintenance information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to IT infrastructure maintenance 

information. Functions and processes supported by most IT infrastructure maintenance 

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information are not time-critical. Also, disruption of access will have a limited adverse effect 

on agency operations (including mission functions and public confidence in the agency), 

agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include emergency 

response aspects of disaster management or other high load and time critical functions (e.g., 

some systems that support air traffic control functions). The effects of disruption of access to 

IT infrastructure maintenance information or information systems may be to deny missioncritical IT resources to all affected organizations. The availability impact level associated 

with denial-of-service to IT infrastructure maintenance information needed to respond to 

emergencies or critical to public safety can be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

IT infrastructure maintenance information is low. 

C.3.5.5 IT Security Information Type 

IT Security involves all functions pertaining to the securing of Federal data and systems through 

the creation and definition of security policies, procedures and controls covering such services as 

identification, authentication, and non-repudiation. The recommended security categorization 

for the IT security information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of IT security

information on the ability of responsible agencies to secure Federal data and systems through the 

creation and definition of security policies, procedures and controls covering such services as 

identification, authentication, and non-repudiation. In most cases, the security policy, 

procedures, and available controls are not particularly sensitive. Typically, the security 

information is used in initializing and implementing the controls (e.g., passwords, cryptographic 

keys) that need to be protected. In general, disclosure of the security policies, procedures, and 

controls will result in only limited adverse effects on the confidentiality system information and 

processes. 

Recommended Confidentiality Impact Level: The recommended provisional confidentiality impact 

level recommended for IT security information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for IT 

security information is moderate. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to IT security information. Temporary 

disruption of access to IT security information can usually be expected to have a limited 

adverse effect on agency operations (including mission functions and public confidence in 

the agency), agency assets, or individuals. 

 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

IT security information is low. 

C.3.5.6 Record Retention Information Type 

Records Retention involves the operations surrounding the management of the official 

documents and records for an agency. Subject to exception conditions described below, the 

recommended security categorization for the record retention information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of record retention 

information on the ability of responsible organizations to store, track, account for, maintain, 

retrieve, and disseminate official documents and records. When the data being retained belongs 

to one of the information types described in this guideline, the confidentiality impact assigned 

the data and system is at least that of the highest impact information type collected. Typically, 

the unauthorized disclosure of most business management information retained will have only a 

limited adverse effect on agency operations, assets, or individuals. National security information

and national security systems are outside the scope of this guideline. 

Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will most commonly be personal information subject to the Privacy Act of 1974 or 

information that is proprietary to a corporation or other organization. The Privacy Act 

Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. Such information will often be assigned a moderate 

confidentiality impact level. Where any of the information to be collected can reasonably be 

expected to have a high confidentiality impact level, then the record retention system must be 

assigned a high confidentiality impact level. In some cases, the impact assessment should 

consider that the aggregate of information retained might have a higher confidentiality impact 

than any individual information element. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for record retention information is low. 

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Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Special Factors Affecting Integrity Impact Determination: Where integrity compromise adversely 

affects the ability of an organization to access its records or results in erroneous back-up 

information or archives, the impact on agency operations can be serious. In such cases, the 

integrity impact level would be moderate. In the case of large-scale archives or archives 

involving key national assets (e.g., national archives), the integrity impact can be particularly 

severe and the impact level would be high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

record retention information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to record retention information. 

Functions and processes supported by most record retention information are not time-critical. 

Record retention processes are generally tolerant of reasonable delays. In most cases, 

disruption of access to record retention information can be expected to have only a limited 

adverse effect on agency operations, agency assets, or individuals. 

Not many business management systems perform functions for which temporary loss of 

availability can cause significant degradation in mission capability, place the agency at a 

significant disadvantage, result in major damage to assets, or pose a threat to human life. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

record retention information is low. 

C.3.5.7 Information Management Information Type 

Information Management involves the coordination of information collection, storage, and 

dissemination, and destruction as well as managing the policies, guidelines, and standards 

regarding information management. Subject to exception conditions described below, the 

recommended security categorization for the information management information type is as 

follows: 

Security Category = {(confidentiality, System High16), (integrity, Moderate), (availability, Low)} 

Confidentiality 

 

16 Confidentiality impact for access control information is that of the highest confidentiality, impact level assigned to

any information that may be processed by the system. 

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The confidentiality impact level is the effect of unauthorized disclosure of information 

management information on the ability of responsible agencies to perform the day-to-day 

processes of information collection, storage, dissemination, and destruction and managing the 

policies, guidelines, and standards regarding information management. The consequences of 

unauthorized disclosure depend largely on the content and use of the information being managed. 

The unauthorized disclosure of information management information relevant to most 

information managed by the government will have only a limited adverse effect on agency 

operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Information collection and storage 

involve the day-to-day processes of gathering and storing data from agency programs, partners, 

and stakeholders. More sensitive information being managed is usually personal information 

subject to the Privacy Act of 1974 or information that is proprietary to a corporation or other 

organization. The Privacy Act Information provisional impact levels are documented in the 

Personal Identity and Authentication information type. Such information will often be assigned 

a moderate confidentiality impact level 

Where any of the information to be managed can be expected to have a high confidentiality, 

impact level, then the information management information must be assigned a high

confidentiality impact level. When the data being managed belongs to one of the information 

types described in this guideline, the confidentiality impact assigned to the system is that of the 

highest impact information type processed by the system. Depending on the agency and the 

mission being supported, the sensitivity of the information can range from none (public 

information) to high. (National security information and national security systems are outside 

the scope of this guideline.) 

Recommended Confidentiality Impact Level: Particularly in the case of passwords and 

cryptographic keys, the provisional impact level recommended for information management 

information depends on the sensitivity and criticality of system information and processes. As a 

result the recommended provisional impact level is “system high.” 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of information management

information (e.g., configuration settings, passwords, authorization codes, cryptographic keying 

material) can compromise the effectiveness of the system and impair agency operations. The 

level of impact depends on the criticality of system functionality to the agency mission 

Special Factors Affecting Integrity Impact Determination: The loss of integrity for some information 

management information (e.g., encryption keys) can be very serious for agency operations and 

can have serious consequences for public confidence in the agency. The integrity impact level 

recommended for information management information associated with highly critical 

information is high. 

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Recommended Integrity Impact Level: Potentially serious adverse effects can be expected in most 

government organizations resulting from the unauthorized modification or deletion of 

information management information. Therefore, the provisional integrity impact level 

recommended for information management information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to information management 

information. The effects of disruption of access to information management information may 

temporarily impair agency operations. The level of impact depends on the sensitivity of the 

information being managed and the criticality of the system to the agency mission. Except for 

information needed by real-time processes (e.g., information that feeds real-time monitoring or

audit functions), information management processes are generally tolerant of reasonable

delays. In most cases, disruption of access to information management information can be 

expected to have only a limited adverse effect on agency operations, agency assets, or 

individuals. Not many business management systems perform functions for which loss of 

availability can cause significant degradation in mission capability, place the agency at a 

significant disadvantage, result in major damage to assets, or pose a threat to human life. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

information management information is low. 

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APPENDIX D: IMPACT DETERMINATION FOR MISSION-BASED 

INFORMATION AND INFORMATION SYSTEMS 

In general, individual agencies should identify the mission information types processed by their 

systems. This Appendix identifies some information types that might be processed by Federal 

government organizations. The material includes mission information and potential impacts of 

unauthorized disclosure, modification, or unavailability of mission information. 

The primary purpose for Federal government information systems is to support provision of 

basic services to U.S. citizens and residents. This section addresses information types 

associated with both services provided by the Federal government to citizens and mechanisms

used to achieve the purposes of government or deliver services for citizens. Delivery 

mechanisms include financial vehicles, direct government delivery, and indirect government 

delivery. Federal government missions or delivery mechanisms distributed among twenty-five 

mission areas and modes of delivery are identified below. Each mission area and delivery mode 

corresponds to a Services to Citizens or Mode of Delivery business area as defined in the 

Business Reference Model 2.0. There is not a one-to-one mapping of services and delivery modes 

to government departments and agencies. Some departments and agencies focus on a single 

mission. Others support multiple missions within a mission area. Still others provide services 

associated with several different mission areas. 

An information type is associated with each Federal government mission and delivery mode. 

The identity of each information type is defined by the mission with which it is associated. 

Some of the management and support functions executed to support delivery of sources or 

manage government resources are also executed by some agencies in delivering services to 

citizens. (See especially the “General Government” functions in Section C.2.8. of Appendix C) 

Most of these information types could be included in Appendix D as mission-based information 

types. Because the BRM categorizes them as services delivery support functions, they are 

included in Section 5 and Appendix C and are not repeated in Appendix D. 

The common impact determination factors described in Volume I, Section 3.5, also apply to 

mission-based information. 

Table 4 is a list of the types of Federal government information treated in this section. The list 

and subsequent descriptive information conform to the missions activities and functions

identified in the Office of Management and Budget’s Federal Enterprise Architecture Program

Management Office’s Business Reference Model 2.0. Some of the information types listed in 

C.1.7, C.2.5, C.2.8, and C.3.2 are associated with services delivery in the cases of some agencies. 

Discussion of these information types is not repeated in this appendix. 

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Table 4: Mission Information Types and Delivery Mechanisms

Mission Areas and Information Types

Defense & National Security 

Homeland Security 

Border & Transportation Security 

Key Asset & Critical Infrastructure 

Protection 

Catastrophic Defense

Intelligence 

Income Security

General Retirement and Disability 

Unemployment Compensation 

Housing Assistance 

Food & Nutrition Assistance 

Survivor Compensation

Economic Development 

Business and Industry Development 

Intellectual Property Protection 

Financial Sector Oversight 

Industry Sector Income Stabilization 

Community & Social Services 

Homeownership Protection 

Community & Regional Development 

Social Services

Postal Services

Disaster Management 

Disaster Monitoring & Prediction 

Disaster Preparedness & Planning

Disaster Repair & Restoration 

Emergency Response

Law Enforcement 

Criminal Apprehension 

Criminal Investigation & Surveillance 

Citizen Protection 

Crime Prevention

Leadership Protection 

Property Protection 

Substance Control

International Affairs & 

Commerce

Foreign Affairs 

Int’l Development & Humanitarian 

Aid 

Global Trade

Transportation 

Air Transportation 

Ground Transportation 

Water Transportation 

Space Operations

Natural Resources 

Water Resource Management 

Conservation, Land, & Marine Mgt 

Recreational Resource Mgt & 

Tourism 

Agricultural Innovation & Services

Education

Elementary, Secondary, & Vocational 

Ed 

Higher Education 

Cultural & Historic Preservation 

Cultural & Historic Exhibition

Litigation & Judicial Activities 

Judicial Hearings 

Legal Defense 

Legal Investigation 

Legal Prosecution and Litigation 

Dispute Resolution Facilitation 

Federal Correctional Activities 

Criminal Incarceration 

Criminal Rehabilitation

Workforce Management 

Training and Employment 

Labor Rights Management 

Worker Safety

Energy 

Energy Supply 

Energy Conservation & 

Preparedness 

Energy Production 

Energy Resource Management

General Science & Innovation 

Scientific/Tech Research & Innovation 

Space Exploration & Innovation

Environmental Management 

Environmental Monitoring and 

Forecasting 

Environmental Remediation 

Pollution Prevention & Control

Health 

Illness Prevention

Immunization Management 

Public Health Monitoring 

Health Care Services 

Consumer Health & Safety

Modes of Delivery

Services Delivery Mechanisms and Information Types 

Knowledge Creation & 

Management 

General Purpose Data & Statistics 

Research and Development 

Advising and Consulting 

Knowledge Dissemination

Regulatory Compliance & 

Enforcement 

Inspections and Auditing 

Standards Setting/Reporting Guideline 

Development 

Permits and Licensing

Public Goods Creation and 

Management 

Manufacturing 

Construction 

Public Resources, Facility & 

Infrastructure

Information Infrastructure Management

Financial Vehicles and Information Types 

Credit and Insurance 

Direct Loans 

Loan Guarantees

General Insurance

Federal Financial Assistance 

Federal Grants (Non-State) 

Direct Transfers to Individuals

Subsidies 

Tax Credits

Transfers to State/Local 

Governments 

Formula Grants 

Project/Competitive Grants 

Earmarked Grants 

State Loans

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Table 5 includes provisional impact assessments for each mission information type or 

delivery mode represented in Table 4. 

The impact levels assigned to many information types may be context-dependent. For 

example, a given information type in some agencies may include information elements, the 

compromise of which may endanger human life. In other agencies, the same information 

type may not include such elements. 

In Table 5, exceptions to provisional impact assignments are flagged by displaying impact 

assignments in a gray font [gray font]. 

Table 5: Security Categorization of Mission Information 

Confidentiality Integrity Availability

Defense & National Security Nat’l Security Nat’l Security Nat’l Security 

Homeland Security 

Border Control and Transportation Security Moderate Moderate Moderate

Key Asset and Critical Infrastructure 

Protection 

High High High

Catastrophic Defense High High High

Executive Functions of the EOP High Moderate High

Intelligence Operations17 High High High

Disaster Management

Disaster Monitoring and Prediction Low High High

Disaster Preparedness and Planning Low Low Low

Disaster Repair and Restoration Low Low Low

Emergency Response Low High High

International Affairs and Commerce

Foreign Relations High High Moderate 

International Development and Humanitarian 

Aid

Moderate Low Low

Global Trade High High High

Natural Resources

Water Resource Management Low Low Low

Conservation, Marine, and Land Management Low Low Low

Recreational Resource Management and 

Tourism 

Low Low Low

Agricultural Innovation and Services Low Low Low

Energy

Energy Supply Low18 Low19 Low19

Energy Conservation and Preparedness Low Low Low

Energy Resource Management Moderate Low Low 

Energy Production Low Low Low 

Environmental Management

 

17 Where foreign intelligence information is involved, the information and information systems are categorized as 

national security information or systems and are outside the scope of this guideline. 18 High where safety of radioactive materials, highly flammable fuels, or transmissionchannels or control processes 

at risk.

19 Usually Moderate or High where time-critical proccesses are involved.

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Table 5: Security Categorization of Mission Information 

Confidentiality Integrity Availability

Environmental Monitoring/Forecasting Low Moderate Low 

Environmental Remediation Moderate Low Low 

Pollution Prevention And Control Low Low Low 

Economic Development

Business and Industry Development Low Low Low 

Intellectual Property Protection Low Low Low 

Financial Sector Oversight Moderate Low Low 

Industry Sector Income Stabilization Moderate Low Low

Community and Social Services 

Homeownership Promotion Low Low Low

Community and Regional Development Low Low Low

Social Services Low Low Low

Postal Services Low Moderate Moderate

Transportation

Ground Transportation Low Low Low

Water Transportation Low Low Low

Air Transportation Low Low Low

Space Operations Low High High

Education

Elementary, Secondary, & VocEd Low Low Low

Higher Education Low Low Low

Cultural & Historic Preservation Low Low Low

Cultural & Historic Exhibition Low Low Low

Workforce Management

Training and Employment Low Low Low

Labor Rights Management Low Low Low

Worker Safety Low Low Low

Public Health

Illness Prevention Low Moderate Low

Immunization Management Low Moderate Low

Public Health Monitoring Low Moderate Low

Health Care Services Low High Low 

Consumer Health and Safety Low Moderate Low

Income Security

General Retirement and Disability Moderate Moderate Moderate

Unemployment Compensation Low Low Low

Housing Assistance Low Low Low

Food and Nutrition Assistance Low Low Low

Survivor Compensation Low Low Low

Law Enforcement

Criminal Apprehension Low Low Moderate 

Criminal Investigation and Surveillance Moderate Moderate Moderate

Citizen Protection Moderate Moderate Moderate

Leadership Protection Moderate Low Low

Property Protection Low Low Low

Substance Control Moderate Moderate Moderate

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Table 5: Security Categorization of Mission Information 

Confidentiality Integrity Availability

Crime Prevention Low Low Low

Trade Law Enforcement Moderate Moderate Moderate

Litigation and Judicial Activities

Judicial Hearings Moderate Low Low

Legal Defense Moderate High Low 

Legal Investigation Moderate Moderate Moderate

Legal Prosecution and Litigation Low Moderate Low

Resolution Facilitation Moderate Low Low

Federal Correctional Activities

Criminal Incarceration Low Moderate Low

Criminal Rehabilitation Low Low Low

General Science and Innovation

Scientific & Tech Research & Innovation Low Moderate Low

Space Exploration & Innovation Low Moderate Low

Knowledge Creation and Management

Research and Development Low Moderate Low

General Purpose Data and Statistics Low Low Low 

Advising and Consulting Low Low Low

Knowledge Dissemination Low Low Low

Regulatory Compliance and Enforcement

Inspections and Auditing Moderate Moderate Low

Std Setting/Reporting Guideline Dev’t Low Low Low

Permits and Licensing Low Low Low

Public Goods Creation and Management

Manufacturing Low Low Low

Construction Low Low Low

Public Facility and Infrastructure Low Low Low

Information Infrastructure Management Low Low Low 

Federal Financial Assistance

Federal Grants (Non-State) Low Low Low

Direct Transfers to Individuals Low Low Low

Subsidies Low Low Low

Tax Credits Moderate Low Low

Credits and Insurance

Direct Loans Low Low Low

Loan Guarantees Low Low Low

General Insurance Low Low Low

Transfers to State/Local Governments

Formula Grants Low Low Low

Project/Competitive Grants Low Low Low

Earmarked Grants Low Low Low

State Loans Low Low Low

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Many of the information types are also lifecycle-dependent. That is, information that requires 

protection at one stage in the system development process may be publicly accessible at a later 

stage or following some event. For example, information that has confidentiality attributes 

during the period that an agency is using it to make a decision may be public knowledge once the 

decision has been made (e.g., financial/budgetary information used during development of 

requests for proposals in procurement actions). 

The following sections describe information attributes that affect impact assessment for each 

information type. 

D.1 Defense and National Security 

Defense and national security operations protect and advance U.S. National Security interests 

and, if deterrence fails, decisively defeat threats to those interests. Defense and national 

security activities include but military operations, border protection, and intelligence 

gathering. Defense operations are subdivided into the following classes: 

• Strategic National and Theater Defense – Establishing national and multinational 

military objectives, sequencing initiatives, defining limits and assessing risks for the 

use of military and other instruments of national power, developing global plans or 

theater war plans to achieve these objectives, and providing military forces and other 

capabilities in accordance with strategic plans; 

• Operational Defense – Linking tactics and strategy by establishing operational 

objectives needed to accomplish the strategic objectives, sequencing events to 

achieve the operational objectives, initiating actions, and applying resources to bring 

about and sustain these events; and 

• Tactical Defense – The ordered arrangement and maneuver of combat elements in 

relation to each other and to the enemy to achieve combat objectives. 

Impacts to much information and many information systems associated with defense and 

national security missions may affect the security of a broad range of critical infrastructures 

and key national assets. Systems that, involve command and control of military forces, 

weapons control20, involve equipment that is an integral part of a weapon or weapons system, 

are critical to the direct fulfillment of military missions2

 or are otherwise employed in strictly 

military operations21 are defined under Public Law6

 as national security systems. 

Information assurance responsibilities are delegated to the Department of Defense for 

systems that are operated by the Department of Defense, or another entity on behalf of the 

 

20 Weapons control involves the actions taken to monitor and protect U.S. weaponry, as well as the oversight and 

control of arms in other countries. Weapons Control applies to conventional, biological, chemical, and nuclear

weaponry. 21 Military operations involve the activities that take place during base trainings, military conflicts, and 

peacekeeping missions. 

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Department of Defense22. Security objectives and impact levels associated with these 

systems are determined by the Department of Defense. 

D.2 Homeland Security 

Homeland Security involves protecting the nation against terrorist attacks. This includes 

analyzing threats and intelligence, guarding borders and airports, protecting critical 

infrastructure, and coordinating the response emergencies. The Homeland Security Line of 

Business is defined by the President’s Strategy on Homeland Security. Note: Some of the 

Critical Mission Areas from the President’s strategy are included in other information classes 

and categories. 

D.2.1 Border and Transportation Security Information Type 

Border and Transportation Security includes facilitating or deterring entry and exit of people, 

goods, and conveyances at and between U.S. ports of entry, as well as ensuring the security of 

transportation and infrastructure networks, facilities, vehicles, and personnel within the United 

States. Border control involves enforcing the laws regulating the admission of foreign-born 

persons (i.e., aliens) to the United States. This includes patrolling and monitoring borders and 

deportation of illegal aliens. Some border control information is also associated with other 

mission information types (e.g., criminal apprehension, and criminal investigation and 

surveillance information). In such cases, the impact levels of the associated mission information 

may determine impact levels associated with border control information. Some aspects of 

ensuring security of transportation and infrastructure networks, facilities, vehicles, and personnel 

within the United States are also covered under the information types associated with the 

transportation mission. In some cases the border control information may be classified. Any 

classified information is treated under separate rules established for national security 

information. The recommended categorization for unclassified border and transportation 

security information follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of border control 

information on the ability of responsible agencies to enforce laws regulating the admission of 

foreign-born persons (i.e., aliens) to the United States. Generally, the effects of unauthorized 

disclosure of border control information are usually confined to a single geographic region, 

immigration case, or deportation case. Even so, unauthorized disclosure may have a serious 

adverse effect on mission functions, cause significant degradation in mission capability, or place 

the agency at a significant disadvantage with respect to its border control responsibilities. 

Particularly in the case of immigration, naturalization, and deportation activities, unauthorized 

disclosure of information can violate privacy policies. Such unauthorized disclosures can have a 

serious effect on public confidence in the agency. 

 

22 Federal Information Security Management Act of 2002, Public Law 107-347, Subchapter III – Information 

Security, Sec. 3543(c)(2), 12/17/02. 

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Special Factors Affecting Confidentiality Impact Determination: Where border control information is 

also associated with other mission information types (e.g., criminal apprehension, and criminal 

investigation and surveillance information), the confidentiality impact level associated with the 

information may be high. Where unauthorized disclosure of border control information may put 

the physical safety of personnel into serious jeopardy, the confidentiality impact level associated 

with the information may be high. Unauthorized disclosure of confidentiality of information 

associated with ensuring security of transportation and infrastructure networks, facilities, 

vehicles, and personnel within the United States can result in facilitation of terrorist activities 

that endanger human life. In some cases, the consequent threat to critical infrastructures, key 

national assets, and human life can be catastrophic. Consequently, the confidentiality impact 

level associated with information associated with ensuring security of transportation and 

infrastructure networks, facilities, vehicles, and personnel within the United States is normally 

high. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most border control information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Unauthorized 

modification or destruction of information affecting external communications (e.g., web pages, 

electronic mail) may adversely affect operations or public confidence in the agency, but the 

damage to the mission would usually be limited. The consequences of unauthorized 

modification or destruction of information can be very serious if the information is critical to 

tactical operations. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information associated with ensuring security of transportation and infrastructure networks, 

facilities, vehicles, and personnel within the United States may seriously affect mission 

operations or result in the loss of human life. Unauthorized modification or destruction of 

information affecting anti-terrorism information may adversely affect mission operations in a 

manner that results in unacceptable damage to critical infrastructures and/or key national assets 

or loss of key national assets and/or human life. Consequently, the integrity impact level 

associated with information that ensures the security of transportation and infrastructure

networks, facilities, vehicles, and personnel within the United States is high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

border control information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to border control information. 

Functions and processes supported by most border control information are not time-critical. 

Also, disruption of access will have only a limited adverse effect on agency operations 

(including mission functions and public confidence in the agency), agency assets, or 

individuals. 

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Special Factors Affecting Availability Impact Determination: There may be time critical cases, for 

example, information regarding transport of illegal aliens or information about a physical 

threat posed by aliens that border control personnel have been assigned to interdict. In such 

cased, the availability impact will be high. 

The consequences of disruption of access to information or information systems associated 

with ensuring security of transportation and infrastructure networks, facilities, vehicles, and 

personnel within the United States may be severe. Also, anti-terrorism missions are not 

reliably tolerant of delays. The availability impact level for information systems that ensure 

the security of transportation and infrastructure networks, facilities, vehicles, and personnel 

within the United States is high. 

Recommended Availability Impact Level: Except for such time-critical cases, cases where impact is 

driven by information shared with associated missions (e.g., anti-terrorism), the provisional 

availability impact level recommended for border control information is normally moderate. 

D.2.2 Key Asset and Critical Infrastructure Protection Information Type 

Key Asset and Critical Infrastructure Protection involves assessing key asset and critical 

infrastructure vulnerabilities and taking direct action to mitigate vulnerabilities, enhance security, 

and ensure continuity and necessary redundancy in government operations and personnel. The 

Critical Infrastructure Information Protection Act of 2002 (6 U.S.C. 131-134) places specific 

controls on the dissemination of critical infrastructure information (see Volume I, 3.5.2.3). 

Under the provisions of Executive Order 13292, some anti-terrorism information is subject to 

security classification. National security information is outside the scope of this guideline. The 

recommended categorization for unclassified anti-terrorism information follows: 

Security Category = {(confidentiality, High), (integrity, High), (availability, High)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of critical infrastructure

protection information on the ability of responsible agencies to monitor and assess the 

leadership, motivations, plans, and intentions of foreign and domestic terrorist groups and their 

state and non-state sponsors. The effects of unauthorized disclosure of this information can 

reasonably be expected to jeopardize fulfillment of critical infrastructure protection missions. 

The consequent threat to critical infrastructures, key national assets, and human life can be 

catastrophic. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for critical infrastructure protection information is high. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Unauthorized 

modification or destruction of information affecting critical infrastructure protection operations 

125
may adversely affect mission operations and result in unacceptable damage to critical 

infrastructures, damage to key national assets, or loss of human life. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

critical infrastructure protection information is high. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to critical infrastructure protection 

information. Generally, critical infrastructure protection missions are not reliably tolerant of 

delays. Significant degradation in mission capability and resultant catastrophic consequences 

for critical infrastructures, key national assets, and/or human life may occur from disruption 

of access to critical infrastructure protection information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

critical infrastructure protection information is high. 

D.2.3 Catastrophic Defense Information Type 

Catastrophic Defense involves the development of technological countermeasures (chemical, 

biological, radiological and nuclear [CBRN]) to terrorist threats, conducting laboratory testing on 

new and promising devices, and conducting basic and applied science that can lead to the 

development of countermeasures. Under the provisions of Executive Order 13292, some antiterrorism information is subject to security classification. National security information is 

outside the scope of this guideline. The recommended categorization for unclassified antiterrorism information follows: 

Security Category = {(confidentiality, High), (integrity, High), (availability, High)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of catastrophic defense 

information on the ability of responsible agencies to monitor and assess the leadership, 

motivations, plans, and intentions of foreign and domestic terrorist groups and their state and 

non-state sponsors. The effects of unauthorized disclosure of this information can reasonably be 

expected to jeopardize fulfillment of catastrophic defense missions. The consequent threat to 

human life, critical infrastructures, and key national assets can be catastrophic. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for catastrophic defense information is normally high. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Unauthorized 

modification or destruction of information affecting catastrophic defense activities may 

adversely affect mission operations in a manner that results in loss of human life, unacceptable 

damage to critical infrastructures, and/or damage to or loss of key national assets. 

126
Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

catastrophic defense information is high. 

Availability 

The effects of disruption of access to or use of catastrophic defense information or The 

availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to catastrophic defense information. 

Generally, disruption of access will have a severe adverse effect on agency operations 

(including mission functions and public confidence in the agency), agency assets, or 

individuals. Also, catastrophic defense missions are not tolerant of delays, with consequences 

of significant degradation in mission capability and resultant catastrophic consequences for 

human life, critical infrastructures, and/or key national assets. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

catastrophic defense information is high. 

D.2.4 Executive Functions of the Executive Office of the President (EOP) Information Type 

Executive Functions involve the Executive Office of the President (EOP). Subject to exception 

conditions described below, the recommended provisional security categorization for the 

executive information type is as follows: 

Security Category = {(confidentiality, High), (integrity, Moderate), (availability, High)} 

Confidentiality 

The confidentiality impact level associated with the executive information type is associated with 

functions of the Executive Office of the President (EOP). The effects of loss of confidentiality 

of policies and guidance during the formative stage can result in attempts by affected entities and 

other interested parties to influence and/or impede the policy and guidance development process. 

Premature public release of formative policies and guidance before internal coordination and 

review can result in unnecessary damage to public confidence in the EOP. These consequences 

may occur when the release includes unedited internal commentary and discussion. 

Most of the information processed in and by the EOP is classified national security information

and is outside the scope of this guideline. Other information processed by the EOP is extremely 

sensitive and applicable to homeland security and law enforcement. The unauthorized disclosure 

of this extremely sensitive information can seriously imperil human life, key national assets, and 

critical infrastructures. 

 

Recommended Confidentiality Impact Level: Based on the catastrophic harm that can be suffered by 

the nation due to unauthorized disclosure of executive information the provisional confidentiality 

impact level recommended for executive functions information is high. 

127
Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Unauthorized modification or destruction of information affecting external communications that 

contain EOP information (e.g., web pages, electronic mail) may adversely affect public 

confidence in the government. In the case of the EOP, the impact of such a loss of public 

confidence may be at least moderate. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

executive information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to the executive information. National 

defense and critical infrastructure protection aspects of EOP functions are not generally tolerant 

of delays. Excessive recovery delays can result in loss of coordination of critical defense and 

public welfare processes. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

executive functions information is high. 

D.3 Intelligence Operations 

Intelligence operations involve the development and management of accurate, 

comprehensive, and timely foreign intelligence on national security topics. Systems the 

function, operation, or use of which, involve intelligence activities or are critical to the direct 

fulfillment of intelligence missions23 are defined under Public Law24

 as national security 

systems. National security information and national security systems are outside the scope of 

this guideline. Security objectives and impact levels associated with national security 

systems are determined by the head of each agency exercising control of the system25. 

 

23 Systems that do not involve a) intelligence activities, b) cryptologic activities related to national security, c) 

command and control of military forces, d) equipment that is an integral part of a weapon or weapons system or 5) 

information classified by an act of Congress or under an Executive order are not designated as national security 

systems if they are used exclusively for routine business or administrative applications even if they are critical to the 

direct fulfillment of military or intelligence missions. Routine business or administrative applications are defined as 

including payroll, finance, logistics, and personnel management applications. [Federal Information Security 

Management Act of 2002, Public Law 107-347, Subchapter III – Information Security, Sec. 3547 – National security

systems, 12/17/02] 24 Clinger-Cohen Act, Public Law 104-106, National Defense Authorization Act For Fiscal Year 1996, Division E – 

Information Technology Reform, Sec. 5142 – National Security Systems Defined, 8/8/96; Homeland Security Act 

of 2002, Public Law 107-296, Title X – Information Security, Subchapter II, Sec. 3532 – Definitions, 11/25/02; 

and Federal Information Security Management Act of 2002, Public Law 107-347, Subchapter III – Information 

Security, Sec. 3542 – Definitions, 12/17/02. 25 Federal Information Security Management Act of 2002, Public Law 107-347, Subchapter III – Information 

Security, Sec. 3547 – National security systems, 12/17/02. 

128
Some agencies are charged with gathering domestic intelligence. Much domestic intelligence 

information is classified. Other domestic intelligence information may not be classified (e.g., 

some information obtained from state and local government sources). All classified information 

is treated under separate rules established for national security information. The recommended 

categorization for unclassified domestic intelligence information follows: 

Security Category = {(confidentiality, High), (integrity, High), (availability, High)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of domestic intelligence

information on the ability of responsible agencies to develop and manage accurate, 

comprehensive, and timely domestic intelligence on homeland security topics and other national 

threats. The consequences of unauthorized disclosure of domestic intelligence information may 

include loss of the ability and/or authorization to collect information necessary to provide 

warning or to interdict from major threats (e.g., terrorist threats to critical infrastructures and/or 

key national assets). 

Recommended Confidentiality Impact Level: Given the criticality of much domestic intelligence 

information and the severe or catastrophic consequences to agencies that disclose domestic 

intelligence information without proper authorization (e.g., Privacy Act provisions, Fourth 

Amendment issues), the provisional confidentiality impact level recommended for the domestic 

intelligence information is high. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Domestic 

intelligence information is generally associated with other mission-related information (e.g., antiterrorism, firearms and explosive protection, narcotics interdiction). The consequences of 

unauthorized modification or destruction of domestic intelligence information is determined to a 

large extent on the missions being supported by the intelligence information and on whether the 

intelligence information is time-critical. Unauthorized modification or destruction of

intelligence information may adversely affect mission operations in a manner that results in 

unacceptable damage to critical infrastructures, damage to or loss of key national assets, or loss 

of human life. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

domestic intelligence information is high. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to domestic intelligence information. 

Generally, missions supported by domestic intelligence information are not reliably tolerant

of delays. Significant degradation in mission capability and resultant catastrophic 

consequences for critical infrastructures, key national assets, and/or human life may result 

from disruption of access to domestic intelligence information. 

129
Recommended Availability Impact Level: The provisional availability impact level recommended for 

domestic intelligence information is high. 

D.4 Disaster Management 

Disaster management involves the activities required to prepare for, mitigate, respond to, and 

repair the effects of all physical and humanitarian disasters whether natural or man-made. 

Compromise of much information associated with any of the missions within the disaster 

management mission area may seriously impact the security of a broad range of critical 

infrastructures and key national assets. 

D.4.1 Disaster Monitoring and Prediction Information Type 

Disaster monitoring and prediction involves the actions taken to predict when and where a 

disaster may take place and communicate that information to affected parties. [Some disaster 

management information occurs in humanitarian aid systems under the International Affairs and 

Commerce line of business (e.g., State Department disaster preparedness and planning).] The 

recommended provisional categorization of the disaster monitoring and protection information 

type follows: 

Security Category = {(confidentiality, Low), (integrity, High), (availability, High)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of disaster monitoring 

and prediction information on the ability of responsible agencies to predict when and where a 

disaster may take place and communicate that information to affected parties. The purpose of 

disaster monitoring and prediction activities is generally to disseminate information. Sharing of 

raw information by a diverse group of analysts often improves the quality of predictive analysis. 

Special Factors Affecting Confidentiality Impact Determination: The consequences of unauthorized 

disclosure of some disaster monitoring and prediction information may include public panic or 

other responses that jeopardize public safety, disaster prevention, emergency response, disaster 

repair, or restoration missions. For example, attempts of large populations to evacuate in an 

endangered area before necessary preparations are made for evacuation routes can result in a 

clogging of the routes and failure to evacuate large parts of the population in time to save them

from a life-threatening event. Most of the disaster monitoring and prediction information is 

critical in terms of potential loss of human life and major property damage. The unauthorized 

release of this information may interfere with disaster prevention or emergency response 

missions. The confidentiality impact level recommended for the information cited in the 

example can be moderate or high. 

The unauthorized disclosure of disaster monitoring and prediction information to terrorists may 

reveal weak or sensitive points to target, the most effective technique(s use in attacking a target, 

and information regarding the status, intent, and plans of our adversaries. Where unauthorized 

disclosure of disaster monitoring and prediction information is expected to be of direct use to 

terrorists, the confidentiality impact level is recommended to be high. 

130
Recommended Confidentiality Impact Level: The provisional confidentiality impact recommended 

for most disaster monitoring and prediction information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of disaster monitoring and prediction 

information usually depends on whether the information is time-critical. Unauthorized

modification or destruction of information affecting disaster monitoring and prediction 

information may jeopardize public safety, disaster prevention, and/or emergency response 

missions in a manner that results in unacceptable damage to critical infrastructures, damage to 

key national assets, or loss of human life. For example, an integrity compromise that prevents 

timely and accurate dissemination of tsunami and earthquake predictions can have lifethreatening consequences. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

disaster monitoring and prediction information is high. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to disaster monitoring and prediction 

information. Generally, missions supported by disaster monitoring and prediction information 

are not reliably tolerant of delays. Delays may cost lives and irreplaceable property, e.g., 

degradation in mission capability and resultant catastrophic consequences for critical 

infrastructures, key national assets, and/or human life. For example, a loss of availability of

information that prevents timely and accurate dissemination of tsunami and earthquake 

predictions can have life-threatening consequences. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

disaster monitoring and prediction information is high. 

D.4.2 Disaster Preparedness and Planning Information Type 

Disaster preparedness and planning involves the development of response programs to be used in 

case of a disaster. This involves the development of emergency management programs and 

activities as well as staffing and equipping regional response centers. The recommended 

provisional categorization of the disaster preparedness and planning information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of disaster preparedness 

and planning information on the ability of responsible agencies to develop response programs to 

be used in case of a disaster. This involves the development of emergency management 

programs and activities as well as staffing and equipping regional response centers. The 

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consequences of unauthorized disclosure of most disaster preparedness and planning information 

would have, at most, a limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: The consequences of unauthorized 

disclosure of some disaster preparedness and planning information may include revealing weak 

or sensitive critical infrastructure characteristics or inadequate security of U.S. targets to 

terrorists or other adversaries. Such information may reveal to an enemy the most effective 

technique(s) to use in attacking a target, and/or information regarding the capabilities, intent, and 

plans of our adversaries. Where unauthorized disclosure of disaster preparedness and planning 

information associated with critical infrastructures, large groups of people, or key national assets 

is expected to be of direct use to terrorists, the confidentiality impact level is recommended to be 

high. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most disaster preparedness and planning information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of disaster preparedness and planning 

information depend on whether the information is time-critical. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications (e.g., web pages, electronic mail) may 

adversely affect operations and/or public confidence in the agency, but the damage to the 

mission will usually be limited. The consequences of unauthorized modification or destruction 

of information can be very serious or catastrophic if the data is time-critical operational 

information. In such cases, the impact level assigned would be moderate or high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most disaster preparedness and planning information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to disaster preparedness and planning 

information. Generally, missions supported by disaster preparedness and planning 

information are not reliably tolerant of delays. 

Special Factors Affecting Availability Impact Determination: If emergency responders and those 

responsible for repair and restoration activities are unable to access preparedness and 

planning information in the event of an actual emergency the consequences may include 

confusion and delays. In such cases, the availability impact level can be moderate or high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

disaster preparedness and planning information is low. 

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D.4.3 Disaster Repair and Restoration Information Type 

Disaster repair and restoration involves the cleanup and restoration activities that take place after 

a disaster. This involves the cleanup and rebuilding of any homes, buildings, roads, 

environmental resources, or infrastructure that may be damaged due to a disaster. The 

recommended provisional categorization of the disaster repair and restoration information type 

follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of disaster repair and 

restoration information on the ability of responsible agencies to conduct cleanup and restoration 

activities that take place after a disaster. This involves the cleanup and rebuilding of any homes, 

buildings, roads, environmental resources, or infrastructure that may be damaged due to a 

disaster. The consequences of unauthorized disclosure of most disaster repair and restoration 

information would have a limited adverse effect on agency operations, agency assets, or 

individuals. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for disaster repair and restoration information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of disaster repair and restoration 

information depends on whether the information is time-critical. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most disaster repair and restoration information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to disaster repair and restoration 

information. Generally, missions supported by disaster repair and restoration information are 

tolerant of delay. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

disaster repair and restoration information is low. 

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D.4.4 Emergency Response Information Type 

Emergency Response involves the immediate actions taken to respond to a disaster (e.g., wildfire 

management). These actions include providing mobile telecommunications, operational support, 

power generation, search and rescue, and medical life saving actions. Impacts to emergency 

response information and the information systems that process and store emergency response 

information could result in negative impacts on cross-jurisdictional coordination within the 

critical emergency services infrastructure and the general effectiveness of organizations tasked 

with emergency response missions. The recommended provisional categorization of the 

emergency response information type follows: 

Security Category = {(confidentiality, Low), (integrity, High), (availability, High)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of emergency response 

information on the ability of responsible agencies to respond to a disaster. These actions include 

providing mobile telecommunications, operational support, power generation, search and rescue, 

and medical life saving actions. The consequences of unauthorized disclosure of emergency 

response information will usually have little or no adverse effect on agency operations, agency 

assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In cases where an attack is 

underway, unauthorized disclosure of emergency response information can provide information 

that might permit terrorists or other adversaries to target emergency response assets, thus 

jeopardizing emergency response resources and missions and public safety. Given the criticality 

that much emergency response information has in terms of potential loss of human life and major 

property damage, where unauthorized release of information can reasonably be expected to 

facilitate interference with emergency response missions, the confidentiality impact level may be 

moderate or high. The unauthorized disclosure of one agency’s emergency response by another 

agency could result in negative impacts on cross-jurisdictional coordination within the critical 

emergency services infrastructure and the general effectiveness of organizations tasked with 

emergency response missions. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for emergency response information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of emergency response information 

usually depends on whether the information is time-critical. Unauthorized modification or 

destruction of emergency response information may pose a significant threat to major assets 

and/or human life. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

emergency response information is normally high. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to emergency response information. 

Generally, missions supported by emergency response information are not tolerant of delays. 

Delays may cost lives and result in major property damage. Denial of access to emergency 

response information may result in significant degradation in mission capability and resultant 

catastrophic consequences for critical infrastructures, key national assets, and/or human life. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

emergency response information is high. 

D.5 International Affairs and Commerce 

International Affairs and Commerce involves the non-military activities that promote U.S. 

policies and interests beyond our national borders, including the negotiation of conflict 

resolution, treaties, and agreements. In addition, this function includes: foreign economic 

development and social/political development; diplomatic relations with other Nations; 

humanitarian, technical and other developmental assistance to key Nations; and global trade. 

Information that is protected by procedures established and authorized under criteria specified in 

an Executive Order or an Act of Congress to be kept classified in the interests of foreign policy 

are national security related26. Security objectives and impact levels associated with such

national security information are determined by the head of each agency exercising control of 

the system6 and are outside the scope of this guideline. 

D.5.1 Foreign Relations Information Type 

Foreign Relations refers to those activities associated with the implementation of foreign policy 

and diplomatic relations, including the operation of embassies, consulates, and other posts; 

ongoing membership in international organizations; the development of cooperative frameworks 

to improve relations with other Nations; and the development of treaties and agreements. 

Conflict resolution involves the mitigation and prevention of disputes stemming from inter and 

intra-state disagreements. 

Some conflict resolution information is subject to security classification. This classified 

information is treated under separate rules established for national security information and is 

outside the scope of this guideline. 

Treaties and agreements involves the negotiation and implementation of accords with foreign 

governments and organizations in efforts related to arms reduction and regulation, trade matters, 

criminal investigations and extraditions, and other various types of foreign policy. When treaties 

and agreements information affects intelligence gathering and/or law enforcement cooperation, 

impacts to such information and the information systems that process and store the information 

 

26 Federal Information Security Management Act of 2002, Public Law 107-347, Subchapter III – Information 

Security, Sec. 3542(b)(2)(A)(ii), 12/17/02.

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could result in negative impacts on protection of a broad range of critical infrastructures and key 

national assets. 

Some information associated with treaties and agreements is subject to security classification. 

This classified information is treated under separate rules established for national security 

information. The recommended categorization for unclassified foreign relations information 

follows: 

Security Category = {(confidentiality, High), (integrity, High), (availability, Moderate)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of conflict resolution 

information on the ability of responsible agencies to mitigate and prevent disputes stemming 

from inter and intra-state disagreements. Unauthorized disclosure of conflict resolution 

information can reasonably be expected to jeopardize fulfillment of conflict resolution missions. 

This is particularly true of premature release of resolution factors, personnel profiles, and 

proposed solutions to adversaries. Some information that has supported a conflict resolution 

process may undo the results of successful conflict resolution processes. The loss of public 

confidence in the agency may cause a catastrophic adverse effect on an agency’s mission 

capability. Where information includes candid opinions of agency personnel, or involvement of 

agency personnel in specific prior activities, the effectiveness of those personnel for many future 

agency missions may be permanently impaired. The consequences of failed conflict resolution 

activities may pose threats to human life and major property assets 

The level of confidentiality impact assigned to treaties and agreements information is determined 

by the ability of responsible agencies to negotiate and implement accords with foreign 

governments and organizations in efforts related to arms reduction and regulation, trade matters, 

criminal investigations and extraditions, and other types of foreign policy. Unauthorized 

disclosure of information associated with treaties and agreements can reasonably be expected to 

prevent successful negotiation and/or ratification of treaties and agreements. This is particularly 

true of prematurely released resolution factors, personality assessments, and proposed solutions 

to adversaries. Some information that has supported a treaty or other international agreement 

process may undo the results of a successfully completed treaty or agreement. The subsequent 

threat to public confidence in the agency can cause a catastrophic adverse effect on an agency’s 

mission capability. When the disclosed information includes candid opinions of agency 

personnel, or background information on agency personnel, the effectiveness of those personnel 

for future agency missions may be permanently impaired. The consequences of failure to 

successfully conclude treaties and other international agreements often pose threats to human life 

and major property assets. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for foreign relations information is high. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

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consequences of unauthorized modification or destruction of conflict resolution information 

depend on whether the information is time-critical. 

The consequences of unauthorized modification or destruction of information associated with 

treaties and agreements also depend on the time-critical nature of the information. The 

unauthorized modification or destruction of information affecting external communications (e.g., 

web pages, electronic mail) may affect operations and/or public confidence in the agency, but the 

damage to the mission would usually be limited. 

The unauthorized modification or destruction of information affecting conflict resolution 

information may adversely affect mission operations in a manner that results in unacceptable 

consequences such as loss of human life and/or major property assets. 

The consequences of unauthorized modification or destruction of information can be very serious 

if the modification is to time-critical operational information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

foreign relations information is high. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to foreign relations information. 

Special Factors Affecting Availability Impact Determination: Diplomatic missions are often 

tolerant of delays. Therefore, the availability impact level assigned to information associated 

with treaties and agreements that are associated with diplomatic missions is low. Where this 

is not the case, the availability impact for foreign relations information associated with 

treaties and agreements may be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

foreign relations information is moderate. 

D.5.2 International Development and Humanitarian Aid Information Type 

International Development and Humanitarian Aid refers to those activities related to the 

implementation of development and humanitarian assistance programs to developing and 

transitioning countries throughout the world. Development and aid may include technical 

assistance (the transfer of knowledge and expertise), and the delivery of equipment, commodities 

and humanitarian assistance including food aid. In some cases, international development and 

humanitarian aid information is subject to security classification. This classified information is 

treated under separate rules established for national security information. The recommended 

categorization for unclassified international development and humanitarian aid information 

follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

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Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of international 

development and humanitarian aid information on the ability of responsible agencies to execute 

programs relating to debt relief, foreign investments, poverty alleviation and food relief, foreign 

market expansion, and donations, as well as the establishment of policies and procedures to 

facilitate economic development. 

Special Factors Affecting Confidentiality Impact Determination: The unauthorized disclosure of 

international development and humanitarian aid information may not directly jeopardize foreign 

socio-economic and political development missions. However, the premature disclosure of this 

information may adversely affect agency credibility or give unfair competitive advantages to 

some candidates for mission support activities. These secondary effects may have a negative 

effect on the intended beneficiaries and can result, in extreme cases, in threats to human life, 

major assets, or the ability of the agency to perform future missions. Some information that has 

supported an international development and humanitarian aid process can even undo the results 

of previously completed foreign socio-economic and political development processes. Where 

there is a possibility of catastrophic consequences such as threats to human life and major 

property assets, a high confidentiality impact level must be assigned. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for international development and humanitarian aid information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of international development and 

humanitarian aid information depend on whether the information is time-critical. Unauthorized 

modification or destruction of information affecting external communications (e.g., web pages, 

electronic mail) may adversely affect operations and/or public confidence in the agency, but the 

damage to the mission would usually be limited. 

Special Factors Affecting Integrity Impact Determination: The consequences of unauthorized 

modification or destruction of information can be very serious or catastrophic if the modification 

is to time-critical operational information. In such cases, the impact level assigned would be 

moderate or high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most international development and humanitarian aid information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to international development and 

humanitarian aid information. 

Special Factors Affecting Availability Impact Determination: Generally, international development 

and humanitarian aid missions are tolerant of delays. Where this is not the case, the 

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availability impact associated with international development and humanitarian aid 

information may be moderate or high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

international development and humanitarian aid information is low. 

D.5.3 Global Trade Information Type 

Global Trade refers to those activities the Federal Government undertakes to advance worldwide 

economic prosperity by increasing trade through the opening of overseas markets and freeing the 

flow of goods, services, and capital. Trade encompasses all activities associated with the 

importing and exporting of goods to and from the United States. This includes goods 

declaration, fee payments, and delivery/shipment authorization. Export promotion involves the 

development of opportunities for the expansion of U.S. exports. Merchandise inspection 

includes the verification of goods and merchandise as well as the surveillance, interdiction, and 

investigation of imports/exports in violation of various Customs laws. Tariffs/quotas monitoring 

refers to the monitoring and modification of the schedules of items imported and exported to and 

from the United States. The recommended categorization for the global trade information type 

follows: 

Security Category = {(confidentiality, High), (integrity, High), (availability, High)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of export promotion 

information on the ability of responsible agencies to advance worldwide economic prosperity by 

increasing trade through the opening of overseas markets and freeing the flow of goods, services, 

and capital. Also, the confidentiality impact level is the effect of unauthorized disclosure of

merchandise inspection information on the ability of responsible agencies to accurately 

determine, report, and record the discovered status of imported or exported merchandise as it 

bears on violations of various Customs laws. Generally, the unauthorized disclosure of 

merchandise inspection information will not jeopardize the completion of other merchandise 

inspection missions, as shipment status is generally information of public record. The 

confidentiality impact level is also the effect of unauthorized disclosure of tariffs/quotas 

monitoring information on the ability of responsible agencies to enforce various Customs laws, 

and preserve statistical data concerning the historical compliance with such laws. Typically, the 

unauthorized disclosure of tariffs/quotas monitoring information will not jeopardize the 

completion of other tariffs/quotas monitoring missions because the information is publicly 

available. 

Unauthorized disclosure of information that has supported an export promotion process may 

undo the results of successful export promotion processes. The consequent threat to agency 

image or reputations can cause a catastrophic adverse effect on an agency’s mission capability. 

Consequently, the general confidentiality impact level associated with export promotion 

information is high. Some information that has supported a tariffs/quotas monitoring process 

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might be of higher sensitivity, such as intelligence information27 that might point to a dumping 

situation. The unauthorized disclosure of this information might jeopardize the success of future 

tariffs/quotas monitoring processes. Consequently, the confidentiality impact level associated 

with tariffs/quotas monitoring information is high. 

Intelligence information is included in national security systems. National security information 

and national security systems are outside the scope of this guideline. 

Some information that has supported a merchandise inspection process might be of higher 

sensitivity. The unauthorized disclosure of this information might jeopardize the success of 

future merchandise inspection processes. The consequent threat to agency image or reputations 

may cause a serious adverse effect on an agency’s mission capability. Consequently, the general 

confidentiality impact level associated with merchandise inspection information is high. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for global trade information is high. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of global trade information depends 

on whether the information is time-critical. 

Unauthorized modification or destruction of information affecting export promotion information 

may adversely affect mission operations and result in potentially serious economic repercussions. 

Trade agreements that have been implemented are generally matters of public record. Therefore, 

the specific negotiated terms, etc., must be accurately recorded. 

The modification of merchandise inspection information may result in significant financial 

consequences to an importer or exporter whose shipment is in question and may adversely affect 

mission operations and result in potentially serious economic repercussions. The results of 

completed inspections are matters of public record and must be accurately recorded. 

For tariffs/quotas monitoring information, the requirement for adequate means to detect data 

corruption is high. This information is used in policy and strategic analysis, and the accuracy of 

this statistical information is critical. Unauthorized modification or destruction of information 

affecting tariffs/quotas monitoring information may adversely affect mission operations and 

result in potentially catastrophic economic repercussions. 

 

27 Clinger-Cohen Act, Public Law 104-106, National Defense Authorization Act For Fiscal Year 1996, Division E – 

Information Technology Reform, Sec. 5142 – National Security Systems Defined, 8/8/96; Homeland Security Act 

of 2002, Public Law 107-296, Title X – Information Security, Subchapter II, Sec. 3532 – Definitions, 11/25/02; 

and Federal Information Security Management Act of 2002, Public Law 107-347, Subchapter III – Information 

Security, Sec. 3542 – Definitions, 12/17/02.

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Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

global trade information is high. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to global trade information. 

Export promotion and merchandise inspection missions are generally tolerant of significant 

delays. If the export promotion and merchandise inspection information are time-critical, the 

availability impact may be high. This would be the case where such an occurrence could 

result in significant financial consequences as a result of uncertainty regarding the status of 

an imported or exported shipment. 

Tariffs/quotas monitoring missions are also tolerant of significant delays. Typically, this 

information is used in high level policy and strategic analysis, and denial of access might 

cause an inconvenience but no significant mission impact. However, the availability impact 

associated with tariffs/quotas monitoring information may be high, if denial of access could 

result in serious damage to the image or reputation of an agency resulting from uncertainty 

regarding the compliance statistics of a major sovereign trade partner. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

global trade information is high. 

D.6 Natural Resources 

The Natural Resources mission area includes all activities involved in conservation planning, 

land management, and national park/monument tourism that affect the nation's natural and 

recreational resources, both private and federal. Note: Energy-related natural resources are 

covered in the Energy Management mission area. 

D.6.1 Water Resource Management Information Type 

Water Resource Management includes all activities that promote the effective use and 

management of the nation’s water resources. Notes: Environmental protection of water resources 

is included in the Environmental Management Line of Business. Hydroelectric energy 

production is included under the Energy Production mission. The recommended provisional 

categorization of the water resource management information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of water resource 

management information on the ability of responsible agencies to promote the effective use and 

management of the nation’s water resources. The consequences of unauthorized disclosure of 

most water resource management information would have, at most, a limited adverse effect on 

agency operations, agency assets, or individuals. 

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Special Factors Affecting Confidentiality Impact Determination: There may be some cases for which 

moderate confidentiality impact is associated with unauthorized disclosure of business/industry 

development. For example, unauthorized disclosure of details of current agency water resource 

management activities and plans may focus opposition and/or give an unfair advantage to 

competing interests. Consistent premature disclosure of agency plans may cause significant 

degradation in mission capability. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for water resource management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of water resource management 

information depends on whether the information is time-critical. Unauthorized modification or 

destruction of information affecting external communications associated with water resource 

management information (e.g., web pages, electronic mail) may adversely affect operations 

and/or public confidence in the agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most water resource management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to water resource management

information. Generally, missions supported by water resource management information are 

tolerant of delay. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

water resource management information is low. 

D.6.2 Conservation, Marine and Land Management Information Type

Conservation, Marine and Land Management involves the responsibilities of surveying, 

maintaining, and operating public lands and monuments, as well as activities devoted to ensuring 

the preservation of land, water, wildlife, and natural resources, both domestically and 

internationally. It also includes the sustainable stewardship of natural resources on federally 

owned/controlled lands for commercial use (mineral mining, grazing, forestry, fishing, etc.). The 

recommended provisional categorization of the conservation, marine, and land management 

information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

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Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of conservation, marine, 

and land management information on the ability of responsible agencies to survey, maintain, and 

operate public lands and monuments, as well as to ensure the preservation of land, water, 

wildlife, and natural resources, both domestically and internationally. The consequences of 

unauthorized disclosure of most conservation, marine, and land management information would 

have a limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: There may be some cases for which 

moderate confidentiality impact is associated with unauthorized disclosure of private or 

proprietary information associated with use of federally owned/controlled lands for commercial 

use (mineral mining, grazing, forestry, fishing, etc.). Additionally, unauthorized disclosure of 

details of current agency conservation, marine, and land management activities and plans may 

focus opposition and/or give an unfair advantage to competing interests. Consistent premature 

disclosure of agency plans may cause significant degradation in mission capability. Also, 

conservation, marine, and land management include enforcement functions (e.g., the policing of 

marine fisheries). Confidentiality impacts associated with criminal apprehension, criminal 

investigation and surveillance, citizen protection, and property protection may cause the 

confidentiality impact of enforcement-related information to be moderate or high. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact recommended 

for most conservation, marine, and land management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of conservation, marine, and land 

management information depends on whether the information is time-critical. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications associated with conservation, marine, and land 

management information (e.g., web pages, electronic mail) may adversely affect operations 

and/or public confidence in the agency, but the damage to the mission would usually be limited. 

Conservation, marine, and land management include enforcement functions (e.g., the policing of 

marine fisheries). Integrity impacts associated with criminal apprehension, criminal 

investigation and surveillance, citizen protection, and property protection may cause the integrity 

impact of enforcement-related information to be moderate. Particularly during fire season, the 

integrity of land management information critical to fire-fighting operations can affect the safety 

of human life and large-scale property damage. Such information can have a high integrity 

impact level. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most conservation, marine, and land management information is low. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to conservation, marine, and land 

management information. Typically, missions supported by conservation, marine, and land 

management information are tolerant of delay. 

Special Factors Affecting Availability Impact Determination: Conservation, marine, and land 

management include enforcement functions (e.g., the policing of marine fisheries). Availability 

impacts associated with criminal apprehension, criminal investigation and surveillance, citizen 

protection, and property protection may cause the availability impact of enforcement-related 

information to be moderate or high. Particularly during fire season, the availability of land 

management information critical to fire-fighting operations can affect the safety of human life 

and large-scale property damage. Such information can have a high availability impact level. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

most conservation, marine, and land management information is low. 

D.6.3 Recreational Resource Management and Tourism Information Type 

Recreational Resource Management and Tourism involves the management of national parks, 

monuments, and tourist attractions as well as visitor centers, campsites, and park service 

facilities. Impacts to some information and information systems associated with tourism 

management may affect the security of some key national assets (e.g., some national monuments 

and icons). The recommended provisional categorization of the recreational resource 

management and tourism information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of recreational resource 

management and tourism information on the ability of responsible agencies to manage national 

parks, monuments, and tourist attractions as well as visitor centers, campsites, and park service 

facilities. The consequences of unauthorized disclosure of most recreational resource 

management and tourism information would have a limited adverse effect on agency operations, 

agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Recreational resource management 

and tourism include enforcement functions (e.g., protective and enforcement functions of the 

National Park Service). Confidentiality impacts associated with criminal apprehension, criminal 

investigation and surveillance, citizen protection, and property protection may cause the 

confidentiality impact of enforcement-related information to be moderate or high. The 

consequences of unauthorized disclosure of property and tourist protection information can be 

particularly severe in the case of protection of national monuments and icons. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most recreational resource management and tourism information is low. 

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Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of recreational resource management 

and tourism information depends on whether the information is time-critical. Unauthorized 

modification or destruction of information affecting external communications associated with 

recreational resource management and tourism information (e.g., web pages, electronic mail) 

may adversely affect operations and/or public confidence in the agency, but the damage to the 

mission would usually be limited. 

Special Factors Affecting Integrity Impact Determination: Recreational resource management and 

tourism include enforcement functions (e.g., protective and enforcement functions of the 

National Park Service). Integrity impacts associated with criminal apprehension, criminal 

investigation and surveillance, citizen protection, and property protection may cause the integrity 

impact of enforcement-related information to be moderate or high. These types of enforcementrelated information are time-critical. Where terrorists or other criminals pose a threat to key 

national assets, or pose a threat to human life, the integrity impact level recommended for 

recreational resource management and tourism enforcement information is high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most recreational resource management and tourism information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to recreational resource management 

and tourism information. Generally, missions supported by recreational resource 

management and tourism information are tolerant of delays. 

Special Factors Affecting Availability Impact Determination: Recreational resource management 

and tourism include enforcement functions (e.g., protective and enforcement functions of the 

National Park Service). Availability impacts associated with criminal apprehension, criminal 

investigation and surveillance, citizen protection, and property protection may cause the 

confidentiality impact of enforcement-related information to be moderate or high. 

There may also be time-critical cases associated with protection of people and key national 

assets from natural disasters (such as fires, unexpected blizzards, or volcanic eruptions). In 

such cased, the availability impact may be high. Except for time-critical information, the 

availability impact level recommended for protection-related information is typically 

moderate. 

Recommended Availability Impact Level: Most recreational resource management and tourism

information is routine in nature (not time-critical). Consequently, the provisional availability 

impact level recommended for most recreational resource management and tourism information 

is low. 

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D.6.4 Agricultural Innovation and Services Information Type 

Agricultural Innovation and Services involves the creation and dissemination of better methods 

for farming and the development of better and healthier crops. The recommended security 

categorization for the agricultural innovation and service information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of agricultural

innovation and service information on the ability of responsible agencies to create and 

disseminate of better methods for farming and the development of better and healthier crops. In 

most cases, unauthorized disclosure of agricultural innovation and service information will have 

only a limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In some cases, unauthorized 

disclosure of preliminary findings or policies under consideration regarding proposed 

agricultural products may result in domestic or international public relations problems for the 

Federal government. In such cases, serious damage can result for agricultural innovation and 

service operations. Here, the confidentiality impact level may be moderate. 

In other cases, unauthorized disclosure of information regarding creation, storage, and 

transportation of dangerous plant disease vectors, animal disease vectors, pesticides, and 

herbicides might facilitate malicious activities by terrorists or other criminals. Here, there is a 

potential for loss of human life, so the confidentiality impact level may be high. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most agricultural innovation and service information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Agricultural 

innovation and service activities are not generally time-critical. In most cases, the adverse 

effects of unauthorized modification to or destruction of agricultural innovation and service 

information on agency mission functions and public confidence in the agency can be expected to 

be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

agricultural innovation and service information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to agricultural innovation and service 

information. Loan assistance processes are generally tolerant of delay. In most cases, 

disruption of access to agricultural innovation and service information can be expected to 

have only a limited adverse effect on agency operations, agency assets, or individuals. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

agricultural innovation and service information is low. 

D.7 Energy 

Energy refers to all actions performed by the government to ensure the procurement and 

management of energy resources, including the production, sale and distribution of energy, as 

well as the management of spent fuel resources. Energy management includes all types of massproduced energy (e.g., hydroelectric, nuclear, wind, solar, or fossil fuels). Also included in this 

mission area is the oversight of private industry. 

D.7.1 Energy Supply Information Type 

Energy Supply involves all activities devoted to ensuring the availability of an adequate supply 

of energy for the United States and its citizens. Energy Supply includes the sale and 

transportation of commodity fuels such as coal, oil, natural gas, and radioactive materials. This 

function also includes distributing and transferring power, electric generation, and/or storage 

located near the point of use. Impacts to some information and information systems associated 

with energy supply may affect the security of critical infrastructures, particularly in the areas of 

energy transmission and transport. The following recommended provisional categorization of the 

energy supply information type is particularly subject to change where critical infrastructure 

elements or nuclear materials are involved: 

Security Category = {(confidentiality, Low28), (integrity, Low22), (availability, Low29)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of energy supply 

information on the ability of responsible agencies to conduct activities related to the sale and 

transportation of commodity fuels such as coal, oil, natural gas, and radioactive materials. This 

function also includes distributing and transferring power, electric generation, and/or storage 

located near the point of use. Unauthorized modification or destruction of information affecting 

external communications (e.g., web pages, electronic mail) may adversely affect operations 

and/or public confidence in the agency, but the damage to the mission would usually be limited. 

Special Factors Affecting Confidentiality Impact Determination: The consequences of unauthorized 

disclosure of energy supply information can have a serious economic impact with respect to 

competitive advantages and financial and commodity market dynamics. Also, the unauthorized 

disclosure of supply information may assist terrorists in the theft of energy products or disruption 

of energy distribution channels. Facilitation of theft of nuclear materials is a particularly 

catastrophic potential result of unauthorized disclosure of specific types of energy supply 

information. In these cases, the confidentiality impact must be considered to be high. 

 

28 Risk level is usually high where safety of radioactive materials, highly flammable fuels, or major transmission 

channels or control processes is at risk. 29 Risk level is usually moderate or high where time-critical processes are involved. 

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[Some information regarding transportation and storage of nuclear materials is classified. The 

classified information is national security related and is outside the scope of this guideline. 

Other information, such as Nuclear Regulatory Commission “SAFEGUARDS” information is 

not national security information, but must be treated as having high confidentiality impact.] 

With respect to possible use by terrorists of energy distribution information regarding petroleum,

natural gas, and other flammable or explosive products, a realistic impact assessment must 

include energy distribution information from private companies. This information is also 

susceptible to access by terrorists. Where distribution of hazardous energy products is involved, 

there is a potential unauthorized disclosure consequence of loss of human life and major 

property. In such cases the confidentiality impact level can be moderate or high. [Disclosure of 

transportation routes and storage facilities is often (i) both authorized and necessary to mission 

accomplishment and (ii) authorized, or even mandated, for public safety reasons.] Also, the 

unauthorized disclosure of one agency’s energy supply information by another agency could 

result in negative impacts on cross-jurisdictional coordination within the energy distribution 

infrastructure and the general effectiveness of organizations tasked with energy supply. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most energy supply information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of energy supply information usually 

depends on whether the information is time-critical. 

Special Factors Affecting Integrity Impact Determination: Undetected modification of automated 

switching functions in distribution channels (e.g., electrical power distribution, petroleum or gas 

pipelines) can result in loss of major assets or of human life. Consequently, the integrity impact 

level associated with these types of energy supply information used to control critical processes 

in real time is high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended most 

energy supply information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to energy supply information. 

Typically, disruption of access will have a limited adverse effect on agency operations 

(including mission, functions, or public confidence in the agency), agency assets, or 

individuals. Also, most energy supply information is not time-critical. 

Special Factors Affecting Availability Impact Determination: Functions supported by energy 

supply information are often not tolerant of delays. Delays may cost lives and major property 

damage, e.g., significant degradation in mission capability and resultant serious 

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consequences for critical infrastructures, key national assets, and/or human life. In these 

cases, the availability impact level associated with energy supply information can be high. 

Recommended Availability Impact Level: In The availability impact level recommended for most 

energy supply information is low. 

D.7.2 Energy Conservation and Preparedness Information Type 

Energy Conservation and Preparedness involves protection of energy resources from overconsumption to ensure the continued availability of fuel resources and to promote environmental 

protection. This mission also includes measures taken to ensure the provision of energy in the 

event of an emergency. The recommended security categorization for the energy conservation 

and preparedness information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of energy conservation 

and preparedness information on the ability of responsible agencies to protect energy resources 

from over-consumption to ensure the continued availability of fuel resources and to promote 

environmental protection. In most cases, unauthorized disclosure of energy conservation and 

preparedness information will have only a limited adverse effect on agency operations, assets, or 

individuals. 

Special Factors Affecting Confidentiality Impact Determination: In some cases, unauthorized 

disclosure of preliminary findings or policies under consideration regarding proposed 

conservation measures or the distribution of energy in the event of an emergency may result in 

mobilization of special interests. These groups may successfully oppose necessary conservation 

measures and be given an unfair advantage for specific commercial interests. Also, the 

unauthorized disclosure may cause domestic or international loss of confidence in the Federal 

government. In such cases, serious damage may result for energy conservation and preparedness 

operations. Therefore, the confidentiality impact level may be moderate. 

In other cases, unauthorized disclosure of information regarding measures taken to ensure the 

provision of energy in the event of an emergency may facilitate malicious activities of terrorists. 

Here, there is a potential for loss of human life resulting from extended outages, so the 

confidentiality impact level may be high. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most energy conservation and preparedness information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In most cases, 

the adverse effects of unauthorized modification or destruction of energy conservation and 

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preparedness information on agency mission functions and public confidence in the agency will 

be limited 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information necessary to time-critical processes ensuring the provision of energy in the event 

of an emergency can result in extended outages. There is some potential for a consequent threat 

to critical energy infrastructure and to human life. In such cases, the integrity impact level may 

be high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

energy conservation and preparedness information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to energy conservation and 

preparedness information. Loan assistance processes are generally tolerant of delay. In most 

cases disruption of access to energy conservation and preparedness information will have 

only a limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Unavailability of information 

necessary to time-critical processes ensuring the provision of energy in the event of an

emergency may result in extended outages. There is some potential for a consequent threat 

to critical energy infrastructure and to human life. In such cases, the availability impact level 

may be high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

energy conservation and preparedness information is low. 

D.7.3 Energy Resource Management Information Type 

Energy resource management involves the management of energy producing resources including 

facilities, land, and offshore resources. The recommended provisional categorization of the 

energy resource management information type follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of energy resource 

management information on the activities of responsible agencies with respect to management of 

energy producing resources including facilities, land, and offshore resources. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of much 

energy resource management information can result in major financial consequences and impact 

financial markets and have a serious adverse effect on public confidence in the agency. In some

cases, the probable consequences of damage to public confidence in the agency can even be 

high. 

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Recommended Confidentiality Impact Level: The consequences of unauthorized disclosure of some

energy resource management information would have only a limited adverse effect on agency 

operations. However, the consequences that can be expected to result from unauthorized 

disclosure of most energy resource management information justify a moderate provisional 

confidentiality impact level. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of energy resource management 

information may depend on the urgency with which the information is typically needed. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited 

Special Factors Affecting Integrity Impact Determination: If the energy resource management 

information is time-critical or very sensitive, the integrity impact level may be moderate or high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most energy resource management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to energy resource management

information. Generally, missions supported by energy resource management information are 

tolerant of delay. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

energy resource management information is low. 

D.7.4 Energy Production Information Type 

Energy production involves the transformation of raw energy resources into useable, deliverable 

energy. Impacts to some information and information systems associated with energy production 

may affect the security of the critical energy infrastructure. The recommended provisional 

categorization of the energy production information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of energy production 

information on the activities of responsible agencies with respect to transformation of raw energy 

resources into useable, deliverable energy. The consequences of unauthorized disclosure of most 

energy production information would have only a limited adverse effect on agency operations, 

agency assets, or individuals. 

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Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some

energy production information can result in major financial consequences. In some cases, 

premature disclosure of this information can impact financial markets. Unauthorized disclosure 

to a single institution could damage faith in government institutions, result in adverse financial 

events, and have a serious adverse effect on public confidence in the agency. Therefore, the 

confidentiality impact should be at least moderate for this energy production information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most energy production information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of energy production information may 

depend on the urgency with which the information is typically needed. Unauthorized 

modification or destruction of information affecting external communications (e.g., web pages, 

electronic mail) may adversely affect operations or public confidence in the agency, but the 

damage to the mission would usually be limited. 

Special Factors Affecting Integrity Impact Determination: If the energy production information is 

time-critical or very sensitive, the integrity impact level may be moderate or high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most energy production information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to energy production information. 

Missions supported by energy production information are generally tolerant of delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

energy production information is low. 

D.8 Environmental Management 

Environmental management includes all functions required to determine proper 

environmental standards and ensure their compliance. 

D.8.1 Environmental Monitoring and Forecasting Information Type 

Environmental Monitoring and Forecasting involves the observation and prediction of 

environmental conditions. This includes b the monitoring and forecasting of water quality, water 

levels, ice sheets, air quality, regulated and non-regulated emissions, as well as the observation 

and prediction of weather patterns and conditions. The following provisional security 

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categorization is recommended for the environmental monitoring and forecasting information 

type: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of environmental 

monitoring and forecasting information on the ability of responsible agencies to observe and 

predict environmental conditions. The consequences of unauthorized disclosure of most 

environmental monitoring information are unlikely to have a serious adverse effect on agency 

operations. 

Special Factors Affecting Confidentiality Impact Determination: The most serious adverse effects are 

likely to involve exposure of information that is proprietary to an organization or result in 

damaging publicity for an organization. [Unauthorized disclosure of some information can have 

serious economic impact on both individual companies and the broader market place. The 

consequences of such unauthorized disclosures may have an adverse effect on public confidence 

in the agency.] In such cases, the potential confidentiality impacts may be at least moderate. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most environmental monitoring and forecasting information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of environmental monitoring 

information and forecasting can be serious if the public is exposed to harmful emissions, polluted 

water, etc. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications (e.g., web pages, electronic mail) may 

adversely affect operations and public confidence in the agency, but also the agency mission. In 

some cases, unauthorized modification or destruction of information can result in loss of human 

life - a high-impact potential. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

environmental monitoring and forecasting information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to environmental monitoring and 

forecasting information. Except for cases of emergency bulletins necessary to correct existing 

threats to public safety, the nature of environmental monitoring and forecasting processes is 

usually tolerant of reasonable delays. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

environmental monitoring and forecasting information is low. 

D.8.2 Environmental Remediation Information Type 

Environmental remediation supports the immediate and long-term activities associated with the 

correcting and offsetting of environmental deficiencies or imbalances, including restoration 

activities. The following security categorization is recommended for the environmental 

remediation information type: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of environmental 

remediation information on the immediate and long-term activities of responsible agencies with 

respect to correcting and offsetting environmental deficiencies or imbalances. Serious adverse 

effects are likely to result from 1) exposure of information that is premature and not fully 

checked for accuracy and that can damage public confidence in an organization targeted for 

remedial action, 2) unauthorized disclosure of information that is proprietary to an organization, 

3) unauthorized disclosure of information concerning proposed remediation that may be used by 

organizations opposing particular remedial actions, and 4) disclosure of an agency’s tactics for 

enforcing remediation that will have an adverse effect on the enforcement action. The 

consequences of such unauthorized disclosures may have a serious adverse effect on public 

confidence in the agency, have a serious adverse effect on agency operations, and place the 

agency at a significant disadvantage. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for environmental remediation information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of environmental remediation 

information may depend on the urgency with which the information is typically needed. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations, public confidence in the 

agency, and the agency mission. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

environmental remediation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to environmental remediation 

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information. Except for cases of emergency bulletins necessary to correct existing threats to 

public safety, environmental remediation processes are usually tolerant of reasonable delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

environmental remediation information is low. 

D.8.3 Pollution Prevention And Control Information Type 

Pollution prevention and control includes activities associated with the establishment of

environmental standards to control the levels of harmful substances emitted into the soil, water 

and atmosphere. The following security categorization is recommended for the pollution 

prevention and control information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of pollution prevention 

and control information on the abilities of responsible agencies to establish environmental 

standards to control the levels of harmful substances emitted into the soil, water and atmosphere. 

Unauthorized disclosure of pollution prevention and control information can result in incomplete 

information being published as agency standards or policy, misunderstandings that prevent or 

increase the difficulty of promulgating standards, or the discrediting of valid proposed standards 

or policies by exposure of partial information out of context. The consequences of such 

unauthorized disclosures may have an adverse effect on public confidence in the agency, or 

agency operations and may place the agency at an operational disadvantage. Most unauthorized 

disclosure of pollution prevention and control information will have only a limited adverse effect 

on the affected agency. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for pollution prevention and control information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of pollution prevention and control 

information may depend on the urgency with which the information is typically needed. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations, public confidence in the 

agency, and the agency mission. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

pollution prevention and control information is low. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to pollution prevention and control 

information. Except for cases of emergency bulletins necessary to correct existing threats to 

public safety, pollution prevention and control processes are usually tolerant of delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

pollution prevention and control information is low. 

D.9 Economic Development 

Economic Development includes the activities required to promote commercial/industrial 

development and to regulate the American financial industry to protect investors. It also includes 

the management and control of the domestic economy and the money supply, and the protection 

of intellectual property and innovation. Note: The promotion of U.S. business overseas is 

captured in the function, "International Affairs and Commerce." 

D.9.1 Business and Industry Development Information Type 

Business/industry development supports activities related to the creation of economic and 

business opportunities and stimulus, and the promotion of financial and economic stability for 

corporations and citizens involved in different types of business. The recommended provisional 

categorization of the business and industry development information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of business and industry 

development information on the ability of responsible agencies to create economic and business 

opportunities and stimulus, and promote financial and economic stability for corporations and 

citizens involved in different types of business. The consequences of unauthorized disclosure of 

most business and industry development information would have, at most, a limited adverse 

effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: There may be some cases for which 

moderate confidentiality impact is associated with unauthorized disclosure of business/industry 

development. For example, unauthorized disclosure of private information concerning 

individuals or businesses can result in legal expense and serious effects on public confidence in 

the agency. Similarly, unauthorized disclosure of details of current agency business and industry 

development activities and plans can serve to focus opposition and/or give an unfair advantage to 

competing interests. Additionally, there are legislative mandates prohibiting unauthorized 

disclosure of trade secrets. Trade secrets will generally be assigned a moderate confidentiality 

impact level. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for business/industry development information is low. 

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Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of business and industry development 

information may depend on the urgency with which the information is typically needed. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most business and industry development information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to business and industry development 

information. Missions supported by business and industry development information are 

generally tolerant of delay. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

business and industry development information is low. 

D.9.2 Intellectual Property Protection Information Type 

Intellectual property protection involves law enforcement activities involving the enforcement of 

intellectual property including inventions, literary and artistic works, and symbols, names, 

images, and designs used in commerce. Note that intellectual property protection is an exception 

to the often-close relationship between impacts to law enforcement information and information 

systems and the security of critical infrastructures and key national assets. The following security 

categorization is recommended for the intellectual property protection information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of intellectual property 

protection information on the abilities of responsible agencies to enforce intellectual property 

including inventions, literary and artistic works, and symbols, names, images, and designs used 

in commerce. The consequences of unauthorized disclosure of the majority of intellectual 

property protection information will result in, at most, a limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: There are legislative mandates 

prohibiting unauthorized disclosure of trade secrets. Trade secrets will generally be assigned a 

moderate confidentiality impact level. In the case of patent activities, technical details of

applications involving inventions with military applications and with deliberations concerning 

withholding patents as a result of national security considerations may be sensitive. (In some

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cases, the patent application information may be classified or to contain information concerning 

weapons or weapons systems. In such cases, the information would be national security 

information, and outside the scope of this guideline.) 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for intellectual property protection information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of intellectual property protection 

information depends on the criticality of the information with respect to agency mission 

capability, protection of agency assets, and safety of individuals. The effects of modification or 

deletion of this information are generally limited with respect to agency mission capabilities or 

assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

intellectual property protection information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to intellectual property protection 

information. The nature of intellectual property protection processes is tolerant of reasonable 

delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

intellectual property protection information is low. 

D.9.3 Financial Sector Oversight Information Type 

Financial Sector Oversight involves the regulation of private sector firms and markets (stock 

exchanges, corporations, etc.) to protect investors from fraud, monopolies, and illegal behavior. 

This also includes deposit protection. The recommended provisional categorization of the 

financial sector oversight information type follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of financial sector 

oversight information on the ability of responsible agencies to regulate private sector firms and 

markets (stock exchanges, corporations, etc.) to protect investors from fraud, monopolies, and 

illegal behavior. This also includes deposit protection, creation, regulation, and control of the 

nation’s currency and coinage supply and demand. 

Special Factors Affecting Confidentiality Impact Determination: While the consequences of 

unauthorized disclosure of some financial sector oversight information would have only a limited 

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adverse effect on agency operations, agency assets, or individuals, there are significant 

exceptions. Unauthorized disclosure of much financial sector oversight information can result in 

major financial consequences. This can result in assignment of a high impact level to such 

information. 

In some cases, premature disclosure of regulatory information can impact major financial 

markets and damage national banking and finance infrastructures. For example, unauthorized 

disclosure of a decision to increase the money supply or of an ongoing securities fraud 

investigation can have a dramatic effect on financial markets. This can result in assignment of a 

high impact level to such information. 

Unauthorized disclosure to a single institution (e.g., a major banking institution or brokerage 

house), could damage faith in regulatory institutions and result in even more market disruption 

and have a severe or catastrophic adverse effect on public confidence in the agency. This can 

result in assignment of a high impact level to such information. 

Even where the consequences are limited to giving an unfair market advantage to a single 

financial or commercial institution, unauthorized disclosure can have a serious adverse effect on 

public confidence in the agency and its staff. This can result in assignment of a high impact 

level to such information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for financial sector oversight information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. T he 

consequences of unauthorized modification or destruction of financial sector oversight 

information depends on whether the information is time-critical. Unauthorized modification or

destruction of information affecting external communications (e.g., web pages, electronic mail) 

may adversely affect operations or public confidence in the agency, but the damage to the 

mission would usually be limited. 

Special Factors Affecting Integrity Impact Determination: Where unauthorized modification or 

destruction of financial sector oversight information facilitates or enables catastrophic 

consequences, the integrity impact level may be high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most financial sector oversight information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to financial sector oversight

information. Missions supported by financial sector oversight information are generally 

tolerant of delay. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

financial sector oversight information is low. 

D.9.4 Industry Sector Income Stabilization Information Type 

Industry Sector Income Stabilization involves all programs and activities devoted to assisting 

adversely impacted industrial sectors (farming, commercial transportation, etc.) to ensure the 

continued availability of their services for the American public and the long-term economic 

stability of these sectors. The provisional recommended security categorization for the industry 

sector income stabilization information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of industry sector 

income stabilization information on the ability of responsible agencies to assist adversely 

impacted industrial sectors (farming, commercial transportation, etc.) to ensure the continued 

availability of their services for the American public and the long-term economic stability of 

these sectors. In most cases, unauthorized disclosure of industry sector income stabilization 

information will have only a limited adverse effect on agency operations, assets, or individuals. 

However, unauthorized premature disclosure of Federal government plans for industry sector 

income stabilization actions (e.g., grants or subsidies) as well as of government economic 

forecasts and commentary preliminary to formulation of plans may result in major financial 

consequences. Unauthorized and premature disclosure to a single institution (e.g., a major 

manufacturing institution, a major agribusiness institution, or a commodity brokerage house), 

could damage confidence in economic stabilization institutions and have a severe adverse effect 

on public confidence in the government. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for industry sector income stabilization information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Industry sector 

income stabilization activities are not generally time-critical. In most cases, the adverse effects 

of unauthorized modification or destruction of industry sector income stabilization information 

on agency mission functions and public confidence in the agency will be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

industry sector income stabilization information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to industry sector income stabilization 

information. Industry sector income stabilization processes are generally tolerant of delay. In 

most cases, disruption of access to industry sector income stabilization information can be 

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expected to have only a limited adverse effect on agency operations, agency assets, or 

individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

industry sector income stabilization information is low. 

D.10 Community and Social Services 

Community and Social Services includes all activities aimed at creating, expanding, or 

improving community and social development, social relationships, and social services in the 

United States. This includes all activities aimed at locality-specific or nationwide social 

development and general social services and general community development and social services 

programs, as well as earned and unearned benefit programs that promote these objectives. 

D.10.1 Homeownership Promotion Information Type 

Homeownership Promotion includes activities devoted to assisting citizens interested in buying 

homes and educating the public as to the benefits of homeownership. Note: Activities devoted to 

the provision of housing to low-income members of the public are covered under the Housing 

Assistance mission. The recommended provisional categorization of the homeownership 

promotion information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of homeownership 

promotion information on the ability of responsible agencies to assist citizens interested in 

buying homes and educating the public as to the benefits of homeownership. The consequences 

of unauthorized disclosure of most homeownership promotion information would have a limited 

adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences are based on privacy information processed in training 

and employment systems (e.g., information required by the Privacy Act of 1974 or other statutes 

and executive orders to receive special handling to protect the privacy of individuals). The 

Privacy Act Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. This can result in assignment of a moderate impact level to 

such information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for homeownership promotion information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of homeownership promotion 

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information would have, at most, a limited adverse effect on agency operations, agency assets, or 

individuals. Unauthorized modification or destruction of information affecting external 

communications (e.g., web pages, electronic mail) may adversely affect operations and/or public 

confidence in the agency, but the damage to the mission would usually be limited 

Recommended Integrity Impact Level: The provisional integrity impact level recommended most 

homeownership promotion information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to homeownership promotion 

information. The effects of disruption of access to most homeownership promotion information 

or information systems would have a limited adverse effect on agency operations, agency assets, 

or individuals. 

Recommended Integrity Impact Level: The provisional availability impact level recommended for 

homeownership promotion information is low. 

D.10.2 Community and Regional Development Information Type 

The Community and Regional Development mission involves activities designed to assist 

communities in preventing and eliminating blight and deterioration, assist economically 

distressed communities, and encourage and foster economic development through improved 

public facilities and resources. The recommended provisional categorization of the community 

and regional development information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of community and 

regional development information on the ability of responsible agencies to assist communities in 

preventing and eliminating blight and deterioration, assist economically distressed communities,

and encourage and foster economic development through improved public facilities and 

resources. The consequences of unauthorized disclosure of most community and regional 

development information would have a limited adverse effect on agency operations, agency 

assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences are based on privacy information processed in training 

and employment systems (e.g., information required by the Privacy Act of 1974 or other statutes 

and executive orders to receive special handling to protect the privacy of individuals). The 

Privacy Act Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. Another exception might be unauthorized disclosure of 

information that gives an individual or corporate entity an unfair competitive advantage in 

obtaining contracts or other funding for development activities. This can result in assignment of 

a moderate impact level to such information. 

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Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for community and regional development information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of community and regional 

development information would have, at most, a limited adverse effect on agency operations, 

agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most community and regional development information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to community and regional 

development information. The effects of disruption of access to most community and 

regional development information or information systems would have a limited adverse 

effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

community and regional development information is low. 

D.10.3 Social Services Information Type 

Social Services are designed to provide meaningful opportunities for social and economic growth 

of the disadvantaged sector of the population in order to develop individuals into productive and 

self-reliant citizens and promote social equity. Included in this category are social welfare 

services extended to children and adults with special needs, such as the orphaned, neglected, 

abandoned, disabled, etc. Such services include family life education and counseling, adoption, 

guardianship, foster family care, rehabilitation services, etc. Note: This mission does not include 

services that are primarily for income support (Income Security) or are an integral part of some

other mission area (e.g., Health, Workforce Management, etc.). The recommended provisional 

categorization of the social services information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of social services 

information on the ability of responsible agencies to provide meaningful opportunities for social 

and economic growth of the disadvantaged sector of the population in order to develop 

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individuals into productive and self-reliant citizens and promote social equity. The consequences 

of unauthorized disclosure of most social services information would have a limited adverse 

effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences include privacy information processed in training and 

employment systems (e.g., information required by the Privacy Act of 1974 or other statutes and 

executive orders to receive special handling to protect the privacy of individuals). The Privacy 

Act Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. Other exceptions include unauthorized disclosure of

information that might assist criminals to perpetrate fraud, particularly with respect to income

security disbursements. This can result in assignment of a moderate impact level to such 

information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for social services information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of social services information would 

have, at most, a limited adverse effect on agency operations, agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited. Another threat is that of

unauthorized modification of information to support fraudulent activities. This might result in 

harm to individuals, but not to agency operations or missions. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most social services information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to social services information. The 

effects of disruption of access to most social services information or information systems 

would have, at most, a limited adverse effect on agency operations, agency assets, or 

individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

social services information is low. 

D.10.4 Postal Services Information Type 

Postal Services provide for the timely and consistent exchange and delivery of mail and packages 

between businesses, organizations, and residents of the United States or between businesses, 

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organizations, and residents of the United States and the rest of the world. It also includes the 

nation-wide retail infrastructure required to make Postal Services easily accessible to customers. 

(Note: The commercial function of mail is more closely aligned with the “Business and Industry 

Development” mission in the “Economic Development mission area.” The international 

commercial function of mail is more closely aligned with the “Global Trade” mission in the 

“International Affairs” mission area). The recommended provisional categorization of thee postal 

services information type follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Moderate)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of postal services 

information on the ability of responsible agencies to provide for the timely and consistent 

exchange and delivery of mail and packages between businesses, organizations, and residents of 

the United States or between businesses, organizations, and residents of the United States and the 

rest of the world. The consequences of unauthorized disclosure of most postal services

information would have a limited adverse effect on agency operations, agency assets, or 

individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences include privacy information (e.g., information required 

by the Privacy Act of 1974 or other statutes and executive orders to receive special handling to 

protect the privacy of individuals). The Privacy Act Information provisional impact levels are 

documented in the Personal Identity and Authentication information type. Other exceptions 

include unauthorized disclosure of information that might assist criminals to perpetrate fraud, 

particularly with respect to income security disbursements. Because registered mail can be 

employed to transmit classified information, information regarding some registered mail can 

facilitate unauthorized access to national security information. This can result in assignment of a 

moderate impact level to such information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most postal services information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of postal services information would 

have, at most, a limited adverse effect on agency operations, agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Special Factors Affecting Integrity Impact Determination: The consequences of unauthorized 

modification or destruction of postal information might provide terrorists the tools to carry out an 

attack. The consequences in terms of critical infrastructure protection and risk to human life may 

be severe. In such cases, the integrity impact of compromise would be high. Another threat is 

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that of unauthorized modification of information to support fraudulent activities (e.g., 

misdirection of monetary instruments, execution of fraudulent financial transactions). This 

might result in harm to individuals, but not to agency operations or missions. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most postal services information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to postal services information. The 

effects of disruption of access to most postal services information or information systems 

would have an adverse effect on agency operations. Because most postal services 

information is time critical, extended widespread outages could seriously affect the 

commerce of the United States. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

postal services information is moderate. 

D.11 Transportation 

Transportation involves all federally supported activities related to the safe passage, 

conveyance, or transportation of goods and/or people. Note that impacts to some information 

and many information systems associated with transportation activities may affect the 

security of, not only the transportation infrastructure, but also to a broad range of other 

critical infrastructures and key national assets. 

D.11.1 Ground Transportation Information Type 

Ground Transportation involves the activities related to ensuring the availability of transit and 

the safe passage of passengers and goods over land. Water and fuel pipelines are included among 

ground transportation assets. Note: The protection of ground transportation from deliberate 

attack is included in the Transportation Security information type under the Homeland Security 

mission area. The recommended provisional security categorization for the ground 

transportation information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of ground transportation 

information on the ability of responsible agencies to ensure the availability of transit and the safe 

passage of passengers and goods over land. The protection of ground transportation from

deliberate attack is included in the Transportation Security information type under the Homeland 

Security mission area. For most cases, unauthorized disclosure of ground transportation 

information will have only a limited adverse effect on agency operations, assets, or individuals. 

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Special Factors Affecting Confidentiality Impact Determination: Some regulatory and tariff

enforcement functions associated with the safe passage of passengers and goods over land 

involve relatively sensitive information. These are included in Law Enforcement. Unauthorized 

disclosure of accident investigation information that has not yet been adequately researched, 

coordinated, or edited can result in serious economic harm to individuals and to corporations. 

Loss in public confidence is a further potential consequence. Additionally, some information 

associated with ground transportation functions is proprietary to corporations or subject to 

privacy laws (e.g., the Privacy Act of 1974, HIPAA). (The Privacy Act Information provisional 

impact levels are documented in the Personal Identity and Authentication information type.) In 

such cases, the confidentiality impact resulting from unauthorized disclosure may be moderate. 

Some military ground transportation information is national security information and is outside 

the scope of this guideline. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for ground transportation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In most cases, 

the adverse effects of unauthorized modification or destruction of ground transportation 

information on agency mission functions and public confidence in the agency will be limited. 

Special Factors Affecting Integrity Impact Determination: Some ground transportation functions are 

time-critical (e.g., track switching functions associated with rail travel). Unauthorized 

modification or destruction of time-critical information necessary to these functions can result in 

large-scale property loss and in loss of human lives. Such information will have a high integrity 

impact level. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

ground transportation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to ground transportation information. 

Most ground transportation processes are tolerant of reasonable delays. In most cases, 

disruption of access to ground transportation information can be expected to have only a 

limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Some ground transportation functions 

are time-critical (e.g., track switching functions associated with rail travel). Loss of 

availability of time-critical information necessary to these functions can result in large-scale 

property loss and in loss of human lives. Such information will have a high integrity impact 

level. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

ground transportation information is low. 

D.11.2 Water Transportation Information Type 

Water Transportation involves the activities related to ensuring the availability of transit and the 

safe passage of passengers and goods over sea and water. Note: The protection of maritime 

transportation from deliberate attack is included in the Transportation Security information type 

under the Homeland Security mission area. The general recommended security categorization for 

the water transportation information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of water transportation 

information on the ability of responsible agencies to ensure the availability of transit and the safe 

passage of passengers and goods over sea and water. The protection of water transportation from

deliberate attack is included in the Transportation Security information type under the Homeland 

Security mission area. Some regulatory and tariff enforcement functions associated with the safe

passage of passengers and goods over sea and water involve relatively sensitive information. 

These are included in Law Enforcement. In most cases, unauthorized disclosure of water 

transportation information will have only a limited adverse effect on agency operations, assets, 

or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of accident 

investigation information that has not been adequately researched, coordinated, or edited can 

result in serious economic harm to individuals and to corporations. Loss in public confidence is 

a further potential consequence. Additionally, some information associated with water 

transportation functions is proprietary to corporations or subject to privacy laws. In such cases, 

the confidentiality impact resulting from unauthorized disclosure can be moderate. 

Some military sea and water transportation information is national security information and is 

outside the scope of this guideline. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for water transportation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. In most cases, 

the adverse effects of unauthorized modification or destruction of water transportation 

information on agency mission functions and public confidence in the agency will be limited. 

Special Factors Affecting Integrity Impact Determination: Some water and sea transportation 

functions are time-critical (e.g., distress signals, docking operations, collision avoidance, 

warnings of hazardous weather or sea conditions). Unauthorized modification or destruction of 

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time-critical information necessary to these functions can result in large-scale property loss and 

in loss of human lives. Such information would have a high integrity impact level. 

Communications management (e.g., frequency management) information also needs to be 

included in water transportation integrity impact considerations. There may be circumstances 

when errors in frequency assignment information can result in an inability for Federal 

government agencies to communicate with state or local government activities. The subsequent 

loss of communications capabilities can result in life-threatening situations. Such information 

would have a high integrity impact level. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

water transportation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to water transportation information. 

Most water transportation processes are tolerant of reasonable delays. In most cases, 

disruption of access to water transportation information can be expected to have only a 

limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Some water and sea transportation 

functions are time-critical (e.g., distress signals, docking operations, collision avoidance, 

warnings of hazardous weather or sea conditions). Loss of availability of time-critical 

information necessary to these functions can result in large-scale property loss and in loss of

human lives. Such information would have a high integrity impact level. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

water transportation information is low. 

D.11.3 Air Transportation Information Type 

Air Transportation involves the activities related to the safe passage of passengers or goods 

through the air. It also includes command and control activities related to the safe movement of 

aircraft through all phases of flight for commercial and military operations. Note: The protection 

of air transportation from deliberate attack is included in the Transportation Security information 

type under the Homeland Security mission area. The general recommended security 

categorization for the air transportation information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of air transportation 

information on the ability of responsible agencies to ensure the safe passage of passengers and 

goods through the air. The protection of air transportation from deliberate attack is included in 

the Transportation Security information type under the Homeland Security mission area. Some

regulatory and tariff enforcement functions associated with the safe passage of passengers and 

goods over land involve sensitive information. These are treated under Law Enforcement. In 

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most cases, unauthorized disclosure of air transportation information will have only a limited 

adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of accident 

investigation information that has not been adequately researched, coordinated, or edited can 

result in serious economic harm to individuals and to corporations. Loss in public confidence is 

a further potential consequence. Additionally, some information associated with air

transportation functions is proprietary to corporations or subject to privacy laws. In such cases, 

the confidentiality impact resulting from unauthorized disclosure can be moderate. The 

sensitivity of air transportation information can be time or event-driven. For example, passenger 

lists are not releasable to the general public before a flight takes off, but are placed in the public 

domain in the event of a crash. In such cases, the confidentiality impact resulting from

unauthorized disclosure can be moderate. 

Also, much military air transport information is national security information and is outside the 

scope of this guideline. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for air transportation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Many air 

transportation functions do not process time-critical information. 

Special Factors Affecting Integrity Impact Determination: Many air transportation functions are timecritical (e.g., air traffic control instructions, position reports, weather reports for the terminal 

area, maintenance trouble reports). Communications management (e.g., frequency management) 

information also needs to be included in air transportation integrity impact considerations. There 

may be circumstances under which erroneous frequency assignment information can result in a 

loss of communications with aircraft that are affected by hazardous conditions (e.g., loss of 

communications with an aircraft in a crowded air space.) Unauthorized modification or

destruction of time-critical information necessary to these functions can result in large-scale 

property loss and in loss of human lives. The Wide Area Augmentation System (WAAS) 

supplements the availability and integrity of position information available from the DoD's 

Global Positioning Systems (GPS). Because of the potential system-wide impacts from a loss of 

integrity of this system, a high integrity impact level is recommended. 

The following example illustrates the use of controls to address a high integrity impact level: 

Systems designed for command and control for air traffic control (the NAS systems) have been 

designed for robust operations. In the NAS, integrity and availability issues are closely linked. 

The loss of integrity in a system is monitored continuously, and the loss of integrity is treated as 

a loss of availability, and in general, loss of availability for the majority of systems does not 

cause derogation in safety. That is, if the operational parameters for an Instrument Landing 

System are detected to be out of established tolerances, the system is immediately removed from

service - it is powered down and users are notified that the particular service is not available. In 

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most cases, a loss of availability is preferred to continued availability with degraded integrity. 

The impacts of the loss of availability due to the loss of integrity include system-wide air traffic 

delays, diversion of traffic to alternate airports - and the economic losses related to those delays, 

diversions, etc. Severe impacts are not the norm because the loss of availability is assumed to be 

inevitable, and the systems have been designed to accommodate failures. With the controls 

implemented, the Recommended Integrity Impact Level is moderate.

Recommended Integrity Impact Level: The provisional integrity impact level recommended for most 

air transportation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to air transportation information. 

Special Factors Affecting Availability Impact Determination: Many air transportation functions are 

time-critical (e.g., air traffic control instructions, position reports, weather reports for the 

terminal area, maintenance trouble reports). Loss of availability of time-critical information 

necessary to these functions can result in large-scale property loss and in loss of human lives. 

Timing plays a large part in the availability impact of air transportation information. For 

example, the time criticality of weather information may be measured in minutes or hours in the 

case of pre-flight and mid-flight operations. However, on final landing approach, up to the 

second availability may be required (e.g., detection of microbursts in the terminal area). Air 

operations are not tolerant of information loss. The Wide Area Augmentation System (WAAS) 

supplements the availability of information available from the Department of Defense's Global 

Positioning Systems (GPS). Because of the potential system-wide impacts from a loss of 

availability of this system, it would be appropriately categorized as having a high availability 

impact. 

The following example illustrates the use of controls to address a high integrity impact level: The 

systems designed for command and control for air traffic control (the NAS systems) have been designed 

for robust operations. However, in general, loss of availability for the majority of systems does not 

cause derogation in safety. The impacts of a loss of availability (or the loss of availability due to the loss 

of integrity) include local or system-wide air traffic delays, diversion of traffic to alternate airports, etc., 

and the economic losses related to those delays, diversions, etc. Severe impacts are not the norm

because the loss of availability is inevitable, and the systems have been designed to accommodate 

failures. With the controls implemented, the Recommended Availability Impact Level is moderate.

 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

most air transportation information is low. 

D.11.4 Space Operations Information Type 

Space Operations involves the activities related to the safe launches/missions of passengers or 

goods into aerospace and includes commercial, scientific, and military operations. The 

recommended provisional security categorization for the space operations information type is as 

follows: 

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Security Category = {(confidentiality, Low), (integrity, High), (availability, High)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of space operations 

information on the ability of responsible agencies to conduct safe launches/missions of 

passengers or goods into space and includes commercial, scientific, and military operations. The 

protection of space operations from deliberate attack involves military operations (D.1), 

homeland security operations (D.2), and law enforcement operations (D.16). In most cases, 

unauthorized disclosure of space operations information will have only a limited adverse effect 

on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Civilian space operations are intended 

to be conducted in the open. Administrative and business functions associated with space 

operations may involve proprietary, procurement-sensitive, and Privacy Act information. The 

Privacy Act Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. In such cases, the confidentiality impact resulting from

unauthorized disclosure can be moderate. 

Some information regarding space operations (particularly military operations) is classified 

national security information and is outside the scope of this guideline. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for space operations information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Space 

operations are typically characterized by critical operational timing and safety parameters, and 

low tolerance for error. Unauthorized modification or destruction of time-critical information 

necessary to these functions may result in significant property loss and loss of human lives. 

Communications management (e.g., frequency management) information also needs to be 

included in integrity impact determination for space operations. Erroneous frequency 

assignment information can result in loss of communications with spacecraft that can endanger 

mission operations and human safety. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

space operations information is high. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to space operations information. 

Space operations are typically characterized by critical operational timing and safety 

parameters and low tolerance for error. Loss of availability of time-critical information 

necessary to these functions can result in large-scale property loss and in loss of human lives. 

Also, air operations are not tolerant of information loss. 

 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

space operations information is high. 

D.12 Education 

Education refers to those activities that impart knowledge or understanding of a particular 

subject to the public. Education can take place at a formal school, college, university or other 

training program. This mission area includes all government programs that promote the 

education of the public, including both earned and unearned benefit programs. 

D.12.1 Elementary, Secondary, and Vocational Education Information Type 

Elementary, secondary, and vocational education refers to the provision of education in 

elementary subjects (reading and writing and arithmetic); education provided by a high school or 

college preparatory school; and vocational and technical education and training. The 

recommended provisional categorization of the elementary, secondary, and vocational education 

information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of elementary, 

secondary, and vocational education information on the ability of responsible agencies to provide 

guidance and consultative services. The consequences of unauthorized disclosure of most 

elementary, secondary, and vocational education information would have a limited adverse effect 

on agency operations, agency assets, or individuals. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for elementary, secondary, and vocational education information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of elementary, secondary, and 

vocational education information would have a limited adverse effect on agency operations, 

agency assets, or individuals. Unauthorized modification or destruction of information affecting 

external communications (e.g., web pages, electronic mail) may adversely affect operations 

and/or public confidence in the agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

elementary, secondary, and vocational education information is low. 

Availability 

The effects of disruption of access to most elementary, secondary, and vocational education 

information or information systems would have a limited adverse effect on agency 

operations, agency assets, or individuals. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

elementary, secondary, and vocational education information is low. 

D.12.2 Higher Education Information Type 

Higher Education refers to education beyond the secondary level; specifically, education 

provided by a college or university. It includes external higher educational activities performed 

by the government (e.g., Military Academies, ROTC, and USDA Graduate School). The 

recommended provisional categorization of the higher education information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of higher education 

information on the ability of responsible agencies to support education beyond the secondary 

level (e.g., Military Academies, ROTC, USDA Graduate School, and other public and private 

universities and colleges). The consequences of unauthorized disclosure of most higher 

education information would have a limited adverse effect on agency operations, agency assets, 

or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions are based on the mission 

supported by the external training and education activity. In such cases, the impact on the 

system is defined by the information associated with the supported mission. This can result in 

assignment of a moderate or high impact level to such information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for higher education information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of higher education information would 

have, at most, a limited adverse effect on agency operations, agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited 

Special Factors Affecting Integrity Impact Determination: Exceptions that might result in more 

serious consequences are based on the mission supported by the higher education activity (e.g., 

undetected modification of weapons training information at a service academy where the 

modification could result in harm to the student or other individuals). In such cases, the impact 

is determined by the information associated with the supported mission. This can result in 

assignment of a moderate or high impact level to such information. 

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Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

higher education information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to higher education information. The 

effects of disruption of access to most higher education information or information systems 

would have a limited adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

higher education information is low. 

D.12.3 Cultural and Historic Preservation Information Type 

Cultural and Historic Preservation involves all activities performed by the Federal Government 

to collect and preserve information and artifacts important to the culture and history of the 

United States and its citizenry and the education of U.S. citizens and the world. The 

recommended provisional categorization of the cultural and historic preservation information 

type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of cultural and historic 

preservation information on the ability of responsible agencies to collect and preserve 

information and artifacts important to the culture and history of the United States and its 

citizenry and the education of U.S. citizens and the world. The consequences of unauthorized 

disclosure of most cultural and historic preservation information would have a limited adverse 

effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In cases where disclosure of 

information might be useful to an individual or organization intent on destruction of historical 

materials, the potential consequences to key national assets could be serious to severe. In such 

cases, the confidentiality impact could be moderate to high. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for cultural and historic preservation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of cultural and historic preservation 

information would have, at most, a limited adverse effect on agency operations, agency assets, or 

individuals. Unauthorized modification or destruction of information affecting external 

communications (e.g., web pages, electronic mail) may adversely affect operations and/or public 

confidence in the agency, but the damage to the mission would usually be limited. 

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Special Factors Affecting Integrity Impact Determination: In cases where undetected modification of 

information might be useful to an individual or organization intent on destruction of historical 

materials, the potential consequences to key national assets could be serious to severe. 

Consequently, the integrity impact could be moderate to high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

cultural and historic preservation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to cultural and historic preservation 

information. The effects of disruption of access to most cultural and historic preservation 

information or information systems would have a limited adverse effect on agency 

operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

cultural and historic preservation information is low. 

D.12.4 Cultural and Historic Exhibition Information Type 

Cultural and Historic Exhibition includes all activities undertaken by the U.S. government to 

promote education through the exhibition of cultural, historical, and other information, archives, 

art, etc. The recommended provisional categorization of the cultural and historic exhibition 

information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of cultural and historic 

exhibition information on the ability of responsible agencies to promote education through the 

exhibition of cultural, historical, and other information, archives, art, etc. The consequences of 

unauthorized disclosure of most cultural and historic exhibition information would have a limited 

adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In cases where disclosure of 

information might be useful to an individual or organization intent on destruction of historical 

materials or archives, the potential consequences to key national assets could be serious to 

severe. Consequently, the confidentiality impact could be moderate to high. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for cultural and historic exhibition information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

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consequences of unauthorized modification or destruction of cultural and historic exhibition 

information would have, at most, a limited adverse effect on agency operations, agency assets, or 

individuals. Unauthorized modification or destruction of information affecting external 

communications (e.g., web pages, electronic mail) may adversely affect operations and/or public 

confidence in the agency, but the damage to the mission would usually be limited. 

Special Factors Affecting Integrity Impact Determination: In cases where undetected modification of 

information might be useful to an individual or organization intent on the destruction of 

historical materials or archives, the potential consequences to key national assets could be 

serious to severe. Consequently, the integrity impact could be moderate to high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

cultural and historic exhibition information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to cultural and historic exhibition 

information. The effects of disruption of access to most cultural and historic exhibition 

information or information systems would have a limited adverse effect on agency 

operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

cultural and historic exhibition information is low. 

D.13 Workforce Management 

Workforce Management includes those activities that promote the welfare and effectiveness of 

the Nation’s workforce by improving their proficiency, working conditions, advancing 

opportunities for profitable employment, and strengthening free collective bargaining. 

D.13.1 Training and Employment Information Type 

Training and Employment includes programs of job or skill training, employment services and 

placement, and programs to promote the hiring of marginal, unemployed, or low-income

workers. Additionally, training information can include special training for personnel involved 

in Federal government operations (e.g., astronaut training). The recommended provisional 

categorization of the training and employment information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of training and 

employment information on the ability of responsible agencies to provide job or skill training, 

employment services and placement, and programs to promote the hiring of marginal,

unemployed, or low-income workers. The consequences of unauthorized disclosure of most 

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training and employment information would have a limited adverse effect on agency operations, 

agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences are based on privacy information processed in training 

and employment systems (e.g., information required by the Privacy Act of 1974 or other statutes 

and executive orders to receive special handling to protect the privacy of individuals). The 

Privacy Act Information provisional impact levels are documented in the Personal Identity and 

Authentication information type. This can result in assignment of a moderate impact level to 

such information. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for training and employment information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of training and employment 

information would have, at most, a limited adverse effect on agency operations, agency assets, or 

individuals. Unauthorized modification or destruction of information affecting external 

communications (e.g., web pages, electronic mail) may adversely affect operations and/or public 

confidence in the agency, but the damage to the mission would usually be limited. 

Special Factors Affecting Confidentiality Impact Determination: In the case of training aimed at 

achieving or improving proficiency in specialty occupations (e.g., astronaut training), the 

consequences of integrity compromises can threaten missions, or even human safety. In such 

cases, the integrity impact level can range from moderate to high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

training and employment information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to training and employment 

information. The effects of disruption of access to most training and employment information 

or information systems would have a limited adverse effect on agency operations, agency 

assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

training and employment information is low. 

D.13.2 Labor Rights Management Information Type 

Labor Rights Management refers to those activities undertaken to ensure that employees and 

employers are aware of and comply with all statutes and regulations concerning labor rights, 

including those pertaining to wages, benefits, safety and health, whistleblower, and 

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nondiscrimination policies. The recommended provisional categorization of the labor rights 

management information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of labor rights 

management information on the ability of responsible agencies to ensure that employees and 

employers are aware of and comply with all statutes and regulations concerning labor rights, 

including those pertaining to wages, benefits, safety and health, whistleblower, and 

nondiscrimination policies. In some cases, premature release of draft labor rights bulletins might 

adversely affect the effectiveness of agency operations. In general, the consequences of 

unauthorized disclosure of most labor rights management information would have, a limited 

adverse effect on agency operations, agency assets, or individuals. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for labor rights management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Unauthorized 

modification or destruction of information affecting external communications (e.g., web pages, 

electronic mail) may adversely affect operations and/or public confidence in the agency, but the 

damage to the mission would usually be limited. The consequences of unauthorized modification 

or destruction of labor rights management information would have, at most, a limited adverse 

effect on agency operations, agency assets, or individuals. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

labor rights management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to labor rights management 

information. The effects of disruption of access to most labor rights management information 

or information systems would have a limited adverse effect on agency operations, agency 

assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

labor rights management information is low. 

D.13.3 Worker Safety Information Type 

Worker Safety refers to those activities undertaken to save lives, prevent injuries, and protect the 

health of America's workers. The recommended provisional categorization of the worker safety 

information type follows: 

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Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of worker safety 

information on the ability of responsible agencies to protect the health and safety of America’s 

workers. In some cases, premature release of draft worker safety bulletins might adversely affect 

the effectiveness of agency operations. In general, the consequences of unauthorized disclosure 

of worker safety information would have a limited adverse effect on agency operations, agency 

assets, or individuals. 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for worker safety information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of worker safety information would 

have, at most, a limited adverse effect on agency operations, agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

worker safety information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to worker safety information. The 

effects of disruption of access to most worker safety information or information systems 

would have a limited adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

worker safety information is low.

D.14 Public Health 

Public Health involves Federal programs and activities charged with ensuring and providing for 

the health and well being of the public. This includes the direct provision of health care services 

and immunizations as well as the monitoring and tracking of public health indicators for the 

detection of trends and identification of widespread illnesses/diseases. It also includes both 

earned and unearned health care benefit programs. Note that impacts to some public health 

information and information systems may affect the security of critical elements of the public 

health infrastructure. 

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D.14.1 Illness Prevention Information Type 

Illness prevention supports activities associated with the prevention and mitigation of illness and 

diseases. Impacts to some information and information systems associated with illness 

prevention (e.g., the Centers for Disease Control) may affect the security the public health 

infrastructure. In such cases, integrity and availability impacts can be high. However, in general, 

the following provisional security categorization is recommended for the illness prevention 

information type: 

Security Category = {(confidentiality, Low), (integrity, moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of illness prevention 

information on the ability of responsible agencies to prevent and mitigate illness and diseases. 

Most consequences of unauthorized disclosure of illness prevention information are unlikely to 

have a serious adverse effect on agency operations. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for illness prevention information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of illness prevention information can 

be serious if the public is exposed to incorrect medical advice, mislabeled, tainted, or otherwise 

harmful drugs. Unauthorized modification or destruction of information affecting external 

communications that contain illness prevention information (e.g., web pages, electronic mail) 

may adversely affect operations and public confidence in the agency and also the agency 

mission. 

Special Factors Affecting Integrity Impact Determination: In some cases, undetected and 

unauthorized modification or destruction of illness prevention information can result in loss of

human life. This can result in assignment of a high impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

illness prevention information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to illness prevention information. Except 

for cases of emergency bulletins necessary to correct urgent threats to public health, illness 

prevention processes are usually tolerant of reasonable delays. 

Special Factors Affecting Availability Impact Determination: Where emergency communications 

necessary to deal with life-threatening situations are delayed for excessive periods, the 

availability impact level may be high. 

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Recommended Availability Impact Level: The provisional integrity impact level recommended for 

illness prevention information is low. 

D.14.2 Immunization Management Information Type 

Immunization management includes all activities associated with the preparation, storage, and 

use of inoculations and vaccinations. The following security categorization is recommended for 

the immunization management information type: 

Security Category = {(confidentiality, Low), (integrity, moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of immunization 

management information on the ability of responsible agencies to prepare, store, and use 

inoculations and vaccinations. Most consequences of unauthorized disclosure of immunization 

management information are unlikely to have a serious adverse effect on agency operations. 

Special Factors Affecting Confidentiality Impact Determination: Some information associated with 

immunization management involves confidential patient information subject to the Privacy Act 

and to HIPAA. The Privacy Act Information provisional impact levels are documented in the 

Personal Identity and Authentication information type. Other information (e.g., information 

proprietary to vaccine developers and vendors) must be protected under rules governing 

proprietary information and procurement management. This can result in assignment of a 

moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most immunization management information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of immunization management 

information can be serious if the public is exposed to incorrect or tainted medication or dosages. 

Unauthorized modification or destruction of information affecting external communications that 

contain immunization management information (e.g., web pages, electronic mail) may adversely 

affect operations and public confidence in the agency and also the agency mission. 

Special Factors Affecting Integrity Impact Determination: The consequences of unauthorized 

modification of age, storage history, or recommended dosage of vaccines data may be very 

serious. In some cases, unauthorized modification or destruction of immunization management 

information can result in loss of human life. This can result in assignment of a high impact level 

to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

immunization management information is moderate. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to immunization management

information. Except for cases of emergency bulletins necessary to correct urgent threats to public 

health, immunization management processes are usually tolerant of reasonable delays. 

 

Special Factors Affecting Availability Impact Determination: Delays in the communication of specific 

situations may be life threatening. This can result in assignment of a high impact level to such 

information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

immunization management information is low. 

D.14.3 Public Health Monitoring Information Type 

Public health monitoring involves activities associated with monitoring the public health and 

tracking the spread of disease. The following provisional security categorization is recommended 

for the public health monitoring information type: 

Security Category = {(confidentiality, Low), (integrity, moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of public health 

monitoring information on the ability of responsible agencies to monitor public health and track 

the spread of disease. Most consequences of unauthorized disclosure of public health monitoring 

information are unlikely to have a serious adverse effect on agency operations. 

Special Factors Affecting Confidentiality Impact Determination: Much information associated with 

public health monitoring involves confidential patient information subject to the Privacy Act and 

to HIPAA. The Privacy Act Information provisional impact levels are documented in the 

Personal Identity and Authentication information type. In some cases, unauthorized disclosure 

of this information such as privacy-protected medical records can have serious consequences for 

agency operations. In such cases, the confidentiality impact level may be moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most public health monitoring information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Unauthorized 

modification or destruction of information affecting external communications that contain public 

health monitoring information (e.g., web pages, electronic mail) may adversely affect operations 

and public confidence in the agency and also the agency mission. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of public health monitoring information can result in delayed reaction to serious health threats, 

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inappropriate allocation/deployment of health care services, and/or loss of human life. This can 

result in assignment of a high impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

public health monitoring information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to public health monitoring information. 

Typically, public health monitoring processes are tolerant of reasonable delays. 

Special Factors Affecting Availability Impact Determination: Some public health monitoring 

information is time-critical and is dependent on the severity of the health threat(s) and the 

rapidity with which the threat is spreading/growing. Delays in the communication of specific 

situations may be life threatening. This can result in assignment of a moderate to high impact 

level to such information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

public health monitoring information is low. 

D.14.4 Health Care Services Information Type 

Health Care Services involves programs and activities that directly provide health and medical 

care to the American public, including both earned and unearned health care benefit programs. 

The following security categorization is recommended for the health care services information 

type: 

Security Category = {(confidentiality, Low), (integrity, High), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of health services care 

information on the ability of responsible agencies to directly provide health and medical care to 

the American public, including both earned and unearned health care benefit programs. Most 

consequences of unauthorized disclosure of health care information are unlikely to have a serious 

adverse effect on agency operations. 

Special Factors Affecting Confidentiality Impact Determination: Some information associated with 

health care involves confidential patient information subject to the Privacy Act and to HIPAA. 

The Privacy Act Information provisional impact levels are documented in the Personal Identity 

and Authentication information type. Other information (e.g., information proprietary to 

hospitals, pharmaceutical companies, insurers, and care givers) must be protected under rules 

governing proprietary information and procurement management. In some cases, unauthorized 

disclosure of this information such as privacy-protected medical records can have serious 

consequences for agency operations. In such cases, the confidentiality impact level may be 

moderate. 

 

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Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most health care services information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

Many activities associated with health care services are not time critical and the adverse effects 

of unauthorized modification or destruction of health care information on agency mission 

functions and/or public confidence in the agency will be limited. However, the consequences of 

unauthorized modification or destruction of health care information may result in incorrect, 

inappropriate, or excessively delayed treatment of patients. In these cases, serious adverse 

effects can include legal actions and danger to human life. Unauthorized modification or 

destruction of information affecting external communications that contain health care 

information (e.g., web pages, electronic mail) may adversely affect operations and public 

confidence in the agency and the agency mission. 

Recommended Integrity Impact Level: Because of the potential for the loss of human life, the 

provisional integrity impact level recommended for health care services information is high. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to health care information. Except for 

cases of emergency actions necessary to correct urgent threats to patient health, health care 

processes are usually tolerant of reasonable delays. 

Special Factors Affecting Availability Impact Determination: Some health care information is timecritical and is dependent on the severity of the health threat(s) and the rapidity with which the 

threat is spreading/growing. Delays in the communication of specific situations may be life 

threatening. This can result in assignment of a moderate or high impact level to such 

information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

health care services information is low. 

D.14.5 Consumer Health and Safety Information Type 

Consumer Health and Safety supports activities associated with the inspection, education, and 

evaluation of consumer products to assess the potential risks and dangers they may present to the 

consumer (both humans and animals), (i.e. food, cosmetics, pharmaceuticals, and other consumer 

products). Impacts to some information and information systems associated with quality 

assurance of food and pharmaceuticals may affect the security of critical agriculture and food 

and public health infrastructures. In such cases, integrity and availability impacts can be high. 

However, in general, the following provisional security categorization is recommended for the 

consumer health and safety information type: 

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Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of consumer health and 

safety information on the ability of responsible agencies to perform inspection, education and 

evaluation functions involving food, pharmaceuticals and other consumer products. Most 

consequences of unauthorized disclosure of consumer health and safety information are unlikely 

to have a serious adverse effect on agency operations. 

Special Factors Affecting Confidentiality Impact Determination: The most serious adverse effects are 

likely to involve exposure of information that is proprietary to an organization being evaluated 

by the agency. [Unauthorized disclosure of some information can have serious economic impact 

on both individual companies and the broader market place. The consequences of such 

unauthorized disclosures may have an adverse effect on public confidence in the agency.] This 

can result in assignment of a moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for consumer health and safety information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of consumer health and safety 

information can be serious if the public is exposed to mislabeled, tainted, or otherwise harmful 

food, drugs, or consumer products. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications (e.g., web pages, electronic mail) may 

adversely affect operations and public confidence in the agency and the agency mission. In some

cases, unauthorized modification or destruction of information can result in loss of human life. 

This can result in assignment of a high impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

consumer health and safety information remains at least moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to health and safety information. 

Consumer products quality assurance processes are usually tolerant of reasonable delays. 

Special Factors Affecting Availability Impact Determination: Delays in the communication of product 

deficiencies may be life threatening. This can result in assignment of a high impact level to such 

information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

consumer health and safety information is low. 

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D.15 Income Security 

Income Security includes activities designed to ensure that members of the public are provided 

with the necessary means – both financial and otherwise – to sustain an adequate level of 

existence. This includes all benefit programs, both earned and unearned, that promote these 

goals for members of the public. 

D.15.1 General Retirement and Disability Information Type 

General Retirement and Disability involves the development and management of retirement 

benefits, pensions, and income security for those who are retired or disabled. Related 

information types affecting qualification and disbursement of benefits are discussed in Appendix 

C’s Sections C.2.8.8, C.2.8.9, C.2.8.10, C.2.8.11, and C.3.2.5. The recommended provisional 

categorization of the general retirement and disability information type follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of general retirement and 

disability information on the ability of responsible agencies to develop and manage retirement 

benefits, pensions, and income security for those who are retired or disabled. The consequences 

of limited unauthorized disclosure of retirement and disability information would have a limited 

adverse effect on agency operations, agency assets, or individuals. 

The disclosure of privacy information (e.g., information required by the Privacy Act of 1974 or 

other statutes and executive orders to receive special handling to protect the privacy of 

individuals) may have serious consequences. The Privacy Act Information provisional impact 

levels are documented in the Personal Identity and Authentication information type. 

Unauthorized disclosure of large amounts of general retirement and disability information may 

result in significant damage to an agency’s image or operation. 

 

Recommended Confidentiality Impact Level: The confidentiality impact recommended for general 

retirement and disability information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Unauthorized 

modification or destruction of information affecting external communications (e.g., web pages, 

electronic mail) may adversely affect operations and/or public confidence in the agency, but the 

damage to the mission would usually be limited. 

Generally, the consequences of unauthorized modification or destruction of general retirement 

and disability information would have a limited adverse effect on agency operations, agency 

assets, or individuals. However, where provision of retirement and/or disability benefits is a 

primary agency service delivery mission, the consequences can be more severe. 

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Special Factors Affecting Integrity Impact Determination: Integrity compromises may result in 

reduction of benefits– and in extreme cases can be life threatening. This can result in assignment 

of a high impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

general retirement and disability information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to general retirement and disability 

information. The effects of disruption of access to general retirement and disability information 

or information systems would have, in many cases, a limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Where provision of retirement and/or 

disability benefits is a primary agency service delivery mission, the consequences can be more 

severe. Availability compromises may result in reduction of benefits – and in extreme cases can 

be life threatening. This can result in assignment of a high impact level to such information. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

general retirement and disability information is moderate. 

D.15.2 Unemployment Compensation Information Type 

Unemployment Compensation provides income security to those who are no longer employed, 

while they seek new employment. The recommended provisional categorization of the 

unemployment compensation information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of unemployment 

compensation information on the ability of responsible agencies to provide income security to 

those who are no longer employed, while they seek new employment. The consequences of 

unauthorized disclosure of most unemployment compensation information would have a limited 

adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences are based on privacy information (e.g., information 

required by the Privacy Act of 1974 or other statutes and executive orders to receive special 

handling to protect the privacy of individuals). The Privacy Act Information provisional impact 

levels are documented in the Personal Identity and Authentication information type. This can 

result in assignment of a moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for unemployment compensation information is low. 

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Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of unemployment compensation 

information would have, at most, a limited adverse effect on agency operations, agency assets, or 

individuals. Unauthorized modification or destruction of information affecting external 

communications (e.g., web pages, electronic mail) may adversely affect operations and/or public 

confidence in the agency, but the damage to the mission would usually be limited. 

 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

unemployment compensation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to unemployment compensation 

information. The effects of disruption of access to unemployment compensation information or 

information systems would have, at most, a limited adverse effect on agency operations, agency 

assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

unemployment compensation information is low. 

D.15.3 Housing Assistance Information Type 

Housing Assistance involves the development and management programs that provide housing 

to those who are unable to provide housing for themselves including the rental of single-family 

or multifamily properties, and the management and operation of federally supported housing 

properties. The recommended provisional categorization of the housing assistance information 

type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of housing assistance 

information on the ability of responsible agencies to develop and manage programs that provide 

housing to those who are unable to provide housing for themselves including the rental of singlefamily or multifamily properties, and the management and operation of federally supported 

housing properties. The consequences of unauthorized disclosure of most housing assistance 

information would have a limited adverse effect on agency operations, agency assets, or 

individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences are based on privacy information (e.g., information 

required by the Privacy Act of 1974 or other statutes and executive orders to receive special 

handling to protect the privacy of individuals). The Privacy Act Information provisional impact 

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levels are documented in the Personal Identity and Authentication information type. This can 

result in assignment of a moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for housing assistance information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of housing assistance information 

would have, at most, a limited adverse effect on agency operations, agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

housing assistance information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to housing assistance information. The 

effects of disruption of access to most housing assistance information or information systems 

would have a limited adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

housing assistance information is low. 

D.15.4 Food and Nutrition Assistance Information Type 

Food and Nutrition Assistance involves the development and management of programs that 

provide food and nutrition assistance to those members of the public who are unable to provide 

for these needs themselves. The recommended provisional categorization of the food and 

nutrition assistance information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of food and nutrition 

assistance information on the ability of responsible agencies to develop and manage of programs 

that provide food and nutrition assistance to those members of the public who are unable to 

provide for these needs themselves. The consequences of unauthorized disclosure of most food 

and nutrition assistance information would have a limited adverse effect on agency operations, 

agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences are based on privacy information (e.g., information 

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required by the Privacy Act of 1974 or other statutes and executive orders to receive special 

handling to protect the privacy of individuals). The Privacy Act Information provisional impact 

levels are documented in the Personal Identity and Authentication information type. This can 

result in assignment of a moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact recommended 

for food and nutrition assistance information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of food and nutrition assistance 

information would have, at most, a limited adverse effect on agency operations, agency assets, or 

individuals. Unauthorized modification or destruction of information affecting external 

communications (e.g., web pages, electronic mail) may adversely affect operations and/or public 

confidence in the agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

food and nutrition assistance information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to food and nutrition assistance 

information. The effects of disruption of access to most food and nutrition assistance information 

or information systems would have a limited adverse effect on agency operations, agency assets, 

or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

food and nutrition assistance information is low. 

D.15.5 Survivor Compensation Information Type 

Survivor Compensation provides compensation to the survivors of individuals currently 

receiving or eligible to receive benefits from the Federal Government. This includes survivors 

such as spouses or children of veterans or wage earners eligible for social security payments. 

The recommended provisional categorization of the survivor compensation information type 

follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of survivor 

compensation information on the ability of responsible agencies to provide compensation to the 

survivors of individuals currently receiving or eligible to receive benefits from the Federal 

Government. The consequences of unauthorized disclosure of most survivor compensation 

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information would have a limited adverse effect on agency operations, agency assets, or 

individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences are based on privacy information (e.g., information 

required by the Privacy Act of 1974 or other statutes and executive orders to receive special 

handling to protect the privacy of individuals). The Privacy Act Information provisional impact 

levels are documented in the Personal Identity and Authentication information type. This can 

result in assignment of a moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for survivor compensation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of survivor compensation information 

would have, at most, a limited adverse effect on agency operations, agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

survivor compensation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to survivor compensation information. 

The effects of disruption of access to most survivor compensation information or information 

systems would have a limited adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

survivor compensation information is low. 

D.16 Law Enforcement 

Law enforcement involves the protection of people, places, and things from criminal activity 

resulting from non-compliance with U.S. laws. This includes patrols, undercover operations, 

response to emergency calls, as well as arrests, raids, and seizures of property. Impacts to 

some information and information systems associated with law enforcement missions may 

affect the security of a broad range of critical infrastructures and key national assets. Some

information associated with Federal law enforcement is categorized as national security 

information. Rules governing establishment of impact levels and controls associated with 

national security information are governed by a separate set of policies and are outside the 

scope of this guideline. Confidentiality and integrity impacts are often determined by 

statutory and regulatory requirements that vary by violation. 

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D.16.1 Criminal Apprehension Information Type 

Criminal apprehension supports activities associated with the tracking and capture of groups or 

individuals believed to be responsible for committing Federal crimes. The recommended 

provisional categorization of the criminal apprehension information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Moderate)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of criminal apprehension 

information on the ability of responsible agencies to track and capture groups or individuals 

believed to be responsible for committing Federal crimes, on public safety, and on the safety of 

law enforcement officers. The consequences of unauthorized disclosure of criminal 

apprehension information depend 1) on the seriousness of the crime involved, 2) on the 

capability and predisposition of the criminal to injure or kill civilians or law enforcement 

officials, 3) timing (e.g., the ability of the criminal to access the information and use it to 

facilitate a crime or evade capture), and 4) statutory and regulatory requirements which vary by 

violation. 

Special Factors Affecting Confidentiality Impact Determination: In cases where 1) the crimes are not 

violent and do not involve large property losses, and 2) there is no history of violence on the part 

of the criminal, the confidentiality impact may be low or moderate. For many crimes that are the 

responsibility of Federal law enforcement agencies, the consequences associated with 

unauthorized disclosure of criminal apprehension information must often be assumed to pose a 

threat to human life or result in a loss of major assets. In such cases, confidentiality impact level 

is high. 

 

Recommended Confidentiality Impact Level: For most Federal law enforcement systems that 

support criminal apprehension activities the harm that results from unauthorized disclosure will 

be limited. Therefore, the provisional confidentiality impact level recommended for criminal 

apprehension information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of criminal apprehension information 

may depend on the urgency with which the information is needed and on the success of 

subsequent prosecution of the apprehended criminal(s). Unauthorized modification or 

destruction of information affecting external communications (e.g., web pages, electronic mail) 

may adversely affect operations and/or public confidence in the agency, but the damage to the 

mission would usually be limited. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of criminal apprehension information may have an adverse effect on the subsequent prosecution 

of the apprehended criminal. Consequently, a serious adverse effect on agency operations can 

result. This can place the agency at a significant disadvantage. In such cases, the integrity 

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impact level recommended for criminal apprehension information is at least moderate. When 

the criminal apprehension information is time-critical, the unauthorized modification or 

destruction of this information may have a severe or catastrophic effect on public confidence in 

the agency, pose a significant threat to major assets, and/or pose a threat to human life. This is 

applicable for many crimes that are the responsibility of Federal law enforcement agencies. For 

this criminal apprehension information, the Recommended Integrity Impact Level is high. 

Recommended Integrity Impact Level: For most Federal law enforcement systems that support 

criminal apprehension activities the harm that results from unauthorized modification or 

destruction will be limited. Therefore, the provisional integrity impact level recommended for 

criminal apprehension information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to criminal apprehension information. 

Missions supported by criminal apprehension information are not typically tolerant of delay. 

While there are many cases in which elements of criminal apprehension information are not 

urgent, there are many in which relatively short periods of unavailability can pose a threat to 

human life and/or result in a loss of major assets. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

most criminal apprehension information is moderate. 

D.16.2 Criminal Investigation and Surveillance Information Type 

Criminal investigation and surveillance includes the collection of evidence required to determine 

responsibility for a crime and the monitoring and questioning of affected parties. The 

recommended provisional categorization of the criminal investigation and surveillance 

information type follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of criminal investigation 

and surveillance information on the ability of responsible agencies to collect evidence required to 

determine responsibility for a crime, to monitor and question affected parties, and to protect the 

safety of witnesses and law enforcement officers. The consequences of unauthorized disclosure 

of criminal investigation and surveillance information depend 1] on the seriousness of the crime 

involved, 2] timing (e.g., the ability of the criminal30 to access the information and use it to 

facilitate a crime, to evade detection or surveillance, or eliminate probable cause for searches and 

warrants), and 3] on the capability and predisposition of the criminal to injure witnesses or law 

enforcement officials. 

 

30 In this case, the term “criminal entity” includes both the criminal and legal representative(s) of the criminal (i.e., 

council). 

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Special Factors Affecting Confidentiality Impact Determination: In cases where 1) the crimes are not 

violent and do not involve large property losses, and 2) there is no history of violence on the part 

of the criminal, the confidentiality impact may be low or moderate. Given the nature of many of 

the crimes that are the responsibility of Federal law enforcement agencies, the consequences 

associated with unauthorized disclosure of criminal investigation and surveillance information 

must often be assumed to pose a threat to human life or result in a loss of major assets. 

Information that reveals the identity and/or location of informants may be of particular concern. 

In such cases, the confidentiality impact level is high. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for criminal investigation and surveillance information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of criminal investigation and 

surveillance information depends on the urgency with which the information is needed and on 

the success of subsequent prosecution of the apprehended criminal(s). Unauthorized 

modification or destruction of information affecting external communications (e.g., web pages, 

electronic mail) may adversely affect operations or public confidence in the agency, but the 

damage to the mission would usually be limited. 

Where unauthorized modification or destruction of criminal investigation and surveillance 

information can have an adverse effect on the granting or execution of a search or wiretap 

warrant or on the success of subsequent prosecution of the apprehended criminal a serious 

adverse effect on agency operations can result. This can place the agency at a significant 

disadvantage. 

Special Factors Affecting Integrity Impact Determination: In some cases, major investigations can be 

jeopardized when the time-critical criminal investigation and surveillance information is 

modified or destroyed. Where the criminal case under investigation involves major property 

losses, large-scale financial frauds that have serious implications for financial markets, poses a 

threat to key national assets or human life, the Recommended Integrity Impact Level is high. In 

international matters, such as trade enforcement, tariff agreements, etc., or where foreign 

nationals might be involved, the integrity impact level for criminal investigation and surveillance 

information will be high. Any compromise of such information could result in catastrophic 

adverse effects on future operations, individual and agency reputations, and on human life. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

criminal investigation and surveillance information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to criminal investigation and surveillance 

information. Missions supported by criminal investigation and surveillance information are not 

always tolerant of delay. 

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Special Factors Affecting Availability Impact Determination: There are some cases in which relatively 

short periods of unavailability of criminal investigation and surveillance information may result 

in lost surveillance opportunities or opportunities to make an arrest. Where the crimes involved 

pose a threat to human life and/or result in a loss of major assets, the availability impact level 

recommended for criminal investigation and surveillance information is high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

criminal investigation and surveillance information is moderate. 

D.16.3 Citizen Protection Information Type 

Citizen protection involves all activities performed to protect the general population of the 

United States from criminal activity. The following security categorization is recommended for 

the citizen protection information type: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate, (availability, Moderate)}

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of citizen protection 

information on the ability of responsible agencies to protect the general population of the United 

States from criminal activity. In some cases, the criminal activity is terrorist activity intended to 

cause mass casualties. While the results of unauthorized disclosure of most citizen protection 

information are unlikely to have a serious adverse effect on agency operations, the exceptions 

can have catastrophic consequences. 

Special Factors Affecting Confidentiality Impact Determination: The consequences of unauthorized 

disclosure of citizen protection information could be severe. If detailed intelligence information 

regarding a planned terrorist act was disclosed, the terrorists might succeed in countering the 

protection measures and carry out a devastating attack. The confidentiality impacts associated 

with information concerning defensive dispositions would be high. While the adverse effects of 

unauthorized disclosure of some citizen protection information on law enforcement operations, 

assets, and individuals are limited; the stakes are usually higher. Federal citizen protection 

activities often seek to protect the public against life-threatening situations or against loss of 

major assets. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most citizen protection information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of citizen protection information may 

pose a potential threat to public safety particularly if the protective measures are compromised. 

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Special Factors Affecting Integrity Impact Determination: In some cases (e.g., terrorist threats), 

unauthorized modification or destruction of citizen protection information can result in loss of

human life - a high-impact potential. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

citizen protection information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to citizen protection information. Many 

citizen protection missions are usually tolerant of reasonable delays. Most criminal activity 

against citizen protection information is not life threatening but can result in serious property 

loss. 

Special Factors Affecting Availability Impact Determination: Emergency situations or elevated 

terrorist threat conditions are not tolerant of delays. Where systems support time-sensitive 

operations for life-threatening situations, the availability impact level for citizen protection 

information is high. 

Recommended Availability Impact Level: In the case of most systems that support delivery of citizen 

protection services, the provisional availability impact level recommended for citizen protection 

information is moderate. 

D.16.4 Leadership Protection Information Type 

Leadership protection involves all activities performed to protect the health and well being of the 

president, vice-president, their families, and other high-level government officials. Some 

leadership protection information may be classified. All classified information is treated under 

separate rules established for national security information and is outside the scope of this 

guideline. The recommended provisional categorization for unclassified leadership protection 

information follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of leadership protection 

information on the abilities of responsible agencies to protect the health and well being of the 

president, vice-president, their families, and other high-level government officials. The

consequences of unauthorized disclosure of most leadership protection information are not 

directly life-threatening but can have serious consequences. 

Special Factors Affecting Confidentiality Impact Determination: For the unauthorized disclosure of 

information that can facilitate efforts to assassinate Federal leadership, the consequences not 

only pose a threat to human life, but can also have a disruptive effect on the continuity of Federal 

government operations. In such cases, the confidentiality impact level is high. 

 

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Recommended Confidentiality Impact Level: Given the nature of most leadership protection 

information, the provisional confidentiality impact level recommended for the information is 

moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. That is, the 

consequences of unauthorized modification or destruction of leadership protection information 

may be determined by the specific operation(s) supported by the information. In addition, the 

consequences may depend on the urgency with which the intelligence information is needed. 

Special Factors Affecting Integrity Impact Determination: In the case of Secret Service operations, 

unauthorized modification or destruction of information affecting leadership protection 

information may adversely affect mission operations in a manner that results in loss of human 

life and disruption of government operations. In such cases, the integrity impact level is high. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most leadership protection information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to leadership protection information. 

Special Factors Affecting Integrity Impact Determination: In the case of Secret Service operations, 

missions supported by leadership protection information are not tolerant of delays with resultant 

catastrophic consequences for mission capability and human life. In such cases, the availability 

impact level is high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

most leadership protection information is low. 

D.16.5 Property Protection Information Type 

Property protection entails all activities performed to ensure the security of civilian and 

government property. The recommended provisional categorization of the property protection 

information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of property protection 

information on the ability of responsible agencies to ensure the security of civilian and 

government property. The consequences of unauthorized disclosure of property protection 

information are generally dependent on the nature of the property being protected. Where the 

property being protected is neither critical to agency operations nor of such value that its loss 

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would degrade mission capability or place the agency at a significant disadvantage, unauthorized 

disclosure would have a limited adverse effect. 

Special Factors Affecting Confidentiality Impact Determination: Where critical infrastructure facilities

or key national assets are being protected, the consequences of unauthorized disclosure of 

property protection information might reveal vulnerabilities in protection measures to terrorists 

or other adversaries. Where unauthorized disclosure of property protection information 

associated with critical infrastructures, large groups of people, or key national assets is expected 

to be of direct use to terrorists, the confidentiality impact level is high. 

Most protected facilities are not part of national security, the critical infrastructure, or key 

national asset categories. If unauthorized disclosure of property protection information resulted 

in damage to these facilities, serious adverse effects on agency operations and assets could 

reasonably be expected to result. This can result in assignment of a moderate or high impact 

level to such information. 

Where the property being protected involves classified information, the property protection 

information itself might be classified. Some examples include command and control and other 

military facilities, foreign intelligence collection or processing facilities, weapons or weapons 

facilities, and cryptographic activities. National security information is outside the scope of this 

guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for property protection information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of property protection information 

depends on the type of property being protected and on the immediacy with which the 

information is expected to be used. In most cases, unauthorized disclosure can be expected to 

have limited adverse consequences. 

Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting external communications (e.g., web pages, electronic mail) may 

adversely affect operations or public confidence in the agency. However, the potential damage to 

the protection mission will usually be of greater concern. If the modified or destroyed 

information is tactical i.e., time-critical, there is a greater potential for actions being taken based 

on incomplete or false information. This can have serious adverse effects on protection 

operation. This can result in assignment of a moderate impact level to such information. . 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most property protection information is low. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to property protection information. 

Missions supported by property protection information are not typically tolerant of delays, but 

the consequences of loss of availability of most property protection information are limited. 

Special Factors Affecting Availability Impact Determination: The consequences of inability of guard 

forces and other emergency responders to receive property protection information in a timely 

manner may result in catastrophic consequences for properties that could include critical 

infrastructures and key national assets. In general, the availability impact level assigned to 

property protection information is dependent on what is being protected. This can result in 

assignment of a moderate or high impact level to such information. 

Recommended Availability Impact Level: The provisional availability impact recommended for most 

property protection information is low. 

D.16.6 Substance Control Information Type 

Substance control supports activities associated with the enforcement of legal substances (i.e., 

alcohol and tobacco) and illegal narcotics laws including trafficking, possession, sale, 

distribution, and other related activities. The provisional security categorization recommended 

for the substance control information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of substance control 

information on the ability of responsible agencies to enforce legal substances (i.e., alcohol and 

tobacco) and illegal narcotics laws including trafficking, possession, sale, distribution, and other 

related activities. Unauthorized disclosure of a significant proportion of substance control 

information can compromise investigations, cause apprehension operations to fail, and 

compromise prosecutions. This can have a serious adverse effect on agency operations and place 

the agency at a significant disadvantage. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some

routine substance control information is unlikely to have more than a limited adverse effect on 

agency operations, agency assets, or individuals. The confidentiality impact associated with 

such information is low. 

Where the unauthorized disclosure of information exposes sensitive information sources or 

compromises investigative or interdiction operations, the consequences of unauthorized 

disclosure of substance control information may have a serious adverse effect on agency 

operations, significantly degrade mission capability, and/or pose a threat to human life. Where 

unauthorized disclosure endangers investigations in process, investigative or intelligence 

information sources, or information regarding witnesses or other critical case file elements, the 

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danger to human life and key agency missions can be significant. Where unauthorized disclosure 

endangers witnesses or law enforcement officers, the impact level must be rated as high. 

Other factors affecting confidentiality impacts associated with substance control information are 

discussed under Section D.16.1 (Criminal Apprehension) and Section D.16.2 (Criminal 

Investigation and Surveillance). 

Some substance control information is classified (e.g., some intelligence-derived information). 

Classified information and other national security information are outside the scope of this 

guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most substance control information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The amount of 

money available to perpetrators significantly increases the insider threat. The consequences of 

unauthorized modification or destruction of information can be serious if the information is 

critical to tactical operations i.e., is time-critical. Unauthorized modification or destruction of

information affecting external communications (e.g., web pages, electronic mail) may adversely 

affect operations or public confidence in the agency, but the damage to most missions would 

usually be limited 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized modification or 

destruction of information (particularly time-critical information) affecting internal 

communications can jeopardize investigations, prosecutions, the lives of witnesses, and the 

safety of enforcement officers. In some cases, unauthorized modification or destruction of 

information can result in loss of human life. In such cased, the integrity impact level is high. 

Other factors affecting integrity impacts associated with substance control information are 

discussed under Section D.16.1 (Criminal Apprehension) and Section D.16.2 (Criminal 

Investigation and Surveillance). 

Recommended Integrity Impact Level: Because the consequences of unauthorized modification or

destruction of information can be serious if the information is critical to tactical operations (i.e., 

is time-critical), the provisional integrity impact level recommended for substance control 

information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to substance control information. Most 

substance control processes are usually tolerant of reasonable delays. 

Special Factors Affecting Availability Impact Determination: The consequences of unavailability of 

information can be serious if the information is critical to tactical operations i.e., is time-critical. 

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Failure of some processes during tactical operations can result in both threats to human life and 

severe harm to public confidence in the agency. The impact level assigned to information and 

information systems associated with these tactical processes is high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

most substance control information is moderate. 

D.16.7 Crime Prevention Information Type 

Crime prevention entails all efforts designed to create safer communities through the control and 

reduction of crime by addressing the causes of crime and reducing the opportunities of crime. 

The recommended provisional security categorization for the crime prevention information type 

is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of crime prevention 

information on the ability of responsible agencies to create safer communities through the 

control and reduction of crime by addressing the causes of crime and reducing the opportunities 

of crime. Generally, the unauthorized disclosure of crime prevention information will have only 

a limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In a few cases, details of crime 

prevention programs are sensitive (e.g., location of actively monitored surveillance cameras 

where only a fraction of camera feeds are monitored). In such cases, unauthorized disclosure of 

crime prevention information might have a serious adverse effect on crime prevention operations 

by eliminating uncertainty regarding surveillance patterns. Therefore, the confidentiality impact 

might be moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for crime prevention information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Crime 

prevention activities are not generally time-critical. In most cases, the adverse effects of 

unauthorized modification or destruction of crime prevention information on agency mission 

functions and/or public confidence in the agency would be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

crime prevention information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to crime prevention information. Most 

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crime prevention processes are tolerant of delay. In most cases, disruption of access to crime 

prevention information can be expected to have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: In exceptional cases (e.g., orders 

associated with deployment of officers to provide a crime-discouraging presence in developing 

threat situations), loss of availability of information can have a serious adverse effect on crime 

prevention operations. In such cases, the availability impact might be moderate. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

crime prevention information is low. 

D.16.8 Trade Law Enforcement Information Type 

Trade law enforcement refers to the enforcement of anti-boycott, international loan, and 

general trade laws. The security categorization recommended for the trade law enforcement 

information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of trade law enforcement 

information on the ability of responsible agencies to enforce various Customs laws. 

Unauthorized disclosure of trade law enforcement information could potentially jeopardize 

fulfillment of other trade law enforcement missions. Some information that has supported a 

trade law enforcement process might be of higher sensitivity, and unauthorized disclosure of this 

information might jeopardize the success of future trade law enforcement processes. The 

subsequent threat to agency image or reputation can cause a serious adverse effect on an 

agency’s mission capability. Where information includes names of informants, informant 

contacts, or agency personnel, the effectiveness of those personnel in future enforcement 

activities can be permanently impaired, or their lives threatened. 

Intelligence information falls under national security systems. National security information and 

national security systems are outside the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most trade law enforcement information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of trade law enforcement information 

may depend on whether the information is time-critical. The compromise of trade law 

enforcement information can be serious or, in some cases, catastrophic if the information is timecritical. Also, the results of trade law enforcement activities may become matters of public 

record, and thus must be accurately recorded. 

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Special Factors Affecting Integrity Impact Determination: Unauthorized modification or destruction 

of information affecting trade law enforcement information may adversely affect mission 

operations and result in unacceptable consequences such as loss of human life. The compromise 

of trade law enforcement information can be serious or catastrophic if the information is timecritical. This can result in assignment of a high impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most trade law enforcement information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to trade law enforcement information. 

The effects of disruption of access to trade law enforcement information or information systems 

can be serious or, in some cases, catastrophic if the information is time-critical. Trade law 

enforcement missions are typically intolerant of significant time delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

most trade law enforcement information is moderate. 

D.17 Litigation and Judicial Activities 

Litigation and judicial activities involve all activities necessary for the development and 

oversight of Federal programs. 

D.17.1 Judicial Hearings Information Type 

Judicial hearings include activities associated with conducting a hearing in a court of law to 

settle a dispute. The general recommended security categorization for the judicial hearings 

information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of judicial hearings 

information on the ability of responsible entities to conducting a hearing in a court of law to 

settle a dispute. While much information associated with judicial hearings is public, some

information is sealed by the court and unauthorized disclosure is punishable by law, fine and/or 

imprisonment. In the vast majority of cases, unauthorized disclosure of judicial hearings 

information will have only a limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where the life of a victim, witness, or 

informant may be endangered by unauthorized disclosure, the confidentiality impact is high. 

Also, where the consequences are likely to endanger public safety, the confidentiality impact is 

high. 

 

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Recommended Confidentiality Impact Level: Given the consequences of unauthorized disclosure, 

the provisional confidentiality impact level recommended for judicial hearings information is 

moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Judicial 

hearings activities are not typically time-critical. Modification or destruction of court records can 

result in disruption or jeopardy to legal proceedings. In most cases, the adverse effects of 

unauthorized modification or destruction of judicial hearings information on agency mission 

functions and/or public confidence in the agency will be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

judicial hearings information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to judicial hearings information. Most 

judicial hearings processes are tolerant of delay. In most cases, disruption of access to judicial 

hearings information can be expected to have only a limited adverse effect on government 

operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: In exceptional cases (e.g., orders 

associated with wiretap or search warrants), loss of availability of information can have a serious 

or severe adverse effect. In such cases, the availability impact might be moderate or high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

judicial hearings information is low. 

D.17.2 Legal Defense Information Type 

Legal defense refers to the representation of a defendant in a criminal/civil court of law in an 

attempt to provide constitutional guarantees to legal representation. The sensitivity of much legal 

information is highly lifecycle-dependent. From a confidentiality perspective, most information 

associated with litigation and judicial activities is in the public record after the information has 

been presented in court. The recommended provisional security categorization for the legal 

defense information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, High), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of legal defense 

information on the representation of a defendant in a criminal/civil court of law and on the ability 

of the government to provide constitutional guarantees to legal representation. Dissemination of 

legal defense information is governed by privacy laws and by Rules of Criminal Procedure, 

Rules of Civil Procedure, and other laws governing adversarial legal proceedings. While much 

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information associated with legal defense is public, some information is sealed by the court or is 

otherwise protected from disclosure. Violation of rules regarding unauthorized disclosure is 

punishable by law, disbarment, fine, and/or imprisonment. Generally, the unauthorized 

disclosure of legal defense information will have only a limited adverse effect on agency 

operations, assets, or individuals. Where unauthorized disclosure of information might have a 

serious adverse effect on legal defense, there is a presumption of a miscarriage of justice. If an 

unauthorized disclosure is discovered, the legal proceeding may be jeopardized (e.g., a mistrial 

may be declared). The cost to the government and others in terms of finance, time, and 

disruption to normal operations can be severe. If suspicion is raised concerning government 

complicity or negligence, serious loss of public confidence in government agencies or the legal 

process may result. 

Special Factors Affecting Confidentiality Impact Determination: Where the life of a victim, witness, 

or informant may be endangered by disclosure, the confidentiality impact will be high. Also, 

where the consequences of a miscarriage of justice are likely to endanger public safety (e.g., 

release of a terrorist or other murderer), the confidentiality impact will be high. 

Recommended Confidentiality Impact Level: Given legal consequences of unauthorized disclosure, 

the provisional confidentiality impact level recommended for legal defense information is 

moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Legal defense 

activities are not typically time-critical. In most cases, unauthorized modification or destruction 

of legal defense information will have only a limited adverse effect on government operations, 

government assets, or individuals. 

Special Factors Affecting Integrity Impact Determination: For legal defense information, when 

evidence or other defense information has been compromised the legal proceedings can be 

jeopardized. As a consequence, the cost to the government and other entities in terms of finance, 

time, and disruption to normal operations may be severe. If suspicion is raised concerning 

government complicity or negligence, serious loss of public confidence in government agencies 

or the legal process may result. In this case, the integrity impact level will be moderate. 

When the modification or destruction of legal defense information endangers public safety (e.g., 

release of a terrorist or other murderer), the integrity impact will be high. Even if public safety 

is not endangered, the modification or destruction of legal defense information may result in 

expensive and disruptive civil or criminal proceedings. 

Recommended Integrity Impact Level: Given the legal consequences of unauthorized modification 

or destruction and potential consequences for human life, the provisional integrity impact level 

recommended for legal defense information is high. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to legal defense information. Most legal 

defense processes are tolerant of delay. Delays can impact court schedules, cause significant 

taxpayer expense, and potentially jeopardize legal proceedings (see C17.2.2). In most cases, 

disruption of access to legal defense information can be expected to have only a limited adverse 

effect on government operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: In exceptional cases (e.g., information 

affecting a ruling regarding an impending execution), loss of availability of information can have 

a severe adverse effect. The consequent availability impact level would be high. 

Special Factors Affecting Availability Impact Determination: The provisional availability impact 

level recommended for legal defense information is low. 

D.17.3 Legal Investigation Information Type 

Legal investigation supports activities associated with gathering information about a given party 

(government agency, citizen, corporation) that would be admissible in a court of law, in an 

attempt to prove guilt or innocence. The recommended provisional categorization of the legal 

investigation information type follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Moderate)}

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of legal investigation 

information on the ability of responsible agencies to gather information about a given party 

(government agency, citizen, corporation) that would be admissible in a court of law, in an 

attempt to prove guilt or innocence. 

Special Factors Affecting Confidentiality Impact Determination: The consequences of unauthorized 

disclosure of legal investigation information depend 1] on the seriousness of the crime involved, 

2] timing (e.g., the ability of the criminal31 to access the information and use it to commit a crime 

or to evade detection or surveillance), and 3] on the capability criminal to injure witnesses or law 

enforcement officials. In cases where 1) the crimes are not violent and do not involve 

extraordinarily large property losses, and 2) there is no indication of a record of violence on the 

part of the criminal, the confidentiality impact may be low or moderate. 

Given the nature of many of the crimes that are the responsibility of Federal law enforcement 

agencies, the consequences associated with unauthorized disclosure of legal investigation 

information will pose a threat to human life or result in a loss of major assets. Additionally, when 

the disclosure concerns matters of multi-national interest, such as trade enforcement, tariff 

agreements, etc., or where foreign nationals might be involved, the confidentiality impact will be 

 

31 In this case, the term “criminal entity” includes both the criminal and legal representative(s) of the criminal (i.e., 

council). 

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high. Information that reveals the identity and/or location of informants may be of particular 

concern. 

 

Recommended Confidentiality Impact Level: Given potentially serious to severe legal consequences 

of unauthorized disclosure, the provisional confidentiality impact level recommended for legal 

investigation information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of legal investigation information may 

depend on whether the information is time-critical. Unauthorized modification or destruction of 

information affecting external communications associated with legal investigative organizations 

(e.g., web pages, electronic mail) may adversely affect operations or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Where unauthorized modification or destruction of information has an adverse effect on the 

granting/executing of a search or wiretap warrant or on the success of the subsequent 

prosecution, a serious adverse effect on agency operations may result. This can place the agency

at a significant disadvantage. 

Special Factors Affecting Integrity Impact Determination: Legal investigation mission requirements 

may include time-critical information. In such cases, major investigations can be jeopardized by 

the unauthorized modification or destruction of legal investigation information. Where the 

criminal case under investigation involves major property losses, large-scale financial frauds, 

poses a threat to key national assets or human life, the integrity impact level recommended for 

legal investigation information is high. 

When legal investigation information addresses international matters, such as trade enforcement 

or tariff agreements or when foreign nationals are involved, the integrity level is high. Any 

deliberate or inadvertent corruption of such information could result in catastrophic adverse 

effects on future operations, individual or agency reputations, and human life. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

legal investigation information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to legal investigation information. 

Missions supported by legal investigation information are not typically tolerant of delay with 

resultant serious consequences for ongoing investigations. 

Special Factors Affecting Availability Impact Determination: Where the crimes involved pose a threat 

to human life and/or result in a loss of major assets, the availability impact level recommended 

for legal investigation information is high. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

legal investigation information is moderate. 

D.17.4 Legal Prosecution/Litigation Information Type 

Legal prosecution/litigation includes all activities involved with presenting a case in a legal 

proceeding both in a criminal or civil court of law in an attempt to prove guilt/responsibility. The 

recommended provisional security categorization for the legal prosecution/litigation information 

type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of legal 

prosecution/litigation information on the ability of responsible agencies to present a case in a 

legal proceeding either in a criminal or civil court of law in an attempt to prove 

guilt/responsibility. Dissemination of legal prosecution/litigation information is governed by 

privacy laws and by Rules of Criminal Procedure, Rules of Civil Procedure, and other laws 

governing adversarial legal proceedings. While most information associated with legal 

prosecution/litigation is public, some information is sealed by the court or is otherwise protected 

from disclosure. Violation of rules regarding unauthorized disclosure is punishable by law, 

disbarment, fine, and/or imprisonment. Generally, the unauthorized disclosure of legal 

prosecution/litigation information will have only a limited adverse effect on agency operations, 

assets, or individuals. In criminal cases, the consequences of unauthorized disclosure of legal 

prosecution information are affected by 1] the seriousness of the crime involved, 2] timing (e.g., 

the ability of the criminal to access the information and use it to commit a crime or evade 

detection or surveillance), and 3] the capability of the criminal to injure witnesses or law 

enforcement officials. 

Special Factors Affecting Confidentiality Impact Determination: Where unauthorized disclosure of 

information might have a serious adverse effect on legal prosecution/ litigation, there is a 

presumption of a miscarriage of justice. If an unauthorized disclosure is discovered, the legal 

proceeding is jeopardized (e.g., a mistrial may be declared). The cost to the government and 

others in terms of finance, time, and disruption to normal operations can be severe. If suspicion 

is raised concerning government complicity or negligence, serious loss of public confidence in 

government agencies or the legal process may result. In this case, the confidentiality impact of 

unauthorized disclosure will be moderate. 

Where the life of a complainant, victim, witness, or informant may be endangered by disclosure, 

the confidentiality impact will be high. Also, where the consequences of a miscarriage of justice 

are likely to endanger public safety (e.g., release of a terrorist or other murderer), the 

confidentiality impact will be high. 

Given the nature of many of the crimes that are the responsibility of Federal law enforcement 

agencies, the consequences associated with unauthorized disclosure of legal prosecution 

information must be assumed to pose a threat to human life or result in a loss of major assets. 

Additionally, when a legal proceeding concerns matters of trans-national interest, such as trade 

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enforcement, tariff agreements, etc., or where foreign nationals might be involved, the 

confidentiality impact will be high. Information that reveals the identity and/or location of 

informants may be of particular concern. 

[The impact of unauthorized disclosure of national security information is outside the scope of 

this guideline.] 

 

Recommended Confidentiality Impact Level: Given the public nature of and disclosure rules 

associated with most prosecution/litigation information, the provisional confidentiality impact 

level recommended is low. In cases where 1) the crimes are not violent and do not involve 

extraordinarily large property losses, and 2) there is no indication of a record of violence on the 

part of the criminal, the confidentiality impact may be low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Legal 

prosecution/litigation activities are not typically time-critical. Unauthorized modification or 

destruction of information affecting external communications associated with legal 

prosecution/litigation organizations (e.g., web pages, electronic mail) may adversely affect 

operations or public confidence in the agency, but the damage to the mission would usually be 

limited. In general, the unauthorized modification or destruction of legal prosecution/litigation 

information will have only a limited adverse effect on government operations, government 

assets, or individuals. However, if evidence or other defense information has been 

compromised, legal proceedings may be affected (e.g., a mistrial may be declared). The 

subsequent cost to the government in terms of finance, time, and disruption to normal operations 

may be severe. If suspicion is raised concerning government complicity or negligence, serious 

loss of public confidence in government agencies or the legal process may result. 

Special Factors Affecting Integrity Impact Determination: Where the life of a victim, witness, or 

informant may be endangered, the integrity impact will be high. Also, where the consequences 

of a miscarriage of justice are likely to endanger public safety (e.g., release of a terrorist or other 

murderer), the integrity impact will be high. 

Recommended Integrity Impact Level: Given the legal consequences of the unauthorized 

modification or destruction of legal prosecution/litigation information, the provisional integrity 

impact level recommended for legal prosecution/litigation information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to legal prosecution/litigation 

information. Most legal prosecution/litigation processes are tolerant of delay even though the 

delays can impact court schedules, cause significant taxpayer expense, and potentially jeopardize 

legal proceedings (see C17.4.2). Typically, the disruption of access to legal 

prosecution/litigation information can be expected to have only a limited adverse effect on 

government operations, agency assets, or individuals. 

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Special Factors Affecting Availability Impact Determination: In exceptional cases (e.g., information 

affecting a ruling regarding an impending execution), loss of availability of information can have 

a severe adverse effect. The availability impact level recommended for this legal 

prosecution/litigation information is high. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

legal prosecution/litigation information is low. 

D.17.5 Resolution Facilitation Information Type 

Resolution facilitation involves all activities outside of a court of law that may be used in an 

attempt to settle a dispute between two or more parties (government, citizen, corporation). The 

general recommended security categorization for the resolution facilitation information type is as 

follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of resolution facilitation 

information on the ability of responsible entities to settle a dispute between two or more parties 

(government, citizen, corporation) outside of a court of law. While some information associated 

with resolution facilitation is public, much of the information is private and/or proprietary. 

Unauthorized disclosure of such information can disrupt or defeat the dispute resolution process. 

The consequences typically depend on the nature of the dispute. Jeopardy to the resolution 

process will not usually involve threats to critical infrastructures, key national assets, or human 

life. Typically, the unauthorized disclosure of resolution facilitation information will have only a 

limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where large monetary amounts 

and/or violent crimes are involved, the confidentiality impact of unauthorized disclosure of 

resolution facilitation information is at least moderate. 

In exceptional cases human lives may be jeopardized by failure of the resolution facilitation 

process. Additionally, when resolution facilitation concerns matters of trans-national interest, 

such as trade enforcement, tariff agreements, etc., or where foreign nationals might be involved, 

the confidentiality impact will be high. 

 

Recommended Confidentiality Impact Level: Given the legal consequences of unauthorized 

disclosure, the provisional confidentiality impact level recommended for resolution facilitation 

information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Resolution 

facilitation activities are not typically time-critical. The modification or destruction of court 

records may result in disruption or jeopardy of legal proceedings. In most cases, the adverse 

211
effects of unauthorized modification or destruction of resolution facilitation information on 

agency mission functions and/or public confidence in the agency can be expected to be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

resolution facilitation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to resolution facilitation information. 

Most resolution facilitation processes are tolerant of delay. In most cases, disruption of access to 

resolution facilitation information can be expected to have only a limited adverse effect on 

government operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

resolution facilitation information is low. 

D.18 Federal Correctional Activities 

Correctional Activities involves all Federal activities that ensure the effective incarceration and 

rehabilitation of convicted criminals. 

D.18.1 Criminal Incarceration Information Type 

Criminal incarceration includes activities associated with the housing, custody and general care 

of criminals sentenced to serve time in penitentiaries. The following security categorization is 

recommended for the criminal incarceration information type: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of criminal incarceration 

information on the ability of responsible agencies to provide housing, custody, and general care 

for criminals sentenced to serve time in a Federal penitentiary. The consequences of 

unauthorized disclosure of most criminal incarceration information are unlikely to have a serious 

adverse effect on agency operations. The most serious adverse effects are likely to involve 

exposure of information that is proprietary to prisoners that can result in damaging publicity for 

an organization. (Unauthorized disclosure of some information can conceivably have serious 

impact on the status or resolution of appeal actions). The consequences of unauthorized 

disclosures may have an adverse effect on public confidence in the agency. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most criminal incarceration information is normally low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

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consequences of unauthorized modification or destruction of criminal incarceration information 

can be serious if the information is time-critical and results in the premature release of a 

criminal, unjust retention of an individual in the prison system, or harm to a citizen’s reputation 

or public confidence in the government. 

Special Factors Affecting Integrity Impact Determination: In some cases (e.g., instructions regarding 

a need to isolate a prisoner from the general prison population for personal safety reasons), the 

unauthorized modification or destruction of criminal incarceration information can result in loss

of human life a high impact potential. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

criminal incarceration information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to criminal incarceration information. 

Criminal incarceration processes are usually tolerant of reasonable delays. 

Special Factors Affecting Availability Impact Determination: There may be cases (e.g. emergency 

bulletins affecting prisoner health and/or safety) in which emergency dissemination of 

information regarding life-threatening situations is delayed for excessive periods. Such cases 

can result in a high availability impact level. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

criminal incarceration information is low. 

D.18.2 Criminal Rehabilitation Information Type 

Criminal Rehabilitation includes all government activities devoted to providing convicted 

criminals with the educational resources and life skills necessary to rejoin society as responsible 

and contributing members. The recommended provisional categorization of the criminal 

rehabilitation information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of criminal rehabilitation 

information on the ability of responsible agencies to provide convicted criminals with the 

educational resources and life skills necessary to rejoin society as responsible and contributing 

members. The consequences of unauthorized disclosure of most criminal rehabilitation 

information would have a limited adverse effect on agency operations, agency assets, or 

individuals. 

Special Factors Affecting Confidentiality Impact Determination: Exceptions that might have a 

potential for more serious consequences are based on privacy information processed in criminal 

rehabilitation systems (e.g., information required by the Privacy Act of 1974 (The Privacy Act 

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Information provisional impact levels are documented in the Personal Identity and 

Authentication information type) or other statutes and executive orders to receive special 

handling to protect the privacy of individuals). This can result in assignment of a moderate

impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for criminal rehabilitation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of criminal rehabilitation information 

would have a limited adverse effect on agency operations, agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

most criminal rehabilitation information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to criminal rehabilitation information. 

The effects of disruption of access to most criminal rehabilitation information or information 

systems would have a limited adverse effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

criminal rehabilitation information is low. 

D.19 General Sciences and Innovation 

General Science and Innovation includes all Federal activities to meet the national need to 

advance knowledge in this area. This includes general research and technology programs, space 

exploration activities, and other research and technology programs that have diverse goals and 

cannot be readily classified into another mission area or information type. 

D.19.1 Scientific and Technical Research and Innovation Information Type 

Scientific Innovation includes all federal activities whose goal is the creation of new scientific 

and/or technological knowledge as a goal in itself, without a specific link to the other mission 

areas or information types identified in the OMB Business Reference Model. Most sensitive 

information is developed under research and development programs that directly support another 

of the mission areas described in this Appendix and are not included here. Some information 

associated with scientific and technical research and innovation is national security information

and is outside the scope of this guideline. The recommended provisional categorization for the 

scientific and technical research and innovation information type follows: 

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Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of scientific and 

technical research and innovation information on the ability of responsible agencies to create 

new scientific and/or technological knowledge as a goal in itself, without a specific link to other 

program areas or information types. Many scientific and technical research and innovation 

activities are conducted in association with public institutions of higher learning, and the findings 

resulting from those activities are intended for publication. 

Special Factors Affecting Confidentiality Impact Determination: The pre-publication disclosure or 

other unauthorized disclosure of information associated with competition for funding and 

recognition (e.g., grants, development contract, patent rights, and copyrights) can have a serious 

adverse effect on agency operations, agency assets, or individuals. In such cases, the 

confidentiality impact level associated for scientific and technical research and innovation 

information will be moderate. 

In some cases, the information associated with scientific and technical research and innovation is 

classified or otherwise qualified as national security information. Such information is outside 

the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most scientific and technical research and innovation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of most information associated with 

scientific and technical research and innovation can be seriously disruptive to the progress of 

research activities. The effects on future funding can be quite serious and can have a serious 

adverse effect on agency operations, agency assets, or individuals. Unauthorized modification 

or destruction of information affecting external communications (e.g., web pages, electronic 

mail) may adversely affect operations and/or public confidence in the agency, but the damage to 

the mission would usually be more limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

scientific and technical research and innovation information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to scientific and technical research and 

innovation information. Most research processes are tolerant of delay. In most cases, disruption 

of access to research and innovation information can be expected to have only a limited adverse 

effect on government operations, agency assets, or individuals. 

215
Recommended Availability Impact Level: The provisional availability impact level recommended for 

scientific and technical research and innovation information is low. 

D.19.2 Space Exploration and Innovation Information Type 

Space Exploration and Innovation includes all activities devoted to innovations directed at 

human and robotic space flight and the development and operation of space launch and 

transportation systems, and the general research and exploration of outer space. While some

space exploration and innovation is national security information, most sensitive information is 

developed under research and development programs that directly support another of the mission 

areas described in this Appendix and are not included here. The recommended provisional 

categorization of the research and development information type follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of space exploration and 

innovation information on the ability of responsible agencies to conduct activities devoted to [1] 

innovations directed at human and robotic space flight and the development and operation of 

space launch and transportation systems, and [2] the general research and exploration of outer 

space. Many space exploration and innovation activities are conducted with public institutions

of higher learning, and the findings resulting from those activities are intended for publication. 

Special Factors Affecting Confidentiality Impact Determination: The pre-publication disclosure or 

other unauthorized disclosure of information associated with competition for funding and 

recognition (e.g., grants, development contract, patent rights, and copyrights) can have a serious 

adverse effect on agency operations, agency assets, or individuals. In such cases, the 

confidentiality impact associated with space exploration and innovation is moderate. 

In some cases, the space exploration and innovation information is classified or otherwise 

qualifies as national security information. This information is outside the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most space exploration and innovation information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of most space exploration and 

innovation information can be seriously disruptive to the progress of research activities. The 

effects on future funding can be quite serious and can have a serious adverse effect on agency 

operations, agency assets, or individuals. Unauthorized modification or destruction of

information affecting external communications (e.g., web pages, electronic mail) may adversely 

affect operations and/or public confidence in the agency, but the damage to the mission would 

usually be limited. 

216
Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

space exploration and innovation information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to space exploration and innovation 

information. Most research and innovation processes are tolerant of delay. In most cases, 

disruption of access to research and innovation information will have only a limited adverse 

effect on government operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

space exploration and innovation information is low. 

D.20 Knowledge Creation and Management 

Knowledge Creation and Management involves the programs and activities in which the Federal 

Government creates or develops a body or set of knowledge, the manipulation and analysis of 

which can provide inherent benefits for both the Federal and private sector. 

D.20.1 Research and Development Information Type 

Research and Development involves the gathering and analysis of data, dissemination of results, 

and development of new products, methodologies, and ideas. The sensitivity and criticality of 

most research and development information depends on the subject matter involved. The 

recommended provisional categorization of the research and development information type 

follows: 

Security Category = {(confidentiality, Low), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level depends on the effect of unauthorized disclosure of research and 

development information on the ability of responsible agencies to gather and analyze data, 

disseminate results, and develop new products, methodologies, and ideas, and on the degree to 

which unauthorized disclosure of the information can assist hostile institutions to do harm to the 

interests of the government of the United States. Many research and development activities are 

conducted in association with public institutions of higher learning, and the findings resulting 

from those activities are intended for publication. Unauthorized disclosure of most research and 

development information can be expected to have only limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Most research and development 

information is proprietary. Unauthorized disclosure of proprietary information violates several 

statures and Federal regulations (see Appendix E). Pre-publication disclosure or other 

unauthorized disclosure of research findings can have a serious adverse effect on agency 

operations, agency assets, or individuals. In such cases, the confidentiality impact level 

associated with research and development is moderate. 

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Premature and/or partial release of preliminary research and development information can lead to 

misleading conclusions by policy makers, funding entities, news organizations, and/or the 

general public. Where the research and development activities are associated with security 

measures or law enforcement tools, potential adversaries may derive insights on countermeasures 

development. In extreme cases, the resulting confidentiality impact can be high. 

In some cases, the research and development information is classified or otherwise qualifies as 

national security information). Such information is outside the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most government research and development information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of most research and development 

information can be seriously disruptive to the progress of research activities. The effects on 

future funding can be serious and can have a serious adverse effect on agency operations, agency 

assets, or individuals. Unauthorized modification or destruction of information affecting 

external communications (e.g., web pages, electronic mail) may adversely affect operations 

and/or public confidence in the agency, but the damage to the mission would usually be more 

limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

research and development information is moderate. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to research and development information. 

Most research and innovation processes are tolerant of delay. In most cases, disruption of access 

to research and innovation information will have only a limited adverse effect on government 

operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

research and development information is low. 

D.20.2 General Purpose Data and Statistics Information Type 

General purpose data and statistics includes activities performed in providing empirical, 

numerical, and related data and information pertaining to the current state of the nation in areas 

such as the economy, labor, weather, international trade, etc. The recommended provisional 

categorization of the General Purpose Data and Statistics information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

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Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of general purpose data 

and statistics information on the ability of responsible agencies to provide empirical, numerical, 

and related data and information pertaining to the current state of the nation in areas such as the 

economy, labor, weather, international trade, etc. The consequences of unauthorized disclosure 

of most general-purpose data and statistics information would have only a limited adverse effect 

on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized premature disclosure 

of much economic (e.g., agricultural commodity, economic indicators) data and statistics 

information can result in major financial consequences. In some cases, premature disclosure of 

this information can impact major financial markets and damage national banking and finance 

infrastructures. Unauthorized and premature disclosure to a single institution (e.g., a major 

commodity brokerage house), could damage faith in general-purpose data and statistics gathering 

and development institutions, result in even more market disruption, and have a severe or 

catastrophic adverse effect on public confidence in the agency. Even when the consequences are 

limited to giving an unfair market advantage to a single financial or commercial institution, 

unauthorized disclosure can have a serious adverse effect on public confidence in the agency and 

its staff. This can result in assignment of a moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most general-purpose data and statistics information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of general-purpose data and statistics 

information may depend on whether the information is time-critical. Unauthorized modification 

or destruction of information affecting external communications (e.g., web pages, electronic 

mail) may adversely affect operations or public confidence in the agency, but the damage to the 

mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

general-purpose data and statistics information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to general-purpose data and statistics 

information. Missions supported by general-purpose data and statistics information are generally 

tolerant of delay. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

general-purpose data and statistics information is low. 

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D.20.3 Advising and Consulting Information Type 

Advising and Consulting activities involve the guidance and consultative services provided by 

the Federal Government to support the implementation of a specific service provided to citizens. 

The recommended provisional categorization of the advising and consulting information type 

follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of advising and 

consulting information on the ability of responsible agencies to provide guidance and 

consultative services to support the implementation of a specific service to citizens. The 

consequences of unauthorized disclosure of advising and consulting information depends on the 

nature of the service being provided and on the sensitivity of the information with which 

advisory or consulting entities are working. The consequences of unauthorized disclosure of 

most advising and consulting information would have a limited adverse effect on agency 

operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where consulting support involves 

classified or other national security information, the consequences of unauthorized disclosure 

can be severe but are outside the scope of this guideline. In other cases, such as consultative 

services provided to law enforcement institutions, the consequences of unauthorized disclosure 

can be serious or even life threatening. This can result in assignment of a moderate or high 

impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for advising and consulting information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of advising and consulting information 

would have, at most, a limited adverse effect on agency operations, agency assets, or individuals. 

Unauthorized modification or destruction of information affecting external communications

(e.g., web pages, electronic mail) may adversely affect operations and/or public confidence in the 

agency, but the damage to the mission would usually be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

advising and consulting information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to advising and consulting information. 

The effects of disruption of access to most advising and consulting information or information 

systems would have limited adverse effect on agency operations, agency assets, or individuals. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

advising and consulting information is low. 

D.20.4 Knowledge Dissemination Information Type 

Knowledge Dissemination addresses those instances where the primary method used in 

delivering a service is through the publishing or broadcasting of information, such as the Voice 

of America or web-based museums maintained by the Smithsonian. Knowledge Dissemination is 

not intended to address circumstances where the publication of information is a by-product of a 

mission rather than the mission itself. The recommended provisional security categorization of 

the knowledge dissemination information type follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of knowledge 

dissemination information on the ability of responsible agencies to publish or broadcast 

information. Premature and unauthorized disclosure of information being considered for 

broadcast can be harmful if the information is subsequently determined to be false or 

counterproductive to the knowledge dissemination mission. However, the consequences of 

unauthorized disclosure of most knowledge dissemination information would have, at most, a 

limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of some

policies governing knowledge dissemination missions can be harmful to the agency mission 

(e.g., some internal Voice of America editorial policies). This can result in assignment of a 

moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for knowledge dissemination information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of knowledge dissemination 

information may depend on whether the information is time-critical. Unauthorized modification 

or destruction of information affecting external communications (e.g., web pages, electronic 

mail) may adversely affect operations and/or public confidence in the agency, but the damage to 

the mission would usually be limited. In most cases, the consequences of unauthorized 

modification or destruction of knowledge dissemination information would have a limited 

adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Integrity Impact Determination: In cases of dissemination of 

erroneous/defamatory information, an agency mission can be seriously harmed and the impact 

level will be moderate. 

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Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

knowledge dissemination information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to knowledge dissemination information. 

The effects of disruption of access to most knowledge dissemination information or information 

systems would have a limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: An exception is the extended disruption 

of broadcast capabilities (e.g., Voice of America). Here, the agency mission is seriously harmed 

and the impact of the consequences will be moderate. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

most knowledge dissemination information is low. 

D.21 Regulatory Compliance and Enforcement 

Regulatory Compliance and Enforcement involves the direct monitoring and oversight of a 

specific individual, group, industry, or community participating in a regulated activity via market 

mechanisms, command and control features, or other means to control or govern conduct or 

behavior. 

D.21.1 Inspections and Auditing Information Type 

Inspections and Auditing involves the methodical examination and review of regulated activities 

to ensure compliance with standards for regulated activity. The recommended security 

categorization for the inspections and auditing information type is as follows: 

Security Category = {(confidentiality, Moderate), (integrity, Moderate), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of inspections and 

auditing information on the ability of responsible agencies to methodically examine and review 

regulated activities to ensure compliance with standards for regulated activity. If the inspections 

and auditing data belongs to one of the information types described in this guideline, the 

confidentiality impact assigned the data and system is dependent on the nature of the regulated 

activity. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of 

inspections and auditing information can alert personnel associated with programs being 

monitored to the focus of inspection or auditing activities. With this information, program

personnel may divert attention from questionable program attributes or hide unfavorable 

information. Where a major program or human safety is at stake, actions taken based on 

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unauthorized disclosure of inspections and auditing information can pose a threat to human life 

or a loss of major assets. In such cases, the confidentiality impact is high. 

National security information and national security systems are outside the scope of this 

guideline. 

 

Recommended Confidentiality Impact Level: Although there are many Federal environments in 

which unauthorized disclosure will have only a limited adverse effect, there are enough 

circumstances in which serious adverse effects on agency operations, agency assets, or

individuals can result to justify recommendation of a moderate provisional confidentiality 

impact level for inspections and auditing information. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of inspections and auditing 

information can compromise the effectiveness of the program. The damage likely to be caused 

by unauthorized modification or destruction may affect inspection or audit results with 

subsequent serious adverse effects on agency operations or public confidence in the agency. The 

consequences can be particularly serious if the destruction or modification of information 

invalidates oversight of major programs or the information threatens human safety. The integrity 

impact level depends on the laws or policies with which compliance is being determined and on 

the criticality of the processes being monitored (e.g., correctness of contract expenditure 

reporting versus safety regulations affecting manned space flight). 

Recommended Integrity Impact Level: Although there are regulatory environments in which a low

impact level is appropriate, the circumstances associated with most inspections and auditing 

support information require at least a moderate provisional integrity impact level. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to inspections and auditing information. 

In most cases, disruption of access to inspections and auditing information is expected to have 

only a limited adverse effect on agency operations, agency assets, or individuals. Not many 

inspection or auditing operations involve activities for which temporary loss of availability is 

likely to cause significant degradation in mission capability, place the agency at a significant 

disadvantage, result in major damage to major assets, or pose a threat to human life. 

Recommended Availability Impact Level: For most inspection and audit functions, the recommended 

provisional availability impact level is low. 

D.21.2 Standards Setting/Reporting Guideline Development Information Type 

Standard Setting/Reporting Guideline Development involves the establishment of allowable 

limits associated with a regulated activity and the development of reporting requirements 

necessary to monitor and control compliance with allowable limits. This includes the 

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development of requirements for product sampling and testing, emissions monitoring and 

control, incident reporting, financial filings, etc. The following provisional security 

categorization is recommended for the standards setting/reporting guideline development 

information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of standards 

setting/reporting guideline development information on the abilities of responsible agencies to 

establish allowable limits associated with a regulated activity and to develop reporting 

requirements necessary to monitor and control compliance with allowable limits. In a few cases, 

the unauthorized public dissemination of standards or guidelines 

information can harm the effectiveness of the function being supported (e.g., public 

dissemination of Internal Revenue Service audit thresholds for certain deductions). However, 

most Federal standards and guidelines are intended for public dissemination. The consequences 

of unauthorized disclosure of the majority of standards setting/reporting guideline development 

information will result in a limited adverse effect on agency operations, agency assets, or 

individuals. 

There are some cases for which standards or guidelines include classified or other national 

security information. Such cases are outside the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for standards setting/reporting guideline development information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of standards setting/reporting 

guideline development information depends primarily on the criticality of the information with 

respect to agency mission capability, protection of agency assets, and safety of individuals. In 

general, the effects of modifications or deletions of standards setting/reporting guideline 

development information are limited with respect to agency missions or assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

standards setting/reporting guideline development information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to standards setting/reporting guideline 

development information. The nature of standards setting/reporting guideline development 

processes is tolerant of reasonable delays. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

standards setting/reporting guideline development information is low. 

D.21.3 Permits and Licensing Information Type 

Permits and Licensing involves activities associated with granting, revoking, and the overall 

management of the documented authority necessary to perform a regulated task or function. The 

following security categorization is recommended for the permits and licensing information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of permits and licensing 

information on the abilities of responsible agencies to manage the documented authority 

necessary to perform a regulated task or function. The consequences of unauthorized disclosure 

of the majority of permits and licensing information will result in a limited adverse effect on 

agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Where more sensitive information is 

involved, it will typically be personal information subject to the Privacy Act of 1974, the Health 

Insurance Portability and Accountability Act of 1996, or other laws and executive orders 

affecting the dissemination of information regarding individuals. The Privacy Act Information 

provisional impact levels are documented in the Personal Identity and Authentication 

information type. In such cases, the consequences of unauthorized disclosure of permits and 

licensing information could be serious. In such cases, the confidentiality impact level might be 

moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most permits and licensing information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of permits and licensing information 

depends primarily on the criticality of the regulated activity with respect to protection of

government assets, and safety of individuals. Typically, the effects of modification or deletion of 

permits and licensing information are limited with respect to agency missions or assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

permits and licensing information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to permits and licensing information. The 

nature of permits and licensing processes is tolerant of reasonable delays. 

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Recommended Availability Impact Level: The provisional availability impact level recommended for 

permits and licensing information is low. 

D.22 Public Goods Creation and Management 

The construction, manufacturing, administration, and/or management of goods, structures, 

facilities, common resources, etc. used for the general well being of the American public or 

society at large. 

D.22.1 Manufacturing Information Type 

Manufacturing involves all programs and activities in which the Federal Government produces 

both marketable and non-marketable goods. The following provisional security categorization is 

recommended for the manufacturing information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of manufacturing 

information on the abilities of responsible agencies to produce both marketable and nonmarketable goods. In a few cases, unauthorized disclosure of details of the products or 

manufacturing processes can give adversaries opportunities (e.g., terrorism, industrial 

espionage). However, in most cases, the consequences of unauthorized disclosure of 

manufacturing information will result in a limited adverse effect on agency operations, agency 

assets, or individuals. 

There are some cases for which manufacturing or product information includes classified or 

other national security information. Such cases are outside the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for manufacturing information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of manufacturing information depends 

primarily on the criticality of the information with respect to a manufacturing process and on the 

volume and use of the end product. Typically, the effects of modification or deletion of

manufacturing information are generally limited with respect to agency missions or assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

manufacturing information is low. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to manufacturing information. The nature 

of most government manufacturing processes is tolerant of reasonable delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

manufacturing information is low. 

D.22.2 Construction Information Type 

Construction involves all programs and activities in which the Federal Government builds or 

constructs facilities, roads, dams, etc. The following security categorization is recommended for 

the construction information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of construction

information on the abilities of responsible agencies to build or construct facilities, roads, dams, 

etc. In most cases, the consequences of unauthorized disclosure of construction information will 

result in a limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In some cases, construction details 

can be of use to terrorists or other criminals who seek to penetrate or destroy government 

installations. Unauthorized disclosure of some construction details (e.g., alarm designs, points of 

vulnerability to the to the structural integrity of a dam or building) can result in danger to critical 

infrastructures, key national assets, or human life. In such cases, the confidentiality impact may 

be high. 

There are some cases for which construction information includes classified or other national 

security information. Such cases are outside the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for construction information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of construction information depends 

primarily on the criticality of the information. Typically, the effects of modification or deletion 

of construction information are limited with respect to agency missions or assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

construction information is low. 

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Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to construction information. The nature of 

most government construction processes is tolerant of reasonable delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

construction information is low. 

D.22.3 Public Resources, Facilities and Infrastructure Management Information Type 

Public Resources, Facilities and Infrastructure Management involves the management and 

maintenance of government-owned capital goods and resources (natural or otherwise) on behalf 

of the public, usually with benefits to the community at large as well as to the direct user. 

Examples of facilities and infrastructure include schools, roads, bridges, dams, harbors, and 

public buildings. Examples of resources include parks, cultural artifacts and art, endangered 

species, oil reserves, etc. The following security categorization is recommended for the public 

resources, facilities, and infrastructure management information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of public resources, 

facilities, and infrastructure management information on the abilities of responsible agencies to 

manage and maintain government-owned capital goods and resources (natural or otherwise) on 

behalf of the public, usually with benefits to the community at large as well as to the direct user. 

In most cases, the consequences of unauthorized disclosure of public resources, facilities, and 

infrastructure management information will result in a limited adverse effect on agency

operations, agency assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In some cases, premature 

unauthorized disclosure of management information can give an unfair competitive advantage to 

a commercial interest (e.g., proposed changes for management of petroleum reserves). The 

confidentiality impact of consequent loss of public confidence and/or serious economic 

disruption might be moderate. 

In other cases, public resources, facilities, and infrastructure management details can be of use to 

terrorists or other criminals who seek to penetrate the security of government property or to harm

populations. Unauthorized disclosure of some public resources, facilities, and infrastructure 

management details to criminals (e.g., facilities security dispositions, building alarm designs), 

can result in danger to critical infrastructures, key national assets, or human life. In such cases, 

the confidentiality impact can be high

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most public resources, facilities, and infrastructure management information is 

low. 

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Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of public resources, facilities, and 

infrastructure management information depends primarily on the criticality of the information 

with respect to management of public resources, facilities, and infrastructures. Typically, the 

effects of modification or deletion of public resources, facilities, and infrastructure information 

are limited with respect to agency missions or assets. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

public resources, facilities, and infrastructure management information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to public resources, facilities, and 

infrastructure management information. The nature of most government public resources, 

facilities, and infrastructure management processes is tolerant of reasonable delays. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

public resources, facilities, and infrastructure management information is low. 

D.22.4 Information Infrastructure Management Information Type 

Information Infrastructure Management involves the management and stewardship of a type of 

information by the Federal Government and/or the creation of physical communication 

infrastructures on behalf of the public in order to facilitate communication. This includes the 

management of large amounts of information (e.g., environmental and weather data, criminal 

records, etc.), the creation of information and data standards relating to a specific type of 

information (patient records), and the creation and management of physical communication 

infrastructures (networks) on behalf of the public. 

Note: Information infrastructures for government use are not included in this information type 

because the impact levels associated with information infrastructure maintenance information are 

primarily a function of the information processed in that infrastructure. The recommended 

provisional security categorization for the information infrastructure maintenance information 

type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of information 

infrastructure maintenance information on the ability of responsible agencies to manage a type of 

information and/or to create physical communication infrastructures on behalf of the public in 

order to facilitate communication. The disclosure of most information infrastructure maintenance 

information can be expected to result in a limited adverse effect on agency operations, assets, or 

individuals. 

229
Special Factors Affecting Confidentiality Impact Determination: In some cases, information 

infrastructure maintenance details can be of use to terrorists or other criminals who seek to 

destroy government data bases or communications infrastructures, or deny access to information 

needed by the public. Unauthorized disclosure of some information infrastructure maintenance 

details to criminals can result in danger to critical infrastructures, key national assets, or human 

life. In such cases, the confidentiality impact can be high. In other cases, premature 

unauthorized disclosure of management information can give an unfair competitive advantage to 

a commercial interest (e.g., proposed outsourcing of system administration or details of a 

proposes communications system acquisition). This can result in assignment of a moderate

impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for information infrastructure maintenance information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. That is, the 

consequences of unauthorized modification or destruction of information infrastructure 

maintenance information typically depend on the criticality of the data processed by the 

infrastructure and whether this data is time-critical. In most cases, the data will not be urgently 

needed or acted upon immediately. 

Special Factors Affecting Integrity Impact Determination: In a relatively few cases, the consequences 

of unauthorized modification or destruction of information infrastructure maintenance 

information might result in serious damage to agency operations, assets, or human safety. This 

may require a moderate or high integrity impact level for information infrastructure maintenance 

information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

information infrastructure maintenance information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to information infrastructure maintenance 

information. Disruption of access to information infrastructure maintenance information or 

information systems will typically result in denial of access to resources for all affected agencies. 

Typically, disruption of access will have a limited adverse effect on agency operations (including 

mission functions and public confidence in the agency), agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Exceptions may include emergency 

response aspects of disaster management or other time critical functions (e.g., some systems that 

support air traffic control functions). The availability impact level associated with unauthorized 

modification or destruction of information infrastructure maintenance information needed to 

respond to emergencies or critical to public safety may be high. 

230
Recommended Availability Impact Level: The provisional availability impact level recommended for 

information infrastructure maintenance information is low. 

D.23 Federal Financial Assistance 

Federal Financial Assistance is the provision of earned and unearned financial or monetary-like 

benefits to individuals, groups, or corporations. 

D.23.1 Federal Grants (Non-State) Information Type 

Federal Grants involve the disbursement of funds by the Federal Government to a non-Federal 

entity to help fund projects or activities. This includes the processes associated with grant 

administration, including the publication of funds availability notices, development of the grant 

application guidance, determination of grantee eligibility, coordination of the peer 

review/evaluation process for competitive grants, the transfer of funds, and the 

monitoring/oversight as appropriate. The recommended provisional security categorization for 

the federal grants information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of federal grants 

information on the ability of responsible agencies to disburse funds to non-Federal entities to 

fund projects or activities. Typically, unauthorized disclosure of federal grants information will 

have only a limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In a few cases, records associated 

with grants may include information subject to privacy restrictions (e.g., the Privacy Act of 

1974). The Privacy Act Information provisional impact levels are documented in the Personal 

Identity and Authentication information type. In many cases, premature and unauthorized 

disclosure can affect the integrity of the grants process, giving an unfair competitive advantage 

to one or more applicants. In such cases, punitive consequences and/or loss of public confidence 

can have a seriously disruptive effect on an agency’s operations and mission. In such cases, the 

confidentiality impact level would be moderate. 

In some cases, federal grants information might be moderate to high impact. Also, details of 

programs for which grants are awarded may be sensitive (e.g., research grants for weapons 

systems project activities). Some federal grants information and some grant program details may 

be classified and outside the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for federal grants information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Federal grants 

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activities are not generally time-critical and multiple individuals in multiple organizations are 

usually involved in the grants process. Therefore, the information maintained by all the 

individuals/agencies may be necessary to alter a grants decision. In most cases, the adverse 

effects of unauthorized modification or destruction of federal grants information on agency 

mission functions or public confidence in the agency is limited. 

Special Factors Affecting Integrity Impact Determination: There are significant differences between 

the ability to modify a document authorizing a payment and the modification of the payment 

itself. The unauthorized modification of a document authorizing a payment is less time critical

than the modification of the payment itself while the payment is in transit. Modifications to 

payments in transit will result in immediate inaccurate payments. This can result in assignment 

of a moderate impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

federal grants information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to federal grants information. Federal 

grants processes are generally tolerant of delay. In most cases, disruption of access to federal 

grants information can be expected to have only a limited adverse effect on agency operations, 

agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

federal grants information is low. 

D.23.2 Direct Transfers to Individuals Information Type 

Direct Transfers to Individuals involves the disbursement of funds from the Federal Government

directly to beneficiaries (individuals or organizations) who satisfy Federal eligibility 

requirements with no restrictions imposed on the recipient as to how the money is spent. Direct 

Transfers include both earned and unearned Federal Entitlement programs such as Medicare, 

Social Security, unemployment benefits, etc. The recommended provisional security 

categorization for the direct transfers to individuals information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of direct transfers to 

individuals information on the ability of responsible agencies to disburse funds from the Federal 

Government directly to beneficiaries (individuals or organizations) who satisfy Federal eligibility 

requirements with no restrictions imposed on the recipient as to how the money is spent. In the 

majority of cases, unauthorized disclosure of direct transfers to individuals will have only a 

limited adverse effect on agency operations, assets, or individuals. 

232
Special Factors Affecting Confidentiality Impact Determination: Many of the records associated with

the disbursements may include information subject to privacy restrictions (e.g., the Privacy Act 

of 1974, HIPAA of 1996). (The Privacy Act Information provisional impact levels are 

documented in the Personal Identity and Authentication information type.) In such cases, 

punitive consequences and/or loss of public confidence can have a seriously disruptive effect on 

an agency’s operations and mission. The consequent confidentiality impact level could be 

moderate. 

 

Recommended Confidentiality Impact Level: Therefore, the provisional confidentiality impact level 

recommended for direct transfers to individuals is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Federal 

disbursement activities are not generally time-critical. In most cases, the monetary amounts 

involved are not large (on a governmental budgetary scale). Also, the adverse effects of 

unauthorized modification or destruction of direct transfers to individuals on agency mission 

functions or public confidence in the agency will be limited. 

Special Factors Affecting Integrity Impact Determination: There are significant differences between 

the ability to modify a document authorizing a payment and the modification of the payment 

itself. The unauthorized modification of a document authorizing a payment is less time critical

than the modification of the payment itself while the payment is in transit. Modifications to 

payments in transit will result in immediate inaccurate payments. This can result in assignment 

of a moderate impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

direct transfers to individuals is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to direct transfers to individuals 

information. Federal disbursement processes are generally tolerant of delay. In most cases, 

disruption of access to information regarding direct transfers to individuals can be expected to 

have only a limited adverse effect on agency operations, agency assets, or individuals. 

Special Factors Affecting Availability Impact Determination: Disruption of disbursements to large 

populations can do serious harm to public confidence in the agency and have a harmful impact 

on the nation’s economy (e.g., affect consumer confidents and retail sales for a month or 

quarter). In such cases, the availability impact would be moderate. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

direct transfers to individuals is low. 

233
D.23.3 Subsidies Information Type 

Subsidies involve Federal Government financial transfers that reduce costs and/or increase 

revenues of producers. Subsidies include the payment of funds from the government to affect the 

production or prices of various goods to benefit the public. The recommended provisional 

security categorization for the subsidies information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of subsidies information 

on the ability of responsible agencies to pay government funds to affect the production or prices 

of various goods to benefit the public benefit. In many cases, unauthorized disclosure of 

subsidies information will have only a limited adverse effect on agency operations, assets, or 

individuals. 

Special Factors Affecting Confidentiality Impact Determination: Some information associated with 

applications for subsidies includes information covered by the provisions of the Privacy Act of 

1974. (The Privacy Act Information provisional impact levels are documented in the Personal 

Identity and Authentication information type.) Unauthorized disclosure of large volumes of 

information protected under the Privacy Act can be expected to have a serious effect on public 

confidence in the agency. Also, premature unauthorized disclosure of planned subsidies policies 

can affect financial/commodities markets, with associated potential adverse effects on the U.S. 

economy and serious adverse effects on public confidence in the agency. This can result in 

assignment of a moderate impact level to such information. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most subsidies information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Subsidies 

activities are not typically time-critical. In most cases, the adverse effects of unauthorized 

modification or destruction of subsidies information on agency mission functions, image or 

public confidence in the agency will be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

subsidies information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to subsidies information. Subsidies 

processes are generally tolerant of delay. In most cases, disruption of access to subsidies 

information can be expected to have only a limited adverse effect on agency operations, agency 

assets, or individuals. 

234
Recommended Availability Impact Level: The provisional availability impact level recommended for 

subsidies information is low. 

D.23.4 Tax Credits Information Type 

Tax Credits allow a special exclusion, exemption, or deduction from gross income or which 

provide a special credit, a preferential rate of tax, or a deferral of tax liability designed to 

encourage certain kinds of activities or to aid taxpayers in special circumstances. The 

recommended provisional security categorization for the tax credits information type is as 

follows: 

Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of tax credit information 

on the ability of responsible agencies to allow special exclusions, exemptions, or deductions 

from gross income or which provide special credits, a preferential rate of tax, or a deferral of tax 

liability designed to encourage certain kinds of activities or to aid taxpayers in special 

circumstances. Many of the records associated with disbursements may include information 

subject to privacy restrictions (e.g., the Privacy Act of 1974, the Internal Revenue Code and 

Manual, or the Economic Espionage Act). (The provisional impact levels for personnel 

information are documented in the Personal Identity and Authentication, Income, Representative 

Payee, and Entitlement Event information types.) In such cases, punitive consequences and/or 

loss of public confidence can have a seriously disruptive effect on an agency’s operations and 

mission. In many cases, unauthorized disclosure of tax credit information can have a serious 

adverse effect on agency operations, assets, or individuals. 

Recommended Availability Impact Level: The provisional confidentiality impact level recommended 

for tax credit information is moderate. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Tax credits are 

not generally time-critical. In most cases, the adverse effects of unauthorized modification or 

destruction of tax credits on agency mission functions or public confidence in the agency will be

limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for tax 

credits is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to tax credits information. Taxation 

processes are generally tolerant of delay. In most cases, disruption of access to tax credit 

information can be expected to have only a limited adverse effect on agency operations, agency 

assets, or individuals. 

235
Recommended Availability Impact Level: The provisional availability impact level recommended for 

tax credit information is low. 

D.24 Credit and Insurance 

Credit and Insurance involves the use of government funds to cover the subsidy cost of a direct 

loan or loan guarantee or to protect/indemnify members of the public from financial losses.

D.24.1 Direct Loans Information Type 

Direct loans involve a disbursement of funds by the Government to a non-Federal borrower 

under a contract that requires the repayment of such funds with or without interest. The 

recommended provisional security categorization for the direct loan information type is as 

follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of direct loan 

information on the ability of responsible agencies to disburse Federal funds to non-Federal 

borrowers under contract terms that require the repayment of such funds with or without interest. 

Much direct loan information includes information covered by the provisions of the Privacy Act 

of 1974. (The Privacy Act Information provisional impact levels are documented in the Personal 

Identity and Authentication information type.) In most cases, unauthorized disclosure of direct 

loan information will have only a limited adverse effect on agency operations, assets, or 

individuals. 

Special Factors Affecting Confidentiality Impact Determination: Unauthorized disclosure of large 

volumes of information protected under the Privacy Act can be expected to have a serious to 

severe effect on public confidence in the agency. In such cases, the confidentiality impact can be 

moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for direct loan information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Loan assistance 

activities are not generally time-critical. In most cases, the adverse effects of unauthorized 

modification or destruction of direct loan information on agency mission functions and public 

confidence in the agency will be limited. 

Special Factors Affecting Integrity Impact Determination: There are significant differences between 

the ability to modify a document authorizing a payment and the modification of the payment 

itself. The unauthorized modification of a document authorizing a payment is less time critical

236
than the modification of the payment itself while the payment is in transit. Modifications to 

payments in transit will result in immediate inaccurate payments. This can result in assignment 

of a moderate impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

direct loan information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to direct loan information. Loan 

assistance processes are generally tolerant of delay. In most cases, disruption of access to direct 

loan information can be expected to have only a limited adverse effect on agency operations, 

agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

direct loan information is low. 

D.24.2 Loan Guarantees Information Type 

Loan guarantees involve any guarantee, insurance, or other pledge with respect to the payment of 

all or a part of the principal or interest on any debt obligation of a non-Federal borrower to a 

non-Federal lender, but does not include the insurance of deposits, shares, or other withdrawable 

accounts in financial institutions. The general recommended security categorization for the loan 

guarantees information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of loan guarantee 

information on the ability of responsible agencies to execute guarantees, insurance, or other 

pledges with respect to the payment of all or a part of the principal or interest on any debt 

obligation of a non-Federal borrower to a non-Federal lender. In most cases, unauthorized 

disclosure of loan guarantee information will have only a limited adverse effect on agency 

operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: Much loan guarantee information 

includes information covered by the provisions of the Privacy Act of 1974. (The Privacy Act 

Information provisional impact levels are documented in the Personal Identity and 

Authentication information type.) Unauthorized disclosure of large volumes of information 

protected under the Privacy Act can be expected to have a serious to severe effect on public 

confidence in the agency. In such cases, the confidentiality impact can be moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for loan guarantee information is low. 

237
Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Loan guarantee 

activities are not generally time-critical. In most cases, the adverse effects of unauthorized 

modification or destruction of loan guarantee information on agency mission functions and 

public confidence in the agency will be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for loan 

guarantee information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to loan guarantee information. Loan 

processes are generally tolerant of delay. In most cases, disruption of access to loan guarantee 

information will have only a limited adverse effect on agency operations, agency assets, or 

individuals. 

Special Factors Affecting Availability Impact Determination: The provisional availability impact 

level recommended for loan guarantee information is low. 

D.24.3 General Insurance Information Type 

General Insurance involves providing protection to individuals or entities against specified 

risks. The specified protection generally involves risks that private sector entities are unable 

or unwilling to assume or subsidize and where the provision of insurance is necessary to 

achieve social objectives. The following provisional security categorization is recommended 

for the general insurance information type: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of general insurance 

information on the abilities of responsible agencies to provide protection to individuals or 

entities against specified risks. General insurance activities include both insurance issuing and 

insurance servicing. Insurance issuing is any activity such as provider approval, underwriting, 

and endorsements. The consequences of unauthorized disclosure of insurance issuing 

information will generally result in a limited adverse effect on agency operations, agency assets, 

or individuals. 

Insurance servicing supports activities associated with administering and processing insurance 

include payment processing, initial and final closings, loss mitigation, claims management, and 

retiring insurance. The confidentiality impact level is the effect of unauthorized disclosure of 

insurance servicing information on the abilities of responsible agencies to administer and process 

insurance. The consequences of unauthorized disclosure of insurance servicing information will 

generally result in a limited adverse effect on agency operations, agency assets, or individuals. 

238
Special Factors Affecting Confidentiality Impact Determination: The more serious consequences may 

result from 1) unauthorized disclosure of provider’s proprietary information, or 2) premature 

disclosure of agency plans or changes under consideration for contracts, plans, or policies. 

Unauthorized disclosure of information that can affect contract arrangements to the detriment of 

the interests of the government, and of the public at large (e.g., planned or anticipated 

termination of a major contract insurer), can result in damaging increases in public expense and 

exposure to impact. In the case of unauthorized disclosure to an individual private sector 

organization, unfair competitive advantage may result – with major financial consequences. In 

the case of unauthorized disclosure of preliminary and unsubstantiated data that is both incorrect 

and pessimistic (e.g., Medicare budget projections,), the consequent unwarranted alarm of the 

public may have serious political and operational consequences for affected agencies. In the 

more serious cases, the confidentiality impact will be at least moderate. 

The more serious consequences of unauthorized disclosure of insurance servicing information 

may result from unauthorized disclosure of private information concerning the insured (e.g., 

Privacy Act information). (The Privacy Act Information provisional impact levels are 

documented in the Personal Identity and Authentication information type.) In the more serious 

cases, the confidentiality impact will be at least moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for general insurance information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. The 

consequences of unauthorized modification or destruction of general insurance information may 

depend on the urgency with which the information is typically needed. Unauthorized 

modification or destruction of information affecting external communications (e.g., web pages, 

electronic mail) typically has a limited adverse effect on agency operations and/or public 

confidence in the agency. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

general insurance information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to general insurance information. The 

nature of general insurance processes is usually tolerant of reasonable delays. 

Special Factors Affecting Availability Impact Determination: Extensive delays in insurance servicing 

activities can result in financial harm for individuals and businesses and in public alarm and 

repercussions in the financial markets. In more serious cases, delays may have serious political 

and operational consequences for affected agencies. In such cases, the confidentiality impact 

may be at least moderate. 

239
Recommended Availability Impact Level: The provisional availability impact level recommended for 

general insurance information is low.

D.25 Transfers to State/Local Governments 

Transfers to States and Local Governments involve the transfer of funds or financial assistance 

from the Federal government to State and Local governments and Indian tribes. 

D.25.1 Formula Grants Information Type 

Formula Grants involves the allocation of money to States or their subdivisions in accordance 

with distribution formulas prescribed by law or administrative regulation, for activities of a 

continuing nature. The recommended provisional security categorization for the formula grants 

information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of formula grants 

information on the ability of responsible agencies to allocate money to States or their 

subdivisions in accordance with distribution formulas prescribed by law or administrative 

regulation, for activities of a continuing nature. Typically, unauthorized disclosure of most 

formula grants information will have only a limited adverse effect on agency operations, assets, 

or individuals. In most cases, information associated with formula grants is public knowledge. 

Special Factors Affecting Confidentiality Impact Determination: In a few cases, details of programs 

for which formula grants are awarded may be sensitive (e.g., some Federal/State cooperative 

programs intended to support Homeland Security operations). This can result in assignment of a 

moderate or high impact level to such information. Some formula grants information might 

be classified (hence outside the scope of this guideline). 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for formula grants information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Formula grants 

activities are not generally time-critical and multiple individuals in multiple organizations are 

usually involved in the grants process. Therefore, the information maintained by all the 

individuals/agencies is probably necessary to alter a grants decision. In most cases, the adverse 

effects of unauthorized modification or destruction of formula grants information on agency 

mission functions or public confidence in the agency will be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

formula grants information is low. 

240
Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to formula grants information. Formula 

grants processes are generally tolerant of delay. In most cases, disruption of access to formula 

grants information can be expected to have only a limited adverse effect on agency operations, 

agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

formula grants information is low. 

D.25.2 Project/Competitive Grants Information Type 

Project/Competitive Grants involves the funding, for fixed or known periods, of projects. 

Project/Competitive grants can include fellowships, scholarships, research grants, training grants, 

traineeships, experimental and demonstration grants, evaluation grants, planning grants, 

technical assistance grants, survey grants, and construction grants. The general recommended 

security categorization for the project/competitive grants information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of project/competitive 

grants information on the ability of responsible agencies to award fellowships, scholarships, 

research grants, training grants, traineeships, experimental and demonstration grants, evaluation 

grants, planning grants, technical assistance grants, survey grants, and/or construction grants. In 

most cases, unauthorized disclosure of project/competitive grants information will have only a 

limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In some cases, project/competitive 

grants information may be sensitive with moderate to high impact. In a few cases, details of 

programs for which grants are awarded may be classified and outside the scope of this guideline. 

In a few cases, records associated with the grants may include information subject to privacy 

restrictions (e.g., the Privacy Act of 1974). (The Privacy Act Information provisional impact 

levels are documented in the Personal Identity and Authentication information type.) In many 

cases, premature and unauthorized disclosure can affect the integrity of the grants process, giving 

an unfair competitive advantage to one or more applicants. In such cases, punitive consequences 

and/or loss of public confidence can have a seriously disruptive effect on an agency’s operations 

and mission. In such cases, the confidentiality impact level would be moderate. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for most project/competitive grants information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. 

241
Project/competitive grants activities are not generally time-critical. In most cases, the adverse 

effects of unauthorized modification or destruction of project/competitive grants information on 

agency mission functions or public confidence in the agency will be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

project/competitive grants information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to project/competitive grants information. 

Project/competitive grants processes are generally tolerant of delay. In most cases, disruption of 

access to project/competitive grants information can be expected to have only a limited adverse 

effect on agency operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

project/competitive grants information is low. 

D.25.3 Earmarked Grants Information Type 

Earmarked Grants involves the distribution of money to State and Local Governments for a 

named purpose or service usually specifically noted by Congress in appropriations language, or 

other program authorizing language. The recommended provisional security categorization for 

the earmarked grants information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of earmarked grants 

information on the ability of responsible Federal government entities to distribute money to State 

and Local Governments for a named purpose or service usually 

specifically noted by Congress in appropriations language, or other program authorizing 

language. In the majority of cases, earmarked grants information is public knowledge. 

Typically, unauthorized disclosure of most earmarked grants information will have only a 

limited adverse effect on agency operations, assets, or individuals. 

Special Factors Affecting Confidentiality Impact Determination: In some cases, project/competitive 

grants information may be sensitive with moderate to high impact. In a few cases, details of 

programs for which grants are awarded may be classified and outside the scope of this guideline. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for earmarked grants information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Earmarked 

242
grants activities are not generally time-critical and multiple individuals in multiple organizations

are usually involved in the grants process. Therefore, the information maintained by all the 

individuals/agencies is probably necessary to alter a grants decision. In most cases, the adverse 

effects of unauthorized modification or destruction of earmarked grants information on agency 

mission functions or public confidence in the agency will be limited. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

earmarked grants information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to earmarked grants information. 

Earmarked grants processes are generally tolerant of delay. In most cases, disruption of 

access to earmarked grants information will have only a limited adverse effect on agency 

operations, agency assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

earmarked grants information is low. 

D.25.4 State Loans Information Type 

State Loans involve all disbursement of funds by the Government to a State or Local 

Government (or Indian Tribe) entity under a contract that requires the repayment of such funds 

with or without interest. The recommended provisional security categorization for the state loan 

information type is as follows: 

Security Category = {(confidentiality, Low), (integrity, Low), (availability, Low)} 

Confidentiality 

The confidentiality impact level is the effect of unauthorized disclosure of state loan information 

on the ability of responsible agencies to disburse Federal funds a State or Local Government (or 

Indian Tribe) entity under a contract that requires the repayment of such funds with or without 

interest. In most cases, unauthorized disclosure of state loan information will have only a 

limited adverse effect on agency operations, assets, or individuals. 

 

Recommended Confidentiality Impact Level: The provisional confidentiality impact level 

recommended for state loan information is low. 

Integrity 

The integrity impact level is based on the specific mission and the data supporting that mission, 

not on the time required to detect the modification or destruction of information. Loan assistance 

activities are not generally time-critical. In most cases, the adverse effects of unauthorized 

modification or destruction of state loan information on agency mission functions and public 

confidence in the agency will be limited. 

243
Special Factors Affecting Integrity Impact Determination: There are significant differences between 

the ability to modify a document authorizing a payment and the modification of the payment 

itself. The unauthorized modification of a document authorizing a payment is less time critical

than the modification of the payment itself while the payment is in transit. Modifications to 

payments in transit will result in immediate inaccurate payments. This can result in assignment 

of a moderate impact level to such information. 

Recommended Integrity Impact Level: The provisional integrity impact level recommended for 

state loan information is low. 

Availability 

The availability impact level is based on the specific mission and the data supporting that 

mission, not on the time required to re-establish access to state loan information. Loan assistance 

processes are generally tolerant of delay. In most cases, disruption of access to state loan 

information can be expected to have only a limited adverse effect on agency operations, agency 

assets, or individuals. 

Recommended Availability Impact Level: The provisional availability impact level recommended for 

state loan information is low. 

 

244
APPENDIX E: LEGISLATIVE AND EXECUTIVE SOURCES ESTABLISHING 

SENSITIVITY/CRITICALITY

Some information has been established in law, by Executive Order, or by agency regulation as 

requiring protection from disclosure. Those information types that are national security 

information are outside the scope of this guideline. Each individual responsible for security 

categorization of an organization’s information or information system should search his own 

department or agency’s regulations for specific information protection requirements. 

E.1 Legislative Mandates 

Some legislatively mandated prohibitions against disclosure of information (other than national 

security information) are identified in Table 6. The table gives the title or subject of the section 

in the United States Code (U.S.C.) in which the prohibition occurs, the U.S.C. citation for the 

prohibition, and the Department, agency, or generic information type to which the law applies, 

and the legal source. Note that the information contained in the table is intended only as an aid 

and will not always be current. Independent law searches by analysts will generally be

necessary. 

Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Access to Information; 

Confidentiality

22 U.S.C., Chapter 46A, 

Section 3144

Foreign Direct Investment in

United States 

[Foreign Direct Investment and 

International Financial Data

Improvements Act of 1990, 

Public Law 101-533, Sec. 8, 

Nov. 7, 1990, 104 Stat. 2350] 

Access to Records 42 U.S.C., Chapter 114, 

Subchapter I, Part A, Section 

10806 

Department of Health and 

Human Services/Public Health 

Service 

[Public Law 99-319, Title I, Sec. 

106, May 23, 1986, 100 Stat. 

481; Public Law 100-509, Sec. 

6(b), Oct. 20, 1988, 102 Stat. 

2544; and Public Law 102-173, 

Sec. 10(2), Nov. 27, 1991, 105 

Stat. 1219.]

Administrative Enforcement; 

Preliminary Matters

42 U.S.C., Chapter 45, 

Subchapter I, Section 3610

Housing and Urban 

Development 

[Public Law 90-284, title VIII, 

Sec. 810, as added Public Law 

100-430, Sec. 8(2), Sept. 13, 

1988, 102 Stat. 1625] 

245
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Administrative Simplification 42 U.S.C., Chapter 7, 

Subchapter XIX, Part C 

[Health Insurance Portability 

and Accountability Act of 1996 

(HIPAA), Public Law 104-191] 

Administrative Subpoenas 18 U.S.C., Part II, Chapter 

223, Section 3486(a)(6) 

Health Care Investigations/Law 

Enforcement/Courts 

[HIPAA, Public Law 104-191, 

Title II, Sec. 248(a), Aug. 21, 

1996, 110 Stat. 2018] 

Application of Other Laws 39 U.S.C., Part I, Chapter 4, 

Section 410(c) 

US Postal Service

[Postal Reorganization Act,

Public Law 91-375, Aug. 12, 

1970, 84 Stat. 725 amended by 

the Federal Pay Comparability 

Act of 1970, Public Law 91-656, 

Sec. 8(a), Jan. 8, 1971, 84 Stat. 

1955] 

Approval of Retail Food Stores 

and Wholesale Food Concerns 

7 U.S.C., Chapter 51, Section 

2018(c) 

Department of Agriculture 

Food Stamps

[Food Security Act of 1985, 

Public Law 99-198, Title XV, 

Sec. 1521, 1532(b), Dec. 23, 

1985, 99 Stat. 1579, 1583; 

amended by the Food Stamp 

Program Improvements Act of 

1994, Public Law 103-225, Title 

II, Sec. 202, 203, Mar. 25, 1994, 

108 Stat. 108; Better Nutrition 

and Health for Children Act of 

1994, Public Law 103-448, Title 

II, Sec. 204(w)(2)(A), Nov. 2, 

1994, 108 Stat. 4746; and Public 

Law 104-193, Title VIII, Sec. 

831-834, Aug. 22, 1996, 110 

Stat. 2328] 

Assessment Procedures 7 U.S.C., Chapter 80, Section 

4908 

Department of Agriculture

[Food Security Act of 1985, 

Public Law 99-198, Title XVI, 

Sec. 1649, Dec. 23, 1985, 99 

Stat. 1626] 

Assessments (Confidential 

Nature) 

7 U.S.C., Chapter 58, Section 

2619(c) 

Department of Agriculture/ 

National Potato Promotion Board 

[Potato Research and 

Promotion Act, Public Law 91-

670, Title III, Sec. 310, Jan. 11, 

1971, 84 Stat. 2044; amended 

246
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

by Public Law 101-624, Title 

XIX, Sec. 1942, Nov. 28, 1990, 

104 Stat. 3867] 

Authorization for Disclosure and 

Use of Intercepted Wire, Oral, 

or Electronic Communications 

18 U.S.C., Part I, Chapter 

119, Section 2517(6) 

Law Enforcement

[Omnibus Crime Control and 

Safe Streets Act of 1968, Public 

Law 90-351, Title III, Sec. 802, 

June 19, 1968, 82 Stat. 217;

amended by the Organized 

Crime Control Act of 1970, 

Public Law 91-452, Title IX, 

Sec. 902(b), Oct. 15, 1970, 84 

Stat. 947; Electronic 

Communications Privacy Act of 

1986, Public Law 99-508, Title I, 

Sec. 101(c)(1)(A), Oct. 21, 

1986, 100 Stat. 1851; and the 

USA Patriot Act, Public Law 

107-56, Title II, Sec. 203(b)(1), 

Oct. 26, 2001, 115 Stat. 280] 

Blood Donor Locator Service 42 U.S.C., Chapter 7, 

Subchapter XI, Part A, 

Section 1320b-11 

Social Security Administration 

[Social Security Act of Aug. 14, 

1935, Ch. 531, Title XI, Sec. 

1141, as added to by Public Law 

100-647, Title VIII, Sec. 

8008(b)(1), Nov. 10, 1988, 102 

Stat. 3784; and amended by

Public Law 103-296, Title I, Sec. 

108(b)(13), Aug. 15, 1994, 108 

Stat. 1484] 

Books and Records 7 U.S.C., Chapter 26, 

Subchapter III, Section 608d 

Department of Agriculture

[Agricultural Adjustment Act, 

May 12, 1933, C h. 25, Title I, 

Sec. 8d, as added to by the 

Miller Act of Aug. 24, 1935, Ch. 

641, Sec. 6, 49 Stat. 761; and 

amended by the Agricultural 

Marketing Agreement Act of 

1937, June 3, 1937, Ch. 296, 

Sec. 1, 50 Stat. 246; the Food 

Security Act of 1985 Public Law 

99-198, Title XVI, Sec. 1663, 

Dec. 23, 1985, 99 Stat. 1631; 

and the Livestock Mandatory 

Reporting Act of 1999, Public 

Law 106-78, Title VII, Sec. 

757(b), Oct. 22, 1999, 113 Stat. 

247
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

1171] 

Bureau of Transportation 

Statistics – Prohibition of Certain 

Disclosures

49 U.S.C., Subtitle I, Chapter 

1, Section 111(i) 

Bureau of Transportation 

Statistics/Department of 

Transportation

[Public Law 102-240, Title VI, 

Sec. 6006(a), Dec. 18, 1991, 

105 Stat. 2172; amended by the 

Transportation Equity Act for

the 21st Century, Public Law 

105-178, Title V, Sec. 5109(a), 

June 9, 1998, 112 Stat. 437]

Chronic Hazard Advisory Panels 

– Information Disclosure 

15 U.S.C., Chapter 47, 

Section 2077(g) and (h) 

Consumer Product Safety 

Commission

[Consumer Product Safety Act 

of 1972, Public Law 92-573, 

Sec. 28, as added to by Public 

Law 97-35, Title XII, Sec. 

1206(a), Aug. 13, 1981, 95 Stat. 

716] 

Civil Damages for Unauthorized 

Inspection or Disclosure of 

Returns and Return Information 

26 U.S.C., Subtitle F, Chapter 

76, Subchapter B, Section 

7431 

Treasury Department/ Internal 

Revenue Service

[Tax Equity and Fiscal 

Responsibility Act of 1982, 

Public Law 97-248, Title III, Sec. 

357(a), Sept. 3, 1982, 96 Stat. 

645; amended by the Interest 

and Dividend Tax Compliance 

Act of 1983, Public Law 98-67, 

Title I, Sec. 104(b), Aug. 5, 

1983, 97 Stat. 379; Taxpayer

Relief Act of 1997, Public Law 

105-34, Title XII, Sec. 

1205(c)(2), Aug. 5, 1997, 111 

Stat. 998; Taxpayer Browsing 

Protection Act of 1997, Public 

Law 105-35, Sec. 3(a)-(d)(4), 

(6), Aug. 5, 1997, 111 Stat. 

1105, 1106; and the Taxpayer

Bill of Rights 3, Public Law 105-

206, Title III, Sec. 3101(f), Title 

VI, Sec. 6012(b)(3), July 22, 

1998, 112 Stat. 729, 819] 

Collection of Assessments; 

Refunds 

Confidentiality of Information; 

Disclosures 

7 U.S.C., Chapter 77, Section 

4608 (f)(3) and (g) 

Department of Agriculture/ 

Honey Board

[Agricultural Research, 

Extension, and Education 

248
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Reauthorization Act of 1998, 

Public Law 105-185, Title VI, 

Sec. 605(h), June 23, 1998, 112 

Stat. 597] 

Confidential Information 12 U.S.C., Chapter 6A, 

Subchapter I, Section 635i3(g)(3) 

Treasury Department/ Bank of 

the Tied Aid Credit Fund

[Export- Import Bank Act of 

1945, July 31, 1945, Ch. 341, 

Sec. 10, formerly Sec. 15, as 

added to by the Export-Import 

Bank Act Amendments of 1986, 

Public Law 99-472, Sec. 19,

Oct. 15, 1986, 100 Stat. 1205] 

Confidential Information 15 U.S.C., Chapter 16C, 

Section 796 

Department of Commerce/ 

Federal Energy Administration

[Energy Supply and 

Environmental Coordination 

Act, Public Law 93-319, Sec. 11, 

June 22, 1974, 88 Stat. 262] 

Confidential Information 19 U.S.C., Chapter 14, 

Section 2605(i) 

Treasury Department/ Cultural 

Property Advisory Committee

[Convention on Cultural 

Property Implementation Act, 

Public Law 97-446, Title III, Sec. 

306, Jan. 12, 1983, 96 Stat. 

2356] 

Confidential Information 21 U.S.C., Chapter 9, 

Subchapter VII, Part A, 

Section 379 

Department of Health and 

Human Services

[Fair Labor Standards Act, June 

25, 1938, Ch. 675, Sec. 708, as 

added to by Medical Device 

Amendments, Public Law 94-

295, Sec. 8, May 28, 1976, 90 

Stat. 582] 

Confidential Information 25 U.S.C., Chapter 29, 

Section 2716(a) 

Department of Justice/ 

Department of the Interior/ 

Bureau of Indian Affairs/ 

National Indian Gaming 

Commission

[Indian Gaming Regulatory Act, 

Public Law 100-497, Sec. 17, 

Oct. 17, 1988, 102 Stat. 2484] 

Confidential Information 30 U.S.C., Chapter 25, 

Subchapter V, Section 

1262(b) 

Environmental Protection 

Agency

[Surface Mining Control and 

Reclamation Act, Public Law 

249
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

95-87, Title V, Sec. 512, Aug. 3, 

1977, 91 Stat. 483] 

Confidential Information 42 U.S.C., Chapter 99, 

Section 9122(b) 

Department of Commerce/ 

National Oceanic and 

Atmospheric Administration

[Ocean Thermal Energy 

Conversion Act of 1980, Public 

Law 96-320, Title I, Sec. 112, 

Aug. 3, 1980, 94 Stat. 989; as 

amended by the National 

Fishing Enhancement Act of 

1984, Public Law 98-623, Title 

VI, Sec. 602(e)(3), (18), Nov. 8, 

1984, 98 Stat. 3412] 

Confidential Information; 

Circumstances Permitting

Disclosure

42 U.S.C., Chapter 23, 

Division A, Subchapter XII,

Section 2181(e) 

Department of Energy/ 

Department of Commerce/ 

Patent Office

[Public Law 87-206, Sec. 9]

Confidential Information; 

Disclosure

42 U.S.C., Chapter 65, 

Section 4912(b) 

Environmental Protection 

Agency

[Federal Noise Control Act, 

Public Law 92-574, Sec. 13,

Oct. 27, 1972, 86 Stat. 1244] 

Confidential Information; 

Disclosure Prohibited

12 U.S.C., Chapter 7A, 

Section 1141j(c) 

Treasury Department/ Farm 

Credit Administration 

[Agricultural Marketing Act, 

June 15, 1929, Ch. 24, Sec. 15, 

46 Stat. 18] 

Confidential Information; Trade 

Secrets and Secret Processes;

Information Disclosure

42 U.S.C., Chapter 6A, 

Subchapter XII, Part E, 

Section 300j-4(d)(1) 

Environmental Protection 

Agency 

[Safety of Public Water 

Systems, July 1, 1944, Ch. 373, 

Title XIV, Sec. 1445] 

Confidential Nature (Forms for 

registration and fingerprinting)

8 U.S.C., Chapter 12, 

Subchapter II, Part VII, 

Section 1304(b) 

Department of Justice/ 

Department of State/ 

Department of Homeland 

Security 

[Immigration and Nationality 

Act of June 27, 1952, Ch. 477, 

Title II, Ch. 7, Sec. 264, 66 Stat. 

224] 

Confidential Nature of Claims 38 U.S.C., Part IV, Chapter 

57, Subchapter I, Section 

5701 

(Renamed from Section 3301 

by Public Law 102-40, Title 

Veterans Administration

[Title 38 "Veterans Benefits" 

(Social Security Act §§202 and 

217), Pub. L. 85-857, Sept. 2, 

1958, 72 Stat. 1236, Sec. 3301; 

250
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

IV, Sec. 402(c)(1), May 7, 

1991, 105 Stat. 239) 

amended by Public Law 87-671, 

Sec. 2, Sept. 19, 1962, 76 Stat. 

557; Public Law 91-24, Sec. 11, 

June 11, 1969, 83 Stat. 34; 

Vietnam Era Veterans 

Readjustment Act of 1972, 

Public Law 92-540, Title IV, Sec. 

412, Oct. 24, 1972, 86 Stat. 

1093; Public Law 94-321, Sec. 

1(a), June 29, 1976, 90 Stat. 

713; Public Law 94-581, Title II, 

Sec. 210(b), Oct. 21, 1976, 90 

Stat. 2863; Veterans 

Rehabilitation and Education 

Amendments of 1980, Public 

Law 96-466, Title VI, Sec. 606, 

Oct. 17, 1980, 94 Stat. 2212; 

Court of Veterans Appeals 

Judges Retirement Act, and 

Public Law 101-94, Title III, Sec. 

302(a), Aug. 16, 1989, 103 Stat. 

628; renumbered Sec. 5701 and 

amended by Public Law 102-40, 

Title IV, Sec. 402(b)(1), (d)(1), 

May 7, 1991, 105 Stat. 238, 239; 

and amended by Public Law 

102-83, Sec. 2(c)(6), 4(a)(1), 

(2)(A)(xi), (3), (4), (b)(1), (2)(E), 

5(c)(1), Aug. 6, 1991, 105 Stat. 

402-406] 

Confidential Nature of

Information Furnished Bureau

15 U.S.C., Chapter 5, Section 

176a 

[The Postal Act of 1938, Jan. 

27, 1938, Ch. 11, Sec. 1, 52

Stat. 8] 

Department of Commerce/ 

Bureau of Foreign and 

Domestic Commerce 

Confidential Nature of Records 

(Visas)

8 U.S.C., Chapter 12, 

Subchapter II, Part III, Section 

1202(f) 

Department of State/ Department of Homeland Security 

[Immigration and Nationality 

Act of June 27, 1952, Ch. 477, 

Title II, Ch. 7, Sec. 264, 66 Stat. 

224] 

Confidential or Privileged 

Information in an Action 

Described in 28 U.S.C. Sec. 

1581(c)

Title IX, Rule 71, (c) Department of Commerce/ 

International Trade 

Commission/ 

Judiciary 

[Jurisdiction: Tariff Act of 1930] 

251
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Confidential or Privileged 

Material

19 U.S.C., Chapter 4, 

Subchapter III, Part III, 

Section 1516a(b)(2)(B) 

Department of Homeland 

Security/ Treasury Department/ 

Customs Service 

[Tariff Act of 1930, June 17, 

1930, Ch. 497, Title IV, Sec. 

516A, as added to by the Trade 

Agreements Act of 1979, Public 

Law 96-39, Title X, Sec. 

1001(a), July 26, 1979, 93 Stat. 

300] 

Confidential Records and 

Information

7 U.S.C., Chapter 6, 

Subchapter II, Section 

136e(d) 

Environmental Protection 

Agency

[Federal Insecticide, Fungicide 

and Rodenticide Act, Public

Law 95-396, Sec. 13, Sept. 30, 

1978, 92 Stat. 829] 

Confidential Reports and Other 

Additional Requirements

Title I, Section 107 Departments and 

Agencies/Inspectors General 

Confidential Status of 

Application 

7 U.S.C., Chapter 57, 

Subchapter II, Part E, Section 

2426 

Department of Agriculture/ 

Plant Variety Protection Office 

[Plant Variety Protection Act, 

Public Law 91-577, Title II, Sec. 

56, Dec. 24, 1970, 84 Stat. 1549 

amended by Public Law 96-574, 

Sec. 12, Dec. 22, 1980, 94 Stat. 

3350] 

Confidential Status of 

Applications; Publication of 

Patent Applications 

35 U.S.C., Part II, Chapter 

11, Section 122 

Department of Commerce/ 

Patent Office 

[1952 Patent Act, July 19, 1952, 

Ch. 950, 66 Stat. 801; amended 

by Public Law 93-596, Sec. 1, 

Jan. 2, 1975, 88 Stat. 1949, and 

the Inventors' Rights Act of 1999, 

Public Law 106-113, Div. B, Sec. 

1000(a)(9) (Title IV, Sec. 

4502(a)), Nov. 29, 1999, 113 

Stat. 1536, 1501A-561] 

Confidentiality 15 U.S.C., Chapter 2, 

Subchapter I, 

Section 57b-2

Department of Commerce/ 

Federal Trade Commission

[The Federal Trade 

Commission Act, Sept. 26, 

1914, Ch. 311, Sec. 21, as 

added to by the Federal Trade 

Commission Improvements Act 

of 1979, Public Law 96-252, 

Sec. 14, May 28, 1980, 94 Stat. 

252
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

385; and amended by the 

Federal Trade Commission Act 

Amendments of 1994, Public 

Law 103-312, Sec. 8, Aug. 26, 

1994, 108 Stat. 1694] 

Confidentiality 20 U.S.C., Chapter 71, 

Section 9007

Department of Education 

[Safe and Drug-Free Schools 

and Communities Act of 1994, 

Public Law 103-382, Title IV, 

Sec. 408, Oct. 20, 1994, 108 

Stat. 4034] 

Confidentiality and Informed 

Consent 

42 U.S.C., Chapter 6A, 

Subchapter XXIV, Section 

300ff-61

Health and Human 

Services/Public Health 

Service/Medical

[Ryan White Comprehensive 

AIDS Resources Emergency 

Act of 1990, Public Law 101-

381, Title III, Sec. 301(a), Aug. 

18, 1990, 104 Stat. 609] 

Confidentiality of Abused 

Person's Address 

42 U.S.C., Chapter 136, 

Subchapter III, Part B, 

Subpart 1, Section 13951 

US Postal Service

[Public Law 103-322, Title IV, 

Sec. 40281, Sept. 13, 1994, 108 

Stat. 1938] 

Confidentiality of Certain 

Medical Records, 

38 U.S.C., Part V, 

Chapter 73, Subchapter III,

Section 7332

(Renumbered by Public Law 

102-40 from Section 44132) 

Veterans Administration

[Public Law 94-581, Title I, Sec. 

111(a)(1), Oct. 21, 1976, 90

Stat. 2849, Sec. 4132; amended 

by Public Law 100-322, Title I, 

Sec. 121, May 20, 1988, 102

Stat. 502; renumbered Sec. 

7332 and amended by Public 

Law 102-40, Title IV, Sec. 

401(a)(4)(A), 402(d)(1), 

403(a)(1), (2), (4), (5), May 7, 

1991, 105 Stat. 221, 239] 

Confidentiality of Financial 

Records 

12 U.S.C., Chapter 35, 

Section 3403

Financial Data

[Right to Financial Privacy Act 

of 1978, Public Law 95-630, 

Title XI, Sec. 1103, Nov. 10, 

1978, 92 Stat. 3698; amended 

by Public Law 99-570, Title I,

Sec. 1353(a), Oct. 27, 1986, 100

Stat. 3207-21; and Public Law 

100-690, Title VI, Sec. 6186(a), 

Nov. 18, 1988, 102 Stat. 4357] 

253
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Confidentiality of Information 7 U.S.C., Chapter 55, Section 

2276 

Department of Agriculture

[Food Security Act of 1985, 

Public Law 99-198, Title XVII, 

Sec. 1770, Dec. 23, 1985, 99 

Stat. 1657; Public Law 105-113, 

Sec. 4(a)(2), (b), Nov. 21, 1997, 

111 Stat. 2276; Public Law 106-

113, Div. B, Sec. 1000(a)(3) 

(Title III, Sec. 348), Nov. 29, 

1999, 113 Stat. 1535, 1501A207] 

Confidentiality of Information 18 U.S.C., Part II, Chapter 

223, Section 3509(d)(1) 

Criminal Procedure: Child 

Victims & Child Witnesses 

Rights

[Crime Control Act of 1990, 

Public Law 101-647, Title II, 

Sec. 225(a), Nov. 29, 1990, 104 

Stat. 4798; amended by Public 

Law 103-322, Title XXXIII, Sec. 

330010(6), (7), 330011(e), 

330018(b), Sept. 13, 1994, 108 

Stat. 2143, 2145, 2149] 

Confidentiality of Information 22 U.S.C., Chapter 75, 

Section 6744

State Department

[Chemical Weapons 

Convention Implementation 

Act of 1998, Public Law 105-

277, Div. I, Title IV, Sec. 404, 

Oct. 21, 1998, 112 Stat. 2681-

882] 

Confidentiality of Medical 

Quality Assurance Records Chapter 57, Subchapter I, 

Section 5705

38 U.S.C., Part IV, 

(Renumbered by Public Law 

102-40 from Section 3305)

Department of Veterans Affairs 

[Veterans' Disability 

Compensation and Housing 

Benefits Amendments of 1980, 

Public Law 96-385, Title V, Sec. 

254
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

505(a), Oct. 7, 1980, 94 Stat. 

1535, Sec. 3305; amended by 

Veterans' Administration 

Health-Care Amendments of 

1985, Public Law 99-166, title II, 

Sec. 201, Dec. 3, 1985, 99 Stat. 

949; amended and renumbered 

by Department of Veterans

Affairs Physicians' and Dentists' 

Compensation and LaborRelations Act of 1991, Public 

Law 102-40, Title IV, Sec. 

402(b)(1), 403(b)(2), May 7, 

1991, 105 Stat. 238, 239; 

amended by the Veterans Loans 

bill, Public Law 102-54, Sec. 

14(d)(4), June 13, 1991, 105

Stat. 285 and the Department 

of Veterans Affairs Codification 

Act, Public Law 102-83, Sec. 

4(a)(2)(F), (3), (4), (b)(1), (2)(E), 

Aug. 6, 1991, 105 Stat. 404, 

405] 

Confidentiality of Medical 

Quality Assurance Records: 

Qualified Immunity for 

Participants 

10 U.S.C., Subtitle A, Part II, 

Chapter 55, 

Section 1102

Department of Defense

[National Defense 

Authorization Act for Fiscal 

Year 1987, Public Law 99-661, 

Div. A, Title VII, Sec. 

705(a)((1)), Nov. 14, 1986, 100 

Stat. 3902] 

Confidentiality of Records 42 U.S.C., Chapter 6A, 

Subchapter III-A, Part D, 

Section 290dd-2 

Public Health Service

[ADAMHA Reorganization Act, 

Public Law 102-321] 

Counterintelligence Access to

Telephone Toll and 

Transactional Records 

18 U.S.C., Part I, 

Chapter 121, Section 2709

[Communications 

Assistance for Law 

Enforcement Act, Public Law 

99-508, Title II, Sec. 201((a)), 

Oct. 21, 1986, 100 Stat. 1867] 

Department of Justice/ Federal 

Bureau of 

Investigation/Communication 

Service Providers

Critical Infrastructure 

Information 

6 U.S.C., Chapter 1 Department of Homeland 

Security 

[Critical Infrastructure

Information Protection Act of 

255
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

2002, Public Law 107-296, 

Title II, Subtitle B, Sec. 211-

215]

Crop Insurance - Purpose; 

Definitions; Protection of 

Information; Relation to Other 

Laws 

7 U.S.C., Chapter 36, Section 

1502 

Department of Agriculture

[Agriculture Risk Protection 

Act of 2000, Public Law 106-

224, Title I, Sec. 122, 141, June 

20, 2000, 114 Stat. 377, 389] 

Cultural Property Advisory 

Committee 

19 U.S.C., Chapter 14, 

Section 2605

Treasury Department/ 

Department of Homeland 

Security

[Convention on Cultural 

Property Implementation Act, 

Public Law 97-446, Title III, Sec. 

306, Jan. 12, 1983, 96 Stat. 

2356] 

Data Collection Authority of 

President 

[Defense Conversion, 

Reinvestment, and Transition 

Assistance Act of 1992, 

PublicLaw 102-484, Div. D, 

Title XLII, Sec. 4217, Oct. 23, 

1992, 106 Stat. 2670; amended 

by Defense Conversion, 

Reinvestment and Transition 

Assistance Amendments of 

1993, Public Law 103-160, Div. 

A, Title XI, Sec. 1182(b)(1), 

Nov. 30, 1993, 107 Stat. 1772] 

10 U.S.C., Subtitle A, Part IV, 

Chapter 148, Subchapter II, 

Section 2507

Department of Defense/ 

National Defense Technology 

and Industrial Base Council

Disclosure, Availability, and Use 

of Information

49 U.S.C., Subtitle II, Chapter 

11, Subchapter II, Section 

1114 

National Transportation Safety 

Board

[Public Law 103-272, Sec. 1(d), 

July 5, 1994, 108 Stat. 749;

amended by National 

Transportation Safety Board 

Amendments of 1996, Public 

Law 104-291, title I, Sec. 102, 

103, Oct. 11, 1996, 110 Stat. 

3452] 

Disclosure of Confidential 

Information Generally 

18 U.S.C., Part I, Chapter 93, 

Section 1905

[Judiciary and Judicial 

Procedures Act, June 25, 1948, 

Ch. 645, 62 Stat. 791 as 

amended by Public Law 96-349, 

Sec. 7(b), Sept. 12, 1980, 94

256
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Stat. 1158; Public Law 102-550, 

Title XIII, Sec. 1353, Oct. 28, 

1992, 106 Stat. 3970; and Public 

Law 104-294, Title VI, Sec. 

601(a)(8), Oct. 11, 1996, 110 

Stat. 3498] 

Disclosure of Data 15 U.S.C., Chapter 53, 

Subchapter 1, Section 2613

Environmental Protection 

Agency

[Toxic Substances Control Act, 

Public Law 94-469, Title I, Sec. 

14, Oct. 11, 1976, 90 Stat. 

2034; (Renumbered Title I, 

Public Law 99-519, Sec. 3(c)(1), 

Oct. 22, 1986, 100 Stat. 2989)] 

Disclosure of Information 29 U.S.C., Chapter 22, 

Section 2008

Polygraph 

[Employee Polygraph 

Protection Act of 1988, Public 

Law 100-347, Sec. 9, June 27, 

1988, 102 Stat. 652] 

Disclosure of Information by 

Commission 

15 U.S.C., Chapter IID, 

Subchapter II, 

Section 80b-10

Securities and Exchange 

Commission

[The Investment Company Act 

of 1940, Aug. 22, 1940, Ch. 

686, Title II, Sec. 210, 54 Stat. 

854; Investment Advisers Act of 

1940 Amendment, Public Law 

86-750, Sec. 13, Sept. 13, 1960, 

74 Stat. 887; and International 

Securities Enforcement 

Cooperation Act of 1990, 

Public Law 101-550, title II, Sec. 

202(b)(2), Nov. 15, 1990, 104 

Stat. 2715] 

Disclosure of Information in 

Possession of Social Security 

Administration or Department 

of Health and Human Services 

Social Security 

Administration/Department of 

Health and Human 

Services/Public Health Service 

42 U.S.C. Chapter 7, 

Subchapter XI, Part A, 

Section 1306

[Social Security Act of Aug. 14, 

1935, Ch. 531, Title XI, Sec. 

1106, as added Aug. 10, 1939, 

Ch. 666, Title VIII, Sec. 802, 53 

Stat. 1398 amended Aug. 28, 

1950, Ch. 809, Title IV, Sec. 

403(d), 64 Stat. 559; 

Public Law 85-840, Title VII,

Sec. 701, Aug. 28, 1958, 72 Stat. 

257
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

1055;Public Law 89-97, Title I, 

Sec. 108(c), Title III, Sec. 340, 

July 30, 1965, 79 Stat. 339, 411; 

Public Law 90-248, Title I, Sec. 

168, Title II, Sec. 241(c)(1), Jan. 

2, 1968, 81 Stat. 875, 917; 

Public Law 92-603, Title II, Sec. 

249C(a), Oct. 30, 1972, 86 Stat. 

1428; Public Law 93-647, Sec. 

101(d), Jan. 4, 1975, 88 Stat. 

2360; Public Law 97-35, Title 

XXII, Sec. 2207, Aug. 13, 1981, 

95 Stat. 838; Public Law 98-369, 

Div. B, Title VI, Sec. 

2663(j)(2)(D)(ii), (l), July 18, 

1984, 98 Stat. 1170, 1171; 

Public Law 103-296, Title I, Sec. 

108(b)(2)-(5), Title III, Sec. 

311(a), 313(a), Aug. 15, 1994, 

108 Stat. 1481, 1482, 1525,

1530] 

Disclosure of Wagering Tax

Information 

26 U.S.C., Subtitle D, 

Chapter 35, Subchapter C, 

Section 4424

Treasury Department

[Public Law 93-499, Sec. 

3(c)(1), Oct. 29, 1974, 88 Stat. 

1550; amended by the Tax 

Reform Act of 1976, Public Law 

94-455, Title XII, Sec. 

1202(h)(6), Title XIX, Sec. 

1906(b)(13)(A), Oct. 4, 1976, 

90 Stat. 1688, 1834] 

Disclosures to FBI for 

Counterintelligence Purposes

15 U.S.C., Chapter 41, 

Subchapter III, 

Section 1681u

[Fair Credit Reporting Act, 

Public Law 90-321, Title VI, Sec. 

625, formerly Sec. 624, as 

added to by the Intelligence

Authorization Act for Fiscal 

Year 1996, Public Law 104-93, 

Title VI, Sec. 601(a), Jan. 6, 

1996, 109 Stat. 974; 

renumbered Sec. 625 and 

amended by the USA Patriot 

Act, Public Law 107-56, Title III, 

Sec. 358(g)(1)(A), Title V, Sec. 

505(c), Oct. 26, 2001, 115 Stat. 

327, 366] 

Disclosure to Foreign Antitrust 

Authority of Antitrust Evidence 

15 U.S.C., Chapter 88, 

Section 6201

Department of Justice/Federal 

Trade Commission

[International Antitrust 

258
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Enforcement Assistance Act of 

1994, Pub. L. 103-438, Sec. 2, 

Nov. 2, 1994, 108 Stat. 4597] 

Disclosures to Government

Agencies for Counterterrorism

Purposes

15 U.S.C., Chapter 41, 

Subchapter III, 

Section 1681v 

Department of Homeland 

Security/Counterterrorism

[Fair Credit Reporting Act, 

Public Law 90-321, Title VI, Sec. 

626; as added to by the USA 

Patriot Act, Public Law 107-56, 

Title III, Sec. 358(g)(1)(B), Oct. 

26, 2001, 115 Stat. 327] 

Disposition of Rights 

Section 202(c)(5) 

Department of Commerce 

Patent Rights 

35 U.S.C., Part II, 

Chapter 18, 

[Government Patent Policy Act 

of 1980, Public Law 96-517, 

Sec. 6(a), Dec. 12, 1980, 94

Stat. 3020; amended by the 

Trademark Clarification Act of 

1984, Public Law 98-620, Title 

V, Sec. 501(6), Nov. 8, 1984, 98 

Stat. 3364-3366] 

Dissemination of Unclassified

Information 

42 U.S.C., Chapter 23, 

Division A, Subchapter XI,

Section 2168

Department of Energy 

[Atomic Energy Act of Aug. 1, 

1946, Ch. 724, Title I, Sec. 148, 

as added to by Public Law 97-

90, Title II, Sec. 210(a)(1), Dec. 

4, 1981, 95 Stat. 1169 and 

amended by Public Law 97-415, 

Sec. 17, Jan. 4, 1983, 96 Stat. 

2076; renumbered Title I, 

Public Law 102-486, Title IX, 

Sec. 902(a)(8), Oct. 24, 1992, 

106 Stat. 2944] 

Employees of Nonappropriated 

Fund Instrumentalities: Reprisals 

10 U.S.C., Subtitle A, Part II, 

Chapter 81, Section 1587(e) 

Department of Defense

[Department of Defense 

Authorization Act, 1984, Public 

Law 98-94, Title XII, Sec. 

1253(a)(1), Sept. 24, 1983, 97 

Stat. 699; amended by the 

National Defense Authorization 

Act for Fiscal Year 1996, Public 

Law 104-106, Div. A, Title IX, 

Sec. 903(f)(3), Title X, Sec. 

1040(a)-(d)(1), Feb. 10, 1996, 

110 Stat. 402, 433] 

259
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Equal Employment 

Opportunities Enforcement 

Provisions

42 U.S.C., Chapter 21, 

Subchapter 6, Section 2000e5 

Equal Employment 

Opportunities Commission

[Civil Rights Act of 1964, Public 

Law 88-352, Title VII, Sec. 706, 

July 2, 1964, 78 Stat. 259]

Evidence, Procedure, and 

Certification for Payments 

42 U.S.C., Chapter 7, 

Subchapter II, Section 405

Social Security Numbers 

[Social Security Act of Aug. 14, 

1935, Ch. 531, Title II, Sec. 205, 

49 Stat. 624 as amended (e.g., 

Public Law 93-445 Title III, Sec. 

302(a), 303, Oct. 16, 1974, 88 

Stat. 1358 and Public Law 101-

624, Title XVII, Sec. 1735(a), 

(b), Title XXII, Sec. 2201(b), (c), 

Nov. 28, 1990, 104 Stat. 3791, 

3792, 3951, 3952)] 

260
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Family Educational and Privacy 

Rights 

20 U.S.C., Chapter 31, 

Section 1232g 

Department of Education, 

Students 

[Elementary and Secondary

Education Amendments of 

1967, Public Law 90-247, Title 

IV, Sec. 444, formerly Sec. 438, 

as added to by Elementary and 

Secondary Education 

Amendments Act of 1974, 

Public Law 93-380, Title V, Sec. 

513(a), Aug. 21, 1974, 88 Stat. 

571; amended by Public Law 

93-568, Sec. 2(a), Dec. 31, 

1974, 88 Stat. 1858; Public Law 

96-46, Sec. 4(c), Aug. 6, 1979, 

93 Stat. 342; the Student RightTo-Know and Campus Security 

Act of 1990, Public Law 101-

542, Title II, Sec. 203, Nov. 8, 

1990, 104 Stat. 2385 

Pub. L. 102-325, Title XV, Sec. 

1555(a), July 23, 1992, 106 Stat. 

840; renumbered Sec. 444 and 

amended by Public Law 103-

382, Title II, Sec. 212(b)(1), 249, 

261(h), Oct. 20, 1994, 108 Stat. 

3913, 3924, 3928; amended by 

the Higher Education 

Amendments of 1998, Public 

Law 105-244, Title IX, Sec. 951, 

952, Oct. 7, 1998, 112 Stat. 

1835, 1836 and the Campus 

Sex Crimes Prevention Act, 

Public Law 106-386, Div. B, 

Title VI, Sec. 1601(d), Oct. 28, 

2000, 114 Stat. 1538] 

Federal Parent Locator Service 42 U.S.C., Chapter 7, 

Subchapter IV, Part D, 

Section 653(b)(2) 

Department of Health and 

Human Services

[Social Security Act of Aug. 14, 

1935, Ch. 531, Title IV, Sec. 

453, as added Public Law 93-

647, Sec. 101(a), Jan. 4, 1975, 

88 Stat. 2353 and amended by 

Public Law 105-33, Sec. 

5534(a)(2)] 

261
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Fraud and Related Activity in

Connection with Computers 

18 U.S.C., Part D, Chapter 

47, Section 1030(a)(3) 

[Computer Fraud and Abuse 

Act of 1986, Public Law 99-474, 

Sec. 2, Oct. 16, 1986, 100 Stat. 

1213; as amended by the 

National Information 

Infrastructure Protection Act of 

1996, Public Law 104-294, Title 

II, Sec. 201, Title VI, Sec. 

604(b)(36), Oct. 11, 1996, 110 

Stat. 3491, 3508] 

Fund for Rural America 7 U.S.C., Chapter 55, Section 

2204f(c)(1)(D) 

Department of Agriculture, 

Treasury Department

[Federal Agriculture 

Improvement and Reform Act 

of 1996, Public Law 104-127, 

Title VII, Sec. 793, Apr. 4, 1996, 

110 Stat. 1152] 

General Provisions 7 U.S.C., Chapter 38, 

Subchapter II, Part E, Section 

1636 

Department of Agriculture 

Livestock Reporting

[The Farmers' Home 

Administration Act of 1946, 

Aug. 14, 1946, Ch. 966, Title II, 

Sec. 251, as added to by the 

Agricultural Appropriations Act 

of 1999, Public Law 106-78, 

Title IX, Sec. 911(2), Oct. 22, 

1999, 113 Stat. 1200] 

General Provisions Governing 

Discovery 

Title V, Depositions and 

Discovery, Rule 26 (a)(1)(E) 

and (c) 

International Trade Courts

[Rules and Forms of the U.S. 

Court of International Trade, 

Title V, Rule 26] 

General Provisions Respecting 

Control of Devices Intended for 

Human Use 

21 U.S.C., Chapter 9, 

Subchapter V, Part A, Section 

360j 

Department of Health and

Human Services

[Fair Labor Standards Act, June 

25, 1938, Ch. 675, Sec. 520, as 

added to by the Medical Device 

Regulation Act, Public Law 94-

295, Sec. 2, May 28, 1976, 90 

Stat. 565] 

General Rules Regarding 

Provision of Assistance 

7 U.S.C., Chapter 88, 

Subchapter VI, Section 

5906(d) 

Department of Agriculture/ 

Alternative Agricultural 

Research and 

Commercialization 

Corporation

[Food, Agriculture, 

Conservation, and Trade Act of 

262
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

1990, Public Law 101-624, Title 

XVI, Sec. 1662, Nov. 28, 1990, 

104 Stat. 3764] 

Identifying Numbers 

6109 

Internal Revenue Service 

26 U.S.C., Subtitle F, Chapter 

61 Subchapter B, Section 

Department of Agriculture 

[The Internal Revenue Code

Amendment of 1961, Public 

Law 87-397, Sec. 1(a), Oct. 5, 

1961, 75 Stat. 828; amended by 

the Social Security 

Independence and Program 

Improvements Act of 1994, 

Public Law 103-296, Title III, 

Sec. 316(b), Aug. 15, 1994, 108 

Stat. 1532; and the Minimum 

Wage Increase Act of 1996, 

Public Law 104-188, Title I, Sec. 

1615(a)(2)(A), 1704(t)(42), Aug. 

20, 1996, 110 Stat. 1853, 1889]

Information 30 U.S.C., Chapter 29, 

Section 1733

Department of the Interior

[Federal Oil and Gas Royalty 

Management Act of 1982, 

Public Law 97-451, Title II, Sec. 

203, Jan. 12, 1983, 96 Stat. 

2458] 

Information Collection 16 U.S.C., Chapter 38, 

Subchapter V, 

Section 1881a 

Department of Commerce 

Fisheries

[Interim Fisheries Zone 

Extension and Management Act, 

Public Law 94-265, Title IV, Sec. 

402, as added to by the 

Fisheries Financing Act of1996, 

Public Law 104-297, Title II, 

Sec. 203, Oct. 11, 1996, 110 

Stat. 3607] 

Inspector General for Agency 50 U.S.C., Chapter 15, 

Section 403q(e)(3)(A) 

Central Intelligence Agency

[Central Intelligence Agency 

Act of 1949, June 20, 1949, Ch. 

227, Sec. 17, as added to by

Pub. L. 102-496, Title VI, Sec. 

601, Oct. 24, 1992, 106 Stat. 

3187; and amended by the 

Intelligence Authorization Act 

for Fiscal Year 1993, Public Law 

104-93, Title IV, Sec. 403, Jan. 

6, 1996, 109 Stat. 969] 

263
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Interagency Data Sharing 12 U.S.C., Chapter 16, 

Section 1828b 

Treasury Department

[Gramm-Leach-Bliley Act,

Public Law 106-102, Title I, Sec. 

132, Nov. 12, 1999, 113 Stat. 

1382] 

Interception and Disclosure of 

Wire, Oral, or Electronic 

Communications Prohibited

[Omnibus Crime Control and 

Safe Streets Act of 1968, Public 

Law 90-351, Title III, Sec. 802, 

June 19, 1968, 82 Stat. 213

amended by District of 

Columbia Court Reform and 

Criminal Procedure Act of

1970, Public Law 91-358, Title 

II, Sec. 211(a), July 29, 1970, 84 

Stat. 654; Foreign Intelligence 

Surveillance Act of 1978,Public 

Law 95-511, Title II, Sec. 

201(a)-(c), Oct. 25, 1978, 92 

Stat. 1796, 1797; Cable 

Communications Policy Act of 

1984, Public Law 98-549, Sec. 

6(b)(2), Oct. 30, 1984, 98 Stat. 

2804; Electronic 

Communications Privacy Act of 

1986, Public Law 99-508, Title I, 

Sec. 101(b), (c)(1), (5), (6), (d), 

(f)((1)), 102, Oct. 21, 1986, 100 

Stat. 1849, 1851-1853; Violent 

Crime Control Law 

Enforcement Act of 1994, 

Public Law 103-322, Title 

XXXII, Sec. 320901, Title 

XXXIII, Sec. 330016(1)(G), 

Sept. 13, 1994, 108 Stat. 2123, 

2147; Communications 

Assistance for Law 

Enforcement Act, 

Public Law 103-414, Title II, 

Sec. 202(b), 204, 205, Oct. 25, 

1994, 108 Stat. 4290, 4291;

Public Law 104-294, Title VI, 

Sec. 604(b)(42), Oct. 11, 1996, 

110 Stat. 3509; and the USA 

Patriot Act, Public Law 107-56, 

Title II, Sec. 204, 217(2), Oct. 

26, 2001, 115 Stat. 281, 291] 

18 U.S.C., Part I, Chapter 

119, Section 2511 

Wire Taps

264
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Inspector General 22 U.S.C., Chapter 52, 

Subchapter II, 

Section 3929(f) 

State Department

[Foreign Service Act of 1980, 

Public Law 96-465, Title I, Sec. 

209, Oct. 17, 1980, 94 Stat. 

2080] 

Investigations 42 U.S.C., Chapter 21, 

Subchapter VI, 

Section 2000e-8 

Equal Employment Opportunity 

Commission

[Public Law 88-352, Title VII, 

Sec. 709, July 2, 1964, 78 Stat. 

262 and Public Law 92-261, Sec. 

6, Mar. 24, 1972, 86 Stat. 107] 

Jurisdiction 28 U.S.C., Part III, 

Chapter 44, Section 652(d) 

Courts

[Judicial Improvements and 

Access to Justice Act, Public 

Law 100-702, Title IX, Sec. 

901(a), Nov. 19, 1988, 102 Stat. 

4659; amended by the 

Alternative Dispute Resolution 

Act of 1998, Public Law 105-

315, Sec. 4, Oct. 30, 1998, 112 

Stat. 2994] 

Limitations on access to 

financial records 

38 U.S.C., Part IV, 

[Veterans' Benefits Act of 1992, 

Public Law 102-568, Title VI, 

Sec. 603(b)(1), Oct. 29, 1992, 

106 Stat. 4342] 

Chapter 53, Section 5319 

Department of Veterans Affairs

Maps, Charts, and Geodetic 

Data: Public Availability; 

Exceptions 

10 U.S.C., Subtitle A, 

Part I, Chapter 22,

Subchapter II, Section 455

Department of Defense

[Intelligence Authorization Act, 

Fiscal Year 1991, Public Law 

102-88, Title V, Sec. 502(a)(1), 

Aug. 14, 1991, 105 Stat. 435, 

Sec. 2796; amended by the 

National Imagery and Mapping 

Agency Act of 1996, Public Law 

104-201, Div. A, Title XI, Sec. 

1112(b), Sept. 23, 1996, 110 

Stat. 2682; and the National 

Defense Authorization Act for 

Fiscal Year 1998, Public Law 

105-85, Div. A, Title IX, Sec. 

933(a), (b)(1), Nov. 18, 1997, 

111 Stat. 1866] 

Miscellaneous Provisions 12 U.S.C., Chapter 7A, 

Section 1141j

Farm Credit 

Administration/Treasury 

Department 

265
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

[Agricultural Marketing Act, 

June 15, 1929, Ch. 24, Sec. 15, 

46 Stat. 18] 

National Program of Cancer 

Registries 

42 U.S.C., Chapter 6A, 

Subchapter II, Part M, Section 

280e 

Department of Health and 

Human Services/Public Health 

Service

[Public Health Service Act of 

July 1, 1944, Ch. 373, Title III, 

Sec. 399B, formerly Sec. 399H, 

as added Public Law 102-515, 

Sec. 3, Oct. 24, 1992, 106 Stat. 

3372 

renumbered Sec. 399B and 

amended by Public Law 106-

310, Div. A, Title V, Sec. 

502(2)(A), (B), Oct. 17, 2000, 

114 Stat. 1115] 

Noncombatant Assistance to 

United Nations 

22 U.S.C., Chapter 7, Section 

287d-1(d) 

State Department 

[United Nations Participation 

Act of 1945, Dec. 20, 1945, ch. 

583, Sec. 7, as added Oct. 10, 

1949, Ch. 660, Sec. 5, 63 Stat. 

735] 

Notice of Defendant's Intention 

to Disclose Classified

Information 

18 U.S.C., Unlawful 

Possession or Receipt of Fire 

Arms, 

Section 1201 to 1203, 

Interstate Agreement on 

Detainers, Sec. 5 

Courts 

[Classified Information Criminal 

Trial Procedures Act, Public 

Law 96-456, Sec. 5, Oct. 15, 

1980, 94 Stat. 2026] 

Obligation to Make Royalty 

Payments 

17 U.S.C., Chapter 10, 

Subchapter C, 

Section 1003(c)(2) 

Department of Commerce

[Audio Home Recording Act of 

1992, Public Law 102-563, Sec. 

2, Oct. 28, 1992, 106 Stat. 

4240] 

Obligations With Respect to 

Disclosures of Personal 

Information 

15 U.S.C., Chapter 94, 

Subchapter I, Section 6802

Financial

[Gramm-Leach-Bliley Act a.k.a. 

Financial Modernization Act of 

1999, Public Law 106-102, Title 

V, Sec. 502, Nov. 12, 1999, 113 

Stat. 1437] 

Patents and Technical 

Information 

22 U.S.C., Chapter 32, 

Subchapter III, Part I, Section 

2356 

Department of State 

[Foreign Assistance Act of

1961, Public Law 87-195, Pt. III, 

Sec. 606, Sept. 4, 1961, 75 Stat. 

440] 

Department of Defense

266
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Paul D. Coverdell Drug-Free 

Workplace Program 

15 U.S.C., Chapter 14A, 

Section 654(c) 

Medical Information

[Small Business Act, Public Law 

85-536, Sec. 2(27), as added to 

by the Small Business 

Administration Reauthorization 

and Amendments Act of 1990, 

Public Law 101-574, Title III, 

Sec. 310, Nov. 15, 1990, 104 

Stat. 2831] 

Payment of Cost of Testing for 

Sexually Transmitted Diseases 

42 U.S.C., Chapter 136, 

Subchapter III, Part E, Section 

14011 

Law Enforcement

[Violence Against Women Act 

of 1994, Public Law 103-322, 

Title IV, Sec. 40503, Sept. 13, 

1994, 108 Stat. 1946 and Public 

Law 104-294, Title VI, Sec. 

604(b)(1), Oct. 11, 1996, 110 

Stat. 3506] 

Penalties for Disclosure of 

Information

8 U.S.C., Chapter 12, 

Subchapter II, Part IX, 

Section 1367

Department of Justice

[Illegal Immigration Reform and 

Immigrant Responsibility Act of 

1996, Public Law 104-208, Div. 

C, Title III, Sec. 308(g)(8)(D), 

384, Sept. 30, 1996, 110 Stat. 

3009-624, 3009-652; as 

amended by Public Law 105-33, 

Title V, Sec. 5572(b), Aug. 5, 

1997, 111 Stat. 641; and Public 

Law 106-386, Div. B, Title V, 

Sec. 1513(d), Oct. 28, 2000, 

114 Stat. 1536] 

Permissive Provisions 7 U.S.C., Chapter 79, Section 

4810 

Department of Agriculture

[Food Security Act of 1985, 

Public Law 99-198, Title XVI, 

Sec. 1621, Dec. 23, 1985, 99 

Stat. 1617] 

Permissive Terms and 

Conditions in Orders 

Department of Agriculture/ Egg 

Board 

7 U.S.C., Chapter 60, Section 

2706 

[Egg Research and Consumer 

Information Act, Public Law 93-

428, Sec. 7, Oct. 1, 1974, 88 

Stat. 1173] 

Petroleum Product Information 33 U.S.C., Chapter 12, 

Subchapter I, 

Section 555a(d) 

Army Corps of Engineers/ 

Department of Defense

[Water Resources 

Development Act of 1986, 

Public Law 99-662, Title IX, 

267
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Sec. 919, Nov. 17, 1986, 100 

Stat. 4192] 

Physical Protection of Special 

Nuclear Material: Limitation on 

Dissemination of Unclassified 

Information 

10 U.S.C., Subtitle A, Part I, 

Chapter 3, Section 128 

Department of Energy

[Department of Energy 

National Security and Military 

Applications of Nuclear Energy 

Authorization Act of 1988, 

Public Law 100-180, Div. A, 

Title XI, Sec. 1123(a), Dec. 4, 

1987, 101 Stat. 1149 as 

amended by the National 

Defense Authorization Act 

for Fiscal Year 1991, Public 

Law, Div. A, Title XIII, Sec.

1311(1), Nov. 5, 1990, 104 Stat. 

1669] 

Privacy 15 U.S.C., Chapter 94 Privacy 

[Gramm-Leach-Bliley Act a.k.a. 

Financial Modernization Act of 

1999, Public Law 106-102, Nov. 

12, 1999] 

Privacy 5 U.S.C., Part I, Chapter 5,

Subchapter II, Section 552a

(Administrative Procedure) 

Privacy 

[Privacy Act of 1974, Public 

Law 93-579, Dec. 31, 1974] 

Prohibition on Release and Use 

of Certain Personal Information 

from State Motor Vehicle 

Records 

18 U.S.C., Part I, Chapter 

123, Section 2721 

States

[Driver's Privacy Protection

Act of 1994, Public Law 103-

322, Title XXX, Sec. 300002(a), 

Sept. 13, 1994, 108 Stat. 2099 

amended by Public Law 106-69, 

Title III, Sec. 350(c), (d), Oct. 9, 

1999, 113 Stat. 1025; and Public 

Law 106-346, Sec. 101(a) (Title 

III, Sec. 309(c)-(e)), Oct. 23, 

2000, 114 Stat. 1356, 1356A24] 

Program Requirements 42 U.S.C., Chapter 13, 

Section 1758

Department of Agriculture/ 

Public Health Service

[Better Nutrition and Health 

for Children Act of 1994, Public 

Law 103-448, Sec. 108] 

Prohibition Against Disclosure of 

Information 

42 U.S.C., Chapter 7, 

Subchapter XI, Part B, 

Section 1320c-9 

Department of Health and 

Human Services/ Public Health 

Service/ Social Security 

Administration

[Social Security Act of Aug. 14, 

268
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

1935, Ch. 531, Title XI, Sec. 

1160, as added to by Public Law 

97-248, Title I, Sec. 143, Sept. 

3, 1982, 96 Stat. 391 and 

amended by Public Law 99-509, 

Title IX, Sec. 9353(d)(1), Oct. 

21, 1986, 100 Stat. 2047; Public 

Law 100-203, Title IV, Sec. 

4039(h)(6), Dec. 22, 1987, as 

added to by Public Law 100-

360, Title IV, Sec. 411(e)(3), July 

1, 1988, 102 Stat. 776; Public 

Law 101-508, Title IV, Sec. 

4205(d)(1)(B), (e)(1), Nov. 5, 

1990, 104 Stat. 1388-113, 1388-

114; Public Law 103-432, Title I, 

Sec. 156(b)(2)(B), (4), Oct. 31, 

1994, 108 Stat. 4441] 

Prohibition of Advance 

Disclosure of Funding Decisions 

42 U.S.C., Chapter 44, 

Section 3537a 

[Department of Housing and 

Urban Development Act, Public 

Law 89-174, Sec. 12, as added 

to by Pub. L. 101-235, Title I, 

Sec. 103, Dec. 15, 1989, 103 

Stat. 1995] 

Department of Housing and 

Urban Development

Prohibition Against Disclosure of 

Information or Knowledge 

22 U.S.C., Chapter 7, Section 

287t 

International Monetary Fund 

[Participation in UNESCO, July 

30, 1946, Ch. 700, Sec. 8, 60 

Stat. 714] 

Prohibition of Public Disclosure

of Proprietary Information

12 U.S.C., Chapter 46, 

Section 4546

Treasury Department

[Federal Housing Enterprises 

Financial Safety and 

Soundness Act of 1992, Public 

Law 102-550, Title XIII, Sec. 

1326, Oct. 28, 1992, 106 Stat. 

3955] 

Protection of Trade Secrets and 

Other Information 

7 U.S.C., Chapter 6, 

Subchapter II, 

Section 136h

Department of Agriculture/ 

Environmental Protection 

Agency

[Federal Insecticide, Fungicide, 

and Rodenticide Act, June 25, 

1947, Ch. 125, Sec. 10, as 

added to by Public Law 92-516, 

Sec. 2, Oct. 21, 1972, 86 Stat. 

989; amended by the Federal 

269
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Pesticide Act of 1995, Public 

Law 95-396, Sec. 15, Sept. 30, 

1978, 92 Stat. 829; Public Law 

98-620, Title IV, Sec. 402(4) (B), 

Nov. 8, 1984, 98 Stat. 3357; 

Public Law 100-532, Title VIII, 

Sec 801(f), Oct. 25, 1988, 102 

Stat. 2682; and Public Law 102-

237, Title X, Sec. 1006(b)(1), 

(2), (3)(J), Dec. 13, 1991, 105 

Stat. 1895, 1896]. 

Provision of Certain Counseling 

Services 

42 U.S.C., Chapter 6A, 

Subchapter XXIV, 

Section 300ff-62 

Department of Health and 

Human Services/Public Health 

Service

[Ryan White Comprehensive 

AIDS Resources Emergency 

Act of 1990, Public Law 101-

381, Title III, Sec. 301(a), Aug. 

18, 1990, 104 Stat. 610] 

Provisions 22 U.S.C., Chapter 58, 

Subchapter III, 

Section 4833

State Department

[Omnibus Diplomatic Security 

and Antiterrorism Act of 1986, 

Public Law 99-399, Title III, Sec. 

303, Aug. 27, 1986, 100 Stat. 

859] 

Provisions Relating to 

Disclosures of 

Violations of Law, Gross 

Mismanagement, and Certain 

Other Matters

5 U.S.C., Part II, 

Chapter 12, Subchapter II, 

Section 1213(h) 

Office of Personnel 

Management

[Whistleblower Protection Act 

of 1989, Public Law 101-12, 

Sec. 3(a)(13), Apr. 10, 1989, 

103 Stat. 21; as amended by the 

General Accounting Office Act 

of 1996, Public Law 104-316, 

Title I, Sec. 103(a), Oct. 19, 

1996, 110 Stat. 3828] 

Public Access to Information 33 U.S.C., Chapter 29, 

Section 1513

Department of Transportation/ 

Department of Homeland 

Security

[Public Law 93-627, Sec. 14, Jan. 

3, 1975, 88 Stat. 2139] 

Public Disclosure 7 U.S.C., Chapter 1, Section 

12 

Commodity Futures Trading 

Commission

[Grain Futures Act of Sept. 21, 

1922, Ch. 369, Sec. 8, 42 Stat. 

1003; amended by the 

Commodity Exchange Act of 

270
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

June 15, 1936, Ch. 545, Sec. 2, 

49 Stat. 1491; Public Law 90-

258, Sec. 19(a), Feb. 19, 1968, 

82 Stat. 32; Commodity Futures 

Trading Commission Act, Public 

Law 93-463, Title I, Sec. 103(a), 

(e), Oct. 23, 1974, 88 Stat. 

1392; Public Law 95-405, Sec. 

16, Sept. 30, 1978, 92 Stat. 873; 

Futures Trading Act of 1982, 

Public Law 97-444, Title II, Sec. 

222, Jan. 11, 1983, 96 Stat. 

2309; Futures Trading Practices 

Act of 1992, Public Law 102-

546, Title II, Sec. 205, Title III, 

Sec. 304, 305, Title IV, Sec. 

402(7), Oct. 28, 1992, 106 Stat. 

3600, 3623, 3624; and Public 

Law 106-554, Sec. 1(a)(5) (Title 

I, Sec. 123(a)(18), Title II, Sec. 

253(a)), Dec. 21, 2000, 114

Stat. 2763, 2763A-410, 2763A449] 

Public Disclosure of Final Orders 

and Agreements (Government 

Sponsored Enterprises)

12 U.S.C., Chapter 46, 

Sections 4522, 4586 and 

4639 

Treasury Department

[Federal Housing Enterprises 

Financial Safety and 

Soundness Act of 1992, Public 

Law 102-550, Title XIII, Sec. 

1326, Oct. 28, 1992, 106 Stat. 

3955] 

Public Disclosure of Information 15 U.S.C., Chapter 47, 

Section 2055

Consumer Product Safety 

Commission

[Consumer Product Safety Act, 

Public Law 92-573, Sec. 6, Oct. 

27, 1972, 86 Stat. 1212; 

amended by Public Law 97-35, 

Title XII, Sec. 1204, Aug. 13, 

1981, 95 Stat. 713; the Orphan 

Drug Act of 1997, Public Law 

97-414, Sec. 9(j)(1), Jan. 4, 

1983, 96 Stat. 2064; and the 

Consumer Product Safety 

Improvement Act of 1990, 

Public Law 101-608, title I, Sec. 

106, 112(c), Nov. 16, 1990, 104 

Stat. 3111, 3116] 

271
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Recommendations by Promotion 

Boards 

10 U.S.C., Subtitle E, Part III, 

Chapter 1403, 

Section 14108 

Department of Defense 

[Reserve Officer Personnel 

Management Act of 1994, Pub. 

L. 103-337, div. A, title XVI, 

Sec. 1611, Oct. 5, 1994, 108 

Stat. 2928] 

Recordkeeping, Inspections, 

Monitoring, and Entry 

42 U.S.C., Chapter 85, 

Subchapter I, Part A, Section 

7414(c) 

Environmental Protection 

Agency 

[Clean Air Act of July 14, 1955, 

Ch. 360, Title I, Sec.

114, as added to by Public Law 

91-604, Sec. 4(a), Dec. 31, 

1970, 84 Stat. 1687] 

Records and Reports; 

Inspections 

33 U.S.C., Chapter 26, 

Subchapter III, 

Section 1318(b) 

Water Pollution 

[River and Harbor Act of 1948, 

June 30, 1948, Ch. 758, Title III, 

Sec. 308, as added to by the 

Water Pollution Control Act of 

1972, Public Law 92-500, Sec. 2, 

Oct. 18, 1972, 86 Stat. 858; 

amended by the Water Quality 

Act of 1987, Public Law 100-4, 

Title III, Sec. 310, Title IV, Sec. 

406(d)(1), Feb. 4, 1987, 101 

Stat. 41, 73] 

Records Maintained on 

Individuals

5 U.S.C., Part I, Chapter 5,

Subchapter II, 

Section 552a

Privacy Act

[Privacy Act of 1974, Public 

Law 93-579, Dec. 31, 1974; 

amended by Public Law 94-183, 

Sec. 2(2), Dec. 31, 1975, 89

Stat. 1057; Debt Collection Act 

of 1982, Public Law 97-365, 

Sec. 2, Oct. 25, 1982, 96 Stat. 

1749; Congressional Reports 

Elimination Act of 1982, Public 

Law 97-375, Title II, Sec. 201(a), 

(b), Dec. 21, 1982, 96 Stat. 

1821; Public Law 97-452, Sec. 

2(a)(1), Jan. 12, 1983, 96 Stat. 

2478; Central Intelligence 

Agency Information Act, Public 

Law 98-477, Sec. 2(c), Oct. 15, 

1984, 98 Stat. 2211; National 

Archives and Records 

Administration Act of 1984, 

Public Law 98-497, Title I, Sec. 

272
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

107(g), Oct. 19, 1984, 98 Stat. 

2292; Computer Matching and 

Privacy Protection Act of 1988, 

Public Law 100-503, Sec. 2-6(a), 

7, 8, Oct. 18, 1988, 102 Stat. 

2507-2514; Omnibus Budget 

Reconciliation Act of 1990, 

Public Law 101-508, Title VII, 

Sec. 7201(b)(1), Nov. 5, 1990, 

104 Stat. 1388-334; Omnibus 

Budget Reconciliation Act of 

1993, Public Law 103-66, Title 

XIII, Sec. 13581(c), Aug. 10, 

1993, 107 Stat. 611; Personal 

Responsibility and Work 

Opportunity Recon-ciliation

Act of 1996, Public Law 104-

193, Title I, Sec. 110(w), Aug. 

22, 1996, 110 Stat. 2175; Social 

Security-Medicare and Medicaid 

Coverage Data Bank Repeal, 

Public Law 104-226, Sec. 1(b) 

(3), Oct. 2, 1996, 110 Stat. 

3033; General Accounting 

Office Act of 1996, Public Law 

104-316, Title I, Sec. 

115(g)(2)(B), Oct. 19, 1996, 110 

Stat. 3835; Taxpayer Re-lief Act 

of 1997, Public Law 105-34, 

Title X, Sec. 1026(b) (2), Aug. 

5, 1997, 111 Stat. 925; Federal 

Reports Elimina-tion Act, 

Public Law 105-362, Title XIII, 

Sec. 1301(d), Nov. 10, 1998, 

112 Stat. 3293; Tax Relief 

Extension Act of 1999, Public 

Law 106-170, Title IV, Sec. 

402(a)(2), Dec. 17, 1999, 113 

Stat. 1908.] 

Regulation of Unfair and 

Deceptive Acts and Practices in 

Connection with Collection and 

Use of Personal Information 

from and About Children on the 

Internet 

15 U.S.C., Chapter 91, 

Section 6502(b)(2)(C)(ii) 

Internet

[Children's Online Privacy 

Protection Act (15 U.S.C. 

§6501-6506), Public Law 105-

277, Div. C, Title XIII, Sec.

1303, Oct. 21, 1998, 112 Stat. 

2681-730] 

273
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Reporting of Suspicious 

Transactions 

31 U.S.C., Subtitle IV, 

Chapter 53, Subchapter II, 

Section 5318(g)(2) 

Financial 

[Money Laundering Suppression 

Act of 1994, Public Law 103-

325, Section 413(b)(1), Sept. 23, 

1994, 108 Stat. 2245, 2252,

2254] 

Reporting Requirements; 

Disclosure of Information 

16 U.S.C., Chapter 16C, 

Section 973j 

Department of Commerce

[South Pacific Tuna Act of 

1988, Public Law 100-330, Sec. 

12, June 7, 1988, 102 Stat. 599] 

Reports of Information 

Regarding Safety and Soundness 

of Depository Institutions

12 U.S.C., Chapter 16, 

Section 1831m-1(a)(2)(B) 

Financial 

[Annunzio-Wylie Anti-Money 

Laundering Act of 1992, Public 

Law 102-550, Title XV, Sec. 

1542, Oct. 28, 1992, 106 Stat. 

4067] 

Reports; Recordkeeping;

Investigations 

29 U.S.C., Chapter 30, 

Subchapter V, 

Section 2935(a)(4)(B)(i) 

Department of Labor

[Twenty-First Century 

Workforce Commission Act,

Public Law 105-220, Title I, Sec. 

185, Aug. 7, 1998, 112 Stat. 

1046] 

Requests by Authorized 

Investigative Agencies 

50 U.S.C., Chapter 15, 

Section 436 (b) and (e) 

Intelligence Community

[National Security Act of 1947, 

July 26, 1947, Ch. 343, Title 

VIII, Sec. 802, as added to by 

the Counterintelligence 

and Security Enhancements Act 

of 1994, Public Law 103-359, 

Title VIII, Sec. 802(a), Oct. 14, 

1994, 108 Stat. 3436] 

Required Terms in Orders 7 U.S.C., Chapter 101, 

Subchapter V, 

Section 7484

Department of Agriculture/ 

Popcorn Board

[Agriculture Improvement and 

Reform Act of 1996, Public Law 

104-127, Title V, Sec. 575, Apr.

4, 1996, 110 Stat. 1077] 

Required Terms of Order; 

Agreements Under Order; 

Records 

7 U.S.C., Chapter 76, 

Subchapter II, 

Section 4534

Department of Agriculture/ 

National Dairy Research 

Endowment Institute

[Dairy Production Stabilization 

Act of 1983, Public Law 98-180, 

Title I, Sec. 133, as added to by 

the Food Security Act of 1985, 

Public Law 99-198, Title I, Sec. 

121, Dec. 23, 1985, 99 Stat. 

274
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

1369] 

Research on Transplantation of 

Fetal Tissue 

42 U.S.C., Chapter 6A, 

Subchapter III, Part H, 

Section 289g-1(d)(2) 

Department of Health and 

Human Services/National 

Institutes of Health

[Public Health Service Act of 

July 1, 1944, Ch. 373, Title IV, 

Sec. 498A, as added to by 

Public Law 103-43, Title I, Sec. 

111, June 10, 1993, 107 Stat. 

129] 

Restriction of Access by Minors 

to Materials Commercially 

Distributed by Means of World 

Wide Web that are Harmful to 

Minors 

47 U.S.C., Chapter 5, 

Subchapter II, Part I, Section 

231

[Communications Act of 1934, 

June 19, 1934, Ch. 652, Title II, 

Sec. 231, as added to by the 

Children's Online Privacy 

Protection Act of 1998, Public 

Law 105-277, Div. C, Title XIV, 

Sec. 1403, Oct. 21, 1998, 112 

Stat. 2681-736] 

Restrictions on Disclosing and 

Obtaining Contractor Bid or

Proposal Information or Source 

Selection Information 

41 U.S.C., Chapter 7, Section 

423

[Office of Federal Procurement 

Policy Act, Public Law 93-400, 

Sec. 27, as added to by Office 

of Federal Procurement Policy 

Act Amendments of 1988, 

Public Law 100-679, Sec. 6(a), 

Nov. 17, 1988, 102 Stat. 4063 

and amended by the National 

Defense Authorization Act for 

Fiscal Years 1990 and 1991, 

Public Law 101-189, Div. A, 

Title VIII, Sec. 814(a)-(d)(1), 

Nov. 29, 1989, 103 Stat. 1495-

1498; National Defense 

Authorization Act for Fiscal 

Year 1991, Public Law 101-510, 

Div. A, Title XIV, Sec. 

1484(l)(6), Nov. 5, 1990, 104 

Stat. 1720; Persian Gulf Conflict 

Supplemental Authorization and 

Personnel Benefits Act of 1991, 

Public Law 102-25, Title VII,

Sec. 705(i), Apr. 6, 1991, 105 

Stat. 121; Federal Acquisition 

Streamlining Act of 1994, Public 

Law 103-355, Title VIII, Sec. 

8301(e), Oct. 13, 1994, 108

Stat. 3397; and the Federal 

Acquisition Reform Act of 

275
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

1996, Public Law 104-106, Div. 

D, Title XLIII, Sec. 4304(a), Feb. 

10, 1996, 110 Stat. 659] 

Right to Financial Privacy 12 U.S.C., Chapter 35 [Right to Financial Privacy Act 

of 1978, Public Law 95-630, 

Nov. 10, 1978] 

Rules and Regulations 22 U.S.C., Chapter 46, 

Section 3104(c)

State Department

[International Investment 

Survey Act, Public Law 94-472, 

Sec. 5, Oct. 11, 1976, 90 Stat. 

2062; amended by the Foreign 

Direct Investment and 

International Financial Data

Improvements Act of 1990, 

Public Law 101-533, Sec. 6(d), 

(e), 7(a), Nov. 7, 1990, 104 Stat. 

2349] 

Safeguards Information, 42 U.S.C, Chapter 23, 

Division A, Subchapter XI,

Section 2167

Department of Energy

[Atomic Energy Act of Aug. 1, 

1946, Ch. 724, Title I, Sec. 147, 

as added to by Public Law 96-

295, Title II, Sec. 207(a)(1), June 

30, 1980, 94 Stat. 788; 

renumbered Title I, Public Law 

102-486, Title IX, Sec. 

902(a)(8), Oct. 24, 1992, 106 

Stat. 2944] 

Safety Performance History of

New Drivers; Limitation on 

Liability 

49 U.S.C., Subtitle I, Chapter 

5, Subchapter I, Section 

508(b) 

Motor Carrier

[Transportation Equity Act for

the 21st Century, Public Law 

105-178, Title IV, Sec. 

4014(a)(1), June 9, 1998, 112 

Stat. 409] 

Secrecy Federal Rules of Criminal 

Procedure, Rule 6(e) 

Grand Juries

Security and Law Enforcement 

in Property Under the 

Jurisdiction of the Department

of Veterans Affairs 

38 U.S.C., Chapter 9 Department of Veterans Affairs 

[Department of Veterans 

Affairs Codification Act, Public 

Law 102-83, Sec. 2(a), Aug. 6, 

1991, 105 Stat. 397] 

Security and Research and 

Development Activities 

49 U.S.C., Subtitle VII, Part A, 

Subpart i, 

Chapter 401, 

Section 40119(b)(1) 

Federal Aviation Administration

[Public Law 103-272, Sec. 1(e), 

July 5, 1994, 108 Stat. 1117] 

276
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Special Provisions Concerning

the Department of Justice 

5 U.S.C., Appendix 2, Federal 

Advisory Committee Act,

Section 8E 

Department of Justice 

[Federal Advisory Committee 

Act, Public Law 92-463, Oct. 6, 

1972, 86 Stat. 770; as amended 

by the Government in the 

Sunshine Act, Public Law 94-

409, Sec. 5(c), Sep. 13, 1976, 90 

Stat. 1247; Public Law 96-523, 

Sec. 2, Dec. 12, 1980, 94 Stat. 

3040; and the Congressional 

Reports Elimination Act of 

1982, Public Law 97-375, Title 

II, Sec. 201(c), Dec. 21, 1982, 

96 Stat. 1822]

Special Provisions Concerning

the Department of the Treasury 

5 U.S.C., Federal Advisory

Committee Act, 

Section 8D 

Treasury Department

[Federal Advisory Committee 

Act, Public Law 92-463, Oct. 6, 

1972, 86 Stat. 770; as amended 

by the Government in the 

Sunshine Act, Public Law 94-

409, Sec. 5(c), Sep. 13, 1976, 90 

Stat. 1247; Public Law 96-523, 

Sec. 2, Dec. 12, 1980, 94 Stat. 

3040; and the Congressional 

Reports Elimination Act of 

1982, Public Law 97-375, Title 

II, Sec. 201(c), Dec. 21, 1982, 

96 Stat. 1822]

Submission of Purchase 

Intentions by Cigarette 

Manufacturers

7 U.S.C., Chapter 35, 

General Provisions, Section 

1314g(c) 

Department of Agriculture

[Agricultural Adjustment Act of 

1938, Feb. 16, 1938, Ch. 30, 

Title III, Sec. 320A, as added to 

by Public Law 99-272, Title I, 

Sec. 1103(d), Apr. 7, 1986, 100 

Stat. 88] 

Transition Period 45 U.S.C., Chapter 21, 

Section 1204 (b) 

Department of Transportation 

Railroads

[Alaska Railroad Transfer Act 

of 1982, Public Law 97-468, 

Title VI, Sec. 605(b), Jan. 14, 

1983, 96 Stat. 2562, 2563]

Unauthorized Disclosure of 

Information 

26 U.S.C., Subtitle F, Chapter 

75, Subchapter A, Part I, 

Section 7213

[Internal Revenue Code, Public 

Law 83-591, Aug. 16, 1954, Ch. 

736, 68A Stat. 855; Technical 

Treasury Department/IRS

Amendments Act of 1958, 

277
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Public Law 85-866, Title I, Sec. 

90(c), Sept. 2, 1958, 72 Stat. 

1666; Social Security 

Amendments of 1960, Public 

Law 86-778, Title I, Sec. 103(s), 

Sept. 13, 1960, 74 Stat. 940; 

Tax Reform Act of 1976, Public 

Law 94-455, Title XII, Sec. 

1202(d), (h)(3), Oct. 4, 1976, 90

Stat. 1686, 1688; Revenue Act 

of 1978, Public Law 95-600, 

Title VII, Sec. 701 (bb)(1)(C), 

(6), Nov. 6, 1978, 92 Stat. 2922, 

2923; Food Stamp Act 

Amendments of 1980, Public 

Law 96-249, Title I, Sec. 

127(a)(2)(D), May 26, 1980, 94 

Stat. 366; Public Law 96-265, 

Title IV, Sec. 408(a)(2)(D), June 

9, 1980, 94 Stat. 468, as 

amended; Omnibus 

Reconciliation Act of 1980, 

Public Law 96-499, Title III, Sec. 

302(b), Dec. 5, 1980, 94 Stat. 

2604; Social Security Act Titles 

IV, XVI and XVIII Amendment, 

Pub. L. 96-611, Sec. 11(a)(4)(A), 

Dec. 28, 1980, 94 Stat. 3574; 

Tax Equity and Fiscal 

Responsibility Act of 1982, Pub. 

L. 97-248, Title III, Sec. 

356(b)(2), Sept. 3, 1982, 96

Stat. 645; Debt Collection Act 

of 1982, Public Law 97-365, 

Sec. 8(c)(2), Oct. 25, 1982, 96 

Stat. 1754; Deficit Reduction 

Act of 1984, Public Law 98-369, 

Div. A, Title IV, Sec. 453(b)(4), 

Div. B, Title VI, Sec. 2653(b)(4), 

July 18, 1984, 98 Stat. 820,

1156; Child Support

Enforcement Amendments of 

1984, Public Law 98-378, Sec. 

21(f)(5), Aug. 16, 1984, 98 Stat. 

1326; Family Support Act of 

1988, Public Law 100-485, Title 

VII, Sec. 701(b)(2)(C), Oct. 13, 

278
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

1988, 102 Stat. 2426; Technical 

and Miscellaneous Revenue Act 

of 1988, Public Law 100-647, 

Title VIII, Sec. 8008(c)(2)(B), 

Nov. 10, 1988, 102 Stat. 3787; 

Omnibus Budget Reconciliation 

Act of 1989, Public Law 101-

239, Title VI, Sec. 

6202(a)(1)(C), Dec. 19, 1989, 

103 Stat. 2228; Omnibus 

Budget Reconciliation Act of 

1990, Public Law 101-508, Title 

V, Sec. 5111(b)(3), Nov. 5, 

1990, 104 Stat. 1388-273; 

Taxpayer Bill of Rights 2, Public 

Law 104-168, Title XII, Sec. 

1206(b)(5), July 30, 1996, 110 

Stat. 1473; Balanced Budget Act 

of 1997, Public Law 105-33, 

title XI, Sec. 11024(b)(8), Aug. 

5, 1997, 111 Stat. 722; 

Taxpayer Browsing Protection 

Act, Public Law 105-35, Sec. 

2(b)(1), Aug. 5, 1997, 111 Stat. 

1104; and the Internal Revenue 

Service Restructuring and 

Reform Act of 1998, Public Law 

105-206, title III, Sec. 3413(b), 

July 22, 1998, 112 Stat. 754] 

Unlawful Disclosure of 

Information

49 U.S.C., Subtitle IV, 

Part C, Chapter 161, Section 

16103 

Pipeline Carriers 

Department of Transportation 

[ICC Termination Act of 1995, 

Public Law 104-88, Title I, Sec. 

106(a), Dec. 29, 1995, 109 Stat. 

931] 

Unlawful Possession or Receipt 

of Firearms, Federal Rules of 

Criminal Procedure, The Grand 

Jury

18 U.S.C., Sections 1201-

1203, Sec. 16, I, Rule 6 

Courts

[Advisory Committee on Rules: 

1944; Advisory Committee on 

Rules Amendment Feb. 28,

1966; Advisory Committee on 

Rules Amendment Apr. 24, 

1972; Advisory Committee on 

Rules Amendments Apr. 26 and 

July 8, 1976 (amended by Public 

Law 95-78, Sec. 2(a), July 30, 

1977, 91 Stat. 319); Advisory

Committee on Rules 

279
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Amendment Apr. 30, 1979; 

Advisory Committee on Rules 

Amendment Apr. 28, 1983; 

amended by Public Law 98-473, 

Title II, Sec. 215(f), Oct. 12, 

1984, 98 Stat. 2016; Advisory

Committee on Rules 

Amendment Apr. 29, 1985; 

USA Patriot Act, Pubic Law 

107-56, Title II, Sec. 203(a), 

Oct. 26, 2001, 115 Stat. 278] 

Verification of Compliance 22 U.S.C., Chapter 35, 

Subchapter III, 

Section 2577d 

State Department

[Arms Control and 

Disarmament Act, Public Law 

87-297, Title III, Sec. 306, 

formerly Sec. 37, as added to 

by Arms Control and 

Disarmament Act 

Amendments, Public Law 95-

108, Sec. 4, Aug. 17, 1977, 91 

Stat. 871; amended by Arms 

Control and Nonproliferation 

Act of 1994, Public Law 103-

236, Title VII, Sec. 712, Apr. 30, 

1994, 108 Stat. 495 

renumbered Sec. 306 and 

amended by Public Law 105-

277, Div. G, Subdiv. A, title XII, 

Sec. 1223(11), (21), Oct. 21, 

1998, 112 Stat. 2681-770, 2681-

772] 

Voluntary Disclosure of 

Customer Communications or 

Records 

18 U.S.C., Part I, Chapter121, 

Section 2702

[Electronic Communications 

Privacy Act of 1986, Public Law 

99-508, Title II, Sec. 201((a)), 

Oct. 21, 1986, 100 Stat. 1860; 

amended by Public Law 100-

690, Title VII, Sec. 7037, Nov. 

18, 1988, 102 Stat. 4399; 

Protection of Children From

Sexual Predators Act of 1998, 

Public Law 105-314, Title VI, 

Sec. 604(b), Oct. 30, 1998, 112 

Stat. 2984; and the USA Patriot 

Act, Public Law 107-56, title II, 

Sec. 212(a)(1), Oct. 26, 2001, 

115 Stat. 284]

280
Table 6: Legal Information Disclosure Prohibitions 

Subject/Title of Provision United States Code 

Citation 

Agency/Activity 

[Reference]

Written Evaluations 12 U.S.C., Chapter 30, 

Section 2906

Treasury Department/ 

Comptroller of the Currency/ 

Federal Reserve System/ 

Federal Deposit Insurance 

Corporation

[Housing and Community 

Development Act, Public Law 

95-128, Title VIII, Sec. 807, as 

added to by the Financial 

Institutions Reform, Recovery, 

and Enforcement Act of 1989, 

Public Law 101-73, Title XII, 

Sec. 1212(b), Aug. 9, 1989, 103 

Stat. 527 and amended by the 

Foreign Bank Supervision 

Enhancement Act of 1991, 

Public Law 102-242, Title II, 

Sec. 222, Dec. 19, 1991, 105 

Stat. 2306] 

Wrongful Disclosure of 

Information

13 U.S.C., Chapter 7, 

Subchapter I, Section 214 

Census Bureau 

Census Information

[Census Act, Aug. 31, 1954, Ch. 

1158, 68 Stat. 1023; 

Public Law 94-521, Sec. 12(a), 

Oct. 17, 1976, 90 Stat. 2464; 

and the Census Address List 

Improvement Act of 1994, 

Public Law 103-430, Sec. 2(c), 

Oct. 31, 1994, 108 Stat. 4394] 

Wrongful Disclosure of 

Individually Identifiable Health 

Information 

42 U.S.C., Chapter 7, 

Subchapter XI, Section 

1320d-6

[Social Security Act of Aug. 14, 

1935, Ch. 531, Title XI, Sec. 

1177, as added to by the Health 

Insurance Portability and 

Accountability Act of 1996 

(HIPAA), Public Law 104-191, 

Title II, Sec. 262(a), Aug. 21, 

1996, 110 Stat. 2029] 

Wrongful Disclosure of Video

Tape Rental or Sale Records

18 U.S.C., Part 1, Chapter

121, Section 2710

[Video Privacy Protection Act 

of 1988, Public Law 100-618, 

Sec. 2(a)(2), Nov. 5, 1988, 102 

Stat. 3195] 

281
E.2 Executive Mandates 

E.2.1 Office of Management and Budget Memoranda and Guidelines 

 (c) OMB M-99-05 of January 7, 1999 

Subject: Instructions on complying with President's Memorandum of May 14, 1998, 

"Privacy and Personal Information in Federal Records" 

(a) Appendix III to OMB Circular No. A-130 of February 1996 

Subject: Security of Federal Automated Information Resources 

[See text at http://csrc.nist.gov/secplcy/a130app3.txt.] 

(b) OMB Memorandum of November 3, 1997 

MEMORANDUM FOR THE CHIEF INFORMATION SECURITY OFFICERS

Subject: Privacy Act Responsibilities for Implementing the Personal Responsibility and 

Work Opportunity Reconciliation Act of 1996 

[See text at http://www.whitehouse.gov/omb/inforeg/infopoltech.html.]

MEMORANDUM FOR HEADS OF DEPARTMENTS AND AGENCIES 

[See text at http://www.whitehouse.gov/omb/memoranda/m99-05.html.] 

(d) OMB M-99-18 of June 2, 1999 

MEMORANDUM FOR THE HEADS OF EXECUTIVE DEPARTMENTS AND 

AGENCIES 

Subject: Privacy Policies on Federal Web Sites 

[See text at http://csrc.nist.gov/policies/privacypol.pdf.] 

Federal agencies must protect an individual's right to privacy when they collect personal 

information. This is required by the Privacy Act, 5 U.S.C. 552a, and OMB Circular No. 

A-130, "Management of Federal Information Resources," 61 Fed. Reg. 6428 (Feb. 20, 

1996), and supported by the Principles for Providing and Using Personal Information

published by the Information Infrastructure Task Force on June 6, 1995. Posting a 

privacy policy helps ensure that individuals have notice and choice about, and thus 

confidence in, how their personal information is handled when they use the Internet.

(e) OMB M-99-20 of June 23, 1999 

MEMORANDUM FOR THE HEADS OF DEPARTMENTS AND AGENCIES 

Subject: Security of Federal Automated Information Resources

[See text at http://www.whitehouse.gov/omb/memoranda/m99-20.html.] 

(f) OMB M-00-13 of June 22, 2000 

MEMORANDUM FOR THE HEADS OF EXECUTIVE DEPARTMENTS AND 

AGENCIES

Subject: Privacy Policies and Data Collection on Federal Web Sites 

[See text at http://www.whitehouse.gov/omb/memoranda/m00-13.html.] 

(g) OMB M-00-15 of September 25, 2000 

MEMORANDUM FOR THE HEADS OF DEPARTMENTS AND AGENCIES 

282
Subject: OMB Guidance on Implementing the Electronic Signatures in Global and National 

Commerce Act 

[Text at http://www.whitehouse.gov/omb/memoranda/m00-15.html affects integrity impact 

determinations.]

(h) OMB M-01-05 of December 20, 2000 

MEMORANDUM FOR HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES 

Subject: Guidance on Inter-agency Sharing of Personal Data – Protecting Personal Privacy 

[Text at http://www.whitehouse.gov/omb/memoranda/m01-05.html.] 

(i) OMB M-01-08 of January 16, 2001 

MEMORANDUM FOR THE HEADS OF EXECUTIVE DEPARTMENTS AND 

AGENCIES

Subject: Guidance on Implementing the Government Information Security Reform Act 

[Text at http://csrc.nist.gov/policies/actmemo-guid.pdf.] 

(j) OMB Memorandum of October 15, 2001 

MEMORANDUM TO CHIEF INFORMATION OFFICERS AND PROGRAM 

Subject: Guidance on the Release of Security Act Reports 

[See text at http://csrc.nist.gov/policies/memo-ciopo.txt.] 

(k) OMB Guideline of February 22, 2002 

Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of 

Information Disseminated By Federal Agencies (Federal Register, Notices, Vol. 67, No. 36, 

8452) 

[See text at http://www.whitehouse.gov/omb/fedreg/reproducible2.pdf.] 

(l) OMB M-03-18 of August 1, 2003 

MEMORANDUM TO ALL DEPARTMENT AND AGENCY HEADS

Subject: Implementation Guidance for the E-Government Act of 2002 

[See especially text referring to information security and to privacy at 

http://www.whitehouse.gov/omb/memoranda/m03-18.pdf] 

(m) OMB M-03-19 of August 6, 2003 

MEMORANDUM FOR HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES 

Subject: Reporting Instructions for the Federal Information Security Management Act and 

Updated Guidance on Quarterly IT Security Reporting 

[See text at http://www.whitehouse.gov/omb/memoranda/m03-19.pdf] 

(n) OMB M-03-22 of September 26, 2003 

MEMORANDUM FOR HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES 

Subject: OMB Guidance for Implementing the Privacy Provisions of the 

E-Government Act of 2002 

[See text at http://www.whitehouse.gov/omb/memoranda/m03-22.html] 

283
(o) OMB M-04-04 of December 16, 2003 

MEMORANDUM TO THE HEADS OF ALL DEPARTMENTS AND AGENCIES 

Subject: E-Authentication Guidance for Federal Agencies 

[Text at http://www.whitehouse.gov/omb/memoranda/fy04/m04-04.pdf may affect integrity 

impact determination.] 

(p) OMB CIRCULAR NO. A-130, Revised, (Transmittal Memorandum No. 4) of April 14, 2004 

MEMORANDUM FOR HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES 

Subject: Management of Federal Information Resources 

[See http://www.whitehouse.gov/omb/circulars/a130/a130trans4.html. Note especially the 

privacy requirements in Appendix I.] 

E.2.2 Presidential Directives and Executive Orders

(a) Executive Order 10450 of April 27, 1953 

SECURITY REQUIREMENTS FOR GOVERNMENT EMPLOYEES 

[EO 10450, Apr. 27, 1953, 18 F.R. 2489, as amended by Ex. Ord. No. 10491, Oct. 15, 1953, 

18 F.R. 6583; Ex. Ord. No. 10531, May 27, 1954, 19 F.R. 3069; Ex. Ord. No. 10548, Aug. 3, 

1954, 19 F.R. 4871; Ex. Ord. No. 10550, Aug. 6, 1954, 19 F.R. 4981; Ex. Ord. No. 11605, 

July 2, 1971, 36 F.R. 12831; Ex. Ord. No. 11785, June 4, 1974, 39 F.R. 20053; Ex. Ord. No. 

12107, Dec. 28, 1978, 44 F.R. 1055] 

[See http://www.dss.mil/nf/adr/10450/eo10450F.htm.] 

Section 8 (a) The investigations conducted pursuant to this order shall be designed to 

develop information as to whether the employment or retention in employment in the 

Federal service of the person being investigated is clearly consistent with the interests of

the national security. Such information shall relate, but shall not be limited, to the 

following: 

(6) Intentional unauthorized disclosure to any person of security information, or of 

other information disclosure of which is prohibited by law, or willful violation or 

disregard of security regulations. 

(b) Executive Order 12046 of March 27, 1978 

RELATING TO THE TRANSFER OF TELECOMMUNICATIONS FUNCTIONS 

[See http://www.archives.gov/federal_register/codification/executive_order/12046.html.] 

2-405. The Secretary of Commerce shall provide for the coordination of the 

telecommunications activities of the Executive Branch, and shall assist in the formulation 

of policies and standards for those activities, including but not limited to considerations

of interoperability, privacy, security, spectrum use and emergency readiness. 

(c) Executive Order 12656 of November 18, 1988 

ASSIGMMENT OF EMERGENCY PREPAREDNESS RESPONSIBILITIES 

[See http://www.archives.gov/federal_register/codification/executive_order/12656.html. 

Amended by: EO 13074, February 9, 1998; EO 13228, October 8, 2001; EO 13286, February 

28, 2003] 

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Sec. 201. General. The head of each Federal department and agency, as appropriate, 

shall: 

(12) Ensure a capability to provide, during a national security emergency, information 

concerning Acts of Congress, presidential proclamations, Executive orders, 

regulations, and notices of other actions to the Archivist of the United States, for 

publication in the Federal Register, or to each agency designated to maintain the 

Federal Register in an emergency. 

Sec. 701. Lead Responsibilities. In addition to the applicable responsibilities covered in 

Parts 1 and 2, the Secretary of Energy shall: 

(1) Conduct national security emergency preparedness planning, including 

capabilities development, and administer operational programs for all energy, 

resources, including: 

(a) Providing information, in cooperation with Federal, State, and energy industry 

officials, on energy supply and demand conditions and on the requirements for 

and the availability of materials and services critical to energy supply systems. 

Sec. 1101. Lead Responsibilities. In addition to the applicable responsibilities covered in 

Parts 1 and 2, the Attorney General of the United States shall: 

(6) Provide information and assistance to the Federal Judicial branch and the Federal 

Legislative branch concerning law enforcement, continuity of government, and the 

exercise of legal authority during national security emergencies. 

Sec. 1802. Support Responsibility. The Administrator of General Services shall develop 

plans to assist Federal departments and agencies in operation and maintenance of 

essential automated information processing facilities during national security 

emergencies. 

(d) Executive Order 12812 of July 22, 1992 

[See http://www.dtic.mil/dpmo/foia/eo12812.htm.] 

(e) Presidential Decision Directive PDD/NSC-12 of August 5, 1993 

[See http://www.usaid.gov/policy/ads/500/pdd-nsc-12.pdf.] 

DECLASSIFICATION AND RELEASE OF MATERIALS PERTAINING TO PRISONERS 

OF WAR AND MISSING IN ACTION 

Sec. 2. All executive departments and agencies shall make publicly available documents, 

files, and other materials declassified pursuant to section 1, except for those the 

disclosure of which would constitute a clearly unwarranted invasion of personal privacy 

of returnees, family members of POWs and MIAs, or other persons, or would impair the 

deliberative processes of the executive branch.

Subject: Security Awareness and Reporting of Foreign Contacts 

Presidential Decision Directive/NSC-12 requires that government employees report all 

contacts with individuals of any nationality, either within or outside the scope of the 

employee's official activities, in which: 

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• Illegal or unauthorized access is sought to classified or otherwise sensitive 

information. 

• The employee is concerned that he/she may be the target of actual or attempted 

exploitation by a foreign entity. 

Government employees must immediately report any discussion in which someone asks 

them to provide sensitive information which they are not authorized to receive. If in 

doubt, the agency Security Office has or knows personnel that are available to assess 

information and determine if a potential counterintelligence threat exists.

(f) Executive Order 12951 of February 24, 1995

RELEASE OF IMAGERY ACQUIRED BY SPACE-BASED NATIONAL 

INTELLIGENCE RECONNAISSANCE SYSTEMS

[See http://frwebgate.access.gpo.gov/cgibin/getdoc.cgi?dbname=1995_register&docid=fr28fe95-133.pdf.] 

Section 1. Public Release of Historical Intelligence

Imagery. Imagery acquired by the space-based national intelligence reconnaissance 

systems known as the Corona, Argon, and Lanyard missions shall, within 18 months of 

the date of this order, be declassified and transferred to the National Archives and 

Records Administration with a copy sent to the United States Geological Survey of the 

Department of the Interior consistent with procedures approved by the Director of Central 

Intelligence and the Archivist of the United States. Upon transfer, such imagery shall be 

deemed declassified and shall be made available to the public.

Section. 3. General Provisions. (a) This order prescribes a comprehensive and exclusive 

system for the public release of imagery acquired by space-based national intelligence

reconnaissance systems. This order is the exclusive Executive order governing the public 

release of imagery for purposes of section 552(b)(1) of the Freedom of Information Act.

(g) Executive Order 12958 of April 17, 1995 

CLASSIFIED NATIONAL SECURITY INFORMATION 

[See http://www.whitehouse.gov/news/releases/2003/03/20030325-11.html.] 

Section 3.7. Processing Requests and Reviews. In response to a request for information 

under the Freedom of Information Act, the Privacy Act of 1974, or the mandatory review 

provisions of this order, or pursuant to the automatic declassification or systematic 

review provisions of this order: 

(a) An agency may refuse to confirm or deny the existence or nonexistence of 

requested information whenever the fact of its existence or nonexistence is itself 

classified under this order. 

(b) When an agency receives any request for documents in its custody that contain 

information that was originally classified by another agency, or comes across such 

documents in the process of the automatic declassification or systematic review 

286
provisions of this order, it shall refer copies of any request and the pertinent 

documents to the originating agency for processing, and may, after consultation with 

the originating agency, inform any requester of the referral unless such association is 

itself classified under this order. In cases in which the originating agency determines 

in writing that a response under paragraph (a), above, is required, the referring agency 

shall respond to the requester in accordance with that paragraph. 

(h) Executive Order 12968 of August 4, 1995 

ACCESS TO CLASSIFIED INFORMATION 

[See http://www.dss.mil/seclib/eo12968.htm.] 

Section 5.2. Review Proceedings for Denials or Revocations of Eligibility for Access. 

(a) Applicants and employees who are determined to not meet the standards for access to 

classified information established in section 3.1 of this order shall be: 

(1) provided as comprehensive and detailed a written explanation of the basis for that 

conclusion as the national security interests of the United States and other applicable 

law permit; provided within 30 days, upon request and to the extent the documents 

would be provided if requested under the Freedom of Information Act (5 U.S.C. 552) 

or the Privacy Act (3 U.S.C. 552a), as applicable, any documents, records, and reports 

upon which a denial or revocation is based. 

(i) Presidential Decision Directive PDD 63 of May 22, 1998 

Subject: The Clinton Administration’s Policy on Critical Infrastructure Protection 

[See text in http://csrc.nist.gov/policies/paper598.pdf.] 

(j) Presidential Decision Directive PDD/NSC 66 of September 16, 1998 

Subject: Encryption Policy 

[See text in http://fas.org/irp/offdocs.]

(k) MEMORANDUM FOR THE HEADS OF EXECUTIVE DEPARTMENTS AND 

AGENCIES of March 3, 2000 

Subject: Action by Federal Agencies to Safeguard Against Internet Attacks 

[See http://csrc.nist.gov/policies/Wh3300Memo.txt.] 

(l) Executive Order 13228 of October 8, 2001 

ESTABLISHING THE OFFICE OF HOMELAND SECURITY AND THE HOMELAND 

SECURITY COUNCIL

[See http://www.whitehouse.gov/news/releases/2001/10/20011008-2.html.]

(e) Protection. The Office shall coordinate efforts to protect the United States and its 

critical infrastructure from the consequences of terrorist attacks. In performing this 

function, the Office shall work with Federal, State, and local agencies, and private 

entities, as appropriate, to: ... 

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(ii) coordinate efforts to protect critical public and privately owned information 

systems within the United States from terrorist attack; 

(f) Response and Recovery. The Office shall coordinate efforts to respond to and promote 

recovery from terrorist threats or attacks within the United States. In performing this 

function, the Office shall work with Federal, State, and local agencies, and private 

entities, as appropriate, to: ... 

FURTHER IMPLEMENTATION OF THE PRESIDENTIAL RECORDS ACT 

[See http://www.state.gov/documents/organization/22978.doc.] 

(ii) coordinate efforts to ensure rapid restoration of public and private critical 

information systems after disruption by a terrorist threat or attack; 

(m) Executive Order 13231 of October 16, 2001 

CRITICAL INFRASTRUCTURE PROTECTION IN THE INFORMATION AGE

[See http://csrc.nist.gov/policies/cip-infoage.html.] 

(n) Executive Order 13233 of November 1, 2001 

[See http://frwebgate.access.gpo.gov/cgibin/getdoc.cgi?dbname=2001_register&docid=fr05no01-104.pdf.] 

(o) Military Order of November 13, 2001 

DETENTION, TREATMENT, AND TRIAL OF CERTAIN NON-CITIZENS IN THE WAR 

AGAINST TERRORISM

[See http://www.whitehouse.gov/news/releases/2001/11/20011113-27.html.] 

Section 4. Authority of the Secretary of Defense Regarding Trials of Individuals Subject 

to this Order. 

(c) Orders and regulations issued under subsection (b) of this section shall include, 

but not be limited to, rules for the conduct of the proceedings of military 

commissions, including pretrial, trial, and post-trial procedures, modes of proof, 

issuance of process, and qualifications of attorneys, which shall at a minimum

provide for-- 

 

(4) in a manner consistent with the protection of information classified or 

classifiable under Executive Order 12958 of April 17, 1995, as amended, or any 

successor Executive Order, protected by statute or rule from unauthorized 

disclosure, or otherwise protected by law, (A) the handling of, admission into 

evidence of, and access to materials and information, and (B) the conduct, closure 

of, and access to proceedings; 

(p) Executive Order 13284 of January 23, 2003 

AMENDMENT OF EXECUTIVE ORDERS, AND OTHER ACTIONS, IN CONNECTION 

WITH THE ESTABLISHMENT OF THE DEPARTMENT OF HOMELAND SECURITY 

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Section 19. Functions of Certain Officials in the Department of Homeland Security. 

The Secretary of Homeland Security, the Deputy Secretary of Homeland Security, the 

Under Secretary for Information Analysis and Infrastructure Protection, Department of 

Homeland Security, and the Assistant Secretary for Information Analysis, Department of 

Homeland Security, each shall be considered a “Senior Official of the Intelligence 

Community” for purposes of Executive Order 12333, and all other relevant authorities, 

and shall: 

(a) recognize and give effect to all current clearances for access to classified 

information held by those who become employees of the Department of Homeland 

Security by operation of law pursuant to the Homeland Security Act of 2002 or by 

Presidential appointment; 

(b) recognize and give effect to all current clearances for access to classified 

information held by those in the private sector with whom employees of the 

Department of Homeland Security may seek to interact in the discharge of their 

homeland security-related responsibilities; 

(c) make all clearance and access determinations pursuant to Executive Order 12968 

of August 2, 1995, or any successor Executive Order, as to employees of, and 

applicants for employment in, the Department of Homeland Security who do not then 

hold a current clearance for access to classified information; and 

(d) ensure all clearance and access determinations for those in the private sector with 

whom employees of the Department of Homeland Security may seek to interact in the 

discharge of their homeland security- related responsibilities are made in accordance 

with Executive Order 12829 of January 6, 1993. 

(c) intelligence activities (including special activities), intelligence sources or

methods, or cryptology; 

(q) Executive Order 13286 of February 28, 2003 

AMENDMENT OF EXECUTIVE ORDERS, AND OTHER ACTIONS, IN CONNECTION 

WITH THE TRANSFER OF CERTAIN FUNCTIONS TO THE SECRETARY OF 

HOMELAND SECURITY 

[See http://www.whitehouse.gov/news/releases/2003/02/20030228-8.html.]

Section 7. Executive Order 13231 of October 16, 2001 (“Critical Infrastructure Protection 

in the Information Age”), as amended: see Executive Order for text. 

Section 1.4. Classification Categories. Information shall not be considered for 

classification unless it concerns: 

(a) military plans, weapons systems, or operations; 

(b) foreign government information; 

(d) foreign relations or foreign activities of the United States, including confidential 

sources; 

(e) scientific, technological, or economic matters relating to the national security, 

which includes defense against transnational terrorism; 

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(f) United States Government programs for safeguarding nuclear materials or 

facilities; 

(g) vulnerabilities or capabilities of systems, installations, infrastructures, projects, 

plans, or protection services relating to the national security, which includes 

defense against transnational terrorism; or 

(4) prevent or delay the release of information that does not require protection in 

the interest of the national security. 

(2) the information may be reasonably recovered; and 

(h) weapons of mass destruction. 

(r) Executive Order 13292 of March 25, 2003 

FURTHER AMENDMENT TO EXECUTIVE ORDER 12958, AS AMENDED, 

CLASSIFIED NATIONAL SECURITY INFORMATION 

[See http://foia.state.gov/eo12958/EO13292.asp.] 

Section 1.7. Classification Prohibitions and Limitations. 

(a) In no case shall information be classified in order to: 

(1) conceal violations of law, inefficiency, or administrative error; 

(2) prevent embarrassment to a person, organization, or agency; 

(3) restrain competition; or 

(b) Basic scientific research information not clearly related to the national security 

shall not be classified. 

(c) Information may be reclassified after declassification and release to the public 

under proper authority only in accordance with the following conditions: 

(1) the reclassification action is taken under the personal authority of the agency 

head or deputy agency head, who determines in writing that the 

reclassification of the information is necessary in the interest of the national 

security; 

(3) the reclassification action is reported promptly to the Director of the 

Information Security Oversight Office. 

(d) Information that has not previously been disclosed to the public under proper 

authority may be classified or reclassified after an agency has received a request for it 

under the Freedom of Information Act (5 U.S.C. 552) or the Privacy Act of 1974 (5 

U.S.C. 552a), or the mandatory review provisions of section 3.5 of this order only if 

such classification meets the requirements of this order and is accomplished on a 

document-by-document basis with the personal participation or under the direction of 

the agency head, the deputy agency head, or the senior agency official designated 

under section 5.4 of this order. 

(e) Compilations of items of information that are individually unclassified may be 

classified if the compiled information reveals an additional association or relationship 

that: (1) meets the standards for classification under this order; and (2) is not 

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otherwise revealed in the individual items of information. As used in this order, 

"compilation" means an aggregation of pre-existing unclassified items of information. 

Section 1.8. Classification Challenges. 

(a) Authorized holders of information who, in good faith, believe that its 

classification status is improper are encouraged and expected to challenge the 

classification status of the information in accordance with agency procedures 

established under paragraph (b) of this section. 

(b) In accordance with implementing directives issued pursuant to this order, an 

agency head or senior agency official shall establish procedures under which 

authorized holders of information are encouraged and expected to challenge the 

classification of information that they believe is improperly classified or unclassified. 

These procedures shall ensure that: 

(1) individuals are not subject to retribution for bringing such actions; 

(2) an opportunity is provided for review by an impartial official or panel; and 

(3) individuals are advised of their right to appeal agency decisions to the 

Interagency Security Classification Appeals Panel (Panel) established by 

section 5.3 of this order. 

(s) Executive Order 13311 of July 29, 2003 

HOMELAND SECURITY INFORMATION SHARING

[See http://a257.g.akamaitech.net/7/257/2422/14mar20010800/edocket.access.gpo.gov/2003/ 

pdf/03-19675.pdf.] 

Section 1. Assignment of Functions. 

(a) The functions of the President under section 892 of the Act are assigned to the 

Secretary of Homeland Security (the "Secretary"), except the functions of the 

President under subsections 892(a)(2) and 892(b)(7). 

(f) A determination, under the procedures issued by the Secretary in the performance 

of the function of the President under section 892(a)(1) of the Act, as to whether, or to 

what extent, an individual who falls within the category of "State and local personnel" 

as defined in sections 892(f)(3) and (f)(4) of the Act shall have access to information 

classified pursuant to Executive Order 12958 of April 17, 1995, as amended, is a 

discretionary determination and shall be conclusive and not subject to review or 

appeal. 

(t) Homeland Security Presidential Directive/HSPD-6 of September 16, 2003 

Subject: Integration and Use of Screening Information 

[See http://www.whitehouse.gov/news/releases/2003/09/20030916-5.html.]

(2) The heads of executive departments and agencies shall, to the extent permitted by 

law, provide to the Terrorist Threat Integration Center (TTIC) on an ongoing basis all 

appropriate Terrorist Information in their possession, custody, or control. The Attorney 

291
General, in coordination with the Secretary of State, the Secretary of Homeland Security, 

and the Director of Central Intelligence shall implement appropriate procedures and 

safeguards with respect to all such information about United States persons. The TTIC 

will provide the organization referenced in paragraph (1) with access to all appropriate 

information or intelligence in the TTIC's custody, possession, or control that the 

organization requires to perform its functions. 

(u) Homeland Security Presidential Directive / HSPD-7 of December 17, 2003 

Subject: Critical Infrastructure Identification, Prioritization, and Protection

[See http://www.whitehouse.gov/news/releases/2003/12/20031217-5.html.]

(10) Federal departments and agencies will appropriately protect information associated 

with carrying out this directive, including handling voluntarily provided information and 

information that would facilitate terrorist targeting of critical infrastructure and key 

resources consistent with the Homeland Security Act of 2002 and other applicable legal 

authorities. 

(22) (f) The Office of Management and Budget (OMB) shall oversee the implementation 

of government-wide policies, principles, standards, and guidelines for Federal 

government computer security programs. The Director of OMB will ensure the operation 

of a central Federal information security incident center consistent with the requirements 

of the Federal Information Security Management Act of 2002. 

(24) All Federal department and agency heads are responsible for the identification, 

prioritization, assessment, remediation, and protection of their respective internal critical 

infrastructure and key resources. Consistent with the Federal Information Security 

Management Act of 2002, agencies will identify and provide information security 

protections commensurate with the risk and magnitude of the harm resulting from the 

unauthorized access, use, disclosure, disruption, modification, or destruction of 

information. 

E.2.3 Other EOP Guidance 

(a) MEMORANDUM FOR THE HEADS OF DEPARTMENTS AND AGENCIES of February 

22, 2000 

Subject: Security of Federal Information Systems

[See http://csrc.nist.gov/policies/cos-memo.html.]

(b) MEMORANDUM FOR HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES of

March 19, 2002 

Subject: Action to Safeguard Information Regarding Weapons of Mass Destruction and 

Other Sensitive Documents Related to Homeland Security 

[See http://csrc.nist.gov/policies/guidance-homelandsec.html.] 

(c) MEMORANDUM FOR DEPARTMENTS AND AGENCIES of March 19, 2002 

Subject: Safeguarding Information Regarding Weapons of Mass Destruction and Other 

Sensitive Records Related to Homeland Security 

292
[See http://csrc.nist.gov/policies/guidance-homelandsec.html.] 

III. Sensitive But Unclassified Information 

In addition to information that could reasonably be expected to assist in the development 

or use of weapons of mass destruction, which should be classified or reclassified as 

described in Parts I and II above, departments and agencies maintain and control sensitive 

information related to America's homeland security that might not meet one or more of 

the standards for classification set forth in Part 1 of Executive Order 12958. The need to 

protect such sensitive information from inappropriate disclosure should be carefully 

considered, on a case-by-case basis, together with the benefits that result from the open 

and efficient exchange of scientific, technical, and like information. 

All departments and agencies should ensure that in taking necessary and appropriate 

actions to safeguard sensitive but unclassified information related to America's homeland 

security, they process any Freedom of Information Act request for records containing 

such information in accordance with the Attorney General's FOIA Memorandum of 

October 12, 2001, by giving full and careful consideration to all applicable FOIA 

exemptions. See FOIA Post, "New Attorney General FOIA Memorandum Issued" 

(posted 10/15/01) (found at http://www.usdoj.gov/oip/foiapost/2001foiapost19.htm), 

which discusses and provides electronic links to further guidance on the authority 

available under Exemption 2 of the FOIA, 5 U.S.C. § 552(b)(2), for the protection of 

sensitive critical infrastructure information. In the case of information that is voluntarily 

submitted to the Government from the private sector, such information may readily fall 

within the protection of Exemption 4 of the FOIA, 5 U.S.C. § 552(b)(4). 

E.3 OMB and Case Law Interpretations 

The disclosure prohibitions, as stated in law are often imprecise. As a result, Office of 

Management and Budget and case law interpretations are sometimes necessary to clarify the 

prohibitions. In some cases, the analyst may need to identify such clarifications and 

interpretations. 

One law imposing disclosure prohibitions that has received particular attention across the Federal 

government deserves special attention. The Privacy Act of 1974, 5 U.S.C. § 552a (2000), which 

has been in effect since September 27, 1975, can generally be characterized as an omnibus "code 

of fair information practices" that attempts to regulate the collection, maintenance, use, and 

dissemination of personal information by federal executive branch agencies. However, the Act's 

imprecise language, limited legislative history, and somewhat outdated regulatory guidelines 

have rendered it a difficult statute to decipher and apply. Moreover, even after more than twentyfive years of administrative and judicial analysis, numerous Privacy Act issues remain 

unresolved or unexplored. Adding to these interpretational difficulties is the fact that many 

Privacy Act cases are unpublished district court decisions. 

A primary element of the Privacy Act of 1974 is the “no disclosure without consent” rule: No 

agency shall disclose any record which is contained in a system of records by any means of 

293
communication to any person, or to another agency, except pursuant to a written request by, or 

with the prior written consent of, the individual to whom the record pertains [subject to 12 

exceptions]." 5 U.S.C. § 552a(b). 

Note that a "disclosure" can be by any means of communication - written, oral, electronic, or 

mechanical. [See OMB Guidelines, 40 Fed. Reg. 28,948, 28,953 (1975).] 

Details of the Privacy Act of 1974, together with OMB and judicial interpretations can be found 

on the Department of Justice web site, http://www.usdoj.gov/04foia/04_7_1.html. 

Subsection (v) of the Privacy Act requires the Office of Management and Budget (OMB) to: (1) 

"prescribe guidelines and regulations for the use of agencies in implementing" the Act; and (2) 

"provide continuing assistance to and oversight of the implementation" of the Act by agencies. 5 

U.S.C. § 552a(v). The vast majority of OMB's Privacy Act Guidelines (OMB Guidelines) are 

published at 40 Fed. Reg. 28,948-78 (1975). However, these original guidelines have been 

supplemented in particular subject areas over the years. 40 Fed. Reg. 56,741-43 (1975) (system

of records definition, routine use and intra-agency disclosures, consent and congressional 

inquiries, accounting of disclosures, amendment appeals, rights of parents and legal guardians, 

relationship to Freedom of Information Act (FOIA)); 48 Fed. Reg. 15,556-60 (1983) 

(relationship to Debt Collection Act); 52 Fed. Reg. 12,990-93 (1987) ("call detail" programs); 54 

Fed. Reg. 25818-29 (1989) (computer matching); 56 Fed. Reg. 18,599-601 (proposed Apr. 23, 

1991) (computer matching); 61 Fed. Reg. 6428, 6435-39 (1996) ("Federal Agency 

Responsibilities for Maintaining Records About Individuals"). 

As a general rule, the OMB Guidelines are entitled to the deference usually accorded the 

interpretations of the agency that has been charged with the administration of a statute. Quinn v. 

Stone, 978 F.2d 126, 133 (3d Cir. 1992); Baker v. Dep't of the Navy, 814 F.2d 1381, 1383 (9th 

Cir. 1987); Perry v. FBI, 759 F.2d 1271, 1276 n.7 (7th Cir. 1985) (citing Bartel v. FAA, 725 F.2d 

1403, 1408 n.9 (D.C. Cir. 1984); Albright v. United States, 631 F.2d 915, 919 n.5 (D.C. Cir. 

1980)), rev'd en banc on other grounds, 781 F.2d 1294 (7th Cir. 1986); Smiertka v. United States 

Dep't of the Treasury, 604 F.2d 698, 703 n.12 (D.C. Cir. 1979); Rogers v. United States Dep't of 

Labor, 607 F. Supp. 697, 700 n.2 (N.D. Cal. 1985); Sanchez v. United States, 3 Gov't Disclosure 

Serv. (P-H) ¶ 83,116, at 83,709 (S.D. Tex. Sept. 10, 1982); Golliher v. United States Postal 

Serv., 3 Gov't Disclosure Serv. (P-H) ¶ 83,114, at 83,703 (N.D. Ohio June 10, 1982); Greene v. 

VA, No. C-76-461-S, slip op. at 6-7 (M.D.N.C. July 3, 1978); Daniels v. FCC, No. 77-5011, slip 

op. at 8-9 (D.S.D. Mar. 15, 1978); see also Martin v. Office of Special Counsel, 819 F.2d 1181, 

1188 (D.C. Cir. 1987) (OMB interpretation is "worthy of our attention and solicitude"). 

However, a few courts have rejected particular aspects of the OMB Guidelines as inconsistent

with the statute. Kassel v. VA, No. 87-217-S, slip op. at 24-25 (D.N.H. Mar. 30, 1992) 

(subsection (e)(3)); Saunders v. Schweiker, 508 F. Supp. 305, 309 (W.D.N.Y. 1981) (same); 

Metadure Corp. v. United States, 490 F. Supp. 1368, 1373-74 (S.D.N.Y. 1980) (subsection 

(a)(2)); Fla. Med. Ass'n v. HEW, 479 F. Supp. 1291, 1307-11 (M.D. Fla. 1979) (same); Zeller v. 

United States, 467 F. Supp. 487, 497-99 (E.D.N.Y. 1979) (same). 

Additionally, OMB has issued guidance regarding implementation of the privacy provisions of 

the E-Government Act of 2002 (See Section 208 of Public Law 107-347, 44 U.S.C. Chapter 36). 

Section 208 of the E-Government Act of 2002 requires that OMB issue guidance to agencies on 

294
implementing the privacy provisions of the E-Government Act. M-03-22, the September 26, 

2003 Memorandum for Heads of Executive Departments and Agencies, OMB Guidance for 

Implementing the Privacy Provisions of the E-Government Act of 2002, complies with this 

requirement (see http://www.whitehouse.gov/omb/memoranda/m03-22.html). M-03-22 also 

provides a general outline of regulatory requirements pursuant to the Children’s Online Privacy 

Protection Act (“COPPA”) and a summary of modifications to existing guidance. A complete list 

of OMB privacy guidance currently in effect is available at OMB’s website. 

295