Chapter 4
CHAPTER 4
Classification and Marking
Section 1. Classification
4-100. General.
Information is classified pursuant to E.O. 12356 by an original
classification authority and is designated and marked as TOP
SECRET, SECRET, or CONFIDENTIAL. The designation UNCLASSIFIED is
used to identify information that does not require a security
classification. Except as provided by statute, (see Chapter 9) no
other terms may be used to identify classified information. An
original classification decision at any level can be made only by
a U.S. Government official who has been delegated the authority in
writing. Original classification decisions may require a security
classification guide to be issued for use in making derivative
classification decisions. Contractors make derivative
classification decisions based on the guidance provided by the
Contract Security Classification Specification that is issued with
each classified contract.
4-101. Original Classification.
A determination to originally classify information may be made only
when: (a) The information falls into one or more of the categories
set forth in E.O. 12356, and (b) The unauthorized disclosure of the
information, either by itself or in context with other information,
reasonably could be expected to cause damage to the national
security.
4-102. Derivative Classification Responsibilities.
Contractors who, extract, or summarize classified information, or
who apply classification markings derived from a source document,
or as directed by a classification guide or a Contract Security
Classification Specification, are making derivative classification
decisions. The FSO shall ensure that all employees authorized to
perform derivative classification actions are sufficiently trained
and that they possess, or have ready access to, the pertinent
classification guides and/or guidance necessary to fulfill these
important actions. Any specialized training required to implement
these responsibilities will be provided by the CSA upon request.
a. The manager or supervisor at the operational level where
material is being produced or assembled shall determine the
necessity, currency, and accuracy of the classification applied to
that material.
b. The manager or supervisor whose signature or other form of
approval is required before material is transmitted outside the
facility shall determine the necessity, currency, and accuracy of
the security classification applied to that material.
c. Individual employees who copy or extract classified
information from another document, or who reproduce or translate an
entire document, shall be responsible for (1) Marking the new
document or copy with the same classification markings as applied
to the information or document from which the new document or copy
was prepared and (2) Challenging the classification if there is
reason to believe the information is classified unnecessarily or
improperly.
d. Questions on the classification assigned to reference material
are referred as indicated in paragraph 11-206.
e. Commensurate with their involvement, security classification
guidance, shall be provided to all employees, including but not
limited to, other cleared locations, sales, marketing, technical,
production, accounting, clerical, and overseas personnel who have
access to classified information in connection with performance on
a classified contract.
f. Appropriate security classification guidance shall be provided
to subcontractors in connection with classified subcontracts.
Subcontractors assume the security classification responsibilities
of prime contractors in relation to their subcontractors. (See
Chapter 7 for Subcontracting.)
4-103. Security Classification Guidance.
The GCA is responsible for incorporating appropriate security
requirements clauses in a classified contract and for providing the
contractor with the security classification guidance needed during
the performance of the contract. This guidance is provided to a
contractor by means of the Contract Security Classification
Specification. The Contract Security Classification Specification
must identify the specific elements of classified information
involved in the contract which require security protection.
Contractors shall, to the extent practicable, advise and assist in
the development of the original Contract Security Classification
Specification. It is the contractor's responsibility to understand
and apply all aspects of the classification guidance.
Classification guidance is, not withstanding the contractor's
input, the exclusive responsibility of the GCA, and the final
determination of the appropriate classification for the information
rests with that activity. The Contract Security Classification
Specification is a contractual specification necessary for
performance on a classified contract. If a classified contract is
received without a Contract Security Classification Specification,
the contractor shall advise the GCA.
a. The GCA is required to issue an original Contract Security
Classification Specification to a contractor in connection with an
IFB, RFP, RFQ, or other solicitation; and with the award of a
contract that will require access to, or development of, classified
information in the performance of the classified contract.
b. The GCA is required to review the existing guidance
periodically during the performance stages of the contract and to
issue a revised Contract Security Classification Specification when
a change occurs to the existing guidance or when additional
security classification guidance is needed by the contractor.
c. Upon completion of a classified contract, the contractor must
dispose of the classified information in accordance with Chapter 5,
Section 7. If the GCA does not advise to the contrary, the
contractor may retain classified material for a period of 2 years
following completion of the contract. The Contract Security
Classification Specification will continue in effect for this
2-year period. If the GCA determines the contractor has a
continuing need for the material, the GCA must issue a final
Contract Security Classification Specification for the classified
contract. A final specification is provided to show the retention
period and to provide final disposition instructions for the
classified material under the contract.
4-104. Challenges to Classification.
Contractors who believe (a) That information is classified
improperly or unnecessarily; or (b) That current security
considerations justify downgrading to a lower classification or
upgrading to a higher classification; or (c) That the security
classification guidance provided is improper or inadequate, are
required to discuss such issues with the pertinent GCA for remedy.
If a solution is not forthcoming, and the contractor believes that
corrective action is still required, a formal challenge shall be
made to the agency that originally classified the information. Such
challenges shall include a description sufficient to identify the
issue, the reasons why the contractor believes that corrective
action is required, and any recommendations for appropriate
corrective action. In any case, the information in question shall
be safeguarded as required by this Manual for its assigned or
proposed level of classification, whichever is higher, until action
is completed. If no answer is received within 45 days, the CSA may
be requested to provide assistance in obtaining a response. The
fact that a contractor has initiated such a challenge will not, in
any way, serve as a basis for adverse action by the Government. If
a contractor believes that adverse action did result from a
classification challenge, full details should be furnished promptly
to the ISOO for resolution.
4-105. Contractor Developed Information.
Whenever a contractor develops an unsolicited proposal or
originates information not in the performance of a classified
contract, the following rules shall apply:
a. If the information was previously identified as classified, it
shall be classified in accordance with an appropriate Contract
Security Classification Specification, classification guide, or
source document and marked as required by this Chapter.
b. If the information was not previously classified, but the
contractor believes the information may, or should, be classified,
the contractor should protect the information as though classified
at the appropriate level and submit it to the agency that has an
interest in the subject matter for a classification determination.
In such a case, the following marking, or one that clearly conveys
the same meaning, may be used:
CLASSIFICATION DETERMINATION PENDING- Protect as though classified
(TOP SECRET, SECRET, or CONFIDENTIAL).
This marking shall appear conspicuously at least once on the
material but no further markings are necessary until a
classification determination is received. In addition, contractors
are not precluded from marking such material as company-private or
proprietary information. Pending a final classification
determination, the contractor should protect the information. It
should be noted however, that E.O. 12356 prohibits classification
of information over which the Government has no jurisdiction. To be
eligible for classification, the information must (1) Incorporate
classified information to which the contractor was given prior
access, or (2) The Government must first acquire a proprietary
interest in the information.
4-106. Classified Information Appearing in Public Media.
The fact that classified information has been made public does not
mean that it is automatically declassified. Contractors shall
continue the classification until formally advised to the contrary.
Questions as to the propriety of continued classification in these
cases should be brought to the immediate attention of the GCA.
4-107. Downgrading or Declassifying Classified Information.
Information is downgraded or declassified based on the loss of
sensitivity of the information due to the passage of time or on
occurrence of a specific event. Contractors downgrade or declassify
information based on the guidance provided in a Contract Security
Classification Specification, upon formal notification, or as shown
on the material. These actions constitute implementation of a
directed action rather than an exercise of the authority for
deciding the change or cancellation of the classification. At the
time the material is actually downgraded or declassified, the
action to update records and change the classification markings
shall be initiated and performed. Declassification, either
automatically or by individual review, is not automatically an
approval for public disclosure.
Section 2. Marking Requirements
4-200. General.
Physically marking classified information with appropriate
classification markings serves to warn and inform holders of the
degree of protection required to protect it. Other notations
facilitate downgrading, declassification, and aid in derivative
classification actions. Therefore, it is essential that all
classified information and material be marked to clearly convey to
the holder the level of classification assigned, the portions that
contain or reveal classified information, the period of time
protection is required, and any other notations required for
protection of the information or material.
4-201. Marking Requirements for Information and Material.
As a general rule, the markings specified in paragraphs 4-202
through 4-208 are required for all classified information,
regardless of the form in which it appears. Some material, such as
documents, letters, and reports, can be easily marked with the
required markings. Marking other material, such as equipment, AIS
media, and slides, will be more difficult due to size or other
physical characteristics. Since the principal purpose of the
markings is to alert the holder that the information requires
special protection, it is essential that all classified material be
marked to the fullest extent possible to ensure that it is afforded
the necessary safeguards.
4-202. Identification Markings.
All classified material shall be marked to show the name and
address of the facility responsible for its preparation, and the
date of preparation. These markings are required on the face of all
classified documents.
4-203. Overall Markings.
The highest level of classified information contained in a document
is its overall marking. The overall marking shall be conspicuously
marked or stamped at the top and bottom on the outside of the front
cover (if any), on the title page (if any), on the first page, and
on the outside of the back cover (if any). If the document does not
have a back cover, the outside of the back or last page, which may
serve as a cover, may also be marked at the top and bottom with the
overall classification of the document. All copies of classified
documents shall also bear the required markings. Overall markings
shall be stamped, printed, etched, written, engraved, painted, or
affixed by means of a tag, sticker, decal, or similar device on
classified material, other than documents, and on containers of
such material, if possible. If marking the material or container is
not practical, written notification of the markings shall be
furnished to recipients.
4-204. Page Markings.
Interior pages of classified documents shall be conspicuously
marked or stamped at the top and bottom with the highest
classification of the information appearing thereon, or the
designation UNCLASSIFIED, if all the information on the page is
UNCLASSIFIED. Alternatively, the overall classification of the
document may be conspicuously marked or stamped at the top and
bottom of each interior page, when necessary to achieve production
efficiency, and the particular information to which classification
is assigned is adequately identified by portion markings in
accordance with 4-206. In any case, the classification marking of
a page shall not supersede a lower level of classification
indicated by a portion marking applicable to information on that
page.
4-205. Component Markings.
The major components of complex documents are likely to be used
separately. In such cases, each major component shall be marked as
a separate document. Examples include: (a) each annex, appendix, or
similar component of a plan, program, or project description; (b)
attachments and appendices to a letter; and (c) each major part of
a report. If an entire major component is UNCLASSIFIED, the first
page of the component may be marked at the top and bottom with the
designation UNCLASSIFIED and a statement included, such as: "All
portions of this (annex, appendix, etc.) are UNCLASSIFIED." When
this method of marking is used, no further markings are required on
the unclassified major component.
4-206. Portion Markings.
Each section, part, paragraph, or similar portion of a classified
document shall be marked to show the highest level of its
classification, or that the portion is unclassified. Portions of
documents shall be marked in a manner that eliminates doubt as to
which of its portions contain or reveal classified information. For
the purpose of applying these markings, a portion or paragraph
shall be considered a distinct section or subdivision of a chapter,
letter, or document dealing with a particular point or idea which
begins on a new line and is often indented. Classification levels
of portions of a document shall be shown by the appropriate
classification symbol placed immediately following the portion's
letter or number, or in the absence of letters or numbers,
immediately before the beginning of the portion. In marking
portions, the parenthetical symbols (TS) for TOP SECRET, (S) for
SECRET, (C) for CONFIDENTIAL, and (U) for UNCLASSIFIED shall be
used.
a. Portions of U.S. documents containing foreign government
information shall be marked to reflect the foreign country of
origin as well as the appropriate classification, for example,
(U.K.-C).
b. Portions of U.S. documents containing extracts from NATO
documents shall be marked to reflect "NATO" or "COSMIC" as well as
the appropriate classification, for example, (NATO-S) or
(COSMIC-TS).
c. When illustrations, photographs, figures, graphs, drawings,
charts, or similar portions are contained in classified documents
they shall be marked clearly to show their classified or
unclassified status. These classification markings shall not be
abbreviated and shall be prominent and placed within or contiguous
(touching or near) to such a portion. Captions of such portions
shall be marked on the basis of their content alone by placing the
symbol (TS), (S), (C), or (U) immediately preceding the caption.
d. If, in an exceptional situation, parenthetical marking of the
portions is determined to be impractical, the classified document
shall contain a description sufficient to identify the exact
information that is classified and the classification level(s)
assigned to it. For example, each portion of a document need not be
separately marked if all portions are classified at the same level,
provided a full explanation is included in the document.
4-207. Subject and Title Markings.
Unclassified subjects and titles shall be selected for classified
documents, if possible. An unclassified subject or title shall be
marked with a (U) placed immediately following and to the right of
the item. A classified subject or title shall be marked with the
appropriate symbol (TS), (S), or (C) placed immediately following
and to the right of the item.
4-208. Markings for the "Classified by," "Downgrade to," or
"Declassify on" Lines.
All classified information shall be marked to reflect the source of
the classification; downgrading instructions, if appropriate; and
declassification instructions. The markings used to show this
information are as follows:
CLASSIFIED BY
DOWNGRADE TO ON
DECLASSIFY ON
Documents shall show the required information either on the cover,
first page, title page, or in another prominent position. Other
material shall show the required information on the material itself
or, if not practical, in related or accompanying documentation.
a. The "CLASSIFIED BY" Line. The purpose of the "Classified by"
line is to provide justification for the classification applied to
the material by the contractor and to trace it to the contract
under which it was prepared. In completing the "Classified by"
line, the contractor shall identify the applicable guidance that
authorizes the classification of the material. Normally this will
be a Contract Security Classification Specification for a
contractor. However, many Contract Security Classification
Specifications cite more than one security guide and many times the
contractor is extracting information from a classified source
document. In these cases, the contractor may cite the Contract
Security Classification Specification, use the phrase "multiple
sources" or cite the specific guide or source document that
authorizes the classification. When the phrase "multiple sources"
is used, the contractor shall maintain records that support the
classification for the duration of the contract under which the
material was created. These records may take the form of a
bibliography identifying the applicable classification sources and
be included in the text of a document or they may be maintained
separately. When identifying the Contract Security Classification
Specification on the "Classified by" line, always include the date
of the Contract Security Classification Specification and the
specific contract number for which it was issued. The "Classified
by" line is not required on electronic messages.
b. The "DECLASSIFY ON" Line. The purpose of the "Declassify On"
line is to provide any declassification instructions appropriate
for the material. When completing this line, the contractor shall
use the information specified in the Contract Security
Classification Specification or guide furnished with a classified
contract or cite the source document. Material containing
Restricted Data or Formerly Restricted Data shall not have a
"Declassify On" line.
c. The "DOWNGRADE TO" Line. The purpose of the "Downgrade To"
line is to provide any downgrading instructions appropriate for the
material. When completing this line, the contractor shall insert
SECRET or CONFIDENTIAL and an effective date or event as indicated
in the Contract Security Classification Specification, a guide, or
the source document.
4-209. Extracts of Information.
Most classified material originated under recent Executive orders
contains overall, portion, paragraph, and appropriate downgrading
and declassification markings that will provide sufficient guidance
for the classification of extracted information. However, some
classified material may not have these markings. If contractors
encounter source documents that do not provide the needed markings
the following procedures apply.
a. Information extracted from a classified source document shall
be classified according to the classification markings on the
source.
(1) If the source document contains portion markings, the
classification of the extracted portions shall be carried
forth to the new material.
(2) If the source document does not contain portion markings,
the overall classification of the source document shall be
carried forth to the extracted information in the new
document.
(3) If the new material is classified based on "multiple
sources," the highest level of classification contained in the
document shall be shown as the overall classification on the
new material.
b. Downgrading and declassification markings shown on the source
shall be carried forth to the new material.
(1) If only one source is used, the downgrading and
declassification markings shown on the source shall be carried
forth to the new material. If no date or event is shown on the
source, the new material shall show "Originating Agency's
Determination Required" or "OADR" on the "Declassify on" line.
(2) If the new material is classified based on "multiple
sources," the most remote date or event for declassification shown
on any source shall be assigned to the new material. If any source
shows "OADR," or no date of event is shown, the "Declassify on"
line on the new document or material shall show "Originating
Agency's Determination Required" or "OADR."
c. If the contractor requires more definitive guidance, the
originator of the source document, or the GCA that provided the
document, may be contacted and requested to provide appropriate
markings or an appropriate security classification guide. In any
case, the classification markings for a source document are the
responsibility of the originator, and not the contractor extracting
the information. Contractors are encouraged to contact the
originator to avoid improper or unnecessary classification of
material.
4-210. Marking Special Types of Material.
The following procedures are for marking special types of material,
but are not all inclusive. The procedures cover the types of
materials that are most often produced by contractors and may be
varied to accommodate the physical characteristics of the material,
organizational and operational requirements, and ultimate use of
the item produced. The intent of the markings is to ensure that the
classification of the item, regardless of its form, is clear to the
holder.
a. Files, Folders, or Groups of Documents. Files, folders,
binders, envelopes, and other items, containing classified
documents, when not in secure storage, shall be conspicuously
marked with the highest classification of any classified item
included therein. Cover sheets may be used for this purpose.
b. Messages. Electronically transmitted messages shall be marked
in the same manner required for other documents except as noted
herein. The overall classification of the message shall be the
first item of information in the text. A "Classified By" line is
not required on messages. When messages are printed by an automated
system, all markings may be applied by that system, provided the
classification markings are clearly distinguished from the printed
text. Included in the last line of text of the message is the date
or event for declassification or the notation Originating Agency's
Determination Required or OADR, and the downgrading action, if
applicable. In record communications systems, electronically
transmitted messages shall be marked in accordance with JANAP 128
format requirements.
c. Microforms. Microforms contain images or text in sizes too
small to be read by the unaided eye. The applicable markings
specified in 4-202 through 4-208 shall be conspicuously marked on
the microform medium or its container, to be readable by the
unaided eye. These markings shall also be included on the image so
that when the image is enlarged and displayed or printed, the
markings will be conspicuous and readable. Further markings and
handling shall be as appropriate for the particular microform
involved.
d. Translations. Translations of U.S. classified information into
a language other than English shall be marked to show the U.S. as
the country of origin, with the appropriate U.S. markings as
specified in 4-202 through 4-208, and the foreign language
equivalent thereof. (See Appendix B).
4-211. Marking Transmittal Documents.
A transmittal document shall be marked with the highest level of
classified information contained therein and with an appropriate
notation to indicate its classification when the enclosures are
removed. An unclassified document that transmits a classified
document as an attachment shall bear a notation substantially as
follows: Unclassified when Separated from Classified Enclosures. A
classified transmittal that transmits higher classified information
shall be marked with a notation substantially as follows:
CONFIDENTIAL (or SECRET) when Separated from Enclosures. In
addition, a classified transmittal itself must bear all the
classification markings required by this Manual for a classified
document.
4-212. Marking Wholly Unclassified Material.
Normally, wholly UNCLASSIFIED material will not be marked or
stamped UNCLASSIFIED unless it is essential to convey to a
recipient of such material that: (a) The material has been examined
specifically with a view to impose a security classification and
has been determined not to require classification; or (b) The
material has been reviewed and has been determined to no longer
require classification and it is declassified.
4-213. Marking Compilations.
a. Documents. In some instances, certain information that would
otherwise be unclassified when standing alone may require
classification when combined or associated with other unclassified
information. When classification is required to protect a
compilation of such information, the overall classification
assigned to the document shall be conspicuously marked or stamped
at the top and bottom of each page and on the outside of the front
and back covers, if any. The reason for classifying the compilation
shall be stated at an appropriate location at or near the beginning
of the document. In this instance, the portions of a document
classified in this manner need not be marked.
b. Portions of a Document. If a classified document contains
certain portions that are unclassified when standing alone, but
classified information will be revealed when they are combined or
associated, those portions shall be marked as unclassified, the
page shall be marked with the highest classification of any
information on the page, and a statement shall be added to the
page, or to the document, to explain the classification of the
combination or association to the holder. This method of marking
may also be used if classified portions on a page, or within a
document, will reveal a higher classification when they are
combined or associated than when they are standing alone.
4-214. Marking Miscellaneous Material.
Unless a requirement exists to retain material such as rejects,
typewriter ribbons, carbons, and similar items for a specific
purpose, there is no need to mark, stamp, or otherwise indicate
that the material is classified. (NOTE: Such material developed in
connection with the handling, processing, production, and
utilization of classified information shall be handled in a manner
that ensures adequate protection of the classified information
involved and destruction at the earliest practical time.)
4-215. Marking Training Material.
Unclassified documents or material that are created to simulate or
demonstrate classified documents or material shall be clearly
marked to indicate the actual UNCLASSIFIED status of the
information. For example: SECRET FOR TRAINING PURPOSES ONLY,
OTHERWISE UNCLASSIFIED or UNCLASSIFIED SAMPLE, or a similar marking
may be used.
4-216. Marking Downgraded or Declassified Material.
Classified information, which is downgraded or declassified, shall
be promptly and conspicuously marked to indicate the change. If the
volume of material is such that prompt remarking of each classified
item cannot be accomplished without unduly interfering with
operations, a downgrading and declassification notice may be
attached to the inside of the file drawers or other storage
container in lieu of the remarking otherwise required. Each notice
shall specify the authority for the downgrading or declassification
action, the date of the action, and the storage container to which
it applies. When documents or other material subject to downgrading
or declassification are withdrawn from the container solely for
transfer to another, or when the container is transferred from one
place to another, the transfer may be made without remarking, if
the notice is attached to the new container or remains with each
shipment. When the documents or material are withdrawn for use or
for transmittal outside the facility, they shall be remarked in
accordance with a or b below.
a. Automatic Downgrading or Declassification Actions. Holders of
classified material may take automatic downgrading or
declassification actions as specified by the markings on the
material without further authority for the action. All old
classification markings shall be canceled and the new markings
substituted, whenever practical. In the case of documents, as a
minimum, the outside of the front cover (if any), the title page
(if any), the first page, and the outside of the back cover (if
any), shall reflect the new classification markings, or the
designation UNCLASSIFIED. Other material shall be remarked by the
most practical method for the type of material involved to ensure
that it is clear to the holder what level of classification is
assigned to the material. Old markings shall be canceled, if
possible, on the material itself. If not practical, the material
may be marked by affixing new decals, tags, stickers, and the like
to the material or its container.
b. Other than Automatic Downgrading or Declassification Actions.
When contractors are notified of downgrading or declassification
actions that are contrary to the markings shown on the material,
the material shall be remarked to indicate the change. All old
classification markings shall be canceled and the new markings
substituted, whenever practical. In the case of documents, as a
minimum, the outside of the front cover (if any), the title page
(if any), the first page, and the outside of the back cover (if
any), shall reflect the new classification markings or the
designation UNCLASSIFIED. In addition, the material shall be marked
to indicate the authority for the action, the date of the action,
and the identity of the person or contractor taking the action.
Other holders shall be notified if further dissemination has been
made by the contractor.
4-217. Upgrading Action.
When a notice is received to upgrade material to a higher level,
for example from CONFIDENTIAL to SECRET, the new markings shall be
immediately entered on the material in accordance with the notice
to upgrade, and all the superseded markings shall be obliterated.
The authority for, and the date of, the upgrading action shall be
entered on the material. As appropriate, other holders shall be
notified if further dissemination of the material has been made by
the contractor. (See 4-218 below).
4-218. Miscellaneous Actions.
If classified material is inadvertently distributed outside the
facility without the proper classification assigned to it, or
without any markings to identify the material as classified, the
contractor shall, as appropriate:
a. Determine whether all holders of the material are cleared and
are authorized access to it.
b. Determine whether control of the material has been lost.
c. If recipients are cleared for access to the material, promptly
provide written notice to all holders of the proper classification
to be assigned. If control of the material has been lost, if all
copies cannot be accounted for, or if unauthorized personnel have
had access to it, report the compromise to the CSA.
d. In the case of classified material being upgraded, the
contractor's written notice shall not be classified unless the
notice contains additional information warranting classification.
In the case of material which was inadvertently released as
UNCLASSIFIED, the contractor's written notice shall be classified
CONFIDENTIAL, unless it contains additional information warranting
a higher classification. The notice shall cite the applicable
Contract Security Classification Specification or other
classification guide on the "Classified by" line and be marked with
an appropriate declassification instruction.
4-219. Documents Generated Under Previous Executive Orders.
Documents classified under previous executive orders need not be
remarked to comply with the marking requirements of E.O. 12356. Any
automatic downgrading or declassification action specified on such
documents may be taken without further authority. Information
extracted from these documents for use in new documents shall be
marked for downgrading or declassification action as specified on
the source document. If automatic markings are not included on the
source documents, the documents shall remain classified until
authority is obtained from the originating agency for downgrading
or declassification action. Information extracted from such
documents for use in new documents shall specify "Originating
Agency's Determination Required" on the "Declassify on" line.
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