FROM: HOWARD LANDON, OFFICE OF INFORMATION, RESOURCES AND RECORDS MANAGEMENT (HR-41)
TO: DIRECTIVES POINTS OF CONTACT
SUBJECT: DIRECTIVES MANAGEMENT DOCUMENT FOR Proposed DOE O 471.X, IDENTIFYING INFORMATION AS "FOR OFFICIAL USE ONLY"
The subject DMD, developed by the Office of Security Affairs, is attached for your review and comments. The DMD provides a description of a proposed new directive that will establish a program within DOE to identify and mark sensitive unclassified information that may be exempt from public release under the Freedom of Information Act. Such a program is necessary because a wide variety of markings are currently in use within DOE to attempt to identify and mark such information, but no guidelines exist to describe what such markings mean, explain their basis, or ensure consistency in their use.
Comments on the DMD are due by April 19, 1999. MAJOR ISSUES AND SUGGESTED COMMENTS should be designated as such when submitted. MAJOR ISSUES shall be limited only to instances where the directive in its entirety, or one or more of its requirements, would have an adverse effect on DOE policy objectives, mission accomplishment, economy, efficiency, or other management concerns that would preclude its publication. Major issues need to be supported by the head of Departmental Element making the comment.
Directives Points of Contact at Headquarters and Field Elements: Submit comments to Linda Brightwell, by mail to NN-521, Room G-314, GERMANTOWN; by facsimile to 301-903-1230; or to Linda.Brightwell@hq.doe.gov. Submit a second copy of comments to Marolyn Hester, by mail to HR-41, Room 8F-084, FORRESTAL; by facsimile to 202-586-1972; or to marolyn.hester@hq.doe.gov.
Directives Points of Contact at Field Elements: Submit consolidated comments to the Order writer as well as a copy to MA-41. The package submitted by Field Elements shall include as an attachment the comments provided by contractors.
Contractors will submit comments directly to their appropriate Field Elements.
Questions concerning the content of the DMD should be directed to Ms. Brightwell at 301-903-5454. Contact Ms. Hester at 202-586-6811 for questions pertaining to the directives system.
Attachment
DIRECTIVES MANAGEMENT DOCUMENT
Draft DOE O 471.X, IDENTIFYING INFORMATION AS "FOR OFFICIAL USE ONLY"
Purpose of Proposed Directive: To establish a program within DOE to identify and mark sensitive unclassified information that may be exempt from public release under the Freedom of Information Act (FOIA) (to be identified as "For Official Use only").
Applicability: Except for those DOE facilities and activities that are regulated by the Nuclear Regulatory Commission, the proposed directive will apply to all DOE Elements and all categories of contractors and subcontractors to the extent set forth in their contracts.
Operational Impact: The principal impact of the proposed directive will be on originators of documents. When each document is created, the originator should consider whether it contains any sensitive unclassified information that may be exempt from disclosure. If it does, the originator shall ensure that the document is marked "For Official Use Only" and shall identify the FOIA exemption number he/she believes may apply.
Cost Impact: There is not cost associated with implementing proposed directive.
Related Directives: A manual containing procedural and marking requirements and a guide providing additional information on the FOIA exemptions as well as examples of information possibly falling under each exemption will be issued with the proposed directive. All three documents will be formally coordinated together.
Directives Management Issues/Process Significant Dates:
DMD out for comment by: March 19, 1999
Comments due by: April 19, 1999
Order/manual/guide out for comment by: December 15, 1999
Comments due by: February 1, 2000
Order/manual/guide issued: April 30, 2000
References: 10 CFR Part 1004, Freedom of Information, of 5-3-88 and DOE O 471.2A, INFORMATION SECURITY PROGRAM, dated 3-27-97.
March 5, 1999
MEMORANDUM FOR: HOWARD LANDON, MANAGEMENT ANALYST
OFFICE OF INFORMATION, RECORDS AND
RESOURCE MANAGEMENT
OFFICE OF INFORMATION MANAGEMENT
OFFICE OF MANAGEMENT AND ADMINISTRATION
FROM: A. BRYAN SIEBERT, DIRECTOR
OFFICE OF DECLASSIFICATION
OFFICE OF SECURITY AFFAIRS
SUBJECT: Coordination of Directive Management Document
Attached for formal coordination is a Directive Management Document for a proposed new directive that establishes a program within DOE to identify and mark sensitive unclassified information that may be exempt from public release under the Freedom of Information Act (FOIA). Such a program is necessary because a wide variety of markings are currently in use within DOE to attempt to identify and mark such information, but no guidelines exist to describe what such markings mean, explain their basis, or ensure consistency in their use.
If you have any questions, please call Linda Brightwell on 3-5454.
Attachment
cc w/attachment:
Marshall Combs, NN-514
DIRECTIVE MANAGEMENT DOCUMENT FOR
DOE ORDER _____, IDENTIFYING INFORMATION AS
"FOR OFFICIAL USE ONLY"
(NOTE: The FOIA is the unifying concept for all information control systems in the Government. In general, any Government information must be released to anyone who requests it under the FOIA. However, certain limited categories of information are specified in the FOIA as being exempt from such requests. As a result, any effective attempt to control sensitive Government information must have its basis in the nine FOIA exemptions. Two of these exemption categories concern classified information and other statutorily controlled information. Sensitive but unclassified information covered by the other seven exemption categories in the FOIA is the subject of this DMD.)
Why proposed directive is being issued: DOE lacks a program to systematically identify and mark sensitive unclassified information that may be exempt from disclosure under the FOIA. This shortcoming was recognized in a General Accounting Office report titled "DOE Needs to Improve Controls Over Foreign Visitors to Weapons Laboratories," dated September 1997. While the report focused on how well DOE manages visits by foreign nationals to the weapons laboratories, a consistent theme throughout the report was the inadequate protection of sensitive unclassified information. To be able to protect such information, it must first be identified and marked.
A historic precedent exists for the issuance of a directive to manage this program. The Atomic Energy Commission (AEC) issued Manual Chapter 2104, "Control of Information for Official Use Only." When the Energy Research and Development Administration (ERDA) and DOE were created, the contents of the AEC manual chapter were under review for reissuance but were never converted to directives -- not because the program was no longer needed, it just dropped through the cracks as ERDA was replaced by DOE. It is now time to correct this mistake. Similar programs to identify sensitive unclassified information exist within virtually every other Government agency. For example, the Department of Defense and all its components also use "For Official Use Only;" the Department of State uses "Sensitive but Unclassified;" and the Department of Justice uses "Limited Official Use."
Many ad hoc markings are currently used throughout DOE that attempt to keep information that may be exempt from public disclosure from being inadvertently released (e.g., "Official Use Only," "Company Proprietary," "Attorney/Client Privileged Information," "Personal," "Company Official," "In Confidence," "Predecisional Draft," "Personal Information"). However, no guidelines exist that describe when and how to use such markings. This widespread but unauthorized creation of such a variety of markings all directed to the same purpose proves the need for a systematic approach to this issue. Protection requirements exist for sensitive but unclassified information, but with no specific instructions for identifying such information and marking the documents, these protection requirements are useless.
Intended benefits of the proposed directive:
Establishes consistent requirements and guidelines for identifying and marking documents as containing information "For Official Use Only." The wide variety of markings that are currently being used throughout the Department to designate sensitive but unclassified information (as noted above) will be consolidated into a more consistently understood marking which also identifies the FOIA exemption that may apply. Guidelines will also be issued which explain the types of information covered by each exemption and provide examples.
Prevents the inadvertent release of information to individuals who do not possess a need to know the information to perform official duties. An unmarked document containing sensitive unclassified information may be given to someone who does not have a need to know the information simply because the person asks for a copy. If that document were marked "For Official Use Only," it would not be casually given away. However, marking a document "For Official Use Only" does not restrict sharing that document with people who need to know the information to perform official duties or other DOE-authorized activities.
Prevents the over control of information thereby restricting access to information that should be available for release. DOE's policy of responsible openness means that we should control only that information that is legitimately eligible for control. Therefore, by establishing guidelines on what types of information are eligible to be marked as "For Official Use Only" and by applying these guidelines consistently throughout the Department, only those documents that should be controlled will be marked "For Official Use Only."
Assists the FOIA Officer to identify information that may be exempt from disclosure under the FOIA. When a FOIA request is received, the FOIA Officer must locate the documents that are responsive to that request and determine what information may be exempt from disclosure. If the originator of a document that is responsive to a FOIA request had marked the document "For Official Use Only," he/she also would have identified the FOIA exemption number he/she believed may apply. While the document is not then automatically exempt from disclosure, this marking provides the FOIA Officer with some insights as to why the originator thought the information was sensitive and possibly eligible for exemption. The existence of the "For Official Use Only" marking or the lack of such a marking on a document does not affect the job of the FOIA Officer to determine whether the information should be released to a requester.
APPLICABILITY: Except for those DOE facilities and activities that are regulated by the Nuclear Regulatory Commission, the proposed directive will apply to all DOE Elements and all categories of contractors and subcontractors to the extent set forth in their contracts.
OPERATIONAL IMPACT: The principal impact of the proposed directive will be on originators of documents. When each document is created, the originator should consider whether it contains any sensitive unclassified information that may be exempt from disclosure. If it does, the originator shall ensure that the document is marked "For Official Use Only" and shall identify the FOIA exemption number he/she believes may apply.
RELATED DIRECTIVES: A manual containing procedural and marking requirements and a guide providing additional information on the FOIA exemptions as well as examples of information possibly falling under each exemption will be issued with the proposed directive. All three documents will be formally coordinated together.
DIRECTIVE MANAGEMENT ISSUES:
DMD sent out for comment by March 19, 1999 Comments due by April 19, 1999 Order/manual/guide sent out for comment by December 15, 1999 Comments due by February 1, 2000 Order/manual/guide issued April 30, 2000
REFERENCES:
10 CFR Part 1004, Freedom of Information, of 5-3-88.
DOE O 471.2A, INFORMATION SECURITY PROGRAM, of 3-27-97.