DoD Manual 5200.01, Volume 1, February 24, 2012 .

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Department of DefenseMANUALNUMBER 5200.01, Volume 1February 24, 2012Incorporating Change 1, May 4, 2018USD(I)SUBJECT:DoD Information Security Program: Overview, Classification, andDeclassificationReferences: See Enclosure 11. PURPOSEa. Manual. This Manual is composed of several volumes, each containing its own purpose.The purpose of the overall Manual, as authorized by DoD Directive (DoDD) 5143.01 (Reference(a)) and DoD Instruction (DoDI) 5200.01 (Reference (b)), is to reissue DoD 5200.1-R(Reference (c)) as a DoD manual (DoDM) to implement policy, assign responsibilities, andprovide procedures for the designation, marking, protection, and dissemination of controlledunclassified information (CUI) and classified information, including information categorized ascollateral, sensitive compartmented information (SCI), and Special Access Program (SAP). Thisguidance is developed in accordance with Reference (b), Executive Order (E.O.) 13526 and E.O.13556, and parts 2001 and 2002 of title 32, Code of Federal Regulations (References (d), (e), and(f)). This combined guidance is known as the DoD Information Security Program.b. Volume. This Volume:(1) Describes the DoD Information Security Program.(2) Provides guidance for classification and declassification of DoD information thatrequires protection in the interest of the national security.(3) Cancels Reference (c) and DoD O-5200.1-I (Reference (g)).(4) Incorporates and cancels Directive-Type Memorandums 04-010 (Reference (h)) and11-004 (Reference (i)).2. APPLICABILITY. This Volume:

DoDM 5200.01-V1, February 24, 2012a. Applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefsof Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector General of theDepartment of Defense, the Defense Agencies, the DoD Field Activities, and all otherorganizational entities within the Department of Defense (hereinafter referred to collectively asthe “DoD Components”).b. Does NOT alter existing authorities and responsibilities of the Director of NationalIntelligence (DNI) or of the heads of elements of the Intelligence Community pursuant topolicies issued by the DNI. Consistent with Reference (b), SCI shall be safeguarded inaccordance with the policies and procedures issued by the DNI, as implemented by DoD5105.21-M-1 Volumes 1 - 3 of DoDM 5105.21 (Reference (j)) and other applicable guidance.3. DEFINITIONS. See Glossary.4. POLICY. It is DoD policy, in accordance with Reference (b), to:a. Identify and protect national security information and CUI in accordance with nationallevel policy issuances.b. Promote information sharing, facilitate judicious use of resources, and simplifymanagement through implementation of uniform and standardized processes.c. Classify and declassify national security information as required by References (d) and (f).5. RESPONSIBILITIES. See Enclosure 2.6. PROCEDURES. See Enclosures 3 through 6.7. INFORMATION COLLECTION REQUIREMENTSa. The Annual Report on Classified Information referenced in paragraph 7.m. of Enclosure 2of this Volume has been assigned Report Control Symbol (RCS) DD-INT(AR)1418 inaccordance with the procedures in DoD 8910.1-M Volume 1 of DoDM 8910.01 (Reference (k)).b. The DoD Security Classification Guide Data Elements, DoD (DD) Form 2024, “DoDSecurity Classification Guide Certified Data Elements,” referenced in section 6 of Enclosure 6of this Volume, has been assigned RCS DD-INT(AR)1418 in accordance with the procedures inReference (k).Change 1, 05/04/20182

DoDM 5200.01-V1, February 24, 20128. RELEASABILITY. UNLIMITED. Cleared for public release. This Volume is approvedfor public release and is available on the Internet from the DoD Issuances Website athttp://www.dtic.mil/whs/directives.9. EFFECTIVE DATE. This Volume is effective upon its publication to the DoD IssuancesWebsite February 24, 2012.Enclosures1. References2. Responsibilities3. DoD Information Security Program Overview4. Classifying Information5. Declassification and Changes in Classification6. Security Classification GuidesGlossaryChange 1, 05/04/20183

DoDM 5200.01-V1, February 24, 2012TABLE OF CONTENTSENCLOSURE 1: REFERENCES .89ENCLOSURE 2: RESPONSIBILITIES .1113UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE (USD(I)) .1113UNDER SECRETARY OF DEFENSE FOR POLICY (USD(P)) .1114DoD CHIEF INFORMATION OFFICER (CIO) .1214ADMINISTRATOR, DEFENSE TECHNICAL INFORMATION CENTER (DTIC).1215DIRECTOR, WHS .1215HEADS OF THE DoD COMPONENTS .1218SENIOR AGENCY OFFICIALS .1316HEADS OF DoD ACTIVITIES .1619ACTIVITY SECURITY MANAGER .1721TSCO .1922SENIOR INTELLIGENCE OFFICIALS .1923INFORMATION SYSTEMS SECURITY OFFICIALS .2024ENCLOSURE 3: DoD INFORMATION SECURITY PROGRAM OVERVIEW .2125PURPOSE .2125SCOPE .2125PERSONAL RESPONSIBILITY .2125NATIONAL AUTHORITIES FOR SECURITY MATTERS .2125President of the United States .2125National Security Council (NSC) .2125DNI .2126ISOO .2226CUI Office (CUIO) .2226DoD INFORMATION SECURITY PROGRAM MANAGEMENT.2226USD(I).2226USD(P).2226DoD CIO .2226National Security Agency/Central Security Service (NSA/CSS) .2327DIA .2327Defense Security Service (DSS) .2327DTIC .2327DoD Joint Referral Center (JRC).23DoD COMPONENT INFORMATION SECURITY MANAGEMENT .2327Head of the DoD Component .2328Senior Agency Officials .2428Activity Security Management .2428TSCO .2529Other Security Management Roles .2529Change 1, xx/xx/xxx4CONTENTS

DoDM 5200.01-V1, February 24, 2012USE OF CONTRACTORS IN SECURITY ADMINISTRATION .2630USE OF FOREIGN NATIONALS IN SECURITY ADMINISTRATION .31CLASSIFICATION AUTHORITY .2733CLASSIFICATION POLICY .2733RECLASSIFICATION .2733ACCESS TO CLASSIFIED INFORMATION .2833Requirements for Access .2833Nondisclosure Agreements .2833NATO Briefing for Cleared Personnel .2834Access By Individuals Outside the Executive Branch .2934PROTECTION REQUIREMENTS .2934Protection of Restricted Data (RD) and Formerly Restricted Data (FRD) .2934Protection of SCI.3035Protection of COMSEC Information .3035Protection of SAP Information .3035Protection of NATO and FGI .3035Protection of Nuclear Command and Control-Extremely Sensitive Information(NC2-ESI) .3036RETENTION .3036PERMANENTLY VALUABLE RECORDS .3036MILITARY OPERATIONS .3136WAIVERS AND EXCEPTIONS .3136CORRECTIVE ACTIONS AND SANCTIONS .3137Procedures .3137Sanctions .3138Reporting of Incidents.3238APPENDIX: DOD COMPONENT REQUEST FOR WAIVER OREXCEPTION . .39ENCLOSURE 4: CLASSIFYING INFORMATION .3340CLASSIFICATION POLICY .3340CLASSIFICATION PROHIBITIONS .3340LEVELS OF CLASSIFICATION .3441Top Secret .3441Secret.3441Confidential.3441ORIGINAL CLASSIFICATION .3441REQUESTS FOR OCA .3542ORIGINAL CLASSIFICATION PROCESS .3643CHANGING THE LEVEL OF CLASSIFICATION .3744SECURITY CLASSIFICATION GUIDANCE .3845TENTATIVE CLASSIFICATION .3845DERIVATIVE CLASSIFICATION .3844RESPONSIBILITIES OF DERIVATIVE CLASSIFIERS .3946Change 1, xx/xx/xxx5CONTENTS

DoDM 5200.01-V1, February 24, 2012PROCEDURES FOR DERIVATIVE CLASSIFICATION .3946DURATION OF CLASSIFICATION .4047Originally Classified Information .4047Derivatively Classified Information .4148Extending the Duration of Classification.4148FORMAT FOR DISSEMINATION .4148COMPILATIONS .4148CLASSIFICATION OF ACQUISITION INFORMATION .4350CLASSIFICATION OF INFORMATION RELEASED TO THE PUBLIC .4350Classified Information Released Without Proper Authority.4350Reclassification of Information Declassified and Released to the Public UnderProper Authority .4451Information Declassified and Released to the Public Without Proper Authority .4652CLASSIFICATION OR RECLASSIFICATION FOLLOWING RECEIPT OF AREQUEST FOR INFORMATION .4653CLASSIFYING NON-GOVERNMENT RESEARCH AND DEVELOPMENTINFORMATION.4754THE PATENT SECRECY ACT OF 1952 .4754REQUESTS FOR CLASSIFICATION DETERMINATION .4856CHALLENGES TO CLASSIFICATION.4956Principles.4956Procedures .4957ENCLOSURE 5: DECLASSIFICATION AND CHANGES IN CLASSIFICATION .5159DECLASSIFICATION POLICY .5159PROCESSES FOR DECLASSIFICATION .5260AUTHORITY TO DECLASSIFY.5261DECLASSIFICATION GUIDANCE .5361DECLASSIFICATION OF INFORMATION.5362CANCELING OR CHANGING CLASSIFICATION MARKINGS .5462SPECIAL PROCEDURES FOR CRYPTOLOGIC INFORMATION .5462PERMANENTLY VALUABLE RECORDS .5463RECORDS DETERMINED NOT TO HAVE PERMANENT HISTORICAL VALUE.5563EXTENDING CLASSIFICATION BEYOND 25 YEARS FOR UNSCHEDULEDRECORDS .5563CLASSIFIED INFORMATION IN THE CUSTODY OF CONTRACTORS,LICENSEES, GRANTEES, OR OTHER AUTHORIZED PRIVATEORGANIZATIONS OR INDIVIDUALS .5563AUTOMATIC DECLASSIFICATION .5564Deadline .5664Secretary of Defense Certification .5664Public Release of Automatically Declassified Documents .5665Basis for Exclusion or Exemption from Automatic Declassification .5665Exclusion of RD and FRD .5765Integral File Block .5765Change 1, xx/xx/xxx6CONTENTS

DoDM 5200.01-V1, February 24, 2012Delays of Automatic Declassification .5765Automatic Declassification of Backlogged Records at NARA .5967Declassification Review Techniques .5967EXEMPTIONS FROM AUTOMATIC DECLASSIFICATION .5968Exemption Types .5968Exemption Criteria and Duration .6070Exemption Requests.6270When to Request an Exemption.6371Who Identifies and Requests an Exemption .6371ISCAP Authority.6371Notice to Information Holders .6372DECLASSIFICATION OF INFORMATION MARKED WITH OLDDECLASSIFICATION INSTRUCTIONS .6472REFERRALS IN THE AUTOMATIC DECLASSIFICATION PROCESS .6472Description .6472Referral Responsibility .6472MANDATORY DECLASSIFICATION REVIEW .6473SYSTEMATIC REVIEW FOR DECLASSIFICATION .

The DoD Security Classification Guide Data Elements, DoD (DD) Form 2024, “DoD Security Classification Guide Certified Data Elements,” referenced in section 6 of Enclosure 6 of this Volume , has been assigned RCS DD-INT(AR)1418 in accordance with the procedures in

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