The caveat is a warning that the information has special protections in addition to those indicated by the security classification. Caveats are not classifications and must appear with an appropriate security classification marked as text.
Caveats should not be used extensively in NSW. People who need to know will be cleared and briefed about the significance of information bearing caveats; other people are not to have access to this information.
The Australian Government Security Caveats Guidelines establishes four categories of caveats:
- codewords (sensitive compartment information)
- foreign government markings
- special handling instructions
- releasability caveats.
The Australian Government mandates that caveated information and accountable material be clearly marked and handled in accordance with the originator and the caveat holder’s special handling requirements as established in the Australian Government Security Caveats Guidelines. These special caveat requirements apply in addition to the classification handling requirements.
Australian Government accountable material is information that requires the strictest control over its access and movement. Accountable material includes:
- TOP SECRET security classified information
- some types of caveated information, being:
- all codeword information
- select special handling instruction caveats
- any classified information designated as accountable material by the originator.
What constitutes accountable material may vary from Australian Government entity to entity and could include budget papers, tender documents and sensitive ministerial briefing documents.
National Cabinet information is labelled with a caveat. This can be applied to OFFICIAL: Sensitive information or to information with a security classification. This caveat is unique as other caveats are only applied to information with a security classification. The NATIONAL CABINET caveat identifies any information that has been specifically prepared for National Cabinet or its subcommittees.
Entities must ensure that accountable material:
- has page and reference numbering
- is handled in accordance with any special handling requirements imposed by the originator and caveat owner
- has an auditable record of all incoming and outgoing material, transfer, copy or movements.
Additional information about handling caveats is available in the Sensitive Material Security Management Protocol. Both the Australian Government Security Caveats Guidelines and the Sensitive Material Security Management Protocol documents are available on a need-to-know basis on the GovTEAMS site. If NSW agencies are receiving or using caveated or accountable material these guidelines and protocols should be followed. Table 5 below is from the PSPF - Policy 8 which describes caveat types.
Caveat Types
Table 5: Caveat types
| Caveat types | What kinds of information does this type of caveat cover | What special handling requirements does this caveat impose |
|---|---|---|
| Codewords (sensitive compartmented information) |
Use of codewords is primarily within the national security community. A codeword indicates that the information is of sufficient sensitivity that it requires protection in addition to that offered by a security classification. Each codeword identifies a special need-to-know compartment. A compartment is a mechanism for restricting access to information by defined individuals who have been ‘briefed’ on the particular sensitivities of that information and any special rules that may apply. The codeword is chosen so that its ordinary meaning is unrelated to the subject of the information. |
It may be necessary to take precautions beyond those indicated by the security classification to protect the information. These will be specified by the entity that owns the information, for instance those with a need to access the information will be given a special briefing first. |
| Foreign government markings | Foreign government markings are applied to information created by Australian agencies from foreign source information. |
PSPF Policy 7: Security governance for international sharing requires that, where an international agreement or international arrangement is in place, entities must safeguard sensitive or security classified foreign entity information or assets in accordance with the provisions set out in the agreement or arrangement. Foreign government marking caveats require protection at least equivalent to that required by the foreign government providing the source information. |
| Special handling instructions | Use of special handling instructions is primarily within the national security community. Some special handling instructions are used more broadly across government, as follows: | Special handling instructions indicate particular precautions for information handling. |
| EXCLUSIVE FOR (named person) The EXCLUSIVE FOR caveat identifies information intended for access by a named recipient only. |
Access to EXCLUSIVE FOR information is limited to a named person, position title or designation. |
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| CABINET The CABINET caveat identifies any information that: i. is prepared for the purpose of informing the Cabinet ii. reveals the decision and/or deliberations of the Cabinet iii. is prepared by departments to brief their ministers on matters proposed for Cabinet consideration iv. has been created for the purpose of informing a proposal to be considered by the Cabinet |
The Cabinet Handbook specifies handling requirements for Cabinet documents. This includes applying a security classification of at least PROTECTED to all Cabinet documents and associated records. | |
|
NATIONAL CABINET
|
The Australian Government Cabinet Handbook specifies handling requirements for National Cabinet documents. Information marked with the NATIONAL CABINET caveat is to be handled in accordance with Cabinet conventions and within legal frameworks and processes such as Freedom of Information, parliamentary inquiries and judicial processes. This caveat can be applied to information marked as OFFICIAL: Sensitive or with a security classification |
|
| Releasability caveats | There are three releasability caveats used across government: | Releasability caveats limit access to information based on citizenship. |
| Australian Eyes Only (AUSTEO) The AUSTEO caveat indicates only Australian citizens can access the information. Additional citizenships do not preclude access. |
Information marked AUSTEO is only passed to, or accessed by, Australian citizens. While a person who has dual Australian citizenship may be given AUSTEO-marked information, in no circumstance may the Australian citizenship requirement be waived. |
|
| Australian Government Access Only (AGAO) In limited circumstances, AGAO is used by the: i. Australian Signals Directorate (ASD) |
ASD, ASIO, ASIS, the Department of Defence and ONI may pass information marked with the AGAO caveat to appropriately cleared representatives of Five Eyes foreign governments on exchange or long-term posting or attachment to the Australian Government. For other entities, AGAO information is handled as if it were marked AUSTEO. |
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Releasable To (REL) Countries are identified using three letter country codes from International Standard ISO 3166‐1:2013 Codes for the representation of names of countries and their subdivisions – Alpha 3 codes. |
For example, REL AUS/CAN/GBR/NZL/USA means that the information may be passed to citizens of Australia, Canada, United Kingdom, New Zealand and the United States of America only. The caveat is an exclusive marking that disqualifies a third-party national seconded or embedded in an Australian or foreign government entity from accessing the information. |
Last updated 01 Dec 2021