[Federal Register Volume 60, Number 198 (Friday, October 13, 1995)]
[Rules and Regulations]
[Pages 53492-53502]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25363]
[[Page 53491]]
_______________________________________________________________________
Part VI
Office of Management and Budget
_______________________________________________________________________
32 CFR Part 2001
Information Security Oversight Office; Classified National Security
Information; Final Rule
Federal Register / Vol. 60, No. 198 / Friday, October 13, 1995 /
Rules and Regulations
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[[Page 53492]]
OFFICE OF MANAGEMENT AND BUDGET
Information Security Oversight Office; Classified National
Security Information
32 CFR Part 2001
[Directive No. 1]
AGENCY: Information Security Oversight Office (ISOO), Office of
Management and Budget (OMB).
ACTION: Implementing directive; final rule.
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SUMMARY: The Information Security Oversight Office, Office of
Management and Budget, is publishing this Directive as a final rule and
pursuant to Sec. 5.2 (a) and (b) of Executive Order 12958, relating to
classified national security information. The Executive order
prescribes a uniform system for classifying, safeguarding, and
declassifying national security information; it also establishes a
monitoring system to enhance its effectiveness. This Directive sets
forth guidance to agencies on original and derivative classification,
downgrading and declassification.
EFFECTIVE DATE: October 14, 1995.
FOR FURTHER INFORMATION CONTACT: Steven Garfinkel, Director, ISOO.
Telephone: 202-395-7450.
SUPPLEMENTARY INFORMATION: This final rule is issued pursuant to the
provisions of Sec. 5.2 (a) and (b) of Executive Order 12958 published
April 20, 1995 (60 FR 19825). The purpose of the Directive is to assist
in implementing the Order; users of the Directive shall refer
concurrently to that Order for guidance. As of October 1, 1994, ISOO
became a part of OMB. The Director of OMB delegated the implementation
and monitorship functions of this program to the Director of ISOO. The
drafting and coordination of this Directive fulfills one of the
responsibilities of implementation delegated to the Director of ISOO.
List of Subjects in 32 CFR Part 2001
Archives and records, Authority delegations (Government agencies),
Classified information, Executive orders, Freedom of information,
Information, Intelligence, National defense, National security
information, Presidential documents, Security information, Security
measures.
Title 32 of the Code of Federal Regulations, part 2001, is revised
to read as follows:
PART 2001--CLASSIFIED NATIONAL SECURITY INFORMATION
Subpart A--Classification
Sec.
2001.10 Classification definitions and standards [1.1 and 1.2].
2001.11 Classification authority [1.4].
2001.12 Duration of classification [1.6].
2001.13 Classification challenges [1.9].
2001.14 Classification guides [2.3].
Subpart B--Identification and Markings
2001.20 General [1.7].
2001.21 Original classification [1.7(a)].
2001.22 Derivative classification [2.2].
2001.23 Additional requirements [1.7].
2001.24 Declassification markings [Reserved].
Subpart C--Self-Inspections
2001.30 General [5.6].
2001.31 Coverage [5.6(c)(4)].
Subpart D--Security Education and Training
2001.40 General [5.6].
2001.41 Coverage [5.6(c)(3)].
Subpart E--Declassification
2001.50 Definition [3.1].
2001.51 Automatic declassification [3.4].
2001.52 Systematic declassification review [3.5].
2001.53 Declassification guides [3.5(b)].
2001.54 Mandatory review for declassification [3.6, 3.7].
Subpart F--Reporting
2001.60 Statistical reporting [5.3].
2001.61 Accounting for costs [5.6(c)(8)].
2001.62 Effective date [6.2].
Authority: Section 5.2 (a) and (b), E.O. 12958, 60 FR 19825,
April 20, 1995.
Subpart A--Classification
Sec. 2001.10 Classification definitions and standards [1.1 and
1.2].\1\
(a) Definitions. (1) An original classification authority with
jurisdiction over the information includes:
\1\ Bracketed references pertain to related sections of
Executive Order 12958.
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(i) The official who authorized the original classification, if
that official is still serving in the same position;
(ii) The originator's current successor in function;
(iii) A supervisory official of either; or
(iv) The senior agency official under Executive Order 12958 (``the
Order'').
(2) Permanently valuable information or permanent historical value
refers to information contained in:
(i) Records that have been accessioned into the National Archives
of the United States;
(ii) Records that have been scheduled as permanent under a records
retention schedule approved by the National Archives and Records
Administration (NARA); and
(iii) Presidential historical materials, presidential records or
donated historical materials located in the National Archives of the
United States, a presidential library, or any other approved
repository.
(b) Identifying or describing damage to the national security.
Section 1.2(a) of the Order sets forth the conditions for classifying
information in the first instance. One of these conditions, the ability
to identify or describe the damage to the national security, is
critical to the process of making an original classification decision.
There is no requirement, at the time of the decision, for the original
classification authority to prepare a written description of such
damage. However, the original classification authority must be able to
support the decision in writing, including identifying or describing
the damage, should the classification decision become the subject of a
challenge or access demand.
Sec. 2001.11 Classification authority [1.4].
(a) General. Agencies with original classification authority shall
establish a training program for original classifiers in accordance
with subpart D of this part.
(b) Requests for original classification authority. Agencies not
possessing such authority shall forward requests to the Director of the
Information Security Oversight Office (ISOO). The agency head must make
the request and shall provide a specific justification of the need for
this authority. The Director of ISOO shall forward the request, along
with the Director's recommendation, to the President through the
Director of the Office of Management and Budget within 30 days.
Agencies wishing to increase their assigned level of original
classification authority shall forward requests in accordance with the
procedures of this section.
Sec. 2001.12 Duration of classification [1.6].
(a) Determining duration of classification for information
originally classified under the Order--(1) Establishing duration of
classification. When determining the duration of classification for
information originally classified under this Order, an original
classification authority shall follow the sequence listed in paragraphs
(a)(1)(i), (ii), and (iii) of this section.
(i) The original classification authority shall attempt to
determine a date or event that is less than 10 years from the date of
original classification and which coincides with the lapse of the
information's national security sensitivity, and shall assign such date
or event as the declassification instruction.
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(ii) If unable to determine a date or event of less than 10 years,
the original classification authority shall ordinarily assign a
declassification date that is 10 years from the date of the original
classification decision.
(iii) The original classification authority may assign an exemption
designation to the information only if the information qualifies for
exemption from automatic declassification as described in section
1.6(d) of the Order. Unless declassified earlier, such information
contained in records determined by the Archivist of the United States
to be permanently valuable shall remain classified for 25 years from
the date of its origin, at which time it will be subject to section 3.4
of the Order.
(2) Extending duration of classification for information originally
classified under the Order. Extensions of classification are not
automatic. If an original classification authority with jurisdiction
over the information does not extend the classification of information
assigned a date or event for declassification, the information is
automatically declassified upon the occurrence of the date or event. If
an original classification authority has assigned a date or event for
declassification that is 10 years or less from the date of
classification, an original classification authority with jurisdiction
over the information may extend the classification duration of such
information for additional periods not to exceed 10 years at a time.
(i) For information in records determined to have permanent
historical value, successive extensions may not exceed a total of 25
years from the date of the information's origin. Continued
classification of this information beyond 25 years is governed by
section 3.4 of the Order.
(ii) For information in records not determined to have permanent
historical value, successive extensions may exceed 25 years from the
date of the information's origin.
(3) Conditions for extending classification. When extending the
duration of classification, the original classification authority must:
(i) Be an original classification authority with jurisdiction over
the information;
(ii) Ensure that the information continues to meet the standards
for classification under the Order; and
(iii) Make reasonable attempts to notify all known holders of the
information.
(b) Information classified under prior orders.--(1) Specific date
or event. Unless declassified earlier, information marked with a
specific date or event for declassification under a prior order is
automatically declassified upon that date or event. However, if the
information is contained in records determined by the Archivist of the
United States to be permanently valuable, and the prescribed date or
event will take place more than 25 years from the information's origin,
the declassification of the information will instead be subject to
section 3.4 of the Order.
(2) Indefinite duration of classification. For information marked
``Originating Agency's Determination Required,'' its acronym ``OADR,''
or with some other marking indicating an indefinite duration of
classification under a prior order:
(i) A declassification authority, as defined in section 3.1 of the
Order, may declassify it;
(ii) An authorized original classification authority with
jurisdiction over the information may re-mark the information to
establish a duration of classification consistent with the requirements
for information originally classified under the Order, as provided in
paragraph (a) of this section; or
(iii) Unless declassified earlier, such information contained in
records determined by the Archivist of the United States to be
permanently valuable shall remain classified for 25 years from the date
of its origin, at which time it will be subject to section 3.4 of the
Order.
(c) Foreign government information. The declassifying agency is the
agency that initially received or classified the information. When
foreign government information is being considered for declassification
or appears to be subject to automatic declassification, the
declassifying agency shall determine whether the information is subject
to a treaty or international agreement that would prevent its
declassification at that time. Depending on the age of the information
and whether it is contained in permanently valuable records, the
declassifying agency shall also determine if another exemption under
section 1.6(d) (other than section 1.6(d)(5)) or 3.4(b) of the Order,
such as the exemptions that pertain to United States foreign relations,
may apply to the information. If the declassifying agency believes such
an exemption may apply, it should consult with any other concerned
agencies in making its declassification determination. The
declassifying agency or the Department of State, as appropriate, should
consult with the foreign government prior to declassification.
(d) Determining when information is subject to automatic
declassification. The ``date of the information's origin'' or ``the
information's origin,'' as used in the Order and this part, pertains to
the date that specific information, which is contemporaneously or
subsequently classified, is first recorded in an agency's records, or
in presidential historical materials, presidential records or donated
historical materials. The following examples illustrate this process:
Example 1. An agency first issues a classification guide on the
F-99 aircraft on October 20, 1995. The guide states that the fact
that the F-99 aircraft has a maximum velocity of 500 m.p.h. shall be
classified at the ``Secret'' level for a period of ten years. A
document dated July 10, 1999, is classified because it includes the
maximum velocity of the F-99. The document should be marked for
declassification on October 20, 2005, ten years after the specific
information was first recorded in the guide, not on July 10, 2009,
ten years after the derivatively classified document was created.
Example 2. An agency classification guide issued on October 20,
1995, states that the maximum velocity of any fighter aircraft shall
be classified at the ``Secret'' level for a period of ten years. The
agency first records the specific maximum velocity of the new F-88
aircraft on July 10, 1999. The document should be marked for
declassification on July 10, 2009, ten years after the specific
information is first recorded, and not on October 20, 2005, ten
years after the date of the guide's generic instruction.
Sec. 2001.13 Classification challenges [1.9].
(a) Challenging classification. Authorized holders wishing to
challenge the classification status of information shall present such
challenges to an original classification authority with jurisdiction
over the information. An authorized holder is any individual, including
an individual external to the agency, who has been granted access to
specific classified information in accordance with section 4.2(g) of
the Order. A formal challenge under this provision must be in writing,
but need not be any more specific than to question why information is
or is not classified, or is classified at a certain level.
(b) Agency procedures. (1) Because the Order encourages authorized
holders to challenge classification as a means for promoting proper and
thoughtful classification actions, agencies shall ensure that no
retribution is taken against any authorized holders bringing such a
challenge in good faith.
(2) Agencies shall establish a system for processing, tracking and
recording formal classification challenges made by authorized holders.
Agencies shall consider classification challenges
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separately from Freedom of Information Act or other access requests,
and shall not process such challenges in turn with pending access
requests.
(3) The agency shall provide an initial written response to a
challenge within 60 days. If the agency is unable to respond to the
challenge within 60 days, the agency must acknowledge the challenge in
writing, and provide a date by which the agency will respond. The
acknowledgment must include a statement that if no agency response is
received within 120 days, the challenger has the right to forward the
challenge to the Interagency Security Classification Appeals Panel for
a decision. The challenger may also forward the challenge to the
Interagency Security Classification Appeals Panel if an agency has not
responded to an internal appeal within 90 days of the agency's receipt
of the appeal. Agency responses to those challenges it denies shall
include the challenger's appeal rights to the Interagency Security
Classification Appeals Panel.
(4) Whenever an agency receives a classification challenge to
information that has been the subject of a challenge within the past
two years, or that is the subject of pending litigation, the agency is
not required to process the challenge beyond informing the challenger
of this fact and of the challenger's appeal rights, if any.
(c) Additional considerations. (1) Challengers and agencies shall
attempt to keep all challenges, appeals and responses unclassified.
However, classified information contained in a challenge, an agency
response, or an appeal shall be handled and protected in accordance
with the Order and its implementing directives. Information being
challenged for classification shall remain classified unless and until
a final decision is made to declassify it.
(2) The classification challenge provision is not intended to
prevent an authorized holder from informally questioning the
classification status of particular information. Such informal
inquiries should be encouraged as a means of holding down the number of
formal challenges.
Sec. 2001.14 Classification guides [2.3].
(a) Preparation of classification guides. Originators of
classification guides are encouraged to consult users of guides for
input when developing or updating guides. When possible, originators of
classification guides are encouraged to communicate within their
agencies and with other agencies that are developing guidelines for
similar activities to ensure the consistency and uniformity of
classification decisions. Each agency shall maintain a list of its
classification guides in use.
(b) General content of classification guides. Classification guides
shall, at a minimum:
(1) Identify the subject matter of the classification guide;
(2) Identify the original classification authority by name or
personal identifier, and position;
(3) Identify an agency point-of-contact or points-of-contact for
questions regarding the classification guide;
(4) Provide the date of issuance or last review;
(5) State precisely the elements of information to be protected;
(6) State which classification level applies to each element of
information, and, when useful, specify the elements of information that
are unclassified;
(7) State, when applicable, special handling caveats;
(8) Prescribe declassification instructions or the exemption
category from automatic declassification for each element of
information;
(9) Specify, when citing the exemption category listed in section
1.6(d)(8) of the Order, the applicable statute, treaty or international
agreement; and
(10) State a concise reason for classification which, at a minimum,
cites the applicable classification category or categories in section
1.5 of the Order.
(c) Dissemination of classification guides. Classification guides
shall be disseminated as widely as necessary to ensure the proper and
uniform derivative classification of information.
(d) Reviewing and updating classification guides. (1)
Classification guides, including guides created under prior orders,
shall be reviewed and updated as circumstances require, but, in any
event, at least once every five years. Updated instructions for guides
first created under prior orders shall comply with the requirements of
the Order and this part.
(2) Originators of classification guides are encouraged to consult
the users of guides for input when reviewing or updating guides. Also,
users of classification guides are encouraged to notify the originator
of the guide when they acquire information that suggests the need for
change in the instructions contained in the guide.
Subpart B--Identification and Markings
Sec. 2001.20 General [1.7].
A uniform security classification system requires that standard
markings be applied to classified information. Except in extraordinary
circumstances, or as approved by the Director of ISOO, the marking of
classified information created after October 14, 1995, shall not
deviate from the following prescribed formats. If markings cannot be
affixed to specific classified information or materials, the originator
shall provide holders or recipients of the information with written
instructions for protecting the information. Markings shall be
uniformly and conspicuously applied to leave no doubt about the
classified status of the information, the level of protection required,
and the duration of classification.
Sec. 2001.21 Original classification [1.7(a)].
(a) Primary markings. On the face of each originally classified
document, including electronic media, the classifier shall apply the
following markings.
(1) Classification authority. The name or personal identifier, and
position title of the original classifier shall appear on the
``Classified By'' line. An example might appear as:
Classified By: David Smith, Chief, Division 5 or
Classified By: ID#IMNO1, Chief, Division 5
(2) Agency and office of origin. If not otherwise evident, the
agency and office of origin shall be identified and placed below the
name on the ``Classified By'' line. An example might appear as:
Classified By: David Smith, Chief, Division 5 Department of Good
Works, Office of Administration
(3) Reason for classification. The original classifier shall
identify the reason(s) for the decision to classify. The classifier
shall include, at a minimum, a brief reference to the pertinent
classification category(ies), or the number 1.5 plus the letter(s) that
corresponds to that classification category in section 1.5 of the
Order.
(i) These categories, as they appear in the Order, are as follows:
(a) military plans, weapons, or operations;
(b) foreign government information;
(c) intelligence activities (including special activities),
intelligence sources or methods, or cryptology;
(d) foreign relations or foreign activities of the United
States, including confidential sources;
(e) scientific, technological, or economic matters relating to
the national security;
(f) United States Government programs for safeguarding nuclear
materials or facilities; or
(g) vulnerabilities or capabilities of systems, installations,
projects or plans relating to the national security.
(ii) An example might appear as:
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Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: Vulnerabilities or capabilities of plans relating to the
national security or
Reason: 1.5(g)
(iii) When the reason for classification is not apparent from the
content of the information, e.g., classification by compilation, the
classifier shall provide a more detailed explanation of the reason for
classification.
(4) Declassification instructions. The duration of the original
classification decision shall be placed on the ``Declassify On'' line.
The classifier will apply one of the following instructions.
(i) The classifier will apply a date or event for declassification
that corresponds to the lapse of the information's national security
sensitivity, which may not exceed 10 years from the date of the
original decision. When linking the duration of classification to a
specific date or event, mark that date or event as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.5(g)
Declassify On: October 14, 2004 or
Declassify On: Completion of Operation
(ii) When a specific date or event within 10 years cannot be
established, the classifier will apply the date that is 10 years from
the date of the original decision. For example, on a document that
contains information classified on October 14, 1995, mark the
``Declassify On'' line as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.5(g)
Declassify On: October 14, 2005
(iii) Upon the determination that the information must remain
classified beyond 10 years, the classifier will apply the letter ``X''
plus a brief recitation of the exemption category(ies), or the letter
``X'' plus the number that corresponds to that exemption category(ies)
in section 1.6(d) of the Order.
(A) Exemption categories in E.O. 12958.
X1: reveal an intelligence source, method, or activity, or a
cryptologic system or activity;
X2: reveal information that would assist in the development or
use of weapons of mass destruction;
X3: reveal information that would impair the development or use
of technology within a United States weapons system;
X4: reveal United States military plans, or national security
emergency preparedness plans;
X5: reveal foreign government information;
X6: damage relations between the United States and a foreign
government, reveal a confidential source, or seriously undermine
diplomatic activities that are reasonably expected to be ongoing for
a period greater than that provided in paragraph (b) above, [section
1.6(b) of the Order];
X7: impair the ability of responsible United States Government
officials to protect the President, the Vice President, and other
individuals for whom protection services, in the interest of
national security, are authorized; or
X8: violate a statute, treaty, or international agreement.
(B) Example. A document containing information exempted from
automatic declassification may appear as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.5(g)
Declassify On: X-U.S. military plans or
Declassify On: X4
(b) Overall marking. The highest level of classified information
contained in a document shall appear in a way that will distinguish it
clearly from the informational text.
(1) Conspicuously place the overall classification at the top and
bottom of 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).
(2) For documents containing information classified at more than
one level, the overall marking shall be the highest level. For example,
if a document contains some information marked ``Secret'' and other
information marked ``Confidential,'' the overall marking would be
``Secret.''
(3) Each interior page of a classified document shall be marked at
the top and bottom either with the highest level of classification of
information contained on that page, including the designation
``Unclassified'' when it is applicable, or with the highest overall
classification of the document.
(c) Portion marking. Each portion of a document, ordinarily a
paragraph, but including subjects, titles, graphics and the like, shall
be marked to indicate its classification level by placing a
parenthetical symbol immediately preceding or following the portion to
which it applies.
(1) To indicate the appropriate classification level, the symbols
``(TS)'' for Top Secret, ``(S)'' for Secret, ``(C)'' for Confidential,
and ``(U)'' for Unclassified shall be used.
(2) Unless the original classification authority indicates
otherwise on the document, each classified portion of a document
exempted from automatic declassification shall be presumed to be
exempted from automatic declassification also.
(3) An agency head or senior agency official may request a waiver
from the portion marking requirement for a specific category of
information. Such a request shall be submitted to the Director of ISOO
and should include the reasons that the benefits of portion marking are
outweighed by other factors. Statements citing administrative burden
alone will ordinarily not be viewed as sufficient grounds to support a
waiver.
(d) Classification extensions. (1) An original classification
authority may extend the duration of classification for successive
periods not to exceed 10 years at a time. For information contained in
records determined to be permanently valuable, multiple extensions
shall not exceed 25 years from the date of the information's origin.
(2) The ``Declassify On'' line shall be revised to include the new
declassification instructions, and shall include the identity of the
person authorizing the extension and the date of the action.
(3) The office of origin shall make reasonable attempts to notify
all holders of such information. Classification guides shall be updated
to reflect such revisions.
(4) An example of an extended duration of classification may appear
as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.5(g)
Declassify On: Classification extended on December 1, 2000,
until December 1, 2010, by David Jones, Chief, Division 5
(e) Marking information exempted from automatic declassification at
25 years. (1) When an agency head or senior agency official exempts
permanently valuable information from automatic declassification at 25
years, the ``Declassify On'' line shall be revised to include the
symbol ``25X'' plus a brief reference to the pertinent exemption
category(ies) or the number(s) that corresponds to that category(ies)
in section 3.4(b) of the Order. Other than when the exemption pertains
to the identity of a confidential human source, or a human intelligence
source, the revised ``Declassify On'' line shall also include the new
date or event for declassification.
(2) The pertinent exemptions, using the language of section 3.4(b)
of the Order, are:
25X1: reveal the identity of a confidential human source, or
reveal information about the application of an intelligence source
or
[[Page 53496]]
method, or reveal the identity of a human intelligence source when the
unauthorized disclosure of that source would clearly and
demonstrably damage the national security interests of the United
States;
25X2: reveal information that would assist in the development or
use of weapons of mass destruction;
25X3: reveal information that would impair U.S. cryptologic
systems or activities;
25X4: reveal information that would impair the application of
state-of-the-art technology within a U.S. weapon system;
25X5: reveal actual U.S. military war plans that remain in
effect;
25X6: reveal information that would seriously and demonstrably
impair relations between the United States and a foreign government,
or seriously and demonstrably undermine ongoing diplomatic
activities of the United States;
25X7: reveal information that would clearly and demonstrably
impair the current ability of United States Government officials to
protect the President, Vice President, and other officials for whom
protection services, in the interest of national security, are
authorized;
25X8: reveal information that would seriously and demonstrably
impair current national security emergency preparedness plans; or
25X9: violate a statute, treaty, or international agreement.
(3) The pertinent portion of the marking would appear as:
Declassify On: 25X-State-of-the-art technology within U.S. weapon
system, October 1, 2010 or
Declassify On: 25X4, October 1, 2010
(4) Documents should not be marked with a ``25X'' marking until the
agency has been informed that the President or the Interagency Security
Classification Appeals Panel concurs with the proposed exemption.
(5) Agencies need not apply a ``25X'' marking to individual
documents contained in a file series exempted from automatic
declassification under section 3.4(c) of the Order until the individual
document is removed from the file.
Sec. 2001.22 Derivative classification [2.2].
(a) General. Information classified derivatively on the basis of
source documents or classification guides shall bear all markings
prescribed in Sec. 2001.20 and Sec. 2001.21, except as provided in this
section. Information for these markings shall be carried forward from
the source document or taken from instructions in the appropriate
classification guide.
(b) Source of derivative classification. (1) The derivative
classifier shall concisely identify the source document or the
classification guide on the ``Derived From'' line, including the agency
and, where available, the office of origin, and the date of the source
or guide. An example might appear as:
Derived From: Memo, ``Funding Problems,'' October 20, 1995, Ofc. of
Admin., Department of Good Works or
Derived From: CG No. 1, Department of Good Works, dated October 20,
1995
(i) When a document is classified derivatively on the basis of more
than one source document or classification guide, the ``Derived From''
line shall appear as:
Derived From: Multiple Sources
(ii) The derivative classifier shall maintain the identification of
each source with the file or record copy of the derivatively classified
document. When practicable, this list should be included in or with all
copies of the derivatively classified document.
(2) A document derivatively classified on the basis of a source
document that is itself marked ``Multiple Sources'' shall cite the
source document on its ``Derived From'' line rather than the term
``Multiple Sources.'' An example might appear as:
Derived From: Report entitled, ``New Weapons,'' dated October 20,
1995, Department of Good Works, Office of Administration
(c) Reason for classification. The reason for the original
classification decision, as reflected in the source document(s) or
classification guide, is not required to be transferred in a derivative
classification action. If included, however, it shall conform to the
standards in Sec. 2001.21(a)(3).
(d) Declassification instructions. (1) The derivative classifier
shall carry forward the instructions on the ``Declassify On'' line from
the source document to the derivative document, or the duration
instruction from the classification guide.
(2) When a document is classified derivatively on the basis of more
than one source document or more than one element of a classification
guide, the ``Declassify On'' line shall reflect the longest duration of
any of its sources.
(i) When a document is classified derivatively from a source
document(s) or classification guide that contains the declassification
instruction, ``Originating Agency's Determination Required,'' or
``OADR,'' unless otherwise instructed by the original classifier, the
derivative classifier shall carry forward:
(A) The fact that the source document(s) was marked with this
instruction; and
(B) The date of origin of the most recent source document(s),
classification guide, or specific information, as appropriate to the
circumstances.
(ii) An example might appear as:
Declassify On: Source marked ``OADR'', Date of source: October 20,
1990
(iii) This marking will permit the determination of when the
classified information is 25 years old and, if permanently valuable,
subject to automatic declassification under section 3.4 of the Order.
(e) Overall marking. The derivative classifier shall conspicuously
mark the classified document with the highest level of classification
of information included in the document, as provided in
Sec. 2001.21(b).
(f) Portion marking. Each portion of a derivatively classified
document shall be marked in accordance with its source, and as provided
in Sec. 2001.21(c).
Sec. 2001.23 Additional requirements [1.7].
(a) Marking prohibitions. Markings other than ``Top Secret,''
``Secret,'' and ``Confidential,'' such as ``For Official Use Only,'' or
``Limited Official Use,'' shall not be used to identify classified
national security information. No other term or phrase shall be used in
conjunction with these markings, such as ``Secret Sensitive'' or
``Agency Confidential,'' to identify classified national security
information. The terms ``Top Secret,'' ``Secret,'' and ``Confidential''
should not be used to identify non-classified executive branch
information.
(b) Agency prescribed special markings. Agencies shall refrain from
the use of special markings when they merely restate or emphasize the
principles and standards of the Order and this part. Upon request, the
senior agency official shall provide the Director of ISOO with a
written explanation for the use of agency special markings.
(c) Transmittal documents. A transmittal document shall indicate on
its face the highest classification level of any classified information
attached or enclosed. The transmittal shall also include conspicuously
on its face the following or similar instructions, as appropriate:
Unclassified When Classified Enclosure Removed or Upon Removal of
Attachments, This Document is (Classification Level)
(d) Foreign government information. Documents that contain foreign
government information shall include the marking, ``This Document
Contains (indicate country of origin) Information.'' The portions of
the document that contain the foreign government information shall be
marked to indicate the government and classification level, e.g.,
``(UK-C).'' If the identity of the specific government must
[[Page 53497]]
be concealed, the document shall be marked, ``This Document Contains
Foreign Government Information,'' and pertinent portions shall be
marked ``FGI'' together with the classification level, e.g., ``(FGI-
C).'' In such cases, a separate record that identifies the foreign
government shall be maintained in order to facilitate subsequent
declassification actions. When classified records are transferred to
the National Archives and Records Administration for storage or
archival purposes, the accompanying documentation shall, at a minimum,
identify the boxes that contain foreign government information. If the
fact that information is foreign government information must be
concealed, the markings described in this paragraph shall not be used
and the document shall be marked as if it were wholly of U.S. origin.
(e) Working papers. A working paper is defined as documents or
materials, regardless of the media, which are expected to be revised
prior to the preparation of a finished product for dissemination or
retention. Working papers containing classified information shall be
dated when created, marked with the highest classification of any
information contained in them, protected at that level, and destroyed
when no longer needed. When any of the following conditions applies,
working papers shall be controlled and marked in the same manner
prescribed for a finished document at the same classification level:
(1) Released by the originator outside the originating activity;
(2) Retained more than 180 days from the date of origin; or
(3) Filed permanently.
(f) Other material. Bulky material, equipment and facilities, etc.,
shall be clearly identified in a manner that leaves no doubt about the
classification status of the material, the level of protection
required, and the duration of classification. Upon a finding that
identification would itself reveal classified information, such
identification is not required. Supporting documentation for such a
finding must be maintained in the appropriate security facility and in
any applicable classification guide.
(g) Unmarked materials. Information contained in unmarked records,
or presidential or related materials, and which pertains to the
national defense or foreign relations of the United States and has been
maintained and protected as classified information under prior orders
shall continue to be treated as classified information under the Order,
and is subject to its provisions regarding declassification.
Sec. 2001.24 Declassification markings [Reserved].
Subpart C--Self-Inspections
Sec. 2001.30 General [5.6].
(a) Purpose. This subpart sets standards for establishing and
maintaining an ongoing agency self-inspection program, which shall
include the periodic review and assessment of the agency's classified
product. ``Self-inspection'' means the internal review and evaluation
of individual agency activities and the agency as a whole with respect
to the implementation of the program established under the Order.
(b) Applicability. These standards are binding on all executive
branch agencies that create or handle classified information. Pursuant
to Executive Order 12829, the National Industrial Security Program
Operating Manual (NISPOM) prescribes the security requirements,
restrictions and safeguards applicable to industry, including the
conduct of contractor self-inspections. The standards established in
the NISPOM should be consistent with the standards prescribed in
Executive Order 12958 and this part.
(c) Responsibility. The senior agency official is responsible for
the agency's self-inspection program. The senior agency official shall
designate agency personnel to assist in carrying out this
responsibility.
(d) Approach. The official(s) responsible for the program shall
determine the means and methods for the conduct of self-inspections.
These may include:
(1) A review of relevant security directives, guides and
instructions;
(2) Interviews with producers and users of classified information;
(3) A review of access and control records and procedures; and
(4) A review of a sample of classified documents generated by
agency activities.
(e) Frequency. The official(s) responsible for the program shall
set the frequency of self-inspections on the basis of program needs and
the degree of classification activity. Activities that originate
significant amounts of classified information should conduct at least
one document review per year.
(f) Reporting. The format for documenting findings shall be set by
the official(s) responsible for the program.
Sec. 2001.31 Coverage [5.6(c)(4)].
(a) General. These standards are not all-inclusive. Each agency may
expand upon the coverage according to program and policy needs. Each
self-inspection of an agency activity need not include all the elements
covered in this section. Agencies without original classification
authority need not include in their self-inspections those elements of
coverage pertaining to original classification.
(b) Elements of coverage.
(1) Original classification.
(i) Evaluate original classifiers' general understanding of the
process of original classification, including the:
(A) Applicable standards for classification;
(B) Levels of classification and the damage criteria associated
with each; and
(C) Required classification markings.
(ii) Determine if delegations of original classification authority
conform with the requirements of the Order, including whether:
(A) Delegations are limited to the minimum required to administer
the program;
(B) Designated original classifiers have a demonstrable and
continuing need to exercise this authority;
(C) Delegations are in writing and identify the official by name or
position title; and
(D) New requests for delegation of classification authority are
justified.
(iii) Assess original classifiers' familiarity with the duration of
classification requirements, including:
(A) Assigning a specific date or event for declassification when
possible;
(B) Establishing ordinarily a maximum 10-year duration of
classification when an earlier date or event cannot be determined;
(C) Limiting extensions of classification for specific information
for successive periods not to exceed 10 years at a time; and
(D) Exempting from declassification within 10 years specific
information as provided in section 1.6 of the Order.
(iv) Conduct a review of a sample of classified information
generated by the inspected activity to determine the propriety of
classification and the application of proper and full markings.
(v) Evaluate classifiers' actions to comply with the standards
specified in Sec. 2001.14 and Sec. 2001.53 of this part, relating to
classification and declassification guides, respectively.
(vi) Verify observance with the prohibitions on classification and
limitations on reclassification.
(vii) Assess whether the agency's classification challenges program
meets the requirements of the Order and this part.
(2) Derivative classification. Assess the general familiarity of
individuals who classify derivatively with the:
(i) Conditions for derivative classification;
[[Page 53498]]
(ii) Requirement to consult with the originator of the information
when questions concerning classification arise;
(iii) Proper use of classification guides; and
(iv) Proper and complete application of classification markings to
derivatively classified documents.
(3) Declassification.
(i) Verify whether the agency has established, to the extent
practical, a system of records management to facilitate public release
of declassified documents.
(ii) Evaluate the status of the agency declassification program,
including the requirement to:
(A) Comply with the automatic declassification provisions regarding
historically valuable records over 25 years old;
(B) Declassify, when possible, historically valuable records prior
to accession into the National Archives;
(C) Provide the Archivist with adequate and current
declassification guides;
(D) Ascertain that the agency's mandatory review program conforms
to established requirements; and
(E) Determine whether responsible agency officials are cooperating
with the Archivist in the development and maintenance of a Government-
wide database of information that has been declassified.
(4) Safeguarding.
(i) Monitor agency adherence to established safeguarding standards.
(ii) Assess compliance with controls for access to classified
information.
(iii) Evaluate the effectiveness of the agency's program in
detecting and processing security violations and preventing
recurrences.
(iv) Assess compliance with the procedures for identifying,
reporting and processing unauthorized disclosures of classified
information.
(v) Evaluate the effectiveness of procedures to ensure that:
(A) The originating agency exercises control over the classified
information it generates;
(B) Holders of classified information do not disclose information
originated by another agency without that agency's authorization; and
(C) Departing or transferred officials return all classified
information in their possession to authorized agency personnel.
(5) Security education and training. Evaluate the effectiveness of
the agency's security education and training program in familiarizing
appropriate personnel with classification procedures; and determine
whether the program meets the standards specified in subpart D of this
part.
(6) Management and oversight.
(i) Determine whether original classifiers have received prescribed
training.
(ii) Verify whether the agency's special access programs:
(A) Adhere to specified criteria in the creation of these programs;
(B) Are kept to a minimum;
(C) Provide for the conduct of internal oversight; and
(D) Include an annual review of each program to determine whether
it continues to meet the requirements of the Order.
(iii) Assess whether:
(A) Senior management demonstrates commitment to the success of the
program, including providing the necessary resources for effective
implementation;
(B) Producers and users of classified information receive guidance
with respect to security responsibilities and requirements;
(C) Controls to prevent unauthorized access to classified
information are effective;
(D) Contingency plans are in place for safeguarding classified
information used in or near hostile areas;
(E) The performance contract or other system used to rate civilian
or military personnel includes the management of classified information
as a critical element or item to be evaluated in the rating of:
Original classifiers; security managers; classification management
officers; and security specialists; and other employees significantly
involved with classified information; and
(F) A method is in place for collecting information on the costs
associated with the implementation of the Order.
Subpart D---Security Education and Training
Sec. 2001.40 General [5.6].
(a) Purpose. This subpart sets standards for agency security
education and training programs. Implementation of these standards
should:
(1) Ensure that all executive branch employees who create, process
or handle classified information have a satisfactory knowledge and
understanding about classification, safeguarding, and declassification
policies and procedures;
(2) Increase uniformity in the conduct of agency security education
and training programs; and
(3) Reduce improper classification, safeguarding and
declassification practices.
(b) Applicability. These standards are binding on all executive
branch departments and agencies that create or handle classified
information. Pursuant to Executive Order 12829, the NISPOM prescribes
the security requirements, restrictions, and safeguards applicable to
industry, including the conduct of contractor security education and
training. The standards established in the NISPOM should be consistent
with the standards prescribed in Executive Order 12958 and of this
part.
(c) Responsibility. The senior agency official is responsible for
the agency's security education and training program. The senior agency
official shall designate agency personnel to assist in carrying out
this responsibility.
(d) Approach. Security education and training should be tailored to
meet the specific needs of the agency's security program, and the
specific roles employees are expected to play in that program. The
agency official(s) responsible for the program shall determine the
means and methods for providing security education and training.
Training methods may include briefings, interactive videos,
dissemination of instructional materials, and other media and methods.
Agencies shall maintain records about the programs it has offered and
employee participation in them.
(e) Frequency. The frequency of agency security education and
training will vary in accordance with the needs of the agency's
security classification program. Each agency shall provide some form of
refresher security education and training at least annually.
Sec. 2001.41 Coverage [5.6(c)(3)].
(a) General. Each department or agency shall establish and maintain
a formal security education and training program which provides for
initial and refresher training, and termination briefings. This subpart
establishes security education and training standards for original
classifiers, declassification authorities, security managers,
classification management officers, security specialists, and all other
personnel whose duties significantly involve the creation or handling
of classified information. These standards are not intended to be all-
inclusive. The official responsible for the security education and
training program may expand or modify the coverage provided in this
part according to the agency's program and policy needs.
(b) Elements of initial coverage. All cleared agency personnel
shall receive initial training on basic security policies, principles
and practices. Such training must be provided in conjunction with the
granting of a
[[Page 53499]]
security clearance, and prior to granting access to classified
information. The following areas should be considered for inclusion in
initial briefings.
(1) Roles and responsibilities.
(i) What are the responsibilities of the senior agency official,
classification management officers, the security manager and the
security specialist?
(ii) What are the responsibilities of agency employees who create
or handle classified information?
(iii) Who should be contacted in case of questions or concerns
about classification matters?
(2) Elements of classifying and declassifying information.
(i) What is classified information and why is it important to
protect it?
(ii) What are the levels of classified information and the damage
criteria associated with each level?
(iii) What are the prescribed classification markings and why is it
important to have classified information fully and properly marked?
(iv) What are the general requirements for declassifying
information?
(v) What are the procedures for challenging the classification
status of information?
(3) Elements of safeguarding.
(i) What are the proper procedures for safeguarding classified
information?
(ii) What constitutes an unauthorized disclosure and what are the
penalties associated with these disclosures?
(iii) What are the general conditions and restrictions for access
to classified information?
(iv) What should an individual do when he or she believes
safeguarding standards may have been violated?
(c) Specialized security education and training. Original
classifiers, authorized declassification authorities, individuals
specifically designated as responsible for derivative classification,
classification management officers, security managers, security
specialists, and all other personnel whose duties significantly involve
the creation or handling of classified information should receive more
detailed training. This training should be provided before or
concurrent with the date the employee assumes any of the positions
listed above, but in any event no later than six months from that date.
Coverage considerations should include:
(1) Original classifiers.
(i) What is the difference between original and derivative
classification?
(ii) Who can classify information originally?
(iii) What are the standards that a designated classifier must meet
to classify information?
(iv) What is the process for determining duration of
classification?
(v) What are the prohibitions and limitations on classifying
information?
(vi) What are the basic markings that must appear on classified
information?
(vii) What are the general standards and procedures for
declassification?
(2) Declassification authorities other than original classifiers.
(i) What are the standards, methods and procedures for
declassifying information under Executive Order 12958?
(ii) What are the standards for creating and using agency
declassification guides?
(iii) What is contained in the agency's automatic declassification
plan?
(iv) What are the agency responsibilities for the establishment and
maintenance of a declassification database?
(3) Individuals specifically designated as responsible for
derivative classification, security managers, classification management
officers, security specialists or any other personnel whose duties
significantly involve the management and oversight of classified
information.
(i) What are the original and derivative classification processes
and the standards applicable to each?
(ii) What are the proper and complete classification markings, as
described in subpart B of this part?
(iii) What are the authorities, methods and processes for
downgrading and declassifying information?
(iv) What are the methods for the proper use, storage,
reproduction, transmission, dissemination and destruction of classified
information?
(v) What are the requirements for creating and updating
classification and declassification guides?
(vi) What are the requirements for controlling access to classified
information?
(vii) What are the procedures for investigating and reporting
instances of security violations, and the penalties associated with
such violations?
(viii) What are the requirements for creating, maintaining, and
terminating special access programs, and the mechanisms for monitoring
such programs?
(ix) What are the procedures for the secure use, certification and
accreditation of automated information systems and networks which use,
process, store, reproduce, or transmit classified information?
(x) What are the requirements for oversight of the security
classification program, including agency self-inspections?
(d) Refresher security education and training. Agencies shall
provide refresher training to employees who create, process or handle
classified information. Refresher training should reinforce the
policies, principles and procedures covered in initial and specialized
training. Refresher training should also address the threat and the
techniques employed by foreign intelligence activities attempting to
obtain classified information, and advise personnel of penalties for
engaging in espionage activities.
Refresher training should also address issues or concerns
identified during agency self-inspections. When other methods are
impractical, agencies may satisfy the requirement for refresher
training by means of audiovisual products or written materials.
(e) Termination briefings. Each agency shall ensure that each
employee granted access to classified information who leaves the
service of the agency receives a termination briefing. Also, each
agency employee whose clearance is withdrawn must receive such a
briefing. At a minimum, termination briefings must impress upon each
employee: The continuing responsibility not to disclose any classified
information to which the employee had access and the potential
penalties for non-compliance; and the obligation to return to the
appropriate agency official all classified documents and materials in
the employee's possession.
(f) Other security education and training. Agencies are encouraged
to develop additional security education and training according to
program and policy needs. Such security education and training could
include:
(1) Practices applicable to U.S. officials traveling overseas;
(2) Procedures for protecting classified information processed and
stored in automated information systems;
(3) Methods for dealing with uncleared personnel who work in
proximity to classified information;
(4) Responsibilities of personnel serving as couriers of classified
information; and
(5) Security requirements that govern participation in
international programs.
Subpart E--Declassification
Sec. 2001.50 Definition [3.1].
A file series is a body of related records created or maintained by
an agency, activity, office or individual. The records may be related
by subject, topic, form, function, or filing scheme. An agency,
activity, office, or individual may create or maintain several
different file series, each serving a different function. Examples may
include a
[[Page 53500]]
subject file, alphabetical name index, chronological file, or a record
set of agency publications. File series frequently correspond to items
on a NARA-approved agency records schedule. Some very large series may
contain several identifiable sub-series, and it may be appropriate to
treat sub-series as discrete series for the purposes of the Order.
Sec. 2001.51 Automatic declassification [3.4].
(a) General. All departments and agencies that have original
classification authority, or previously had original classification
authority, and maintain records appraised as having permanent
historical value that contain information classified by that agency
shall comply with the automatic declassification provisions of the
Order. All agencies with original classification authority shall
cooperate with NARA in carrying out an automatic declassification
program involving accessioned Federal records, presidential papers and
records, and donated historical materials under the control of the
Archivist of the United States. The Archivist will not declassify
information created by another agency without the prior consent of that
agency.
(b) Presidential records. The Archivist of the United States shall
establish procedures for the declassification of presidential or White
House materials accessioned into the National Archives of the United
States or maintained in the presidential libraries.
(c) Transferred information. In the case of classified information
transferred in conjunction with a transfer of functions, and not merely
for storage or archival purposes, the receiving agency shall be deemed
to be the originating agency.
(d) Unofficially transferred information. In the case of classified
information that is not officially transferred as described in
paragraph (c), of this section, but that originated in an agency that
has ceased to exist and for which there is no successor agency, the
Director of ISOO will designate an agency or agencies to act on
provisions of the Order.
(e) Processing records originated by another agency. When an agency
uncovers classified records originated by another agency that appear to
meet the criteria for the application of the automatic declassification
provisions of the Order, the finding agency should alert the
originating agency and seek instruction regarding the handling and
disposition of pertinent records.
(f) Unscheduled records. Classified information in records that
have not been scheduled for disposal or retention by NARA is not
subject to section 3.4 of the Order. Classified information in records
that are scheduled as permanently valuable when that information is
already more than 20 years old shall be subject to the automatic
declassification provisions of section 3.4 of the Order five years from
the date the records are scheduled. Classified information in records
that are scheduled as permanently valuable when that information is
less than 20 years old shall be subject to the automatic
declassification provisions of section 3.4 of the Order when the
information is 25 years old.
(g) Foreign government information. The declassifying agency is the
agency that initially received or classified the information. When
foreign government information appears to be subject to automatic
declassification, the declassifying agency shall determine whether the
information is subject to a treaty or international agreement that
would prevent its declassification at that time. The declassifying
agency shall also determine if another exemption under section 3.4(b)
of the Order, such as the exemption that pertains to United States
foreign relations, may apply to the information. If the declassifying
agency believes such an exemption may apply, it should consult with any
other concerned agencies in making its declassification determination.
The declassifying agency or the Department of State, as appropriate,
should consult with the foreign government prior to declassification.
(h) Assistance to the Archivist of the United States. Agencies
shall consult with NARA before establishing automatic declassification
programs. Agencies shall cooperate with NARA in developing schedules
for the declassification of records in the National Archives of the
United States and the presidential libraries to ensure that
declassification is accomplished in a timely manner. NARA will provide
information about the records proposed for automatic declassification.
Agencies shall consult with NARA before reviewing records in their
holdings to ensure that appropriate procedures are established for
maintaining the integrity of the records and that NARA receives
accurate information about agency declassification actions when records
are transferred to NARA. NARA will provide guidance to the agencies
about the requirements for notification of declassification actions on
transferred records, box labeling, and identifying exempt information
in the records.
(i) Use of approved declassification guides. Approved
declassification guides may be used as a tool to assist in the
exemption from automatic declassification of specific information as
provided in section 3.4(d) of the Order. These guides must include
additional pertinent detail relating to the exemptions described in
section 3.4(b) of the Order, and follow the format required of
declassification guides for systematic review as described in
Sec. 2001.53 of this part. In order for such guides to be used in place
of the identification of specific information within individual
documents, the information to be exempted must be narrowly defined,
with sufficient specificity to allow the user to identify the
information with precision. Exemptions for general categories of
information will not be acceptable. The actual items to be exempted are
specific documents. All such declassification guides used in
conjunction with section 3.4(d) of the Order must be submitted to the
Director of ISOO, serving as Executive Secretary of the Interagency
Security Classification Appeals Panel, for approval by the Panel.
(j) Automatic declassification date. No later than April 17, 2000,
information over 25 years old in unreviewed permanently valuable
records in non-exempt file series will be automatically declassified.
(k) Redaction standard. Agencies are encouraged but are not
required to redact documents that contain information that is exempt
from automatic declassification under section 3.4 of the Order,
especially if the information that must remain classified comprises a
relatively small portion of the document.
(l) Restricted Data and Formerly Restricted Data. (1) Restricted
Data (RD) and Formerly Restricted Data (FRD) are exempt from the
automatic declassification requirements in section 3.4 of the Order
because they are classified under the Atomic Energy Act of 1954, as
amended. Restricted Data concerns:
(i) The design, manufacture, or utilization of atomic weapons;
(ii) The production of special nuclear material, e.g., enriched
uranium or plutonium; or
(iii) The use of special nuclear material in the production of
energy.
(2) Formerly Restricted Data is information that is still
classified but which has been removed from the Restricted Data category
because it is related primarily to the military utilization of atomic
weapons.
(3) Any document marked as containing Restricted Data or Formerly
Restricted Data shall remain classified indefinitely or shall be
referred to the
[[Page 53501]]
Department of Energy or the Department of Defense for a classification
review.
Sec. 2001.52 Systematic declassification review [3.5].
(a) Listing of declassification authorities. Agencies shall
maintain a current listing of officials delegated declassification
authority by name, position, or other identifier. If possible, this
listing shall be unclassified.
(b) Responsibilities. Agencies shall establish systematic review
programs for those records containing information that is exempt from
automatic declassification. Agencies may also conduct systematic review
of information contained in permanently valuable records that is less
than 25 years old.
Sec. 2001.53 Declassification guides [3.5(b)].
(a) Preparation of declassification guides. Declassification guides
shall be prepared to facilitate the declassification of information
contained in records determined to be of permanent historical value.
When it is sufficiently detailed and understandable, and identified for
both purposes, a classification guide may also be used as a
declassification guide.
(b) General content of declassification guides. Declassification
guides shall, at a minimum:
(1) Identify the subject matter of the declassification guide;
(2) Identify the original declassification authority by name or
personal identifier, and position;
(3) Provide the date of issuance or last review;
(4) State precisely the categories or elements of information:
(i) To be declassified;
(ii) To be downgraded; or
(iii) Not to be declassified.
(5) Identify any related files series that have been exempted from
automatic declassification pursuant to section 3.4(c) of the Order;
(6) To the extent a guide is used in conjunction with the automatic
declassification provisions in section 3.4 of the Order, state
precisely the elements of information to be exempted from
declassification to include:
(i) The appropriate exemption category listed in section 3.4(b) of
the Order, and, when citing the exemption category listed in section
3.4(b)(9) of the Order, specify the applicable statute, treaty or
international agreement; and
(ii) A date or event for declassification.
(c) External review. Agencies shall submit declassification guides
for review to the Director of ISOO. To the extent such guides are used
in conjunction with the automatic declassification provisions in
section 3.4 of the Order, the Director shall submit them for approval
by the Interagency Security Classification Appeals Panel.
(d) Internal review and update. Agency declassification guides
shall be reviewed and updated as circumstances require, but at least
once every five years. Each agency shall maintain a list of its
declassification guides in use.
Sec. 2001.54 Mandatory review for declassification [3.6, 3.7].
(a) U.S. originated information--(1) Receipt of requests. Each
agency shall publish in the Federal Register the identity of the
person(s) or office(s) to which mandatory declassification review
requests should be addressed.
(2) Processing.
(i) Requests for classified records in the custody of the
originating agency. A valid mandatory declassification review request
need not identify the requested information by date or title of the
responsive records, but must be of sufficient specificity to allow
agency personnel to locate the records containing the information
sought with a reasonable amount of effort. In responding to mandatory
declassification review requests, agencies shall either make a prompt
declassification determination and notify the requester accordingly, or
inform the requester of the additional time needed to process the
request. Agencies shall ordinarily make a final determination within
180 days from the date of receipt. When information cannot be
declassified in its entirety, agencies will make reasonable efforts to
release, consistent with other applicable law, those declassified
portions of the requested information that constitute a coherent
segment. Upon denial of an initial request, the agency shall also
notify the requester of the right of an administrative appeal, which
must be filed within 60 days of receipt of the denial.
(ii) Requests for classified records in the custody of an agency
other than the originating agency. When an agency receives a mandatory
declassification review request for records in its possession that were
originated by another agency, it shall refer the request and the
pertinent records to the originating agency. However, if the
originating agency has previously agreed that the custodial agency may
review its records, the custodial agency shall review the requested
records in accordance with declassification guides or guidelines
provided by the originating agency. Upon receipt of a request from the
referring agency, the originating agency shall process the request in
accordance with this section. The originating agency shall communicate
its declassification determination to the referring agency.
(iii) Appeals of denials of mandatory declassification review
requests. The agency appellate authority shall normally make a
determination within 60 working days following the receipt of an
appeal. If additional time is required to make a determination, the
agency appellate authority shall notify the requester of the additional
time needed and provide the requester with the reason for the
extension. The agency appellate authority shall notify the requester in
writing of the final determination and of the reasons for any denial.
(iv) Appeals to the Interagency Security Classification Appeals
Panel. In accordance with section 5.4 of the Order, the Interagency
Security Classification Appeals Panel shall publish in the Federal
Register no later than February 12, 1996, the rules and procedures for
bringing mandatory declassification appeals before it.
(b) Foreign government information. Except as provided in this
paragraph, agency heads shall process mandatory declassification review
requests for classified records containing foreign government
information in accordance with this section. The declassifying agency
is the agency that initially received or classified the information.
When foreign government information is being considered for
declassification, the declassifying agency shall determine whether the
information is subject to a treaty or international agreement that
would prevent its declassification at that time. The declassifying
agency shall also determine if another exemption under section 1.6(d)
of the Order (other than section 1.6(b)(5)), such as the exemption that
pertains to United States foreign relations, may apply to the
information. If the declassifying agency believes such an exemption may
apply, it should consult with any other concerned agencies in making
its declassification determination. The declassifying agency or the
Department of State, as appropriate, should consult with the foreign
government prior to declassification.
(c) Cryptologic and intelligence information. Mandatory
declassification review requests for cryptologic information and
information concerning intelligence activities (including special
activities) or intelligence sources or methods shall be processed
solely in accordance with special procedures issued by the Secretary of
Defense and
[[Page 53502]]
the Director of Central Intelligence, respectively.
(d) Fees. In responding to mandatory declassification review
requests for classified records, agency heads may charge fees in
accordance with section 9701 of title 31, United States Code. The
schedules of fees published in the Federal Register by agencies in
implementation of Executive Order 12356 shall remain in effect until
revised.
(e) Assistance to the Department of State. Heads of agencies should
assist the Department of State in its preparation of the Foreign
Relations of the United States (FRUS) series by facilitating access to
appropriate classified materials in their custody and by expediting
declassification review of documents proposed for inclusion in the
FRUS.
(f) Requests filed under mandatory declassification review and the
Freedom of Information Act. When a requester submits a request both
under mandatory review and the Freedom of Information Act (FOIA), the
agency shall require the requester to elect one process or the other.
If the requester fails to elect one or the other, the request will be
treated as a FOIA request unless the requested materials are subject
only to mandatory review.
(g) FOIA and Privacy Act requests. Agency heads shall process
requests for declassification that are submitted under the provisions
of the FOIA, as amended, or the Privacy Act of 1974, in accordance with
the provisions of those Acts.
(h) Redaction standard. Agencies shall redact documents that are
the subject of an access demand unless the overall meaning or
informational value of the document is clearly distorted by redaction.
Subpart F--Reporting
Sec. 2001.60 Statistical reporting [5.3].
Each agency that creates or handles classified information shall
report annually to the Director of ISOO statistics related to its
security classification program. The Director shall solicit
recommendations from the member agencies of the Security Policy Forum
regarding the reporting requirements. The Director will instruct
agencies what data elements are required, and how and when they are to
be reported.
Sec. 2001.61 Accounting for costs [5.6(c)(8)].
(a) Information on the costs associated with the implementation of
the Order will be collected from the agencies by the Office of
Management and Budget (OMB). OMB will provide data to ISOO on the cost
estimates for classification-related activities. ISOO will include
these cost estimates in its annual report to the President. The agency
senior official should work closely with the agency comptroller to
ensure that the best estimates are collected.
(b) The Secretary of Defense, acting as the executive agent for the
National Industrial Security Program under Executive Order 12829, and
consistent with agreements entered into under section 202 of E.O.
12829, will collect cost estimates for classification-related
activities of contractors, licensees, certificate holders, and
grantees, and report them to ISOO annually. ISOO will include these
cost estimates in its annual report to the President.
Sec. 2001.62 Effective date [6.2].
Part 2001 shall become effective October 14, 1995.
Alice M. Rivlin,
Director, Office of Management and Budget.
[FR Doc. 95-25363 Filed 10-12-95; 8:45 am]
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