[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]]

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Part VI





Office of Management and Budget





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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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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. 

[[Page 53493]]

    (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:


[[Page 53495]]

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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