[Federal Register Volume 62, Number 115 (Monday, June 16, 1997)]
[Rules and Regulations]
[Pages 32479-32500]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-14883]


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CENTRAL INTELLIGENCE AGENCY

32 CFR Parts 1900, 1901, 1907, 1908, and 1909


Freedom of Information Act; Privacy Act; and Executive Order 
12958; Implementation

AGENCY: Central Intelligence Agency.

ACTION: Interim Rule.

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SUMMARY: The Central Intelligence Agency is hereby promulgating interim 
rules and soliciting comments prior to adoption of final rules to 
implement its obligations under the Freedom of Information Act, the 
Privacy Act, and Executive Order 12958 (or successor Orders) provisions 
relating to classification challenges by authorized holders, requests 
for mandatory

[[Page 32480]]

declassification review, and access by historical researchers.

DATES: The interim rules are effective May 29, 1997. Public comments 
are solicited for the interim rules on or before July 28, 1997.

ADDRESSES: Comments may be submitted to the Information and Privacy 
Coordinator, Central Intelligence Agency, Washington, DC 20505.

FOR FURTHER INFORMATION CONTACT: Lee S. Strickland, Information and 
Privacy Coordinator, Central Intelligence Agency, Washington, DC 20505; 
telephone (703) 613-1287; facsimile (703) 613-3007.

SUPPLEMENTARY INFORMATION: On December 8, 1987, the CIA published in 
the Federal Register the most recent regulations governing public 
access to its documents and records and its handling of 
declassification requests. See 32 Code of Federal Regulations (CFR) 
Chapter XIX parts 1900 and 1901.
    This document promulgates interim rules and seeks public comment 
prior to adoption of a final rule. These rules do not alter 
substantially any existing rights of members of the public. Rather, 
certain changes were required, in light of changes in the applicable 
laws or judicial decisions, in order to clarify provisions that have 
proven confusing to requesters and to improve the processing of 
requests. In addition, the Agency is pleased to announce that all 
sections of the regulations have been rewritten in standard, 
conversational English. These revisions should greatly enhance the 
public's understanding of the regulations. The more significant changes 
are summarized below and the rules in their entirety are set forth in 
the following sections.

In the Part 1900 Regulations Implementing the Freedom of Information 
Act

    (a) All provisions relating to requests under the Executive Order 
on classification are removed from part 1900 and codified together in 
new parts 1907, 1908, and 1909 for greater clarity;
    (b) The section entitled ``Definitions'' is amended to include 
additional terms common to the processing of FOIA requests and to 
expand the definition of news media to include foreign media having a 
substantial impact on the American public's understanding of the 
operations or activities of the United States Government; see Southam 
News v. Immigration and Naturalization Service, 674 F. Supp. 881, 882 
(D.D.C. 1987) and 32 CFR 1900.02;
    (c) The section now entitled ``Contact for general information and 
requests'' is amended to indicate that the Agency will accept facsimile 
requests and inquiries; see 32 CFR 1900.03;
    (d) The subsections relating to fee waivers are amended to broaden 
the time a requester may seek a fee waiver or appeal an initial denial 
of a fee waiver and to permit the processing of a request during the 
pendancy of a request or appeal, provided that the requester commits to 
payment of fees in the event of an adverse decision; see 32 CFR 
1900.13(b)-(d);
    (e) The subsection relating to our schedule of fees is amended in 
part to reflect current costs and to be more consistent with other 
federal agencies; personnel costs reflect current average grades and 
salaries, reproduction costs reflect equipment and personnel costs, and 
computer costs are unchanged since improvements in capability have 
generally negated increases in costs; see 32 CFR 1900.13(g);
    (f) A new section entitled ``Procedures for information concerning 
other persons'' is added to reflect the established guidelines utilized 
by the Agency in the past to address such information and to reflect 
judicial determinations in this regard; see, e.g., Beck v. Department 
of Justice, 997 F.2d 1489, 1492-94 (D.C. Cir. 1993), The Nation 
Magazine v. Department of State, Civ. No. 92-2303 (D.D.C. 18 August 
1995), and 32 CFR 1900.32;
    (g) A new section relating to expedited processing is added; the 
first subsection concerning requests for expedited processing prior to 
October 2, 1997 reflects the established guidelines adopted and 
utilized by the Agency in the past to consider such requests; see 32 
CFR 1900.34(b); the second subsection concerning requests for expedited 
processing on or after October 2, 1997 reflects new statutory 
provisions set forth in the Electronic Freedom of Information Act 
Amendments of 1996; see 32 CFR 1900.34(c);
    (h) All sections relating to administrative appeals and the CIA 
Information Review Committee (IRC) are amended to reflect a change of 
name to the Historical Records Policy Board (HRPB) and a change of 
membership by inclusion of the Executive Director, the General Counsel, 
the Director of Congressional Affairs, the Director of the Public 
Affairs Staff, the Director, Center for the Study of Intelligence, and 
the Associate Deputy Director for Administration/Information Services, 
or their designees, and a corresponding deletion of the Inspector 
General; see 32 CFR 1900.41;
    (i) Those sections relating to administrative appeals are also 
amended to reflect the creation of a new administrative review body, 
the Agency Release Panel (ARP), subordinate to the HRPB, in order to 
provide an Agency-wide perspective to the information review and 
release process and to reduce the time required for the processing of 
appeals; ee 32 CFR 1900.41 and 32 CFR 1900.44; and
    (j) The section now entitled ``Right of appeal and appeal 
procedures'' is amended to provide that appeals are accepted from 
requesters who have received a determination that no records were 
located; see Oglesby v. Department of the Army, 920 F.2d 57, 67 (D.C. 
Cir. 1990) and 32 CFR 1900.42(a).

In the Part 1901 Regulations Implementing the Privacy Act

    (a) the section entitled ``Definitions'' is amended to include 
additional terms common to the processing of Privacy Act requests and 
to reflect a redesignation under the Freedom of Information Reform Act 
of 1986, Pub. L. 99-570 section 1802(b); see 32 CFR 1901.02;
    (b) The section now entitled ``Contact for general information and 
requests'' is amended to reflect that Privacy Act requests with the 
required identification statement must be filed in original form by 
mail, but that subsequent communications and inquiries will be accepted 
by facsimile; ee 32 CFR 1901.03;
    (c) The section now entitled ``Requirements as to form'' is 
clarified so that it applies clearly to both requests for copies of 
records and requests to amend records; see 32 CFR 1901.12;
    (d) The section now entitled ``Requirements as to identification of 
requester'' is clarified for requests concerning children, broadened to 
address requests by attorneys on behalf of clients, and further amended 
to permit any request to be made under a penalty of perjury declaration 
pursuant to 28 U.S.C. 1746 in addition to the more familiar 
notarization procedure; see Summers v. Department of Justice, 999 F.2d 
570, 572-73 (D.C. Cir. 1993) and 32 CFR 1901.13;
    (e) The section now entitled ``Special procedures for medical and 
psychological records'' is amended to conform the release of these 
types of records to the requester's designated physician who has agreed 
to (1) Review the records with the requesting individual, (2) explain 
the meaning of the records, and (3) offer counseling designed to temper 
any adverse reaction; see Benavides v. Bureau of Prisons, 995 F. 2d 
269, 272 (D.C. Cir. 1993) and 32 CFR 1901.31;
    (f) A new section entitled ``Requests for expedited processing'' is 
added to

[[Page 32481]]

reflect the established guidelines adopted and utilized by the Agency 
in the past to consider such requests; see 32 CFR 1901.32;
    (g) All sections relating to administrative appeals and the CIA 
Information Review Committee (IRC) are amended to reflect a change of 
name to the Historical Records Policy Board (HRPB) and a change of 
membership by inclusion of the Executive Director, the General Counsel, 
the Director of Congressional Affairs, the Director of the Public 
Affairs Staff, the Director, Center for the Study of Intelligence, and 
the Associate Deputy Director for Administration/Information Services, 
or their designees, and a corresponding deletion of the Inspector 
General; see 32 CFR 1901.41 through 32 CFR 1901.45;
    (h) Those sections relating to administrative appeals are also 
amended to reflect the creation of a new administrative review body, 
the Agency Release Panel (ARP), subordinate to the HRPB, in order to 
provide an Agency-wide perspective to the information review and 
release process and to reduce the time required for the processing of 
appeals; see 32 CFR 1901.41 through 32 CFR 1901.45;
    (i) The section now entitled ``Limitations on disclosure'' is 
amended to regulate disclosures not only to another person but also to 
another federal agency or other authorized entity; see 32 CFR 1901.51;
    (j) The section entitled ``Criminal penalties'' is amended to 
authorize the Coordinator and the Inspector General to conduct surveys 
to ensure that no records or file systems are maintained in 
contravention of the Privacy Act; see 32 CFR 1901.52;
    (k) The sections entitled ``Purpose and authority'' and ``General 
exemptions'' are amended to add new subsections to implement section 17 
of the CIA Act of 1949, as amended, 50 U.S.C. 403q(e)(3) which provides 
a general exemption for the identity of individuals providing 
information to the Inspector General of the CIA; see 32 CFR 1901.61(d) 
and 32 CFR 1901.62(d)(3); and
    (l) All sections relating to exemptions are now grouped together 
for convenience and clarity; see 32 CFR 1901.62.

In the New Part 1907 Regulations Implementing the Sec. 1.9 
``Classification Challenges'' Provisions of Executive Order 12958

    This new part is intended to implement the provisions of Sec. 1.9 
of Executive Order (E.O.) 12958 which permits authorized holders of 
classified information to challenge the classified status of that 
information. This provision and these regulations confer no rights upon 
members of the general public who shall continue to request reviews of 
classification under the Mandatory Declassification Review provisions 
set forth at Sec. 3.6 of E.O. 12958 and at 32 CFR part 1908.

In the New Part 1908 Regulations Implementing the Sec. 3.6 ``Mandatory 
Declassification Review'' Provisions of Executive Order 12958

    This new Part is intended to implement the provisions of Sec. 3.6 
of Executive Order (E.O.) 12958 which permits members of the public to 
request a declassification review of any information classified under 
this or predecessor orders. While substantially similar to the 
regulations implementing this provision in prior Orders, it does 
include new sections addressing the right of appeal to the new 
Interagency Security Classification Appeals Panel which was established 
pursuant to Sec. 5.4 of E.O. 12958. This Executive Order provision and 
these regulations do not create any right or benefit, substantive or 
procedural, enforceable at law by a party against the United States, 
its agencies, officers, or employees.

Lastly, in the New Part 1909 Regulations Implementing the Sec. 4.5 
``Access by Historical Researchers and Former Presidential Appointees'' 
Provision of Executive Order 12958

    This new part is intended to implement the provisions of Sec. 4.5 
of Executive Order (E.O.) 12958 which provides a waiver of the need-to-
know principle in limited circumstances for historical researchers and 
former Presidential appointees. These rules are substantially similar 
to those implementing this provision in prior Orders. These rules do 
not create any right or benefit, substantive or procedural, enforceable 
at law by a party against the United States, its agencies, officers, or 
employees. The decision of the Agency in this regard is final.

List of Subjects in 32 CFR Parts 1900, 1901, 1907, 1908, and 1909

    Central Intelligence Agency, Executive Order on Classification, 
Freedom of Information Act, Privacy Act.

    Dated: May 29, 1997.
Richard D. Calder,
Deputy Director for Administration.

    For the reasons set forth herein, the CIA hereby revises Parts 
1900, 1901, 1907 and adds Parts 1908 and 1909 as follows:

PART 1900--PUBLIC ACCESS TO CIA RECORDS UNDER THE FREEDOM OF 
INFORMATION ACT (FOIA)

General

Sec.
1900.01  Authority and purpose.
1900.02  Definitions.
1900.03  Contact for general information and requests.
1900.04  Suggestions and complaints.

Filing of FOIA Requests

1900.11  Preliminary information.
1900.12  Requirements as to form and content.
1900.13  Fees for record services.
1900.14  Fee estimates (pre-request option).

CIA Action on FOIA Requests

1900.21  Processing of requests for records.
1900.22  Action and determination(s) by originator(s) or any 
interested party.
1900.23  Payment of fees, notification of decision, and right of 
appeal.

Additional Administrative Matters

1900.31  Procedures for business information.
1900.32  Procedures for information concerning other persons.
1900.33  Allocation of resources; agreed extensions of time.
1900.34  Requests for expedited processing.

CIA Action on FOIA Administrative Appeals

1900.41  Establishment of appeals structure.
1900.42  Right of appeal and appeal procedures.
1900.43  Determination(s) by Deputy Director(s).
1900.44  Action by appeals authority.
1900.45  Notification of decision and right of judicial review.

    Authority: National Security Act of 1947, as amended; Central 
Intelligence Agency Act of 1949, as amended; Freedom of Information 
Act, as amended; CIA Information Act of 1984; and Executive Order 
12958 , 60 FR 19825, 3 CFR 1996 Comp., p. 333-356 (or successor 
Orders).

General


Sec. 1900.01  Authority and purpose.

    This part is issued under the authority of and in order to 
implement the Freedom of Information Act (FOIA), as amended (5 U.S.C. 
552); the CIA Information Act of 1984 (50 U.S.C. 431); sec. 102 of the 
National Security Act of 1947, as amended (50 U.S.C. 403); and sec. 6 
of the Central Intelligence Agency Act of 1949, as amended (50 U.S.C. 
403g). It prescribes procedures for:
    (a) Requesting information on available CIA records, or the CIA 
administration of the FOIA, or estimates of fees that may become due as 
a result of a request;
    (b) Requesting records pursuant to the FOIA; and

[[Page 32482]]

    (c) Filing an administrative appeal of an initial adverse decision 
under the FOIA.


Sec. 1900.02  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (c) Control means ownership or the authority of the CIA pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    (d) Coordinator means the CIA Information and Privacy Coordinator 
who serves as the Agency manager of the information review and release 
program instituted under the Freedom of Information Act;
    (e) Direct costs means those expenditures which an agency actually 
incurs in the processing of a FOIA request; it does not include 
overhead factors such as space; it does include:
    (1) Pages means paper copies of standard office size or the dollar 
value equivalent in other media;
    (2) Reproduction means generation of a copy of a requested record 
in a form appropriate for release;
    (3) Review means all time expended in examining a record to 
determine whether any portion must be withheld pursuant to law and in 
effecting any required deletions but excludes personnel hours expended 
in resolving general legal or policy issues; it also means personnel 
hours of professional time;
    (4) Search means all time expended in looking for and retrieving 
material that may be responsive to a request utilizing available paper 
and electronic indices and finding aids; it also means personnel hours 
of professional time or the dollar value equivalent in computer 
searches;
    (f) Expression of interest means a written communication submitted 
by a member of the public requesting information on or concerning the 
FOIA program and/or the availability of documents from the CIA;
    (g) Federal agency means any executive department, military 
department, or other establishment or entity included in the definition 
of agency in 5 U.S.C. 552(f);
    (h) Fees means those direct costs which may be assessed a requester 
considering the categories established by the FOIA; requesters should 
submit information to assist the Agency in determining the proper fee 
category and the Agency may draw reasonable inferences from the 
identity and activities of the requester in making such determinations; 
the fee categories include:
    (1) Commercial means a request in which the disclosure sought is 
primarily in the commercial interest of the requester and which 
furthers such commercial, trade, income or profit interests;
    (2) Non-commercial educational or scientific institution means a 
request from an accredited United States educational institution at any 
academic level or institution engaged in research concerning the 
social, biological, or physical sciences or an instructor or researcher 
or member of such institutions; it also means that the information will 
be used in a specific scholarly or analytical work, will contribute to 
the advancement of public knowledge, and will be disseminated to the 
general public;
    (3) Representative of the news media means a request from an 
individual actively gathering news for an entity that is organized and 
operated to publish and broadcast news to the American public and 
pursuant to their news dissemination function and not their commercial 
interests; the term news means information which concerns current 
events, would be of current interest to the general public, would 
enhance the public understanding of the operations or activities of the 
U.S. Government, and is in fact disseminated to a significant element 
of the public at minimal cost; freelance journalists are included in 
this definition if they can demonstrate a solid basis for expecting 
publication through such an organization, even though not actually 
employed by it; a publication contract or prior publication record is 
relevant to such status;
    (4) All other means a request from an individual not within 
paragraph (h)(1), (2), or (3) of this section;
    (i) Freedom of Information Act or ``FOIA'' means the statutes as 
codified at 5 U.S.C. 552;
    (j) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (k) Originator means the U.S. Government official who originated 
the document at issue or successor in office or such official who has 
been delegated release or declassification authority pursuant to law;
    (l) Potential requester means a person, organization, or other 
entity who submits an expression of interest;
    (m) Reasonably described records means a description of a document 
(record) by unique identification number or descriptive terms which 
permit an Agency employee to locate documents with reasonable effort 
given existing indices and finding aids;
    (n) Records or agency records means all documents, irrespective of 
physical or electronic form, made or received by the CIA in pursuance 
of federal law or in connection with the transaction of public business 
and appropriate for preservation by the CIA as evidence of the 
organization, functions, policies, decisions, procedures, operations, 
or other activities of the CIA or because of the informational value of 
the data contained therein; it does not include:
    (1) Books, newspapers, magazines, journals, magnetic or printed 
transcripts of electronic broadcasts, or similar public sector 
materials acquired generally and/or maintained for library or reference 
purposes; to the extent that such materials are incorporated into any 
form of analysis or otherwise distributed or published by the Agency, 
they are fully subject to the disclosure provisions of the FOIA;
    (2) Index, filing, or museum documents made or acquired and 
preserved solely for reference, indexing, filing, or exhibition 
purposes; and
    (3) Routing and transmittal sheets and notes and filing or 
destruction notes which do not also include information, comment, or 
statements of substance;
    (o) Responsive records means those documents (i.e., records) which 
the Agency has determined to be within the scope of a FOIA request.


Sec. 1900.03  Contact for general information and requests.

    For general information on this part, to inquire about the FOIA 
program at CIA, or to file a FOIA request (or expression of interest), 
please direct your communication in writing to the Information and 
Privacy Coordinator, Central Intelligence Agency, Washington, DC 20505. 
Such inquiries will also be accepted by facsimile at (703) 613-3007. 
For general information or status information on pending cases only, 
the telephone number is (703)

[[Page 32483]]

613-1287. Collect calls cannot be accepted.


Sec. 1900.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the Freedom of Information Act. Many requesters will 
receive pre-paid, customer satisfaction survey cards. Letters of 
suggestion or complaint should identify the specific purpose and the 
issues for consideration. The Agency will respond to all substantive 
communications and take such actions as determined feasible and 
appropriate.

Filing of FOIA Requests


Sec. 1900.11  Preliminary Information.

    Members of the public shall address all communications to the CIA 
Coordinator as specified at 32 CFR 1900.03 and clearly delineate the 
communication as a request under the Freedom of Information Act and 
this regulation. CIA employees receiving a communication in the nature 
of a FOIA request shall expeditiously forward same to the Coordinator. 
Requests and appeals on requests, referrals, or coordinations received 
from members of the public who owe outstanding fees for information 
services at this or other federal agencies will not be accepted and 
action on all pending requests shall be terminated in such 
circumstances.


Sec. 1900.12  Requirements as to form and content.

    (a) Required information. No particular form is required. A request 
need only reasonably describe the records of interest. This means that 
documents must be described sufficiently to enable a professional 
employee familiar with the subject to locate the documents with a 
reasonable effort. Commonly this equates to a requirement that the 
documents must be locatable through the indexing of our various 
systems. Extremely broad or vague requests or requests requiring 
research do not satisfy this requirement.
    (b) Additional information for fee determination. In addition, a 
requester should provide sufficient personal identifying information to 
allow us to determine the appropriate fee category. A requester should 
also provide an agreement to pay all applicable fees or fees not to 
exceed a certain amount or request a fee waiver.
    (c) Otherwise. Communications which do not meet these requirements 
will be considered an expression of interest and the Agency will work 
with, and offer suggestions to, the potential requester in order to 
define a request properly.


Sec. 1900.13  Fees for record services.

    (a) In general. Search, review, and reproduction fees will be 
charged in accordance with the provisions below relating to schedule, 
limitations, and category of requester. Applicable fees will be due 
even if our search locates no responsive records or some or all of the 
responsive records must be denied under one or more of the exemptions 
of the Freedom of Information Act.
    (b) Fee waiver requests. Records will be furnished without charge 
or at a reduced rate whenever the Agency determines:
    (1) That, as a matter of administrative discretion, the interest of 
the United States Government would be served, or
    (2) That it is in the public interest because it is likely to 
contribute significantly to the public understanding of the operations 
or activities of the United States Government and is not primarily in 
the commercial interest of the requester; the Agency shall consider the 
following factors when making this determination:
    (i) Whether the subject of the request concerns the operations or 
activities of the United States Government; and, if so,
    (ii) Whether the disclosure of the requested documents is likely to 
contribute to an understanding of United States Government operations 
or activities; and, if so,
    (iii) Whether the disclosure of the requested documents will 
contribute to public understanding of United States Government 
operations or activities; and, if so,
    (iv) Whether the disclosure of the requested documents is likely to 
contribute significantly to public understanding of United States 
Government operations and activities; and
    (v) Whether the requester has a commercial interest that would be 
furthered by the requested disclosure; and, if so,
    (vi) Whether the disclosure is primarily in the commercial interest 
of the requester.
    (c) Fee waiver appeals. Denials of requests for fee waivers or 
reductions may be appealed to the Chair of the Agency Release Panel via 
the Coordinator. A requester is encouraged to provide any explanation 
or argument as to how his or her request satisfies the statutory 
requirement set forth above.
    (d) Time for fee waiver requests and appeals. It is suggested that 
such requests and appeals be made and resolved prior to the initiation 
of processing and the incurring of costs. However, fee waiver requests 
will be accepted at any time prior to the release of documents or the 
completion of a case, and fee waiver appeals within forty-five (45) 
days of our initial decision subject to the following condition: If 
processing has been initiated, then the requester must agree to be 
responsible for costs in the event of an adverse administrative or 
judicial decision.
    (e) Agreement to pay fees. In order to protect requesters from 
large and/or unanticipated charges, the Agency will request specific 
commitment when it estimates that fees will exceed $100.00. The Agency 
will hold in abeyance for forty-five (45) days requests requiring such 
agreement and will thereafter deem the request closed. This action, of 
course, would not prevent an individual from refiling his or her FOIA 
request with a fee commitment at a subsequent date.
    (f) Deposits. The Agency may require an advance deposit of up to 
100 percent of the estimated fees when fees may exceed $250.00 and the 
requester has no history of payment, or when, for fees of any amount, 
there is evidence that the requester may not pay the fees which would 
be accrued by processing the request. The Agency will hold in abeyance 
for forty-five (45) days those requests where deposits have been 
requested.
    (g) Schedule of fees--(1) In general. The schedule of fees for 
services performed in responding to requests for records is established 
as follows:

------------------------------------------------------------------------
                                                                        
------------------------------------------------------------------------
                       Personnel Search and Review                      
------------------------------------------------------------------------
Clerical/Technical...................  Quarter hour...........     $5.00
Professional/Supervisory.............  Quarter hour...........     10.00
Manager/Senior Professional..........  Quarter hour...........     18.00
------------------------------------------------------------------------
                     Computer Search and Production                     
------------------------------------------------------------------------
Search (on-line).....................  Flat rate..............     10.00
Search (off-line)....................  Flat rate..............     30.00
Other activity.......................  Per minute.............     10.00
Tapes (mainframe cassette)...........  Each...................      9.00
Tapes (mainframe cartridge)..........  Each...................      9.00
Tapes (mainframe reel)...............  Each...................     20.00
Tapes (PC 9mm).......................  Each...................     25.00
Diskette (3.5'').....................  Each...................      4.00
CD (bulk recorded)...................  Each...................     10.00
CD (recordable)......................  Each...................     20.00
Telecommunications...................  Per minute.............       .50
Paper (mainframe printer)............  Per page...............       .10
Paper (PC b&w laser printer).........  Per page...............       .10
Paper (PC color printer).............  Per page...............      1.00
------------------------------------------------------------------------
 
[[Page 32484]]

                                                                        
                            Paper Production                            
------------------------------------------------------------------------
Photocopy (standard or legal)........  Per page...............       .10
Microfiche...........................  Per frame..............       .20
Pre-printed (if available)...........  Per 100 pages..........      5.00
Published (if available).............  Per item...............      NTIS
------------------------------------------------------------------------

    (2) Application of schedule. Personnel search time includes time 
expended in either manual paper records searches, indices searches, 
review of computer search results for relevance, personal computer 
system searches, and various reproduction services. In any event where 
the actual cost to the Agency of a particular item is less than the 
above schedule (e.g., a large production run of a document resulted in 
a cost less than $5.00 per hundred pages), then the actual lesser cost 
will be charged. Items published and available at the National 
Technical Information Service (NTIS) are also available from CIA 
pursuant to this part at the NTIS price as authorized by statute.
    (3) Other services. For all other types of output, production, or 
reproduction (e.g., photographs, maps, or published reports), actual 
cost or amounts authorized by statute. Determinations of actual cost 
shall include the commercial cost of the media, the personnel time 
expended in making the item to be released, and an allocated cost of 
the equipment used in making the item, or, if the production is 
effected by a commercial service, then that charge shall be deemed the 
actual cost for purposes of this part.
    (h) Limitations on collection of fees.--(1) In general. No fees 
will be charged if the cost of collecting the fee is equal to or 
greater than the fee itself. That cost includes the administrative 
costs to the Agency of billing, receiving, recording, and processing 
the fee for deposit to the Treasury Department and, as of the date of 
these regulations, is deemed to be $10.00.
    (2) Requests for personal information. No fees will be charged for 
requesters seeking records about themselves under the FOIA; such 
requests are processed in accordance with both the FOIA and the Privacy 
Act in order to ensure the maximum disclosure without charge.
    (i) Fee categories. There are four categories of FOIA requesters 
for fee purposes: ``Commercial use'' requesters, ``educational and non-
commercial scientific institution'' requesters, ``representatives of 
the news media'' requesters, and ``all other'' requesters. The 
categories are defined in Sec. 1900.02, and applicable fees, which are 
the same in two of the categories, will be assessed as follows:
    (1) ``Commercial use'' requesters: Charges which recover the full 
direct costs of searching for, reviewing, and duplicating responsive 
records (if any);
    (2) ``Educational and non-commercial scientific institution'' 
requesters as well as ``representatives of the news media'' requesters: 
Only charges for reproduction beyond the first 100 pages;
    (3) ``All other'' requesters: Charges which recover the full direct 
cost of searching for and reproducing responsive records (if any) 
beyond the first 100 pages of reproduction and the first two hours of 
search time which will be furnished without charge.
    (j) Associated requests. A requester or associated requesters may 
not file a series of multiple requests, which are merely discrete 
subdivisions of the information actually sought for the purpose of 
avoiding or reducing applicable fees. In such instances, the Agency may 
aggregate the requests and charge the applicable fees.


Sec. 1900.14  Fee estimates (pre-request option).

    In order to avoid unanticipated or potentially large fees, a 
requester may submit a request for a fee estimate. The Agency will 
endeavor within ten (10) days to provide an accurate estimate, and, if 
a request is thereafter submitted, the Agency will not accrue or charge 
fees in excess of our estimate without the specific permission of the 
requester. Effective October 2, 1997, the ten (10) day provision is 
modified to twenty (20) days pursuant to the Electronic Freedom of 
Information Act Amendments of 1996.

CIA Action on FOIA Requests


Sec. 1900.21  Processing of requests for records.

    (a) In general. Requests meeting the requirements of Secs. 1900.11 
through 1900.13 shall be accepted as formal requests and processed 
under the Freedom of Information Act, 5 U.S.C. 552, and these 
regulations. Upon receipt, the Agency shall within ten (10) days record 
each request, acknowledge receipt to the requester in writing, and 
thereafter effect the necessary taskings to the CIA components 
reasonably believed to hold responsive records. Effective October 2, 
1997, the ten (10) day provision is modified to twenty (20) days 
pursuant to the Electronic Freedom of Information Act Amendments of 
1996.
    (b) Database of ``officially released information.'' As an 
alternative to extensive tasking and as an accommodation to many 
requesters, the Agency maintains a database of ``officially released 
information'' which contains copies of documents released by this 
Agency. Searches of this database, containing currently in excess of 
500,000 pages, can be accomplished expeditiously. Moreover, requests 
that are specific and well-focused will often incur minimal, if any, 
costs. Requesters interested in this means of access should so indicate 
in their correspondence. Effective November 1, 1997 and consistent with 
the mandate of the Electronic Freedom of Information Act Amendments of 
1996, on-the public. Detailed information regarding such access will 
line electronic access to these records will be available to be 
available at that time from the point of contact specified in 
Sec. 1900.03.
    (c) Effect of certain exemptions. In processing a request, the 
Agency shall decline to confirm or deny the existence or nonexistence 
of any responsive records whenever the fact of their existence or 
nonexistence is itself classified under Executive Order 12958 or 
revealing of intelligence sources and methods protected pursuant to 
section 103(c)(5) of the National Security Act of 1947. In such 
circumstances, the Agency, in the form of a final written response, 
shall so inform the requester and advise of his or her right to an 
administrative appeal.
    (d) Time for response. The Agency will utilize every effort to 
determine within the statutory guideline of ten (10) days after receipt 
of an initial request whether to comply with such a request. However, 
the current volume of requests require that the Agency seek additional 
time from a requester pursuant to 32 CFR 1900.33. In such event, the 
Agency will inform the requester in writing and further advise of his 
or her right to file an administrative appeal of any adverse 
determination. Effective October 2, 1997, the ten (10) day provision is 
modified to twenty (20) days pursuant to the Electronic Freedom of 
Information Act Amendments of 1996.


Sec. 1900.22  Action and determination(s) by originator(s) or any 
interested party.

    (a) Initial action for access. CIA components tasked pursuant to a 
FOIA request shall search all relevant record systems within their 
cognizance which have not been excepted from search by the provisions 
of the CIA Information Act of 1984. They shall:
    (1) Determine whether a record exists;
    (2) Determine whether and to what extent any FOIA exemptions apply;
    (3) Approve the disclosure of all non-exempt records or portions of 
records for which they are the originator; and
    (4) Forward to the Coordinator all records approved for release or 
necessary for coordination with or

[[Page 32485]]

referral to another originator or interested party. In making these 
decisions, the CIA component officers shall be guided by the applicable 
law as well as the procedures specified at 32 CFR 1900.31 and 32 CFR 
1900.32 regarding confidential commercial information and personal 
information (about persons other than the requester).
    (b) Referrals and coordinations. As applicable and within ten (10) 
days of receipt by the Coordinator, any CIA records containing 
information originated by other CIA components shall be forwarded to 
those entities for action in accordance with paragraph (a) of this 
section and return. Records originated by other federal agencies or CIA 
records containing other federal agency information shall be forwarded 
to such agencies within ten (10) days of our completion of initial 
action in the case for action under their regulations and direct 
response to the requester (for other agency records) or return to the 
CIA (for CIA records). Effective October 2, 1997, the ten (10) day 
provision is modified to twenty (20) days pursuant to the Electronic 
Freedom of Information Act Amendments of 1996.


Sec. 1900.23  Payment of fees, notification of decision, and right of 
appeal.

    (a) Fees in general. Fees collected under this part do not accrue 
to the Central Intelligence Agency and shall be deposited immediately 
to the general account of the United States Treasury.
    (b) Notification of decision. Upon completion of all required 
review and the receipt of accrued fees (or promise to pay such fees), 
the Agency will promptly inform the requester in writing of those 
records or portions of records which may be released and which must be 
denied. With respect to the former, the Agency will provide copies; 
with respect to the latter, the Agency shall explain the reasons for 
the denial, identify the person(s) responsible for such decisions by 
name and title, and give notice of a right of administrative appeal.
    (c) Availability of reading room. As an alternative to receiving 
records by mail, a requester may arrange to inspect the records deemed 
releasable at a CIA ``reading room'' in the metropolitan Washington, DC 
area. Access will be granted after applicable and accrued fees have 
been paid. Requests to review or browse documents in our database of 
``officially released records'' will also be honored in this manner to 
the extent that paper copies or electronic copies in unclassified 
computer systems exist. All such requests shall be in writing and 
addressed pursuant to 32 CFR 1900.03. The records will be available at 
such times as mutually agreed but not less than three (3) days from our 
receipt of a request. The requester will be responsible for 
reproduction charges for any copies of records desired.

Additional Administrative Matters


Sec. 1900.31  Procedures for business information.

    (a) In general. Business information obtained by the Central 
Intelligence Agency by a submitter shall not be disclosed pursuant to a 
Freedom of Information Act request except in accordance with this 
section. For purposes of this section, the following definitions apply:
    (1) Business information means commercial or financial information 
in which a legal entity has a recognized property interest;
    (2) Confidential commercial information means such business 
information provided to the United States Government by a submitter 
which is reasonably believed to contain information exempt from release 
under exemption (b)(4) of the Freedom of Information Act, 5 U.S.C. 552, 
because disclosure could reasonably be expected to cause substantial 
competitive harm;
    (3) Submitter means any person or entity who provides confidential 
commercial information to the United States Government; it includes, 
but is not limited to, corporations, businesses (however organized), 
state governments, and foreign governments; and
    (b) Designation of confidential commercial information. A submitter 
of business information will use good-faith efforts to designate, by 
appropriate markings, either at the time of submission or at a 
reasonable time thereafter, any portions of its submission that it 
considers to be confidential commercial information and hence protected 
from required disclosure pursuant to exemption (b)(4). Such 
designations shall expire ten (10) years after the date of the 
submission unless the submitter requests, and provides justification 
for, a longer designation period.
    (c) Process in event of FOIA request.--(1) Notice to submitters. 
The Agency shall provide a submitter with prompt written notice of 
receipt of a Freedom of Information Act request encompassing business 
information whenever:
    (i) The submitter has in good faith designated the information as 
confidential commercial information, or
    (ii) The Agency believes that disclosure of the information could 
reasonably be expected to cause substantial competitive harm, and
    (iii) The information was submitted within the last ten (10) years 
unless the submitter requested and provided acceptable justification 
for a specific notice period of greater duration.
    (2) Form of notice. This notice shall either describe the exact 
nature of the confidential commercial information at issue or provide 
copies of the responsive records containing such information.
    (3) Response by submitter. (i) Within seven (7) days of the above 
notice, all claims of confidentiality by a submitter must be supported 
by a detailed statement of any objection to disclosure. Such statement 
shall:
    (A) Specify that the information has not been disclosed to the 
public;
    (B) Explain why the information is contended to be a trade secret 
or confidential commercial information;
    (C) Explain how the information is capable of competitive damage if 
disclosed;
    (D) State that the submitter will provide the Agency and the 
Department of Justice with such litigation defense as requested; and
    (E) Be certified by an officer authorized to legally bind the 
corporation or similar entity.
    (ii) It should be noted that information provided by a submitter 
pursuant to this provision may itself be subject to disclosure under 
the FOIA.
    (4) Decision and notice of intent to disclose. (i) The Agency shall 
consider carefully a submitter's objections and specific grounds for 
nondisclosure prior to its final determination. If the Agency decides 
to disclose a document over the objection of a submitter, the Agency 
shall provide the submitter a written notice which shall include:
    (A) A statement of the reasons for which the submitter's disclosure 
objections were not sustained;
    (B) A description of the information to be disclosed; and
    (C) A specified disclosure date which is seven (7) days after the 
date of the instant notice.
    (ii) When notice is given to a submitter under this section, the 
Agency shall also notify the requester and, if the Agency notifies a 
submitter that it intends to disclose information, then the requester 
shall be notified also and given the proposed date for disclosure.
    (5) Notice of FOIA lawsuit. If a requester initiates a civil action 
seeking to compel disclosure of information asserted to be within the 
scope of this section, the Agency shall promptly notify the submitter. 
The submitter, as specified above, shall provide such litigation 
assistance as required by the Agency and the Department of Justice.
    (6) Exceptions to notice requirement. The notice requirements of 
this section

[[Page 32486]]

shall not apply if the Agency determines that:
    (i) The information should not be disclosed in light of other FOIA 
exemptions;
    (ii) The information has been published lawfully or has been 
officially made available to the public;
    (iii) The disclosure of the information is otherwise required by 
law or federal regulation; or
    (iv) The designation made by the submitter under this section 
appears frivolous, except that, in such a case, the Agency will, within 
a reasonable time prior to the specified disclosure date, give the 
submitter written notice of any final decision to disclose the 
information.


Sec. 1900.32  Procedures for information concerning other persons.

    (a) In general. Personal information concerning individuals other 
than the requester shall not be disclosed under the Freedom of 
Information Act if the proposed release would constitute a clearly 
unwarranted invasion of personal privacy. See 5 U.S.C. 552(b)(6). For 
purposes of this section, the following definitions apply:
    (1) personal information means any information about an individual 
that is not a matter of public record, or easily discernible to the 
public, or protected from disclosure because of the implications that 
arise from Government possession of such information.
    (2) public interest means the public interest in understanding the 
operations and activities of the United States Government and not 
simply any matter which might be of general interest to the requester 
or members of the public.
    (b) Determination to be made. In making the required determination 
under this section and pursuant to exemption (b)(6) of the FOIA, the 
Agency will balance the privacy interests that would be compromised by 
disclosure against the public interest in release of the requested 
information.
    (c) Otherwise. A requester seeking information on a third person is 
encouraged to provide a signed affidavit or declaration from the third 
person waiving all or some of their privacy rights. However, all such 
waivers shall be narrowly construed and the Coordinator, in the 
exercise of his discretion and administrative authority, may seek 
clarification from the third party prior to any or all releases.


Sec. 1900.33  Allocation of resources; agreed extensions of time.

    (a) In general. Agency components shall devote such personnel and 
other resources to the responsibilities imposed by the Freedom of 
Information Act as may be appropriate and reasonable considering:
    (1) The totality of resources available to the component,
    (2) The business demands imposed on the component by the Director 
of Central Intelligence or otherwise by law,
    (3) The information review and release demands imposed by the 
Congress or other governmental authority, and
    (4) The rights of all members of the public under the various 
information review and disclosure laws.
    (b) Discharge of FOIA responsibilities. Components shall exercise 
due diligence in their responsibilities under the FOIA and must 
allocate a reasonable level of resources to requests under the Act in a 
strictly ``first-in, first-out'' basis and utilizing two or more 
processing queues to ensure that smaller as well as larger (i.e., 
project) cases receive equitable attention. The Information and Privacy 
Coordinator is responsible for management of the Agency-wide program 
defined by this part and for establishing priorities for cases 
consistent with established law. The Director, Information Management 
through the Agency Release Panel shall provide policy and resource 
direction as necessary and render decisions on administrative appeals.
    (c) Requests for extension of time. When the Agency is unable to 
meet the statutory time requirements of the FOIA, it will inform the 
requester that the request cannot be processed within the statutory 
time limits, provide an opportunity for the requester to limit the 
scope of the request so that it can be processed within the statutory 
time limits, or arrange with the requester an agreed upon time frame 
for processing the request, or determine that exceptional circumstances 
mandate additional time. In such instances the Agency will, however, 
inform a requester of his or her right to decline our request and 
proceed with an administrative appeal or judicial review as 
appropriate. Effective October 2 1997, the definition of exceptional 
circumstances is modified per section 552(a)(6)(C) of the Freedom of 
Information Act, as amended.


Sec. 1900.34  Requests for expedited processing.

    (a) In general. All requests will be handled in the order received 
on a strictly ``first-in, first-out'' basis. Exceptions to this rule 
will only be made in accordance with the following procedures. In all 
circumstances, however, and consistent with established judicial 
precedent, requests more properly the scope of requests under the 
Federal Rules of Civil or Criminal Procedure (or other federal, state, 
or foreign judicial or quasi-judicial rules) will not be granted 
expedited processing under this or related (e.g., Privacy Act) 
provisions unless expressly ordered by a federal court of competent 
jurisdiction.
    (b) Procedure prior to October 2, 1997. Requests for expedited 
processing shall be granted only in circumstances that the Agency deems 
to be exceptional. In making this determination, the Agency shall 
consider and must decide in the affirmative on all of the following 
factors:
    (i) That there is a genuine need for the specific requested 
records; and
    (ii) That the personal need is exceptional; and
    (iii) That there are no alternative forums for the records or 
information sought; and
    (iv) That it is reasonably believed that substantive records 
relevant to the stated needs may exist and be deemed releasable.
    (2) In sum, requests shall be considered for expedited processing 
only when health, humanitarian, or due process considerations involving 
possible deprivation of life or liberty create circumstances of 
exceptional urgency and extraordinary need.
    (c) Procedure on or after October 2, 1997. Requests for expedited 
processing will be approved only when a compelling need is established 
to the satisfaction of the Agency. A requester may make such a request 
with a certification of ``compelling need'' and, within ten (10) days 
of receipt, the Agency will decide whether to grant expedited 
processing and will notify the requester of its decision. The 
certification shall set forth with specificity the relevant facts upon 
which the requester relies and it appears to the Agency that 
substantive records relevant to the stated needs may exist and be 
deemed releasable. A ``compelling need'' is deemed to exist:
    (1) When the matter involves an imminent threat to the life or 
physical safety of an individual; or
    (2) When the request is made by a person primarily engaged in 
disseminating information and the information is relevant to a subject 
of public urgency concerning an actual or alleged Federal government 
activity.

CIA Action on FOIA Administrative Appeals


Sec. 1900.41  Establishment of appeals structure.

    (a) In general. Two administrative entities have been established 
by the

[[Page 32487]]

Director of Central Intelligence to facilitate the processing of 
administrative appeals under the Freedom of Information Act. Their 
membership, authority, and rules of procedure are as follows.
    (b) Historical Records Policy Board (``HRPB'' or ``Board''). This 
Board, the successor to the CIA Information Review Committee, acts as 
the senior corporate board in the CIA on all matters of information 
review and release.
    (1) Membership. The HRPB is composed of the Executive Director, who 
serves as its Chair, the Deputy Director for Administration, the Deputy 
Director for Intelligence, the Deputy Director for Operations, the 
Deputy Director for Science and Technology, the General Counsel, the 
Director of Congressional Affairs, the Director of the Public Affairs 
Staff, the Director, Center for the Study of Intelligence, and the 
Associate Deputy Director for Administration/Information Services, or 
their designees.
    (2) Authorities and activities. The HRPB, by majority vote, may 
delegate to one or more of its members the authority to act on any 
appeal or other matter or authorize the Chair to delegate such 
authority, as long as such delegation is not to the same individual or 
body who made the initial denial. The Executive Secretary of the HRPB 
is the Director, Information Management. The Chair may request 
interested parties to participate when special equities or expertise 
are involved.
    (c) Agency Release Panel (``ARP'' or ``Panel''). The HRPB, pursuant 
to its delegation of authority, has established a subordinate Agency 
Release Panel.
    (1) Membership. The ARP is composed of the Director, Information 
Management, who serves as its Chair; the Information Review Officers 
from the Directorates of Administration, Intelligence, Operations, 
Science and Technology, and the Director of Central Intelligence Area; 
the CIA Information and Privacy Coordinator; the Chief, Historical 
Review Group; the Chair, Publications Review Board; the Chief, Records 
Declassification Program; and representatives from the Office of 
General Counsel, the Office of Congressional Affairs, and the Public 
Affairs Staff.
    (2) Authorities and activities. The Panel shall meet on a regular 
schedule and may take action when a simple majority of the total 
membership is present. The Panel shall advise and assist the HRPB on 
all information release issues, monitor the adequacy and timeliness of 
Agency releases, set component search and review priorities, review 
adequacy of resources available to and planning for all Agency release 
programs, and perform such other functions as deemed necessary by the 
Board. The Information and Privacy Coordinator also serves as Executive 
Secretary of the Panel. The Chair may request interested parties to 
participate when special equities or expertise are involved. The Panel, 
functioning as a committee of the whole or through individual members, 
will make final Agency decisions from appeals of initial adverse 
decisions under the Freedom of Information Act and such other 
information release decisions made under 32 CFR parts 1901, 1907, and 
1908. Issues shall be decided by a majority of members present; in all 
cases of a divided vote, any member of the ARP then present may refer 
such matter to the HRPB by written memorandum to the Executive 
Secretary of the HRPB. Matters decided by the Panel or Board will be 
deemed a final decision by the Agency.


Sec. 1900.42  Right of appeal and appeal procedures.

    (a) Right of Appeal. A right of administrative appeal exists 
whenever access to any requested record or any portion thereof is 
denied, no records are located in response to a request, or a request 
for a fee waiver is denied. The Agency will apprise all requesters in 
writing of their right to appeal such decisions to the CIA Agency 
Release Panel through the Coordinator.
    (b) Requirements as to time and form. Appeals of decisions must be 
received by the Coordinator within forty-five (45) days of the date of 
the Agency's initial decision. The Agency may, for good cause and as a 
matter of administrative discretion, permit an additional thirty (30) 
days for the submission of an appeal. All appeals shall be in writing 
and addressed as specified in 32 CFR 1900.03. All appeals must identify 
the documents or portions of documents at issue with specificity and 
may present such information, data, and argument in support as the 
requester may desire.
    (c) Exceptions. No appeal shall be accepted if the requester has 
outstanding fees for information services at this or another federal 
agency. In addition, no appeal shall be accepted if the information in 
question has been the subject of a review within the previous two (2) 
years or is the subject of pending litigation in the federal courts.
    (d) Receipt, recording, and tasking. The Agency shall promptly 
record each request received under this part, acknowledge receipt to 
the requester in writing, and thereafter effect the necessary taskings 
to the Deputy Director(s) in charge of the directorate(s) which 
originated or has an interest in the record(s) subject to the appeal. 
As used herein, the term Deputy Director includes an equivalent senior 
official in the DCI-area as well as a designee known as the Information 
Review Officer for a directorate or area.
    (e) Time for response. The Agency shall attempt to complete action 
on an appeal within twenty (20) days of the date of receipt. The 
current volume of requests, however, often requires that the Agency 
request additional time from the requester pursuant to 32 CFR 1900.33. 
In such event, the Agency will inform the requester of the right to 
judicial review.


Sec. 1900.43  Determination(s) by Deputy Director(s).

    Each Deputy Director in charge of a directorate which originated or 
has an interest in any of the records subject to the appeal, or 
designee, is a required party to any appeal; other interested parties 
may become involved through the request of the Coordinator when it is 
determined that some or all of the information is also within their 
official cognizance. These parties shall respond in writing to the 
Coordinator with a finding as to the exempt status of the information. 
This response shall be provided expeditiously on a ``first-in, first-
out'' basis taking into account the business requirements of the 
parties and consistent with the information rights of members of the 
general public under the various information review and release laws.


Sec. 1900.44  Action by appeals authority.

    (a) Preparation of docket. The Coordinator, acting in the capacity 
of Executive Secretary of the Agency Release Panel, shall place 
administrative appeals of FOIA requests ready for adjudication on the 
agenda at the next occurring meeting of that Panel. The Executive 
Secretary shall provide a summation memorandum for consideration of the 
members; the complete record of the request consisting of the request, 
the document(s) (sanitized and full text) at issue, and the findings of 
the concerned Deputy Director(s) or designee(s).
    (b) Decision by the Agency Release Panel. The Agency Release Panel 
shall meet and decide requests sitting as a committee of the whole. 
Decisions are by majority vote of those present at a meeting and shall 
be based on the written record and their deliberations; no personal 
appearances shall be permitted without the express permission of the 
Panel.

[[Page 32488]]

    (c) Decision by the Historical Records Policy Board. In any cases 
of divided vote by the ARP, any member of that body is authorized to 
refer the request to the CIA Historical Records Policy Board which acts 
as the senior corporate board for the Agency. The record compiled (the 
request, the memoranda filed by the originator and interested parties, 
and the previous decision(s)) as well as any memorandum of law or 
policy the referent desires to be considered, shall be certified by the 
Executive Secretary of the Agency Release Panel and shall constitute 
the official record of the proceedings and must be included in any 
subsequent filings.


Sec. 1900.45  Notification of decision and right of judicial review.

    The Executive Secretary of the Agency Release Panel shall promptly 
prepare and communicate the decision of the Panel or Board to the 
requester. With respect to any decision to deny information, that 
correspondence shall state the reasons for the decision, identify the 
officer responsible, and include a notice of a right to judicial 
review.

PART 1901--PUBLIC RIGHTS UNDER THE PRIVACY ACT OF 1974

General

Sec.
1901.01  Authority and purpose.
1901.02  Definitions.
1901.03  Contact for general information and requests.
1901.04  Suggestions and complaints.

Filing of Privacy Act Requests

1901.11  Preliminary information.
1901.12  Requirements as to form.
1901.13  Requirements as to identification of requester.
1901.14  Fees.

Action on Privacy Act Requests

1901.21  Processing requests for access to or amendment of records.
1901.22  Action and determination(s) by originator(s) or any 
interested party.
1901.23  Notification of decision and right of appeal.

Additional Administrative Matters

1901.31  Special procedures for medical and psychological records.
1901.32  Requests for expedited processing.
1901.33  Allocation of resources; agreed extensions of time.

Action on Privacy Act Administrative Appeals

1901.41  Establishment of appeals structure.
1901.42  Right of appeal and appeal procedures.
1901.43  Determination(s) by Deputy Director(s).
1901.44  Action by appeals authority.
1901.45  Notification of decision and right of judicial review.

Prohibitions

1901.51  Limitations on disclosure.
1901.52  Criminal penalties.

Exemptions

1901.61  Purpose and authority.
1901.62  General exemptions.
1901.63  Specific exemptions.

    Authority: National Security Act of 1947, as amended; Central 
Intelligence Agency Act of 1949, as amended; Privacy Act, as 
amended; and Executive Order 12958 (or successor Orders).

General


Sec. 1901.01  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement the Privacy Act of 1974 (5 U.S.C. 552a); sec. 102 of 
the National Security Act of 1947, as amended (50 U.S.C. 403); and sec. 
6 of the Central Intelligence Agency Act of 1949, as amended (50 U.S.C. 
403g).
    (b) Purpose in general. This part prescribes procedures for a 
requester, as defined herein:
    (1) To request notification of whether the Central Intelligence 
Agency maintains a record concerning them in any non-exempt portion of 
a system of records or any non-exempt system of records;
    (2) To request a copy of all non-exempt records or portions of 
records;
    (3) To request that any such record be amended or augmented; and
    (4) To file an administrative appeal to any initial adverse 
determination to deny access to or amend a record.
    (c) Other purposes. This part also sets forth detailed limitations 
on how and to whom the Agency may disclose personal information and 
gives notice that certain actions by officers or employees of the 
United States Government or members of the public could constitute 
criminal offenses.


Sec. 1901.02  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (c) Control means ownership or the authority of the CIA pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    (d) Coordinator means the CIA Information and Privacy Coordinator 
who serves as the Agency manager of the information review and release 
program instituted under the Privacy Act;
    (e) Federal agency means any executive department, military 
department, or other establishment or entity included in the definition 
of agency in 5 U.S.C. 552(f);
    (f) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (g) Maintain means maintain, collect, use, or disseminate;
    (h) Originator means the U.S. Government official who originated 
the document at issue or successor in office or such official who has 
been delegated release or declassification authority pursuant to law;
    (i) Privacy Act or PA means the statute as codified at 5 U.S.C. 
552a;
    (j) Record means an item, collection, or grouping of information 
about an individual that is maintained by the Central Intelligence 
Agency in a system of records;
    (k) Requester or individual means a citizen of the United States or 
an alien lawfully admitted for permanent residence who is a living 
being and to whom a record might pertain;
    (l) responsive record means those documents (records) which the 
Agency has determined to be within the scope of a Privacy Act request;
    (m) Routine use means, with respect to the disclosure of a record, 
the use of such record for a purpose which is compatible with the 
purpose for which the record is maintained;
    (n) system of records means a group of any records under the 
control of the Central Intelligence Agency from which records are 
retrieved by the name of an individual or by some identifying number, 
symbol, or other identifying particular assigned to that individual.


Sec. 1901.03  Contact for general information and requests.

    For general information on this part, to inquire about the Privacy 
Act program at CIA, or to file a Privacy Act request, please direct 
your communication in writing to the Information and Privacy 
Coordinator, Central Intelligence Agency, Washington, DC. 20505. 
Requests with the required identification statement

[[Page 32489]]

pursuant to 32 CFR 1901.13 must be filed in original form by mail. 
Subsequent communications and any inquiries will be accepted by mail or 
facsimile at (703) 613-3007 or by telephone at (703) 613-1287. Collect 
calls cannot be accepted.


Sec. 1901.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the Privacy Act. Many requesters will receive pre-
paid, customer satisfaction survey cards. Letters of suggestion or 
complaint should identify the specific purpose and the issues for 
consideration. The Agency will respond to all substantive 
communications and take such actions as determined feasible and 
appropriate.

Filing of Privacy Act Requests


Sec. 1901.11  Preliminary information.

    Members of the public shall address all communications to the 
contact specified at Sec. 1901.03 and clearly delineate the 
communication as a request under the Privacy Act and this regulation. 
Requests and administrative appeals on requests, referrals, and 
coordinations received from members of the public who owe outstanding 
fees for information services at this or other federal agencies will 
not be accepted and action on existing requests and appeals will be 
terminated in such circumstances.


Sec. 1901.12  Requirements as to form.

    (a) In general. No particular form is required. All requests must 
contain the identification information required at Sec. 1901.13.
    (b) For access. For requests seeking access, a requester should, to 
the extent possible, describe the nature of the record sought and the 
record system(s) in which it is thought to be included. Requesters may 
find assistance from information described in the Privacy Act Issuances 
Compilation which is published biannually by the Federal Register. In 
lieu of this, a requester may simply describe why and under what 
circumstances it is believed that this Agency maintains responsive 
records; the Agency will undertake the appropriate searches.
    (c) For amendment. For requests seeking amendment, a requester 
should identify the particular record or portion subject to the 
request, state a justification for such amendment, and provide the 
desired amending language.


Sec. 1901.13  Requirements as to identification of requester.

    (a) In general. Individuals seeking access to or amendment of 
records concerning themselves shall provide their full (legal) name, 
address, date and place of birth, and current citizenship status 
together with a statement that such information is true under penalty 
of perjury or a notarized statement swearing to or affirming identity. 
If the Agency determines that this information is not sufficient, the 
Agency may request additional or clarifying information.
    (b) Requirement for aliens. Only aliens lawfully admitted for 
permanent residence (PRAs) may file a request pursuant to the Privacy 
Act and this part. Such individuals shall provide, in addition to the 
information required under paragraph (a) of this section, their Alien 
Registration Number and the date that status was acquired.
    (c) Requirement for representatives. The parent or guardian of a 
minor individual, the guardian of an individual under judicial 
disability, or an attorney retained to represent an individual shall 
provide, in addition to establishing the identity of the minor or 
individual represented as required in paragraph (a) or (b) of this 
section, evidence of such representation by submission of a certified 
copy of the minor's birth certificate, court order, or representational 
agreement which establishes the relationship and the requester's 
identity.
    (d) Procedure otherwise. If a requester or representative fails to 
provide the information in paragraph (a), (b), or (c) of this section 
within forty-five (45) days of the date of our request, the Agency will 
deem the request closed. This action, of course, would not prevent an 
individual from refiling his or her Privacy Act request at a subsequent 
date with the required information.


Sec. 1901.14  Fees.

    No fees will be charged for any action under the authority of the 
Privacy Act, 5 U.S.C. 552a, irrespective of the fact that a request is 
or may be processed under the authority of both the Privacy Act and the 
Freedom of Information Act.

Action on Privacy Act Requests


Sec. 1901.21  Processing requests for access to or amendment of 
records.

    (a) In general. Requests meeting the requirements of 32 CFR 1901.11 
through 1901.13 shall be processed under both the Freedom of 
Information Act, 5 U.S.C. 552, and the Privacy Act, 5 U.S.C. 552a, and 
the applicable regulations, unless the requester demands otherwise in 
writing. Such requests will be processed under both Acts regardless of 
whether the requester cites one Act in the request, both, or neither. 
This action is taken in order to ensure the maximum possible disclosure 
to the requester.
    (b) Receipt, recording and tasking. Upon receipt of a request 
meeting the requirements of Secs. 1901.11 through 1901.13, the Agency 
shall within ten (10) days record each request, acknowledge receipt to 
the requester, and thereafter effect the necessary taskings to the 
components reasonably believed to hold responsive records.
    (c) Effect of certain exemptions. In processing a request, the 
Agency shall decline to confirm or deny the existence or nonexistence 
of any responsive records whenever the fact of their existence or 
nonexistence is itself classified under Executive Order 12958 or 
revealing of intelligence sources and methods protected pursuant to 
section 103(c)(5) of the National Security Act of 1947. In such 
circumstances, the Agency, in the form of a final written response, 
shall so inform the requester and advise of his or her right to an 
administrative appeal.
    (d) Time for response. Although the Privacy Act does not mandate a 
time for response, our joint treatment of requests under both the 
Privacy Act and the FOIA means that the Agency should provide a 
response within the FOIA statutory guideline of ten (10) days on 
initial requests and twenty (20) days on administrative appeals. 
However, the current volume of requests require that the Agency often 
seek additional time from a requester pursuant to 32 CFR 1901.33. In 
such event, the Agency will inform the requester in writing and further 
advise of his or her right to file an administrative appeal.


Sec. 1901.22  Action and determination(s) by originator(s) or any 
interested party.

    (a) Initial action for access. CIA components tasked pursuant to a 
Privacy Act access request shall search all relevant record systems 
within their cognizance. They shall:
    (1) Determine whether responsive records exist;
    (2) Determine whether access must be denied in whole or part and on 
what legal basis under both Acts in each such case;
    (3) Approve the disclosure of records for which they are the 
originator; and
    (4) Forward to the Coordinator all records approved for release or 
necessary for coordination with or referral to another originator or 
interested party as well as the specific determinations with respect to 
denials (if any).
    (b) Initial action for amendment. CIA components tasked pursuant to 
a

[[Page 32490]]

Privacy Act amendment request shall review the official records alleged 
to be inaccurate and the proposed amendment submitted by the requester. 
If they determine that the Agency's records are not accurate, relevant, 
timely or complete, they shall promptly:
    (1) Make the amendment as requested;
    (2) Write to all other identified persons or agencies to whom the 
record has been disclosed (if an accounting of the disclosure was made) 
and inform of the amendment; and
    (3) Inform the Coordinator of such decisions.
    (c) Action otherwise on amendment request. If the CIA component 
records manager declines to make the requested amendment or declines to 
make the requested amendment but agrees to augment the official 
records, that manager shall promptly:
    (1) Set forth the reasons for refusal; and
    (2) Inform the Coordinator of such decision and the reasons 
therefore.
    (d) Referrals and coordinations. As applicable and within ten (10) 
days of receipt by the Coordinator, any CIA records containing 
information originated by other CIA components shall be forwarded to 
those entities for action in accordance with paragraphs (a), (b), or 
(c) of this section and return. Records originated by other federal 
agencies or CIA records containing other federal agency information 
shall be forwarded to such agencies within ten (10) days of our 
completion of initial action in the case for action under their 
regulations and direct response to the requester (for other agency 
records) or return to the CIA (for CIA records).
    (e) Effect of certain exemptions. This section shall not be 
construed to allow access to systems of records exempted by the 
Director of Central Intelligence pursuant to subsections (j) and (k) of 
the Privacy Act or where those exemptions require that the CIA can 
neither confirm nor deny the existence or nonexistence of responsive 
records.


Sec. 1901.23  Notification of decision and right of appeal.

    Within ten (10) days of receipt of responses to all initial 
taskings and subsequent coordinations (if any), and dispatch of 
referrals (if any), the Agency will provide disclosable records to the 
requester. If a determination has been made not to provide access to 
requested records (in light of specific exemptions) or that no records 
are found, the Agency shall so inform the requester, identify the 
denying official, and advise of the right to administrative appeal.

Additional Administrative Matters


Sec. 1901.31  Special procedures for medical and psychological records.

    (a) In general. When a request for access or amendment involves 
medical or psychological records and when the originator determines 
that such records are not exempt from disclosure, the Agency will, 
after consultation with the Director of Medical Services, determine:
    (1) Which records may be sent directly to the requester and
    (2) Which records should not be sent directly to the requester 
because of possible medical or psychological harm to the requester or 
another person.
    (b) Procedure for records to be sent to physician. In the event 
that the Agency determines, in accordance with paragraph (a)(2) of this 
section, that records should not be sent directly to the requester, the 
Agency will notify the requester in writing and advise that the records 
at issue can be made available only to a physician of the requester's 
designation. Upon receipt of such designation, verification of the 
identity of the physician, and agreement by the physician:
    (1) To review the documents with the requesting individual,
    (2) To explain the meaning of the documents, and
    (3) To offer counseling designed to temper any adverse reaction, 
the Agency will forward such records to the designated physician.
    (c) Procedure if physician option not available. If within sixty 
(60) days of the paragraph (a)(2) of this section, the requester has 
failed to respond or designate a physician, or the physician fails to 
agree to the release conditions, the Agency will hold the documents in 
abeyance and advise the requester that this action may be construed as 
a technical denial. The Agency will also advise the requester of the 
responsible official and of his or her rights to administrative appeal 
and thereafter judicial review.


Sec. 1901.32  Requests for expedited processing.

    (a) All requests will be handled in the order received on a 
strictly ``first-in, first-out'' basis. Exceptions to this rule will 
only be made in circumstances that the Agency deems to be exceptional. 
In making this determination, the Agency shall consider and must decide 
in the affirmative on all of the following factors:
    (1) That there is a genuine need for the records; and
    (2) That the personal need is exceptional; and
    (3) That there are no alternative forums for the records sought; 
and
    (4) That it is reasonably believed that substantive records 
relevant to the stated needs may exist and be deemed releasable.
    (b) In sum, requests shall be considered for expedited processing 
only when health, humanitarian, or due process considerations involving 
possible deprivation of life or liberty create circumstances of 
exceptional urgency and extraordinary need. In accordance with 
established judicial precedent, requests more properly the scope of 
requests under the Federal Rules of Civil or Criminal Procedure (or 
equivalent state rules) will not be granted expedited processing under 
this or related (e.g., Freedom of Information Act) provisions unless 
expressly ordered by a federal court of competent jurisdiction.


Sec. 1901.33  Allocation of resources; agreed extensions of time.

    (a) In general. Agency components shall devote such personnel and 
other resources to the responsibilities imposed by the Privacy Act as 
may be appropriate and reasonable considering:
    (1) The totality of resources available to the component,
    (2) The business demands imposed on the component by the Director 
of Central Intelligence or otherwise by law,
    (3) The information review and release demands imposed by the 
Congress or other governmental authority, and
    (4) The rights of all members of the public under the various 
information review and disclosure laws.
    (b) Discharge of Privacy Act responsibilities. Components shall 
exercise due diligence in their responsibilities under the Privacy Act 
and must allocate a reasonable level of resources to requests under the 
Act in a strictly ``first-in, first-out'' basis and utilizing two or 
more processing queues to ensure that smaller as well as larger (i.e., 
project) cases receive equitable attention. The Information and Privacy 
Coordinator is responsible for management of the Agency-wide program 
defined by this Part and for establishing priorities for cases 
consistent with established law. The Director, Information Management 
through the Agency Release Panel shall provide policy and resource 
direction as necessary and shall make determinations on administrative 
appeals.
    (c) Requests for extension of time. While the Privacy Act does not 
specify time requirements, our joint treatment of requests under the 
FOIA means that when the Agency is unable to meet the statutory time 
requirements of the FOIA,

[[Page 32491]]

the Agency may request additional time from a requester. In such 
instances the Agency will inform a requester of his or her right to 
decline our request and proceed with an administrative appeal or 
judicial review as appropriate.

Action on Privacy Act Administrative Appeals


Sec. 1901.41  Establishment of appeals structure.

    (a) In general. Two administrative entities have been established 
by the Director of Central Intelligence to facilitate the processing of 
administrative appeals under the Freedom of Information Act. Their 
membership, authority, and rules of procedure are as follows.
    (b) Historical Records Policy Board (``HRPB'' or ``Board''). This 
Board, the successor to the CIA Information Review Committee, acts as 
the senior corporate board in the CIA on all matters of information 
review and release.
    (1) Membership. The HRPB is composed of the Executive Director, who 
serves as its Chair, the Deputy Director for Administration, the Deputy 
Director for Intelligence, the Deputy Director for Operations, the 
Deputy Director for Science and Technology, the General Counsel, the 
Director of Congressional Affairs, the Director of the Public Affairs 
Staff, the Director, Center for the Study of Intelligence, and the 
Associate Deputy Director for Administration/Information Services, or 
their designees.
    (2) Authorities and activities. The HRPB, by majority vote, may 
delegate to one or more of its members the authority to act on any 
appeal or other matter or authorize the Chair to delegate such 
authority, as long as such delegation is not to the same individual or 
body who made the initial denial. The Executive Secretary of the HRPB 
is the Director, Information Management. The Chair may request 
interested parties to participate when special equities or expertise 
are involved.
    (c) Agency Release Panel (``ARP'' or ``Panel''). The HRPB, pursuant 
to its delegation of authority, has established a subordinate Agency 
Release Panel.
    (1) Membership. The ARP is composed of the Director, Information 
Management, who serves as its Chair; the Information Review Officers 
from the Directorates of Administration, Intelligence, Operations, 
Science and Technology, and the Director of Central Intelligence Area; 
the CIA Information and Privacy Coordinator; the Chief, Historical 
Review Group; the Chair, Publications Review Board; the Chief, Records 
Declassification Program; and representatives from the Office of 
General Counsel, the Office of Congressional Affairs, and the Public 
Affairs Staff.
    (2) Authorities and activities. The Panel shall meet on a regular 
schedule and may take action when a simple majority of the total 
membership is present. The Panel shall advise and assist the HRPB on 
all information release issues, monitor the adequacy and timeliness of 
Agency releases, set component search and review priorities, review 
adequacy of resources available to and planning for all Agency release 
programs, and perform such other functions as deemed necessary by the 
Board. The Information and Privacy Coordinator also serves as Executive 
Secretary of the Panel. The Chair may request interested parties to 
participate when special equities or expertise are involved. The Panel, 
functioning as a committee of the whole or through individual members, 
will make final Agency decisions from appeals of initial adverse 
decisions under the Freedom of Information Act and such other 
information release decisions made under 32 CFR parts 1901, 1907, and 
1908. Issues shall be decided by a majority of members present; in all 
cases of a divided vote, any member of the ARP then present may refer 
such matter to the HRPB by written memorandum to the Executive 
Secretary of the HRPB. Matters decided by the Panel or Board will be 
deemed a final decision by the Agency.


Sec. 1901.42  Right of appeal and appeal procedures.

    (a) Right of Appeal. A right of administrative appeal exists 
whenever access to any requested record or any portion thereof is 
denied, no records are located in response to a request, or a request 
for amendment is denied. The Agency will apprise all requesters in 
writing of their right to appeal such decisions to the CIA Agency 
Release Panel through the Coordinator.
    (b) Requirements as to time and form. Appeals of decisions must be 
received by the Coordinator within forty-five (45) days of the date of 
the Agency's initial decision. The Agency may, for good cause and as a 
matter of administrative discretion, permit an additional thirty (30) 
days for the submission of an appeal. All appeals to the Panel shall be 
in writing and addressed as specified in 32 CFR 1901.03. All appeals 
must identify the documents or portions of documents at issue with 
specificity, provide the desired amending language (if applicable), and 
may present such information, data, and argument in support as the 
requester may desire.
    (c) Exceptions. No appeal shall be accepted if the requester has 
outstanding fees for information services at this or another federal 
agency. In addition, no appeal shall be accepted if the information in 
question has been the subject of an administrative review within the 
previous two (2) years or is the subject of pending litigation in the 
federal courts.
    (d) Receipt, recording, and tasking. The Agency shall promptly 
record each administrative appeal, acknowledge receipt to the requester 
in writing, and thereafter effect the necessary taskings to the Deputy 
Director(s) in charge of the directorate(s) which originated or has an 
interest in the record(s) subject to the appeal. As used herein, the 
term Deputy Director includes an equivalent senior official within the 
DCI-area as well as a designee known as the Information Review Officer 
for a directorate or area.


Sec. 1901.43  Determination(s) by Deputy Director(s).

    Each Deputy Director in charge of a directorate which originated or 
has an interest in any of the records subject to the appeal, or 
designee, is a required party to any appeal; other interested parties 
may become involved through the request of the Coordinator when it is 
determined that some or all of the information is also within their 
official cognizance. These parties shall respond in writing to the 
Coordinator with a finding as to the exempt or non-exempt status of the 
information including citations to the applicable exemption and/or 
their agreement or disagreement as to the requested amendment and the 
reasons therefore. Each response shall be provided expeditiously on a 
``first-in, first-out'' basis taking into account the business 
requirements of the parties and consistent with the information rights 
of members of the general public under the various information review 
and release laws.


Sec. 1901.44  Action by appeals authority.

    (a) Preparation of docket. The Coordinator, acting as the Executive 
Secretary of the Agency Release Panel, shall place administrative 
appeals of Privacy Act requests ready for adjudication on the agenda at 
the next occurring meeting of that Panel. The Executive Secretary shall 
provide a summation memorandum for consideration of the members; the 
complete record of the request consisting of the request, the 
document(s) (sanitized and full text) at

[[Page 32492]]

issue, and the findings of the concerned Deputy Director(s) or 
designee(s).
    (b) Decision by the Agency Release Panel. The Agency Release Panel 
shall meet and decide requests sitting as a committee of the whole. 
Decisions are by majority vote of those present at a meeting and shall 
be based on the written record and their deliberations; no personal 
appearances shall be permitted without the express permission of the 
Panel.
    (c) Decision by the Historical Records Policy Board. In any cases 
of divided vote by the ARP, any member of that body is authorized to 
refer the request to the CIA Historical Records Policy Board which acts 
as the senior corporate board for the Agency. The record compiled (the 
request, the memoranda filed by the originator and interested parties, 
and the previous decision(s)) as well as any memorandum of law or 
policy the referent desires to be considered, shall be certified by the 
Executive Secretary of the Agency Release Panel and shall constitute 
the official record of the proceedings and must be included in any 
subsequent filings.


Sec. 1901.45  Notification of decision and right of judicial review.

    (a) In general. The Executive Secretary of the Agency Release Panel 
shall promptly prepare and communicate the decision of the Panel or 
Board to the requester. With respect to any decision to deny 
information or deny amendment, that correspondence shall state the 
reasons for the decision, identify the officer responsible, and include 
a notice of the right to judicial review.
    (b) For amendment requests. With further respect to any decision to 
deny an amendment, that correspondence shall also inform the requester 
of the right to submit within forty-five (45) days a statement of his 
or her choice which shall be included in the official records of the 
CIA. In such cases, the applicable record system manager shall clearly 
note any portion of the official record which is disputed, append the 
requester's statement, and provide copies of the statement to previous 
recipients (if any are known) and to any future recipients when and if 
the disputed information is disseminated in accordance with a routine 
use.

Prohibitions


Sec. 1901.51  Limitations on disclosure.

    No record which is within a system of records shall be disclosed by 
any means of communication to any individual or to another agency, 
except pursuant to a written request by, or with the prior written 
consent of, the individual to whom the record pertains, unless 
disclosure of the record would be:
    (a) To those officers and employees of this Agency which maintains 
the record who have a need for the record in the performance of their 
duties;
    (b) Required under the Freedom of Information Act, 5 U.S.C. 552;
    (c) For a routine use as defined in Sec. 1901.02(m), as contained 
in the Privacy Act Issuances Compilation which is published biennially 
in the Federal Register, and as described in Secs. (a)(7) and (e)(4)(D) 
of the Act;
    (d) To the Bureau of the Census for purposes of planning or 
carrying out a census or survey or related activity pursuant to the 
provisions of U.S.C. Title 13;
    (e) To a recipient who has provided the Agency with advance 
adequate written assurance that the record will be used solely as a 
statistical research or reporting record, and the record is to be 
transferred in a form that is not individually identifiable;
    (f) To the National Archives and Records Administration as a record 
which has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or for evaluation by the 
Archivist of the United States or designee to determine whether the 
record has such value;
    (g) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is 
authorized by law, and if the head of that agency or instrumentality 
has made a written request to the CIA specifying the particular 
information desired and the law enforcement activity for which the 
record is sought;
    (h) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if upon such disclosure 
notification is transmitted to the last known address of such 
individual;
    (i) To either House of Congress, or, to the extent of matter within 
its jurisdiction, any committee or subcommittee thereof, any joint 
committee of Congress or subcommittee of any such joint committee;
    (j) To the Comptroller General or any of his authorized 
representatives in the course of the performance of the duties of the 
General Accounting Office; or
    (k) To any agency, government instrumentality, or other person or 
entity pursuant to the order of a court of competent jurisdiction of 
the United States or constituent states.


Sec. 1901.52  Criminal penalties.

    (a) Unauthorized disclosure. Criminal penalties may be imposed 
against any officer or employee of the CIA who, by virtue of 
employment, has possession of or access to Agency records which contain 
information identifiable with an individual, the disclosure of which is 
prohibited by the Privacy Act or by these rules, and who, knowing that 
disclosure of the specific material is so prohibited, willfully 
discloses the material in any manner to any person or agency not 
entitled to receive same.
    (b) Unauthorized maintenance. Criminal penalties may be imposed 
against any officer or employee of the CIA who willfully maintains a 
system of records without meeting the requirements of section (e)(4) of 
the Privacy Act, 5 U.S.C.552a. The Coordinator and the Inspector 
General are authorized independently to conduct such surveys and 
inspect such records as necessary from time to time to ensure that 
these requirements are met.
    (c) Unauthorized requests. Criminal penalties may be imposed upon 
any person who knowingly and willfully requests or obtains any record 
concerning an individual from the CIA under false pretenses.

Exemptions


Sec. 1901.61  Purpose and authority.

    Purpose of exemptions. This Part sets forth those systems of 
records or portions of systems of records which the Director of Central 
Intelligence has determined to exempt from the procedures established 
by this regulation and from certain provisions of the Privacy Act:
    (a) The purpose of the following specified general exemption of 
polygraph records is to prevent access and review of records which 
intimately reveal CIA operational methods. The purpose of the general 
exemption from the provisions of sections (c)(3) and (e)(3) (A)-(D) of 
the Privacy Act is to avoid disclosures that may adversely affect 
ongoing operational relationships with other intelligence and related 
organizations and thus reveal or jeopardize intelligence sources and 
methods or risk exposure of intelligence sources and methods in the 
processing of covert employment applications.
    (b) The purpose of the general exemption from sections (d), 
(e)(4)(G), (f)(1), and (g) of the Privacy Act is to protect only those 
portions of systems of records which if revealed would risk exposure of 
intelligence sources and methods or hamper the ability of the CIA to 
effectively use information

[[Page 32493]]

received from other agencies or foreign governments.
    (c) It should be noted that by subjecting information which would 
consist of, reveal, or pertain to intelligence sources and methods to 
separate determinations by the Director of Central Intelligence under 
the provision entitled ``General exemptions,'' 32 CFR 1901.62 regarding 
access and notice, an intent is established to apply the exemption from 
access and notice only in those cases where notice in itself would 
constitute a revelation of intelligence sources and methods; in all 
cases where only access to information would reveal such source or 
method, notice will be given upon request.
    (d) The purpose of the general exemption for records that consist 
of, pertain to, or would otherwise reveal the identities of employees 
who provide information to the Office of the Inspector General is to 
implement section 17 of the CIA Act of 1949, as amended, 50 U.S.C. 
403q(e)(3), and to ensure that no action constituting a reprisal or 
threat of reprisal is taken because an employee has cooperated with the 
Office of Inspector General.
    (e) The purpose of the specific exemptions provided for under 
section (k) of the Privacy Act is to exempt only those portions of 
systems of records which would consist of, reveal, or pertain to that 
information which is enumerated in that section of the Act.
    (f) In each case, the Director of Central Intelligence currently or 
then in office has determined that the enumerated classes of 
information should be exempt in order to comply with dealing with the 
proper classification of national defense or foreign policy 
information; protect the identification of persons who provide 
information to the CIA Inspector General; protect the privacy of other 
persons who supplied information under an implied or express grant of 
confidentiality in the case of law enforcement or employment and 
security suitability investigations (or promotion material in the case 
of the armed services); protect information used in connection with 
protective services under 18 U.S.C. 3056; protect the efficacy of 
testing materials; and protect information which is required by statute 
to be maintained and used solely as statistical records.


Sec. 1901.62  General exemptions.

    (a) Pursuant to authority granted in section (j) of the Privacy 
Act, the Director of Central Intelligence has determined to exempt from 
all sections of the Act--except sections 552a(b); (c) (1) and (2); (e) 
(1), (4) (A)-(F), (5), (6), (7), (9), (10), and (11); and (i)--the 
following systems of records or portions of records in a system of 
record:

    (1) Polygraph records.

    (b) Pursuant to authority granted in section (j) of the Privacy 
Act, the Director of Central Intelligence has determined to exempt from 
sections (c)(3) and (e)(3) (A)-(D) of the Act all systems of records 
maintained by this Agency.
    (c) Pursuant to authority granted in section (j) of the Privacy 
Act, the Director of Central Intelligence has determined to exempt from 
notification under sections (e)(4)(G) and (f)(1) those portions of each 
and all systems of records which have been exempted from individual 
access under section (j) in those cases where the Coordinator 
determines after advice by the responsible components that confirmation 
of the existence of a record may jeopardize intelligence sources and 
methods. In such cases the Agency must neither confirm nor deny the 
existence of the record and will advise a requester that there is no 
record which is available pursuant to the Privacy Act of 1974.
    (d) Pursuant to authority granted in section (j) of the Privacy 
Act, the Director of Central Intelligence has determined to exempt from 
access by individuals under section (d) of the Act those portions and 
only those portions of all systems of records maintained by the CIA 
that:
    (1) Consist of, pertain to, or would otherwise reveal intelligence 
sources and methods;
    (2) Consist of documents or information provided by any foreign 
government entity, international organization, or, any United States 
federal, state, or other public agency or authority; and
    (3) Consist of information which would reveal the identification of 
persons who provide information to the CIA Inspector General.
    (e) Pursuant to authority granted in section (j) of the Privacy 
Act, the Director of Central Intelligence has determined to exempt from 
judicial review under section (g) of the Act all determinations to deny 
access under section (d) of the Act and all decisions to deny notice 
under sections (e)(4)(G) and (f)(1) of the Act pursuant to 
determination made under paragraph (c) of this section when it has been 
determined by an appropriate official of the CIA that such access would 
disclose information which would:
    (1) Consist of, pertain to, or otherwise reveal intelligence 
sources and methods;
    (2) Consist of documents or information provided by any foreign 
government entity, international organization, or, any United States 
federal, state, or other public agency or authority; and
    (3) Consist of information which would reveal the identification of 
persons who provide information to the CIA Inspector General.


Sec. 1901.63  Specific exemptions.

    Pursuant to authority granted in section (k) of the Privacy Act, 
the Director of Central Intelligence has determined to exempt from 
section (d) of the Privacy Act those portions and only those portions 
of all systems of records maintained by the CIA that would consist of, 
pertain to, or otherwise reveal information that is:
    (a) Classified pursuant to Executive Order 12958 (or successor or 
prior Order) and thus subject to the provisions of 5 U.S.C. 552(b)(1) 
and 5 U.S.C. 552a(k)(1);
    (b) Investigatory in nature and compiled for law enforcement 
purposes, other than material within the scope of section (j)(2) of the 
Act; provided however, that if an individual is denied any right, 
privilege, or benefit to which they are otherwise eligible, as a result 
of the maintenance of such material, then such material shall be 
provided to that individual except to the extent that the disclosure 
would reveal the identity of a source who furnished the information to 
the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality;
    (c) Maintained in connection with providing protective services to 
the President of the United States or other individuals pursuant to 18 
U.S.C. 3056;
    (d) Required by statute to be maintained and used solely as 
statistical records;
    (e) Investigatory in nature and compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information, but only to the extent that the disclosure of 
such material would reveal the identity of a source who furnished 
information to the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality;
    (f) Testing or examination material used solely to determine 
individual qualifications for appointment or promotion in the federal 
service the disclosure of which would compromise

[[Page 32494]]

the objectivity or fairness of the testing or examination process; or
    (g) Evaluation material used to determine potential for promotion 
in the armed services, but only to the extent that the disclosure of 
such material would reveal the identity of a source who furnished 
information to the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality.

PART 1907--CHALLENGES TO CLASSIFICATION OF DOCUMENTS BY AUTHORIZED 
HOLDERS PURSUANT TO Sec. 1.9 OF EXECUTIVE ORDER 12958

General

Sec.
1907.01  Authority and purpose.
1907.02  Definitions.
1907.03  Contact for general information and requests.
1907.04  Suggestions and complaints.

Filing of Challenges

1907.11  Prerequisites.
1907.12  Requirements as to form.
1907.13  Identification of material at issue.
1907.14  Transmission.

Action on Challenges

1907.21  Receipt, recording, and tasking.
1907.22  Challenges barred by res judicata.
1907.23  Response by originator(s) and/or any interested party.
1907.24  Designation of authority to hear challenges.
1907.25  Action on challenge.
1907.26  Notification of decision and prohibition on adverse action.

Right of Appeal

1907.31  Right of appeal.

    Authority: Executive Order 12958, 60 FR 19825, 3 CFR 1996 Comp., 
P. 333-356 (or successor orders).

General


Sec. 1907.01  Authority and purpose.

    (a) Authority. This Part is issued under the authority of and in 
order to implement Sec. 1.9 of Executive Order (E.O.) 12958, sec. 102 
of the National Security Act of 1947, and sec. 6 of the CIA Act of 
1949.
    (b) Purpose. This part prescribes procedures for authorized holders 
of information classified under the various provisions of E.O. 12958, 
or predecessor Orders, to seek a review or otherwise challenge the 
classified status of information to further the interests of the United 
States Government. This part and Sec. 1.9 of E.O. 12958 confer no 
rights upon members of the general public, or authorized holders acting 
in their personal capacity, both of whom shall continue to request 
reviews of classification under the mandatory declassification review 
provisions set forth at Sec. 3.6 of E.O. 12958.


Sec. 1907.02  Definitions.

    For purposes of this part, the following terms have the meanings as 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) authorized holders means any member of any United States 
executive department, military department, the Congress, or the 
judiciary (Article III) who holds a security clearance from or has been 
specifically authorized by the Central Intelligence Agency to possess 
and use on official business classified information, or otherwise has 
Constitutional authority pursuant to their office;
    (c) days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this CFR Part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (d) challenge means a request in the individual's official, not 
personal, capacity and in furtherance of the interests of the United 
States;
    (e) control means ownership or the authority of the CIA pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    (f) Coordinator means the CIA Information and Privacy Coordinator 
acting in the capacity of Executive Secretary of the Agency Release 
Panel;
    (g) Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form, that is:
    (1) Owned by, produced by or for, or under the control of the 
United States Government, and
    (2) Lawfully and actually in the possession of an authorized holder 
and for which ownership and control has not been relinquished by the 
CIA;
    (h) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (i) Originator means the CIA officer who originated the information 
at issue, or successor in office, or a CIA officer who has been 
delegated declassification authority for the information at issue in 
accordance with the provisions of this Order;
    (j) This Order means Executive Order 12958 of April 17, 1995 and 
published at 60 FR 19825-19843 (or successor Orders).


Sec. 1907.03  Contact for general information and requests.

    For information on this part or to file a challenge under this 
part, please direct your inquiry to the Executive Secretary, Agency 
Release Panel, Central Intelligence Agency, Washington, DC 20505. The 
commercial (non-secure) telephone is (703) 613-1287; the classified 
(secure) telephone for voice and facsimile is (703) 613-3007.


Sec. 1907.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the Executive Order. Letters of suggestion or 
complaint should identify the specific purpose and the issues for 
consideration. The Agency will respond to all substantive 
communications and take such actions as determined feasible and 
appropriate.

Filing of Challenges


Sec. 1907.11  Prerequisites.

    The Central Intelligence Agency has established liaison and 
procedures with many agencies for declassification issues. Prior to 
reliance on this Part, authorized holders are required to first exhaust 
such established administrative procedures for the review of classified 
information. Further information on these procedures is available from 
the point of contact, see 32 CFR 1907.03.


Sec. 1907.12  Requirements as to form.

    The challenge shall include identification of the challenger by 
full name and title of position, verification of security clearance or 
other basis of authority, and an identification of the documents or 
portions of documents or information at issue. The challenge shall 
also, in detailed and factual terms, identify and describe the reasons 
why it is believed that the information is not protected by one or more 
of the Sec. 1.5 provisions, that the release of the information would 
not cause damage to the national security, or that the information 
should be declassified due to the passage of time. The challenge must 
be properly classified; in this regard, until the challenge is decided, 
the authorized holder must treat the challenge, the information being 
challenged, and any related or explanatory information as classified at 
the same level as the current classification of the information in 
dispute.

[[Page 32495]]

Sec. 1907.13  Identification of material at issue.

    Authorized holders shall append the documents at issue and clearly 
mark those portions subject to the challenge. If information not in 
documentary form is in issue, the challenge shall state so clearly and 
present or otherwise refer with specificity to that information in the 
body of the challenge.


Sec. 1907.14  Transmission.

    Authorized holders must direct challenge requests to the CIA as 
specified in Sec. 1907.03. The classified nature of the challenge, as 
well as the appended documents, require that the holder transmit same 
in full accordance with established security procedures. In general, 
registered U.S. mail is approved for SECRET, non-compartmented 
material; higher classifications require use of approved Top Secret 
facsimile machines or CIA-approved couriers. Further information is 
available from the CIA as well as corporate or other federal agency 
security departments.

Action on Challenges


Sec. 1907.21  Receipt, recording, and tasking.

    The Executive Secretary of the Agency Release Panel shall within 
ten (10) days record each challenge received under this Part, 
acknowledge receipt to the authorized holder, and task the originator 
and other interested parties. Additional taskings, as required during 
the review process, shall be accomplished within five (5) days of 
notification.


Sec. 1907.22  Challenges barred by res judicata.

    The Executive Secretary of the Agency Release Panel shall respond 
on behalf of the Panel and deny any challenge where the information in 
question has been the subject of a classification review within the 
previous two (2) years or is the subject of pending litigation in the 
federal courts.


Sec. 1907.23  Response by originator(s) and/or any interested party.

    (a) In general. The originator of the classified information 
(document) is a required party to any challenge; other interested 
parties may become involved through the request of the Executive 
Secretary or the originator when it is determined that some or all of 
the information is also within their official cognizance.
    (b) Determination. These parties shall respond in writing to the 
Executive Secretary of the Agency Release Panel with a mandatory 
unclassified finding, to the greatest extent possible, and an optional 
classified addendum. This finding shall agree to a declassification or, 
in specific and factual terms, explain the basis for continued 
classification including identification of the category of information, 
the harm to national security which could be expected to result from 
disclosure, and, if older than ten (10) years, the basis for the 
extension of classification time under Secs. 1.6 and 3.4 of this Order. 
These parties shall also provide a statement as to whether or not there 
is any other statutory, common law, or Constitutional basis for 
withholding as required by Sec. 6.1(c) of this Order.
    (c) Time. The determination(s) shall be provided on a ``first-in, 
first-out'' basis with respect to all challenges pending under this 
section and shall be accomplished expeditiously taking into account the 
requirements of the authorized holder as well as the business 
requirements of the originator including their responsibilities under 
the Freedom of Information Act, the Privacy Act, or the mandatory 
declassification review provisions of this Order.


Sec. 1907.24  Designation of authority to hear challenges.

    The Deputy Director for Administration has designated the Agency 
Release Panel and the Historical Records Policy Board, established 
pursuant to 32 CFR 1900.41, as the Agency authority to hear and decide 
challenges under these regulations.


Sec. 1907.25  Action on challenge.

    (a) Action by Agency Release Panel. The Executive Secretary shall 
place challenges ready for adjudication on the agenda at the next 
occurring meeting of the Agency Release Panel. The Executive Secretary 
shall provide a summation memorandum for consideration of the members; 
the complete package consisting of the challenge, the information at 
issue, and the findings of the originator and interested parties shall 
also be provided. The Agency Release Panel shall meet and decide 
challenges sitting as a committee of the whole. Decisions are by 
majority vote of those present at a meeting and shall be based on the 
written record and their deliberations; no personal appearances shall 
be permitted without the express permission of the Panel.
    (b) Action by Historical Records Policy Board. In any cases of 
divided vote by the ARP, any member of that body is authorized to refer 
the request to the CIA Historical Records Policy Board which acts as 
the senior corporate board for the Agency. The record compiled (the 
request, the memoranda filed by the originator and interested parties, 
and the previous decision(s)) as well as any memorandum of law or 
policy the referent desires to be considered, shall be certified by the 
Executive Secretary of the Agency Release Panel and shall constitute 
the official record of the proceedings and must be included in any 
subsequent filings.


Sec. 1907.26  Notification of decision and prohibition on adverse 
action.

    The Executive Secretary of the Agency Release Panel shall 
communicate the decision of the Agency to the authorized holder, the 
originator, and other interested parties within ten (10) days of the 
decision by the Panel or Board. That correspondence shall include a 
notice that no adverse action or retribution can be taken in regard to 
the challenge and that an appeal of the decision may be made to the 
Interagency Security Classification Appeals Panel (ISCAP) established 
pursuant to Sec. 5.4 of this Order.

Right of Appeal


Sec. 1907.31  Right of appeal.

    A right of appeal is available to the ISCAP established pursuant to 
Sec. 5.4 of this Order. Action by that body will be the subject of 
rules to be promulgated by the Information Security Oversight Office 
(ISOO).

PART 1908--PUBLIC REQUESTS FOR MANDATORY DECLASSIFICATION REVIEW OF 
CLASSIFIED INFORMATION PURSUANT TO Sec. 3.6 OF EXECUTIVE ORDER 
12958

General

Sec.
1908.01  Authority and purpose.
1908.02  Definitions.
1908.03  Contact for general information and requests.
1908.04  Suggestions and complaints.

Filing of Mandatory Declassification Review (MDR) Requests

1908.11  Preliminary information.
1908.12  Requirements as to form.
1908.13  Fees.

Agency Action on MDR Requests

1908.21  Receipt, recording, and tasking.
1908.22  Requests barred by res judicata.
1908.23  Determination by originator or interested party.
1908.24  Notification of decision and right of appeal.

Agency Action on MDR Appeals

1908.31  Requirements as to time and form.
1908.32  Receipt, recording, and tasking.
1908.33  Determination by Deputy Director(s).

[[Page 32496]]

1908.34  Establishment of appeals structure.
1908.35  Action by appeals authority.
1908.36  Notification of decision and right of further appeal.

Further Appeals

1908.41  Right of further appeal.

    Authority: Executive Orders 12958, 60 FR 19825, 3 CFR 1996 
Comp., p. 333-356 (or successor Orders).

General


Sec. 1908.01  Authority and Purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement Sec. 3.6 of Executive Order (E.O.) 12958 (or 
successor Orders); the CIA Information Act of 1984 (50 U.S.C. 431); 
sec. 102 of the National Security Act of 1947, as amended (50 U.S.C. 
403); and sec. 6 of the CIA Act of 1949, as amended (5 U.S.C. 403g).
    (b) Purpose. This part prescribes procedures, subject to 
limitations set forth below, for members of the public to request a 
declassification review of information classified under the various 
provisions of this or predecessor Orders. Section 3.6 of E.O. 12958 and 
these regulations do not create any right or benefit, substantive or 
procedural, enforceable at law by a party against the United States, 
its agencies, officers, or employees.


Sec. 1908.02  Definitions.

    For purposes of this part, the following terms have the meanings as 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (c) Control means ownership or the authority of the CIA pursuant to 
Federal statute or privilege to regulate official or public access to 
records;
    (d) Coordinator means the CIA Information and Privacy Coordinator 
who serves as the Agency manager of the information review and release 
program instituted under the mandatory declassification review 
provisions of Executive Order 12958;
    (e) Federal agency means any executive department, military 
department, or other establishment or entity included in the definition 
of agency in 5 U.S.C. 552(f);
    (f) Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form that is owned by, 
produced by or for, or under the control of the United States 
Government; it does not include:
    (1) Information within the scope of the CIA Information Act, or
    (2) Information originated by the incumbent President, White House 
Staff, appointed committees, commissions or boards, or any entities 
within the Executive Office that solely advise and assist the incumbent 
President;
    (g) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (h) NARA means the National Archives and Records Administration;
    (i) Originator means the CIA officer who originated the information 
at issue, or successor in office, or a CIA officer who has been 
delegated declassification authority for the information at issue in 
accordance with the provisions of this Order;
    (j) Presidential libraries means the libraries or collection 
authorities established by statute to house the papers of former 
Presidents Hoover, Roosevelt, Truman, Eisenhower, Kennedy, Nixon, Ford, 
Carter, Reagan, Bush and similar institutions or authorities as may be 
established in the future;
    (k) Referral means coordination with or transfer of action to an 
interested party;
    (l) This Order means Executive Order 12958 of April 17, 1995 and 
published at 60 FR 19825-19843 (or successor Orders);


Sec. 1908.03  Contact for general information and requests.

    For general information on this Part or to request a 
declassification review, please direct your communication to the 
Information and Privacy Coordinator, Central Intelligence Agency, 
Washington, DC 20505. Such inquiries will also be accepted by facsimile 
at (703) 613-3007. For general or status information only, the 
telephone number is (703) 613-1287. Collect calls cannot be accepted.


Sec. 1908.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the mandatory declassification review program 
established under Executive Order 12958. Many requesters will receive 
pre-paid, customer satisfaction survey cards. Letters of suggestion or 
complaint should identify the specific purpose and the issues for 
consideration. The Agency will respond to all substantive 
communications and take such actions as determined feasible and 
appropriate.

Filing of Mandatory Declassification Review (MDR) Requests


Sec. 1908.11  Preliminary information.

    Members of the public shall address all communications to the point 
of contact specified above and clearly delineate the communication as a 
request under this regulation. Requests and appeals on requests 
received from members of the public who owe outstanding fees for 
information services under this Order or the Freedom of Information Act 
at this or another federal agency will not be accepted until such debts 
are resolved.


Sec. 1908.12  Requirements as to form.

    The request shall identify the document(s) or material(s) with 
sufficient specificity (e.g., National Archives and Records 
Administration (NARA) Document Accession Number or other applicable, 
unique document identifying number) to enable the Agency to locate it 
with reasonable effort. Broad or topical requests for records on a 
particular subject may not be accepted under this provision. A request 
for documents contained in the various Presidential libraries shall be 
effected through the staff of such institutions who shall forward the 
document(s) in question for Agency review. The requester shall also 
provide sufficient personal identifying information when required by 
the Agency to satisfy requirements of this part.


Sec. 1908.13  Fees.

    Requests submitted via NARA or the various Presidential libraries 
shall be responsible for reproduction costs required by statute or 
regulation. Requests made directly to this Agency will be liable for 
costs in the same amount and under the same conditions as specified in 
32 CFR part 1900.

Agency Action on MDR Requests


Sec. 1908.21  Receipt, recording, and tasking.

    The Information and Privacy Coordinator shall within ten (10) days 
record each mandatory declassification review request received under 
this part, acknowledge receipt to the requester in writing (if received 
directly from a requester), and shall thereafter task the originator 
and other interested parties. Additional taskings, as required during

[[Page 32497]]

the review process, shall be accomplished within ten (10) days of 
notification.


Sec. 1908.22  Requests barred by res judicata.

    The Coordinator shall respond to the requester and deny any request 
where the information in question has been the subject of a 
classification review within the previous two (2) years or is the 
subject of pending litigation in the federal courts.


Sec. 1908.23  Determination by originator or interested party.

    (a) In general. The originator of the classified information 
(document) is a required party to any mandatory declassification review 
request; other interested parties may become involved through a 
referral by the Coordinator when it is determined that some or all of 
the information is also within their official cognizance.
    (b) Required determinations. These parties shall respond in writing 
to the Coordinator with a finding as to the classified status of the 
information including the category of protected information as set 
forth in Sec. 1.5 of this Order, and, if older than ten (10) years, the 
basis for the extension of classification time under Secs. 1.6 and 3.4 
of this Order. These parties shall also provide a statement as to 
whether or not there is any other statutory, common law, or 
Constitutional basis for withholding as required by Sec. 6.1(c) of this 
Order.
    (c) Time. This response shall be provided expeditiously on a 
``first-in, first-out'' basis taking into account the business 
requirements of the originator or interested parties and consistent 
with the information rights of members of the general public under the 
Freedom of Information Act and the Privacy Act.


Sec. 1908.24  Notification of decision and right of appeal.

    The Coordinator shall communicate the decision of the Agency to the 
requester within ten (10) days of completion of all review action. That 
correspondence shall include a notice of a right of administrative 
appeal to the Agency Release Panel pursuant to Sec. 3.6(d) of this 
Order.

Agency Action on MDR Appeals


Sec. 1908.31  Requirements as to time and form.

    Appeals of decisions must be received by the Coordinator within 
forty-five (45) days of the date of mailing of the Agency's initial 
decision. It shall identify with specificity the documents or 
information to be considered on appeal and it may, but need not, 
provide a factual or legal basis for the appeal.


Sec. 1908.32  Receipt, recording, and tasking.

    The Coordinator shall promptly record each appeal received under 
this part, acknowledge receipt to the requester, and task the 
originator and other interested parties. Additional taskings, as 
required during the review process, shall be accomplished within ten 
(10) days of notification.


Sec. 1908.33  Determination by Deputy Director(s).

    Each Deputy Director in charge of a directorate which originated or 
has an interest in any of the records subject to the appeal, or 
designee, is a required party to any appeal; other interested parties 
may become involved through the request of the Coordinator when it is 
determined that some or all of the information is also within their 
official cognizance. These parties shall respond in writing to the 
Coordinator with a finding as to the classified status of the 
information including the category of protected information as set 
forth in Sec. 1.5 of this Order, and, if older than ten (10) years, the 
basis for continued classification under Secs. 1.6 and 3.4 of this 
Order. These parties shall also provide a statement as to whether or 
not there is any other statutory, common law, or Constitutional basis 
for withholding as required by Sec. 6.1(c) of this Order. This response 
shall be provided expeditiously on a ``first-in, first-out'' basis 
taking into account the business requirements of the parties and 
consistent with the information rights of members of the general public 
under the Freedom of Information Act and the Privacy Act.


Sec. 1908.34  Establishment of appeals structure.

    (a) In general. Two administrative entities have been established 
by the Director of Central Intelligence to facilitate the processing of 
administrative appeals under the mandatory declassification review 
provisions of this Order. Their membership, authority, and rules of 
procedure are as follows.
    (b) Historical Records Policy Board (``HRPB'' or ``Board''). This 
Board, the successor to the CIA Information Review Committee, acts as 
the senior corporate board in the CIA on all matters of information 
review and release. It is composed of the Executive Director, who 
serves as its Chair, the Deputy Director for Administration, the Deputy 
Director for Intelligence, the Deputy Director for Operations, the 
Deputy Director for Science and Technology, the General Counsel, the 
Director of Congressional Affairs, the Director of the Public Affairs 
Staff, the Director, Center for the Study of Intelligence, and the 
Associate Deputy Director for Administration/Information Services, or 
their designees. The Board, by majority vote, may delegate to one or 
more of its members the authority to act on any appeal or other matter 
or authorize the Chair to delegate such authority, as long as such 
delegation is not to the same individual or body who made the initial 
denial. The Executive Secretary of the HRPB is the Director, 
Information Management. The Chair may request interested parties to 
participate when special equities or expertise are involved.
    (c) Agency Release Panel (``ARP'' or ``Panel''). The HRPB, pursuant 
to its delegation of authority, has established a subordinate Agency 
Release Panel. This Panel is composed of the Director, Information 
Management, who serves as its Chair; the Information Review Officers 
from the Directorates of Administration, Intelligence, Operations, 
Science and Technology, and the Director of Central Intelligence Area; 
the CIA Information and Privacy Coordinator; the Chief, Historical 
Review Group; the Chair, Publications Review Board; the Chief, Records 
Declassification Program; and representatives from the Offices of 
General Counsel and Congressional Affairs, and the Public Affairs 
Staff. The Information and Privacy Coordinator also serves as the 
Executive Secretary of the Panel. The Panel advises and assists the 
HRPB on all information release issues, monitors the adequacy and 
timeliness of Agency releases, sets component search and review 
priorities, reviews adequacy of resources available to and planning for 
all Agency release programs, and performs such other functions as 
deemed necessary by the Board. The Chair may request interested parties 
to participate when special equities or expertise are involved. The 
Panel, functioning as a committee of the whole or through individual 
members, will make final Agency decisions from appeals of initial 
denial decisions under E.O. 12958. Issues not resolved by the Panel 
will be referred by the Panel to the HRPB. Matters decided by the Panel 
or Board will be deemed a final decision by the Agency.


Sec. 1908.35  Action by appeals authority.

    (a) Action by Agency Release Panel. The Coordinator, in his or her 
capacity as Executive Secretary of the Agency Release Panel, shall 
place appeals of mandatory declassification review requests ready for 
adjudication on the

[[Page 32498]]

agenda at the next occurring meeting of the Agency Release Panel. The 
Executive Secretary shall provide a summation memorandum for 
consideration of the members, the complete record of the request 
consisting of the request, the document(s) (sanitized and full text) at 
issue, and the findings of the originator and interested parties. The 
Panel shall meet and decide requests sitting as a committee of the 
whole. Decisions are by majority vote of those present at a meeting and 
shall be based on the written record and their deliberations; no 
personal appearances shall be permitted without the express permission 
of the Panel.
    (b) Action by Historical Records Policy Board. In any cases of 
divided vote by the ARP, any member of that body is authorized to refer 
the request to the CIA Historical Records Policy Board which acts as 
the senior corporate board for the Agency. The record compiled (the 
request, the memoranda filed by the originator and interested parties, 
and the previous decision(s)) as well as any memorandum of law or 
policy the referent desires to be considered, shall be certified by the 
Executive Secretary of the Agency Release Panel and shall constitute 
the official record of the proceedings and must be included in any 
subsequent filings.


Sec. 1908.36  Notification of decision and right of further appeal.

    The Coordinator shall communicate the decision of the Panel or 
Board to the requester, NARA, or the particular Presidential Library 
within ten (10) days of such decision. That correspondence shall 
include a notice that an appeal of the decision may be made to the 
Interagency Security Classification Appeals Panel (ISCAP) established 
pursuant to Sec. 5.4 of this Order.

Further Appeals


Sec. 1908.41  Right of Further Appeal.

    A right of further appeal is available to the ISCAP established 
pursuant to Sec. 5.4 of this Order. Action by that Panel will be the 
subject of rules to be promulgated by the Information Security 
Oversight Office (ISOO).

PART 1909--ACCESS BY HISTORICAL RESEARCHERS AND FORMER PRESIDENTIAL 
APPOINTEES PURSUANT TO Sec. 4.5 OF EXECUTIVE ORDER 12958

General

Sec.
1909.01  Authority and purpose.
1909.02  Definitions.
1909.03  Contact for general information and requests.
1909.04  Suggestions and complaints.

Requests for Historical Access

1909.11  Requirements as to who may apply.
1909.12  Designations of authority to hear requests.
1909.13  Receipt, recording, and tasking.
1909.14  Determinations by tasked officials.
1909.15  Action by hearing authority.
1909.16  Action by appeal authority.
1909.17   Notification of decision.
1909.18  Termination of access.

    Authority: Executive Order 12958, 60 FR 19825. 3 CFR 1996 Comp., 
p. 333-356 (or successor Orders).

General


Sec. 1909.01  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement Sec. 4.5 of Executive Order 12958 (or successor 
Orders); the CIA Information Act of 1984 (50 U.S.C. 431); sec. 102 of 
the National Security Act of 1947, as amended (50 U.S.C. 403); and sec. 
6 of the Central Intelligence Agency Act of 1949, as amended (50 U.S.C. 
403g).
    (b) Purpose. (1) This part prescribes procedures for:
    (i) Requesting access to CIA records for purposes of historical 
research, or
    (ii) Requesting access to CIA records as a former Presidential 
appointee.
    (2) Section 4.5 of Executive Order 12958 and these regulations do 
not create any right or benefit, substantive or procedural, enforceable 
at law by a party against the United States, its agencies, officers, or 
employees.


Sec. 1909.02  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Agency Release Panel or Panel or ARP means the CIA Agency 
Release Panel established pursuant to 32 CFR 1900.41;
    (c) Days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (d) Control means ownership or the authority of the CIA pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    (e) Coordinator means the CIA Information and Privacy Coordinator 
who serves as the Agency manager of the historical access program 
established pursuant to Sec. 4.5 of this Order;
    (f) Director, Center for the Study of Intelligence or ``D/CSI'' 
means the Agency official responsible for the management of the CIA's 
various historical programs including the management of access granted 
under this section;
    (g) Director of Personnel Security means the Agency official 
responsible for making all security and access approvals and for 
effecting the necessary non-disclosure and/or pre-publication 
agreements as may be required;
    (h) Federal agency means any executive department, military 
department, or other establishment or entity included in the definition 
of agency in 5 U.S.C. 552(f);
    (i) Former Presidential appointee means any person who has 
previously occupied a policy-making position in the executive branch of 
the United States Government to which they were appointed by the 
current or former President and confirmed by the United States Senate;
    (j) Historian or historical researcher means any individual with 
professional training in the academic field of history (or related 
fields such as journalism) engaged in a research project leading to 
publication (or any similar activity such as academic course 
development) reasonably intended to increase the understanding of the 
American public into the operations and activities of the United States 
government;
    (k) Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form that is owned by, 
produced by or for, or is under the control of the United States 
Government;
    (l) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (m) Originator means the CIA officer who originated the information 
at issue, or successor in office, or a CIA officer who has been 
delegated declassification authority for the information at issue in 
accordance with the provisions of this Order;
    (n) This Order means Executive Order 12958 of April 17 1995 and 
published at 60 FR 19825-19843 (or successor Orders).

[[Page 32499]]

Sec. 1909.03  Contact for general information and requests.

    For general information on this Part, to inquire about historical 
access to CIA records, or to make a formal request for such access, 
please direct your communication in writing to the Information and 
Privacy Coordinator, Central Intelligence Agency, Washington, DC. 
20505. Inquiries will also be accepted by facsimile at (703) 613-3007. 
For general information only, the telephone number is (703) 613-1287. 
Collect calls cannot be accepted.


Sec. 1909.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the historical access program established pursuant to 
Executive Order 12958. Letters of suggestion or complaint should 
identify the specific purpose and the issues for consideration. The 
Agency will respond to all substantive communications and take such 
actions as determined feasible and appropriate.

Requests for Historical Access


Sec. 1909.11  Requirements as to who may apply.

    (a) Historical researchers:--(1) In general. Any historian engaged 
in a historical research project as defined above may submit a request 
in writing to the Coordinator to be given access to classified 
information for purposes of that research. Any such request shall 
indicate the nature, purpose, and scope of the research project.
    (2) Additional considerations. In light of the very limited 
resources for the Agency's various historical programs, it is the 
policy of the Agency to consider applications for historical research 
privileges only in those instances where the researcher's needs cannot 
be satisfied through requests for access to reasonably described 
records under the Freedom of Information Act or the mandatory 
declassification review provisions of Executive Order 12958 and where 
issues of internal resource availability and fairness to all members of 
the historical research community militate in favor of a particular 
grant.
    (b) Former Presidential appointees. Any former Presidential 
appointee as defined herein may also submit a request to be given 
access to any classified records which they originated, reviewed, 
signed, or received while serving in that capacity. Such appointees may 
also request approval for a research associate but there is no 
entitlement to such enlargement of access and the decision in this 
regard shall be in the sole discretion of the Agency. Requests from 
appointees shall be in writing to the Coordinator and shall identify 
the records of interest.


Sec. 1909.12  Designations of authority to hear requests.

    The Deputy Director for Administration has designated the 
Coordinator, the Agency Release Panel, and the Historical Records 
Policy Board, established pursuant to 32 CFR 1900.41, as the Agency 
authorities to decide requests for historical and former Presidential 
appointee access under Executive Order 12958 (or successor Orders) and 
these regulations.


Sec. 1909.13  Receipt, recording, and tasking.

    The Information and Privacy Coordinator shall within ten (10) days 
record each request for historical access received under this Part, 
acknowledge receipt to the requester in writing and take the following 
action:
    (a) Compliance with general requirements. The Coordinator shall 
review each request under this part and determine whether it meets the 
general requirements as set forth in 32 CFR 1909.11; if it does not, 
the Coordinator shall so notify the requester and explain the legal 
basis for this decision.
    (b) Action on requests meeting general requirements. For requests 
which meet the requirements of 32 CFR 1909.11, the Coordinator shall 
thereafter task the D/CSI, the originator(s) of the materials for which 
access is sought, and other interested parties. Additional taskings, as 
required during the review process, shall be accomplished within ten 
(10) days of notification.


Sec. 1909.14  Determinations by tasked officials.

    (a) Required determinations. The tasked parties as specified below 
shall respond in writing to the Coordinator with recommended findings 
to the following issues:
    (1) That a serious professional or scholarly research project by 
the requester is contemplated (by D/CSI);
    (2) That such access is clearly consistent with the interests of 
national security (by originator and interested party, if any);
    (3) That a non-disclosure agreement has been or will be executed by 
the requester (or research associate, if any) and other appropriate 
steps have been taken to assure that classified information will not be 
disclosed or otherwise compromised (by Director of Personnel Security 
and representative of the Office of General Counsel);
    (4) That a pre-publication agreement has been or will be executed 
by the requester (or research associate, if any) which provides for a 
review of notes and any resulting manuscript (by Director of Personnel 
Security and representative of the Office of General Counsel);
    (5) That the information requested is reasonably accessible and can 
be located and compiled with a reasonable effort (by D/CSI and 
originator);
    (6) That it is reasonably expected that substantial and substantive 
government documents and/or information will be amenable to 
declassification and release and/or publication (by D/CSI and 
originator);
    (7) That sufficient resources are available for the administrative 
support of the researcher given current mission requirements (by D/CSI 
and originator); and,
    (8) That the request cannot be satisfied to the same extent through 
requests for access to reasonably described records under the Freedom 
of Information Act or the mandatory declassification review provisions 
of Executive Order 12958 (by Coordinator, D/CSI and originator).
    (b) Time. These responses shall be provided expeditiously on a 
``first-in, first-out'' basis taking into account the business 
requirements of the tasked offices and consistent with the information 
rights of members of the general public under the Freedom of 
Information Act and the Privacy Act. The Agency will utilize its best 
efforts to complete action on requests under this part within thirty 
(30) days of date of receipt.


Sec. 1909.15  Action by hearing authority.

    Action by Agency Release Panel. The Coordinator, in his or her 
capacity as Executive Secretary of the Agency Release Panel, shall 
place historical access requests ready for adjudication on the agenda 
at the next occurring meeting of the Agency Release Panel. The 
Executive Secretary shall provide a summation memorandum for 
consideration of the members, the complete record of the request 
consisting of the request and the findings of the tasked parties. The 
Panel shall meet and decide requests sitting as a committee of the 
whole on the basis of the eight factors enumerated at 32 CFR 
1909.14(a). Decisions are by majority vote of those present at a 
meeting and shall be based on the written record and their 
deliberations; no personal appearances shall be permitted without the 
express permission of the Panel.


Sec. 1909.16  Action by appeal authority.

    In any cases of divided vote by the ARP, any member of that body is 
authorized to refer the request to the

[[Page 32500]]

CIA Historical Records Policy Board which acts as the senior corporate 
board for the Agency. The record compiled (the request, the memoranda 
filed by the originator and interested parties, and the previous 
decision(s)) as well as any memorandum of law or policy the referent 
desires to be considered, shall be certified by the Executive Secretary 
of the Agency Release Panel and shall constitute the official record of 
the proceedings and must be included in any subsequent filings. In such 
cases, the factors to be determined as specified in 32 CFR 1909.14(a) 
will be considered by the Board de novo and that decision shall be 
final.


Sec. 1909.17  Notification of decision.

    The Coordinator shall inform the requester of the decision of the 
Agency Release Panel or the Historical Records Policy Board within ten 
(10) days of the decision and, if favorable, shall manage the access 
for such period as deemed required but in no event for more than two 
(2) years unless renewed by the Panel or Board in accordance with the 
requirements of 32 CFR 1909.14(a).


Sec. 1909.18  Termination of access.

    The Coordinator shall cancel any authorization whenever the 
Director of Personnel Security cancels the security clearance of a 
requester (or research associate, if any) or whenever the Agency 
Release Panel determines that continued access would not be in 
compliance with one or more of the requirements of 32 CFR 1909.14(a).

[FR Doc. 97-14883 Filed 6-13-97; 8:45 am]
BILLING CODE 6310-02-M