[Federal Register Volume 72, Number 129 (Friday, July 6, 2007)]
[Rules and Regulations]
[Pages 36875-36880]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-13006]


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DEPARTMENT OF DEFENSE

Office of the Secretary

32 CFR Part 197

[DoD-2006-OS-0023]
RIN 0790-AI12


Historical Research in the Files of the Office of the Secretary 
of Defense (OSD)

AGENCY: Department of Defense.

ACTION: Final rule.

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SUMMARY: This final rule identifies and updates the policies and 
procedures for the programs that permit U.S. citizens to perform 
historical research in records created by or in the custody of the 
Office of the Secretary of Defense (OSD). Historical Research in the 
Files of OSD updates the policies and procedures for the programs that 
permit U.S. citizens to perform historical research in records created 
by or in the custody of the OSD.

DATES: Effective Date: This rule is effective August 6, 2007.

FOR FURTHER INFORMATION CONTACT: Mr. Robert Storer, 703-696-2197.

SUPPLEMENTARY INFORMATION: Anyone accessing classified material must 
possess the requisite security clearance. Information requested by 
historical researchers shall be accessed at a DoD activity or facility 
under the control of the National Archives and Records Administration 
(NARA).
    Access to records by historical researchers shall be limited to the 
specific records within the scope of the proposed historical research 
over which the Department of Defense has classification authority. 
Access shall also be limited to any other records for which the written 
consent of other Agencies that have classification authority over 
information contained in or revealed by the records has been obtained.
    Access to unclassified OSD Component files by historical 
researchers shall be permitted consistent with the restrictions of the 
exemptions of the Freedom of Information Act. The procedures for access 
to classified information shall be used if the requested unclassified 
information is contained in OSD files whose overall markings are 
classified.
    On February 28, 2007 (72 FR 8952), the Department of Defense 
published a proposed rule, ``Historical Research in the Files of the 
Office of the Secretary of Defense (OSD)'' inviting public comments. No 
comments were received.

Executive Order 13132, ``Federalism''

    It has been certified that 32 CFR part 197 does not have federalism 
implications, as set forth in Executive Order 13132. This rule does not 
have substantial direct effects on:
    (1) The States;
    (2) The relationship between the National Government and the 
States; or
    (3) The distribution of power and responsibilities among the 
various levels of Government.

Executive Order 12630, ``Government Actions and Interference With 
Constitutionally Protected Property Rights''

    It has been certified that 32 CFR part 197 does not:
    (1) Place a restriction on a use of private property;
    (2) Involve a permitting process or any other decision-making 
process that will interfere with, or otherwise prohibit, the use of 
private property; or
    (3) Regulate private property use for the protection of public 
health or safety.

Executive Order 12866, ``Regulatory Planning and Review''

    It has been certified that 32 CFR part 197 does not:
    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy; a section of the 
economy; productivity; competition; jobs; the environment; public 
health or safety; or State, local, or tribunal governments or 
communities;
    (2) Create a serious inconsistency or otherwise interfere with an 
action taken or planned by another Agency;
    (3) Materially alter the budgetary impact of entitlements, grants, 
user fees, or loan programs, or the rights and obligations of 
recipients thereof; or
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the

[[Page 36876]]

President's priorities, or the principles set forth in this Executive 
Order.

Executive Order 13045, ``Protection of Children From Environmental 
Health Risks and Safety Risks''

    It has been certified that 32 CFR part 197 does not present any 
environmental health or safety effects on children.

Section 202, Public Law 104-4, ``Unfunded Mandates Reform Act''

    It has been certified that 32 CFR part 197 does not contain a 
Federal mandate that may result in the expenditure by State, local and 
tribunal governments, in aggregate, or by the private sector, of $100 
million or more in any one year.

National Environmental Policy Act

    It has been certified that 32 CFR part 197 does not significantly 
affect the quality of the human environment.

Public Law 96-354, ``Regulatory Flexibility Act'' (5 U.S.C. 601)

    It has been certified that 32 CFR part 197 is not subject to the 
Regulatory Flexibility Act (5 U.S.C. 601) because it would not, if 
promulgated, have a significant economic impact on a substantial number 
of small entities. Historical Research in the files of the Office of 
the Secretary of Defense (OSD) updates policies and procedures for the 
programs that permit U.S. citizens to perform historical research in 
records created by or in the custody of the OSD.

Public Law 96-511, ``Paperwork Reduction Act'' (44 U.S.C. Chapter 35)

    It has been certified that 32 CFR part 197 does not impose 
reporting or recordkeeping requirements under the Paperwork Reduction 
Act of 1995.

List of Subjects in 32 CFR Part 197

    Administrative practice and procedure.

0
Accordingly, 32 CFR Chapter 1, subchapter M is amended by adding part 
197 to read as follows:

PART 197--HISTORICAL RESEARCH IN THE FILES OF THE OFFICE OF THE 
SECRETARY OF DEFENSE (OSD)

Sec.
197.1 Purpose.
197.2 Applicability and scope.
197.3 Definition.
197.4 Policy.
197.5 Responsibilities.
197.6 Procedures.
Appendix A to Part 197--Explanation of Freedom of Information Act (5 
U.S.C. 552) Exemptions
Appendix B to Part 197--Procedures for Historical Researchers 
Permanently Assigned Within the Executive Branch Working on Official 
Projects
Appendix C to Part 197--Procedures for the Department of State (DOS) 
Foreign Relations of the United States (FRUS) Series
Appendix D to Part 197--Procedures for Historical Researchers Not 
Permanently Assigned to the Executive Branch
Appendix E to Part 197--Form Letter--Conditions Governing Access to 
Official Records for Historical Research Purposes
Appendix F to Part 197--Procedures for Copying of Documents for the 
Foreign Relations of the United States Series
Appendix G to Part 197--Procedures for Copying Documents

     Authority: 10 U.S.C. 301.


Sec.  197.1  Purpose.

    This part identifies and updates the policies and procedures for 
the programs that permit U.S. citizens to perform historical research 
in records created by or in the custody of the OSD consistent with 
Executive Order 12958, DoD 5200.01-R \1\, DoD 5400.07-R, DoD Directive 
5400.11, the Interagency Agreement on Access for Official Agency 
Historians, and DoD Directive 5230.09.
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    \1\ Copies of unclassified DoD Directives, DoD Instructions, DoD 
Publications, and OSD Administrative Instructions may be found at 
http://www.dtic.mil/whs/directives/.
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Sec.  197.2  Applicability and scope.

    This part applies to:
    (a) The Office of the Secretary of Defense and organizations for 
which the Washington Headquarters Services provides administrative 
support (hereafter referred to collectively as the ``OSD Components'').
    (b) All historical researchers.
    (c) Former OSD Presidential Appointees seeking access to records 
containing information they originated, reviewed, signed, or received 
while serving in an official capacity.


Sec.  197.3  Definition.

    Historical researcher or researcher. A person desiring to conduct 
research in OSD files for historical information to use in any project 
(e.g. agency historical office projects, books, articles, studies, or 
reports) regardless of the person's employment status.


Sec.  197.4  Policy.

    It is DoD policy, pursuant to E.O. 12958, that:
    (a) Anyone accessing classified material must possess the requisite 
security clearance.
    (b) Information requested by historical researchers shall be 
accessed at a DoD activity or facility under the control of the 
National Archives and Records Administration (NARA). Usually such 
access will occur at either the Washington National Records Center 
(WNRC) in Suitland, Maryland, or NARA's Archives II in College Park, 
Maryland.
    (c) Access to records by historical researchers shall be limited to 
the specific records within the scope of the proposed historical 
research over which the Department of Defense has classification 
authority. Access shall also be limited to any other records for which 
the written consent of other Agencies that have classification 
authority over information contained in or revealed by the records has 
been obtained.
    (d) Access to unclassified OSD Component files by historical 
researchers shall be permitted consistent with the restrictions of the 
exemptions of the Freedom of Information Act that are contained in E.O. 
12958 and explained in the appendix B to this part (5 U.S.C. 552). The 
procedures for access to classified information shall be used if the 
requested unclassified information is contained in OSD files whose 
overall markings are classified.
    (e) Under E.O. 12958, or its successor, persons permanently 
assigned within the Executive Branch may be authorized access to 
classified information for official projects under DoD classification 
authority, provided such access is essential to the accomplishment of a 
lawful and authorized Government purpose and a written determination of 
the trustworthiness of the persons has been made.
    (f) Under E.O. 12958 and paragraph C6.2.2. of DoD 5200.01-R, 
persons not permanently assigned within the Executive Branch who are 
engaged in historical research projects or persons permanently assigned 
within the Executive Branch engaged in personal, i.e. unofficial 
projects, may be authorized access to classified information under DoD 
classification authority. The authorization shall be based on a written 
determination of the researcher's trustworthiness, on the proposed 
access being in the interests of national security, and on the 
researcher signing a copy of the letter (appendix E to this part) by 
which he or she agrees to safeguard the information and to authorize a 
review of any notes and manuscript for a determination that they 
contain no classified information.
    (g) Access for former Presidential appointees is limited to records 
they originated, reviewed, signed, or received while serving as 
Presidential appointees.
    (h) Contractors working for Executive Branch Agencies may be 
allowed access

[[Page 36877]]

to classified OSD Component files. No copies of still classified 
documents will be released directly to a contractor. All copies of 
classified documents needed for a classified project will be forwarded 
to the office of the Contracting Government Agency responsible for 
monitoring the project. The monitoring office will be responsible for 
ensuring that the contractor safeguards the documents. The information 
is only used for the project for which it was requested, and that the 
contractor returns the documents upon completion of the final project. 
All copies of documents needed for an unclassified project will undergo 
a mandatory declassification review before the copies are released to 
the contractor to use in the project.
    (i) The records maintained in OSD Component office files and at the 
WNRC cannot be segregated, requiring that authorization be received 
from all agencies whose classified information is or is expected to be 
in the requested files for access to be permitted.
    (j) All researchers must hold security clearances at the 
classification level of the requested information. In addition, all DoD 
employed requesters, to include DoD contractors, must have Critical 
Nuclear Weapons Design Information (CNWDI) access and all other 
Executive Branch and non-Executive Branch requesters must have a 
Department of Energy issued ``Q'' clearance to access CNWDI 
information.


Sec.  197.5  Responsibilities.

    (a) The Director of Administration and Management, Office of the 
Secretary of Defense, (DA&M, OSD), or designee shall, according to the 
Deputy Secretary of Defense Memorandum dated August 25, 1993, be the 
approval authority for access to DoD classified information in OSD 
Component files and in files at the National Archives, Presidential 
libraries, and other similar institutions.
    (b) The Heads of the OSD Components, when requested, shall:
    (1) Determine whether access is for a lawful and authorized 
Government purpose or in the interest of national security.
    (2) Determine whether the specific records requested are within the 
scope of the proposed historical research.
    (3) Determine the location of the requested records.
    (4) Provide a point of contact to the OSD Records Administrator.
    (c) The OSD Records Administrator shall:
    (1) Exercise overall management of the Historical Research Program.
    (2) Maintain records necessary to process and monitor each case.
    (3) Obtain all required authorizations.
    (4) Obtain, when warranted, the legal opinion of the General 
Counsel of the Department of Defense regarding the requested access.
    (5) Perform a mandatory declassification review on documents 
selected by the researchers for use in unclassified projects.
    (6) Provide to prospective researchers the procedures necessary for 
requesting access to OSD Component files.
    (d) The Researcher shall provide any information and complete all 
forms necessary to process a request for access.


Sec.  197.6  Procedures.

    The procedures for processing and/or researching for access to OSD 
Component files are in appendices B, C, and D to this part.

Appendix A to Part 197--Explanation of Freedom of Information Act (5 
U.S.C. 552) Exemptions

A. Exemptions

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               Exemption                           Explanation
------------------------------------------------------------------------
(b)(1)................................  Applies to information that is
                                         currently and properly
                                         classified pursuant to an
                                         Executive Order in the interest
                                         of national defense or foreign
                                         policy (See E.O. 12958 and DoD
                                         5200.01-R) (Sec 1.4.
                                         Classification Categories from
                                         E.O. 12958 are provided on the
                                         next page);
(b)(2)................................  Applies to information that
                                         pertains solely to the internal
                                         rules and practices of the
                                         Agency; this exemption has two
                                         profiles, ``high'' and ``low.''
                                         The ``high'' profile permits
                                         withholding a document which,
                                         if released, would allow
                                         circumvention of an Agency
                                         rule, policy, or statute,
                                         thereby impeding the Agency in
                                         the conduct of its mission. The
                                         ``low'' profile permits
                                         withholding if there is no
                                         public interest in the
                                         document, and it would be an
                                         administrative burden to
                                         process the request;
(b)(3)................................  Applies to information
                                         specifically exempted by a
                                         statute establishing particular
                                         criteria for withholding. The
                                         language of the statute must
                                         clearly state that the
                                         information will not be
                                         disclosed;
(b)(4)................................  Applies to information such as
                                         trade secrets and commercial or
                                         financial information obtained
                                         from a company on a privileged
                                         or confidential basis which, if
                                         released, would result in
                                         competitive harm to the
                                         company;
(b)(5)................................  Applies to inter- and intra-
                                         Agency memoranda that are
                                         deliberative in nature; this
                                         exemption is appropriate for
                                         internal documents that are
                                         part of the decision-making
                                         process, and contain subjective
                                         evaluations, opinions, and
                                         recommendations;
(b)(6)................................  Applies to information the
                                         release of which could
                                         reasonably be expected to
                                         constitute a clearly
                                         unwarranted invasion of the
                                         personal privacy of
                                         individuals; and
(b)(7)................................  Applies to records or
                                         information compiled for law
                                         enforcement purposes that could
                                         reasonably be expected to
                                         interfere with law enforcement
                                         proceedings; would deprive a
                                         person of a right to a fair
                                         trial or impartial
                                         adjudication; could reasonably
                                         be expected to constitute an
                                         unwarranted invasion of the
                                         personal privacy of others;
                                         disclose the identity of a
                                         confidential source; disclose
                                         investigative techniques and
                                         procedures; or could reasonably
                                         be expected to endanger the
                                         life or physical safety of any
                                         individual.
------------------------------------------------------------------------

    See Chapter III of DoD 5400.07-R for further information.

B. Extract From E.O. 12958

    Section 1.4. Classification Categories. Information shall not be 
considered for classification unless it concerns:
    (a) Military plans, weapons systems, or operations;
    (b) Foreign government information;
    (c) Intelligence activities (including special activities), 
intelligence sources or methods, or cryptology;
    (d) Foreign relations or foreign activities of the United 
States, including confidential sources;
    (e) Scientific, technological, or economic matters relating to 
the national security, which includes defense against transnational 
terrorism;
    (f) United States Government programs for safeguarding nuclear 
materials or facilities;
    (g) Vulnerabilities or capabilities of systems, installations, 
infrastructures, projects, plans, or protection services relating to 
the national security, which includes defense against transnational 
terrorism; or
    (h) Weapons of mass destruction.

Appendix B to Part 197--Procedures for Historical Researchers 
Permanently Assigned Within the Executive Branch Working on Official 
Projects

    1. The Head of each OSD Component, when requested, shall:
    a. Make a written determination that the requested access is 
essential to the

[[Page 36878]]

accomplishment of a lawful and authorized Government purpose, 
stating whether the requested records can be made available; if 
disapproved, cite specific reasons.
    b. Provide the location of the requested records, including 
accession and box numbers if the material has been retired to the 
WNRC.
    c. Provide a point of contact for liaison with the OSD Records 
Administrator if any requested records are located in OSD Component 
working files.
    2. The OSD Records Administrator shall:
    a. Process all requests from Executive Branch employees 
requesting access to OSD Component files for official projects.
    b. Determine which OSD Component(s) originated the requested 
records and, if necessary, request an access determination 
(paragraph 1.a. of this appendix) from the OSD Component(s) and the 
location of the requested records, including accession and box 
numbers if the records are in retired files.
    c. Request authorization for access from other Agencies as 
necessary:
    (1) By the terms of the ``Interagency Agreement on Access for 
Official Agency Historians,'' hereafter referred to as ``the 
Agreement'', historians employed by a signatory Agency may have 
access to the classified information of any other Agency signatory 
to the Agreement found in OSD files. The Central Intelligence Agency 
(CIA) and National Security Council (NSC) are not signatories to the 
Agreement. Authorization for access must be obtained from these 
Agencies, as well as from any other non-signatory Agency whose 
classified information is expected to be found in the files to be 
accessed.
    (2) If the official historian is employed by an Agency that is 
not a signatory to the Agreement, authorization for access must be 
obtained from the CIA, NSC, Department of State (DoS), and any other 
non-DoD Agency whose classified information is expected to be found 
in the files to be accessed.
    (3) If the requester is not an official historian, authorization 
for access must be obtained from the CIA, NSC, DoS, and any other 
non-DoD Agency whose classified information is expected to be found 
in the files to be accessed.
    (4) Make a written determination as to the researcher's 
trustworthiness based on the researcher having been issued a 
security clearance.
    (5) Compile all information on the request for access to 
classified information to include evidence of an appropriately 
issued personnel security clearance and forward the information to 
the DA&M, OSD, or designee, who shall make the final access 
determination.
    (6) Notify the researcher of the authorization and conditions 
for access to the requested records or of the denial of access and 
the reason(s).
    (7) Ensure all conditions for access and release of information 
for use in the project are met.
    (8) Make all necessary arrangements for the researcher to visit 
the WNRC and review the requested records if they have been retired 
there.
    (9) Assign a member of his staff to supervise the researcher's 
copying of pertinent documents at the WNRC. Provide a copier and 
toner cartridge or appropriate consumable supplies to be used by the 
researcher to copy the documents.
    (10) If the records are maintained in an OSD Component's working 
files, arrange for the researcher to review the material and make 
copies of pertinent documents in the OSD Component's office.
    (11) Notify the National Archives or Presidential library 
concerned of the authorization and conditions for access, if the 
researcher desiring to research material in those facilities is not 
an official historian or is an official historian employed by an 
Agency that is not a signatory to the Agreement.
    3. The researcher shall:
    a. Submit a request for access to OSD files to the OSD Records 
Administrator, 1155 Defense, Pentagon, Washington, DC 20301-1155.
    The request must contain the following information:
    (1) The name(s) of the researcher(s) and any assistant(s), level 
of security clearance, and the office to which the researcher is 
assigned.
    (2) Provide a statement on the purpose of the project, including 
whether the final product is to be classified or unclassified.
    (3) Provide an explicit description of the information being 
requested and if known, the originating office, so that the 
identification and location of the information may be facilitated.
    (4) An appropriate higher authority must sign the request.
    b. Ensure his or her security manager or personnel security 
office verifies his or her security clearances in writing to the 
Security Manager for the office of the OSD Records Administrator.
    c. Submit notes taken during research, as follows:
    (1) Use letter-sized paper (approximately 8\1/2\ by 11 inches), 
writing on only one side of the page. Each page of notes must 
pertain to only one document.
    (2) Indicate at the top of each page of notes the document's 
originator, date, subject (if the subject is classified, indicate 
the classification), folder number or other identification, 
accession number and box number in which the document was found, and 
the security classification of the document. All notes are 
considered classified at the level of the document from which they 
were taken.
    (3) Number each page of notes consecutively.
    (4) Leave the last 1\1/2\ inches on the bottom of each page of 
notes blank for use by the reviewing agencies.
    (5) Ensure the notes are legible, in English, and in black ink.
    (6) All notes must be given to the facility staff at the end of 
each day. The facility staff will forward the notes to the OSD 
Records Administrator for a declassification review and release 
determination.
    d. Maintain the file integrity of the records being reviewed, 
ensuring no records are removed and all folders are replaced in the 
correct box in their proper order.
    e. Make copies of any documents pertinent to the project, 
ensuring that staples are carefully removed and that the documents 
are restapled before they are replaced in the folder. Subparagraph 
E3.1.3. of this appendix, also applies to the copying of documents. 
The copying of documents at the WNRC must be accomplished under the 
supervision of a member of the OSD Records Administrator staff 
(appendix D to this part).
    f. Submit, prior to unclassified presentation or publication, 
the completed manuscript, along with any copies of documents used 
and notes taken, to the OSD Records Administrator for onward 
transmission to the Chief, Security Review, Executive Services 
Directorate for review.
    g. If the requester is an official historian of an Agency 
signatory to the Agreement, requests for access to the records at 
the National Archives or a Presidential library should be addressed 
directly to the pertinent facility with an information copy to the 
OSD Records Administrator.
    (1) The historian's security clearances must be verified to the 
National Archives or the Presidential library.
    (2) Paragraphs 1.c. through 1.f. of this appendix apply to 
research in files at the National Archives, a Presidential library, 
or other facility.
    (3) All notes and documents must be given to the facility staff 
for forwarding to the office of the OSD Records Administrator.

Appendix C to Part 197--Procedures for the Department of State (DoS) 
Foreign Relations of the United States (FRUS) Series

    1. The OSD Records Administrator shall:
    a. Determine the location of the records being requested by the 
DoS for the FRUS series under Public Law No. 102-138.
    b. Request authorization from the CIA, NSC, and any other non-
DoD Agency not signatory to the Agreement for the State historians 
to have access to such non-DoD Agency classified information 
expected to be interfiled with the requested OSD records.
    c. Obtain written verification from the DoS Diplomatic Security 
staff of all security clearances, including ``Q'' clearances.
    d. Make all necessary arrangements for the State historians to 
access and review OSD files.
    e. Make all necessary arrangements for the State historians to 
copy documents selected for use in their research.
    (1) According to appendix F to this part, provide a staff member 
to supervise the copying and the copier to be used to copy the 
documents.
    (2) Compile a list of the documents that were copied by the DoS.
    f. Release all documents copied by the DoS for use in the FRUS 
still classified.
    g. Submit to the respective Agency a list of CIA and NSC 
documents copied and released to the State historians.
    h. Process requests from the DoS Historian's office for members 
of the Advisory Committee on Historical Diplomatic Documentation, 
who possess the appropriate security clearances, to have access to 
documents copied and used by the State historians to compile the 
FRUS series volumes or to the files that were reviewed to obtain the 
copied document. Make all

[[Page 36879]]

necessary arrangements for the Committee to review any documents 
that are at the WNRC.
    2. The DoS Historian shall:
    a. Submit requests for access to OSD files to the OSD Records 
Administrator, 1155 Defense, Pentagon, Washington, DC 20301-1155. 
The request should list the names and security clearances for the 
historians doing the research and an explicit description, including 
the accession and box numbers, of the files being requested.
    b. Submit requests for access for members of the Advisory 
Committee on Historical Diplomatic Documentation to documents copied 
by the State historians for the series or the files reviewed to 
obtain the documents to the OSD Records Administrator.
    c. Request that the DoS Diplomatic Security staff verify all 
security clearances in writing to the Security Manager for the 
office of the OSD Records Administrator.
    d. According to appendix F to this part, supply the toner 
cartridge, paper, and other supplies required to copy the documents.
    e. Give all copies of the documents to the member of the office 
OSD Records Administrator's staff who is supervising the copying as 
the documents are copied.
    f. Submit any DoD documents desired for use or pages of the 
manuscript containing DoD classified information to the Chief, 
Security Review, Executive Services Directorate, 1155, Defense, 
Pentagon, Washington, DC 20301-1155 for a declassification review 
prior to publication.

Appendix D to Part 197--Procedures for Historical Researchers Not 
Permanently Assigned to the Executive Branch

    1. The Head of each OSD Component, when required, shall:
    a. Make recommendations to the DA&M, OSD, or his designee, as to 
approval or disapproval of requests to OSD files stating whether 
release of the requested information is in the interest of national 
security and whether the information can be made available; if 
disapproval is recommended, specific reasons should be cited.
    b. Provide the location of the requested information, including 
the accession and box numbers for any records that have been retired 
to the WNRC.
    c. Provide a point of contact for liaison with the OSD Records 
Administrator if any requested records are located in Component 
working files.
    2. The OSD Records Administrator shall:
    a. Process all requests from non-Executive Branch researchers 
for access to OSD files. Certify that the requester has the 
appropriate clearances.
    b. Obtain prior authorization to review their classified 
information from the DoS, CIA, NSC, and any other Agency whose 
classified information is expected to be interfiled with OSD 
records.
    c. Make a determination as to which OSD Component originated the 
requested records, and as necessary, obtain written recommendations 
(paragraph 1.a. of this section) for the research to review the 
classified information.
    d. Obtain a copy of the letter in Enclosure 6 of this AI signed 
by the researcher(s) and any assistant(s).
    e. If the requester is a former Presidential appointee (FPA), 
after completion of the actions described in paragraph 1.b. through 
1.b.(4) of this appendix, submit a memorandum to DoD, Human 
Resources, Security Division, requesting the issuance (including an 
interim) or reinstatement of an inactive security clearance for the 
FPA and any assistant and a copy of any signed form letters 
(paragraph 1.b. of this appendix). DoD, Human Resources, Security 
Division, will contact the researcher(s) and any assistant(s) to 
obtain the forms required to reinstate or obtain a security 
clearance and initiate the personnel security investigation. Upon 
completion of the adjudication process, notify the OSD Records 
Administrator in writing of the reinstatement, issuance, or denial 
of a security clearance.
    f. Make a written determination as to the researcher's 
trustworthiness, based on his or her having been issued a security 
clearance.
    g. Compile all information on the request for access to 
classified information to include either evidence of an 
appropriately issued or reinstated personnel security clearance and 
forward the information to the DA&M, OSD, or his designee, who shall 
make the final determination on the applicant's eligibility for 
access to classified OSD files. If the determination is favorable, 
the DA&M, OSD, or his designee, shall then execute an authorization 
for access, which will be valid for not more than 2 years.
    h. Notify the researcher of the approval or disapproval of the 
request. If the request has been approved, the notification shall 
identify the files authorized for review and shall specify that the 
authorization:
    (1) Is approved for a predetermined time period.
    (2) Is limited to the designated files.
    (3) Does not include access to records and/or information of 
other Federal Agencies, unless such access has been specifically 
authorized by those Agencies.
    i. Make all necessary arrangements for the researcher to visit 
the WNRC and review any requested records that have been retired 
there, to include written authorization, conditions for the access, 
and a copy of the security clearance verification.
     j. If the requested records are at the WNRC, make all necessary 
arrangements for the copying of documents; provide a copier and 
toner cartridge for use in copying documents and a staff member to 
supervise the copying of pertinent documents by the researcher.
    k. If the requested records are maintained in OSD Component 
working files, make arrangements for the researcher to review the 
requested information and if authorized, copy pertinent documents in 
the OSD Component's office. Provide the OSD Component with a copy of 
the written authorization and conditions under which the access is 
permitted.
    l. Compile a list of all the documents copied by the researcher.
    m. Perform a mandatory declassification review on all notes 
taken and documents copied by the researcher.
    n. If the classified information to be reviewed is on file at 
the National Archives, a Presidential library or other facility, 
notify the pertinent facility in writing of the authorization and 
conditions for access.
    3. The researcher shall:
    a. Submit a request for access to OSD Component files to the OSD 
Records Administrator, 1155 Defense, Pentagon, Washington, DC 20301-
1155. The request must contain the following:
    (1) As explicit a description as possible of the information 
being requested so that identification and location of the 
information may be facilitated.
    (2) A statement as to how the information will be used, 
including whether the final project is to be classified or 
unclassified.
    (3) State whether the researcher has a security clearance, 
including the level of clearance and the name of the issuing Agency.
    (4) The names of any persons who will be assisting the 
researcher with the project. If the assistants have security 
clearances, provide the level of clearance and the name of the 
issuing Agency.
    b. A signed copy of the letter (appendix E to this part) by 
which the requester agrees to safeguard the information and to 
authorize a review of any notes and manuscript for a determination 
that they contain no classified information. Each project assistant 
must also sign a copy of the letter.
    c. If the requester is an FPA, complete the forms necessary (see 
paragraph 1.b. of this appendix) to obtain a security clearance. 
Each project assistant will also need to complete the forms 
necessary to obtain a security clearance. If the FPA or assistant 
have current security clearances, their personnel security office 
must provide verification in writing to the Security Manager for the 
office of the OSD Records Administrator.
    d. Maintain the integrity of the files being reviewed, ensuring 
that no records are removed and that all folders are replaced in the 
correct box in their proper order.
    e. If copies are authorized, all copies must be given to the 
custodian of the files at the end of each day. The custodian will 
forward the copies of the documents to the OSD Records Administrator 
for a declassification review and release to the requester.
    (1) For records at the WNRC, if authorized, make copies of 
documents only in the presence of a member of the OSD Records 
Administrator's staff (appendix G to this part).
    (2) As they are copied, all documents must be given to the OSD 
Records Administrator's staff member supervising the copying.
    (3) Ensure all staples are carefully removed and that the 
documents are restapled before the documents are replaced in the 
folder. Paragraph 1.c. of this appendix also applies to the copying 
of documents.
    f. Submit all notes (classified and unclassified) made from the 
records to the OSD Records Administrator for a declassification and 
release review through the custodian of the files at the end of each 
day's review as described in paragraphs 1.c.(3) through 1.c.(5) of 
appendix B to this part.
    g. Submit the notes and final manuscript to the OSD Records 
Administrator for

[[Page 36880]]

forwarding to the Chief, Security Review, Executive Services 
Directorate, for a security review and clearance under DoD Directive 
5230.09 prior to unclassified publication, presentation, or any 
other public use.

Appendix E to Part 197--Form Letter--Conditions Governing Access to 
Official Records for Historical Research Purposes

Date:
OSD Records Administrator
1155 Defense Pentagon
Washington, DC 20301-1155

Dear
    I understand that the classified information to which I have 
requested access for historical research purposes is concerned with 
the national defense or foreign relations of the United States, and 
the unauthorized disclosure of it could reasonably be expected to 
cause damage, serious damage, or exceptionally grave damage to the 
national security depending on whether the information is classified 
Confidential, Secret, or Top Secret, respectively. If granted 
access, I therefore agree to the following conditions governing 
access to the Office of the Secretary of Defense (OSD) files:
    1. I will abide by any rules and restrictions promulgated in 
your letter of authorization, including those of other Agencies 
whose information is interfiled with that of the OSD.
    2. I agree to safeguard the classified information, to which I 
gain possession or knowledge because of my access, in a manner 
consistent with Part 4 of Executive Order 12958, ``National Security 
Information,'' and the applicable provisions of the Department of 
Defense regulations concerning safeguarding classified information, 
including DoD 5200.1-R, ``Information Security Program.''
    3. I agree not to reveal to any person or Agency any classified 
information obtained as a result of this access except as authorized 
in the terms of your authorization letter or a follow-on letter, and 
I further agree that I shall not use the information for purposes 
other than those set forth in my request for access.
    4. I agree to submit my research notes for security review, to 
determine if classified information is contained in them, before 
their removal from the specific area assigned to me for research. I 
further agree to submit my manuscript for a similar review before 
its publication or presentation. In each of these reviews, I agree 
to comply with any decision of the reviewing official in the 
interests of the security of the United States, including the 
retention or deletion of any classified parts of such notes and 
manuscript whenever the Federal Agency concerned deems such 
retention or deletion necessary.
    5. I understand that failure to abide by the conditions in this 
statement shall constitute sufficient cause for canceling my access 
to classified information and for denying me any future access, and 
may subject me to criminal provisions of Federal Law as referred to 
in item 6.
    6. I have been informed that provisions of title 18 of the 
United States Code impose criminal penalties, under certain 
circumstances, for the unauthorized disclosure, loss, copying, or 
destruction of defense information.
    THIS STATEMENT IS MADE TO THE UNITED STATES GOVERNMENT TO ENABLE 
IT TO EXERCISE ITS RESPONSIBILITY FOR THE PROTECTION OF INFORMATION 
AFFECTING THE NATIONAL SECURITY. I UNDERSTAND THAT ANY MATERIAL 
FALSE STATEMENT THAT I MAKE KNOWINGLY AND WILFULLY SHALL SUBJECT ME 
TO THE PENALTIES OF TITLE 18, U.S. CODE, SECTION 1001.
Signature:

Witness's Signature:

Date:

Appendix F to Part 197--Procedures for Copying of Documents for the 
Foreign Relations of the United States Series

    1. The records will be reviewed and copied at the WNRC, 
Suitland, Maryland.
    2. The requested records have been reviewed under the 
declassification provisions of E.O. 12958. Part of NARA's 
government-wide procedures for the review process requires that 
certain types of documents be tabbed for easy identification. Any 
tabs removed during the research and copying must be replaced.
    3. When documents are being copied, a DoD/WHS/declassification 
and historical research branch staff member must be present at all 
times.
    4. OSD will supply the copier, but the DoS must supply the toner 
cartridge, paper, staples, staple remover, stapler, and Post-It 
Notes. The copier is a Cannon Personal Copier-Model PC 425. It takes 
one of two cartridges--Cannon E20, which makes 2,000 copies and 
Cannon E40, which makes 4,000 copies.
    5. The number of boxes to be reviewed will determine which of 
the following two procedures will apply. The Declassification and 
Historical Research Branch staff will make that determination at the 
time the request is processed. When the historian completes the 
review of the boxes, he or she must contact the Declassification and 
Historical Research Branch to establish a final schedule for copying 
the needed documents. To avoid a possible delay, a tentative 
schedule will be established at the time that the review schedule is 
set.
    a. For a small number of boxes--the review and copying will take 
place simultaneously.
    b. For a large number of boxes--the historian will review the 
boxes and mark the documents that are to be copied using Post-It 
Notes or WNRC Reproduction Tabs.
    6. The documents must be given to the Declassification and 
Historical Research Branch staff member for transmittal to the 
Declassification and Historical Research Branch Office for 
processing.
    7. The Declassification and Historical Research Branch will 
notify the historian when the documents are ready to be picked-up.

Appendix G to Part 197--Procedures for Copying Documents

    1. The records will be reviewed and copied at the WNRC, 
Suitland, Maryland.
    2. The requested records have been reviewed under the 
declassification provisions of E.O. 12958. Part of NARA's 
government-wide procedures for the review process requires that 
certain types of documents be tabbed for easy identification. Any 
tabs removed during the research and copying must be replaced.
    3. The researcher will mark the documents that he or she wants 
to copy using Post-It Notes or WNRC Reproduction Tabs.
    4. Any notes taken during the review process must be given to 
the WNRC staff for transmittal to the Declassification Branch.
    5. When documents are being copied, a DoD/WHS/declassification 
and historical research branch staff member must be present at all 
times. In agreeing to permit the copying of documents from OSD 
classified files at the WNRC, the WNRC is requiring that the 
Declassification and Historical Research Branch be held solely 
responsible for the copying process. The staff member is only there 
to monitor the copying and ensure that all record management and 
security procedures are followed.
    6. The Declassification and Historical Research Branch will 
supply the copier and toner cartridge.
    7. The researcher will need to bring paper, staples, staple 
remover, stapler, and Post-It Notes.
    8. When the researcher completes the review of the boxes, he or 
she must contact the Declassification and Historical Research Branch 
to establish a final schedule for copying the needed documents.
    9. The documents must be given to the Declassification and 
Historical Research Branch staff member for transmittal to the 
Declassification and Historical Research Branch Office for 
processing.
    10. When the documents are ready to be picked up or mailed, the 
Declassification and Historical Research Branch will notify the 
office.
    11. All questions pertaining to the review, copying, or 
transmittal of OSD documents must be addressed to the OSD action 
officer.
    12. The WNRC staff can only answer questions regarding the use 
of their facility.

    Dated: June 28, 2007.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, DoD.
[FR Doc. E7-13006 Filed 7-5-07; 8:45 am]
BILLING CODE 5001-06-P