Federal Register: September 22, 2003 (Volume 68, Number 183)
Rules and Regulations
Page 55167-55186
[[Page 55167]]
-----------------------------------------------------------------------
Part IV
National Archives and Records Administration
-----------------------------------------------------------------------
Information Security Oversight Office
-----------------------------------------------------------------------
32 CFR Parts 2001 and 2004
Classified National Security Information (Directive No. 1); Final Rule
[[Page 55168]]
-----------------------------------------------------------------------
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
Information Security Oversight Office
32 CFR Parts 2001 and 2004
RIN 3095-AB18
Classified National Security Information Directive No. 1
AGENCY: Information Security Oversight Office (ISOO), National Archives
and Records Administration (NARA).
ACTION: Implementing directive; final rule.
-----------------------------------------------------------------------
SUMMARY: The Information Security Oversight Office, National Archives
and Records Administration, is publishing this Directive as a final
rule and pursuant to Section 5.1(a) and (b) of Executive Order 12958,
as amended, relating to classified national security information. The
Executive order prescribes a uniform system for classifying,
safeguarding, and declassifying national security information. It also
establishes a monitoring system to enhance its effectiveness. This
Directive sets forth guidance to agencies on original and derivative
classification, downgrading, declassification, and safeguarding of
classified national security information.
EFFECTIVE DATE: September 22, 2003.
FOR FURTHER INFORMATION CONTACT: J. William Leonard, Director, ISOO, at
202-219-5250.
SUPPLEMENTARY INFORMATION: This final rule is issued pursuant to the
provisions of 5.1 (a) and (b) of Executive Order 12958, as further
amended by Executive Order 13292, published March 28, 2003 (60 FR
15315) and amends 32 CFR part 2001, Directive No. 1 published on
October 13, 1995 (60 FR 53492). Further, this Directive incorporates 32
CFR part 2004, Safeguarding Classified National Security Information,
into this Part. The purpose of this Directive is to assist in
implementing the Order; users of the Directive shall refer concurrently
to that Order for guidance. As of November 17, 1995, ISOO became a part
of the National Archives and Records Administration. The Archivist of
the United States delegated the implementation and monitoring functions
of this program to the Director of ISOO. The drafting, coordination and
issuance of this Directive fulfills one of the responsibilities of the
implementation delegated to the Director of ISOO.
This rule is being issued as a final rule without prior notice of
proposed rulemaking as allowed by the Administrative Procedure Act, 5
U.S.C. 553(b)(3)(A) for rules of agency procedure and interpretation.
The interpretive guidance contained in this rule will assist agencies
in implementing Executive Order 12958, which was amended on March 25,
2003. NARA has also determined that delaying the effective date for 30
days is unnecessary as this rule updates the existing Directive
implementing Executive Order 12958. Moreover, since the revised
Executive Order 12958 becomes effective on September 22, 2003, Federal
agencies will benefit immediately by having up-to-date ISOO guidance,
and any delay in the effective date would hinder agency procedure and
be contrary to the public interest.
This rule is not a significant regulatory action for the purposes
of Executive Order 12866. This rule is not a major rule as defined in 5
U.S.C. Chapter 8, Congressional Review of Agency Rulemaking. As
required by the Regulatory Flexibility Act, we certify that this rule
will not have a significant impact on a substantial number of small
entities because it applies only to Federal agencies.
List of Subjects
32 CFR Part 2001
Archives and records, Authority delegations (Government agencies),
Classified information, Executive orders, Freedom of Information,
Information, Intelligence, National defense, National security
information, Presidential documents, Security information, Security
measures.
32 CFR Part 2004
Classified information.
0
1. Title 32 of the Code of Federal Regulations, part 2001, is revised
to read as follows:
PART 2001--CLASSIFIED NATIONAL SECURITY INFORMATION
Subpart A--Classification
Sec.
2001.10 Classification standards [1.1, 1.5].
2001.11 Classification authority [1.3].
2001.12 Duration of classification [1.5].
2001.13 Classification prohibitions and limitations [1.7].
2001.14 Classification challenges [1.8].
2001.15 Classification guides [2.2].
Subpart B--Identification and Markings
2001.20 General [1.6].
2001.21 Original classification [1.6(a)].
2001.22 Derivative classification [2.1].
2001.23 Additional requirements [1.6].
2001.24 Declassification markings [1.5, 1.6, 3.3].
Subpart C--Declassification
2001.30 Automatic declassification [3.3].
2001.31 Systematic declassification review [3.4].
2001.32 Declassification guides [3.3].
2001.33 Mandatory review for declassification [3.5, 3.6].
2001.34 Referrals [3.3, 3.6].
Subpart D--Safeguarding
2001.40 General [4.1].
2001.41 Responsibilities of holders [4.1].
2001.42 Standards for security equipment [4.1].
2001.43 Storage [4.1].
2001.44 Information controls [4.1, 4.2].
2001.45 Transmission [4.1, 4.2].
2001.46 Destruction [4.1, 4.2].
2001.47 Loss, possible compromise or unauthorized disclosure [4.1,
4.2].
2001.48 Special access programs [4.3].
2001.49 Telecommunications, automated information systems and
network security [4.1, 4.2].
2001.50 Technical security [4.1].
2001.51 Emergency authority [4.2].
2001.52 Open storage areas [4.1].
2001.53 Foreign government information [4.1].
Subpart E--Self-Inspections
2001.60 General [5.4].
2001.61 Coverage [5.4(d)(4)].
Subpart F--Security Education and Training
2001.70 General [5.4].
2001.71 Coverage [5.4(d)(3)].
Subpart G--Reporting and Definitions
2001.80 Statistical reporting [5.2(b)(4)].
2001.81 Accounting for costs [5.4(d)(8)].
2001.82 Definitions [6.1].
2001.83 Effective date [6.3].
Authority: Section 5.1(a) and (b), E.O. 12958, 60 FR 19825, 3
CFR 1995 Comp., p. 333, as amended by E.O. 13292, 60 FR 19825, March
25, 2003.
Subpart A--Classification
Sec. 2001.10 Classification standards [1.1, 1.5].\1\
---------------------------------------------------------------------------
\1\ Bracketed references pertain to related sections of
Executive Order 12958, as amended by E.O. 13292.
---------------------------------------------------------------------------
(a) ``An original classification authority with jurisdiction over
the information'' includes:
(1) The official who authorized the original classification, if
that official is still serving in the same position;
(2) The originator's current successor in function;
(3) A supervisory official of either; or
(4) The senior agency official under Executive Order 12958, as
amended (``the Order'').
(b) ``Permanently valuable information'' or ``permanent historical
value'' refers to information contained in:
(1) Records that have been accessioned into the National Archives
of the United States;
(2) Records that have been scheduled as permanent under a records
[[Page 55169]]
disposition schedule approved by the National Archives and Records
Administration (NARA); and
(3) Presidential historical materials, presidential records or
donated historical materials located in the National Archives of the
United States, a presidential library, or any other approved
repository.
(c) Identifying or describing damage to the national security.
Section 1.1(a) of the Order sets forth the conditions for classifying
information in the first instance. One of these conditions, the ability
to identify or describe the damage to the national security, is
critical to the process of making an original classification decision.
There is no requirement, at the time of the decision, for the original
classification authority to prepare a written description of such
damage. However, the original classification authority must be able to
support the decision in writing, including identifying or describing
the damage, should the classification decision become the subject of a
challenge or access demand.
(d) Declassification without proper authority. Classified
information that has been declassified without proper authority remains
classified. Administrative action shall be taken to restore markings
and controls, as appropriate.
Sec. 2001.11 Classification authority [1.3].
(a) General. Agencies with original classification authority shall
establish a training program for original classifiers in accordance
with subpart F of this part.
(b) Requests for original classification authority. Agencies not
possessing such authority shall forward requests to the Director of the
Information Security Oversight Office (ISOO). The agency head must make
the request and shall provide a specific justification of the need for
this authority. The Director of ISOO shall forward the request, along
with the Director's recommendation, to the President through the
Assistant to the President for National Security Affairs within 30
days. Agencies wishing to increase their assigned level of original
classification authority shall forward requests in accordance with the
procedures of this section.
Sec. 2001.12 Duration of classification [1.5].
(a) Determining duration of classification for information
originally classified under the Order.
(1) Establishing duration of classification. When determining the
duration of classification for information originally classified under
this Order, an original classification authority shall follow the
sequence listed in paragraphs (a)(1)(i), (ii), and (iii) of this
section.
(i) The original classification authority shall attempt to
determine a date or event that is less than 10 years from the date of
original classification and which coincides with the lapse of the
information's national security sensitivity, and shall assign such date
or event as the declassification instruction.
(ii) If unable to determine a date or event of less than 10 years,
the original classification authority shall ordinarily assign a
declassification date that is 10 years from the date of the original
classification decision.
(iii) If unable to determine a date or event of 10 years, the
original classification authority shall assign a declassification date
not to exceed 25 years from the date of the original classification
decision.
(2) Extending duration of classification for information originally
classified under the Order. Extensions of classification are not
automatic. If an original classification authority with jurisdiction
over the information does not extend the classification of information
assigned a date or event for declassification, the information is
automatically declassified upon the occurrence of the date or event. If
an original classification authority has assigned a date or event for
declassification that is less than 25 years from the date of
classification, an original classification authority with jurisdiction
over the information may extend the classification duration of such
information for a period not to exceed 25 years from the date of
origination.
(i) For information in records determined to have permanent
historical value, successive extensions may not exceed a total of 25
years from the date of the information's origin. Continued
classification of this information beyond 25 years is governed by
section 3.3 of the Order.
(ii) For information in a file series of records determined not to
have permanent historical value, the duration of classification beyond
25 years shall be the same as the disposition of those records
(destruction date) in each agency Records Control Schedule or General
Records Schedule approved by the National Archives and Records
Administration, although the duration of classification may be extended
if a record has been retained for business reasons beyond its scheduled
destruction date.
(iii) For currently unscheduled records, the duration of
classification beyond 25 years shall be determined in accordance with
the provisions of (a)(2)(i) (for permanently valuable records) or
(a)(2)(ii) (for temporary records) when the records are scheduled.
(3) Conditions for extending classification. When extending the
duration of classification, the original classification authority must:
(i) Be an original classification authority with jurisdiction over
the information;
(ii) Ensure that the information continues to meet the standards
for classification under the Order; and
(iii) Make reasonable attempts to notify all known holders of the
information.
(b) Information classified under prior orders.
(1) Specific date or event. Unless declassified earlier,
information marked with a specific date or event for declassification
under a prior order is automatically declassified upon that date or
event. However, if the information is contained in records determined
by the Archivist of the United States to be permanently valuable, and
the prescribed date or event will take place more than 25 years from
the information's origin, the declassification of the information will
instead be subject to section 3.3 of the Order.
(2) Indefinite duration of classification. For information marked
``Originating Agency's Determination Required,'' its acronym ``OADR,''
or with some other marking indicating an indefinite duration of
classification under a prior order:
(i) A declassification authority, as defined in section 6.1 of the
Order, may declassify it;
(ii) An authorized original classification authority with
jurisdiction over the information may re-mark the information to
establish a duration of classification consistent with the requirements
for information originally classified under the Order, as provided in
paragraph (a) of this section; or
(iii) Unless declassified earlier, such information contained in
records determined by the Archivist of the United States to be
permanently valuable shall remain classified for 25 years from the date
of its origin, at which time it will be subject to section 3.3 of the
Order.
(c) Changing the classification level of information originally
classified under the Order. An original classification authority with
jurisdiction over the information may change the level of
classification of information. Documents shall be remarked with the new
classification level, the date of the
[[Page 55170]]
action, and the authority for the change. Changing the classification
level may also require changing portion markings for information
contained within a document. Additionally, the original classification
authority shall update appropriate security classification guides.
(d) Reclassifying specific information. An original classification
authority with jurisdiction over the information may reclassify
information that has been declassified or marked as unclassified in
cases involving specific information that has not been publicly
released under proper authority and has not been subject to a Freedom
of Information Act, Privacy Act, or Mandatory Declassification Review
request. (If the information has been publicly released under proper
authority, see section 1.7(c) of the Order and Sec. 2001.13; if the
information has not been publicly released but has been the subject of
an access demand, see section 1.7(d) of the Order.).
(1) When taking this action, an original classification authority
must include the following markings on the information:
(i) The level of classification;
(ii) The identity, by name or personal identifier and position, of
the original classification authority;
(iii) declassification instructions;
(iv) a concise reason for classification; and
(v) the date the action was taken.
(2) The original classification authority shall notify all known
authorized holders of this action.
(e) Exemption categories from 10-year declassification. The
markings for exemption categories X1 through X8 can no longer be used.
When these markings appear on information dated before September 22,
2003, the information shall be declassified 25 years from the date of
the original decision, unless it has been properly exempted under
section 3.3 of the Order.
(f) Foreign government information. The declassifying agency is the
agency that initially received or classified the information. When
foreign government information is being considered for declassification
or appears to be subject to automatic declassification, the
declassifying agency shall determine whether the information is subject
to a treaty or international agreement that would prevent its
declassification at that time. Depending on the age of the information
and whether it is contained in permanently valuable records, the
declassifying agency shall also determine if another exemption under
section 3.3 (b) of the Order, such as the exemption that pertains to
United States foreign relations, may apply to the information. If the
declassifying agency believes such an exemption may apply, it should
consult with any other concerned agencies in making its
declassification determination. The declassifying agency or the
Department of State, as appropriate, may consult with the foreign
government(s) prior to declassification.
(g) Determining when information is subject to automatic
declassification. The ``date of the information's origin'' or ``the
information's origin,'' as used in the Order and this part, pertains to
the date that specific information, which is contemporaneously or
subsequently classified, is first recorded in an agency's records, or
in presidential historical materials, presidential records or donated
historical materials. The following examples illustrate this process:
Example 1. An agency first issues a classification guide on the
F-99 aircraft on October 20, 1995. The guide states that the fact
that the F-99 aircraft has a maximum velocity of 500 m.p.h. shall be
classified at the ``Secret'' level for a period of ten years. A
document dated July 10, 1999, is classified because it includes the
maximum velocity of the F-99. The document should be marked for
declassification on October 20, 2005, ten years after the specific
information was first recorded in the guide, not on July 10, 2009,
ten years after the derivatively classified document was created.
Example 2. An agency classification guide issued on October 20,
1995, states that the maximum velocity of any fighter aircraft shall
be classified at the ``Secret'' level for a period of ten years. The
agency first records the specific maximum velocity of the new F-88
aircraft on July 10, 1999. The document should be marked for
declassification on July 10, 2009, ten years after the specific
information is first recorded, and not on October 20, 2005, ten
years after the date of the guide's generic instruction. Subsequent
documents containing this information would be marked for
declassification 10 years from the date of the document.
Sec. 2001.13 Classification prohibitions and limitations [1.7].
(a) In making the decision to reclassify information that has been
declassified and released to the public under proper authority, the
agency head or deputy agency head must determine in writing that
reclassification of the information is necessary in the interest of the
national security.
(1) In addition, the agency must deem the information to be
reasonably recoverable which means that:
(i) Most individual recipients or holders are known and can be
contacted and all forms of the information to be reclassified can be
retrieved from them and
(ii) If the information has been made available to the public via
means such as Government archives or reading rooms, it is withdrawn
from public access.
(2) The declassification and release of information under proper
authority means that the agency originating the information authorized
the declassification and release of the information.
(b) Once the reclassification action has occurred, it must be
reported to ISOO within 30 days. The notification must include how the
``reasonably recoverable'' decision was made, including the number of
recipients or holders, how the information was retrieved and how the
recipients or holders were briefed.
(c) Any recipients or holders of the reclassified information who
have current security clearances shall be appropriately briefed about
their continuing legal obligations and responsibilities to protect this
information from unauthorized disclosure. The recipients or holders who
do not have security clearances shall, to the extent practicable, be
appropriately briefed about the reclassification of the information
that they have had access to, their obligation not to disclose the
information, and be requested to sign an acknowledgement of this
briefing.
(d) The reclassified information must be appropriately marked and
safeguarded. The markings should include the reclassification authority
and the date of the action. Apply other markings as provided in subpart
B of this part.
Sec. 2001.14 Classification challenges [1.8].
(a) Challenging classification. Authorized holders wishing to
challenge the classification status of information shall present such
challenges to an original classification authority with jurisdiction
over the information. An authorized holder is any individual, including
an individual external to the agency, who has been granted access to
specific classified information in accordance with the provisions of
the Order to include the special conditions set forth in section 4.1(h)
of the Order. A formal challenge under this provision must be in
writing, but need not be any more specific than to question why
information is or is not classified, or is classified at a certain
level.
(b) Agency procedures. (1) Because the Order encourages authorized
holders to challenge classification as a means for promoting proper and
thoughtful classification actions,
[[Page 55171]]
agencies shall ensure that no retribution is taken against any
authorized holders bringing such a challenge in good faith.
(2) Agencies shall establish a system for processing, tracking and
recording formal classification challenges made by authorized holders.
Agencies shall consider classification challenges separately from
Freedom of Information Act or other access requests, and shall not
process such challenges in turn with pending access requests.
(3) The agency shall provide an initial written response to a
challenge within 60 days. If the agency is unable to respond to the
challenge within 60 days, the agency must acknowledge the challenge in
writing, and provide a date by which the agency will respond. The
acknowledgment must include a statement that if no agency response is
received within 120 days, the challenger has the right to forward the
challenge to the Interagency Security Classification Appeals Panel
(ISCAP) for a decision. The challenger may also forward the challenge
to the ISCAP if an agency has not responded to an internal appeal
within 90 days of the agency's receipt of the appeal. Agency responses
to those challenges it denies shall include the challenger's appeal
rights to the ISCAP.
(4) Whenever an agency receives a classification challenge to
information that has been the subject of a challenge within the past
two years, or that is the subject of pending litigation, the agency is
not required to process the challenge beyond informing the challenger
of this fact and of the challenger's appeal rights, if any.
(c) Additional considerations. (1) Challengers and agencies shall
attempt to keep all challenges, appeals and responses unclassified.
However, classified information contained in a challenge, an agency
response, or an appeal shall be handled and protected in accordance
with the Order and its implementing directives. Information being
challenged for classification shall remain classified unless and until
a final decision is made to declassify it.
(2) The classification challenge provision is not intended to
prevent an authorized holder from informally questioning the
classification status of particular information. Such informal
inquiries should be encouraged as a means of holding down the number of
formal challenges.
Sec. 2001.15 Classification guides [2.2].
(a) Preparation of classification guides. Originators of
classification guides are encouraged to consult users of guides for
input when developing or updating guides. When possible, originators of
classification guides are encouraged to communicate within their
agencies and with other agencies that are developing guidelines for
similar activities to ensure the consistency and uniformity of
classification decisions. Each agency shall maintain a list of its
classification guides in use.
(b) General content of classification guides. Classification guides
shall, at a minimum:
(1) Identify the subject matter of the classification guide;
(2) Identify the original classification authority by name or
personal identifier, and position;
(3) Identify an agency point-of-contact or points-of-contact for
questions regarding the classification guide;
(4) Provide the date of issuance or last review;
(5) State precisely the elements of information to be protected;
(6) State which classification level applies to each element of
information, and, when useful, specify the elements of information that
are unclassified;
(7) State, when applicable, special handling caveats;
(8) Prescribe declassification instructions or the exemption
category from automatic declassification at 25 years, as approved by
the ISCAP under section 3.3(d) of the Order and listed in Sec.
2001.21(e) of subpart B, for each element of information; and
(9) State a concise reason for classification which, at a minimum,
cites the applicable classification category or categories in section
1.4 of the Order.
(c) Dissemination of classification guides. Classification guides
shall be disseminated as widely as necessary to ensure the proper and
uniform derivative classification of information.
(d) Reviewing and updating classification guides.
(1) Classification guides, including guides created under prior
orders, shall be reviewed and updated as circumstances require, but, in
any event, at least once every five years. Updated instructions for
guides first created under prior orders shall comply with the
requirements of the Order and this part.
(2) Originators of classification guides are encouraged to consult
the users of guides for input when reviewing or updating guides. Also,
users of classification guides are encouraged to notify the originator
of the guide when they acquire information that suggests the need for
change in the instructions contained in the guide.
Subpart B--Identification and Markings
Sec. 2001.20 General [1.6].
A uniform security classification system requires that standard
markings be applied to classified information. Except in extraordinary
circumstances, or as approved by the Director of ISOO, the marking of
classified information created after September 22, 2003, shall not
deviate from the following prescribed formats. If markings cannot be
affixed to specific classified information or materials, the originator
shall provide holders or recipients of the information with written
instructions for protecting the information. Markings shall be
uniformly and conspicuously applied to leave no doubt about the
classified status of the information, the level of protection required,
and the duration of classification.
Sec. 2001.21 Original classification [1.6(a)].
(a) Primary markings. On the face of each originally classified
document, regardless of the media, the original classification
authority shall apply the following markings.
(1) Classification authority. The name or personal identifier, and
position title of the original classification authority shall appear on
the ``Classified By'' line. An example might appear as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
or
Classified By: IDIMNO1, Chief, Division 5, Department of
Good Works, Office of Administration
(2) Agency and office of origin. If not otherwise evident, the
agency and office of origin shall be identified and follow the name on
the ``Classified By'' line. An example might appear as:
Classified By: David Smith, Chief, Division 5 Department of Good
Works, Office of Administration.
(3) Reason for classification. The original classification
authority shall identify the reason(s) for the decision to classify.
The original classification authority shall include, at a minimum, a
brief reference to the pertinent classification category(ies), or the
number 1.4 plus the letter(s) that corresponds to that classification
category in section 1.4 of the Order.
(i) These categories, as they appear in the Order, are as follows:
(A) Military plans, weapons systems, or operations;
(B) Foreign government information;
[[Page 55172]]
(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.
(ii) An example might appear as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: Vulnerabilities or capabilities of plans relating to the
national security
or
Reason: 1.4(g)
(iii) When the reason for classification is not apparent from the
content of the information, e.g., classification by compilation, the
original classification authority shall provide a more detailed
explanation of the reason for classification.
(4) Declassification instructions. The duration of the original
classification decision shall be placed on the ``Declassify On'' line.
The original classification authority will apply one of the following
instructions:
(i) The original classification authority will apply a date or
event for declassification that corresponds to the lapse of the
information's national security sensitivity, that is less than 10 years
from the date of the original decision. When linking the duration of
classification to a specific date or event, mark that date or event as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.4(g)
Declassify On: October 14, 2004
or
Declassify On: Completion of Operation
(ii) When a specific date or event within 10 years cannot be
established, the original classification authority will apply the date
that is 10 years from the date of the original decision. For example,
on a document that contains information classified on October 14, 2003,
mark the ``Declassify On'' line as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.4(g)
Declassify On: October 14, 2013
(iii) Upon the determination that the information must remain
classified beyond 10 years, the original classification authority will
apply a date not to exceed 25 years from the date of the original
decision. For example, on a document that contains information
classified on October 10, 2003, mark the ``Declassify On'' line as:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.4(g)
Declassify On: October 10, 2028
(b) Overall marking. The highest level of classified information
contained in a document shall appear in a way that will distinguish it
clearly from the informational text.
(1) Conspicuously place the overall classification at the top and
bottom of the outside of the front cover (if any), on the title page
(if any), on the first page, and on the outside of the back cover (if
any).
(2) For documents containing information classified at more than
one level, the overall marking shall be the highest level. For example,
if a document contains some information marked ``Secret'' and other
information marked ``Confidential,'' the overall marking would be
``Secret.''
(3) Each interior page of a classified document shall be marked at
the top and bottom either with the highest level of classification of
information contained on that page, including the designation
``Unclassified'' when it is applicable, or with the highest overall
classification of the document.
(c) Portion marking. Each portion of a document, ordinarily a
paragraph, but including subjects, titles, graphics and the like, shall
be marked to indicate its classification level by placing a
parenthetical symbol immediately preceding or following the portion to
which it applies.
(1) To indicate the appropriate classification level, the symbols
``(TS)'' for Top Secret, ``(S)'' for Secret, ``(C)'' for Confidential,
and ``(U)'' for Unclassified shall be used.
(2) Each classified portion of a document marked exempt from
automatic declassification shall be exempted unless the original
classification authority indicates otherwise on the document.
(3) An agency head or senior agency official may request a waiver
from the portion marking requirement for a specific category of
information. Such a request shall be submitted to the Director of ISOO
and should include the reasons that the benefits of portion marking are
outweighed by other factors. Statements citing administrative burden
alone will ordinarily not be viewed as sufficient grounds to support a
waiver.
(d) Classification extensions. (1) An original classification
authority may extend the duration of classification for up to 25 years
from the date of the information's origin for information contained in
records determined to be permanently valuable.
(2) The ``Declassify On'' line shall be revised to include the new
declassification instructions, and shall include the identity of the
person authorizing the extension and the date of the action.
(3) The office of origin shall make reasonable attempts to notify
all holders of such information. Classification guides shall be updated
to reflect such revisions.
(4) An example of an extended duration of classification may appear
as follows for a document dated December 1, 2003 with a
declassification date of December 1, 2015:
Classified By: David Smith, Chief, Division 5, Department of Good
Works, Office of Administration
Reason: 1.4(g)
Declassify On: Classification extended on December 1, 2005, until
December 1, 2028, by David Jones, Chief, Division 5
(e) Marking information exempted from automatic declassification at
25 years. (1) When an agency head or senior agency official exempts
permanently valuable information from automatic declassification at 25
years, the ``Declassify On'' line shall be revised to include the
symbol ``25X'' plus a brief reference to the pertinent exemption
category(ies) or the number(s) that corresponds to that category(ies)
in section 3.3(b) of the Order. Other than when the exemption pertains
to the identity of a confidential human source, or a human intelligence
source, the revised ``Declassify On'' line shall also include the new
date or event for declassification. The marking for an exemption for
the identity of a confidential human source or a human intelligence
source shall be ``25X1-human.'' This marking denotes that this specific
information is not subject to automatic declassification.
(2) The pertinent exemptions, using the language of section 3.3(b)
of the Order, are:
25X1: reveal the identity of a confidential human source, or a
human intelligence source, or reveal information about the
application of an intelligence source or method;
[[Page 55173]]
25X2: reveal information that would assist in the development or
use of weapons of mass destruction;
25X3: reveal information that would impair U.S. cryptologic
systems or activities;
25X4: reveal information that would impair the application of
state-of-the-art technology within a U.S. weapon system;
25X5: reveal actual U.S. military war plans that remain in
effect;
25X6: reveal information, including foreign government
information, that would seriously and demonstrably impair relations
between the United States and a foreign government, or seriously and
demonstrably undermine ongoing diplomatic activities of the United
States;
25X7: reveal information that would clearly and demonstrably
impair the current ability of United States Government officials to
protect the President, Vice President, and other protectees for whom
protection services, in the interest of the national security, are
authorized;
25X8: reveal information that would seriously and demonstrably
impair current national security emergency preparedness plans or
reveal current vulnerabilities of systems, installations,
infrastructures, or projects relating to the national security; or
25X9: violate a statute, treaty, or international agreement.
(3) The pertinent portion of the marking would appear as:
Declassify On: 25X-State-of-the-art technology within a U.S. weapon
system, October 1, 2020
or
Declassify On: 25X4, October 1, 2020
(4) Documents should not be marked with a ``25X'' marking until the
agency has been informed that the President or the Interagency Security
Classification Appeals Panel concurs with the proposed exemption.
Agencies that have submitted proposed exemptions or a declassification
guide to the ISCAP may mark documents with ``25X'' categories, while
waiting for ISCAP concurrence, unless otherwise notified by the Panel's
Executive Secretary.
(5) Agencies need not apply a ``25X'' marking to individual
documents contained in a file series exempted from automatic
declassification under section 3.3(c) of the Order until the individual
document is removed from the file.
Sec. 2001.22 Derivative classification [2.1].
(a) General. Information classified derivatively on the basis of
source documents or classification guides shall bear all markings
prescribed in Sec. 2001.20 and Sec. 2001.21, except as provided in
this section. Information for these markings shall be carried forward
from the source document or taken from instructions in the appropriate
classification guide.
(b) Source of derivative classification. (1) The derivative
classifier shall concisely identify the source document or the
classification guide on the ``Derived From'' line, including the agency
and, where available, the office of origin, and the date of the source
or guide. An example might appear as:
Derived From: Memo, ``Funding Problems,'' October 20, 2003, Office
of Administration, Department of Good Works
or
Derived From: CG No. 1, Department of Good Works, dated October 20,
2003
(i) When a document is classified derivatively on the basis of more
than one source document or classification guide, the ``Derived From''
line shall appear as: Derived From: Multiple Sources
(ii) The derivative classifier shall maintain the identification of
each source with the file or record copy of the derivatively classified
document. When practicable, this list should be included in or with all
copies of the derivatively classified document.
(2) A document derivatively classified on the basis of a source
document that is itself marked ``Multiple Sources'' shall cite the
source document on its ``Derived From'' line rather than the term
``Multiple Sources.'' An example might appear as:
Derived From: Report entitled, ``New Weapons,'' dated October 20,
2003, Department of Good Works, Office of Administration
(c) Reason for classification. The reason for the original
classification decision, as reflected in the source document(s) or
classification guide, is not required to be transferred in a derivative
classification action. If included, however, it shall conform to the
standards in Sec. 2001.21(a)(3).
(d) Declassification instructions. (1) The derivative classifier
shall carry forward the instructions on the ``Declassify On'' line from
the source document to the derivative document, or the duration
instruction from the classification or declassification guide.
(2) When a document is classified derivatively on the basis of more
than one source document or more than one element of a classification
guide, the ``Declassify On'' line shall reflect the longest duration of
any of its sources.
(i) When a document is classified derivatively either from a source
document(s) or a classification guide that contains the
declassification instruction, ``Originating Agency's Determination
Required,'' or ``OADR,'' or from a source document(s) or a
classification guide that contains any of the exemption markings X1
through X8. Unless otherwise instructed by the original classifier, the
derivative classifier shall carry forward:
(A) The fact that the source document(s) was marked with this
instruction; and
(B) The date of origin of the most recent source document(s),
classification guides, or specific information, as appropriate to the
circumstances.
(ii) Examples might appear as:
Declassify On: Source Marked ``OADR'', Date of source: October 20,
1990
or
Declassify On: Source Marked ``X1'', Date of source: October 20,
2000
(iii) Either of these markings will permit the determination of
when the classified information is 25 years old and, if permanently
valuable, subject to automatic declassification under section 3.3 of
the Order.
(e) Overall marking. The derivative classifier shall conspicuously
mark the classified document with the highest level of classification
of information included in the document, as provided in Sec.
2001.21(b).
(f) Portion marking. Each portion of a derivatively classified
document shall be marked in accordance with its source, and as provided
in Sec. 2001.21(c).
Sec. 2001.23 Additional requirements [1.6].
(a) Marking prohibitions. Markings other than ``Top Secret,''
``Secret,'' and ``Confidential,'' such as ``For Official Use Only,''
``Sensitive But Unclassified,'' ``Limited Official Use,'' or
``Sensitive Security Information'' shall not be used to identify
classified national security information. No other term or phrase shall
be used in conjunction with these markings, such as ``Secret
Sensitive'' or ``Agency Confidential,'' to identify classified national
security information. The terms ``Top Secret,'' ``Secret,'' and
``Confidential'' should not be used to identify non-classified
executive branch information.
(b) Agency prescribed special markings. Agencies shall refrain from
the use of special markings when they merely restate or emphasize the
principles and standards of the Order and this part. Upon request, the
senior agency official shall provide the Director of ISOO with a
written explanation for the use of agency special markings.
(c) Transmittal documents. A transmittal document shall indicate on
its face the highest classification level of any classified information
attached or enclosed. The transmittal shall also include conspicuously
on its face the following or similar instructions, as appropriate:
[[Page 55174]]
Unclassified When Classified Enclosure Removed
or
Upon Removal of Attachments, This Document is (Classification Level)
(d) Foreign government information. Documents that contain foreign
government information shall include the marking, ``This Document
Contains (indicate country of origin) Information.'' The portions of
the document that contain the foreign government information shall be
marked to indicate the government and classification level, using
accepted country code standards, e.g., ``(Country code--C).'' If the
identity of the specific government must be concealed, the document
shall be marked, ``This Document Contains Foreign Government
Information,'' and pertinent portions shall be marked ``FGI'' together
with the classification level, e.g., ``(FGI-C).'' In such cases, a
separate record that identifies the foreign government shall be
maintained in order to facilitate subsequent declassification actions.
When classified records are transferred to the National Archives and
Records Administration for storage or archival purposes, the
accompanying documentation shall, at a minimum, identify the boxes that
contain foreign government information. If the fact that information is
foreign government information must be concealed, the markings
described in this paragraph shall not be used and the document shall be
marked as if it were wholly of U.S. origin.
(e) Working papers. A working paper is defined as documents or
materials, regardless of the media, which are expected to be revised
prior to the preparation of a finished product for dissemination or
retention. Working papers containing classified information shall be
dated when created, marked with the highest classification of any
information contained in them, protected at that level, and if
otherwise appropriate, destroyed when no longer needed. When any of the
following conditions applies, working papers shall be controlled and
marked in the same manner prescribed for a finished document at the
same classification level:
(1) Released by the originator outside the originating activity;
(2) Retained more than 180 days from the date of origin; or
(3) Filed permanently.
(f) Other material. Bulky material, equipment and facilities, etc.
shall be clearly identified in a manner that leaves no doubt about the
classification status of the material, the level of protection
required, and the duration of classification. Upon a finding that
identification would itself reveal classified information, such
identification is not required. Supporting documentation for such a
finding must be maintained in the appropriate security facility.
(g) Unmarked materials. Information contained in unmarked records,
or presidential or related materials, and which pertains to the
national defense or foreign relations of the United States and has been
maintained and protected as classified information under prior orders
shall continue to be treated as classified information under the Order,
and is subject to its provisions regarding declassification.
Sec. 2001.24 Declassification markings [1.5, 1.6, 3.3].
(a) General. A uniform security classification system requires that
standard markings be applied to declassified information. Except in
extraordinary circumstances, or as approved by the Director of ISOO,
the marking of declassified information shall not deviate from the
following prescribed formats. If declassification markings cannot be
affixed to specific information or materials, (e.g., agencies using
automated information systems, special media, microfilm) the originator
shall provide holders or recipients of the information with written
instructions for marking the information. Markings shall be uniformly
and conspicuously applied to leave no doubt about the declassified
status of the information and who authorized the declassification.
(b) The following markings shall be applied to records, or copies
of records, regardless of media:
(1) The word, ``Declassified;''
(2) The name or personal identifier, and position title of the
declassification authority or declassification guide;
(3) The date of declassification; and
(4) The overall classification markings that appear on the cover
page or first page shall be lined with an ``X'' or straight line. An
example might appear as:
SECRET
Declassified by David Smith, Chief, Division 5, August 17, 2005
Subpart C--Declassification
Sec. 2001.30 Automatic declassification [3.3].
(a) General. All departments and agencies that have original
classification authority, or previously had original classification
authority, and maintain records appraised as having permanent
historical value that contain information classified by that agency
shall comply with the automatic declassification provisions of the
Order. All agencies with original classification authority shall
cooperate with NARA in managing automatic declassification of
accessioned Federal records, presidential papers and records, and
donated historical materials under the control of the Archivist of the
United States.
(b) Presidential records. The Archivist of the United States shall
establish procedures for the declassification of presidential or White
House materials transferred to the legal custody of the National
Archives of the United States or maintained in the presidential
libraries.
(c) Classified information in the custody of contractors,
licensees, certificate holders, grantees or other authorized private
organizations or individuals. Pursuant to the provisions of National
Industrial Security Program, agencies must provide security
classification/declassification guidance to such entities or
individuals who possess classified information. Agencies must also
determine if classified Federal records are held by such entities or
individuals, and if so, whether they are permanent records of
historical value and thus subject to section 3.3 of this Order. Until
such a determination has been made by an appropriate agency official,
the classified information contained in such records shall not be
subject to automatic declassification and shall be safeguarded in
accordance with the most recent security classification/
declassification guidance provided by the agency.
(d) Transferred information. In the case of classified information
transferred in conjunction with a transfer of functions, and not merely
for storage or archival purposes, the receiving agency shall be deemed
to be the originating agency.
(e) Unofficially transferred information. In the case of classified
information that is not officially transferred as described in
paragraph (d), of this section, but that originated in an agency that
has ceased to exist and for which there is no successor agency, the
Director of ISOO will designate an agency or agencies to act on
provisions of the Order, with the concurrence of the designated agency
or agencies.
(f) Processing records originated by another agency. When an agency
uncovers classified records originated by another agency that appear to
meet the criteria for the application of the automatic declassification
provisions of the Order, the finding agency should
[[Page 55175]]
alert the originating agency and seek instruction.
(g) Unscheduled records. Classified information in records that
have not been scheduled for disposal or retention by NARA is not
subject to section 3.3 of the Order. Classified information in records
that are scheduled as permanently valuable when that information is
already more than 20 years old shall be subject to the automatic
declassification provisions of section 3.3 of the Order five years from
the date the records are scheduled. Classified information in records
that are scheduled as permanently valuable when that information is
less than 20 years old shall be subject to the automatic
declassification provisions of section 3.3 of the Order when the
information is 25 years old.
(h) Foreign government information. The declassifying agency is the
agency that initially received or classified the information. When
foreign government information appears to be subject to automatic
declassification, the declassifying agency shall determine whether the
information is subject to a treaty or international agreement that
would prevent its declassification at that time. The declassifying
agency shall also determine if another exemption under section 3.3(b)
of the Order, such as the exemption that pertains to United States
foreign relations, may apply to the information. If the declassifying
agency believes such an exemption may apply, it should consult with any
other concerned agencies in making its declassification determination.
The declassifying agency or the Department of State, as appropriate,
should consult with the foreign government prior to declassification.
(i) Assistance to the Archivist of the United States. Agencies
shall consult with NARA before establishing automatic declassification
programs. Agencies shall cooperate with NARA in developing schedules
for the declassification of records in the National Archives of the
United States and the presidential libraries to ensure that
declassification is accomplished in a timely manner. NARA will provide
information about the records proposed for automatic declassification.
Agencies shall consult with NARA before reviewing records in their
holdings to ensure that appropriate procedures are established for
maintaining the integrity of the records and that NARA receives
accurate information about agency declassification actions when records
are accessioned into NARA. NARA will provide guidance to the agencies
about the requirements for notification of declassification actions on
accessioned records, box labeling, and identifying exempt information
in the records.
(j) Use of approved declassification guides. Approved
declassification guides are a basis for the exemption from automatic
declassification of specific information as provided in section 3.3(d)
of the Order. These guides must include additional pertinent detail
relating to the exemptions described in section 3.3(b) of the Order,
and follow the format required of declassification guides for
systematic review as described in Sec. 2001.32 of this part. In order
for such guides to be used in place of the identification of specific
information within individual documents, the information to be exempted
must be narrowly defined, with sufficient specificity to allow the user
to identify the information with precision. Exemptions for general
categories of information will not be acceptable. The actual items to
be exempted are specific documents. All such declassification guides
used in conjunction with section 3.3(d) of the Order must be submitted
to the Director of ISOO, serving as Executive Secretary of the
Interagency Security Classification Appeals Panel, for approval by the
Panel.
(k) Automatic declassification date. No later than December 31,
2006, all classified records that are more than 25 years old and have
been determined to have permanent historical value will be
automatically declassified whether or not the records have been
reviewed.
(l) Exemption from Automatic Declassification. Agencies may propose
to exempt from automatic declassification specific information, either
by reference to information in specific records or in the form of a
classification or declassification guide, within five years of, but not
later than 180 days before the information is subject to automatic
declassification. The agency head or senior agency official, within the
specified timeframe, shall notify the Director of ISOO, serving as the
Executive Secretary of the Interagency Security Classification Appeals
Panel, of the specific information being proposed for exemption from
automatic declassification.
(m) Delays in the onset of automatic declassification. (1)
Microforms, motion pictures, audiotapes, videotapes, or comparable
media. An agency head or senior agency official, either through its
agency's declassification plan, or within 90 days of the decision, must
notify the Director of the Information Security Oversight Office of a
decision to delay the onset of automatic declassification for
classified information contained in this type of media. Agencies may
delay the date for automatic declassification for up to five additional
years for these types of special media. Information contained in
special media that has been referred shall be automatically
declassified five years from the date of notification or 30 years from
the date of origination of the special media, whichever is longer,
unless the information has been properly exempted by the equity holding
agency under section 3.3(d) of the Order.
(2) Referred or Transferred Records. An agency head or senior
agency official, either through the agency's declassification plan or
within 90 days of the decision, must notify the Director of the
Information Security Oversight Office of a decision to delay the onset
of automatic declassification for records that have been referred or
transferred to that agency. Agencies that have records subject to
automatic declassification must identify all equities and refer them to
the appropriate agency prior to the date of automatic declassification
or, if the information has been properly exempted by the referring
agency, prior to the specific date or event for declassification under
section 3.3(d) of the Order. Information contained in records that have
been referred shall be automatically declassified three years from the
date of notification or 28 years from the date of origination of the
records, whichever is longer, unless the information has been properly
exempted by another equity holding agency under section 3.3(d) of the
Order. Agencies receiving a notification of a referral must immediately
acknowledge receipt of it. Notifying agencies must follow-up if an
acknowledgment is not received within 60 days.
(3) Newly Discovered Records. An agency head or senior agency
official must notify the Director of the Information Security Oversight
Office of any decision to delay automatic declassification no later
than 90 days, from discovery of the records. The notification should
identify the records and the anticipated date for declassification. An
agency has up to three years from the date of discovery to make a
declassification, exemption or referral determination. If other
agencies' interests or equities are identified in the newly discovered
records, those agencies will have three years from the date of
notification to complete their review and make a declassification or
exemption determination.
(n) Redaction standard. Agencies are encouraged but are not
required to redact documents that contain information that is exempt
from
[[Page 55176]]
automatic declassification under section 3.3 of the Order, especially
if the information that must remain classified comprises a relatively
small portion of the document.
(o) Restricted Data and Formerly Restricted Data. (1) Records
containing Restricted Data (RD) and Formerly Restricted Data (FRD) are
excluded from the automatic declassification requirements in section
3.3 of the Order because they are classified under the Atomic Energy
Act of 1954, as amended. Restricted Data concerns:
(i) The design, manufacture, or utilization of atomic weapons;
(ii) The production of special nuclear material, e.g., enriched
uranium or plutonium; or
(iii) The use of special nuclear material in the production of
energy.
(2) Formerly Restricted Data is information that is still
classified but which has been removed from the Restricted Data category
because it is related primarily to the military utilization of atomic
weapons.
(3) Any document marked as containing Restricted Data or Formerly
Restricted Data shall remain classified indefinitely or shall be
referred to the Department of Energy for a classification review.
Sec. 2001.31 Systematic declassification review [3.4].
(a) Listing of declassification authorities. Agencies shall
maintain a current listing of officials delegated declassification
authority by name, position, or other identifier. If possible, this
listing shall be unclassified.
(b) Responsibilities. Agencies shall establish systematic review
programs for those records containing information exempt from automatic
declassification. Agencies may also conduct systematic review of
information contained in permanently valuable records that is less than
25 years.
Sec. 2001.32 Declassification guides [3.3].
(a) Preparation of declassification guides. Declassification guides
shall be prepared to facilitate the declassification of information
contained in records determined to be of permanent historical value.
When it is sufficiently detailed and understandable, and identified for
both purposes, a classification guide may also be used as a
declassification guide.
(b) General content of declassification guides. Declassification
guides shall, at a minimum:
(1) Identify the subject matter of the declassification guide;
(2) Identify the original declassification authority by name or
personal identifier, and position;
(3) Provide the date of issuance or last review;
(4) State precisely the categories or elements of information:
(i) To be declassified;
(ii) To be downgraded; or
(iii) Not to be declassified.
(5) Identify any related files series that have been exempted from
automatic declassification pursuant to section 3.3(c) of the Order;
(6) To the extent a guide is used in conjunction with the automatic
declassification provisions in section 3.3 of the Order, state
precisely the elements of information to be exempted from
declassification to include:
(i) The appropriate exemption category listed in section 3.3(b) of
the Order, and, when citing the exemption category listed in section
3.3(b)(9) of the Order, specify the applicable statute, treaty or
international agreement; and
(ii) A date or event for declassification.
(c) External review. Agencies shall submit declassification guides
for review to the Director of ISOO. To the extent such guides are used
in conjunction with the automatic declassification provisions in
section 3.3 of the Order, the Director shall submit them for approval
by the Interagency Security Classification Appeals Panel. Agencies that
have submitted a declassification guide to the ISCAP may use the guide
while waiting for ISCAP approval, unless otherwise notified by the
Panel's Executive Secretary.
(d) Internal review and update. Agency declassification guides
shall be reviewed and updated as circumstances require, but at least
once every five years. Each agency shall maintain a list of its
declassification guides in use.
Sec. 2001.33 Mandatory review for declassification [3.5, 3.6].
(a) U.S. originated information.
(1) Receipt of requests. Each agency shall publish in the Federal
Register the identity of the person(s) or office(s) to which mandatory
declassification review requests should be addressed.
(2) Processing.
(i) Requests for classified records in the custody of the
originating agency. A valid mandatory declassification review request
need not identify the requested information by date or title of the
responsive records, but must be of sufficient specificity to allow
agency personnel to locate the records containing the information
sought with a reasonable amount of effort. In responding to mandatory
declassification review requests, agencies shall either make a prompt
declassification determination and notify the requester accordingly, or
inform the requester of the additional time needed to process the
request. Agencies shall ordinarily make a final determination within
one year from the date of receipt. When information cannot be
declassified in its entirety, agencies shall make reasonable efforts to
release, consistent with other applicable law, those declassified
portions of the requested information that constitute a coherent
segment. Upon denial of an initial request, the agency shall also
notify the requester of the right of an administrative appeal, which
must be filed within 60 days of receipt of the denial.
(ii) Requests for classified records in the custody of an agency
other than the originating agency. When an agency receives a mandatory
declassification review request for records in its possession that were
originated by another agency, it shall refer the request and the
pertinent records to the originating agency. However, if the
originating agency has previously agreed that the custodial agency may
review its records, the custodial agency shall review the requested
records in accordance with declassification guides or guidelines
provided by the originating agency. Upon receipt of a request from the
referring agency, the originating agency shall process the request in
accordance with this section. The originating agency shall communicate
its declassification determination to the referring agency.
(iii) Appeals of denials of mandatory declassification review
requests. The agency appellate authority shall normally make a
determination within 60 working days following the receipt of an
appeal. If additional time is required to make a determination, the
agency appellate authority shall notify the requester of the additional
time needed and provide the requester with the reason for the
extension. The agency appellate authority shall notify the requester in
writing of the final determination and of the reasons for any denial.
(iv) Appeals to the Interagency Security Classification Appeals
Panel. In accordance with section 5.3(c) of the Order, the Interagency
Security Classification Appeals Panel shall publish in the Federal
Register the rules and procedures for bringing mandatory
declassification appeals before it.
(b) Foreign government information. Except as provided in this
paragraph, agency heads shall process mandatory declassification review
requests for classified records containing foreign government
information in accordance
[[Page 55177]]
with this section. The declassifying agency is the agency that
initially received or classified the information. When foreign
government information is being considered for declassification, the
declassifying agency shall determine whether the information is subject
to a treaty or international agreement that would prevent its
declassification at that time. The declassifying agency or the
Department of State, as appropriate, may consult with the foreign
government(s) prior to declassification.
(c) Cryptologic and intelligence information. Mandatory
declassification review requests for cryptologic information and
information concerning intelligence activities (including special
activities) or intelligence sources or methods shall be processed
solely in accordance with special procedures issued by the Secretary of
Defense and the Director of Central Intelligence, respectively.
(d) Fees. In responding to mandatory declassification review
requests for classified records, agency heads may charge fees in
accordance with section 9701 of title 31, United States Code.
(e) Assistance to the Department of State. Heads of agencies should
assist the Department of State in its preparation of the Foreign
Relations of the United States (FRUS) series by facilitating access to
appropriate classified materials in their custody and by expediting
declassification review of documents proposed for inclusion in the
FRUS.
(f) Requests filed under mandatory declassification review and the
Freedom of Information Act. When a requester submits a request both
under mandatory review and the Freedom of Information Act (FOIA), the
agency shall require the requester to elect one process or the other.
If the requester fails to elect one or the other, the request will be
treated as a FOIA request unless the requested materials are subject
only to mandatory review.
(g) FOIA and Privacy Act requests. Agency heads shall process
requests for declassification that are submitted under the provisions
of the FOIA, as amended, or the Privacy Act of 1974, in accordance with
the provisions of those Acts.
(h) Redaction standard. Agencies shall redact documents that are
the subject of an access demand unless the overall meaning or
informational value of the document is clearly distorted by redaction.
Sec. 2001.34 Referrals [3.3, 3.6].
(a) Approaches to declassification. The exchange of information
between agencies and the final disposition of documents are affected by
differences in the approaches to declassification. To facilitate this
process, the Information Security Oversight Office, in coordination
with the National Archives and Records Administration and the other
concerned agencies, shall standardize the referral process, including
the development of standard forms. Agencies conducting pass/fail
reviews may refer documents to agencies that redact. Actions taken by
the sender and the recipient may differ as noted below:
(1) When a referral is from a pass/fail agency to a pass/fail
agency, both agencies conduct a pass/fail review and annotate the
classification or declassification decisions in accordance with NARA
guidelines. The receiving agency should also notify the referring
agency that the review has been completed.
(2) When a referral is from a pass/fail agency to a redaction
agency, the redaction agency is only required to conduct pass/fail
reviews of documents referred by a pass/fail agency. If the redaction
agency wishes to redact the document, it must do so on a copy of the
referred document, then file the redacted version with the original.
The redaction agency should also notify the pass/fail referring agency
that the review has been completed.
(3) Referrals from redaction agencies to pass/fail agencies will be
in the form of document copies. In the course of review the pass/fail
agency may either pass or fail the document or its equities. The pass/
fail agency may review and redact failed documents when practicable.
(4) Referrals between redaction agencies may result in redaction of
any exemptible equities.
(b) Referral decisions. When agencies review documents or folders
only to the point at which exemptible information is identified, they
must take one of the following actions to protect any other
unidentified equities that may be in the unreviewed portions of the
document:
(1) Complete a review of the document or folder to identify other
agency equities and notify those agencies; or
(2) Exempt the document or folder and assign a Date/Event for
automatic declassification, before which time they must provide timely
notification to any equity agencies. Agencies reviewing a previously
exempted document or folder may apply a different exemption and new
Date/Event for automatic declassification based upon the content of
previously unreviewed equities.
(c) Unmarked or improperly marked documents. Agencies that find
other agency information in unmarked or improperly marked documents may
apply a different exemption and new Date/Event for automatic
declassification based upon the content of previously unreviewed
equities.
(d) Means of Referral. The reviewing agency must communicate
referrals to equity agencies. They may use either of the methods below:
(1) Full text referral. Agencies will make referrals in a format
mutually agreed to by the referring and receiving agencies. Each
referral request will clearly identify the referring agency and may
identify the sections or areas of the document containing the receiving
agency's equities and the requested action; or
(2) Tab and notify.
(i) Agencies will use NARA-approved tabs and will clearly indicate
on them the agency or agencies having equity in the document(s) held
within the tabs. Successive documents with identical equity(ies) may be
grouped within a single tab. Documents with differing equities, or non-
successive documents, must be tabbed individually. In general, document
order may not be changed to facilitate tabbing. In cases where there
are so many tabbed documents in a box that tabbing documents
individually would seriously overfill the box, the reviewer may group
documents under a single tab for each agency equity at the back of each
file folder, or back of the box if there is no file folder. If this
becomes necessary, the reviewer shall prepare a folder/document list or
consult with NARA so that original order can be restored during
archival processing.
(ii) Agency notification must include, at a minimum, the following
information: the approximate volume of equity, the highest
classification of documents, the exact location (to box level) of the
documents so marked, and instructions related to access to the boxes
containing the documents.
(iii) Agencies will acknowledge receipt of referral notifications.
They should notify the agency that placed the tabs that the review is
complete. Any additional equities noted in the review must be annotated
on the tab and brought to the attention of the agency that tabbed the
document so the tabbing agency can notify those newly identified
agencies.
(iv) Equity Notification Database. Agencies may also use an
electronic notification database as a means of notification. Use of
such a database, when available, will constitute referral and
acknowledgement of referrals received under the Order.
[[Page 55178]]
Subpart D--Safeguarding
Sec. 2001.40 General [4.1].
(a) Classified information, regardless of its form, shall be
afforded a level of protection against loss or unauthorized disclosure
commensurate with its level of classification.
(b) Except for NATO and other foreign government information,
agency heads or their designee(s) (hereinafter referred to as agency
heads) may adopt alternative measures, using risk management
principles, to protect against loss or unauthorized disclosure when
necessary to meet operational requirements. When alternative measures
are used for other than temporary, unique situations, the alternative
measures shall be documented and provided to the Director, Information
Security Oversight Office (ISOO), to facilitate that office's oversight
responsibility. Upon request, the description shall be provided to any
other agency with which classified information or secure facilities are
shared. In all cases, the alternative measures shall provide protection
sufficient to reasonably deter and detect loss or unauthorized
disclosure. Risk management factors considered will include
sensitivity, value and crucial nature of the information; analysis of
known and anticipated threats; vulnerability; and countermeasure
benefits versus cost.
(c) NATO classified information shall be safeguarded in compliance
with U.S. Security Authority for NATO Instructions I-69 and I-70. Other
foreign government information shall be safeguarded as described herein
for U.S. information except as required by an existing treaty,
agreement or other obligation (hereinafter, obligation). When the
information is to be safeguarded pursuant to an existing obligation,
the additional requirements at Sec. 2001.53 may apply to the extent
they were required in the obligation as originally negotiated or are
agreed upon during amendment. Negotiations on new obligations or
amendments to existing obligations shall strive to bring provisions for
safeguarding foreign government information into accord with standards
for safeguarding U.S. information as described in this Directive.
(d) An agency head who originates or handles classified information
shall refer any matter pertaining to the implementation of this
Directive that he or she cannot resolve to the Director, ISOO for
resolution.
Sec. 2001.41 Responsibilities of holders [4.1].
Authorized persons who have access to classified information are
responsible for:
(a) Protecting it from persons without authorized access to that
information, to include securing it in approved equipment or facilities
whenever it is not under the direct control of an authorized person;
(b) Meeting safeguarding requirements prescribed by the agency
head; and
(c) Ensuring that classified information is not communicated over
unsecured voice or data circuits, in public conveyances or places, or
in any other manner that permits interception by unauthorized persons.
Sec. 2001.42 Standards for security equipment [4.1].
The Administrator of General Services shall, in coordination with
agency heads originating classified information, establish and publish
uniform standards, specifications and supply schedules for security
equipment designed to provide secure storage for and destruction of
classified information. Whenever new security equipment is procured, it
shall be in conformance with the standards and specifications
established by the Administrator of General Services, and shall, to the
maximum extent possible, be of the type available through the Federal
Supply System.
Sec. 2001.43 Storage [4.1].
(a) General. Classified information shall be stored only under
conditions designed to deter and detect unauthorized access to the
information. Storage at overseas locations shall be at U.S. Government
controlled facilities unless otherwise stipulated in treaties or
international agreements. Overseas storage standards for facilities
under a Chief of Mission are promulgated under the authority of the
Overseas Security Policy Board.
(b) Requirements for physical protection. (1) Top Secret. Top
Secret information shall be stored by one of the following methods:
(i) In a GSA-approved security container with one of the following
supplemental controls:
(A) Continuous protection by cleared guard or duty personnel;
(B) Inspection of the security container every two hours by cleared
guard or duty personnel;
(C) An Intrusion Detection System (IDS) with the personnel
responding to the alarm arriving within 15 minutes of the alarm
annunciation [Acceptability of Intrusion Detection Equipment (IDE): All
IDE must be UL-listed (or equivalent as defined by the agency head) and
approved by the agency head. Government and proprietary installed,
maintained, or furnished systems are subject to approval only by the
agency head.]; or
(D) Security-In-Depth conditions, provided the GSA-approved
container is equipped with a lock meeting Federal Specification FF-L-
2740.
(ii) An open storage area constructed in accordance with Sec.
2001.43, which is equipped with an IDS with the personnel responding to
the alarm arriving within 15 minutes of the alarm annunciation if the
area is covered by Security-In-Depth or a five minute alarm response if
it is not.
(iii) An IDS-equipped vault with the personnel responding to the
alarm arriving within 15 minutes of the alarm annunciation.
(2) Secret. Secret information shall be stored by one of the
following methods:
(i) In the same manner as prescribed for Top Secret information;
(ii) In a GSA-approved security container or vault without
supplemental controls; or
(iii) In either of the following:
(A) Until October 1, 2012, in a non-GSA-approved container having a
built-in combination lock or in a non-GSA-approved container secured
with a rigid metal lockbar and an agency head approved padlock; or
(B) An open storage area. In either case, one of the following
supplemental controls is required:
(1) The location that houses the container or open storage area
shall be subject to continuous protection by cleared guard or duty
personnel;
(2) Cleared guard or duty personnel shall inspect the security
container or open storage area once every four hours; or
(3) An IDS (per paragraph (b)(1)(i)(C) of this section) with the
personnel responding to the alarm arriving within 30 minutes of the
alarm annunciation. [In addition to one of these supplemental controls
specified in paragraphs (b)(2)(iii)(B)(1) through (3), security-in-
depth as determined by the agency head is required as part of the
supplemental controls for a non-GSA-approved container or open storage
area storing Secret information.]
(3) Confidential. Confidential information shall be stored in the
same manner as prescribed for Top Secret or Secret information except
that supplemental controls are not required.
(c) Combinations. Use and maintenance of dial-type locks and other
changeable combination locks.
(1) Equipment in service. The classification of the combination
shall
[[Page 55179]]
be the same as the highest level of classified information that is
protected by the lock. Combinations to dial-type locks shall be changed
only by persons having a favorable determination of eligibility for
access to classified information and authorized access to the level of
information protected unless other sufficient controls exist to prevent
access to the lock or knowledge of the combination. Combinations shall
be changed under the following conditions:
(i) Whenever such equipment is placed into use;
(ii) Whenever a person knowing the combination no longer requires
access to it unless other sufficient controls exist to prevent access
to the lock; or
(iii) Whenever a combination has been subject to possible
unauthorized disclosure.
(2) Equipment out of service. When security equipment is taken out
of service, it shall be inspected to ensure that no classified
information remains and the built-in combination lock shall be reset to
a standard combination.
(d) Key operated locks. When special circumstances exist, an agency
head may approve the use of key operated locks for the storage of
Secret and Confidential information. Whenever such locks are used,
administrative procedures for the control and accounting of keys and
locks shall be established.
Sec. 2001.44 Information controls [4.1, 4.2].
(a) General. Agency heads shall establish a system of control
measures which assure that access to classified information is limited
to authorized persons. The control measures shall be appropriate to the
environment in which the access occurs and the nature and volume of the
information. The system shall include technical, physical, and
personnel control measures. Administrative control measures which may
include records of internal distribution, access, generation,
inventory, reproduction, and disposition of classified information
shall be required when technical, physical and personnel control
measures are insufficient to deter and detect access by unauthorized
persons.
(b) Reproduction. Reproduction of classified information shall be
held to the minimum consistent with operational requirements. The
following additional control measures shall be taken:
(1) Reproduction shall be accomplished by authorized persons
knowledgeable of the procedures for classified reproduction;
(2) Unless restricted by the originating Agency, Top Secret,
Secret, and Confidential information may be reproduced to the extent
required by operational needs, or to facilitate review for
declassification;
(3) Copies of classified information shall be subject to the same
controls as the original information; and
(4) The use of technology that prevents, discourages, or detects
the unauthorized reproduction of classified information is encouraged.
Sec. 2001.45 Transmission [4.1, 4.2].
(a) General. Classified information shall be transmitted and
received in an authorized manner which ensures that evidence of
tampering can be detected, that inadvertent access can be precluded,
and that provides a method which assures timely delivery to the
intended recipient. Persons transmitting classified information are
responsible for ensuring that intended recipients are authorized
persons with the capability to store classified information in
accordance with this Directive.
(b) Dispatch. Agency heads shall establish procedures which ensure
that:
(1) All classified information physically transmitted outside
facilities shall be enclosed in two layers, both of which provide
reasonable evidence of tampering and which conceal the contents. The
inner enclosure shall clearly identify the address of both the sender
and the intended recipient, the highest classification level of the
contents, and any appropriate warning notices. The outer enclosure
shall be the same except that no markings to indicate that the contents
are classified shall be visible. Intended recipients shall be
identified by name only as part of an attention line. The following
exceptions apply:
(i) If the classified information is an internal component of a
packable item of equipment, the outside shell or body may be considered
as the inner enclosure provided it does not reveal classified
information;
(ii) If the classified information is an inaccessible internal
component of a bulky item of equipment, the outside or body of the item
may be considered to be a sufficient enclosure provided observation of
it does not reveal classified information;
(iii) If the classified information is an item of equipment that is
not reasonably packable and the shell or body is classified, it shall
be concealed with an opaque enclosure that will hide all classified
features;
(iv) Specialized shipping containers, including closed cargo
transporters or diplomatic pouch, may be considered the outer enclosure
when used; and
(v) When classified information is hand-carried outside a facility,
a locked briefcase may serve as the outer enclosure.
(2) Couriers and authorized persons designated to hand-carry
classified information shall ensure that the information remains under
their constant and continuous protection and that direct point-to-point
delivery is made. As an exception, agency heads may approve, as a
substitute for a courier on direct flights, the use of specialized
shipping containers that are of sufficient construction to provide
evidence of forced entry, are secured with a high security padlock, are
equipped with an electronic seal that would provide evidence of
surreptitious entry and are handled by the carrier in a manner to
ensure that the container is protected until its delivery is completed.
(c) Transmission methods within and between the U.S., Puerto Rico,
or a U.S. possession or trust territory.
(1) Top Secret. Top Secret information shall be transmitted by
direct contact between authorized persons; the Defense Courier Service
or an authorized government agency courier service; a designated
courier or escort with Top Secret clearance; electronic means over
approved communications systems. Under no circumstances will Top Secret
information be transmitted via the U.S. Postal Service.
(2) Secret. Secret information shall be transmitted by:
(i) Any of the methods established for Top Secret; U.S. Postal
Service Express Mail and U.S. Postal Service Registered Mail, as long
as the Waiver of Signature and Indemnity block, item 11-B, on the U.S.
Postal Service Express Mail Label shall not be completed; and cleared
commercial carriers or cleared commercial messenger services. The use
of street-side mail collection boxes is strictly prohibited; and
(ii) Agency heads may, on an exceptional basis and when an urgent
requirement exists for overnight delivery within the U.S. and its
Territories, authorize the use of the current holder of the General
Services Administration contract for overnight delivery of information
for the Executive Branch as long as applicable postal regulations (39
CFR chapter I) are met. Any such delivery service shall be U.S. owned
and operated, provide automated in-transit tracking of the classified
information, and ensure package integrity during transit. The contract
shall require cooperation with government inquiries in the event of a
loss, theft, or possible unauthorized disclosure of classified
information. The
[[Page 55180]]
sender is responsible for ensuring that an authorized person will be
available to receive the delivery and verification of the correct
mailing address. The package may be addressed to the recipient by name.
The release signature block on the receipt label shall not be executed
under any circumstances. The use of external (street side) collection
boxes is prohibited. Classified Communications Security Information,
NATO, and foreign government information shall not be transmitted in
this manner.
(3) Confidential. Confidential information shall be transmitted by
any of the methods established for Secret information or U.S. Postal
Service Certified Mail. In addition, when the recipient is a U.S.
Government facility, the Confidential information may be transmitted
via U.S. First Class Mail. However, Confidential information shall not
be transmitted to government contractor facilities via first class
mail. When first class mail is used, the envelope or outer wrapper
shall be marked to indicate that the information is not to be
forwarded, but is to be returned to sender. The use of street-side mail
collection boxes is prohibited.
(d) Transmission methods to a U.S. Government facility located
outside the U.S. The transmission of classified information to a U.S.
Government facility located outside the 50 states, the District of
Columbia, the Commonwealth of Puerto Rico, or a U.S. possession or
trust territory, shall be by methods specified above for Top Secret
information or by the Department of State Courier Service. U.S.
Registered Mail through Military Postal Service facilities may be used
to transmit Secret and Confidential information provided that the
information does not at any time pass out of U.S. citizen control nor
pass through a foreign postal system.
(e) Transmission of U.S. classified information to foreign
governments. Such transmission shall take place between designated
government representatives using the transmission methods described in
paragraph (d) of this section. When classified information is
transferred to a foreign government or its representative a signed
receipt is required.
(f) Receipt of classified information. Agency heads shall establish
procedures which ensure that classified information is received in a
manner which precludes unauthorized access, provides for inspection of
all classified information received for evidence of tampering and
confirmation of contents, and ensures timely acknowledgment of the
receipt of Top Secret and Secret information by an authorized
recipient. As noted in paragraph (e) of this section, a receipt
acknowledgment of all classified material transmitted to a foreign
government or its representative is required.
Sec. 2001.46 Destruction [4.1, 4.2].
(a) General. Classified information identified for destruction
shall be destroyed completely to preclude recognition or reconstruction
of the classified information in accordance with procedures and methods
prescribed by agency heads. The methods and equipment used to routinely
destroy classified information include burning, cross-cut shredding,
wet-pulping, melting, mutilation, chemical decomposition or
pulverizing.
(b) Technical guidance. Technical guidance concerning appropriate
methods, equipment, and standards for the destruction of classified
electronic media and processing equipment components may be obtained by
submitting all pertinent information to the National Security Agency/
Central Security Service, Directorate for Information Systems Security,
Fort Meade, MD 20755. Specifications concerning appropriate equipment
and standards for the destruction of other storage media may be
obtained from the GSA.
Sec. 2001.47 Loss, possible compromise or unauthorized disclosure
[4.1, 4.2].
(a) General. Any person who has knowledge that classified
information has been or may have been lost, possibly compromised or
disclosed to an unauthorized person(s) shall immediately report the
circumstances to an official designated for this purpose.
(b) Cases involving information originated by a foreign government
or another U.S. government agency. Whenever a loss or possible
unauthorized disclosure involves the classified information or
interests of a foreign government agency, or another government agency,
the department or agency in which the compromise occurred shall advise
the other government agency or foreign government of the circumstances
and findings that affect their information or interests. However,
foreign governments normally will not be advised of any security system
vulnerabilities that contributed to the compromise.
(c) Inquiry/investigation and corrective actions. Agency heads
shall establish appropriate procedures to conduct an inquiry/
investigation of a loss, possible compromise or unauthorized disclosure
of classified information, in order to implement appropriate corrective
actions, which may include disciplinary sanctions, and to ascertain the
degree of damage to national security.
(d) Department of Justice and legal counsel coordination. Agency
heads shall establish procedures to ensure coordination with legal
counsel whenever a formal action, beyond a reprimand, is contemplated
against any person believed responsible for the unauthorized disclosure
of classified information. Whenever a criminal violation appears to
have occurred and a criminal prosecution is contemplated, agency heads
shall use established procedures to ensure coordination with--
(1) The Department of Justice, and
(2) The legal counsel of the agency where the individual
responsible is assigned or employed.
Sec. 2001.48 Special access programs [4.3].
(a) General. The safeguarding requirements of this Directive may be
enhanced for information in Special Access Programs (SAP), established
under the provisions of Section 4.3 of E.O. 12958, as amended, by the
agency head responsible for creating the SAP. Agency heads shall ensure
that the enhanced controls are based on an assessment of the value,
critical nature, and vulnerability of the information.
(b) Significant interagency support requirements. Agency heads must
ensure that a Memorandum of Agreement/Understanding (MOA/MOU) is
established for each Special Access Program that has significant
interagency support requirements, to appropriately and fully address
support requirements and supporting agency oversight responsibilities
for that SAP.
Sec. 2001.49 Telecommunications automated information systems and
network security [4.1, 4.2].
Each agency head shall ensure that classified information
electronically accessed, processed, stored or transmitted is protected
in accordance with applicable national policy issuances identified in
the Index of National Security Telecommunications and Information
Systems Security Issuances (NSTISSI) and Director of Central
Intelligence Directive (DCID) 6/3.
Sec. 2001.50 Technical security [4.1].
Based upon the risk management factors referenced in Sec. 2001.40
of this directive agency heads shall determine the requirement for
technical countermeasures such as Technical Surveillance
Countermeasures (TSCM) and TEMPEST necessary to detect or deter
exploitation of classified
[[Page 55181]]
information through technical collection methods and may apply
countermeasures in accordance with NSTISSI 7000, entitled Tempest
Countermeasures for Facilities, and SPB Issuance 6-97, entitled
National Policy on Technical Surveillance Countermeasures.
Sec. 2001.51 Emergency authority [4.2].
(a) Agency heads or any designee may prescribe special provisions
for the dissemination, transmission, safeguarding and destruction of
classified information during certain emergency situations.
(b) In emergency situations, in which there is an imminent threat
to life or in defense of the homeland, agency heads or designees may
authorize the disclosure of classified information to an individual or
individuals who are otherwise not routinely eligible for access under
the following conditions:
(1) Limit the amount of classified information disclosed to the
absolute minimum to achieve the purpose;
(2) Limit the number of individuals who receive it;
(3) Transmit the classified information via approved Federal
Government channels by the most secure and expeditious method to
include those required in subpart C of this directive, or other means
deemed necessary when time is of the essence;
(4) Provide instructions about what specific information is
classified, how it should be safeguarded; physical custody of
classified information must remain with an authorized Federal
Government entity, in all but the most extraordinary circumstances;
(5) Provide appropriate briefings to the recipients on their
responsibilities not to disclose the information and obtain a signed
nondisclosure agreement;
(6) Within 72 hours of the disclosure of classified information, or
the earliest opportunity that the emergency permits, but no later than
30 days after the release, the disclosing authority must notify the
originating agency of the information by providing the following
information:
(i) A description of the disclosed information;
(ii) To whom the information was disclosed;
(iii) How the information was disclosed and transmitted;
(iv) Reason for the emergency release;
(v) How the information is being safeguarded; and
(vi) A description of the briefings provided and a copy of the
nondisclosure agreements signed.
Sec. 2001.52 Open storage areas [4.1].
This section describes the construction standards for open storage
areas.
(a) Construction. The perimeter walls, floors, and ceiling will be
permanently constructed and attached to each other. All construction
must be done in a manner as to provide visual evidence of unauthorized
penetration.
(b) Doors. Doors shall be constructed of wood, metal, or other
solid material. Entrance doors shall be secured with a built-in GSA-
approved three-position combination lock. When special circumstances
exist, the agency head may authorize other locks on entrance doors for
Secret and Confidential storage. Doors other than those secured with
the aforementioned locks shall be secured from the inside with either
deadbolt emergency egress hardware, a deadbolt, or a rigid wood or
metal bar which extends across the width of the door, or by other means
approved by the agency head.
(c) Vents, ducts, and miscellaneous openings. All vents, ducts, and
similar openings in excess of 96 square inches (and over 6 inches in
its smallest dimension) that enter or pass through an open storage area
shall be protected with either bars, expanded metal grills, commercial
metal sounds baffles, or an intrusion detection system.
(d) Windows.
(1) All windows which might reasonably afford visual observation of
classified activities within the facility shall be made opaque or
equipped with blinds, drapes, or other coverings.
(2) Windows at ground level will be constructed from or covered
with materials which provide protection from forced entry. The
protection provided to the windows need be no stronger than the
strength of the contiguous walls. Open storage areas which are located
within a controlled compound or equivalent may eliminate the
requirement for forced entry protection if the windows are made
inoperable either by permanently sealing them or equipping them on the
inside with a locking mechanism and they are covered by an IDS (either
independently or by the motion detection sensors within the area.)
Sec. 2001.53 Foreign Government Information [4.1].
The requirements described below are additional baseline
safeguarding standards that may be necessary for foreign government
information, other than NATO information, that requires protection
pursuant to an existing treaty, agreement, bilateral exchange or other
obligation. NATO classified information shall be safeguarded in
compliance with United States Security Authority for NATO Instructions
I-69 and I-70. To the extent practical, and to facilitate its control,
foreign government information should be stored separately from other
classified information. To avoid additional costs, separate storage may
be accomplished by methods such as separate drawers of a container. The
safeguarding standards described below may be modified if required or
permitted by treaties or agreements, or for other obligations, with the
prior written consent of the National Security Authority of the
originating government, hereafter ``originating government.''
(a) Top Secret. Records shall be maintained of the receipt,
internal distribution, destruction, access, reproduction, and
transmittal of foreign government Top Secret information. Reproduction
requires the consent of the originating government. Destruction will be
witnessed.
(b) Secret. Records shall be maintained of the receipt, external
dispatch and destruction of foreign government Secret information.
Other records may be necessary if required by the originator. Secret
foreign government information may be reproduced to meet mission
requirements unless prohibited by the originator. Reproduction shall be
recorded unless this requirement is waived by the originator.
(c) Confidential. Records need not be maintained for foreign
government Confidential information unless required by the originator.
(d) Restricted and other foreign government information provided in
confidence. In order to assure the protection of other foreign
government information provided in confidence (e.g., foreign government
``Restricted,'' ``Designated,'' or unclassified provided in
confidence), such information must be classified under E.O. 12958 as
amended. The receiving agency, or a receiving U.S. contractor,
licensee, grantee, or certificate holder acting in accordance with
instructions received from the U.S. Government, shall provide a degree
of protection to the foreign government information at least equivalent
to that required by the government or international organization that
provided the information. When adequate to achieve equivalency, these
standards may be less restrictive than the safeguarding standards that
ordinarily apply to U.S. CONFIDENTIAL information. If the foreign
protection requirement is lower than the protection required for U.S.
CONFIDENTIAL information, the following requirements shall be met:
[[Page 55182]]
(1) Documents may retain their original foreign markings if the
responsible agency determines that these markings are adequate to meet
the purposes served by U.S. classification markings. Otherwise,
documents shall be marked, ``This document contains (insert name of
country) (insert classification level) information to be treated as
U.S. (insert classification level).'' The notation, ``Modified Handling
Authorized,'' may be added to either the foreign or U.S. markings
authorized for foreign government information. If remarking foreign
originated documents or matter is impractical, an approved cover sheet
is an authorized option;
(2) Documents shall be provided only to those who have an
established need-to-know, and where access is required by official
duties;
(3) Individuals being given access shall be notified of applicable
handling instructions. This may be accomplished by a briefing, written
instructions, or by applying specific handling requirements to an
approved cover sheet;
(4) Documents shall be stored in such a manner so as to prevent
unauthorized access;
(5) Documents shall be transmitted in a method approved for
classified information, unless this method is waived by the originating
government.
(e) Third-country transfers. The release or disclosure of foreign
government information to any third-country entity must have the prior
consent of the originating government if required by a treaty,
agreement, bilateral exchange, or other obligation.
Subpart E--Self-Inspections
Sec. 2001.60 General [5.4].
(a) Purpose. This subpart sets standards for establishing and
maintaining an ongoing agency self-inspection program, which shall
include the periodic review and assessment of the agency's classified
product. ``Self-inspection'' means the internal review and evaluation
of individual agency activities and the agency as a whole with respect
to the implementation of the program established under the Order.
(b) Applicability. These standards are binding on all executive
branch agencies that create or handle classified information. Pursuant
to Executive Order 12829, the National Industrial Security Program
Operating Manual (NISPOM) prescribes the security requirements,
restrictions and safeguards applicable to industry, including the
conduct of contractor self-inspections. The standards established in
the NISPOM should be consistent with the standards prescribed in
Executive Order 12958, as amended and this part.
(c) Responsibility. The senior agency official is responsible for
the agency's self-inspection program. The senior agency official shall
designate agency personnel to assist in carrying out this
responsibility.
(d) Approach. The official(s) responsible for the program shall
determine the means and methods for the conduct of self-inspections.
These may include:
(1) A review of relevant security directives, guides and
instructions;
(2) Interviews with producers and users of classified information;
(3) A review of access and control records and procedures; and
(4) A review of a sample of classified documents generated by
agency activities.
(e) Frequency. The official(s) responsible for the program shall
set the frequency of self-inspections on the basis of program needs and
the degree of classification activity. Activities that generate
significant amounts of classified information should conduct at least
one document review per year.
(f) Reporting. The format for documenting findings shall be set by
the official(s) responsible for the program.
Sec. 2001.61 Coverage [5.4(d)(4)].
(a) General. These standards are not all-inclusive. Each agency may
expand upon the coverage according to program and policy needs. Each
self-inspection of an agency activity need not include all the elements
covered in this section. Agencies without original classification
authority need not include in their self-inspections those elements of
coverage pertaining to original classification.
(b) Elements of coverage.
(1) Original classification.
(i) Evaluate original classification authority's general
understanding of the process of original classification, including the:
(A) Applicable standards for classification;
(B) Levels of classification and the damage criteria associated
with each; and
(C) Required classification markings.
(ii) Determine if delegations of original classification authority
conform with the requirements of the Order, including whether:
(A) Delegations are limited to the minimum required to administer
the program;
(B) Designated original classification authorities have a
demonstrable and continuing need to exercise this authority;
(C) Delegations are in writing and identify the official by name or
position title; and
(D) New requests for delegation of classification authority are
justified.
(iii) Assess original classification authority's familiarity with
the duration of classification requirements, including:
(A) Assigning a specific date or event for declassification that is
less than 10 years when possible;
(B) Establishing ordinarily a 10 year duration of classification
when an earlier date or event cannot be determined; and
(C) Limiting extensions of classification for specific information
not to exceed 25 years for permanently valuable records or providing a
25 year exemption.
(iv) Conduct a review of a sample of classified information
generated by the inspected activity to determine the propriety of
classification and the application of proper and full markings.
(v) Evaluate classifiers' actions to comply with the standards
specified in Sec. 2001.15 and Sec. 2001.32 of this part, relating to
classification and declassification guides, respectively.
(vi) Verify observance with the prohibitions on classification and
limitations on reclassification.
(vii)Assess whether the agency's classification challenges program
meets the requirements of the Order and this part.
(2) Derivative classification. Assess the general familiarity of
individuals who classify derivatively with the:
(i) Conditions for derivative classification;
(ii) Requirement to consult with the originator of the information
when questions concerning classification arise;
(iii) Proper use of classification guides; and
(iv) Proper and complete application of classification markings to
derivatively classified documents.
(3) Declassification.
(i) Verify whether the agency has established, to the extent
practical, a system of records management to facilitate public release
of declassified documents.
(ii) Evaluate the status of the agency declassification program,
including the requirement to:
(A) Comply with the automatic declassification provisions regarding
historically valuable records over 25 years old;
(B) Declassify, when possible, historically valuable records prior
to accession into the National Archives;
[[Page 55183]]
(C) Provide the Archivist with adequate and current
declassification guides;
(D) Ascertain that the agency's mandatory review program conforms
to established requirements; and
(E) Determine whether responsible agency officials are cooperating
with the ISOO Director to coordinate the linkage and effective
utilization of existing agency databases of records that have been
declassified and publicly released.
(4) Safeguarding.
(i) Monitor agency adherence to established safeguarding standards.
(ii) 5.4(c) of the Order--Verify whether the agency has established
to the extent practical a records system designed and maintained to
optimize the safeguarding of classified information.
(iii) Assess compliance with controls for access to classified
information.
(iv) Evaluate the effectiveness of the agency's program in
detecting and processing security violations and preventing
recurrences.
(v) Assess compliance with the procedures for identifying,
reporting and processing unauthorized disclosures of classified
information.
(vi) Evaluate the effectiveness of procedures to ensure that:
(A) The originating agency exercises control over the classified
information it generates;
(B) Holders of classified information do not disclose information
originated by another agency without that agency's authorization; and
(C) Departing or transferred officials return all classified
information in their possession to authorized agency personnel.
(5) Security education and training. Evaluate the effectiveness of
the agency's security education and training program in familiarizing
appropriate personnel with classification procedures; and determine
whether the program meets the standards specified in subpart F of this
part.
(6) Management and oversight.
(i) Determine whether original classifiers have received prescribed
training.
(ii) Verify whether the agency's special access programs:
(A) Adhere to specified criteria in the creation of these programs;
(B) Are kept to a minimum;
(C) Provide for the conduct of internal oversight; and
(D) Include an annual review of each program to determine whether
it continues to meet the requirements of the Order.
(iii) Assess whether:
(A) Senior management demonstrates commitment to the success of the
program, including providing the necessary resources for effective
implementation;
(B) Producers and users of classified information receive guidance
with respect to security responsibilities and requirements;
(C) Controls to prevent unauthorized access to classified
information are effective;
(D) Contingency plans are in place for safeguarding classified
information used in or near hostile areas;
(E) The performance contract or other system used to rate civilian
or military personnel includes the management of classified information
as a critical element or item to be evaluated in the rating of:
Original classifiers; security managers; classification management
officers; and security specialists; and other employees whose duties
significantly involve the creation or handling of classified
information; and
(F) A method is in place for collecting information on the costs
associated with the implementation of the Order.
Subpart F--Security Education and Training
Sec. 2001.70 General [5.4].
(a) Purpose. This subpart sets standards for agency security
education and training programs. Implementation of these standards
should:
(1) Ensure that all executive branch employees who create, process
or handle classified information have a satisfactory knowledge and
understanding about classification, safeguarding, and declassification
policies and procedures;
(2) Increase uniformity in the conduct of agency security education
and training programs; and
(3) Reduce improper classification, safeguarding and
declassification practices.
(b) Applicability. These standards are binding on all executive
branch departments and agencies that create or handle classified
information. Pursuant to Executive Order 12829, the NISPOM prescribes
the security requirements, restrictions, and safeguards applicable to
industry, including the conduct of contractor security education and
training. The standards established in the NISPOM should be consistent
with the standards prescribed in Executive Order 12958, as amended and
of this part.
(c) Responsibility. The senior agency official is responsible for
the agency's security education and training program. The senior agency
official shall designate agency personnel to assist in carrying out
this responsibility.
(d) Approach. Security education and training should be tailored to
meet the specific needs of the agency's security program, and the
specific roles employees are expected to play in that program. The
agency official(s) responsible for the program shall determine the
means and methods for providing security education and training.
Training methods may include briefings, interactive videos,
dissemination of instructional materials, and other media and methods.
Agencies shall maintain records about the programs it has offered and
employee participation in them.
(e) Frequency. The frequency of agency security education and
training will vary in accordance with the needs of the agency's
security classification program. Each agency shall provide some form of
refresher security education and training at least annually.
Sec. 2001.71 Coverage [5.4(d)(3)].
(a) General. Each department or agency shall establish and maintain
a formal security education and training program which provides for
initial and refresher training, and termination briefings. This subpart
establishes security education and training standards for original
classification authorities, declassification authorities, security
managers, classification management officers, security specialists, and
all other personnel whose duties significantly involve the creation or
handling of classified information. These standards are not intended to
be all-inclusive. The official responsible for the security education
and training program may expand or modify the coverage provided in this
part according to the agency's program and policy needs.
(b) Elements of initial coverage. All cleared agency personnel
shall receive initial training on basic security policies, principles,
practices, and criminal, civil, and administrative penalties. Such
training must be provided in conjunction with the granting of a
security clearance, and prior to granting access to classified
information. The following areas should be considered for inclusion in
initial briefings.
(1) Roles and responsibilities.
(i) What are the responsibilities of the senior agency official,
classification management officers, the security manager and the
security specialist?
(ii) What are the responsibilities of agency employees who create
or handle classified information?
(iii) Who should be contacted in case of questions or concerns
about classification matters?
[[Page 55184]]
(2) Elements of classifying and declassifying information.
(i) What is classified information and why is it important to
protect it?
(ii) What are the levels of classified information and the damage
criteria associated with each level?
(iii) What are the prescribed classification markings and why is it
important to have classified information fully and properly marked?
(iv) What are the general requirements for declassifying
information?
(v) What are the procedures for challenging the classification
status of information?
(3) Elements of safeguarding.
(i) What are the proper procedures for safeguarding classified
information?
(ii) What constitutes an unauthorized disclosure and what are the
criminal, civil, and administrative penalties associated with these
disclosures?
(iii) What are the general conditions and restrictions for access
to classified information?
(iv) What should an individual do when he or she believes
safeguarding standards may have been violated?
(c) Specialized security education and training. Original
classification authorities, authorized declassification authorities,
individuals specifically designated as responsible for derivative
classification, classification management officers, security managers,
security specialists, and all other personnel whose duties
significantly involve the creation or handling of classified
information should receive more detailed training. This training should
be provided before or concurrent with the date the employee assumes any
of the positions listed above, but in any event no later than six
months from that date. Coverage considerations should include:
(1) Original Classification Authorities.
(i) What is the difference between original and derivative
classification?
(ii) Who can classify information originally?
(iii) What are the standards that a designated classifier must meet
to classify information?
(iv) What discretion does the Original Classification Authority
have in classifying information, for example, foreign government
information.
(v) What is the process for determining duration of classification?
(vi) What are the prohibitions and limitations on classifying
information?
(vii) What are the basic markings that must appear on classified
information?
(viii) What are the general standards and procedures for
declassification?
(2) Declassification authorities other than original classification
authorities.
(i) What are the standards, methods and procedures for
declassifying information under Executive Order 12958, as amended?
(ii) What are the standards for creating and using agency
declassification guides?
(iii) What is contained in the agency's automatic declassification
plan?
(iv) What are the agency responsibilities for the maintenance of a
declassification database?
(3) Individuals specifically designated as responsible for
derivative classification, security managers, classification management
officers, security specialists or any other personnel whose duties
significantly involve the creation or handling of classified
information.
(i) What are the original and derivative classification processes
and the standards applicable to each?
(ii) What are the proper and complete classification markings, as
described in subpart B of this part?
(iii) What are the authorities, methods and processes for
downgrading and declassifying information?
(iv) What are the methods for the proper use, storage,
reproduction, transmission, dissemination and destruction of classified
information?
(v) What are the requirements for creating and updating
classification and declassification guides?
(vi) What are the requirements for controlling access to classified
information?
(vii) What are the procedures for investigating and reporting
instances of security violations, and the penalties associated with
such violations?
(viii) What are the requirements for creating, maintaining, and
terminating special access programs, and the mechanisms for monitoring
such programs?
(ix) What are the procedures for the secure use, certification and
accreditation of automated information systems and networks which use,
process, store, reproduce, or transmit classified information?
(x) What are the requirements for oversight of the security
classification program, including agency self-inspections?
(d) Refresher security education and training. Agencies shall
provide refresher training to employees who create, process or handle
classified information. Refresher training should reinforce the
policies, principles and procedures covered in initial and specialized
training. Refresher training should also address the threat and the
techniques employed by foreign intelligence activities attempting to
obtain classified information, and advise personnel of penalties for
engaging in espionage activities. Refresher training should also
address issues or concerns identified during agency self-inspections.
When other methods are impractical, agencies may satisfy the
requirement for refresher training by means of audiovisual products or
written materials.
(e) Termination briefings. Each agency shall ensure that each
employee granted access to classified information who leaves the
service of the agency receives a termination briefing. Also, each
agency employee whose clearance is withdrawn must receive such a
briefing. At a minimum, termination briefings must impress upon each
employee: The continuing responsibility not to disclose any classified
information to which the employee had access and the potential
penalties for non-compliance; and the obligation to return to the
appropriate agency official all classified documents and materials in
the employee's possession.
(f) Other security education and training. Agencies are encouraged
to develop additional security education and training according to
program and policy needs. Such security education and training could
include:
(1) Practices applicable to U.S. officials traveling overseas;
(2) Procedures for protecting classified information processed and
stored in automated information systems;
(3) Methods for dealing with uncleared personnel who work in
proximity to classified information;
(4) Responsibilities of personnel serving as couriers of classified
information; and
(5) Security requirements that govern participation in
international programs.
Subpart G--Reporting and Definitions
Sec. 2001.80 Statistical reporting [5.2(b)(4)].
Each agency that creates or handles classified information shall
report annually to the Director of ISOO statistics related to its
security classification program. The Director will instruct agencies
what data elements are required, and how and when they are to be
reported.
Sec. 2001.81 Accounting for costs [5.4(d)(8)].
(a) Information on the costs associated with the implementation of
the Order will be collected from the agencies. The agencies will
provide data to ISOO on the cost estimates for classification-related
activities. ISOO will report these cost estimates annually to the
President. The agency senior official should work
[[Page 55185]]
closely with the agency comptroller to ensure that the best estimates
are collected.
(b) The Secretary of Defense, acting as the executive agent for the
National Industrial Security Program under Executive Order 12829, and
consistent with agreements entered into under section 202 of E.O.
12829, will collect cost estimates for classification-related
activities of contractors, licensees, certificate holders, and
grantees, and report them to ISOO annually. ISOO will report these cost
estimates annually to the President.
Sec. 2001.82 Definitions [6.1].
(a) ``Accessioned Records'' means records of permanent historical
value in the legal custody of NARA.
(b) ``Authorized person'' means a person who has a favorable
determination of eligibility for access to classified information, has
signed an approved nondisclosure agreement, and has a need-to-know for
the specific classified information in the performance of official
duties.
(c) ``Cleared commercial carrier'' means a carrier that is
authorized by law, regulatory body, or regulation, to transport SECRET
and CONFIDENTIAL material and has been granted a SECRET facility
clearance in accordance with the National Industrial Security Program.
(d) ``Control'' means the authority of the agency that originates
information, or its successor in function, to regulate access to the
information.
(e) ``Declassified or Declassification'' means the authorized
change in the status of information from classified information to
unclassified information.
(f) ``Equity'' means information originally classified by or under
the control of an agency.
(g) ``Exempted'' means nomenclature and marking indicating
information has been determined to fall within an enumerated exemption
from automatic declassification under E.O. 12958, as amended.
(h) ``Federal Record'' includes all books, papers, maps,
photographs, machine-readable materials, or other documentary
materials, regardless of physical form or characteristics, made or
received by an agency of the United States Government under Federal law
or in connection with the transaction of public business and preserved
or appropriate for preservation by that agency or its legitimate
successor as evidence of the organization, functions, policies,
decisions, procedures, operations, or other activities of the
Government or because of the informational value of data in them.
Library and museum material made or acquired and preserved solely for
reference, and stocks of publications and processed documents are not
included. (44 U.S.C. 3301)
(i) ``File series'' means a body of related records created or
maintained by an agency, activity, office or individual. The records
may be related by subject, topic, form, function, or filing scheme. An
agency, activity, office, or individual may create or maintain several
different file series, each serving a different function. Examples may
include a subject file, alphabetical name index, chronological file, or
a record set of agency publications. File series frequently correspond
to items on a NARA-approved agency records schedule. Some very large
series may contain several identifiable sub-series, and it may be
appropriate to treat sub-series as discrete series for the purposes of
the Order.
(j) ``Newly Discovered Records'' means records that were
inadvertently not reviewed prior to the effective date of automatic
declassification because the agency declassification authority was
unaware of their existence.
(k) ``Open storage area'' means an area constructed in accordance
with section 2001.62 and authorized by the agency head for open storage
of classified information.
(l) ``Pass/Fail (P/F)'' means a declassification technique that
regards information at the full document or folder level. Any
exemptible portion of a document or folder may result in exemption
(failure) of the entire documents or folders. Documents or folders that
contain no exemptible information are passed and therefore
declassified. Documents within exempt folders are exempt from automatic
declassification. Declassified documents may be subject to FOIA
exemptions other than the security exemption ((b)(1)), and the
requirements placed by legal authorities governing Presidential records
and materials.
(m) ``Permanent Records'' means any Federal record that has been
determined by NARA to have sufficient value to warrant its preservation
in the National Archives of the United States. Permanent records
include all records accessioned by NARA into the National Archives of
the United States and later increments of the same records, and those
for which the disposition is permanent on SF 115s, Request for Records
Disposition Authority, approved by NARA on or after May 14, 1973.
(n) ``Presidential Historical Materials and Records'' means the
papers or records of the former Presidents under the legal control of
the Archivist pursuant to sections 2107, 2111, 2111note, or 2203 of
title 44, U.S.C., as defined at 44 U.S.C. 2111, 2111note, and 2001.
(o) ``Records'' means the records of an agency and Presidential
papers or Presidential records, as those terms are defined in title 44,
United States Code, including those created or maintained by a
government contractor, licensee, certificate holder, or grantee that
are subject to the sponsoring agency's control under the terms of the
contract, license, certificate, or grant.
(p) ``Redaction'' means the removal of exempted information from
copies of a document.
(q) ``Security-in-depth'' means a determination by the agency head
that a facility's security program consists of layered and
complementary security controls sufficient to deter and detect
unauthorized entry and movement within the facility. Examples include,
but are not limited to, use of perimeter fences, employee and visitor
access controls, use of an Intrusion Detection System (IDS), random
guard patrols throughout the facility during non-working hours, closed
circuit video monitoring or other safeguards that mitigate the
vulnerability of open storage areas without alarms and security storage
cabinets during non-working hours.
(r) ``Tab'' means a narrow paper sleeve placed around a document or
group of documents in such a way that it would be readily visible.
(s) ``Transferred Records'' means records transferred to agency
storage facilities or a federal records center.
(t) ``Temporary Records'' means federal records approved by NARA
for disposal, either immediately or after a specified retention period.
Also called disposable records.
(u) ``Unscheduled Records'' means federal records whose final
disposition has not been approved by NARA. All records that fall under
a NARA approved records control schedule are considered to be scheduled
records.
(v) ``Vault'' means an area approved by the agency head which is
designed and constructed of masonry units or steel lined construction
to provide protection against forced entry. A modular vault approved by
the General Services Administration (GSA) may be used in lieu of a
vault as prescribed in the first sentence of this paragraph (e). Vaults
shall be equipped with a GSA-approved vault door and lock.
Sec. 2001.83 Effective date [6.3].
Part 2001 shall become effective September 22, 2003.
[[Page 55186]]
PART 2004--DIRECTIVE ON SAFEGUARDING CLASSIFIED NATIONAL SECURITY
INFORMATION [Removed and reserved.]
0
2. Remove and reserve 32 CFR part 2004.
Dated: September 15, 2003.
J. William Leonard,
Director, Information Security Oversight Office.
[FR Doc. 03-24047 Filed 9-18-03; 12:01 pm]
BILLING CODE 7515-01-P
