[Federal Register Volume 62, Number 90 (Friday, May 9, 1997)]
[Rules and Regulations]
[Pages 25426-25433]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12247]
[[Page 25426]]
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OFFICE OF MANAGEMENT AND BUDGET
5 CFR Part 1312
RIN 0348-AB34
Classification, Downgrading, Declassification and Safeguarding of
National Security Information
AGENCY: Office of Management and Budget, Executive Office of the
President.
ACTION: Final rule.
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SUMMARY: This final rule amends the regulations that set forth the
procedures to be followed by the Office of Management and Budget's
(OMB) staff regarding the classification, downgrading, declassification
and safeguarding of national security information. In addition, this
final rule lists OMB staff who are authorized to originally classify
information at the top secret and secret level. These regulations also
contain the procedures to be used by OMB when other government agencies
and the public request that classified information in OMB files be
reviewed for possible declassification and release. These procedures
also outline how to appeal a decision not to declassify information.
EFFECTIVE DATE: June 9, 1997.
FOR FURTHER INFORMATION CONTACT: Darrell A. Johnson, Deputy Assistant
Director for Administration, Office of Management and Budget, at (202)
395-5715.
SUPPLEMENTARY INFORMATION: On September 17, 1996 (61 FR 48855), OMB
requested public comment on proposed revisions to its regulations at 5
CFR Part 1312 concerning the classification, downgrading,
declassification and safeguarding of national security information.
This revision is necessary to ensure conformity with Executive Order
12958 (60 FR 19825, April 20, 1995) and implementing directives issued
by the Information Security Oversight Office. OMB proposed to repeal
its existing Part 1312 and replace it with a new Part 1312.
No public comments were received in response to the September 1996
proposed rule. No substantive changes have been made to the proposed
rule, which is being adopted.
Regulatory Flexibility Act, Unfunded Mandates Reform Act, and
Executive Orders 12866 and 12875
For purposes of the Regulatory Flexibility Act (5 U.S.C. 601 et
seq.), the final rule will not have a significant economic effect on a
substantial number of small entities; the final rule addresses only the
procedures for OMB's classification, downgrading, declassification and
safeguarding of national security information. For purposes of the
Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4), as well as
Executive Orders No. 12866 and 12875, the final rule will not
significantly or uniquely affect small governments, and will not result
in increased expenditures by State, local, and tribal governments, or
by the private sector, of $100 million or more. The final rule is not a
``major rule'' under 5 U.S.C. Chapter 8; the rule will not have any of
the effects set forth in 5 U.S.C. 804(2).
Issued in Washington, DC, April 24, 1997.
Franklin D. Raines
Director.
For the reasons set forth in the preamble, OMB amends 5 CFR Chapter
III by revising Part 1312 to read as follow:
PART 1312--CLASSIFICATION, DOWNGRADING, DECLASSIFICATION AND
SAFEGUARDING OF NATIONAL SECURITY INFORMATION:
Subpart A--Classification and Declassification of National Security
Information
Sec.
1312.1 Purpose and authority.
1312.2 Responsibilities.
1312.3 Classification requirements.
1312.4 Classified designations.
1312.5 Authority to classify
1312.6 Duration of classification.
1312.7 Derivative classification.
1312.8 Standard identification and markings.
1312.9 Downgrading and declassification.
1312.10 Systematic review guidelines.
1312.11 Challenges to classifications.
1312.12 Security Program Review Committee.
Subpart B--Control and Accountability of Classified Information
1312.21 Purpose and authority.
1312.22 Responsibilities.
1312.23 Access to classified information.
1312.24 Access by historical researchers and former Presidential
appointees.
1312.25 Storage.
1312.26 Control of secret and confidential material.
1312.27 Top secret control.
1312.28 Transmission of classified material.
1312.29 Destruction.
1312.30 Loss or possible compromise.
1312.31 Security violations.
Subpart C--Mandatory Declassification Review
1312.32 Purpose and authority.
1312.33 Responsibility.
1312.34 Information in the custody of OMB.
1312.35 Information classified by another agency.
1312.36 Appeal procedure.
1312.37 Fees.
Authority: Executive Order 12958, April 20, 1995, 3 CFR, 1995
Comp., p. 333.
Subpart A--Classification and Declassification of National Security
Information
Sec. 1312.1 Purpose and authority.
This subpart sets forth the procedures for the classification and
declassification of national security information in the possession of
the Office of Management and Budget. It is issued under the authority
of Executive Order 12958, (60 FR 19825, 3 CFR, 1995 Comp., P.333), as
implemented by Information Security Oversight Office Directive No. 1
(32 CFR part 2001), and is applicable to all OMB employees.
Sec. 1312.2 Responsibilities.
The effectiveness of the classification and declassification
program in OMB depends entirely on the amount of attention paid to it
by supervisors and their staffs in those offices and divisions that
possess or produce classified material. Officials who originate
classified information are responsible for proper assignment of a
classification to that material and for the decision as to its
declassification. Officials who produce documents containing classified
information must determine the source of the classification for that
information and must ensure that the proper identity of that source is
shown on the document. Custodians of classified material are
responsible for its safekeeping and for ensuring that such material is
adequately marked as to current classification. Custodians are also
responsible for the control of and accounting for all classified
material within their area of jurisdiction as prescribed in OMB Manual
Section 1030.
(a) EOP Security Officer. In cooperation with the Associate
Director (or Assistant Director) for Administration, the EOP Security
Officer supervises the administration of this section and develops
programs to assist in the compliance with the Order. Specifically, he:
(1) Promotes the correct understanding of this section by all
employees by providing annual security refresher briefings and ensures
that new employees attend initial briefings about overall security
procedures and policies.
(2) Issues and keeps current such classification guides and
guidelines for review for declassification as are required by the
Order.
(3) Conducts periodic reviews of classified documents produced and
[[Page 25427]]
provides assistance and guidance where necessary.
(4) Maintains and publishes a current listing of all officials who
have been designated in writing to have Top Secret, Secret, and
Confidential original classification authority.
(b) Heads of divisions or offices. The head of each division or
major organizational unit is responsible for the administration of this
section within his or her area. Appropriate internal guidance should be
issued to cover special or unusual conditions within an office.
Sec. 1312.3 Classification requirements.
United States citizens must be kept informed about the activities
of their Government. However, in the interest of national security,
certain official information must be subject to constraints on its
dissemination or release. This information is classified in order to
provide that protection.
(a) Information shall be considered for classification if it
concerns:
(1) Military plans, weapons systems, or operations;
(2) Foreign government information;
(3) Intelligence activities (including special activities),
intelligence sources or methods, or cryptology;
(4) Foreign relations or foreign activities of the United States,
including confidential sources;
(5) Scientific, technological, or economic matters relating to the
national security;
(6) United States Government programs for safeguarding nuclear
materials or facilities; or
(7) Vulnerabilities or capabilities of systems, installations,
projects or plans relating to the national security.
(b) When information is determined to meet one or more of the
criteria in paragraph (a) of this section, it shall be classified by an
original classification authority when he/she determines that its
unauthorized disclosure reasonably could be expected to cause at least
identifiable damage to the national security.
(c) Unauthorized disclosure of foreign government information,
including the identity of a confidential foreign source of intelligence
sources or methods, is presumed to cause damage to the national
security.
(d) Information classified in accordance with this section shall
not be declassified automatically as a result of any unofficial or
inadvertent or unauthorized disclosure in the United States or abroad
of identical or similar information.
Sec. 1312.4 Classified designations.
(a) Except as provided by the Atomic Energy Act of 1954, as
amended, (42 U.S.C. 2011) or the National Security Act of 1947, as
amended, (50 U.S.C. 401) Executive Order 12958 provides the only basis
for classifying information. Information which meets the test for
classification may be classified in one of the following three
designations:
(1) Top Secret. This classification shall be applied only to
information the unauthorized disclosure of which reasonably could be
expected to cause exceptionally grave damage to the national security
that the original classification authority is able to identify or
describe.
(2) Secret. This classification shall be applied only to
information the unauthorized disclosure of which reasonably could be
expected to cause serious damage to the national security that the
original classification authority is able to identify or describe.
(3) Confidential. This classification shall be applied only to
information the unauthorized disclosure of which reasonably could be
expected to cause damage to the national security that the original
classification authority is able to identify or describe.
(b) If there is significant doubt about the need to classify
information, it shall not be classified. If there is significant doubt
about the appropriate level of classification, it shall be classified
at the lower level.
Sec. 1312.5 Authority to classify.
(a) The authority to originally classify information or material
under this part shall be limited to those officials concerned with
matters of national security. The officials listed in this section are
granted authority by the Director, OMB, to assign original
classifications as indicated to information or material that is
originated by OMB staff and relating to the national security of the
United States:
(1) Top Secret and below:
(i) Deputy Director.
(ii) Deputy Director for Management.
(iii) Associate Director for National Security and International
Affairs.
(iv) Associate Director for Natural Resources, Energy and Science.
(2) Secret and below:
(i) Deputy Associate Director for National Security.
(ii) Deputy Associate Director for International Affairs.
(iii) Deputy Associate Director for Energy and Science.
(b) Classification authority is not delegated to persons who only
reproduce, extract, or summarize classified information, or who only
apply classification markings derived from source material or from a
classification guide.
Sec. 1312.6 Duration of classification.
(a)(1) When determining the duration of classification for
information originally classified under Executive Order 12958, an
original classification authority shall follow the following sequence:
(i) He/She 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,
he/she shall ordinarily assign a declassification date that is 10 years
from the date of the original classification decision;
(iii) He/She may extend the duration of classification or
reclassify specific information for a period not to exceed 10
additional years if such action is consistent with the exemptions as
outlined in Section 1.6(d) of the Executive Order. This provision does
not apply to information contained in records that are more than 25
years old and have been determined to have permanent historical value
under Title 44 United States Code.
(iv) He/She may exempt from declassification within 10 years
specific information, which is consistent with the exemptions as
outlined in Section 1.6 (d) of the Executive Order.
(2) Extending Duration of Classification. Extensions of
classification are not automatic. If an original classification
authority with jurisdiction over the information does not extend the
date or event for declassification, the information is automatically
declassified upon the occurrence of the date or event. If an original
classification authority has assigned a date or event for
declassification that is 10 years or less from the date of
classification, an original classification authority with jurisdiction
over the information may extend the classification duration of such
information for additional periods not to exceed 10 years at a time.
Records determined to be of historical value may not exceed the
duration of 25 years.
(b) When extending the duration of classification, the original
classification authority must:
(1) Be an original classification authority with jurisdiction over
the information.
[[Page 25428]]
(2) Ensure that the information continues to meet the standards for
classification under the Executive Order.
(3) Make reasonable attempts to notify all known holders of the
information. Information classified under prior orders marked with a
specific date or event for declassification is automatically
declassified upon that date or event. Information classified under
prior orders marked with Originating Agency's Determination Required
(OADR) shall:
(i) Be declassified by a declassification authority as defined in
Section 3.1 of the Executive Order.
(ii) Be re-marked by an authorized original classification
authority with jurisdiction over the information to establish a
duration of classification consistent with the Executive Order.
(iii) Be subject to Section 3.4 of the Executive Order if the
records are determined to be of historical value and are to remain
classified for 25 years from the date of its original classification.
Sec. 1312.7 Derivative classification.
A derivative classification means that the information is in
substance the same information that is currently classified, usually by
another agency or classification authority. The application of
derivative classification markings is the responsibility of the person
who incorporates, restates, paraphrases, or generates in new form
information that is already classified, or one who applies such
classification markings in accordance with instructions from an
authorized classifier or classification guide. Extreme care must be
taken to continue classification and declassification markings when
such information is incorporated into OMB documents. The duplication or
reproduction of existing classified information is not derivative
classification. Persons who use derivative classification need not
possess original classification authority.
Sec. 1312.8 Standard identification and markings.
(a) Original Classification. At the time classified material is
produced, the classifier shall apply the following markings on the face
of each originally classified document, including electronic media:
(1) Classification Authority. The name/personal identifier, and
position title of the original classifier shall appear on the
``Classified By'' line.
(2) Agency and Office of Origin. If not otherwise evident, the
agency and office of origin shall be identified and placed below the
name on the ``Classified By'' line.
(3) Reasons for Classification. Identify the reason(s) to classify.
The classifier shall include, at a minimum, a brief reference to the
pertinent classification category(ies), or the number 1.5 plus the
letter(s) that corresponds to that classification category in Section
1.5 of the Executive Order.
(4) Declassification instructions. These instructions shall
indicate the following:
(i) The duration of the original classification decision shall be
placed on the ``Declassify On'' line.
(ii) The date or event for declassification that corresponds to the
lapse of the information's national security sensitivity, which may not
exceed 10 years from the date of the original decision.
(iii) When a specific date or event within 10 years cannot be
established, the classifier will apply the date that is 10 years from
the date of the original decision.
(iv) The exemption category from declassification. Upon
determination that the information must remain classified beyond 10
years, the classifier will apply the letter ``X'' plus a brief
recitation of the exemption category(ies), or the letter ``X'' plus the
number that corresponds to the exemption category(ies) in Section
1.6(d) of the Executive Order.
(v) An original classification authority may extend the duration of
classification for successive periods not to exceed 10 years at a time.
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.
(vi) Information exempted from automatic declassification at 25
years should on the ``Declassify On'' line be revised to include the
symbol ``25X'' plus a brief reference to the pertinent exemption
categories/numbers of the Executive Order.
(5) The overall classification of the document is the highest level
of information in the document and will be conspicuously placed stamped
at the top and bottom of the outside front and back cover, on the title
page, and on the first page.
(6) The highest classification of individual pages will be stamped
at the top and bottom of each page, to include ``unclassified'' when it
is applicable.
(7) The classification of individual portions of the document,
(ordinarily a paragraph, but including subjects, titles, graphics)
shall be marked by using the abbreviations (TS), (S), (C), or (U), will
be typed or marked at the beginning or end of each paragraph or section
of the document. If all portions of the document are classified at the
same level, this may be indicated by a statement to that effect.
(b) Derivative Classification. Information classified derivatively
on the basis of source documents shall carry the following markings on
those documents:
(1) The derivative classifier shall concisely identify the source
document(s) 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. 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''.
(2) The derivative classifier shall maintain the identification of
each source with the file or record copy of the derivatively classified
document. Where practicable the copies of the document should also have
this list attached.
(3) 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''.
(4) The reason for the original classification decision, as
reflected in the source document, is not required to be transferred in
a derivative classification action.
(5) Declassification instructions shall carry forward the
instructions on the ``Declassify On'' line from the source document to
the derivation document or the duration instruction from the
classification guide. Where there are multiple sources, the longest
duration of any of its sources shall be used.
(6) When a source document or classification guide contains the
declassification instruction ``Originating Agency's Determination
Required'' (OADR) the derivative document shall carry forward the fact
that the source document(s) were so marked and the date of origin of
the most recent source document (s).
(7) The derivatively classified document shall be conspicuously
marked with the highest level of classification of information.
(8) Each portion of a derivatively classified document shall be
marked in accordance with its source.
(9) Each office shall, consistent with Section 3.8 of the Executive
Order, establish and maintain a database of information that has been
declassified.
[[Page 25429]]
(c) Additional Requirements. (1) Markings other than ``Top
Secret'', ``Secret'', and ``Confidential'' shall not be used to
identify classified national security information.
(2) Transmittal documents will be stamped to indicate the highest
classification of the information transmitted, and shall indicate
conspicuously on its face the following or something similar
``Unclassified When classified Enclosure Removed'' to indicate the
classification of the transmittal document standing alone.
(3) The classification data for material other than documents will
be affixed by tagging, stamping, recording, or other means to insure
that recipients are aware of the requirements for the protection of the
material.
(4) Documents containing foreign government information shall
include the markings ``This Document Contains (country of origin)
Information''. If the identity of the specific government must be
concealed, the document shall be marked'' This Document Contains
Foreign Government Information,'' and pertinent portions marked ``FGI''
together with the classification level, e.g., ``(FGI-C)''. In such
cases, separate document identifying the government shall be maintained
in order to facilitate future declassification actions.
(5) Documents, regardless of medium, which are expected to be
revised prior to the preparation of a finished product--working
papers--shall be dated when created, marked with highest
classification, protected at that level, and destroyed when no longer
needed. When any of the following conditions exist, the working papers
shall be controlled and marked in the same manner as prescribed for a
finished classified document:
(i) Released by the originator outside the originating activity;
(ii) Retained more than 180 days from the date of origin;
(iii) Filed permanently.
(6) Information contained in unmarked records, or Presidential or
related materials, and which pertain to the national defense or foreign
relations of the U.S. and has been maintained and protected as
classified information under prior orders shall continue to be treated
as classified information under the Executive Order and is subject to
its provisions regarding declassification.
Sec. 1312.9 Downgrading and declassification.
Classified information originated by OMB offices will be downgraded
or declassified as soon as it no longer qualifies for continued
protection under the provisions of the classification guides. Authority
to downgrade or declassify OMB-originated information is granted to
those authorized to classify (See Sec. 1312.5). Additionally, the
Associate Director (or Assistant Director) for Administration is
authorized to exercise downgrading and declassification actions up to
and including the Top Secret level.
(a) Transferred material. Information which was originated by an
agency that no longer exists, or that was received by OMB in
conjunction with a transfer of functions, is deemed to be OMB-
originated material. Information which has been transferred to another
agency for storage purposes remains the responsibility of OMB.
(b) Periodic review of classified material. Each office possessing
classified material will review that material on an annual basis or in
conjunction with the transfer of files to non-current record storage
and take action to downgrade or declassify all material no longer
qualifying for continued protection at that level. All material
transferred to non-current record storage must be properly marked with
correct downgrade and declassification instructions.
Sec. 1312.10 Systematic review guidelines.
The EOP Security Officer will prepare and keep current such
guidelines as are required by Executive Order 12958 for the downgrading
and declassification of OMB material that is in the custody of the
Archivist of the United States.
Sec. 1312.11 Challenges to classifications.
OMB employees are encouraged to familiarize themselves with the
provisions of Executive Order 12958 and with OMB Manual Sections 1010,
1020, and 1030. Employees are also encouraged to question or to
challenge those classifications they believe to be improper,
unnecessary, or for an inappropriate time. Such questions or challenges
may be addressed to the originator of the classification, unless the
challenger desires to remain anonymous, in which case the question may
be directed to the EOP Security Officer.
Sec. 1312.12 Security Program Review Committee.
The Associate Director (or Assistant Director) for Administration
will chair the OMB Security Program Review Committee, which will act on
suggestions and complaints about the OMB security program.
Subpart B--Control and Accountability of Classified Information
Sec. 1312.21 Purpose and authority.
This subpart sets forth procedures for the receipt, storage,
accountability, and transmission of classified information at the
Office of Management and Budget. It is issued under the authority of
Executive Order 12958, (60 FR 19825, 3 CFR, 1995 Comp., P.333), as
implemented by Information Security Oversight Office Directive No 1 (32
CFR part 2001), and is applicable to all OMB employees.
Sec. 1312.22 Responsibilities.
The effective direction by supervisors and the alert performance of
duty by employees will do much to ensure the adequate security of
classified information in the possession of OMB offices. Each employee
has a responsibility to protect and account for all classified
information that he/she knows of within his/her area of responsibility.
Such information will be made available only to those persons who have
an official need to know and who have been granted the appropriate
security clearance. Particular care must be taken not to discuss
classified information over unprotected communications circuits (to
include intercom and closed-circuit TV), at non-official functions, or
at any time that it might be revealed to unauthorized persons.
Classified information may only be entered into computer systems
meeting the appropriate security criteria.
(a) EOP Security Officer. In cooperation with the Associate
Director (or Assistant Director) for Administration, the EOP Security
Officer supervises the administration of this section. Specifically,
he/she:
(1) Promotes the correct understanding of this section and insures
that initial and annual briefings about security procedures are given
to all new employees.
(2) Provides for periodic inspections of office areas and reviews
of produced documents to ensure full compliance with OMB regulations
and procedures.
(3) Takes prompt action to investigate alleged violations of
security, and recommends appropriate administrative action with respect
to violators.
(4) Supervises the annual inventories of Top Secret material.
(5) Ensures that containers used to store classified material meet
the appropriate security standards and that combinations to security
containers are changed as required.
(b) Heads of Offices. The head of each division or office is
responsible for the
[[Page 25430]]
administration of this section in his/her area. These responsibilities
include:
(1) The appointment of accountability control clerks as prescribed
in Sec. 1312.26.
(2) The maintenance of the prescribed control and accountability
records for classified information within the office.
(3) Establishing internal procedures to ensure that classified
material is properly safeguarded at all times.
Sec. 1312.23 Access to classified information.
Classified information may be made available to a person only when
the possessor of the information establishes that the person has a
valid ``need to know'' and the access is essential to the
accomplishment of official government duties. The proposed recipient is
eligible to receive classified information only after he/she has been
granted a security clearance by the EOP Security Officer. Cover sheets
will be used to protect classified documents from inadvertent
disclosure while in use. An SF-703 will be used for Top Secret
material; an SF-704 for Secret material, and an SF-705 for Confidential
material. The cover sheet should be removed prior to placing the
document in the files.
Sec. 1312.24 Access by historical researchers and former Presidential
appointees.
(a) The requirements of Section 4.2(a)(3) of Executive Order 12958
may be waived for persons who are engaged in historical research
projects, or who previously have occupied policy-making positions to
which they were appointed by the President. Waivers may be granted only
if the Associate Director (or Assistant Director) for Administration,
in cooperation with the EOP Security Officer:
(1) Determines in writing that access is consistent with the
interest of national security;
(2) Takes appropriate steps to protect classified information from
unauthorized disclosure or compromise, and ensures that the information
is safeguarded in a manner consistent with the order; and
(3) Limits the access granted to former Presidential appointees to
items that the person originated, reviewed, signed, or received while
serving as a Presidential appointee.
(b) In the instances described in paragraph (a) of this section,
the Associate Director (or Assistant Director) for Administration, in
cooperation with the EOP Security Officer, will make a determination as
to the trustworthiness of the requestor and will obtain written
agreement from the requestor to safeguard the information to which
access is given. He/She will also obtain written consent to the review
by OMB of notes and manuscripts for the purpose of determining that no
classified information is contained therein. Upon the completion of
these steps, the material to be researched will be reviewed by the
division/office of primary interest to ensure that access is granted
only to material over which OMB has classification jurisdiction.
Sec. 1312.25 Storage.
All classified material in the possession of OMB will be stored in
a GSA-approved container or in vault-type rooms approved for Top Secret
storage. Under the direction of the EOP Security Officer, combinations
to safes used in the storage of classified material will be changed
when the equipment is placed in use, whenever a person knowing the
combination no longer requires access to it, whenever the combination
has been subjected to possible compromise, whenever the equipment is
taken out of service, or at least once a year. Knowledge of
combinations will be limited to the minimum number of persons
necessary, and records of combinations will be assigned a
classification no lower than the highest level of classified
information stored in the equipment concerned. An SF-700, Security
Container Information, will be used in recording safe combinations.
Standard Form-702, Security Container check sheet, will be posted to
each safe and will be used to record opening, closing, and checking the
container whenever it is used.
Sec. 1312.26 Control of secret and confidential material.
Classified material will be accounted for by the office having
custody of the material. OMB Form 87, Classified Document Control, will
be used to establish accountability controls on all Secret material
received or produced within OMB offices. No accountability controls are
prescribed for Confidential material, but offices desiring to control
and account for such material should use the procedures applicable to
Secret material. Information classified by another agency shall not be
disclosed without that agency's authorization.
(a) Accountability Control Clerks. Each division or office head
will appoint one person as the Accountability Control Clerk (ACC). The
ACC will be the focal point for the receipt, routing, accountability,
dispatch, and declassification downgrading or destruction of all
classified material in the possession of the office.
(b) OMB Form 87. One copy of OMB Form 87 will be attached to the
document, and one copy retained in the accountability control file for
each active document within the area of responsibility of the ACC.
Downgrading or destruction actions, or other actions removing the
document from the responsibility of the ACC will be recorded on the OMB
Form 87, and the form filed in an inactive file. Inactive control forms
will be cut off annually, held for two additional years, then
destroyed.
(c) Working papers and drafts. Working papers and drafts of
classified documents will be protected according to their security
classification, but will not be subject to accountability control
unless they are forwarded outside of OMB.
(d) Typewriter ribbons. Typewriter ribbons, cassettes, and other
devices used in the production of classified material will be removed
from the machine after each use and protected as classified material
not subject to controls. Destruction of such materials will be as
prescribed in Sec. 1312.29.
(e) Reproduction. Classified material will be reproduced only as
required unless prohibited by the originator for the conduct of
business and reproduced copies are subject to the same controls as are
the original documents. Top Secret material will be reproduced only
with the written permission of the originating agency.
Sec. 1312.27 Top secret control.
The EOP Security Officer serves as the Top Secret Control Officer
(TSCO) for OMB. He will be assisted by the Alternate TSCOs in each
division/office Holding Top Secret material. The ATSCOs will be
responsible for the accountability and custodianship of Top Secret
material within their divisions/offices. The provisions of this section
do not apply to special intelligence material, which will be processed
as prescribed by the controlling agency.
(a) Procedures. All Top Secret material produced or received in OMB
will be taken to the appropriate ATSCO for receipting, establishment of
custodianship, issuance to the appropriate action officer, and, as
appropriate, obtaining a receipt. Top Secret material in the custody of
the TSCO or ATSCO will normally be segregated from other classified
material and will be stored in a safe under his or her control. Such
material will be returned to the appropriate ATSCO by action officers
as soon as action is completed. OMB Form 87 will be used
[[Page 25431]]
to establish custody, record distribution, routing, receipting and
destruction of Top Secret material. Top Secret Access Record and Cover
Sheet (Standard Form 703) will be attached to each Top Secret document
while it is in the possession of OMB.
(b) Inventory. The Associate Director (or Assistant Director) for
Administration will notify each appropriate OMB office to conduct an
inventory of its Top Secret material by May 1 each year. The head of
each office will notify the EOP Security Officer when the inventory has
been satisfactorily completed. Each Top Secret item will be examined to
determine whether it can be downgraded or declassified, and the
inventory will be adjusted accordingly. Discrepancies in the inventory,
indicating loss or possible compromise, will be thoroughly investigated
by the EOP Security Officer or by the Federal Bureau of Investigation,
as appropriate. Each ATSCO will retain his/her division's inventory in
accordance with the security procedures set forth in this regulation.
Sec. 1312.28 Transmission of classified material.
Prior to the transmission of classified material to offices outside
OMB, such material will be enclosed in opaque inner and outer covers or
envelopes. The inner cover will be sealed and marked with the
classification, and the address of the sender and of the addressee. The
receipt for the document, OMB Form 87, (not required for Confidential
material) will be attached to or placed within the inner envelope to be
signed by the recipient and returned to the sender. Receipts will
identify the sender, the addressee, and the document, and will contain
no classified information. The outer cover or envelope will be sealed
and addressed with no identification of its contents.
(a) Transmittal of Top Secret Material. The transmittal of Top
Secret material shall be by personnel specifically designated by the
EOP Security Officer, or by Department of State diplomatic pouch, by a
messenger-courier system specifically created for that purpose.
Alternatively, it shall be taken to the White House Situation Room for
transmission over secure communications circuits.
(b) Transmittal of Secret Material. The transmittal of Secret
material shall be as follows:
(1) Within and between the fifty States, the District of Columbia,
and Puerto Rico: Use one of the authorized means for Top Secret
material, or transmit by U.S. Postal Service express or registered
mail.
(2) Other Areas. Use the same means authorized for Top Secret, or
transmit by U.S. registered mail through Military Postal Service
facilities.
(c) Transmittal of Confidential Material. As identified in
paragraphs (a) and (b) of this section, or transmit by U.S. Postal
Service Certified, first class, or express mail service within and
between the fifty States, the District of Columbia, and Puerto Rico.
(d) Transmittal between OMB offices and within the EOP complex.
Classified material will normally be hand carried within and between
offices in the Executive Office of the President complex by cleared OMB
employees. Documents so carried must be protected by the appropriate
cover sheet or outer envelope. Top Secret material will always be hand
carried in this manner. Secret and Confidential material may be
transmitted between offices in the EOP complex by preparing the
material as indicated above (double envelope) and forwarding it by
special messenger service provided by the messenger center. The
messenger shall be advised that the material is classified. Receipts
shall be obtained if Top Secret or Secret material is being transmitted
outside of OMB. Classified material will never be transmitted in the
Standard Messenger Envelope (SF Form 65), or by the Mail Stop system.
Sec. 1312.29 Destruction.
The destruction of classified material will be accomplished under
the direction of the TSCO or the appropriate ATSCO, who will assure
that proper accountability records are kept. Classified official record
material will be processed to the Information Systems and Technology,
Records Management Office, Office of Administration, NEOB Room 5208, in
accordance with OMB Manual Section 540. Classified nonrecord material
will be destroyed as soon as it becomes excess to the needs of the
office. The following destruction methods are authorized:
(a) Shredding. Using the equipment approved for that purpose within
OMB offices. Shredders will not accommodate typewriter ribbons or
cassettes. Shredding is the only authorized means of Destroying Top
Secret material.
(b) Burn Bag. Classified documents, cassettes, ribbons, and other
materials at the Secret level or below, not suitable for shredding, may
be destroyed by using burn bags, which can be obtained from the supply
store. They will be disposed of as follows:
(1) OEOB. Unless on an approved list for pick-up of burn bags, all
other burn bags should be delivered to Room 096, OEOB between 8:00 a.m.
and 4:30 p.m. Burn bags are not to be left in hallways.
(2) NEOB. Hours for delivery of burn bag materials to the NEOB
Loading Dock Shredder Room are Monday through Friday from 8:00 a.m. to
9:30 a.m.; 10:00 a.m. to 11:00 a.m.; 11:45 a.m. to 1:30 p.m. and 2:00
p.m. to 3:30 p.m. The phone number of the Shredder Room is 395-1593. In
the event the Shredder Room is not manned, do not leave burn bags
outside the Shredder Room as the security of that material may be
compromised.
(3) Responsibility for the security of the burn bag remains with
the OMB office until it is handed over to the authorized representative
at the shredder room. Accountability records will be adjusted after the
burn bags have been delivered. Destruction actions will be recorded on
OMB Form 87 by the division TSCO or by the appropriate ATSCO at the
time the destruction is accomplished or at the time the burn bag is
delivered to the U.D. Officer.
(c) Technical Guidance. Technical guidance concerning appropriate
methods, equipment, and standards for destruction of electronic
classified media, processing equipment components and the like, may be
obtained by submitting all pertinent information to NSA/CSS Directorate
for Information Systems Security, Ft. Meade, Maryland 20755.
Specifications concerning appropriate equipment and standards for
destruction of other storage media may be obtained from the General
Services Administration.
Sec. 1312.30 Loss or possible compromise.
Any person who has knowledge of the loss or possible compromise of
classified information shall immediately secure the material and then
report the circumstances to the EOP Security Officer. The EOP Security
Officer will immediately initiate an inquiry to determine the
circumstances surrounding the loss or compromise for the purpose of
taking corrective measures and/or instituting appropriate
administrative, disciplinary, or legal action. The agency originating
the information shall be notified of the loss or compromise so that the
necessary damage assessment can be made.
Sec. 1312.31 Security violations.
(a) A security violation notice is issued by the United States
Secret Service when an office/division fails to properly secure
classified information. Upon discovery of an alleged security
violation, the USSS implements their
[[Page 25432]]
standard procedures which include the following actions:
(1) Preparation of a Record of Security Violation form;
(2) When a document is left on a desk or other unsecured area, the
officer will remove the classified document(s) and deliver to the
Uniformed Division's Control Center; and
(3) Where the alleged violation involves an open safe, the officer
will remove one file bearing the highest classification level, annotate
it with his or her name, badge number, date and time, and return the
document to the safe, which will then be secured. A description of the
document will be identified in the Record of Security Violations and a
copy of the violation will be left in the safe.
(b) Office of record. The EOP Security Office shall serve as the
primary office of record for OMB security violations. Reports of
violations will remain in the responsible individual's security file
until one year after the individual departs the Executive Office of the
President, at which time all violation reports will be destroyed.
(c) Compliance. All Office of Management and Budget employees will
comply with this section. Additionally, personnel on detail or
temporary duty will comply with this section, however, their parent
agencies will be provided with a copy of any security violation
incurred during their period of service to OMB.
(d) Responsibilities for processing security violations. (1) EOP
Security Officer. The EOP Security Officer shall provide OMB with
assistance regarding Agency security violations. Upon receipt of a
Record of Security Violation alleging a security violation, the EOP
Security Officer shall:
(i) Prepare a memorandum to the immediate supervisor of the office/
division responsible for the violation requesting that an inquiry be
made into the incident. Attached to the memorandum will be a copy of
the Record of Security Violation form. The receiving office/division
will prepare a written report within five working days of its receipt
of the Security Officer's memorandum.
(ii) Provide any assistance needed for the inquiry conducted by the
office/division involved in the alleged violation.
(iii) Upon receipt of the report of inquiry from the responsible
office/division, the EOP Security Officer will:
(A) Consult with the OMB Associate Director (or Assistant Director)
for Administration and the General Counsel;
(B) Determine if a damage assessment report is required. A damage
assessment will be made by the agency originating the classified
information, and will be prepared after it has been determined that the
information was accessed without authorization; and
(C) Forward the report with a recommendation to the OMB General
Counsel.
(2) Immediate supervisors. Upon receipt of the EOP Security
Officer's security violation memorandum, the immediate supervisor will
make an inquiry into the alleged incident, and send a written report of
inquiry to the EOP Security Officer. The inquiry should determine, and
the related report should identify, at a minimum:
(i) Whether an actual security violation occurred;
(ii) The identity of the person(s) responsible; and
(iii) The probability of unauthorized access.
(3) Deputy Associate Directors (or the equivalent) will:
(i) Review and concur or comment on the written report; and
(ii) In conjunction with the immediate supervisor, determine what
action will be taken to prevent, within their area of responsibility, a
recurrence of the circumstances giving rise to the violation.
(e) Staff penalties for OMB security violations. When assessing
penalties in accordance with this section, only those violations
occurring within the calendar year (beginning January 1) will be
considered. However, reports of all previous violations remain in the
security files. These are the standard violation penalties that will be
imposed. At the discretion of the Director or his designee, greater or
lesser penalties may be imposed based upon the circumstances giving
rise to the violation, the immediate supervisor's report of inquiry,
and the investigation and findings of the EOP Security Officer and/or
the OMB Associate Director (or Assistant Director) for Administration.
(1) First violation:
(i) Written notification of the violation will be filed in the
responsible individual's security file; and
(ii) The EOP Security Officer and/or the Associate Director (or
Assistant Director) for Administration will consult with the respective
immediate supervisor, and the responsible individual will be advised of
the penalties that may be applied should a second violation occur.
(2) Second violation:
(i) Written notification of the violation will be filed in the
responsible individual's security file;
(ii) The EOP Security Officer and/or the Associate Director (or
Assistant Director) for Administration will consult with the respective
Deputy Associate Director (or the equivalent) and immediate supervisor
and the responsible individual who will be advised of the penalties
that may be applied should a third violation occur; and
(iii) A letter of Warning will be placed in the Disciplinary Action
file maintained by the Office of Administration, Human Resources
Management Division.
(3) Third violation:
(i) Written notification of the violation will be filed in the
responsible individual's security file;
(ii) The EOP Security Officer and/or the Associate Director (or
Assistant Director) for Administration will consult with the OMB Deputy
Director, General Counsel, the respective Deputy Associate Director (or
equivalent), and the immediate supervisor and the responsible
individual who will be advised of the penalties that may be applied
should a fourth violation occur; and
(iii) A Letter of Reprimand will be placed in the Disciplinary
Action file maintained by the OA/HRMD.
(4) Fourth violation:
(i) Written notification of the violation will be filed in the
responsible individual's security file;
(ii) The EOP Security Officer and/or the Associate Director (or
Assistant Director) for Administration will consult with the OMB
Director, Deputy Director, General Counsel, the respective Deputy
Associate Director (or the equivalent), and immediate supervisor;
(iii) The responsible individual may receive a suspension without
pay for a period not to exceed 14 days; and
(iv) The responsible individual will be advised that future
violations could result in the denial of access to classified material
or other adverse actions as may be appropriate, including dismissal.
Subpart C--Mandatory Declassification Review
Sec. 1312.32 Purpose and authority.
Other government agencies, and individual members of the public,
frequently request that classified information in OMB files be reviewed
for possible declassification and release. This subpart prescribes the
procedures for such review and subsequent release or denial. It is
issued under the authority of Executive Order 12958 (60 FR 19825, 3
CFR, 1995 Comp., p. 333),
[[Page 25433]]
as implemented by Information Security Oversight Office Directive No. 1
(32 CFR part 2001).
Sec. 1312.33 Responsibility.
All requests for the mandatory declassification review of
classified information in OMB files should be addressed to the
Associate Director (or Assistant Director) for Administration, who will
acknowledge receipt of the request. When a request does not reasonably
describe the information sought, the requester shall be notified that
unless additional information is provided, or the scope of the request
is narrowed, no further action will be taken. All requests will receive
a response within 180 days of receipt of the request.
Sec. 1312.34 Information in the custody of OMB.
Information contained in OMB files and under the exclusive
declassification jurisdiction of the office will be reviewed by the
office of primary interest to determine whether, under the
declassification provisions of the Order, the requested information may
be declassified. If so, the information will be made available to the
requestor unless withholding is otherwise warranted under applicable
law. If the information may not be released, in whole or in part, the
requestor shall be given a brief statement as to the reasons for
denial, a notice of the right to appeal the determination to the Deputy
Director, OMB, and a notice that such an appeal must be filed within 60
days in order to be considered.
Sec. 1312.35 Information classified by another agency.
When a request is received for information that was classified by
another agency, the Associate Director (or Assistant Director) for
Administration will forward the request, along with any other related
materials, to the appropriate agency for review and determination as to
release. Recommendations as to release or denial may be made if
appropriate. The requester will be notified of the referral, unless the
receiving agency objects on the grounds that its association with the
information requires protection.
Sec. 1312.36 Appeal procedure.
Appeals received as a result of a denial, see Sec. 1312.34, will be
routed to the Deputy Director who will take action as necessary to
determine whether any part of the information may be declassified. If
so, he will notify the requester of his determination and make that
information available that is declassified and otherwise releasable. If
continued classification is required, the requestor shall be notified
by the Deputy Director of the reasons thereafter. Determinations on
appeals will normally be made within 60 working days following receipt.
If additional time is needed, the requestor will be notified and this
reason given for the extension. The agency's decision can be appealed
to the Interagency Security Classification Appeals Panel.
Sec. 1312.37 Fees.
There will normally be no fees charged for the mandatory review of
classified material for declassification under this section.
[FR Doc. 97-12247 Filed 5-8-97; 8:45 am]
BILLING CODE 3110-01-P
