FEDERAL REGISTER INTERAGENCY CLASSIFICATION REVIEW COMMITTEE

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP87B01034R000200070001-6
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 7
• Document Creation Date: December 16, 2016
• Document Release Date: August 10, 2005
• Sequence Number: 1
• Publication Date: October 5, 1978
• Content Type: REGULATION

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"' N` T E R" A ("D EN-"C Y.
CLASSIFICATION-
REVIEW
COMMITTEE
INFORMATION
SECURITY
OVERSIGHT
OFFICE
National Security
Information
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 46280
[6820-171
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RULES AND REGULATIONS
Marking Derivatively Classified Docu-
ments.
Classification Guides.
Section III. Declassification and
Downgrading
Title 32-Notional Defense
CHAPTER XX-INYERAGENCY CLAS-
SIFICATION REVIEW COMMITTEE
(Directive No. 13
INFORMATION SECURITY OVERSIGHT
OFFICE
National Security Information
AGENCY: Interagency Classification
Review Committee (ICRC).
ACTION: Implementing directive.
SUMMARY: The Interagency Classifi-
cation Review Committee is publishing
this directive to implement Executive
Order 12065, relating to the classifica-
tion, downgrading, declassification and
safeguarding of national security in-
formation. This directive was ap-
proved by the National Security Coun-
cil for publication and issuance on
September 29. 1978. The Executive
order is intended to increase openness
in Government by limiting classifica-
tion and accelerating declassification
but at the same time, providing im-
proved protection against unauthor-
ized disclosure for that information
that requires such protection in the
interest of national security. This di-
rective sets forth guidelines to agen-
cies on original and derivative classifi-
cation, downgrading, declassification
and safeguarding of national security
information.
EFFECTIVE DATE: December 1,
1978.
FOR FURTHER INFORMATION
CONTACT:
Robert W. Wells, Executive Director,
ICRC, Telephone: [phone].
A Record Requirements.
B Declassification Policy.
C Systematic Review for Declassification.
D Procedures for Mandatory Declassifica-
tion Review.
Section IV. Safeguarding
A General.
B General Restrictions on Access.
C . Access by Historical Researchers
Former Presidential Appointees.
D Dissemination.
E Accountability Procedures.
F Storage-
0 Transmittal.
H Loss or Possible Compromise.
I Destruction.
Section V. Implementation and Review:
Challenges to Classification
Section VI. General Provisions
A Notification.
B Posted Notice.
C Downgrading, Declassification,
grading Markings.
D Combat Operations.
E Publication and Effective Date.
shall not create any presumption as to
whether the information meets the
damage tests (1-302 and 1-303).
F. Foreign government infonna-
tion.-1. Identification. "Foreign gov-
ernment information" Is:
a. Information provided to the
United States by a foreign government.
or international organization of gov-
ernments in the expectation, express
or implied, that the Information is to
be kept in confidence; or
b. 'Information produced by the
United States pursuant to a written
joint arrangement with a foreign gov-
ernment or international organization
of governments requiring that either
the information or the arrangement,
or both, be kept in confidence. Such a
written joint arrangement may be evi-
denced by an exchange of letters, a
memorandum of understanding, or
other written record (1-303 and 6-103).
2. Duration of classification. Unless
the guidelines developed pursuant to
section 3-404 of the ordei or other
guidelines prescribe dates or,events for
declassification or for review for de-
classification:
a. Foreign government information
shall not be assigned a date or event
for automatic declassification unless
A. Definition. "Original classifica. such is specified or agreed to by the
tion" as used in the order means an foreign government or international
initial determination that information organization of governments.
requires protection against unauthor b. Foreign government information
ized disclosure in the interest of na- classified after the effective date of
tional security, and a designation of the order shall be assigned a date for
the level of classification (1).` review for declassification up to 30
B. Classification authority. In the years from the time the information
absence of an authorized classifier, was classified or acquired. (1-402 and
anyone designated to act in that per. 3-404).
son's absence may exercise the elassi? G. Standard identification . and
fier's authority (1-204). markings. At the time of original clas-
C. Request for classification authori- sification, the following shall be
ty. Requests for original classification shown on the face of paper copies of
authority for agencies not listed in sec- all classified documents:
tion 1-2 of the order shall be submit- 1. Identity of classifier. The identity
ted to the President through the In- of the classifier, unless also the signer
formation Security Oversight Office. or approver of the document, shall be
Requests shall include: (1) The desig- shown on a "classified by" line; e.g.,
nation of the officials for whom or po- ?Classified by John Doe" or "Classi-
(2) for
level wriofauthority authority i re e soughte. fied by Director, XXX" (1-501(a)).
and the h (3) the justification for such re- - 2 Date of classification and office of
uingorigin. The date and office of origin
type quests of information aation description that is s anticipated of on a document at the time of its origi-
to the e
to require original classification (1-2). nation may be considered the date of.
D. Record requirements. Agencies classification and identification of the
and officials granted original classifi. office of origin (1-501(b)).
cation authority pursuant to section 1- 3. Date or event for declassification
2 of the order shall maintain a current or review. The date for automatic de-
listing, by classification designation, of classification or for declassification
individuals to whom or positions to review shall be shown on a "declassify
which original classification authority on" or a "review for declassification
has been delegated (1-2). on" line; e.g., "Declassify on 1 Novem.
E. CIassificat'}on procedure. Except ber 1984." "Declassify on completion
as provided in section 1-303 of the of State fication visit." 1 or "Review November for de lass (1-
concerns the fact that the information on
concerns one or more of the qualifying 501(c)).
criteria or categories of information 4. Downgrading markings. When it
1 ?ification
i
SUPPLEMENTARY INFORMATION:
This directive is issued pursuant to the
provisions of section 6-204 of Execu-
tive Order 12065. The purpose of the
directive is to assist in the Implemen-
tation of Executive Order 12065. and
users of the directive shall refer con-
currently to the Executive . order for
guidance.
TABLE OF CONTENTS
Section I. Original Classification
A Definition.
B Classification Authority.
C Request for Classification Authority.
D Record Requirements.
F Classification Procedure.
F Foreign Government Information.
G Standard identification and Markings.
II Additional Markings Required.
l Abbreviations.
S, cLlOei 11. Derivative Classification
A Definition.
13 Resp0ns1bil1ty.
'Parenthetical references are to related
sections of Executive Order 12065.
n a c
Is determined (e.g.,
guide) that a classified document
should be downgraded automatically
FEDERAL REGISTER, VOL. 43, NO. 194-THURSDAY, OCTOBER 5, 1978
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RULES AND REGULATIONS
at at certain date or upon a certain
event, that date or event shall be re-
corded on the face of the document:
t'.g., "Downgraded to Secret on 1 No-
vember 19f)0" or "Downgraded to Con-
fidential on I December 1985" (1-5).
5. Identity of extension authority.
The identity of the official who autho.
rises a date for declassification or for
revltw for declassificntion that is more
than 6 years beyond the date of the
document's classification shall be
shown on the document, unless that
official also is the classifier, Signer, or
approver of the document. This mark-
iiig shall be shown substantially as fol-
lows: "Extended by (Insert name or
title of position of agency head or Top
Secret classification authority)" 0-
502).
6. Reason for extension. When classl-
fication is extended beyond 6 years,
the reason shall be stated on the docu-
ment either in narrative form or by
reference to an agency regulation that
states the reason for extension In nar-
rative form. The reason shall be
shown substantially as follows:
"Reason for extension: (State reason
or applicable reference)" (1-502).
7. Overall and page marking of docu-
rttrrits. The overall classificaLion of a
document shall be marked, stamped,
or affixed permanently 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 out-
side of the bark cover (if any). Each
interior page of a classified document
shalt be marked or stamped at the top
and bottom either according to the
highest classification of the content of
the page. including the designation
"Unclassified" when appropriate, or
according to the highest overall classi-
fication of the document. In any case,
the classification marking of the page
shall not supersede the classification
marking of portions of the page
marked with lower levels of classifica-
tion (1-501(d)).
8. Sabjeet and titles. Whenever prac-
ticable, subjects and titles shall be se-
lected so as not to require classifica-
t ton. Witeti the subject or title is clas-
sified, an unclassified identifier may
bi assigned to facilitate receipLing and
reverence (1-5).
9. Alandatory portion marking. Clas-
sifiers shall identify the level of clas;;i-
firation of each classified portion of a
(!ucurnerrt (including subjects and
titles), and those portions that are not.
classified. Portion marking shall he ac-
complished by placing a parenthetical
dcsigtiitor immediately preceding or
fcllce ii' the text that it governs. The
>.ymbc Ls -k'VS)" for top secret, "(S)"
for Secret, "(C)" for confidential, and
"(U)" for un(1:Lssi:ivd shall be used for
hits purpose. It ind?,vidual portion
marking Is impracticable, the ducu-
ment si ill contrln a drscript.inn suffi-
dent to ldt-ntify the Information that
is classified and the level of such clns-
sificatlon. A waiver of the portion
marking requirement may be granted
by the Director of the Information Se-
curity Oversight Office. Requests for
such waivers shall be made by the
head of an agency or designee to the
Director and shall include: (a) Identifi-
ration of the information or classes of
documents for which such waiver is
sought, (b) a detailed explanation of
why the waiver should be granted, (c)
the agency's best Judgment as to the
anticipated dLsseminatlon of the Infor-
mation or class of documents for
which waiver is sought, and (d) the
extent to which the information sub-
Ject to the waiver may form a basis for
classification of other documents 0-
504).
10. Material other than documents.
The classification and associated
markings prescribed by this directive
of documents shall, where practicable,
be affixed to material other than doc-
uments by stamping, tagging, or other
means. If this is not practicable, recipi-
ents shall be made aware of the classi-
fication and associated markings by
notification or other means as pre-
scribed by the agency (1-5).
11. Transmittal documents. A trans-
mittal document shill indicate on its
face the highest classification of the
information transmitted by it and the
classification, if any, of the transmit-
tal document. For example, an unclas-
sified transmittal document should
hear a notation 'substantially as fol-
lows: "Unclassified When Classified
Enclosure is Detached" (1-5).
12. Marking foreign government in-
fonnution. Except In those cases
where such markings would reveal In-
telligence information, foreign govern-
ment Information Incorporated in
United States documents shall. when.
ever practicable, be identified In such
manner as?to ensure that the foreign
government information is not declas-
sified prematurely or made accessible
to nationals of a third country without.
consent of the originator. Documents
classified by a foreign government or
an international organization of gov-
ernments shall, If the foreign classifi-
cation Is not in English, be marked
with the equivalent U.S. classification.
Foreign government information not.
classified by a foreign government or
an international organization of gov-
ernments but provided to the United
States in confidence by a foreign gov-
ernment or by an international organi-
-i.Aion of governments shall be classi-
fi('d at an appropriate level and shall
be marked with the U.S- classification
accordingly (1-5).
11. Additional markings required. In
addition to the marking requirements
in paragraph G. the following mark-
ings shall, as appropriate. be displayed
prominently on classified information.
When display of these additional
markings is not practicable, their ap-
plicability to the Information shall be
included in the written notification of
the assigned classification (1-5).
1. Restricted data or formerly re-
stricted data. For classified informa-
tion containing restricted data or for-
merly restricted data as defined in the
Atomic Energy Act of 1954, as amend-
ed, such markings as may be pre-
scribed by the Department, of Energy
in regulations issued pursuant to the
act shall be applied.
2. Intelligence sources and methods
information. For classified informa-
Lion involving intelligence sources or
methods: "Warning Notice-Intelli-
gence Sources and Methods Involved".
3. Dissemination and reproduction
notice- For classified Information that
the originator has determined, pursu.
ant to section 1-506 of the order,
should be subject to special dissemina-
tion or reproduction .limitations. 'or
both, a statement placing the user on
notice of the restrictions shall be in-
cluded In the text of the document or
on its cover sheet: e.g., "Reproduction
renuires approval of originator,"' or
"Further dissemination only as direct-
ed by (Insert appropriate office or of-
ficial)' (1-506).
I. Abbreviations. ' Classified docu-
ments that are transmitted electrically
may be marked with abbreviations or
codes in a single line to satisfy the re-
quirements of each subsection of para-
graphs G and 11 In a manner consist-
ent with economic and efficient use of
electrical transmission systems, pro?
vided that the full text represented by
each such abbreviation or code and its
relation to each subsection of para-
graphs G and H is readily available to
each expected user of the classified
documents affected.
U. DI"RIVATrVE CLASSIFICATION
A. Definition. "Derivative classlflcr.-
Lion" as used in the order means a de-
termination that L?rformatioti is in sub.
stance the same as irJorrnation that it
currently classified, and a designation
of the level of classification (2-1).
B. Responsibility. Derivative applica-
tion of classification markings is a re-
sponsibility of those who incorporate,
paraphrase, restate. or generate in
new fo*m information that is already
classified, and of those who apply
markings In accordance with instnrc-
(ions from an authorized classifier or
in accordance with an authorized clas-
sification guide. Persons who apply de-
rivative classification rarking3 should
Lake care to determine whether their
paraphrasing, restating, or surranari.-
trig of classified information has re-
moved the basis for classification.
Where checks with originators or
other appropriate inquiries show that
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ciasstltcation or a tower ciassirrca?
n than originally assigned is appro-
ate, the derivative document shall
Issued as unclassified or shall be
irked appropriately (2-101 and 2-
D.
Marking derivatively classified
, umcnts. Paper copies of derivative-
classified documents shall be
rked at the time of origination as
lows:
. The classification authority shall
shown on a "classified by" line; e.g.,
lassified by (Insert Identity of clas-
ication guide)" or "Classified by
,sert source of original classifica-
n)." If the classification is derived
?m more than one source, the single
rase "multiple sources" may be
ram, provided that Identification of
?h such source is maintained with
file or record copy of the docu-
nt (2-102(c));
:. The Identity of the office originat-
the derivatively classified docu-
nt shall be shown on the face of the
cument (2-102);
. Dates or events for declassifica-
n or review shall be carried forward
on the source material or classifica-
n guide and shown on a "declassify
" or "review for declassification on"
e. If the classification Is derived
on more than one source, the latest
to for declassification or review ap-
cable to the various source materl-
shall be applied to the new infor-
Aion (2-102(c));
,. The classification marking provi-
ns of sections I.G. 7 through 9 and
i. 12 are also applicable to deriva-
ely classified documents (2-102(c));
i. Any additional marking under sec-
n I.H. of this directive appearing on
source material shall be carried
-ward to the new material when ap-
opriate (2-102(c)); and
3. Any abbreviation or code permit-
I under section I. I. of this directive
Iy be applied to derivatively classi-
?d documents.
). Classification guides.-1. Require-
-nLs. Classification guides issued
rsuant to section 2-2 of the order
all:
i. Identify the Information to be
otected, using categorization to the
tent necessary to Insure that the in-
-mation involved can be Identified
tdily and uniformly (2-201);
,. State which of the classification
slgnations (i.e., top secret, secret, or
nfidential) applies to the Informa-
.n (2-201);
~. State the duration of classification
terms of a period of time or future
ent. When such duration is to
reed 6 years. the reason for such ex-
nsion shall be provided In the guide.
yaever, if the inclusion of classified
asons would result in a level of clas-
ication for a guide that would inhib-
its desirable and required dissemina-
Lion, tnose reasons ncea oe recoroea
only on or with the record copy of the
guide (2-201); and
d. Indicate how the designations,
time limits, markings, and other re-
quirements of the order and this direc-
tive are to be applied, or make specific
reference to agency regulations that
provide for such application (2-201).
2. Review and record requirements.
Each classification guide shall be kept
current and shall be reViewed at least
once every 2 years. Each agency shall
maintain a list of all Its classification
guides in current use (2-2).
111. DECLASSIr1CATION AiqD
DOWNGAADINO
A. Record requirements. Agencies
and officials granted original classifi-
cation authority pursuant to section 1-
2 of the order shall maintain a record
of individuals or positions designated
as declassification authorities pursu-
ant to section 3-103 of the order (3-
103).
B. Declassification policy. In making
determinations under section 3-303 of
the order, officials shall respect the
intent of the order to protect foreign
government information and confiden-
tial foreign sources (3-303).
C. Systematic Review for Dcclassifi-
cation.-1. Systematic review guide-
tines.
a. U.S. originated Information. Sys-
tematic review guidelines. shall be kept
current through review at least every
2 years, unless earlier review for revi-
sion is requested by the Archivist of
the United States (3-402).
b. Foreign government information.
Within 1 year after the effective date
of the order, heads of affected agen-
cies shall, in consultation with the Ar-
chivist and in accordance with the pro-
visions of section 3-404 of the order,
develop systematic review guidelines
for 30-year-old foreign government in-
formation. These guidelines shall be
kept current through review by
agency heads at least once every 2
years, unless earlier review for revision
Is requested by the Archivist of the
United States. A copy of these guide-
lines and any revisions thereto shall
be furnished to the Information Secu-
rity Oversight Office. Upon request,
the Department of State shall provide
advice and such assistance as is neces-
sary to effect foreign government co-
ordination of the guidelines (3-404).
2. Systematic review procedures.-a.
Scheduling for systematic review. Clas-
sified nonpermanent records that are
scheduled to be retained for more
than 20 years need not be systemati-
cally reviewed but shall be reviewed
for declassification upon request.
Within 60 days of the effective date of
the order, heads of agencies and offi-
cials designated by the President pur-
suant to section 1-2 of the order shall
direct Ltlat air cituss lea recorua cv
years old or older, whether held In
stornge areas by the agency or in Fed
cral records centers, be surveyed to
identify these that require sehedttii.Lg
for future disposition. Such scheduling
shall be accomplished within 2 years
of the effective date of the order (3-
401).
b. Extending classification after
review.-(1) Foreign governmcn; infor-
mation. Agency heads listed In section
1-2 and officials designated by the
President pursuant to section 1-201 of
the order may extend the classifica-
tion of foreign government informa-
tion beyond 30 years, but only in ac-
cordance with sections 3-3 and 3-404.
This authority may not be delegated.
When classification is extended
beyond 30 years, a date no more than
10 years later shall be set for declassi-
fication or for the next review. Subse-
quent reviews for declassification shall
be set at no more than 10-year Inter-
vals (3-404).
(2) Waivers of further review. Heads
of agencies listed In section 1-2 and of-
ficials designated by the '.President
pursuant to sectior) 1-201 of the order
may request from the Director of the
Oversight Office a waiver of the 10-
year review requirement for both U.S.-
originated and foreign government in-
formation. Such requests shall include
a personal certification by the agency
head that the classified information
for which the waiver Is sought has
been systematically reviewed as re-
quired, and that a definitive date for
declassification could not be deter-
mined. Waivers should not he request-
ed unless-the results of the review
have established an identifiable need
to continue classification for a period
in excess of 20 additional years. Each
request shall include a recommended
date or event for subsequent review or
automatic declassification (3-401).
C. Assistance to the Archivist.-(1)
The head of each agency shall desig-
nate experienced personnel to ' assist
the Archivist of the United States in
the systematic review of 20-year-old
U.S.-originated Information and 30-
year-old foreign government informa-
tion accessioned Into the National Ar-
chives of the United States. Such per-
sonnel shall:
(a) Provide guidance and assistance
to National Archives employees in
identifying and separating documents
and specific categories of information
within documents that are deemed to
require continued classification: and
(b) Submit to the head of the agency
recommendations for continued classi-
fication that Identity documents or
specific categories of information so
separated.
(2) The head of the agency shall
then make the determinations person-
ally and in writing required under sec-
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nnation in Its custody that was ciassi-
fled by another agency, in shall for-
ward the request to the appropriate
agency for review, together with a
copy of the document containing the
information requested where practica-
ble, and with its recommendation to
withhold any of the information
where appropriate. Unless the agency
that Classified the Information objects
on grounds that Its )uuvociaLIon with
the Infonnation requires protection,
the agency that received the request
shall also notify the requestor of the
referral. After the agency that elassl-
fled the information. completes Its
review (in coordination with other
agencies that a direct interest In the
subject matter), a response shall be
sent to the requestor in accordance
with the procedures described above.
If requested, the agency shall also
communicate its determination to the
referring agency (3-501).
d. Action on appeal. The head of an
agency or a designee shall establish
procedures to act within 30 days upon
all appeals of denials of requests for
declassification. These procedures
shall provide for meaningful appellate
consideration, shall be forwarded to
the Oversight Office for review, and
shall be published in the FEDERAL REG-
isTta.In accordance with these proce-
dures, agencies shall determine wheth-
er continued classification is required
In whole or In part, notify the regmes-
tor of the determination, and make
available any information that is de-
ClaLssified and otherwise releasable. If
continued classification Is required
under the provisions of section 3-3 of
the order, the requestor shall be noti-
fied of the reasons therefor. If re-
quested, the agency shall also commu-
nicate the appeal determination to
any referring agency (3-5 and 5-
404(c)).
e. Fees. If the request requires the
rendering of services for which fair
and equitable fees may be charged
pursuant of title 5 of the Independent
Offices Appropriation Act, 65 Stat.
290, 31 U.S.C. 483a (1976), such fees
may be Imposed at the discretion of
the agency rendering the services.
Schedules of such fees shall be pub-
lished in the FEDERAL REGISTER (3-
501). -
2. Foreign,oovernmcnt information.
Except as provided hereinafter, re-
quesui for mandatory review for the
declassification of r1wssitied docu-
ments that contain foreign govern-
ment information shall be processed
and acted upon in accordance with the
provisions of section D.1 above. If the
agency receiving the request is also
the agency that initially received or
classified the foreign government In-
formation, it shall determine whether
the foreign government information In
the document may be dt4la-%sified arid
45283
released in accordance with 'agency
policy or guidelines, aster consult Iasi
with other agencies that have subject
matter into:?rest as necessary. If the
agency receiving the request is not the
agency that received or cla3slfled the
foreign government informatlo n, It
shall refer the request to the appropri-
ate agency, which shall take action es
described above, including its recom-
mendation to withhold any of the In-
formation where appropriate. In those
cases where agency policy or guide-
lines do not apply, consultation with
the foreign originator through appro-
priate channels may be advisable pr:or
to final action on the request (3-5).
IV. SAr cuAPDtxc
A- General Information classified
pursuant to Executive Order 12065 or
prior orders shall be afforded a level
of protection against unauthorized dis-
closure commensurate with Its level of
classification (4-1).
B. General restrictions on access,
1. Determination of need-1o-knot).
Classified Information -shall be made
available to a person only when the
possessor of the classified Information
establishes in each instance, except as
provided In section 4-3 of the order.
that access is essential to the accom-
plishment of official Government
duties or contractual obligations (4-
101).
2. Determination of tnutworthiness.
A person Is eligible for access to clan i
fled Information only after a showtnt
of trustworthiness as determined by
agency heads based upon appropriate
investigations In accordance with ap-
plicable standards and criteria (4-101).
C. Access by historical researchers
and former Presidential appointees.
Agencies shall obtain: (1) Written
agreements from requestors to safe-
guard the information to which they
are given access as permitted by the -
order and this directive; and (2) writ-
ten consent to the agency's review of
their notes and manuscripts for the
purpose of determining that no classl-
tied information is contained therein.
A determination of trustworthiness is
a precondition to a requester's access.
If the access requested by historical
researchers and former Presidential
appointees requires the rendering of
services for which fair and equitable
fees niay be charged pursuant to title
5 of the Independent Offices Appro-
priations Act, 65 Stat. 290, 31 U.S.C.
483a (1976). the requestor shall be so
notified and the fees may be imposed
(4-3).
D. Dissemination. Except as other.
wL;e provided by section 102 of the Na-
tional Security Act of 1941, 61 Stat-
495, 50 U.S.C. 403 (1970 arid Supp. V
1975), classified information or ig nat-
Ing in one agency may not be d:sseznl-
nated outside any other agency to
lion 3-401 of the order as to which
documents or categories of Informs.
lion require continued prat ction. The
agency shall inform the Archivist of
the United States of this determina-
tion (3-4).
d. Special procedures. Special proce-
dures for systematic review and declas
sificatlon of classified cryptologic in-
formation and classified information
concerning the identities of clandes-
tine human agents promulgated in ac-
cordance with the provisions of section
3-403 of the order shall be pinding on
all agencies (3-403).
e. Foreign relations series. In order
to permit the editors of foreign rela-
tions of the United States to meet
their mandated goal of publishing 20
years after the event, heads of depart,
ments and agencies are requested to
assist the editors in the Department of
State by facilitating access to appro-
priate classified materials in their cus-
tody and by expediting declassification
review of items from their files select-
ed for publication (3-4).
D. Procedures for mandatory declas-
sification review.
1. U.S.-originated information.-a.
Action on an initial request. Each
Agency shall designate, in it.s imple-
menting regulations published in the
FEDERAL REr;ISTER, offices to which re-
quests for mandatory review for de-
cia_ssificat ion may be directed. Upon
request for declassification pursuant
to section 3-5 of the order, agencies
shall apply the following procedures:
(I ) The designated offices shall ac-
knowledge receipt of the request.
e2) Whenever a request does not rea-
sonably describe the information
Suugltt, the requestor shall be notified
that unless additional Information is
provided or the scope of the request is
narrowed, no further action hill be un-
dertaken (3-501).
b. Information in the custody of and
under the exclusive declassification
authority of an agency. The designat-
ed office shall determine whether,
under the declassification provisions
of si-clion 3-3 of the order, the re-
quested information may be decl:Ls l-
fu?d and, if so, shall make such infor-
mation available to the requestor,
uniess withholding is otherwise war-
ranted tinder applicable law, If the in-
tortnation may not be released in
whole- or in part, the requestor shall
he QRrn a brief statement as to the
reasonr for denial, a notice of the
ri; ht to appeal the determination to a
designated agency appellate authority
iink?Icding n:une, title, and address of
such atitliority), and a notice that
such an appeal must be filed with the
a gvnc% within 60 days in order to be
con>..dcred (3-501)..
c. lr.'jnnation classified by agencies
otter than the custodial agency. When
au agency receives a request for infor-
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 Approved For Release 2005/08/15 : CIA-RDP87BO1034R000200070001-6
RULES AND REGULATIONS
which it has been made available with-
:)ut the consent of the originating
3gency(4-403).
E. Accountability procedures.-1.
Top secret Top secret control officers
;hall be designated to receive, trans.
mit, and maintain current access and-
iccountabllity records for top secret
reformation. An inventory of top
,curet documents - shall be made at
feast annually; however, heads of
agencies may authorize the annual in-
ventory of top secret documents in re-
positorles, libraries, or activities that
store large volumes of such Informa-
tion to be limited to documents to
which access has been afforded within
the past 12 months. The Director of
the Oversight Office 'may grant a
waiver with respect to the requirement
of an annual inventory for storage sys-
tems involving large volumes of infor-
mation If security measures with re-
spect to such storage systems are ade-
quate to prevent access by unauthor-
ized persons (4-103).
2. Secret and confidential. Secret
and confidential classified information
shall be subject to such controls and
current accountability records as the
head of the agency may prescribe (4-
103).
F. Storage Classified information
shall be stored only in facilities or
under conditions adequate to prevent
unauthorized persons from gaining
access to it (4-103).
11.. Top secret. Top secret informa-
tion shall' be stored in a GSA-ap-
proved, safe-type, steel file cabinet
having a built-in, three-position, dial-
type combination lock or within an ap-
proved vault, or vault-type room, or in
other storage facility that meets the
standards for top secret established
under the provisions of subsection 3
below. In addition, heads of agencies
shall prescribe such additional, supple-
mentary controls as are deemed appro-
priate to restrict unauthorized access
to areas where such information is
stored (4-103).
2. Secret and confidential Secret
and confidential Information shall be
stored in a manner and under the con-
ditions prescribed for top secret infor-
mation, or in a container or vault that
meets the standards for secret or con-
fidential, established pursuant to the
provisions of subsections 3 or 4 below
t4-103).
3. Standards for security equipment
The General Services Administration
shall. in coordination with agencies
originating classified information, es-
tablish and publish uniform standards,
specifications, and supply schedules
for containers, vaults, alarm systems,
and associated security devices suit-
able for the storage and protection of
all categories of classified information.
Any agency may establish more strin-
gent standards for its own use. When-
ever new security equipment is pro-
cured, It shall be in conformance with
the standards and specifications re-
ferred to above and shall, to the maxi-
mum extent practicable, be of the type
designated on the Federal Supply
Schedule, General Services Adminis-
tration (4-103).
4. Exception to standards for securi-
ty equipment-a. Secret and confiden-
tial information may also be stored in
a steel filing cabinet having a built-In,
three-position, dial-type, changeable
combination lock, or a steel filing cabi-
net equipped with a steel lock bar, pro-
vided It is secured by a three-position,
changeable, combination padlock ap-
proved by GSA for the purpose. The
storage of secret information in the
steel filing cabinets described above re-
quires the use of such supplementary
controls, as the head of the agency
deems necessary to achieve the degree
of protection warranted by the sensi-
tivity of the Information Involved (4-
103).
b. For protection of bulky secret and
confidential material (for example,
weaponry containing classified compo-
nents) in magazines, strong rooms, or
closed areas, access oenlngs may be se-
cured by changeable combination or
key-operated, high-security padlocks
approved by GSA. When key-operated
padlocks are used, keys shall be con-
trolled In accordance with subsection 6
below (4-103).
5. Combinations.--a. Equipment in
service. Combinations to dial-type
locks shall be changed only by persons
having appropriate security clearance,
and shall be changed whenever such
equipment is placed In use, whenever a
person knowing the combination no
longer requires access to the combina-
tion, whenever a combination has been
subjected to possible compromise,
whenever the equipment is taken out
of service, and at least once every
year. Knowledge of combinations pro-
tecting classified information shall be
limited to the minimum number-of
persons necessary for operating pur-
poses. Records of combinations shall
be classified no lower than the highest
level of classified information to be
stored in the security equipment con-
cerned (4-103).
B. Equipment out of service. When
security equipment having a built-in
combination lock Is taken out of serv-
Ice, the lock shall be reset to the
standard combination 50-25-50. Com-
bination padlocks shall be reset to the
standard combination 10-20-30 (4-
103).
6. Keys. Heads of agencies shall es-
tablish administrative procedures for
the control and accountability of keys
and locks whenever key-operated,
high-security padlocks are utilized.
The level of protection provided such
keys shall be equivalent to that afford-
ed the classified information being
protected. Under no circumstances
may keys be removed from the prem.
uses. They shall be stored in at secure
container (4-103).
7. Responsibilities of custodians.
Persons entrusted with classified in-
formation shall be responsible for pro-
viding protection and accountablility
for such information at all times and
for locking classified information in
approved security equipment when-
ever it is not in use or under direct su-
pervision of authorized persons; Custo-
dians shall follow - procedures that
insure unauthorized persons do not
gain access to classified information
(4-103).
8. Inspections. Individuals charged
with the custody of classified informa-
tion shall conduct the necessary in-
spections within their areas to insure
adherence to procedural safeguards
prescribed to protect classified infor.
mation. Agency security officers shall
insure that periodic inspections are
made to determine whether.procedur-
al safeguards prescribed by agency
regulations are in effect at all times
(4-103).
G. Transmittal.-1. Preparation and
receipting. Classified Information
shall be enclosed in opaque inner and
outer covers before transmitting. The
inner cover shall be a sealed wrapper
or envelope plainly marked with the
assigned classification and addresses
of both sender and addressee. The
outer cover shall be sealed and ad-
dressed with no identification of the
classification of its contents. A receipt
shall be attached to or enclosed in the
Inner cover, except that confidential
Information shall,'require a receipt
only if the sender deems it necessary.
The receipt shall Identify the sender,
addressee, and the document, but shall
contain no classified Information. It
shall be Immediately signed by the re-
cipient and returned to the sender..
Any of these wrapping and receipting
requirements may be waived by
agency heads under conditions that
will provide adequate protection and
prevent access by unauthorized per-
sons (4-103).
2. Transmittal of top secret The
transmittal of top secret information
shall be by specifically designated per-
sonnel, by State Department diplo-
matic pouch, by a messenger-courier
system specially created for that pur-
pose, or over authorized secure com-
munications circuits (4-103).
3. Transmittal of secret The trans-
mittal of secret material shall be ef-
fected in the following manner:
a. The 50 States, District of Colum-
bia, and Puerto Rico. Secret informa-
tion may be transmitted within and
between the 50 States, District of Co-
lumbia, and Puerto Rico by one of the
means authorized for top secret infor-
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nintlon, by the U.S. Postal Service reg.
lstered mail, or by protective services
provided by U.S. air or surface com-
mercial carriers under such conditions
as may be prescribed by the head of
the agency concerned (4-103).
b. Canadian Government Installa.
lions. Secret information may be
transmitted to and betwten United
States Government and Canadian
Government Installations In the 50
States, the District of Columbia, and
Canada by United States arid Canadi-
an registered mail with registered mail
receipt (4-103).
c. Other areas. Secret Information
may be transmitted from, to, or within
areas other than those specified In
subsections a or b above by one of the
means established for top secret infor-
mation, or by U.S. registered mail
through Army, Navy, or Air Force
Postal Service facilities provided that
the information does not at any time
pass out of U.S. citizen control and
does not pass through a foreign postal
system. Transmittal outside such areas
may also be accomplished under escort
of appropriately cleared personnel
aboard U.S. Government and U.S.
Government contract vehicles or air,
craft, ships of the United States Navy,
civil service manned U.S. Naval ships,
and ships of U.S. Registry. Operators
of vehicles, captains or masters of ves-
sels, and pilots of aircraft who are U.S.
cftizens and who are appropriately
cleared may be designated as escorts
(4-103).
4. Transmittal of confidential infor-
mation. Confidential Information
shall be transmitted within and be-
tween the 50 States, the District of Co-
lumbia, the Commonwealth of Puerto
Rico, and U.S. territories or posses-
sions by one of the means established
for higher classifications, or by U.S.
Postal Service certified, first class, or
express mail service when prescribed
by an agency head. Outside these
areas. confidential Information shall
be transmitted only as is authorized
for higher classifications (4-103).
RULES AND REGULATIONS
H. Loss or possible compromise. Any Ing of large quantities of informatiol
person who has knowledge of the loss would be unduly burdensome, the cu!~
or possible compromise of classified In. todian may attach a change of classff
formation shall Immediately report cation notice to the storage unit 1,
the circumstances to an official desig. lieu of the marking action otherwis,
nated by the agency or organization, required. Each notice shall Indicat;
In turn, the orginating agency shall be the change, the authority for thl
notified about the loss or compromise action, the date of the action, and th,
in order that a damage assessment storage units to which it applies. Ivan
may be conducted and appropriate permanently withdrawn from suci
measures taken to negate or minimize storage units shall be marked prompt
any adverse effect of such a compro- lytn accordance with the marking pro
mise. An immediate Inquiry shall be visions herein. However, when, infor
initiated by the agency under whose [nation subject to a posted dov;ngrad
cognizance the loss or compromise oc. Ing, upgrading, or declass[ ficatior.
curred, for the purpose of taking cor- notice Is withdrawn from one storag(
rective measures and appropriate ad. unit solely for transfer to anot her, c:
ministratlve, disciplinary, or legal a storage unit containing such infor
action (4-103). matlon is transferred from one place
I. Destruction. Nonrecord classified to another, the transfer may be made
information that has served Its Intend. without marking if the notice is at
ed purpose shall be destroyed in ac. Cached to or remains with each ship-
eordanee with procedures and meth- ment (4-102). -
ods approved by the head of the C. Downgrading, ._declassifications;
agency. The method of destruction se- and upgrading markings. Whenever a
lected must preclude recognition or re- change is made In the original classlfi-
construction of the classified Informa- cation or in the dates of downgrading
tion or material (4-103). or declassification of any classified in-
formation, it shall be promptly and
V. IMPLE4ENTATION AND REVIEW Conspicuously marked to Indicate the
Challenges to classification. Agency change, the authority for the action.
programs established to Implement the date of the action, and the Identi-
the order shall encourage holders of ty of the person taking the shall on.
Classified Information to challenge Earlier classification markings shall be
classification in cases where there is D. Combat when practicable The provi.
reasonable car ;e to believe that Infor- wens of the operations. The ect[v
matlon is classified unnecessarily, Im- with e the order and this Directive
properly, or for an Inappropriate regard to dissemination, of lass trans.
period of time. These programs shall formation or safeguarding of fed In In.
provide for action on such challenges rmation may be so modified con-
or appeals relating thereto within 30 racoon with combat or combat-related
days of receipt and for notification to operations as the Secretary of Defense
the challenger of the results. When re- may by regulations prescribe (4-103). Puicaon and shall be ed 04(d)). Quested prnonymit 5 y of the challenger This directive shall be ep bli heda in
the FEDERAL Rrc[SraR. It shall become
VI. GENERAL PROVISIONS effective December 1, 1978 (6-204).
A. Notification. Notification of un-
scheduled changes in classification or
changes in duration of classification
may be by general rather than specific
JAMES B. RNoses,
Acting Chairman, Interagency
notice (4-102). OCTOBER 2, 1978.
B. Posted notice. If prompt remark- IFR Doc. 78-28101 Flied 10-4-78; 8:45 am)
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