FEDERAL REGISTER INTERAGENCY CLASIFICATION REVIEW COMMITTEE

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP87B01034R000200070007-0
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 7
• Document Creation Date: December 16, 2016
• Document Release Date: August 10, 2005
• Sequence Number: 7
• Publication Date: October 5, 1978
• Content Type: REGULATION

Approved F 2005/08/15 :-'AA- 193 9 0C6,0 1978
FART V
I~iTERAC~E N C Y
CLASSIFICATION
REVIEW
COMMITTEE
INFORMATION
SECURITY
OVERSIGHT
OFFICE
National Security
Information
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[6820-27]
Title 32-Notional Defense
CHAPTER XX-INTERAGENCY CLAS-
SIFICATION REVIEW COMMITTEE
(Directive No. 11
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.
EI'FECTIVE DATE: December 1,
1978.
FOR FURTHER INFORMATION
CONTACT:
Robert W. Wells, Executive Director,
ICRC, Telephone: [phone].
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 Classilitttion Authority.
D Record Requirements.
E Classification Procedure.
F Foreign Government Information.
G Standard Identification and Markings.
H Additional Markings Required.
I Abbreviations.
Section 11. Derivative Classification
A Definition.
B Responsibility.
C Marking Derivatively Classified Docu-
ments.
D Classification Guides.
Section III. Declassification and
Downgrading
A Record Requirements.
B Declassification Policy.
C Systematic Review for Declassification.
D Procedures for Mandatory Declassifica-
tion Review.
Section IV. Safeguarding
A General.
H General Restrictions on Access.
C Access by Historical Researchers and
Former Presidential Appointees.
D Dissemination.
E Accountability Procedures.
F Storage.
G 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, and Up-
grading Markings.
D Combat Operations.
E Publication and Effective Date.
I. ORIGINAL CLASSIFICATION
A. Definition. "Original classifica-
tion" as used in the order means an
initial determination that information
requires protection against unauthor-
ized disclosure in the interest of na-
tional security, and a designation of
the level of classification (1).'
B. Classification authority. In the
absence of an authorized classifier,
anyone designated to act in that per-
son's absence may exercise the classi-
fier's authority (1-204).
C. Request for classification authori-
ty. Requests for original classification
authority for agencies not listed in sec-
tion 1-2 of the order shall be submit-
ted to the President through the In-
formation Security Oversight Office.
Requests shall Include: (1) The desig-
nation of the officials for whom or po-
sitions for which authority is sought,
(2) the level of authority requested,
and (3) the justification for such re-
quests. including a description of the
type of information that is anticipated
to require original classification (1-2).
D. Record requirements. Agencies
and officials granted original classifi-
cation authority pursuant to section 1-
2 of the order shall maintain a current
listing, by classification designation, of
individuals to whom or positions to
which original classification authority
has been delegated (1-2).
E. Classification Procedure. Except
as provided in section 1-303 of the
order, the fact that the information
concerns one or more of the qualifying
criteria or categories of information
' Parenthetical references are to related
sections of Executive Order 12065.
shall not create any presumption as to
whether the information meets the
damage tests (1-302 and 1-303).
F. Foreign government informs.
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 order 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
such is specified or agreed to by the
foreign government or international
organization of governments.
b. Foreign government information
classified after the effective date of
the order shall be assigned a date for
review for declassification up to 30
years from the time the information
was classified or acquired. (1-402 and
3-404).
G. Standard identification and
markings. At the time of original clas-
sification, the following shall be
shown on the face of paper copies of
all classified documents:
1. Identity of classifier. The identity
of the classifier, unless also the signer
or approver of the document. shall be
shown on a "classified by" line; e.g.,
"Classified by John Doe" or "Classi-
fied by Director, XXX" (1-501(a)).
2. Date of classification and office of
origin. The date and office of origin
on a document at the time of its origi-
nation may be considered the date of
classification and identification of the
office of origin (1-501(b)).
3. Date or event for declassification
or review. The date for automatic de-
classification or for declassification
review shall be shown on a "declassify
on" or a "review for declassification
on" line: e.g., "Declassify on 1 Novem-
ber 1984," "Declassify on completion
of State visit," or "Review for declassi-
fication on 1 November 1998" (1-
501(c)).
4. Downgrading markings. When it
is determined (e.g., In a classification
guide) that a classified document
should be downgraded automatically
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RULES AND REGULATIONS
at a certain date or upon a certain
events that date or event shall be re-
corded on the face of the document;
e.g.. -Downgraded to Secret on 1 No-
vember 1990" or ''Downgraded to Con-
fidential on 1 December 1985" (1-5).
5. Identity of extension authority,
The Identity of the official who autho-
rizes a date for declassif[cation or for
revitw for declassification 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-
ing shall be shown substantially as fol-
lows: "Extended by (Insert name or
title of position of agency head or Top
Secret classification authority)" (1-
502).
6. Reason for extension. When classi-
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 doeu-
mrnls. The overall classification 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
shat; 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. Subject and titles. Whenever prac-
Iicable, subjects and titles shall be se-
lected so as not to require elassiftca-
teon. When the- subject or title is clas-
sified, an unclassified identifier may
be assigned to facilitate receipting and
reference (1-5).
9. Mandatory portion marking. Clas-
sifiers shall identify the level of clas&i-
fir?ation of each classified portion of a
iocument iincluding subjects and
tales). and those portions that are not
classified. Portion marking shall be ac-
complished by placing a parenthetical
designator imrne-diately preceding or
following the text that it governs. The
symbols "ITS)" for top secret, '?(S)"
for secret, "(C)" for confidential, and
-(U)- for unclasihed shall be used for
this purpose. It individual portion
marking is impracticable, the docu-
ment shall cont,Jn a description suffi-
dent to identify the Information that
is classified and the level of such clas-
sification. A waiver of the portion
marking requirement may be itranted
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-
cation 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 dissemination 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 shall 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
bear a notation substantially as fol-
lows: "Unclassified When Classified
Enclosure Is Detached" (1-5).
12. Marking foreign government in-
formation 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
sub International organization of gov-
erninents 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-
sation of governments shall be classi-
fied at an appropriate level and shall
be marked with the U.S. classification
accordingly (1-5).
H. 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 regulattona Issued pursuant to the
act shall be applied.
2. Intelligence sources and methods
information. For classified informa-
tion 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
requires 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 I-1 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. Drarvarrve CLASSirrcArro>r
A. Definition. "Derlvathe rlasvifica-
tion?" as used in the order means a de-
termination that Information is in sub-
stance the same as information that is
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 form information that is already
classified, and of those who apply
markings In accordance with instruc-
tions from an authorized classifier or
in accordance with an authorized clas-
sification guide. Persons who apply de-
rivative classification markings should
take care to determine whether their
paraphrasing, restating, or surnrnatiz-
ing of classified information has re-
moved the basis for classification.
Where checks with originators or
other appropriate inquiries show t tint
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no classification or a lower classifica-
tion than originally assigned is appro-
priate, the derivative document shall
be issued as unclassified or shall be
marked appropriately (2-101 and 2-
102).
C. Marking derivatively classified
documents. Paper copies of derivative-
ly classified documents shall be
marked at the time of origination as
follows:
1. The classification authority shall
be shown on a "classified by" line; e.g.,
"Classified by (Insert identity of clas-
sification guide)" or "Classified by
(Insert source of original classifica-
tion)." If the classification is derived
from more than one source, the single
phrase "multiple sources" may be
shown, provided that identification of
each such source is maintained with
the file or record copy of the docu-
ment (2-102(c));
2. The identity of the office originat-
ing the derivatively classified docu-
ment shall be shown on the face of the
document (2-102);
3. Dates or events for declassifica-
tion or review shall be carried forward
from the source material or classifica-
tion guide and shown on a "declassify
on" or "review for declassification on"
line. If the classification is derived
from more than one source, the latest
date for declassification or review ap-
plicable to the various source materi-
als shall be applied to the new infor-
mation (2-102(c));
4. The classification marking provi-
sions of sections I.G. 7 through 9 and
I.G. 12 are also applicable to deriva-
tively classified documents (2-102(c));
5. Any additional marking under sec-
tion I.H. of this directive appearing on
the source material shall be carried
forward to the new material when ap-
prorriate (2-102(c)); and
6. Any abbreviation or code permit-
ted under section I. I. of this directive
may be applied to derivatively classi-
fied documents.
D. Classification guides.-1. Require-
ments. Classification guides issued
pursuant to section 2-2 of the order
shall:
a. Identify the information to be
protected, using categorization to the
extent necessary to insure that the in-
formation involved can be identified
readily and uniformly (2-201);
b. State which of the classification
designations (i.e., top secret, secret, or
confidential) applies to the informa-
tion (2-201):
c. State the duration of classification
in terms of a period of time or future
event. When such duration is to
exceed 6 years, the reason for such ex-
tension shall be provided in the guide.
However. if the inclusion of classified
reasons would result in a level of clas-
sification for a guide that would inhib-
it its desirable and required dissemina-
tion, those reasons need be recorded
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).
III. DECLAssITICATION AND
DOWNGRADING
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 Declassifi-
cation.-1. Systematic review guide-
lines.
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 alter 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 80 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 that all classified records 20
years old or older, whether held In
storage areas by the agency or in Fed-
eral records centers, be surveyed to
identify those that require scheduling
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 government 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 section 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 be 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 identify 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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Lion 3-401 of the order as w which
documents or categories of informa-
tion require continued protection: The
agency shall Inform the Archivist of
the United States of this determina-
t.ion (3-4).
d. Special procedures. Special proce-
dures for systematic review and declas-
sification of classified eryptologic 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 binding an
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.-oripinatcd information.-a.
Action on an initial request Each
Agency shall designate, in its imple-
menting regulations published in the
PEDEr.AL RtcisTax, offices to which re-
quests for mandatory review for de-
classification may be directed. Upon
request for declassification pursuant
to section 3-5 of the order, agencies
shall apply the following procedures:
(1) The designated offices shall ac-
knowledge receipt of the request.
(2) Whenever a request does not rea-
sonably describe the information
sought, the requestor shall be notified
that unless additional information is
provided or the scope of the request is
narrowed, no further action Will be un-
drrtakcn (3-501).
b. Information in the custody of and
under the exclrsiiw dcclass,fication
authority of an agency. The designat-
ed office shall determine whether,
under the declassification provisions
of v?ction 3-3 of the order, the re-
quested information may be decl.wd-
fied and. if so. shall make such infor-
mation available to the requestor,
matlon in Its custody that was classl-
fled by another agency. Is 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 association with
the information requires protection,
the agency that received the request
shall also notify the requestor of the
referral. After the agency that classi-
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-
ISTER. In accordance with these proce-
dures. agencies shall determine wheth-
er continued classification is required
in whole or in part, notify the reques-
tor of the determination, and make
available any information that is de-
classified 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 Llierefor. 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-
unless withholding is otherwise war- lished in the FEDEP.AL REGISTER (3-
ranted tinder applicable law. If the in- 501).
!urinal inn may not be released in 2. Foreign government information.
whole or in part, the requestor shall Except as provided hereinafter, re-
be Kneen a brief statement as to the quests for mandatory review for the
it LSOty for denial, a notice of the declassification of classified docu-
released in accordance with agency
policy or guidelines, after consulting
with other agencies that have subject
matter interest as necessary. If the
agency receiving the request is not the
agency that received or classified the
foreign government information, it
shall refer the request to the appropri-
ate agency, which shall take action as
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 prior
to final action on the request (3-5).
TV. SArZGUAPD11Ia
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-to-know.
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 trustworthiness.
A person Is eligible for access to classi-
fied information only after a showing
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 classi-
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 may be charged pursuant to title
5 of the Independent Offices Appro-
priations Act, G5 Stat. 290, 31 U.S.C.
rii,Ili to appeal the determination to a ments that contain foreign govern- 483a (1970). the requestor shall be so
designated agency appellate authority ment information shall be processed notified and the fees may be Imposed
(including mane, title, and address of and acted upon in accordance with the (4-3).
such authority), and a notice that provisions of section D.i above. If the D. Dissemination. Except as other-
such an appeal must be filed with the agency receiving the request is also wise provided by section 102 of the Na-
agi ncy within 60 days in order to be the agency that initially received or tional Security Act of 1947, 61 Stat..
eona;dcred (3-501). classified the foreign government In- 495, 50 U.S.C. 403 (1970 and Supp. V
c. lrtrunnatiou classified by agencies formation, it shall determine whether 1975). classified information originat-
ot;,.,?r than the custodial agency. When the foreign government information In ing In one agency may not be disseini-
. u agency receives a request for infor- the document may be declassified and iated outside any other agency to
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 46284
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which it has been made available with- ever new security equipment is pro- ed the classified information being
jut the consent of the originating cured, it shall be in conformance with prott cted. Under no circumstances
agency (4-403). the standards and specifications re- may keys be removed from the prem-
E. Accountability procedures.-1. ferred to above and shall, to the maxi- ises. They shall be stored in a secure
Top secret. Top secret control officers mum extent practicable, be of the type container (4-103).
;hall be designated to receive. trans- designated on the Federal Supply 7. Responsibilities of custodians.
mit, and maintain current access and Schedule, General Services Adminis- Persons entrusted with classified in-
tccountability records for top secret tration (4-103). formation shall be responsible for pro-
nformation. An inventory of top 4. Exception to standards for securi viding protection and accountablility
;ecret documents shall be made at ty equipment.-a. Secret and confiden- for such information at all times and
east annually; however, heads of tial information may also be stored in for locking classified information in
agencies may authorize the annual in- a steel filing cabinet having a built-in, approved security equipment when-
entory of top secret documents in re- three-position. dial-type, changeable ever it is not in use or under direct su-
positories, libraries, or activities that 'combination lock, or a steel filing cabi- pervision of authorized persons: Custo-
store large volumes of such informa- net equipped with a steel lock bar, pro- dians shall follow , procedures that
tion to be limited to documents to vided it is secured by a three-position, insure unauthorized persons do not
which access has been afforded within changeable, combination padlock ap- gain access to classified information
the past 12 months. The Director of proved by GSA for the purpose. The (4-103).
the Oversight Office may grant a storage of secret information in the B. Inspections. Individuals charged
waiver with respect to the requirement steel filing cabinets described above re- with the custody of classified informa-
of an annual inventory for storage sys- quires the use of such supplementary tion shall conduct the necessary in-
tems involving large volumes of infor- controls, as the head of the agency spections. within their areas to insure
mation if security measures with re- deems necessary to achieve the degree adherence to procedural safeguards
spect to such storage systems are ade- of protection warranted by the sensi- prescribed to protect classified infor-
quate to prevent access by unauthor- tivity of the information involved (4- mation. Agency security officers shall
ized persons (4-103). 103). insure that periodic inspections are
2. Secret and confidential. Secret b. For protection of bulky secret and made to determine whether procedur-
and confidential classified information confidential material (for example, al safeguards prescribed by agency
shall be subject to such controls and weaponry containing classified compo- regulations are in effect at all times
current accountability records as the nents) in magazines, strong rooms, or (4-103).
head of the agency may prescribe (4- closed areas, access oenings may be se- G. TransmittaL-1. Preparation and
103). cured by changeable combination or receipting. Classified Information
F. Storage. Classified information key-operated, high-security padlocks shall be enclosed in opaque inner and
shall be stored only in facilities or approved by GSA. When key-operated outer covers before transmitting. The
under conditions adequate to prevent padlocks are used, keys shall be con- inner cover shall be a sealed wrapper
unauthorized persons from gaining trolled in accordance with subsection 6 or envelope plainly marked with the
access to it (4-103). below (4-103). assigned classification and addresses
11. Top secret. Top secret informa- 5. Combinations.-a. Equipment in of both sender and addressee. The
tion shall' be stored in a GSA-ap- service. Combinations to dial-type outer cover shall be sealed and ad-
proved, safe-type, steel file cabinet locks shall be changed only by persons dressed with no identification of the
having a built-in, three-position, dial- having appropriate security clearance, classification of its contents. A receipt
type combination lock or within an ap- and shall be changed whenever such shall be attached to or enclosed in the
proved vault, or vault-type room, or in equipment is placed in use, whenever a inner cover, except that confidential
other storage facility that meets the person knowing the combination no information shall require a receipt
standards for top secret established longer requires access to the combina- only if the sender deems it necessary.
under the provisions of subsection 3 tion, whenever a combination has been The receipt shall identify the sender.
below. In addition, heads of agencies subjected to possible compromise, addressee, and the document, but shall
shall prescribe such additional, supple- whenever the equipment is taken out contain no classified information. It
mentary controls as are deemed appro- of service, and at least once every shall be immediately signed by the re-
priate to restrict unauthorized access year. Knowledge of combinations pro- cipient and returned to the sender.
to areas where such information is tecting classified information shall _be Any of these wrapping and receipting
stored (4-103). limited to the minimum number of requirements may be waived by
2. Secret and confidential Secret persons necessary for operating pur- agency heads under conditions that
and confidential information shall be poses. Records of combinations shall will provide adequate protection and
stored in a manner and under the con- be classified no lower than the highest prevent access by unauthorized per-
ditions prescribed for top secret infor- level of classified information to be sons (4-103).
mation, or in a container or vault that stored in the security equipment con- 2. Transmittal of top secret. The
meets the standards for secret or con- cerned (4-103). transmittal of top secret information
fidential, established pursuant to the B. Equipment out of service. When shall be by specifically designated per-
provisions of subsections 3 or 4 below security equipment having a built-in sonnel, by State Department diplo-
(4-103). combination lock is taken out of serv- matic pouch, by a messenger-courier
3. Standards for security equipment ice, the lock shall be reset to the system specially created for that pur-
The General Services Administration standard combination 50-25-50. Com- pose, or over authorized secure com-
shall, in coordination with agencies bination padlocks shall be reset to the munications circuits (4-103).
originating classified information, es- standard combination 10-20-30 (4- 3. Transmittal of secret. The trans-
tablish and publish uniform standards. 103). mittal of secret material shall be ef-
specifications, and supply schedules 6. Keys. Heads of agencies shall es- fected in the following manner:
for containers, vaults, alarm systems, tablish administrative procedures for a. The 50 States, District of Colum-
and associated security devices suit- the control and accountability of keys bia, and Puerto Bico. Secret Informa-
able for the storage and protection of and locks whenever key-operated, tion may be transmitted within and
all categories of classified information. high-security padlocks are utilized. between the 50 States, District of Co-
Any agency may establish more strin- The level of protection provided such lumbia, and Puerto Rico by one of the
gent standards for its own use. When- keys si:all be equivalent to that afford- means authorized for top secret infor-
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 Approved For Release 20OP&Pi1RNDCfG-UDP87Bs 1034R000200070007-0
'nation, by the U.S. Postal Service reg-
istered mail, or by protective services
provided by U.S. air or surf>Fce com-
mercial carriers under such conditions
as may be prescribed by the head of
the agency concerned (4-103).
b. Canadian Government Installa-
tions. Secret information may be
transmitted to and between United
States Government and Canadian
Government Installations in the 50
States, the District of Columbia, and
Canada by United States arld 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.
citizens 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).
H. Loss or possible compromise. Any
person who has knowledge of the loss
or possible compromise of classified in-
formation shall Immediately report
the circumstances to an official desig-
nated by the agency or organization.
In turn, the orginating agency shall be
notified about the loss or compromise
In order that a damage assessment
may be conducted and appropriate
measures taken to negate or minimize
any adverse effect of such a compro-
mise. An Immediate Inquiry shall be
initiated by the agency under whose
cognizance the loss or compromise oc-
curred, for the purpose of taking cor-
rective measures and appropriate ad-
ministrative, disciplinary, or legal
action (4-103).
I. Destruction. Nonreeord classified
Information that has served its intend-
ed purpose shall be destroyed in ac-
cordance with procedures and meth-
ods approved by the head of the
agency. The method of destruction se-
lected must preclude recognition or re-
construction of the classified informa-
tion or material (4-103).
V. IMPLEMENTATION AND Rxvizw
Challenges to classification. Agency
programs established to implement
the order shall encourage holders of
classified Information to challenge
classification in cases where there is
reasonable cause to believe that infor-
mation Is classified unnecessarily, im-
properly, or for an Inappropriate
period of time. These programs shall
provide for action on such challenges
or appeals relating thereto within 30
days of receipt and for notification to
the challenger of the results. When re-
quested, anonymity of the challenger
shall be preserved (5-404(d)).
VI. GENERAL PROVISIONS
A. Notification. Notification of un-
scheduled changes in classification or
changes In duration of classification
may be by general rather than specific
notice (4-102).
B. Posted notice. If prompt remark-
ing of large quantities of Informatiol
would be unduly burdensome, the cur
todian may attach a change of classifi
cation notice to the storage unit ii
lieu of the marking action otherwise
required. Each notice shall indicate
the change, the authority for the
action, the date of the action, and th+
storage units to which It applies. Item:
permanently withdrawn from suet
storage units shall be marked prompt
ly in accordance with the marking pro
visions herein. However, when infor
mation subject to a posted downgrad
ing, upgrading, or declassificatior
notice Is withdrawn from one storage
unit solely for transfer to another, or
a storage unit containing such Infor
mation is transferred from one place
to another, the transfer may be made
without marking if the notice is at-
tached to or remains with each ship.
ment (4-102).
C. Downgrading, declassification,
and upgrading markings. Whenever a
change is made in the original classifi-
cation or In the dates of downgrading
or declassification of any classified In-
formation, it shall be promptly and
conspicuously marked to Indicate the
change, the authority for the action.
the date of the action, and the Identi-
ty of the person taking the, ,action.
Earlier classification markings shall be
cancelled when practicable (4-102).
D. Combat operations. The provi-
sions of the order and this Directive
with regard to dissemination. trans-
mittal, or safeguarding of classified in-
formation may be so modified in con-
nection with combat or combat-related
operations as the Secretary of Defense
may by regulations prescribe (4-103).
E. Publication and effective date.
This directive shall be published in
the FEDERAL REGISTER. It shall become
effective December 1, 1978 (8-204).
JAMES B. RHOADS.
Acting Chairman, Interagency
Classification Review Com-
mittee.
OCTOBER 2. 1978.
(FR Doc. 78-28101 Piled 10-4-78: 8:45 am)
FEDERAL REGISTER, VOL 43, NO. 194-THURSDAY, OCTOBER 5, 1978
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