CONTROL MARKINGS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP86-00674R000300080009-0
• Release Decision: RIPPUB
• Original Classification: S
• Document Page Count: 37
• Document Creation Date: December 19, 2016
• Document Release Date: March 30, 2006
• Sequence Number: 9
• Publication Date: November 1, 1979
• Content Type: MF

Approved For Release IQ 1F 1 U"61
MEMORANDUM FOR: Chairman, Markings Task Force
DDA Representative, Markings Task Force
SUBJECT: Control Markings
1. The Markings Task Force has been discussing the
discontinuation of the control marking, "Administrative -
Internal Use Only." The arguments for doing away with it
are substantial:
a. It has been misused a great deal; and
b. The safeguarding sanctions are not clearly
defined.
2. I have discussed the use and need of such a marking
with a number of people throughout the DDA. There is a need
to protect internal Agency information which if released
might be misused or be misleading. These papers include:
a. Management options and recommendations; and
b. Administrative planning and procedures.
3. Discussion for the need to have a positive indicator
to alert employees that a document contains such information
has been lively and interesting. Some of the arguments for
and against include:
a. Some people feel if a piece of paper is not
marked, employees will/may take it home and discuss
the contents freely.
b. Unclassified government information doesn't
need to be marked as it is U.S. Government property
and all employees should be aware of this and handle
all such material as prescribed by regulations and law.
t tCLASSi `IF.D WPe i SepaX stet.
F,r o ic;tesurb
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 CONFIDENTIAL
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c. What about HR 0 (attached), "Care and Use
of Official Data"? This regulation is under review
for revision as the current definition of "Official
Data" includes all overt material received by the CIA,
including the New York Times, library books, etc.
Those reviewing the regulation are having problems
coming to grips with the definition.
4. In order to provide proper control over Agency in-
ternal documents, I suggest we do one of two things:
a. Write a proper definition of "Official Data"
and get the regulation out to all employees. If a
component is concerned they may indicate on a document
"Official Data - Internal Use Only;" or
b. Develop a new control marking for documents
which
(1) reflect opinion or recommendations for
management policy; or
(2) administrative procedures.
5. The first option appeals as HR 0 spells out 25X1
control of information in general. Sanctions are provided
whether the information is marked or not.
6. The second option implies a new marking with a new
definition. We suggest "Agency Restricted" as a marking to
meet this need. This could be defined as:
Information prepared by Agency per-
sonnel or consultants, such as that
pertaining to opinions, recommendations,
interpretations, plans or internal pro-
cedures, the disclosure of which could
prejudice, hinder or deter the Agency
from carrying out essential management
or administrative functions.
7. The intent is (1) to ensure that such information
is only released to the public through authorized channels
and (2) to provide an environment conducive to the uninhibited
exchange of ideas. Sanctions for the improper use of an un-
classified document should follow those for unauthorized
release. (There is opposition to giving a control marking
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 Approved For ReleasCOGM19FID6MNT 74R000300080009-0
to documents containing national security information. We
have been relying on the classification to control these
papers. I submit that even after classifications are no
longer valid, the internal nature of some of these documents
will remain.)
8. In summary, we need at leastprovide a positive
indicator to control the dissemination of unclassified man-
agement information and administrative procedures.
signed
D
Attachment: a/s
cc: DDO/P
NFAC/
DDS&T
OGC
DDA/O
ISAS/
ISAS/
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 CONFIDENTIAL
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21. CARE AND USE OF OFFICIAL DATA. All information, classified or
unclassified, received, compiled or created by the Central Intelligence Agency
(except personal copies of unclassified personnel papers) is official data and is
the property of the United States Government.
a. POLICY
(1) All employees are prohibited from using official data for any purpose other
than in the performance of their official duties for or on behalf of the
Agency. Official data is not to be held in personal files or set aside for
personal use or benefit.
(2) Official data is not to be copied or removed from the files of the Agency
for release outside the Agency except by those officials authorized through
chain of command by the Director of Central Intelligence.
(3) Any employee who is served with a subpoena which may require the dis-
closure of official data to a court, the Congress, or a committee of the
Congress will promptly inform the General Counsel of the serving of the
subpoena, the nature of the information sought, and any circumstances
which may bear upon the desirability of making available the official data,
so that the General Counsel may advise the Director.
(4) When not in use, official data must be kept in storage facilities which have
been approved by the Director of Security. Consequently, documents which
contain official data are not to be taken home or stored in private resi-
dences unless the use of an approved, secure facility has been authorized
in advance by the Director of Security.
(5) In addition to the prohibition against unauthorized disclosure of official
data outside the Agency, internal disclosure of official data is limited to
those employees whose duties require access to it. Employees are not to
disclose official data to those who do not need to know it, nor are they
to try to obtain official data they do not need to know.
b. RESPONSIBILITIES
(1) Each individual employed by the Central Intelligence Agency is responsible
for the secure handling of official data and for protecting it against un-
authorized disclosure. Termination of Agency employment will not affect
these responsibilities.
(2) The Director of Personnel is to ensure that all personnel processed through
headquarters report to the Office of Security to read this regulation a l
the statutes referred to in subparagraph c below before entering on duty
or separating from the Agency.
personnel not processed through headquarters read this regulation and
the statutes referred to in subparagraph c before entering on duty or
separating from the Agency.
(4) Any authorized representative of CIA who negotiates with individuals or
organizations for services is to ensure that the appropriate statutory pro-
visions are incorporated in the Secrecy Agreement or contract. The in-
corporation may be by reference where feasible.
(3) Chiefs of Installations are to ensure that all
Revised: 14 November 1969 (508)
CONFIDENTIAL
F.. ,d.d I,.m cuteweN,
dornp,.di,g .,d
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 Approt F
0. STATUTORY REFERENCES. Sections 793, 794, and 798, Title 18 of United States
Code prohibit certain activities with respect to defense information and provide
penalties for violation. Section 793 provides generally that persons who lose
defense information without reporting such loss, or gather or transmit defense
information with the intent or with reason to believe such information will
be used to the injury of the United States or to the advantage of any foreign
nation are subject to a fine of $10,000 or 10 years imprisonment or both. Section
794 provides generally that persons who communicate or deliver or attempt to
communicate or deliver defense information to any foreign government with
intent or reason to believe such information will be used to the injury of the
United States or to the advantage of a foreign government are subject to
imprisonment for not more than 20 years. If this statute is violated during
wartime, the punishment is death or imprisonment for not more than 30 years.
Both sections 793 and 794 provide like penalties for a conviction of conspiracy
to violate either section. Section 798 provides generally that persons who com-
municate or otherwise make available to an unauthorized person or pub-
lisher, or use in any manner prejudicial to the safety or interest of the United
States or for the benefit of any foreign government any classified information
relating to cryptography or communications intelligence are subject to a fine
of $10,000 or 20 years imprisonment or both.
Revised: 14 November 1969 (508)
CONFIDENTIAL
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THIS SAMPLE LETTER DOES NOT CONTAIN CLASSIFIED INFORMATION
CONFIDENTIAL 0
INFORMATION SECURITY OVERSIGHT OFFICE
Washington, D.C. 20405
September 30, 1978
0
SUBJECT: MINIMUM REQUIRED MARKINGS FOR CLASSIFIED
DOCUMENTS (U) 6A1
TO: ALL EXECUTIVE BRANCH AGENCIES
(C) Each portion of a classified document shall be marked.to indicate
the highest classification of information it contains. For example,
this paragraph is marked as if it contained Confidential information.
(U) The circled numbers on this page indicate those markings required
.for all classified documents. The footnotes below refer to the
appropriate paragraph of this directive.
(U) Other markings shall be applied to classified material depending
on the content:
If it is determined that the information should be down-
graded automatically, see para. I.G.4.
:[f the document does not contain classified information but
As used to transmit classified material, see para I.G.11.
:[f the document contains foreign government information,
:gee para. I.G.12.
:[f the document contains Restricted Data or Formerly Restricted
Data, see para. I.H.I.
:[f the document contains Information on intelligence sources
and methods, see para. I.H.2.
:[f it is determined that the information requires limitations on
reproduction and/or dissemination, see para. I.H.3.
I.M. AWARE
Director Classified by
CONFIDENTIAL
FOOTNOTES
1. Page markings
2. Office of origin
3. Date of classification
4. Subjects and titles
5. Identity of classifier
Q Declassify Review for ,?1
Declassification on l6!
Extended by 0
Reason for extension
Date/event for declassification/
review-(chec.k appropriate block) I.G.3.
Extention: authority i.G.S.
Extention: reason I.G.6.
Mandatory portion marking I.G.9.
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THIS SAMPLE LETTER DOES NOT CONTAIN CLASSIFIED INFORMATION
CONFIDENTIAL 0
INFORMATION SECURITY OVERSIGHT OFFICE
Washington, D.C. 20405
September 30, 1978
0
SUBJECT: MINIMUM REQUIRED MARKINGS FOR CLASSIFIED
DOCUMENTS (U) fat
TO: ALL EXECUTIVE BRANCH AGENCIES
(C) Each portion of a classified document shall be marked to indicate
the highest classification of information it contains. For example,
this paragraph is marked as if it contained Confidential Information.
(U) The circled numbers on this page indicate those markings required
for all classified documents. The footnotes below refer to the
appropriate paragraph of this directive.
(U) Other makings shall be applied to classified material depending
on the content:
:[f it is determined that the information should be down-
graded automatically, see para. I.G.4.
. If the document does not contain classified information but
:Ls used to transmit classified material, see para I.G.11.
If the document contains foreign government information,
see para. I.G.12.
If the document contains Restricted Data or Formerly Restricted
Data, see para. I.H.1.
If the document contains information on intelligence sources
and methods, see para. I.H.2.
If it is determined that the information requires limitations on
reproduction and/or dissemination, see para. I.H.3.
I.M. AWARE
Director Classified by
(D CONFIDENTIAL
FOOTNOTES
1.
Page markings
I.G.7.
6.
2.
Office of origin
I.G.2.
3.
Date of classification
I.G.2.
7.
4.
Subjects and titles
I,G.8.a9.
8.
5.
Identity of classifier
I.G.J.
9.
DeclassifyDReview for O
Declassification on 6
Extended by
Reason for extension O
Date/event for declassification/
review (check appropriate block)
I.G.3.
Extention:
authority
I.G.S.
Extention:
reason
I.G.6.
Mandatory portion marking
I.G.9.
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Ur iqjin,il Classification Not to I xceed 6 years
CL BY: C/S/TS classifier's ernp
11L(:I. ON: a. 13 September 1980
or b. Event
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Markinq Original Classification on Documents Classified
in Excess of 6 years but Not in Excess of 20 years
tUNIIPL NIIAL Y: C/S/TS classifier's employee no.
ECL ON: a 13 Septemberr1980 T
or b. Event
~ Oft ZE ON 13 September 1988
[`l classifier is not TS EX BY T5 c~assifier
REASON class. guide
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SECRET
Downgrading Documents
SECRET CL BY: S/TS classifier's employee no.
DOWNGRADE TO C on a. spec?'dato
V.. b. Event
L
N
DE
L O
a. spec. date
b. Event
OR REVW ON same as a or b
TS cTas sifier
REASON class. 1uide #
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SECRET
Derivative
Single Source
If the source material bears a declassification date or
event 20 years or less from the date of origin, the date or
event shall be carried forward to the new material.
If the source material bears no declassification date or
event, or bears an indeterminate date or event such as "Upon
Notification by Originator," "Cannot Be Determined," "Impossible
to Determine," etc., or is marked for declassification beyond
20 .years, the new material shall be marked with a date for review
for declassification at 20 years from the date of original
class,sification of the source material.
SECRET CL BY: an one's employee no.
SOURCE: class nice or source doc
DECL ON: spec, date or event
OR REVW ON: date for declass review
as cited on source doc.
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Mul ti pl e
It the source material bears a declassification date or
event 20 years or less from the date or origin, the date or
event shall be carried forward to the new material.
If' the source material bears no declassification date or
event, or bears an indeterminate date or event such as "Upon
Notification by Originator," "Cannot Be Determined," "Impossible
to Determine," etc., or is marked for declassification beyond
?0 years, the new material shall be marked with a date for
review for declassification at 20 years from the date of original
classification of the source material.
S(_CRFT CL BY: ayne's_ employee no.
DFCI. : latest date or event
of source materials
OR RFVW ON: latest date or event
of source materials
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Foreign Information
If the source material is foreign government information
bearing no date or event for declassification or is marked for
declassi1icai:ion beyond 30 years, the new material shall be
marked for review for declassification at 30 years from the
time the -information was originated by the foreign entity or
acquired or classified by the US, whichever is earlier.
CL BY: anyone's employee no.
SOURCE. a. Id of source-do-c.
b. Mem.,of Undue.
{ c. class guide
REVW ON: date (30 ear
after info was originated by
foreign government or class. by U.S.
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 (6820-271 C Marking Derivatively Classified Doeu- shall not create any' preslIMIA1OU as to
v 11 - - -Approveu
Section 111. DeclasStfIcation and F. Foreign government irifonna-
Downgrading tion.-1. Identification. "Foreign gov-
CHAPTER XX--iATERAGENCY CLAS-
SIFICATION REVIEW COMMITTEE
(Directive No. 1)
INFORMATION SECURITY OVERSIGHT
OFFICE
Notional 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 classifka-
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 c)assifl,.a-
lion and accelerating declassification
but at the same time, providing Im-
proved protection against unauthi)r-
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
1978.
FOR FURTHER
CONTACT:
Robert W. Wells, Executive Director,
ICRC, Telephone: [phone].
SUPPLEMENTARY INFORMATION:
This directive is issued pursuant to the
provisions of section 8-204 of Execu-
tive Order 12085, The Purpose of the
directive is to assist in the implemen-
tation of Executive Order 12065, wad
users of the directive shall refer con-
currently to the Executive, order for
guidance.
TABLE or Cosrasxs
Section 1. Original Classification
A Definition,
B Classification Authority.
C Request for Clara fiction Authority,
D Record Requirements,
E Claaucification Procedure.
F Foreign Government Information.
G Standard Identification and Markings,
h Additional Markings Required.
I Abbreviations,
Section 11. Derivative Classification
Definition,
J3 Responsibility.
A Record Requirements.
B Declassification Policy.
C Systematic Review for Declassification.
D Procedures for Mandatory Declarifica-
lion Review.
Section IV. Safeguarding
A General.
H General Restrictions on Access.
C Access by historical Researchers and
Former Presidential Appointees.
D DLsscinlnat.lon.
E Accountability Procedures.
F Storage.
G Transmittal.
11 Loss or Possible Compromise.
I Destruction.
Section V. Implementation and Review:
Challenges to Classification
SecUon VI. General Provisions
A Notification,
B Posted Notice.
C Downgrading, Declassiflent Ion. and Up-
grading Markings.
D Combat Operations,
U Publication and Effective Date.
1. 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 (D. I
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 autltori?
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 requirenlents, 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
'Parcnlhetfeal references are to related
sections of Executive Order 12065.
er-nment. 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. it
memorandum of understanding, or
other written record (1-303 and 6-103 ).
2. Duration of classification l;niess
the guidelines developed pursuant to
section 3-404 of the order or other
guidelines prescribe dates or events for
declassification or for review for tie-
classification:
& Foreign government Information
shall not be assigned a date or event
for automatic dcclassiflcatien unto:
such is specified or agreed to by the
foreign government or interriatiorual
organization of governments.
b. Foreign government information
classified after the effective date of
the order shall be assigned a (late 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 cLe.-
sification, the following shall be
shown on the face of paper copies of
all classified documents:
1. Identity of classifier. The icletdliv
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 Doc" or "Ciassi-
fled by Director. XXX" (1-501(a)),
2. Date of classification and oftice'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," "Peelessify 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 autoroatically
tFEDERAL REGISTER, VOL. 43, NO. 194-THURSDAY, OCTOBER 3, 1978
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at It certain date or upon a certain
event, that date or event shall be re-
corded on the face of the document:
e.g., "Downgraded to Secret on 1 No-
vember 19DO" or "Downgraded to Con-
fidential on 1 December 1915" (1-5).
5. Identity of extension authority.
The Identity of the official who autho-
rizes a date for declassification or for
review for declassification that is more
than 6 years beyond the (late of the
document's ciaasiticat Ion 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)" (I-
502).
6. Reason for extension. When classi-
fication is extended beyond 6 years,
t Ile reason shall be stated on the docu.
ment either in narrative loan or by
reference to an agency regulation that
states the reason for ext('nsion 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 pope marking of docu.
menns. The overall classification of a
document shall be marked, stamped,
Cr oaffixed permanently at the top and
bottom of the outuide of the front
cover (if any), on the title page (if
any), on the first page, and on the out-
sicie of the back cover (if any). Each
interior page of a classified document
shat; be marked or stamped at the top
sari bottom either acc:oid.:ng to the
hi(;iaest classification of the content of
tae' page, including the designation
'Unclassified" when appropriate, or
;icenrduu; to the highest os' rail classi-
fication of the docii nent. In any catae,
Il?,-' classification marking of tile page
shall not supersede the classification
marking of portions of the page
rnrsrked with lower levels of classifica-
t?u (1-fi0I(d)).
8 .Subject and titles. Whenever prac-
I -able, subjects and titles shall be se-
Iceted so n:7 not to require classifica-
t nn. When alt! subject or title is cl:LS-
i}srd, an unclassificd identifier may
he a.:ssigne i to facilitate receipLing arid
e'er~ we (1-5).
J. Alunelatoru portion marking. Clas.
ifu'rs shall identify the level of clan ;i-
(irniron of each classified portion of a
'i' ('untcnt (including subjects and
bites), and those portions that are not,
cla:,5ified. Portion marking I,hafl be ac.-
t?unkplisl:ed by planing a parenthetical
designator inunediat.ely preceding or
Ioliowwinv? the text that it governs, The
synibols for top secret, "(S)"
for secret, "(C)" for confidtnitial, arid
"(U)" for unclassitled shall be used for
rhL' purpose. It Individual portion
marking is Impracticable, the docu-
ment, shall contain a descrl!,)t.ion suffi-
cleat to identify the information that
is classified and the' level of such clas-
sification. A waiver of the portion
niarklux requirernent 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-
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 Q-
504).
10. Material other than documents.
The classification and associated
markings prescribed by this directive
of docutrrcnte shall, where practicable,
be affixed to material other than doc-
uments by stamping, tagging, or other
means, It 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
hear a notation -substantially as fol-
lows: "Unclassified When Classified
Enclosure Is Detached" Q. 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
an international orgsuiizat,fon of gov-
ermnents shall, it 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
fitates in confidence by a foreign gov-
ernment or by an international organi-
zation of governments shall be classi-
fied 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 (1, 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 os 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-
don involving Intelligence sources or
methods: "Warning Notice-Intelii-
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).
1. Abbreviations, Classified docu-
ments that are tranfrnitted electrically
may he marked with abbreviations or
codes In a single line to satisfy the re-
quirements of each Subsection of para-
graphs (;3 and II 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 0 and H is readily available to
each expected user of the classified
documenLi affected.
it. DERTVATIVE CLASSIFICATION
A. Definition. "Derivative classifica-
tion" as used in the order means a de.
termination that hiformatiotf is in sub-
stance the same as information that Is
currently classified, and a designation
of the level of classification (2-1).
B. RessPonsibility. 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-
(ions 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 sutrimarir-
Ing of classified Information has re-
moved the basis for classification.
Where checks with originators or
other appropriate inquiries show that
Approved tiAIl PHe-66$9' 14AOM00080009-0
 classification or a lower clasvifica- tlon, those reasons need be recorded direct that All classified records 20
n than?original'y asst,lned is apppro- only on or with the record cop of the years old or older, whether held in
ate, the derivative d pfpi teXFor Iieiiipae22006124/19 : CIA-F DP86-0067 Q08ffi@%@a6-0Q%e&cy or in Fed-
Issued as unclassified or simll be d. Indicate how the designations, oral records centers, be surveyed to
irked appropriately (2-101 and 2- time limits, markings, and other re- Identify those that require scheduling
2). quirements of the order and this direc- for future disposition. Such scheduling
Marking derivatively classified ttve are to be applied, or make specific shall be accomplished within 2 years
.?unwnts. Paper copies of derivative- reference to agency regulations that of the effective date of the order (3-
classified documents shall be provide for such application (2-201). 401).
rked at the time of origination as 2. Review and record requirements. b. Extending classification after
lows: Each classification guide shall be kept review.-(1) Foreign government infor-
. The classification authority shall current and shall be reviewed at least rcation. Agency heads listed In section
shown on a "classified by" line: e.g., once every 2 years. Each agency shall 1-2 and officials designated by the
lassifled by (Insert identity of else- maintain a list of all its classification President pursuant to section 1-201 of
rcation guide)" or "Cla_ssifled by guides in current use (2-2). the order may extend the classifica-
~sert source of original classifica? tion of foreign government inforula.
u)." It the classification is derived III. ^ECLASSITI(:ATION AND time beyond 30 years, but only in ac-
,m more than one source, the sh-die 1~OWNGHAI1INa cordance with sections 3-3 and 3-404.
rase "multiple sources" may be A. Record requirements. Agencies This authority may not be delegated.
)wn, provided that identification of and officials granted original classlfl- When classification is extended
, 1h such source is maintained with cation authority pursuant to section 1- beyond 30 years, a date no more than
? file or record copy of the docu- 2 of the order shall maintain a record 10 years later shall be set for deciassi-
nt (2-102(e)); of individuals or positions designated fication or for the next review. Subse-
The identity of the office originat- as declassification authorities purse- quest reviews for declassification shall
the derivatively classified docu- ant to section 3-103 of the order (3- be set at no more than 10-year inter-
nt shall be shown on the face of the 103). vals (3-404).
'ument (2-102); B. Declassification policy. In making (2) Waivers of further review. Heads
Dates or events for declassifica- determinations under section 3-303 of of agencies listed In section 1-2 and of-
n or review shall be carried forward the order, officials shall respect the ficials designated by the President
'm the source material or classifies- Intent of the order to protect foreign Pursuant to section 1-201 of the order
n guide and shown on a "declassify government information and confiden- may request from the Director of the
" or "review for declassification on" tial foreign sources (3-303). Oversight Office a waiver of the lo-
e. If the classification is derived C. Systematic Review for Dcclassifl- year review requirement for both U.S.-
~-n more than one source, the latest cation.-1. Systematic review guide- originated and foreign government in.
,.e for declassification or review ap- lines. formation. Such requests shall include
cable to the various source maters- a. U.S. originated information.. Sys- a personal certification by the agency
shall be applied to the new infor- tematic review guidelines shall be kept head that the classified information
ion (2-102(c)); current through review at least every for which the waiver is sought has
The classification marking provi- 2 years, unless earlier review for revi- been systematically reviewed as re-
n of sections I.Q. 7 through 9 and sion is requested by the Archivist of qulred, and that a definitive date for
12 are also applicable to eleriva- the United States (3-402). declassification could not be deter-
ely classified documents (2-1011(c)); b. Foreign government information, mined. Waivers should not be request-
Any additional marking undr^r see- Within 1 year after the effective date ed unless-the results of the review
n I.H. of this directive appearing on of the order, heads of affected agen- have established an Identifiable need
source material shall be carried rtes shall, in consultation with the Ar- to continue classification- for a period
-ward to the new material when ap- chivist and in accordance with the pro- in excess of 20 additional years. Each
)prtate (2-102(c)); and visions of section 3-404 of the order, request shall include a recommended
:.Any abbreviation or code permit- develop systematic review guidelines date or event for subsequent review or
I tinder sect ion I. 1. of this directive for 30-year-old foreign government In. automatic declassification (3-401).
.y be applied to derivatively class- formation. These guidelines shall be c. Assistance to the Archivist.-(1)
d documents. kept current through review by The head of each agency shall desig-
). Classification guides.-1. Require- agency heads at least once every 2 nate experienced personnel to assist
sits. Classification guides issued years, unless earlier review for revision the Archivist of the United States in
rsuant to section 2-2 of the order is requested by the Archivist of the the systematic review of 20-year-old
fill: United States. A copy of these guide- U.S.-originated information and 30-
Identify the information to be lines and any revisions thereto shall year-old foreign government informa-
.)tected, using categorisation to the be furnished to the information Secu- tion accessioned Into the National Ar-
ent necessary to insure that the in- rity Oversight Office. Upon request, chives of the United States. Such per-
-mallon involved can be identified the Department of State shall provide sounei shall:
uiily and uniformly (2-201): advice and such assistance as Is neces- (a) Provide guidance and assistance
). State which of the classification sary to effect foreign government co- to National Archives employees in
;lgnatlons (i.e.. top secret, secret, or ordination of the guidelines (3-404). identifying and separating documents
rtfidentlal) applies to the informa- 2. Systematic review procedures.--a. and specific categories of information
n (2-201); Schedulingforsystematic review. Clas- within documents that are deemed to
State the duration of classification shied nonpermanent records that are require continued classification: and
terms of a period of time or future scheduled to be retained for more (b) Submit to the head of the agency
-nt. When such duration to to than 20 years need not be systemati- recommendations for continued ciassi-
ceed 6 years, the reason for etch ex- tally reviewed but shall be reviewed ficat.lon that Identify documents or
islnn shall be provided In the guide. for declassification upon request. specific categories of information so
rwever, If the inclusion of classified Within 60 days of the effective date of separated.
tsons would result in a level of clas- the order, heads of agencies and offi- (2) The )lead of the agency shall
rcation for a guide that would inhlb- cials designated by the President pur- then make the determinations person-
its desirable and required dissenlina- suant to section 1-2 of the order shall ally and in writing required under see-
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 RULES AND REGULATIONS 0283
lion 3.401 eat t7"prOcYeefd? g I e,IMRsertrt9R1/Q4/iV rt aP61,-t~OAZ44ROQ9N9XQPO&Ardance with agency
documental or categories of Informa- fled by another agency, Is shall for- policy or guidelines, after contuiting
tion require continued protection. The ward the request to the appropriate with other agencies that have subject
agency shall inform thii Archivist of agency for review, together with a matter Interest as necessary. If the
the United States of this determnna- copy of the document containing; the agency receiving the request is not the
tlon(3-4). Information requested when practica- agency that received or classified the
d. Special procedures. Special proce- ble, and with Its recommendation to foreign government information, It
dunes for systematic review and dermas- withhold any of the information `hall refer the request to the appropri-
sification of classified cryptologic In- where appropriate. Unless the agency ate agency, which shall take action as
formation and classified information that classified the information objects described above. Including its recorn-
concerning the identities of clandes- on grounds that Its association with mendatlon to withhold any of the In-
tine human agents promulgated in ac- the Information requires protection, formation where appropriate. In those,
cord..vnce with the provisions of section the agency that received the request cares where agency policy or guide-
3-403 of the order shall be )binding on shall also notify the requester of the lines do not apply, consultation with
all agencies (3-403). referral. After the agency that claxsi- the foreign originator through appro-
e. Foreign relations series. In order fled the information, completes Its priate channels may be advisable prior
to permit the editors of foreign rela- review (in coordination with other to final action on-the request (3-5).
turns of the United Slates to meet agencies that a direct interest in the
their mandated goal of publishing 20 subject matter), a response shall be TV. SAOEGUAr.Dtrma
years after the event, heads of depart- sent to the requestor in accordance A. General. Information classified
tnents and agencies are requested to with the procedures described above. Pursuant to Executive Order 12065 or
assist the editors in the :Department of If requested, the agency shall also prior orders shall be afforded a level
State by facilitating access to appro- communicate its determination to the of protection against unauthorized dis-
priate classified materials in their cus- referring agency (3--501). closure commensurate with its level of
Iody and by expediting declassification d. Action on appeal. The head of an cltucsiflcation (4-1).
review of items from their files select- agency or a designee shall establish B. General restrictions on access.
ed for publication (3-4). procedures to act within 30 days upon 1. Determination of need-to-know.
D. Procedures for mandatory declas- all appeals of denials of requests for Classified Information shall be made
silica(ion review. declassification. These procedures available to a person only when the
1. U.S.-originated information.-a. shall provide for meaningful appellate possessor of the classified Information
Action on an initial request. Each consideration, shall be forwarded to establishes in each Instance, except as
Agency shall designate. in its imple- the Oversight Office for review, and provided in section 4-3 of the order.
rrenting regulations published in the shall be published in the FEDERAL. IZEG- that access is essential to the accom.
1''e:oei;AL REGISTER, offices to which re- ISTER. In accordance with these proce- plishment of official (government
quest:: for mandatory review for de- dures, agencies shall determine wheth- duties or contractual obligations (4-
ctswssification may be directed. Upon er continued classification is required 101).
request for declassification pursuant in whole or in part, notify the reques- 2. Determination of trustworthiness..
to section 3-5 of the order, agencies for of the determination, and make A person is eligible for access to classl-
slaall apply the following procedures: available any information that is do- fled information only after a showing
01) The designated offices shall ac- classified and otherwise releasable. If of trustworthiness as determined by
knowledge receipt, of the request. continued classification Is required agency heads based upon appropriate
(2) Whenever a request does not rca- under the provisions of section 3-3 of Investigations In accordance with ap-
son;ably describe the information the order, the r questor shall be noti- plirable standards and criteria (4-101).
sought., the requester shall be notified Pied of the reasons therefor. If re- C. Access by historical researchers
that. unless additional information is quested, the agency shall also commu- and former Presidential appointees.
provided or the scope of the request Is nicate the appeal determination to Agencies shall obtain: (1) Written
n.rrowed. no further action will be un- any referring agency (3-5 and 5- agreements from requcstors to safe-
dertaken (3-501). 404(c)). guard the information to which they
h. trefonnation in the custody of and e. Fees. If the request requires the are given access as permitted by the
under the cxclusree (feel assilication rendering of services for which fair order and this directive: and (2) wri4-
arethority of an agency. The designat- and equitable fees may be charged ten consent to the agency's review of
ed office shall determine whether, pursuant of title 5 of the Independent their notes and manuscripts for the
under the declassification provisions Offices Appropriation Act, 65 Stat. - purpose of determining that no classi-
of st-ction 3-3 of the order. the re- 290, 31 U.S.C. 483a (1976), such fees fled information is contained therein.
arrested information may be devlasxi- may be imposed at the discretion of A determination of trustworthiness is
Pied and, if so, shall make such infor- the agency rendering the services. a precondition to a requester's access.
nation available to the rectuest.or, Schedules of such fees shall be pub- If the access requested by historical
unless withholding is otherwise war- lisped in the FEDERAL REcesTr:R (3- researchers and former Presidential
minted under applicable law. If the in- 501). appointees requires the renc.i!ring of
iormation may not be released in 2. Foreign government information. services for which fair and equitable
u hole or in part, the requestor shall Except as provided hereinafter, re- fees may be charged pursuant to title
he' riven it brief statement as to the quests for mandatory review for the 5 of the Independent Offices Appro-
reasons for denial, a notice of the dectwisification of classified docu- priatlons Act. 6b Stat. 290. 31 U.S.C.
relit to appeal the dct,('rnnination to a menu that contain for.-ign govern- 483a (1976), the reque:;tor shall be so
dcsi;a,nated agency appellate authority ment information shall be processed notified and the fees may be Imposed
cincludtng n:une, title, and address of and acted upon in accordance with the (4-3).
such authority), and a notice that provisions of section L).1 above. If the U. Dissemination. Except, as other-
sucli an appeal must b filed with the agency receiving the request is also wi.,e provided by section 102 of the Na-
ag;ency within 60 days in order to be the agency that initially received or tional Security Act of 1947, 61 Stat.
ronn?dcrcd (3-501). classified the foreign government In- 495, 50 U.S.C. 403 (1970 and Stipp. V
r. I in u rrnatioe classified by agencies formation, it shall determine whether 19'15), classified information orlginat-
Oli. 'r than the custodial agency. When the foreign government information in Ing In one agency may not be disseinl-
sn agency receives a request for infor- the document may be declassified and nated outside any other agency to
FEDERAL REGISTER, VOL. 43, NO. 194-THURSDAY, OCTOBER S. 1975
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 4625.4 RULES AND REGULATIONS
Approved For Release 2006/04/19 : CIA-RDP86-00674R000300080009-0
which it has been made available with-
wt the consent of the originating
cured, it shall be in conformance with
the standards and specifications re-
ferred to above and shall, to the maxi.
E. Accountability procedures.-1.
Top secret. Top secret control officers
;hall be designated to receive, trans-
nit, and maintain current access and
iccount.ability records for top secret
nformation. An inventory of top
secret documents shall be made at
,east annually; however, heads of
agencies may authorize the annual in-
ventory of top secret documents in re-
aositories, libraries, or activities that
;tore 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-
inat.ion if security measures with re-
spect to such storage system., 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, strpple-
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 it manner and tinder the con-
dii ions prescribed for top secret infor-
Ination, 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-
mum extent practicable, be of the type
designated on the Federal Supply
Schedule, General Services Adminis-
tration (4-103).
4. Exception to standards for secut-l-
tv 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 oenings 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-
ises. They shall be stored in a secure
container (4-103).
7. Responsibilities of custodians.
Persons entrusted with classified In-
formation shall he 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).
0. Transmittal.-1. Preparation and
reeeipting. 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-
ltunbla, and Puerto Rico by one of the
means authorized for top secret infor-
FEDERAL REGISTER, VOL. 43, NO. 194-THURSDAY, OCTOBER 5, 1978
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 Approved For Release 2019 I 0 t . W% SO0674R000300080009-0 4628(.
mation, by the U.S. Postal Service reg-
istered mail, or by protective services
Provided by U.S. air or surface com-
inercial 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
c ransmitted to and between United
States Government and Canadian
Government installations in the 50
States, the District of Columbia. and
Canada by United States aild Canadi-
rui 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.B. Naval ships.
and ships of U.S. Registry. Operators
of vehicles, captains or masters of ves-
sels. and pilots of aircraft who are U.B.
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-
t ween the 50 States. the District of Co-
lumbia, the Commonwealth of Puerto
Rico, and U.B. territories or posses-
sions by one of the means established
for higher classifications, or by U.B.
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).
It. 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 o^glnating 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-
minblrative, disciplinary, or legal
action (4-103).
1. Destruction. Nonrecord 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 Itsviaw
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. GISNSRAL PROVISIONS
A. Notiffcatfon. 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 Informatini
would be unduly burdensome. the cus
todian may Rttach a change of classtfi
cation notice to the storage unit is
lieu of the marking action otherwise
required. Each notice shall indicate
the change, the author ity for the
action, the date of the action, and the
storage units to which It applies. Item!
permanently withdrawn from sucl
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 Infer
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 FLDRRAI, P.rclsrsa. It shall become
effective December 1, 1978 (6-204).
JAMFS B. RFOADS,
Acting Chairman, Intcragen^y
Classification Review Conl-
mf ttee.
OCTOBER 2, 1978.
(FR Doe. 78-28101 Flied 10.4 -78; 8:45 tun I
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ORIGINAL CL BY'
C7 DECL F~ F,70,JW ON
E.XT D-YND 6 Y1 11S
DERIVATIVE CL BY
11 DECL r-1 F EV 1V ON
DERIVED FROM
CL DERIVED BY
0 DECL D REVW ON
r
DERIVED FROM
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M
=
MONDAY, JULY 3, 1978
PART IV
THE PRESIDENT
NATIONAL SECURITY
INFORMATION
Executive Order 12065
and Order Designating
Certain Officials
Within tha Executive
Office of the President
To Classify
Information
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presidential documents
Title 3-The President
Executive Order 12065 June 28, 1978
National Sectlrfty lnformapon
By the authority vested in me as President by the Constitution and laws of
the United States of America, in order to balance the public's interest in
access to Government information with the need to protect certain national
security information from disclosure, it is hereby ordered as follows:
SECTION 1.
1-1
ORIGINAL CLASSIFICATION:
Classification Designation ........ ............................ _..._....... ..............................
!28950]
1-2
Classification Authority
128950]
1-3
Classification Requirements ......................
P89511
1-4
Duration of Classification .................................................................................
[28952]
1-5
Identification and Markings ................................................... ........._..............
T28952]
1-6
Prohibitions ....................................................-
$28953]
SECTION 2.
2-1
DERIVATIVE CLASSIFICATION:
Use of Derivative Classification ............................. _...
'28953]
2-2
Classification Guides .............................................. ___
{28953]
2-3
New Material .................................................~
428954]
SECTION 3.
3-1
DECLASSIFICATION AND DOWNGRADING:
Declassification Authority ..........................................-
3-2
Transferred Information
3-3
Declassification Policy .._~ . _ _ .._._.... -.. __......._
1289551
3-4
Systematic Review for Declassification ......... ._....... _-......... -._ ............... _.
[28955]
3-5
Mandatory Review for Declassification .............................................................
[28956]
3-6
1D-mg-ding ............. _.......................................................... _.........................
VL89571
SECTION. 4.
4-1
SAFEGUARDING:
General Restrictions .................................................. _...... -........................ _...
[!8957].
4-2
Special Access Programs ........................................... .................................: + .1289571
4-3
Access by Historical Researchers and Fortner Presidential Appointees...._.._
128958]
4-4
Reproduction Controls ........ -............ -._......... _............ _.... _ ........................
[28958]
SEL7ION 5.
5-1
IMriE ,tEwrArloN AND REVIEW:
Oversight ..... __ ................... _............ _..... _ ....... _............. ........... ......... ....... ..
[78959]
5-2
Information Security Oversight Office .................................. _........................
[28959]
5-3
Interagency Information Security Conwrtittee ._..._......- .. _> _
[28960]
5-4
General Responsibilities ............. ....................... - ...-......... -._.....................
1289601
5-5
Administrative Sanctions ............................... ....................... ...-_......................
128961]
SECTION 6. GENERAL PawwIssoas:
6-1 Definitions .......... ........... - ...... ............ ...... ...... --.--...... .,........ ....._.............. __ [289611
6-2 General ............................................................................................................. T789611
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SECTION 1. ORIGINAL CLASSIFICATION.
1-1. Clas.cifuation Designation.
1-101. Except as provided in the Atomic Energy Act of 1954, as amend-
ed, this Order prgvides the only basis for classifying information. Information
may be classified in one of the three designations listed below. If there is
reasonable doubt which designation is appropriate, or whether the information
should be classified at all, the less restrictive designation should be used, or
the information should not be classified.
I-IC22. "Top Secret" shall be applied only to information, the unauthor-
ized disclosure of which reasonably could be expected to cause exceptionally
grave damage to the national security..
1-103. "Secret" shall be applied only to information, the unauthorized
disclosure of which reasonably could be expected to cause,serious damage to
the national security.
1-104. "Confidential" shall be applied to information, the unauthorized
disclosure of which reasonably could be expected to cause identifiable damage
to the national security.
1-2. Clas.4/ication Authority.
1-201. Top Secret. Authority for original classification of information as
Top Secret "may be exercised only by the President, by such officials as the
President may designate by publication in the FEDERAL REGISTER, by the
agency heads listed below, and by officials to whom such authority is delegat-
ed in accordance with Section 1-204:
The Secretary of State
The Secretary of the Treasury
The Secretary of Defense
The Secretary of the Army
The Secretary of the Navy
The Secretary of the Air Force
The Attorney General
The Secretary of Energy
The Chairman, Nuclear Regulatory Commission
The Director, Arms Control and Disarmament Agency
The Director of Central Intelligence
The Administrator, National Aeronautics and Space Administration
The Administrator of General Services (delegable only to the Director,
Federal Preparedness Agency and to the Director, Information Security Over-
sight Office)
1-202. Secret. Authority for original classification of information as Secret
may be exercised only by such officials as the President may designate by
publication in the FEDERAL REGISTER, by the agency heads listed below, by
officials who have Top Secret classification authority, and by officials to whom
such authority is delegated in accordance with Section 1-204:
The Secretary of Commerce
The Secretary of Transportation
The Administrator, Agency for International Development
The Director, International Communication Agency
1-203. Confidential. Authority for original classification of information as
Confidential may be exercised only by such officials as the President may
designate by publication in the FEDERAL. REGISTER, by the agency heads listed
below, by officials who have Top Secret or Secret classification authority, and
by officials to whom such authority is delegated in accordance with Section 1-
204:
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The President and Chairman, Export-Import Bank of the United States
The President and Chief Executive Officer, Overseas Private Investment
Corporar.ion
1-204. Limitations on Delegation of Classification Authority.
(a) Authority for original classification of information as Top Secret may
be delegated only to principal subordinate officials who have a frequent need
to exercise such authority as determined by the President or by agency heads
listed in Section 1-201.
(b) Authority for original classification of information as Secret may be
delegated only to subordinate officials who have a frequent need to exercise
such authority as determined by the President, by agency heads listed in
Sections 1-201 and 1-202, and by officials with Top Secret classification
authority.
(c) Authority for original classification of information as Confidential may
be delegated only to subordinate officials who have a frequent need to exer-
cise such authority as determined by the President, by agency heads listed in
Sections 1-201, 1-202, and 1-203, and by officials with Top Secret classifica-
tion authority.
(d) Delegated original classification authority may not be redelegated.
(e) Each delegation of original classification authority shall be in writing
by name or title of position held.
(f) Delegations of original classification authority shall be held to an
absolute minimum. Periodic reviews of such delegations shall be made to
ensure that the officials so designated have demonstrated a continuing need to
exercise such authority.
1-205. Exceptional Cases When an employee or contractor of an agency
that does not have original classification authority originates information be-
lieved to require classification, the information shall be protected in the
manner prescribed by this Order and implementing directives. The informa-
tion shall be transmitted promptly under appropriate safeguards to the agency
which has appropriate subject matter interest and classification authority. That
agency shall decide within 30 days whether to classify that information. If it is
not clear which agency should get the information, it shall be sent to the
Director of the Information Security Oversight Office established in Section 5-
2 for a determination.
i-S. C6asaifscation Regxirasevls.
1-301. Information may not be considered for classification unless it
concerns:
(a) military plans, weapons, or operations;
(b).foreign government information;
(c) intelligence activities, sources or methods;
(d) foreign relations or foreign activities of the United States;
(e) scientific, technological, or economic matters relating to the national
security;
(f) United States Government programs for safeguarding nuclear materials
or facilities; or
(g) other categories of information which are related to national security
and which require protection against unauthorized disclosure as determined
by the President, by a person designated by the President pursuant to Section
1-201, or by an agency head.
1-302: Even though information is determined to concern one or more of
the criteria in Section 1-301, it may not be classified unless an original
classification authority also determines that its unauthorized disclosure reason-
ably could be expected to cause at least identifiable damage to the national
security.
fDERAL REGKTER VOL 43, NO. 12$-MONDAY, JULY 3, me
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1-303. Unauthorized disclosure of foreign government information or the
identity of a confidential foreign source is presumed to cause at least identifi-
able damage to the national security.
1-304. Each determination under the criterion of Section 1-301(g) shall
be reported promptly to the Director of the Information Security Oversight
Office.
1-4. Duration of Classification.
1-401. Except as permitted in Section 1-402, at the time of the original
classification each original classification authority shall set a date or event for
automatic declassification no more than six years later.
1-402. Only officials with Top Secret classification authority and agency
heads listed in Section 1-2 may classify information for more than six years
from the date of the original classification. This authority shall be used spar-
ingly. In such cases, a declassification date or event, or a date for review, shall
be set. This date or event shall be as early as national security permits and
shall be no more than twenty years after original classification, except that for
foreign government information the date or event may be up to thirty years
after original classification.
1-5. Identification and Markings.
1-501. At the time of original classification, the following shall be shown
on the fake of paper copies of all classified documents:
(a) the identity of the original classification authority;
(b) the office of origin;
(c) the date or event for declassification or review; and
(d) one of the three classification designations defined in Section. 1-1.
1-502. Documents classified for more than six years shall also be-;marked
with the identity of the official who authorized the prolonged classification.
Such documents shall be annotated with the reason the classification is expect-
ed to remain necessary, under the requirements of Section 1-3, despite the
passage of time. The reason for the prolonged classification may be stated by
reference to criteria set forth-in agency implementing regulations. These
criteria shall explain in narrative form the reason the information needs to be
protected beyond six years. If the individual who signs or otherwise authenti-
cates a document also is authorized to classify it, no further annotation of
identity is required.
1-503. Only the designations prescribed by this Order 'may be used to
identify classified information. Markings such as "For Official Use Only" and
"Limited Official Use" may not be used for that purpose. Terms such as
"Conference" or "Agency" may not be used in conjunction with the classifica-
tion designations prescribed by this Order; e.g., "Agency Confidential" or
"Conference Confidential."
1-5(4. In order to facilitate excerpting and other uses, each classified
document shall, by marking or other means, indicate clearly which portions
are classified, with the applicable classification designation, and which portions
are not classified. The Director of the Information Security Oversight Office
may, for good cause, grant and revoke waivers of this requirement for speci-
fied classes of documents or information.
1-505. Foreign government information shall either retain its original
classification designation or be assigned a United States classification designa-
tion that shall ensure a degree of protection equivalent to that required by'the
entity that furnished the information.
1-506. Classified documents that contain or reveal information that is
subject to special dissemination and reproduction limitations authorized by
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THE PRESIDENT 28953
this Order shall be marked clearly so as to place the user on notice of the
restrictions.
1-6. Prc hibitions.
1-601. Classification may not be used to conceal violations of law, ineffi-
ciency, or administrative error, to prevent embarrassment to a person, organi-
zation or agency, or to restrain competition.
1-602. Basic scientific research information not clearly related to the
national security may not be classified.
1-603. A product of non-government research and development that does
not incorporate or reveal classified information to which the producer or
developer was given prior access may not be classified under this Order until
and unless the government acquires a proprietary interest in the product. This
Order does not affect the provisions of the Patent Secrecy Act of 1952 (35
U.S.C. 181-188).
1-604. References- to classified documents that do not disclose classified
information may not be classified or used as a basis for classification.
1-6D5. Classification may not be used to limit dissemination of informa-
tion that is not classifiable under the provisions of this Order or to prevent or
delay the public release of such information.
1-606. No document originated on or 'after the effective date of this
Order may be classified after an agency has, received a request for the docu-
ment under the Freedom of Information Act or the Mandatory Review provi-
sions of this Order (Section 3-5), unless such classification is consistent with
this Order and is authorized by the agency head or deputy agency head.
Documents originated before the effective date of this Order and subject to
such a request may not be classified unless such classification is consistent
with this, Order and is authorized by the senior official designated to oversee
the agency information security program or by an official with Top Secret
classification authority. Classification authority under this provision shall be
exercised personally, on a document-by-document basis.
1-607. Classification may not be restored to documents already declassi-
fied and released to the public under this Order or prior Orders.
SECTION 2. DERIVATIVE CLASSIFICATION.
2-1. Use of Derivative Classification.
2-101. Original classification authority shall not be delegated to persons
.who only reproduce, extract, or summarize classified information, or who only
apply classification markings derived from source material or as directed by a
classification guide.
2-102. Persons who apply such derivative classification markings shall:
4a) respect original classification decisions;
(b) %erify the information's current level of classification so far as practica-
ble before applying the markings; and
(c) carry forward to any newly created documents the assigned dates or
events for declassification or review and any additional authorized markings,
in accordance with Sections 2-2 and 2-301 below. A single marking may be
used for documents based on multiple sources.
2-2. Classification Guides.
2-201. Classification guides used to direct derivative classification shall
specifically identify the information to be classified. Each classification guide
shall specifically indicate how the designations, time limits, markings, and
other requirements of this Order are to be applied to the information.
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28954 THE PRESIDENT
2-202. Each such guide shall be approved personally and in writing by an
agency head listed in Section 1-2 or by an official with Top Secret classifica-
tion authority. Such approval constitutes an original classification decision.
2-3. New Material.
2-SS01. New material that derives its classification from information classi-
fied on or after the effective date of this Order shall be marked with the
declassification date or event, or the date for?review, assigned to the source
information.
2-302. New material that derives its classification from information classi.
fled under prior Orders shall be treated as follows:
(a) If the source material bears a declassification date or event twenty
years or less from the date of origin, that date or event shall be carried
forward on the new material.
(b) If the source material bears no declassification date or event or is
marked for declassification beyond twenty years, the new material shall be
marked with a date for review for declassification at twenty years from the date
of original classification of the source material.
(c) IT the source material is foreign government information bearing no
date or event for declassification or is marked for declassification beyond
thirty years, the new material shall be marked for review for declassification at
thirty years from the date of original classification of the source material.
SECTION 3. DECLASSIFICATION AND DOWNGRADING.
3-1. DecItssification Authority.
3-101. The authority to declassify or downgrade information classified
under this or prior Orders shall be exercised only as specified in Section 3-1.
3-102. Classified information may be declassified or downgraded by the
official Who authorized the original classification if that official is still serving
in the same position, by a successor, or by a supervisory official of either.
3-103. Agency heads named in Section 1-2 shall designate additional
officials at the lowest practicable echelons to exercise declassification and
downgrading authority.
3-104. If the Director of the Information Security Oversight Office deter-
mines that information is classified in violation of this Order, the Director may
require the information to be declassified by the agency that originated the
classification. Any such decision by the Director may be appealed to the
National Security Council. The information shall remain classified until the
appeal is decided or until one year from the date of the Director's decision,
whichever occurs first.
3-105. The provisions of this Order relating to declassification shall also
apply to agencies which, under the terms of this Order, do not have original
classification authority but which had such authority under prior Orders.
3-2. Tran:,[erred Information.
3-20:1. For classified information transferred in conjunction with a trans-
fer of functions-not merely for storage purposes-the receiving agency shall
be deemed to be the originating agency for all purposes under this Order.
3-202. For classified information not transferred in accordance with Sec-
tion 3-201, but originated in an agency which has ceased to exist, each agency
in posses, ion shall be deemed to be the originating agency for all purposes
under thit~ Order. Such information may be declassified or downgraded by the
agency in possession after consulting with any other agency having an interest
in the subject matter.
3-20:;. Classified information transferred to the General Services Admin-
istration for accession into the Archives of the United States shall be declassi.
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THE PRESIDENT 28955
fled or downgraded by the Archivist of the United States in accordance with
this Order, the directives of the Information Security Oversight Office, and
the agency guidelines.
3-20.1. After the termination of a Presidential administration, the Archivist
of the United States shall review and declassify or downgrade all information
classified by the President, the White House Staff, committees or commissions
appointed by the President, or others acting on the President's behalf. Such
declassification shall only be undertaken in accordance with the provisions of
Section 3-504.
3-3. Declassifucation Policy.
3-301. Declassification of classified information shall be given emphasis
comparable to that accorded classification. Information classified pursuant to
this and prior Orders shall be declassified as early as national security consid-
erations permit. Decisions concerning declassification shall be based on the
loss of the information's sensitivity with the passage of time or on the occur-
rence of 21 declatssification event.
3-302. When information is reviewed for declassification pursuant to this
Order or the Freedom of Information Act, it shall be declassified unless the
declassification authority established pursuant to Section 3-1 determines that
the information continues to meet the classification requirements prescribed in
Section 1?-3 despite the passage of time.
3-303. It is presumed that information which continues . to meet the
classification requirements in Section 1-3 requires continued protection. In
some cases, however, the need to. protect such information may be outweighed
by the public interest in disclosure-of the information, and in these cases the
information should be declassified. When such questions arise, they shall be
referred to the agency head, a senior agency official with responsibility for
processing Freedom of Information Act requests or Mandatory Review re-
quests under this Order, an official with Top Secret classification authority, or
the Archilrist of the United States in the case of material covered in Section 3-
503. That, official will determine whether the public interest in disclosure
outweighs the damage to national security that might reasonably be expected
from disclosure.
3-4. Systematic Review for Declassifuation.
3-4011. Classified information constituting permanently valuable records
of the Government, as defined by 44 U.S.C. 2103, and information in the
possession and control of the Administrator of General Services, pursuant to
44 U.S.C, 2107 or 2107 note, shall be reviewed for declassification as it
becomes twenty years old. Agency heads listed in Section 1-2 and officials
designated by the President pursuant to Section 1-201 of this Order may
extend classification beyond twenty years, but only in`accordance with Sections
3-3 and 3-402. This authority may not be delegated. When classification is
extended beyond twenty years, a date no more than ten years later shall be set
for declassification or for the next review. That date shall be marked on the
document, Subsequent reviews for declassification shall be set at no more
than ten year intervals. The Director of the Information Security Oversight
Office may extend the period between subsequent reviews for specific catego-
ries of documents or information.
3-40.c'. Within 180 days after the effective date of this Order, the agency
heads' listed in Section 1-2 and the heads of agencies which had original
classification authority under prior orders shall, after consultation with the
Archivist of the United States and review by the Information Security Over-
sight Office, issue and maintain guidelines for systematic review covering
twenty-year old classified information under their jurisdiction. These guide-
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-28956 THE PRESIDENT
lines shall state specific, limited categories of information which, because of
their national security sensitivity, should not be declassified automatically but
should be reviewed item-by-item to determine whether continued protection
beyond twenty years is needed. These guidelines shall be authorized for use
by the Archivist of the United States and may, upon approval of the issuing
authority, be used by any agency having custody of the information. All
information not identified in these guidelines as .requiring review and for
which a prior automatic declassification date has not been established shall be
declassified automatically at the end of twenty years from the date of original
classification.
3-433. Nothwithstanding Sections 3-401 and 3-402, the Secretary of
Defense may establish special procedures for systematic review and declassifi-
cation oE' classified cryptologic information, and the Director of Central Intelli-
gence may establish special procedures for systematic review and declassifica-
tion of classified information concerning the identities of clandestine human
agents. These procedures shall be consistent, so far as practicable, with the
objectives of Sections 3-401 and 3-402. Prior to implementation, they shall be
reviewed and approved by the Director of the Information Security Oversight
Office and, with respect to matters pertaining to intelligence sources and
methods, by the Director of Central Intelligence. Disapproval of procedures by
the Director of the Information Security Oversight Office may be appealed to
the National Security Council. In such cases, the procedures shall not be
implemented until the appeal is decided.
3-404. Foreign government information shall be exempt from automatic
declassification and twenty year systematic review. Unless declassified earlier,
such information shall be reviewed for declassification thirty years from its
date of origin. Such review shall be in accordance with the provisions of
Section 3-3 and with guidelines developed by agency heads in consultation
with the Archivist of the United States and, where appropriate, with the
foreign government or international organization concerned. These guidelines
shall be authorized for use by the Archivist of the United States and may,
upon approval of the issuing authority, be used by any agency having custody
of the ini'ormation.
3-405. Transition to systematic review at twenty years shall be implement-
ed as rapidly as practicable and shall be completed no more than ten years
from the effective date of this Order.
3-5. Mandatory Review for Declassification.
3-501. Agencies shall establish a mandatory review procedure to handle
requests by a' member of the public, by a government employee, or . by an
agency, to declassify and release information. This procedure shall apply to
information classified under this Order or prior Orders. Except as provided in
Section ?t-503, upon such a request the information shall be reviewed for
possible declassification, provided the request reasonably describes the infor-
mation. Requests for declassification under this provision shall be acted upon
within 60 days. After review, the information or any reasonably segregable
portion thereof that no longer requires protection under this Order shall be
declassified and released unless withholding is otherwise warranted under
applicable law.
3-50:2. Requests for declassification which are submitted under the provi-
sions of tie Freedom of Information Act shall be processed in accordance with
the provisions of that Act.
3-503. Information' less than ten years old which was originated by the
President, by the White House Staff, or by committees or commissions ap-
pointed by the President, or by others acting on behalf of the President,
including such information in the possession and control of the Administrator
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of General Services pursuant to 44 U.S.C. 2107 or 2107 note, is exempted
'from the provisions of Section 5-501. Such information over ten years old
shall be subject to mandatory review for declassification. Requests for manda-
tory review shall be processed in accordance with procedures developed by
the Archivist of the United States. These procedures shall provide for consul-
tation with agencies having primary subject matter interest. Any decision by the
Archivist may be appealed to the Director of the Information Security Over-
sight Office. Agencies with primary subject matter interest shall be notified
promptly of the Director's decision on such appeals and may further appeal to
the National Security Council through the process set forth in Section 3-104.
3-504. Requests for declassification of classified documents originated by
an agency but in the possession and control of the Administrator of General
Services, pursuant to 44 U.S.C. 2107 or 2107 note, shall be referred by the
Archivist to the agency of origin for processing in accordance with Section 3-
501 and for direct response to the requestor. The Archivist shall inform
requesto:rs of such referrals.
3-505. No, agency in possession of a classified document may, in response
to a request for the document made under the Freedom of Information Act or
this Order's Mandatory Review provision, refuse to confirm the existence or
non-existence of the document, unless the fact of its existence or non-exis-
tence would itself be classifiable under this Order.
S-6. Doumgrading.
3-601. Classified information that is marked for automatic downgrading is
downgraded accordingly without notification to holders.
3-602. Classified information that is not marked for automatic downgrad-
ing may be assigned a lower classification designation by the originator or by
other authorized officials when such downgrading is appropriate. Notice of
downgrading shall be provided to holders of the information to the extent
practicab:[e.
SECTION 4. SAFEGUARDING,
4-1. Gene al Restrictions on Access.
4-101. No person may be given access to classified information unless
that person has been determined to be trustworthy and unless access is
necessary for the performance of official duties.
4-102. All classified information shall be marked conspicuously to put
users on notice of'its current classification status and, if appropriate, to show
any special distribution or reproduction restrictions authorized by this Order.
4-103. Controls shall be established by each agency to ensure that classi-
fied information is used, processed, stored, reproduced, and transmitted only
-under conditions that will provide adequate protection and prevent .access by
.unauthorized persons.
-4-101. Classified information no longer needed in current working files
or for reference or record purposes.shall be processed for appropriate disposi-
tion in accordance with the provisions of Chapters 21 and 33 of Title 44 of
the United States Code, which governs disposition of Federal records.
4-105. Classified information disseminated outside the Executive branch
shall be ;given protection equivalent to that afforded within the Executive
branch.
4-2. Special Access Prvgnsms.
4-201. Agency heads listed in Section 1-201 may create special access
programs to control access, distribution, and protection of particularly sensi-
tive information classified pursuant to this Order or prior Orders. Such pro-
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grams may be created or continued only by written direction and only by
those agency heads and, for matters pertaining to intelligence sources and
methods, by the Director of Central ,Intelligence. Classified information in
,such programs shall be declassified according to the provisions of Section 3.
4-202. Special access programs may 'be created or continued only on a
specific showing that:
(a) normal management and safeguarding procedures are not sufficient to
limit need-to-know or access;
(b) the number of persons who will need access will be reasonably small
and commensurate with the objective of providing extra protection for the
information involved; and
(c) the special access controls balance the need to protect the information
against the full spectrum of needs to use the information.
4-203. All special access programs shall be reviewed regularly and, except
those required by treaty or international agreement, shall terminate automati-
cally every five years unless renewed in accordance with the procedures in
Section 4-2.
4-2D4. Within 180 days after the effective date of this* Order, agency
heads shall review all existing special access programs under their jurisdiction
and continue them only in accordance with the procedures in Section 4-2.
Each of those agency heads shall also establish and maintain a system of
accounting for special access programs. The Director of the Information Secu-
rity Oversight Office shall have non-delegable access to all such accountings.
4-3. Access by Historical Researchers and Former Presidential Appointees.
4-301. The requirement in Section 4-101 that access to classified infor-
mation may be granted. only as is necessary for the performance of official
duties may be waived as provided in Section 4-302 for persons who:
(a) Ire-engaged in historical research projects, or
(b) previously have occupied policy-making positions to which they were
appointed by the President.
4-302. Waivers under Section 4-301 may be granted only if the agency
with jurisdiction over the information:
(a) makes a written determination that access is consistent with the inter-
ests of national security;
(b) . takes appropriate steps to ensure that access is limited to specific
categories of information over which that agency has classification jurisdiction;
(c) limits the access granted to former Presidential appointees to items
that the person originated, reviewed, signed or received while serving as a
Presidential appointee.
-4-4. Reproduction Controls.
4-401. Top Secret documents may not be reproduced without the consent
of the originating agency unless otherwise marked by the originating office.
4-402. Reproduction of Secret and Confidential documents may be re-
stricted by the originating agency.
4-403. Reproduced copies of classified documents are subject to the same
accountability and controls as the original documents.
4-404. Records shall be maintained by all agencies that reproduce paper
copies of classified documents to show the number and distribution of repro-
duced copies of all Top Secret documents, of all documents covered by
special access programs distributed outside the originating agency, and of all
Secret and all Confidential documents which are marked with special dissemi-
nation and reproduction limitations in accordance with Section 1-506.
4-405. Sections 4-401 and 4-402 shall not restrict the reproduction of
documents-for the purpose of facilitating review for declassification. However,
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THE PRESIDENT
such reproduced documents that remain classified after review must be de-
stroyed after they are used.
SECTION 5. IMPLEMENTATION AND REVIEW.
5-1. Oversight.
5-101. The National Security Council may review all matters with respect4
to the implementation of this Order and shall provide overall policy direction
for the in Formation security program.
5-102. The Administrator of General Services shall be responsible for
implementing and monitoring the program established pursuant to this Order.
This responsibility shall be delegated to an Information Security Oversight
Office.
5-2. Infonnation Security Oversight Office.
5-20:1. The Information Security Oversight Office shall have a full-time
Director appointed by the Administrator of General Services subject to ap-
proval by the President. The Administrator also shall have authority to ap-
point a staff for the Office.
5-202. The Director shall:
(a) oversee agency actions to ensure compliance with this Order and
implementing directives;
(b) consider and take action on complaints and suggestions from persons
within or outside the Government with respect to the administration of the
information security program, including appeals from decisions on declassifi-
cation requests pursuant to Section 3-503;
(c) exercise the authority to declassify information provided by Sections
3-104 and 3-503;
(d) develop, in consultation with the agencies, and promulgate, subject to
the approval of the National Security Council, directives for the implementa-
tion of this Order which shall be binding on the agencies;
(e) report annually to the President through the Administrator of General
Services and the National Security Council on the implementation of this
Order;
(f) review all agency implementing regulations and agency guidelines for
systematic declassification review. The Director shall require any regulation or
guideline to be changed if it is not consistent with this Order or implementing
directives. Any such decision by the Director may be appealed to the National
Security Council. The agency regulation or guideline shall remain in effect
until the appeal is decided or until one year from the date of the Director's
decision, whichever occurs first.
(g) exercise case-by-case classification authority in accordance with Section
1-205 and review requests for original classification authority from agencies or
officials not granted original classification authority under Section 1-2 of this
Order, and
(h) have. the authority to conduct on-site reviews of the information
security program of each agency that handles classified information and to
require of each agency such reports, information, and other cooperation as
necessary to fulfill his responsibilities. If such reports, inspection, or access to
specific categories of classified information would pose an exceptional national
security rsk, the affected agency head may deny access. The Director may
appeal. denials to the National Security Council. The denial of access shall
remain in effect until the appeal is decided or until one year from the date of
the denial, whichever occurs first.
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28960
THE PRESIDENT
5-3. Interagency information security Committee.
5-301. There is established an Interagency Information Security Commit-
tee which shall be chaired by the Director and shall be comprised of represent-
atives of the Secretaries of State, Defense, Treasury, and Energy, the Attorney
General, the Director of Central Intelligence, the National Security Council,
the Domestic Policy Staff, and the Archivist of the United States.
5-3D2. Representatives of other agencies may be invited to meet with the
Committee on matters of particular interest to those agencies.
5-303. The Committee shall meet at the call of the Chairman or at the
request of a member agency and shall advise the Chairman on implementation
of this order.
5-4. General Responsibilities.
5-401. A copy of any information security regulation and a copy of any
guideline for systematic declassification review which has been adopted pursu-
ant. to this Order or implementing directives, shall be submitted to the Infor-
mation Security Oversight Office. To the extent practicable, such regulations
and guidelines should be unclassified.
5-402. Unclassified regulations that establish agency information security
policy arid unclassified guidelines for systematic declassification review shall be
published in the FEDERAL REGISTER.
5-403. Agencies with original classification authority shall promulgate
guides for security classification that will facilitate the identification and uni-
form classification of information requiring protection under the provisions of
this Order.
5-404. Agencies which originate or handle classified information shall:
(a) -designate a senior agency official to conduct an active oversight pro-
gram to ensure effective implementation of this Order;
(b) designate a senior agency official to chair an agency committee with
authority to act on all suggestions and complaints with respect to the agency's
administration of the information security program;
(c) establish a process to decide appeals from denials of declassification
requests submitted pursuant to Section 3-5;
(d) establish a program to familiarize agency and other personnel who
have access to classified information with the provisions of this Order and
implementing -directives. This program shall impress upon agency personnel
their responsibility to exercise vigilance in complying with this Order. The
program shall encourage agency personnel to challenge, through Mandatory
Review and other appropriate procedures, those classification decisions they
believe to be improper;
(e) promulgate guidelines for systematic review in accordance with Sec-
tion 3402;
(f) establish procedures to prevent unnecessary access to classified infor-
mation, including procedures which require that a demonstrable need for
access to classified information is established before initiating administrative
clearance procedures, and which ensures that the number of people granted
access to classified information is reduced to and maintained at the minimum
number that is consistent with operational requirements and needs; and
(g) ensure that practices for safeguarding information are systematically
reviewed and that those which are duplicative or unnecessary are eliminated.
5-405. Agencies shall submit to the Information Security Oversight Office
such information or reports as the Director of the Office may find necessary to
carry out the Office's responsibilities.
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THE PRESIDENT 28961
5-5. Administrative Sanctions.
5401. If the Information Security Oversight Office finds that a violation
of this Order or any implementing directives may have occurred, it shall make
a report to the head of the agency concerned so that corrective steps may be
taken.
- 5-502. Officers and employees of the United States Government shall be
subject to appropriate administrative sanctions if they:
(a) knowingly and willfully classify or continue the classification of infor-
mation :'in violation of this Order or any implementing directives; or
(b) knowingly, willfully and without authorization disclose information
properh' classified under this Order or prior Orders or compromise properly
classified information through negligence; or
(c) knowingly and willfully violate any other provision of this Order or
implementing directive.
5-5D3. Sanctions may include reprimand, suspension without pay, remov-
al, termination of classification authority, or other sanction in accordance with
applicable law and agency regulations.
5-504. Agency heads shall ensure that appropriate and prompt corrective
action is taken whenever a violation under Section 5-502 occurs. The Director
of the Information Security Oversight Office shall be informed when such
violations occur.
5-505. Agency heads shall report to the Attorney General evidence re-
flected in classified information of possible violations of Federal criminal law
by an agency employee and of possible violations by any other person of those
Federal criminal laws specified in guidelines adopted by the Attorney General.
SECTION 6. GENERAL PROVISIONS.
6-1. Defi-'titions.
6-101. "Agency" has the meaning defined in 5 U.S.C. 552(e).
6-102. "Classified information" means information or material, herein
collectively termed information, that is owned by, produced for or by, or
under the control of, the United States Government, and that has been
determined pursuant to this Order or prior Orders to -require protection
against unauthorized disclosure, and that is so designated.
6-103. "Foreign government information" means information that has
been provided to the United States in confidence by, or produced by the
United States pursuant to a written joint arrangement requiring confidentiality
with, a i:oreign government or international organization of governments.
6-104. "National security" means the national defense and foreign rela-
tions of the United States.
6-105. "Declassification event" means an event which would eliminate the
need for continued classification.
6-2. Gene al.
6-201. Nothing in this Order shall supersede any requirement made by or
under the Atomic Energy Act of 1954, as amended. "Restricted Data" and
information designated as "Formerly Restricted Data" shall be handled, pro-
tected, classified, downgraded, and declassified in conformity with the provi-
sions of the Atomic Energy Act of 1954, as amended, and regulations issued
pursuant thereto.
6-202. The Attorney General, upon-request by the head of an agency, his
duly designated representative, or the Director of the Information Security
Oversight Office, shall personally or through authorized representatives of the
Department of justice render an interpretation of this Order with respect to
any question arising in the course of its administration.
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6-20:e. Executive Order No. 11652 of March -8, 1972, as amended by
Executive Order No. 11714 of April 24, 1973, and as further amended by
Executive Order No. 11862 of June 11, 1975, and the "National Security
Council Directive of May 17, 1972 (3 CFR 1085 (1971-75 Comp.)) are re-
voked.
6-204. This Order shall become effective on December 1, 1978, except
that the functions of the 'Information Security Oversight Office specified in
Sections Ri-202(d) and 5-202(f) shall be effective immediately and shall be
performed in the interim by the Interagency Classification Review Committee
established pursuant to Executive Order No. 11652.
THE WHITE HOUSE,
June 28, 1978.
EDrrORIAL NOTE: The President's statement of June 29, 1978, on issuing Executive Order
-12065, is pruned in the Weekly Compilation of Presidential Documents (vol. 14, No.-26).
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THE PRESIDENT 28963
Order oi' June 28, 1978
Designation of Certain Officials Within the Executive Office of the President To Classify
National Security Information
Pursuant to the provisions of Section 1-201 of Executive Order 12065 of
June 28, 1978, entitled "National Security Information", I hereby designate
the following officials within the Executive Office of the President to originally
classify information as "Top Secret"
The Vice President
The Assistant to the President for National Security Affairs
The Director, Office of Management and Budget
The Director, Office of Science and Technology Policy
The Special Representative for Trade Negotiations
The Chairman, Intelligence Oversight Board
Pursuant to the provisions of Section 1-202 of said Order, I designate the
Chairman of the Council of Economic Advisers and the President's Personal
Representative for Micronesian Status Negotiations to originally classify infor-
mation ai; "Secret".
Any delegation of this authority shall be in accordance with Section 1-204
of the Order.
This Order shall be published in the FEDERAL REGISTER.
THE WHITE HOUSE,
June 28, 1978.
[FR Doc. 78-18506 Filed 6-29-78; 4:19 pm]
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