9.64 Abuse of classification and declassifcation policies.

9.65 Applicable criminal laws. Appendix A-Definitions.

AUTHORITY: EO 11652, 37 F.R. 5209, National Security Council Directive of May 17, 1972, 37 F.R. 10053.

SOURCE: Dept. Reg. 108.672, 37 F.R. 15624, Aug. 3, 1972.

§ 9.1 Physical and procedural security.

These regulations implement Executive Order 11652 dated March 8, 1972 (37 F.R. 5209, March 10, 1972), entitled "Classification and Declassification of National Security Information Material."

§ 9.2 General policy.

and

The interests of the United States and its citizens are best served by making information regarding the affairs of Government readily available to the public. This concept of an informed citizenry is reflected in the Freedom of Information Act (5 U.S.C. 552) and in the current

public information policies of the executive branch.

(a) Safeguarding national security information. Within the Federal Government there is some official information and material which, because it bears directly on the effectiveness of our national defense and the conduct of our foreign relations, must be subject to some constraints for the security of our Nation and the safety of our people and our allies. To protect against actions hostile to the United States, of both an overt and covert nature, it is essential that such official information and material be given only limited dissemination.

(b) Exemption from public disclosure. This official information or material, hereinafter referred to as classified information or material, is expressly exempted from compulsory public disclosure by section 552(b)(1) of title 5, United States Code. Wrongful disclosure of such information or material is recognized in the Federal Criminal Code as providing a basis for prosecution.

(c) Scope. To ensure that such information and material is protected, but only to the extent and for such period as is necessary, these regulations identify the information to be protected, prescribe classification, downgrading, declassification, and safeguarding procedures to be followed, and establish a monitoring system to ensure their effectiveness.

(d) Limitation. The requirement to safeguard information and material in the interest of national defense and the conduct of foreign relations in no way implies an indiscriminate license to restrict information from the public. It is important that the citizens of the United States have the fullest possible access, consistent with national security, to information concerning the policies and programs of their Government.

§ 9.3 Implementation and review responsibilities.

Executive Order 11652 (37 F.R. 5209, Mar. 10, 1972) and NSC Directives require the establishment of departmental committees to have the authority to act on all suggestions and complaints with respect to each Department's administration of the Executive order and NSC Directives.

(a) Each committee will have responsibility for the following additional functions:

(1) To establish and monitor policies and procedures within its Department to prevent overclassification, to insure the orderly and effective downgrading and declassification of Department documents, and to facilitate the release of information;

(2) To serve as a forum for systematic review of proposed classified disclosures of an exceptional nature bearing upon issues of concern to the Congress and the public;

(3) To establish policies and procedures to assess the risks to intelligence sources and methods whenever any classified intelligence is proposed for declassification or for use in public forums, or other activities in the course of which there is danger that intelligence sources and methods might be revealed;

(4) To determine, as required, the net advantage to the United States of a disclosure of classified information relating to U.S. foreign policy objectives as against attendant risks;

(5) To consider and decide such other questions concerning classification and declassification as may from time to time be referred to the committee;

(6) To protect from unauthorized disclosure properly classified information and intelligence bearing upon important aspects of national defense and foreign policy;

(7) To provide guidance concerning corrective or disciplinary action in unusually important cases involving unauthorized disclosure;

(8) To review all appeals of requests for records under the Freedom of Information Act.

(b) Department of State: Within the State Department, these functions will be performed by the Council on Classification Policy, which is composed of the Director of Intelligence and Research, the Director of Planning and Coordination, the Assistant Secretary for Public Affairs, the Executive Secretary of the Department, the Legal Adviser, and the Deputy Assistant Secretary for Security, with appropriate advisers, and chaired by the Deputy Under Secretary for Management.

(c) Agency for International Development: Within the Agency for International Development these functions will be performed by the AID Security Information Committee (ASIC). It shall be chaired by the Auditor General, shall include the Director, Office of Security, as Secretary, and shall consist of the

following members of the AID senior staff or their alternates: Assistant Administrator. Bureau of Program and Management Services; Director, Office of Public Affairs; the Executive Secretary, the General Counsel, the Coordinator of Supporting Assistance, and one additional member of the senior staff to be appointed for 1-year term by the Administrator of AID.

(d) U.S. Information Agency: Within the U.S. Information Agency, these functions will be performed by the Council on Classification Policy, comprised of the senior officials of the Office of Research and Assessment, Office of Assistant Director (Administration), Office of Assistant Director (Public Information), and Office of the General Counsel, with representatives of other elements consulted as needed, and chaired by the Assistant Director U.S.I.A. (Security).

(e) Delegation of responsibilities: The Chairman of each such Department Committee is delegated responsibilities of the senior agency official defined in section 7(b) of Executive Order 11652 for developing programs to insure effective compliance with and implementation of the order.

(f) Reports to the Interagency Classification Review Committee: The departmental committees shall provide quarterly reports to the Interagency Classification Review Committee on Departmental Committee actions on classification review requests, classification abuses and unauthorized disclosure, and progress reports on information accumulated in the data index system established under part VII of the National Security Council Directive of May 17, 1972, and such other reports as the Chairman of the Interagency Classification Review Committee may find necessary for the committee to carry out its responsibilities. § 9.4 Responsibility for safeguarding classified information.

(a) Primary. The specific responsibility for the maintenance of the security of classified information rests with each person having knowledge or physical custody thereof, no matter how obtained. A holder of classified information or material shall observe and respect the classification assigned by the originator. If a holder believes that there is unnecessary classification, that the assigned classification is improper, or that the document is subject to declassification under the Executive order, he shall so inform

the originator who shall thereupon reexamine the classification.

(b) Individual. Each employee is responsible for becoming familiar with and adhering to all security regulations.

(c) Supervisory. The ultimate responsibility for safeguarding classified information rests upon each supervisor to the same degree that the supervisor is charged with functional responsibility for the organizational unit. While certain employees may be assigned specific security responsibilities, such as Top Secret control officer or unit security officer, it is nevertheless the basic responsibility of supervisors to insure that classified material entrusted to their organizational units is handled in accordance with the procedures prescribed in these regulations. Each supervisor should insure that no one employee is assigned unreasonable security responsibilities in addition to usual administrative or functional duties.

(d) Organizational. The Offices of Security in State, U.S.I.A., and AID are responsible for physical and personnel security in their respective agencies. The Office of Communications in the Department of State is responsible for communications security (COMSEC).

(a) Security classification categories. Official information or material which requires protection against unauthorized disclosure in the interest of the national defense or foreign relations of the United States (hereinafter collectively termed "national security") shall be classified in one of three categories; namely, "Top Secret," "Secret," or "Confidential," depending upon the degree of its significance to national security. No other categories shall be used to identify official information or material as requiring protection in the interest of national security, except as otherwise expressly provided by statute. These classification categories are defined as follows:

(1) Top Secret. "Top Secret" refers to that national security information or material which requires the highest degree of protection. The test for assigning "Top Secret" classification shall be whether its unauthorized disclosure could reasonably be expected

to cause exceptionally grave damage to the national security. Examples of "exceptionally grave damage" include armed hostilities against the United States or its allies; disruption of foreign relations vitally affecting the national security; the compromise of vital national defense plans or complex cryptologic and communications intelligence systems; the revelation of sensitive intelligence operations; and the disclosure of scientific or technological developments vital to national security. The classification "Top Secret" shall be used with the utmost restraint.

(2) Secret. "Secret" refers to that national security information or material which requires a substantial degree of protection. The test for assigning "Secret" classification shall be whether its unauthorized disclosure could reasonably be expected to cause serious damage to the national security. Examples of "serious damage" include disruption of foreign relations significantly affecting the national security; significant impairment of a program or policy directly related to the national security; revelation of significant military plans or intelligence operations; and compromise of significant scientific or technological developments relating to national security. The classification "Secret" shall be sparingly used.

(3) Confidential. "Confidential" refers to that national security information or material which requires protection. The test for assigning "Confidential" classification shall be whether its unauthorized disclosure could reasonably be expected to cause damage to the national security. § 9.6 Authority to classify.

The following persons have authority to originally classify information or material in the categories indicated:

(a) Top Secret. Such officials as the President may designate in writing; Secretary of State; Administrator, Agency for International Development. With respect to the Department of State, such of the following officers who are designated in writing by the Secretary of State:

(1) In the United States, officers of Deputy Assistant Secretary or equivalent rank or above.

(2) Outside the United States, the Chief of Mission and, where operational necessity warrants, the Deputy Chief of Mission.

(3) With respect to AID, the Deputy Administrator, Assistant Administrators, the Auditor General, the General Counsel, and the Director, Office of Public Safety.

(b) Secret. Officials who have "Top Secret" classification authority; Director, U.S. Information Agency.

(1) In the United States, such subordinate officers of the Department of State and AID of office director or equivalent rank or above as officials with "Top Secret" classification authority may designate in writing, and such senior principal deputies or assistants to the Director of U.S.I.A. as the Director may designate in writing.

(2) Outside the United States, such subordinate officers of section head or equivalent rank or above as officials with "Top Secret" classification authority may designate in writing, and such senior principal deputies or assistants to the Director of U.S.I.A. as the Director may designate in writing.

(c) Confidential. Officials who have "Top Secret" or "Secret" classification authority, and such officials of Division Chief or equivalent rank or as may be designated in writing by officials who have "Top Secret" or "Secret" classification authority. Such officials may classify information or material only at the level authorized or below. This authority rests only in the official designated, and may not be delegated. However, classification authority vested in a designated official may be exercised by another assuming the full duties and responsibilities of such official in an acting capacity.

§ 9.7 Responsibility to assign.

(a) Any person who originates a classified document has the responsibility to assign the appropriate classification at the time the document is prepared. The final classification and declassification schedule, however, must be approved by an official with the appropriate level of classifying authority.

(b) It is the intent of Executive Order 11652 that the authority to originally classify information or material be restricted solely to those officers concerned with matters of national security, and shall be limited to the minimum number of individuals absolutely required for efficient administration. Each person possessing classifying authority shall be held accountable for the propriety of

the classifications attributed to the person.

(c) Observance of classification: Any person who incorporates into a document or material information or material previously classified by an authorized official or makes substantial reference thereto, shall reflect the original classification and the identity of the original classifier on the new document or material. Performance of this duty shall not constitute original classification.

(d) Listing of those with classifying authority: The Office of Security in each Department shall maintain separate lists by name of the officials who have been designated in writing to have Top Secret, Secret, and Confidential authority. Office heads shall submit to the appropriate Office of Security, on or before July 1, 1972, a list current as of that date and shall submit on or before the beginning of each subsequent calendar quarter a list current as of the beginning of that quarter. Each list shall identify officials exercising classification authority by name, title, office, and designating officer. These quarterly reports shall, in turn, be forwarded to the Interagency Classification Review Committee. § 9.8 Classification procedure.

Each person possessing classifying authority shall be held accountable for the propriety of the classifications attributed to the person. Both unnecessary classification and overclassification shall be avoided. Classification shall be solely on the basis of national security considerations. In no case shall information be classified in order to conceal inefficiency or administrative error, to prevent embarrassment to a person or Department, to restrain competition or independent initiative, or to prevent for any other reason the release of information which does not require protection in the interest of national security. The following rules shall apply to classification of information:

(a) Documents in general. Each classified document shall show on its face its classification and whether it is subject to or exempt from the General Declassification Schedule referred to in § 9.11. It shall also show the office of origin, the date of preparation and classification, and, to the extent practicable, be so marked as to indicate which portions are classified, at what level, and which portions are not classified in order to facili

tate excerpting and other use. Material containing references to classified materials, which references do not reveal classified information, shall not be classified.

(b) Identification of classifying authority. Material classified shall indicate on its face the identity of the highest authority authorizing the continued classification. Where the individual who signs or otherwise approves a document or item has also authorized the classification, no further annotation as to the individual's identity is required.

(c) Information or material furnished by a foreign government or international organization. (1) Classified information or material furnished to the United States by a foreign government or international organization shall either retain its original classification or be assigned a U.S. classification. In either case, the classification shall assure a degree of protection equivalent to that required by the government or international organization which furnished the information or material.

(2) NATO, CENTO, and SEATO information must be safeguarded in accordance with instructions and procedures promulgated by the U.S. Security Authority (USSA) as contained in USSAN 1-69 dated December 20, 1969; USSAN 1-68 dated June 5, 1968; and USSAS 1-67 dated September 23, 1967, respectively.

(3) Classification responsibilities: A holder of classified information or material shall observe and respect the classification assigned by the originator. If a holder believes that there is unnecessary classification, that the assigned classification is improper, or that the document is subject to declassification hereunder, the holder shall so inform the originator who shall thereupon reexamine the classification.

(4) Limiting number of copies: In the preparation of classified documents, the number of copies must be kept to an absolute minimum. Every copy prepared increases the risk that the information may fall into unauthorized hands.

§ 9.9 Declassification and downgrading.

(a) Authority to downgrade and declassify. Classified material should be kept under appropriate review and be downgraded or declassified as conditions warrant. The authority to downgrade or declassify national security in