Chapter Xii—Defense Logistics Agency

CHAPTER XII—DEFENSE LOGISTICS AGENCY

SUBCHAPTER A [RESERVED]

SUBCHAPTER B—MISCELLANEOUS

Part Page 1280 Investigating and processing certain noncontrac- tual claims and reporting related litigation ...... 265 1285 Defense Logistics Agency Freedom of Information Act Program ...... 268 1288 Registration of privately owned motor vehicles ..... 287 1290 Preparing and processing minor offenses and violation notices referred to U.S. District Courts ...... 289 1292 Security of DLA activities and resources ...... 297

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PART 1280—INVESTIGATING AND this part 1280, to investigate and proc- PROCESSING CERTAIN NON- ess claims within the purview of this CONTRACTUAL CLAIMS AND RE- part 1280. (b) Member of the Army, member of the PORTING RELATED LITIGATION Navy, member of the Marine Corps, member of the Air Force. Officers and en- Sec. 1280.1 Purpose and scope. listed personnel of these Military Serv- 1280.2 Definitions. ices. 1280.3 Significant changes. 1280.4 Responsibilities. § 1280.3 Significant changes. 1280.5 Procedures. This revision provides current cita- AUTHORITY: 5 U.S.C. 301; 10 U.S.C. 125; 28 tions to the Army regulations which U.S.C. 2672; and DoD Directive 5105.22 dated have superseded those previously pre- December 9, 1965. scribed for the processing of some SOURCE: 39 FR 19470, June 3, 1974, unless claims. It reflects the new Army otherwise noted. claims processing procedures effected upon the reorganization of the Army. § 1280.1 Purpose and scope. Finally, it provides specific procedures (a) This part 1280 provides procedures for Air Force processed claims. for investigating and processing claims and related litigation: § 1280.4 Responsibilities. (1) By civilian and military personnel (a) DLA field activities. (1) Heads of of DLA for property lost or damaged DLA Primary Level Field Activities incident to service (31 U.S.C. 240 are responsible for: through 243). (i) Designating a qualified individual (2) Incident to use of Government ve- under their command, preferably one hicles and other property of the United experienced in the conduct of inves- States not cognizable under other law tigations, as the Claims Investigating (10 U.S.C. 2737). Officer for the activity. (3) Based on Negligence of Civilian (ii) Authorizing Heads of subordinate and Military Employees under the Fed- activities to appoint Claims Inves- eral Tort Claims Act, 28 U.S.C. 1346(b), tigating Officers where necessary. 2671 through 2680. (2) The Commander, DLA Adminis- (4) In favor of the United States, trative Support Center (DLASC) is re- other than contractual, for loss, dam- sponsible for designating a qualified in- age, or destruction of real or personal dividual, preferably one experienced in property in the possession, custody, or the conduct of investigations, as the control of DLA. Claims Investigating Officer for (b) This part 1280 is applicable to HQ DLASC and HQ DLA. DLA and DLA field activities, except (3) Claims Investigating Officers are nonappropriated funds and related ac- responsible for the expeditious conduct tivities established pursuant to DSAR of all investigations and the processing 1330.2, Open Messes and Other Military of reports in accordance with appro- Sundry Associations and Funds, and priate Departmental regulations as DSAR 1330.4, Civilian Nonappropriated prescribed by this part 1280. To ensure Funds and Related Activities. Claims prompt investigation of every incident involving these activities are processed while witnesses are available, and be- pursuant to the regulations referenced fore damage has been repaired, the du- therein. ties of personnel as Claims Inves- tigating Officers will ordinarily have § 1280.2 Definitions. priority over any other assignments (a) Claims Investigating Officer. A mili- they may have. tary officer or civilian employee of (4) The Counsel, DLA Field Activities DLA, appointed in accordance with are responsible for:

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(i) Receiving claims reports and in- nizant adjudicating authority as listed formation about related litigation, and in JAGINST 5800.7A, paragraph 2124. processing these reports and informa- (iii) Where the claimant is a member tion in accordance with this part 1280 of the Air Force; the Base Staff Judge and appropriate Departmental regula- Advocate of the nearest Air Force tions. Base. (ii) Providing directions and guid- (b) Claims incident to the use of Gov- ance to Claims Investigating Officers ernment property not cognizable under in the investigation and processing of any other law (10 U.S.C. 2737). (1) The claims. Claims Investigating Officer will con- (b) The Counsel, DLA (DLAH-G) is re- duct his investigation and prepare all sponsible for: necessary forms and reports in accord- (1) Providing guidance to Counsel at ance with the appropriate portions of DLA field activities on all claims and AR 27–20 where the claimant is a mem- litigation matters within the purview ber of the Army or a DLA civilian em- of this part 1280. ployee; JAGINST 5800.7A where the (2) Receiving claims reports and in- claimant is a member of the Navy or formation on related litigation for- Marine Corps; or AFM 112–1 where the warded to HQ DLA, Attention: DLAH- claimant is a member of the Air Force. G, and processing these in accordance (2) The completed report will be for- with this part 1280 and appropriate De- warded by the Claims Investigating Of- partmental regulations. ficer to the Counsel for his activity or, (3) Maintaining this part 1280 in a if the activity has no Counsel, to the current status and reviewing it annu- next higher echelon having such a posi- ally. tion. § 1280.5 Procedures. 1 (3) The activity Counsel receiving the Claims Investigating Officer’s report (a) Claims by military and civilian per- will review the report, and take all sonnel of DLA for property lost or dam- necessary action to assure that it is aged incident to service (31 U.S.C. 240 complete and in accordance with the (1) The Claims Inves- through 243). appropriate regulation. He will forward tigating Officer will conduct his inves- the report together with his comments tigation and prepare all necessary and recommendations to one of the fol- forms and reports in accordance with lowing activities for settlement. Where the appropriate portions of AR 27–20 the incident giving rise to the claim where the claimant is a member of the was occasioned by an act or omission Army or a DLA civilian employee; of: JAGINST 5800.7A where the claimant is (i) DLA civilian personnel. Counsel, a member of the Navy or Marine Corps; DLA. or AFM 112–1 where the claimant is a member of the Air Force. (ii) A member of the Army. The Staff (2) The completed report will be for- Judge Advocate designated in AR 27–20, warded by the Claims Investigating Of- appendix F, as the Area Claims Author- ficer to one of the following activities ity where the claim arose. for settlement: (iii) A member of the Navy or Marine (i) Where the claimant is a DLA ci- Corps. The Director of the Navy Law vilian employee or a member of the Center in the Naval District in which Army; the Staff Judge Advocate des- the incident giving rise to the claim ignated in AR 27–20, appendix F, as the occurred. Area Claims Authority where the claim (iv) A member of the Air Force. The arose. Base Staff Judge Advocate of the Air (ii) Where the claimant is a member Force Base nearest the place where the of the Navy or Marine Corps the cog- incident giving rise to the claim occurred. (c) Claims under the Federal Tort 1 Copies of the Military Department regulations mentioned herein may be obtained Claims Act arising from negligence of from the Departments of the Army and DLA military or civilian personnel. (1) Navy, and the Superintendent of Documents, The Claims Investigating Officer will U.S. Government Printing Office. conduct his investigation and prepare

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all necessary forms and reports in ac- Offers of compromise will be processed cordance with the appropriate portions pursuant to DSAM 7000.1, chapter 12, of AR 27–20 where the claim involves a section V, paragraph 120502. member of the Army or a DLA civilian (v) Where payment in full is not re- employee; JAGINST 5800.7A where the ceived after reasonable efforts have claim involves a member of the Navy been made to collect the claim admin- or Marine Corps; or AFM 112–1 where istratively, Counsel will refer the case the claim involves a member of the Air directly to the U.S. Attorney unless: Force. (a) The amount of the claim exceeds (2) The completed report of investiga- $10,000, in which event the case will be tion will be forwarded by the Claims referred to Counsel, DLA. Investigating Officer to one of the fol- (b) The amount of the debt is less lowing activities for settlement. Where than $250; or the record clearly shows the incident giving rise to the claim that the debtor is unable to pay; or the was occasioned by an act or omission debtor cannot be located; in which of: event the file may be closed and the (i) DLA civilian personnel or a member debt treated as an uncollectable which of the Army. The Staff Judge Advocate does not have to be referred to the Gen- designated in AR 27–20, appendix F, as eral Accounting Office. the Area Claims Authority where the (2) If, at any stage of the processing incident giving rise to the claim oc- of a claim under this paragraph (d), a curred. claim is filed against the Government (ii) A member of the Navy or Marine arising out of the same incident, or it Corps. The Director of the Navy Law becomes apparent that one will be Center in the Naval District in which filed, the claim under this paragraph the incident giving rise to the claim (d) will be treated as a counterclaim, occurred. and included under the report filed in (iii) A member of the Air Force. The accordance with the applicable para- Base Staff Judge Advocate of the Air graph of this part 1280. Force Base nearest the place where the (e) Claims involving GSA motor pool incident giving rise to the claim oc- system vehicles. (1) Where a motor pool curred. system vehicle issued to a DLA activ- (d) Tort claims in favor of the United ity is involved in an accident giving States for damage to or loss or destruction rise to a claim under the Federal Tort of DLA property, or property in its cus- Claims Act, the claim will be handled tody or control. (1) These claims will be pursuant to paragraph (c) of this sec- investigated and processed in accord- tion. ance with the provisions of AR 27–40, (2) In the event of damage to a motor Chapter 5, except: pool system vehicle which is not due to (i) The duties of the claims officer the fault of the operator, Counsel re- will be performed by the Claims Inves- ceiving the report will submit the re- tigating Officer. port to GSA’s Regional Counsel for the (ii) The duties of the Staff Judge Ad- region that issued the vehicle pursuant vocate will be performed by Counsel, to the Federal Property Management except where the property is a GSA Regulation, § 101–39.805. Damages to motor pool system vehicle (see para- motor pool system vehicles caused by graph (e) of this section). the negligence of vehicle operator em- (iii) The reports of the Claims Inves- ployed by DLA or caused by the neg- tigating Officer will be furnished direct ligence or misconduct of any other offi- to Counsel for his activity or, if his ac- cer or employee of DLA are reimbursed tivity has no Counsel, to the next high- to General Services Administration er echelon having such a position. (GSA). Determination affixing respon- (iv) With respect to reports referred sibility will be made by the Counsel to to them, Counsel are authorized to give which the report is referred, after con- receipts for any payments received and sidering the views of GSA. to execute releases where payment in (f) Reporting legal proceedings. (1) All full is received, except where the prop- process and pleadings served on any erty is a GSA motor pool system vehi- personnel or activity of DLA, and re- cle (see paragraph (e) of this section). lated to a claim covered by this part

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1280 or involving an incident which been filed and has been referred to a may give rise to a claim covered by Military Service, a copy of the process this part 1280, together with other im- and pleadings and any information not mediately available data concerning previously furnished will be sent to the the commencement of legal pro- appropriate Military Service Judge Ad- ceedings, will be promptly referred to vocate General. Counsel for the activity involved, or, if the activity has no Counsel, to the PART 1285—DEFENSE LOGISTICS next higher echelon having such a position. AGENCY FREEDOM OF INFOR- (2) Any Military Service member or MATION ACT PROGRAM civilian employee of DLA (or his personal representative) against whom a Sec. domestic civil action or proceeding is 1285.1 Purpose and scope. brought for damage to property, or for 1285.2 Policy. personal injury or death, on account of 1285.3 Definitions. his operation of a motor vehicle 1285.4 Responsibilities. (Government- or privately-owned) in 1285.5 Procedures. the scope of his employment (28 U.S.C. 1285.6 Fees and fee waivers. 2679) will: 1285.7 Reports. (i) Upon receipt of process and plead- APPENDIX A TO PART 1285—GAINING ACCESS ings or any other information regard- TO DLA RECORDS ing the commencement of such action AUTHORITY: 5 U.S.C. 552. or proceeding, immediately inform the SOURCE: 56 FR 65423, Dec. 17, 1991, unless Head of his activity and Counsel as otherwise noted. specified in paragraph (f)(1) of this section. § 1285.1 Purpose and scope. (ii) Promptly deliver all process and pleadings served upon him, or an at- This rule provides policies and proce- tested true copy thereof, to Counsel. dures for the DLA implementation of (3) Upon receipt of information or DoD 5400.7–R, 1 DoD Freedom of Infor- process and pleadings pursuant to para- mation Act Program. It applies to HQ graph (f)(1) or (2) of this section, Coun- DLA and all DLA field activities and sel will promptly prepare and process takes precedence over all DLA regula- reports in accordance with the appro- tions that supplement the FOIA propriate portions of AR 27–40 except that: gram. A list of mailing addresses for (i) If the incident giving rise to the DLA activities is provided at appendix litigation was occasioned by an act or A to this part. omission of a member of the Navy or Marine Corps, or a member of the Air § 1285.2 Policy. Force, information and reports re- (a) General. The public has a right to quired to be furnished to The Judge information concerning the activities Advocate General of the Army will be of its Government. DLA policy is to furnished instead to The Judge Advo- conduct its activities in an open man- cate General of the Navy and Air Force ner and provide the public with a max- respectively. imum amount of accurate and timely (ii) If the litigation is under the Fed- information concerning its activities, eral Tort Claims Act and no adminis- consistent always with the legitimate trative claim has been filed, Counsel public and private interests of the will immediately advise the U.S. At- American people. A DLA record re- torney and furnish him a report of all quested by a member of the public who information the activity has with re- follows rules established herein shall spect to the claim and an affidavit by be withheld only when it is exempt the Claims Investigating Officer to the from mandatory public disclosure effect that no administrative claim has been filed. Two copies of the foregoing 1 Copies may be obtained, at cost, from the will be provided to the appropriate National Technical Information Service Military Service Judge Advocate Gen- (NTIS), 5285 Port Royal Road, Springfield, eral. If an administrative claim has VA 22161–2171.

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under the FOIA. In order that the pub- (e) Avoidance of procedural obstacles. lic may have timely information con- DLA activities shall ensure that proce- cerning DLA activities, records re- dural matters do not unnecessarily im- quested through public information pede a requester from obtaining DLA channels by news media representa- records promptly. DLA activities shall tives that would not be withheld if re- provide assistance to requesters to help quested under the FOIA should be re- them understand and comply with pro- leased upon request. Prompt responses cedures established by this rule and to requests for information from news any rules published by the DLA media representatives should be en- PLFA’s. couraged to eliminate the need for (f) Prompt action on requests. When a these requesters to invoke the provi- member of the public complies with sions of the FOIA and thereby assist in the procedures established in this rule providing timely information to the for obtaining DLA records, the request public. Similarly, requests from other shall receive prompt attention; a reply members of the public for information shall be dispatched within 10 working should continue to be honored through days unless a delay is authorized. When appropriate means even though the re- a DLA activity has a significant num- quest does not qualify under FOIA re- ber of requests, e.g., 10 or more, the requirements. quests shall be processed in order of re- (b) Control system. A request for ceipt. However, this does not preclude records that invokes the FOIA shall an activity from completing action on a request which can be easily answered, enter a formal control system designed regardless of its ranking within the to ensure compliance with the FOIA. A order of receipt. A DLA activity may release determination must be made expedite action on a request regardless and the requester informed within the of its ranking within the order of re- time limits specified in this rule. Any ceipt upon a showing of exceptional request for DLA records that either ex- need or urgency. Exceptional need or plicitly or implicitly cites the FOIA urgency is determined at the discretion shall be processed under the provisions of the activity processing the request. of this rule, unless otherwise required (g) Public domain. Nonexempt records by paragraph (m) of this section. released under the authority of this (c) Compliance with the FOIA. DLA rule are considered to be in the public personnel are expected to comply with domain. Such records may also be the FOIA and this rule in both letter made available in reading rooms to fa- and spirit. This strict adherence is nec- cilitate public access. Exempt records essary to provide uniformity in the im- released pursuant to this rule or other plementation of the DLA FOIA pro- statutory or regulatory authority, gram and to create conditions that will however, may be considered to be in promote public trust. To promote a the public domain only when their re- positive attitude among DLA per- lease constitutes a waiver of the FOIA sonnel, each DLA Primary Level Field exemption. When the release does not Activity (PLFA) will establish edu- constitute such a waiver, such as when cation and training programs described disclosure is made to a properly con- in part 286, subpart H, of this title. stituted advisory committee or to a Training materials, including supple- Congressional committee, the released ments, will be coordinated with DLA- records do not lose their exempt sta- XAM prior to publication or issuance. tus. Also, while authority may exist to (d) Openness with the public. DLA disclose records to individuals in their shall conduct its activities in an open official capacity, the provisions of this manner consistent with the need for se- rule apply if the same individual seeks curity and adherence to other require- the records in a private or personal ca- ments of law and regulation. Records pacity. not exempt from disclosure under the (h) Creating a record. (1) There is no Act shall, upon request, be made read- obligation to create nor compile a ily accessible to the public in accord- record to satisfy an FOIA request. A ance with rules promulgated herein, DLA activity, however, may compile a whether or not the Act is invoked. new record when doing so would result

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in a more useful response to the re- mation about a record may be divided quester or be less burdensome to the into two broad categories. activity provided the requester does (i) Category I is file-related and in- not object. The cost of creating or com- cludes information such as type of piling such a record may not be record (for example, memorandum), charged to the requester unless the fee title, index citation, subject area, date for creating the record is equal to or the record was created, and originator. less than the fee which would be (ii) Category II is event-related and charged for providing the existing includes the circumstances that re- record. Fee assessments shall be in ac- sulted in the record being created or cordance with § 1285.6 of this part and the date and circumstances sur- part 286, subpart F, of this title. rounding the event the record covers. (2) With respect to electronic data, (3) Generally, a record is not reason- the issue of whether records are actu- ably described unless the description ally created or merely extracted from contains sufficient Category I informa- an existing database is not always tion to permit the conduct of an orga- readily apparent. Consequently, when nized, nonrandom search based on the responding to FOIA requests for elec- activity’s filing arrangements and ex- tronic data where creation of a record, isting retrieval systems, or unless the programming, or particular format are record contains sufficient Category II questionable, DLA activities should information to permit inference of the apply a standard of reasonableness. In Category I elements needed to conduct such a search. The decision of the DLA other words, if the capability exists to activity concerning reasonableness of respond to the request and the effort description must be based on knowl- would be a business-as-usual approach, edge of its files. If the description en- then the request should be processed. ables DLA activity personnel to locate However, the request need not be proc- the record with reasonable effort, the essed where the capability to respond description is adequate. does not exist without a significant ex- (4) The following guidelines deal with penditure of resources, thus not being a requests for personal records. Ordi- normal business-as-usual approach. narily, when only personal identifiers (i) Description of the requested record. are provided in connection with a re- (1) Identification of the record desired quest for records concerning the re- is the responsibility of the member of quester, then only records retrievable the public who requests a record. The by personal identifiers need be requester must provide a description of searched. The search for such records the desired record that enables DLA to may be conducted under Privacy Act locate the record with a reasonable procedures contained in DLAR 5400.21. 2 amount of effort. When a DLA activity No record may be denied that is releas- receives a request that does not reasonable under the FOIA. ably describe the requested record, it (j) Possession and control. A record shall notify the requester of the defect. must exist and be in the possession and The requester may be asked to provide control of DLA at the time of the the type of information outlined in search to be considered subject to this paragraph (i)(2) of this section. Activi- rule and the FOIA. Mere possession of ties are not obligated to act on the re- a record does not presume Agency con- quest until the requester responds to trol. Information created or originated the specificity letter. When prac- by another activity shall be referred to ticable, DLA activities shall offer as- that activity for release determination sistance to the requester in identifying and direct response to the requester. the records sought and in reformu- (1) Referring requests. A DLA activity lating the request to reduce the burden having no responsive records to an on the agency in complying with the FOIA request may refer the request to Act. another DLA activity, DoD component, (2) The following guidelines are provided to deal with ‘‘fishing expedition’’ 2 Copies may be obtained, at cost, from requests and are based on the principle DASC-PD, Cameron Station, Alexandria, VA of reasonable effort. Descriptive infor- 22304–6130.

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or Federal agency if, after consultation (iv) Within DLA, an activity shall or- with such activity, component, or dinarily refer an FOIA request for a agency, the intended recipient con- record that it holds but that was origi- firms that it has the requested record. nated by another activity or that con- In cases where the DLA activity receiv- tains substantial information obtained ing the request has reason to believe from another activity to that activity that the existence or nonexistence or for direct response after coordination the record may in itself be classified, and obtaining concurrence from the ac- that activity shall consult the DoD tivity. The requester shall then be no- component having cognizance over the tified of such referral. DLA activities record in question before referring the shall not, in any case, release or deny request. If the DoD component that is such records without prior consulta- consulted determines that the exist- tion with the other activity. ence or nonexistence of the record is in (3) On-loan documents. A DLA activ- itself classified, the requester shall be ity shall refer to the agency that pro- so notified by the DLA activity origi- vided the record any FOIA request for nally receiving the request, and no re- investigative, intelligence, or any ferral shall take place. Otherwise, the other type of records that are on loan request shall be referred to the other to DLA for a specific purpose if the DoD component, and the requester records are restricted from further re- shall be notified of any such referral. lease and so marked. However if, for in- Any DLA activity receiving a request vestigative or intelligence purposes, that has been misaddressed shall refer the outside agency desires anonymity, the request to the proper address and a DLA activity may only respond di- advise the requester. rectly to the requester after coordination with the outside agency. (2) Referring records. (i) Whenever a (4) General Accounting Office (GAO) record or a portion of a record is, after documents. On occasion, the DoD re- prior consultation, referred to another ceives FOIA requests for GAO docu- DLA activity, DoD component, or to a ments containing DoD information. Government agency outside of the DoD Even though the GAO is outside the ex- for a release determination and direct ecutive branch and not subject to the response, the requester shall be in- FOIA, all FOIA requests from GAO doc- formed of the referral. Referred records uments containing DoD information shall only be identified to the extent received either from the public or on consistent with security requirements. referral from GAO will be processed (ii) A DLA activity shall refer an under the provisions of the FOIA. FOIA request for a classified record (5) Agencies not subject to the FOIA. A that it holds to another DoD compo- DLA activity may refer an FOIA re- nent or agency outside the Department quest for any record that originated in of Defense if the record originated in an agency outside the DoD or that is the other DoD component or outside based on information obtained from an agency or if the classification is deriv- outside agency to the agency for direct ative. In this situation, provide the response to the requester after coordi- record and a release recommendation nation with the outside agency, if that on the record with the referral action. agency is subject to FOIA. Otherwise, (iii) A DLA activity may refer a re- the DLA activity must respond to the quest for a record that it originated to request. another DoD component or agency (6) Time to respond. DLA activities when the record was created for the use that receive referred requests shall an- of the other DoD component or agency. swer them in accordance with the time The DoD component or agency for limits established by the FOIA and this which the record was created may have rule. Those time limits shall begin to an equally valid interest in with- run upon proper receipt of the referral holding the record as the DLA activity by the PLFA FOIA manager to re- that created the record. In such situa- spond. tions, provide the record and a release (7) Accumulating fees. Requesters re- recommendation on the record with ceiving the first two hours of search the referral action. and the first 100 pages of duplication

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without charge (see part 286, subpart F, who cite or imply the FOIA or both of this title) are entitled to such only Acts will have their requests processed once per request. Consequently, if a under the time limits of the FOIA and DLA activity, after completing its por- the exemption and fee provisions of the tion of a request, finds it necessary to Privacy Act. refer the request to another DLA activ- (4) Requesters who seek access to ity or another DoD component to ac- Agency records and who cite or imply tion their portion of the request, the the Privacy Act, the FOIA, or both will referring activity shall inform the re- have their requests processed under the cipient of the expended amount of FOIA. search time and duplication cost to (5) Requesters should be advised in date. final responses why their request was (k) Requests for authentication of processed under a particular act. records. FOIA requests for authentica- (n) Reading rooms. (1) DLA activities tion of records shall be authenticated may provide a facility or room where with an appropriate seal, whenever the public may inspect and copy or necessary, to fulfill an official Govern- have copied the so-called ‘‘(a)(2)’’ mate- ment or other legal function according rial (see § 1285.3(b) of this part). At to DLA Regulation 5105.5. 3 This serv- those activities where it is impractical ice, however, is in addition to that re- to set up a formal reading room, the quired under the FOIA and is not in- FOIA manager will arrange for a re- cluded in the FOIA fee schedule. DLA view of ‘‘(a)(2)’’ material at a suitable activities may charge for the service at time and location. Identifying details a rate of $5.20 for each authentication. that, if revealed, would create a clearly (l) Records management. FOIA records unwarranted invasion of personal pri- shall be maintained and disposed of in vacy may be deleted from ‘‘(a)(2)’’ ma- accordance with DLA Manual 5015.1. 4 terials prior to placement in reading (m) Relationship between the FOIA and rooms. However, in every case, jus- the Privacy Act. Not all requesters are tification for the deletion must be fully knowledgeable of the appropriate stat- explained in writing. The public’s right utory authority to cite when request- to inspect first and then decide what is ing records. In some instances, they to be copied applies only to ‘‘(a)(2)’’ may cite neither Act but will imply material. Activities may elect to place one or both Acts. For these reasons, other documents in their reading room, the following guidelines are provided including so-called ‘‘(a)(1)’’ material to ensure that requesters receive the (see § 1285.3(a) of this part), as a means greatest amount of access rights under to provide public access to such docu- both Acts: ments and allow the public to first in- (1) Requesters who seek records spect them before copying. When ap- about themselves contained in a Pri- propriate, the cost of copying may be vacy Act system of records and who imposed on the person requesting the cite or imply the Privacy Act, will material in accordance with § 1285.6 of have their requests processed under the this part and part 286, subpart F, of provisions of the Privacy Act, 5 U.S.C. this title. 552a. (2) ‘‘(a)(2)’’ materials index. Each ac- (2) Requesters who seek records tivity maintaining a reading room about themselves which are not con- shall maintain an index of the ‘‘(a)(2)’’ tained in a Privacy Act system of materials that are issued, adopted, or records and who cite or imply the Pri- promulgated after 4 July 1967. No vacy Act, will have their requests proc- ‘‘(a)(2)’’ materials issued, promulgated, essed under the provisions of the FOIA, or adopted after 4 July 1967 that are since they have no access rights under not indexed and either made available the Privacy Act. or published may be relied upon or used (3) Requesters who seek records or cited as precedent against any indi- about themselves which are contained vidual unless such individual has ac- in a Privacy Act system of records and tual and timely notice of the contents of such materials. Each index shall be 3 See Footnote 2 to § 1285.2(i)(4). arranged topically or by descriptive 4 See Footnote 2 to § 1285.2(i)(4). words rather than by case name or

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numbering system so that members of ity listed in appendix A. FOIA man- the public can readily locate material. agers will inform requesters of the lo- Case name and numbering arrange- cation and time the requested record ments, however, may also be included may be examined. Requesters may be for the convenience of the DLA activ- charged for the cost to reproduce cop- ity. Such materials issued, promul- ies subject to the guidelines § 1285.6 of gated, or adopted before 4 July 1967 this part and part 286, subpart F, of need not be indexed but must be made this title. available upon request if not exempted (r) Requests for copies of records. Indi- under part 286, subpart C, of this title. viduals seeking copies of DLA records (3) DLA publications and PLFA sup- should address their FOIA requests to plements may, at the discretion of the the FOIA manager of the appropriate DLA activity, be regarded as ‘‘(a)(2)’’ activity. Addresses and brief descrip- material and placed in reading rooms tions of functions are included in ap- subject to the restrictions in paragraph pendix A to this part. (o)(2) of this section. Otherwise, re- (s) Requests from private parties. The quests for publications will be handled provisions of the FOIA are reserved for according to paragraph (o)(1) of this persons with private interests as op- section. posed to Federal Governments seeking (o) Publications of DLA regulations, official information. Requests from pri- manuals, handbooks, and uncontrolled vate persons will be made in writing forms. (1) Since most DLA publications and will clearly show all other address- are available to the public through the ees within the Federal Government to publications distribution sales outlet, whom the request was also sent. This the requester may be referred to that procedure will reduce processing time outlet. requirements and ensure better inter- (2) Requests for DLA publications and intra-agency coordination. DLA which are classified, marked ‘‘FOR OF- activities are under no obligation to es- FICIAL USE ONLY,’’ or have limited tablish procedures to receive hand de- distribution statements will be referred livered requests. Release for records to to the issuing activity for release de- individuals under the FOIA is consid- termination and, if appropriate, formal ered public release of information, ex- denial. Such publications will not be cept as provided for in paragraph (g) of placed in reading rooms. However, this section and § 286.13(a) of this title. where a public reading room also (t) Requests from government officials. serves as an activity’s library, re- Requests from Members of Congress for stricted publications may be main- records on behalf for a Congressional tained provided they are appropriately Committee, Subcommittee, or either safeguarded and not commingled with House sitting as a whole will be proc- other nonensitive regulations. essed according to DLA Regulation (3) For DoD regulations, manuals, di- 5400.12. 5 Requests from officials of for- rectives, handbooks and similar eign governments which do not invoke issuances, the FOIA manager may refer the FOIA shall be referred to HQ DLA- the requester to the National Tech- I or the appropriate foreign disclosure nical Information Service (NTIS), 5285 channel for processing and the re- Port Royal Road, Springfield, VA quester so notified. Requests invoking 22161–2171. the FOIA from the following govern- (p) Exemptions. The types of records ment officials will be considered the described in part 286, subpart C, of this same as any other requested and proc- title may be withheld in whole or in essed according to this rule: part from disclosure under the FOIA (1) Officials of State or local govern- unless otherwise prescribed by law. ments. (q) Requests for the examination of (2) Members of Congress seeking DLA records. Only those materials de- records on behalf of their constituents. scribed as ‘‘(a)(2)’’ (and ‘‘(a)(1)’’ at the (3) Officials of foreign governments. discretion of the PLFA head) are sub- (u) Privileged release to U.S. Govern- ject to the examination clause of the ment officials. (1) Records determined to FOIA. Such requests will be submitted directly to the appropriate DLA activ- 5 See Footnote 2 to § 1285.2(i)(4).

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be exempt from public disclosure under instruction as to the scope and con- one or more of FOIA exemptions may tents of papers, reports, or examina- be authenticated and released to U.S. tions, and any amendment, revision, or Government officials requesting them report of the aforementioned. on behalf of Federal governmental bod- (b) ‘‘(a)(2) material’’. Material de- ies, whether legislative, executive, ad- scribed in 5 U.S.C. 552(a)(2) encom- ministrative, or judicial, as follows: passing: (i) To a Committee or Subcommittee (1) Final opinions, including concur- of Congress or to either House sitting ring and dissenting opinions, and or- as a whole in accordance with DoD Di- ders made in the adjudication of cases, rective 5400.4. 6 as defined in 5 U.S.C. 551, that may be (ii) To the Federal courts, whenever cited, used, or relied upon as prece- ordered by officers of the court as nec- dents in future adjudications. essary for the proper administration of (2) Statements of policy and interpre- justice. However, receipt of a subpoena tations that have been adopted by the duces tecum does not automatically agency and are not published in the compel disclosure of DLA records. To FEDERAL REGISTER. qualify for privileged release under this (3) Administrative staff manuals and section, the subpoena must be signed instructions, or portions thereof, that by the judge of a court of competent establish DLA policy or interpretations jurisdiction. A subpoena which has of policy that affect a member of the been sent through FOIA channels and public. This provision does not apply to signed by a litigating attorney, a sub- instructions for employees on tactics poena service agent, or an official of a and techniques to be used in per- state or local court will be treated as forming their duties or to instructions any other FOIA request and subject to relating only to the internal manage- the exemptions in part 286 subpart C, of ment of the DLA activities. Examples this title. Consult with Counsel before of manuals and instructions not nor- acting on such subpoenas. mally made available include but are (iii) To other Federal Agencies, both not limited to the following: executive and administrative, as deter- (i) Those issued for audit, investiga- mined by the DLA Director or des- tion, and inspection purposes or those ignee. that prescribe operational tactics, (2) Disclosure under these privileged standards of performance, or criteria release circumstances does not set a for defense, prosecution, or settlement precedent for disclosure to the general of cases. public under the FOIA. (ii) Operations and maintenance (3) DLA activities shall inform offi- manuals and technical information cials receiving records under the provi- concerning munitions, equipment, sys- sions of this paragraph that those tems, and foreign intelligence oper- records are exempt from public release ations. under the FOIA and are privileged. (c) Administrative appeal. A request DLA activities will also advise officials made under the FOIA by a member of of any special handling instructions. the general public asking the appellate See part 286, subpart D, of this title for authority to reverse an initial denial marking requirements under privileged authority’s decision to withhold all or release circumstances. part of a requested record, to review a ‘‘no record found’’ determination, to § 1285.3 Definitions. reverse a decision to deny a request for The following terms and meanings waiver or reduction of fees, or to re- shall be applicable: view a category determination for fee (a) ‘‘(a)(1) material’’. Material de- assessment purposes. scribed in 5 U.S.C. 552(a)(1) consisting (d) Agency record. (1) The products of of descriptions of central and field or- data compilation, such as all books, pa- ganizations and, to the extent that pers, maps and photographs, machine they affect the public, rules of proce- readable materials, or other documen- dures, descriptions of forms available, tary materials, regardless of physical form or characteristics, made or re- 6 See Footnote 1 to § 1285.1. ceived by an agency of the United

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States Government under Federal law cies, functions, decisions, or procedures in connection with the transaction of of a DLA activity, such as computer public business and in DLA’s posses- models used to forecast budget outlays, sion and control at the time the FOIA calculate retirement system costs, or request is made. optimization models on travel costs. (2) The following are not included (iii) See part 286, subpart C, of this within the definition of the word title for guidance on release deter- ‘‘record’’: minations of computer software. (i) Objects or articles, such as struc- (4) A record must exist and be in the tures, furniture, vehicles and equip- possession and control of DLA at the ment, whatever their historical value time of the request to be considered or value as evidence. subject to this rule and the FOIA. (ii) Administrative tools by which There is no obligation to create, com- records are created, stored, and re- pile, or obtain a record to satisfy an trieved, if not created or used as FOIA request. sources of information about organiza- (5) If unaltered publications and proc- tions, policies, functions, decisions, or essed documents, such as regulations, procedures of a DLA activity. Nor- manuals, maps, charts, and related mally, computer software, including geophysical materials are available to source code, object code, and listings of the public through an established dis- source and object codes, regardless of tribution system with or without medium, are not agency records. (This charge, the provisions of 5 U.S.C. does not include the underlying data 552(a)(3) normally do not apply, and re- which is processed and produced by quests for such need not be processed such software and which may in some under the FOIA. Normally, documents instances be stored with the software.) disclosed to the public by publication Exceptions to this position are out- in the FEDERAL REGISTER also require lined in paragraph (d)(3) of this section. no processing under the FOIA. In such (iii) Anything that is not a tangible cases, DLA activities should direct the or documentary record, such as an in- requester to the appropriate source to dividual’s memory or oral communica- obtain the record. tion. (e) Appellate authority. The Director, (iv) Personal records of an individual DLA, or his designee, except for fee not subject to agency creation or re- waivers and category determinations. tention requirements, created and The appellate authority for such ap- maintained primarily for the conven- peals is the Staff Director, Office of ience of an agency employee and not Administration, HQ DLA. distributed to other agency employees (f) DLA activity. An element of DLA for their official use. authorized to receive and act independ- (v) Information stored within a com- ently on FOIA requests. A DLA activ- puter for which there is no existing ity has its own FOIA manager, initial computer program for retrieval of the denial authority, and office of counsel. requested information. (g) Electronic data. Those records and (3) In some instances, computer soft- information which are created, stored, ware may have to be treated as an and retrievable by electronic means. agency record and processed under the This does not include computer soft- FOIA. These situations are rare and ware, which is the tool by which to cre- shall be treated on a case-by-case basis. ate, store, or retrieve electronic data. Examples of when computer software See paragraphs (d)(2)(ii) and (d)(3) of may have to be treated as an agency this section for a discussion of com- record are: puter software. (i) When the data is embedded within (h) FOIA request. A written request the software and cannot be extracted for records made by any person, includ- without the software. In this situation, ing a member of the public (U.S. or for- both the data and the software must be eign citizen), an organization, or a reviewed for release or denial under the business, but not including a Federal FOIA. agency or a fugitive from the law, that (ii) Where the software itself reveals either explicitly or implicitly invokes information about organizations, poli- the FOIA, DoD 5400.7–R, DLAR 5400.14,

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this rule, or DLA activity viding guidance and instructions to supplementing regulations or instruc- PLFA’s and PSE’s. tions. (2) Designates a FOIA manager to ad- (i) Initial denial authority (IDA). An minister the DLA FOIA program. official who has been granted authority (3) Serves as the point of contact for by the Director, DLA, to withhold referring members of the public to the records requested under the FOIA for proper DLA source for Agency records. one or more of the nine categories of (4) Serves as appellate authority on records exempt from mandatory disclo- fee waivers and category determina- sure or to issue a ‘‘no record’’ deter- tions. mination. These include the Directors (5) Serve as initial denial authority (or equivalent) of HQ DLA Primary for record denials where more than one Staff Elements (PSE’s) and the Com- PSE is involved or where a PSE has manders (or equivalent) of PLFA’s. For made a determination that the re- fee waiver and requester category de- quested record cannot be found. terminations, the initial denial author- (6) Submits required reports to the ity is the FOIA manager or head of the Office of the Assistant Secretary of De- FOIA unit. fense, Public Affairs. (j) Public interest disclosures. Those (7) Collects and deposits fees for disclosures which shed light on DLA FOIA services performed at HQ DLA performance of its statutory duties and and DASC. thus inform citizens about what their (b) The General counsel, HQ DLA-G: (1) government is doing. The ‘‘public in- Provides legal advice and assistance to terest’’, however, is not fostered by dis- HQ DLA PSE’s and, where appropriate, closure of information about private PLFA’s in determining decisions to citizens that is accumulated in various withhold records. governmental files that reveals little (2) Processes appeals to the Director, or nothing about an agency’s or offi- DLA, of denials to provide records or cial’s own conduct. The public interest ‘‘no record’’ determinations. is one of several factors considered in (3) Coordinates denial actions with determining if a fee waiver is appro- Office of the General Counsel, DoD, and priate (see part 286, subpart F, of this the Department of Justice, as appro- title). priate. (k) Releasing official. Any individual (4) Ensures that case files of FOIA with sufficient knowledge of a re- appeals are maintained for 6 years quested record or program to allow him after final agency decision. or her to determine if harm would (c) The Staff Director, Office of Public come through release. Releasing offi- Affairs, HQ DLA-B, serves as a coordi- cials are at all levels and may be se- nating office for the release of informa- lected to review a particular document tion to the news media where potential because of their expertise in the sub- for controversy exists. ject area. The level must be high (d) The Staff Director, Office of Con- enough to make sure that releases are gressional Affairs, HQ DLA-Y, serves as made according to the policies outlined a coordinating office on final responses here. The authority to release records to FOIA requests from members of the of a routine nature, such as fact sheets Congress. or local directories, may be delegated (e) The heads of the DLA principal staff to any individual at the discretion of elements (PSE’s): (1) Appoint an indi- the denial authority. In doubtful cases, vidual to serve as FOIA monitor. Let- releasing officials may consult with ters of appointment will be forwarded the FOIA staff or servicing counsel to DLA-XAM. prior to release. (2) Forward to DLA-XAM any FOIA request received directly from the pub- § 1285.4 Responsibilities. lic so that the request may be adminis- (a) The Staff Director, Administration, tratively controlled. HQ DLA-X: (1) Has overall responsi- (3) Ensures that provisions of this bility for establishment and implemen- regulation are followed in processing tation of the DLA FOIA program, pro- requests for records from the public.

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(4) Coordinate requests with other (4) Sign letters of denial and ‘‘no HQ DLA staff elements to the extent record’’ determinations after coordina- considered necessary. tion with Counsel. (5) Coordinate any proposed denial (5) Refer cases of significance to with the General Counsel. DLA-XAM for review and evaluation (6) Serve as initial denial authority. when the issues raised are unusual, (7) Ensure that FOIA case files of de- precedent setting, or otherwise require nials are maintained for 6 years and special guidance. that full releases are maintained for 2 (6) Establish safeguards to ensure years. that FOUO material is protected. (8) Make initial determinations to re- (7) Establish procedures to ensure lease records or designate individuals that a record is maintained of all FOIA to make such determinations. requests for logistical data (data on (f) The PSE FOIA monitors: (1) Process magnetic tape extracted from any of and control all FOIA requests received the DLA automated data processing from DLA-XAM. (ADP) systems). The record will con- (2) Make sure established suspenses tain the requester’s name and address, are met. the date of the request, what information was requested, and what informa- (3) Request extensions of time from tion was furnished. This record will be DLA-XAM when necessary and within kept for five years. the limits of § 1285.5(j) of this part. (8) Inform Public Affairs offices in (4) Gather cost estimates when re- advance when they intend to withhold quested. or partially withhold a record if it ap- (5) Ensure costs for processing each pears that the withholding action may Freedom of Information Act request be challenged in the media. are properly recorded. (h) Freedom of Information Act man- (6) Coordinate proposed full and par- agers at all levels: (1) Establish proce- tial denials with DLA-XAM prior to dures to receive, control, process, and signature by the PSE director. For- screen FOIA requests. To provide for ward a copy of the final response and rapid retrieval of information, FOIA cost information to DLA-XAM. managers will maintain a central log (g) The heads of DLA primary level of all incoming FOIA requests. field activities (PLFA’s): (1) Designate a (2) Review requests to determine if FOIA manager to administer the DLA they meet the requirements of 5 U.S.C. FOIA program within the PLFA. For- 552. Determine category of the re- ward the name, address, and telephone quester before assigning the request for number of the manager to DLA-XAM. search. Provide instructions to the (2) Ensure that the provisions of this searching office on fees and time limits regulation are followed in processing for response. requests for records from members of (3) Consult with requesters, where the public. necessary, to determine requester cat- (3) Provide facilities where members egory and to resolve fee issues. of the public may examine and copy (4) Establish training and education the following documents: program for those personnel who may (i) DLAH 5805.1 7, DLA Organization be involved in responding to FOIA re- Directory. quests. (ii) DLAH 5025.1 8, DLA Index of Pub- (5) Approve requests for formal ex- lications. tensions of time and notify requesters (iii) DLAM 5015.1, Files Maintenance in writing of the extension. and Disposition. (6) Grant or deny requests for fee (iv) Copies of local directories or in- waivers or requester category deter- dexes. minations and provide DLA-XAM with (v) Any other available ‘‘(a)(1)’’ or a copy of each such denial. ‘‘(a)(2)’’ material. (7) Establish procedures to ensure that § 1285.5(1) of this part regarding 7 See Footnote 2 to § 1285.2(i)(4). consultation with submitters of infor- 8 See Footnote 2 to § 1285.2(i)(4). mation is complied with.

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(8) Establish procedures for the col- manager receives it provided the re- lection and deposit of fees for FOIA quest has been reasonably described services. and the requester has either agreed to (9) Ensure that cost data is main- pay assessable fees or has provided suf- tained for each case file. ficient justification for a fee waiver. (10) Establish procedures to ensure (d) Screening requests. (1) Before as- that record denials and ‘‘no record’’ de- signing a request for search, the FOIA terminations are signed by the PLFA manager will screen the request for de- initial denial authority and a copy for- fects in the description, the requester warded to DLA-XAM. category, and the issue of fees. FOIA (11) Notify DLA-XAM of requesters managers will notify requesters of any who have failed to pay fees in a timely such defects and, wherever possible, manner. offer assistance to help remedy the de- (12) Prepare and submit reports as re- fects. If the FOIA manager must con- quired. sult with the requester on any of the (13) Consult with public affairs offi- following issues, then the request is cers (PAO’s) to become familiar with not considered to be properly received subject matter that is considered to be and the 10-day time limit does not newsworthy and advise PAO’s of all re- begin or resume until the requester has quests from news media representa- satisfactorily addressed the issue. tives. (i) Payments in arrears. If a requester (14) Establish procedures to provide has failed to pay fees for a previous re- the Congressional Affairs focal point quest, then the FOIA manager need not with an information copy of each FOIA process the current request until the request received from a member of the requester pays the delinquent amount. Congress. In such situations, the FOIA manager (15) Coordinate any proposed supple- will notify the requester of the defect ments or training material with DLA- and provide an opportunity to forward XAM prior to publication or dissemina- payment along with any assessable in- tion. (16) Establish procedures to ensure terest. At that time, the FOIA man- that case files of FOIA releases are ager may, at his or her discretion, de- maintained for two years after cutoff mand that the requester also pay an es- and that denials are maintained for 6 timated fee for the current request. years after cutoff. (ii) Faulty description. If the request (17) Review all proposed full and par- is not reasonably described, the FOIA tial denials prior to signature by the manager will notify the requester of initial denial authority for compliance the defect and advise that a search can- with these rules. not be initiated without more specific information. In making such deter- § 1285.5 Procedures. minations, FOIA managers may con- (a) FOIA channels. If DLA personnel sult with offices of primary interest to receive a FOIA request directly from determine the details that are needed the public that has not been logged in to conduct a search. See also paragraph and processed through the FOIA office, (f)(2) of this section and § 1285.2(i) of they will immediately forward it to the this part. local FOIA manager. (iii) Requester category and fees. The (b) Central log system. Each FOIA FOIA manager will analyze the request manager will maintain a central log of to determine the category of the re- FOIA requests received within the ac- quester. If the category of the re- tivity to ensure compliance with the quester is different than that claimed time limits and accurate cost account- by the requester, the FOIA manager ing, fee assessment, and reporting. will: (c) Time limit. FOIA requests must be (A) Notify the requester that he or responded to within 10 business days she should provide additional justifica- after proper receipt, except in unusual tion to warrant the category claimed circumstances outlined in paragraph (j) and that a search for responsive of this section. A request is considered records will not be initiated until properly received on the date the FOIA agreement has been attained relative

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to the category of the requester. Ab- that search situations will vary among sent further category justification DLA activities and that an estimate is from the requester and within a rea- often difficult to obtain prior to an ac- sonable period of time (i.e., 30 calendar tual search, requesters who desire esti- days), the FOIA manager shall render a mates are entitled to such before com- final category determination, and no- mitting to a willingness to pay. Should tify the requester of such determina- actual costs exceed the actual amount tion, to include normal administrative of the estimate or the amount agreed appeal rights. to by the requester, the amount in ex- (B) Advise the requester that, not- cess of the estimate or the requester’s withstanding any appeal, a search for agreed amount shall not be charged responsive records will not be initiated without the requester’s agreement. until the requester indicates a willing- (f) Internal processing. (1) Upon mak- ness to pay assessable costs appro- ing a determination that the request is priate for the category determined by reasonably described, that the fee issue the FOIA manager. Requesters must has been settled, and that the re- submit a fee declaration appropriate quester does not owe for a prior re- for the following categories: quest, the FOIA manager will assign (1) Commercial. Requesters must indi- the request to the appropriate office of cate a willingness to pay all search, re- primary interest (OPI) for handling and view, and duplication costs. provide instructions on the category of (2) Educational or noncommercial sci- the requester, the fees to be charged or entific institution or news media. Re- waived, and what actions the OPI is to questers must indicate a willingness to take. pay duplication charges in excess of 100 (2) After reviewing a request, the OPI pages if more than 100 pages of records may determine, based on knowledge of are desired. the files and programs, that a request (3) All others. Requesters must indi- is, in fact, not reasonably described. cate a willingness to pay assessable OPI’s will notify FOIA managers of search and duplication costs if more such defects immediately so that fur- than two hours of search effort or 100 ther details may be sought from the re- pages of records are desired. quester. Any delays on the requester’s (iv) Justification for fee waivers. If the part in receiving more detailed infor- requester has asked for a fee waiver mation will not count toward the 10- but failed to provide a justification, day time limit. FOIA managers will ask requesters to (g) Initial determinations—(1) Reasons address the fee waiver criteria in part for not releasing a record. There are 286, subpart F, of this title before fur- seven reasons for not complying with a ther processing the request. FOIA man- request for a record: agers are reminded that with some (i) The request is transferred to an- types of records, a final decision can- other DLA activity, DOD component, not be made on waiver until after the or to another Federal agency. records have been surfaced, reviewed, (ii) The DLA activity determines and the public benefit and previous through knowledge of its files and rea- public availability assessed. sonable search efforts that it neither (2) In cases where there is disagree- controls nor otherwise possesses the re- ment on the category of the requester quested record. Responding officials or there is lack of justification for fee will advise requesters of the right to waiver, the FOIA manager may process appeal such determinations. See para- the request without further contacting graph (i)(5) of this section for details the requester if he or she believes it on processing ‘‘no record’’ responses. can be processed within the automatic (iii) A record has not been described $15 waiver limit. with sufficient particularity to enable (e) Providing estimates. In the situa- the DLA activity to locate it by con- tions described by paragraphs (d)(1)(iii) ducting a reasonable search. and (d)(1)(iv) of this section, DLA ac- (iv) The requester has failed unrea- tivities must be prepared to provide an sonably to comply with procedural re- estimate of assessable fees if desired by quirements, including payment of fees, the requester. While it is recognized imposed by this rule.

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(v) The request is withdrawn by the (i) Response to requester—(1) Time lim- requester. its. Initial determinations to release or (vi) The information requested is not deny a record normally shall be made a record within the meaning of the and the decision reported to the re- FOIA and this rule. quester within 10 working days after (vii) The record is denied in accord- receipt of the request by the FOIA ance with procedures set forth in the manager. When a decision is made to FOIA and this rule. release a record, a copy should be made (2) Reasonably segregable portions. Al- available promptly to the requester though portions of some records may once he has complied with procedural be denied, the remaining reasonably requirements. segregable portions must be released to (2) Acknowledging date of receipt. the requester when it reasonably can When the time for response becomes an be assumed that a skillful and knowl- issue, the official responsible for reply- edgeable person could not reconstruct ing shall acknowledge to the requester the excised information. When a record is denied in whole, the response advis- the date of the receipt of the request. ing the requester of that determination (3) Billing. When fees are being levied, will specifically state that it is not rea- the response to the requester will con- sonable to segregate portions of the tain a billing paragraph. Responding record for release. officials will advise requesters to make (h) Preparing documents for public re- checks or money orders payable to the lease—(1) Material containing For Offi- United States Treasury and forward cial Use Only marks. When a determina- them to the FOIA manager of the tion has been made that a FOUO docu- PLFA that incurred the expense. FOIA ment may be fully released to a re- managers will notify DLA-XAM of quester under any public information names and addresses of requesters who program, the FOUO markings will be have failed to pay after a second billing removed from the requester’s copy has been mailed and 30 days have prior to release. In cases where a per- elapsed without payment. son seeks access to his or her own (4) Full and partial denials. (i) When a record and the record is marked FOUO request for a record is denied in whole to protect that person’s personal or or in part on the basis of one or more proprietary interests, the FOUO marks of the exemptions in part 286, subpart will be deleted from the requester’s C, of this title the initial denial au- copy prior to release, even though the thority shall inform the requester in FOUO status has not been terminated. writing and shall explain to the re- In such cases, the official file copy will quester the basis for the determination retain the FOUO warning. If only por- in sufficient detail to permit the re- tions of a document marked as FOUO quester to make a decision concerning are to be released to the public under appeal. The requester specifically shall the FOIA, then the exempt portions be informed of the exemption(s) on will be taped out, blackened out, which the denial is based. When the whited out, or cut out and a copy reproduced for the requester from the initial denial is based in whole or in marked up copy. Initial denial authori- part on a security classification, the ties will ensure that the deleted por- explanation should include a summary tion cannot be read and that the FOUO of the applicable Executive Order cri- marks have been lined through prior to teria for classification, as well as an release. explanation, to the extent reasonably (2) Material containing classification feasible, of how those criteria apply to markings. The procedures in paragraph the particular record in question. The (h)(1) of this section apply to classified requester shall also be advised of the documents with the exception that the opportunity and procedures for appeal- classified portions will be cut out rath- ing an unfavorable determination to er than blackened, taped, or whited the Director, DLA. out. The classification markings on the (ii) FOIA managers shall forward a requester’s copy will be deleted prior to copy of each letter of denial to DLA- release. XAM, Cameron Station, Alexandria,

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Virginia 22304–6100. Do not include at- (v) FOIA managers will ensure that a tachments, the incoming request, or copy of each ‘‘no record’’ response let- any backup material. ter is forwarded to DLA-XAM, Cam- (5) Providing ‘‘no record’’ responses. (i) eron Station, Alexandria, Virginia If no documents can be located in re- 22304–6100. Do not include attachments, sponse to a FOIA request, the initial the incoming request, or any backup denial authority will so advise the re- material. quester. Requesters will also be advised (6) Coordination. OPI’s will ensure that, if they consider the response to that the proposed response is fully co- be adverse, they may file an appeal ordinated with offices having an inter- within 60 calendar days from the date est in the request. Proposed responses of the response. Requesters are to be to FOIA requests from members of the advised to address appeals to the local Congress will be coordinated with FOIA manager and include the case DLA-Y or the local Congressional Af- number and reasons why they believe fairs focal point. the DLA activity should have records (j) Extensions of time—(1) Formal exten- on the subject matter. sions. In unusual circumstances, when (ii) Before a formal ‘‘no record’’ re- additional time is needed to respond, sponse is issued, OPI will verify that the FOIA manager will acknowledge the requester has adequately described the request in writing within the 10- the record. If additional details will aid day period, describe the circumstances the search, then the requester will be requiring the delay, and indicate the asked to provide those details. See anticipated date for substantive re- paragraph (d)(1)(ii) of this section and sponse that may not exceed 10 addi- § 1285.2(i) of this part for procedures for tional working days. Such extensions resolving inadequate descriptions. will be approved on a case-by-case (iii) In cases where the requested basis. In these unusual cases where the record has been destroyed, the initial statutory time limits cannot be met denial authority will confirm that the and no informal extension of time has record was retained for the period au- been agreed to, the inability to process thorized in DLAM 5015.1 before issuing any part of the request within the spec- a formal response. In responding to re- ified time should be explained to the questers in these cases, advise the re- requester with a request that he agree quester that the records were properly to await a substantive response by an destroyed according to Agency rules anticipated date. It should be made for record disposition and give the clear that any such agreement does not right to appeal as outlined in paragraph (i)(5)(i) of this section. However, prejudice the right of the requester to do not ask the requester to provide rea- appeal the initial decision after it is sons why the activity should have the made. Since the requester still retains records. the right to treat this delay as a (iv) Upon receipt of an appeal, the defacto denial with full administrative FOIA manager will direct that a second remedies, such extensions should be search be conducted using any informa- issued only when essential. The un- tion supplied by the requester. If the usual circumstances that may be cited second search produces no documents, to justify delay are: the appeal will be forwarded to HQ (i) Location. The requested record is DLA-G, Cameron Station, Alexandria, located in whole or in part at places Virginia 22304–6100, along with a copy other than the office processing the re- of the case file. The FOIA manager will quest. include the cost information and an ex- (ii) Volume. The request requires the planation of the method of search and collection and evaluation of a substan- the types of offices searched. In cases tial number of records. where the ‘‘no record’’ response was (iii) Consultation. Consulation is re- issued because the records have been quired with other DoD components or destroyed, the FOIA manager will agencies having substantial interest in verify that the records were destroyed the subject matter to determine wheth- as provided for in DLAM 5015.1 and pro- er the records requested are exempt vide a statement to that effect. from disclosure in whole or in part

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under provisions of this rule or should (ii) When a substantial issue has been be released as a matter of discretion. raised, the DLA activity may seek ad- (2) Informal extensions. Where prac- ditional information from the source tical and expedient, the FOIA manager and afford the source and requester or official designated to respond may reasonable opportunities to present negotiate with the requester and ar- their arguments on the legal and sub- range for an informal extension. Such stantive issues involved. extensions may be appropriate in in- (iii) Any objections to release will be stances where the records have to be evaluated and the source provided with ordered from a record repository; a copy of the activity’s final decision. where the record has been sent out for Where a decision is made to release in- commercial printing and is not ex- formation claimed to be exempt, the pected back before the 10-day time has source will be notified that the infor- elapsed; and similar circumstances. mation will be released on a specified (k) Misdirected requests. Misdirected date unless the source seeks a restrain- requests shall be forwarded promptly ing order or takes court action to pre- to the FOIA manager of the DLA activ- vent disclosure. Evaluators are cau- ity, DoD component, or Federal agency tioned that any decision to disclose in- with the responsibility for the records formation claimed to be exempt under requested. The period allowed for re- 5 U.S.C. 552(b)(4) must be made by an sponding to the request misdirected by official equivalent in rank to the ini- the requester shall not begin until the tial denial authority. (iv) When the source advises it will request is received by the FOIA man- seek a restraining order or take court ager of the PLFA that controls the action to prevent release of the record records requested. or information, the FOIA manager will (l) Records of contractors and other notify the requester and suspend action non-U.S. government sources. (1) Execu- on the request until after the outcome tive Order 12600 of 23 June 1987 (52 FR of that court action is known. When 23781) establishes predisclosure notifi- the requester brings court action to cation procedures for confidential com- compel disclosure, the FOIA manager mercial information. When a request is shall promptly notify the submitter of received for a record that was obtained this action. from a contractor or other non-U.S. (2) These procedures are required for Government source or for a record con- those FOIA requests for data not taining information clearly identified deemed clearly exempt from disclosure as having been provided by a con- under exemption (b)(4). If, for example, tractor or other non-U.S. Government the record or information was provided source, the source of the record or in- with actual or presumptive knowledge formation (also known as ‘‘the sub- of the non-U.S. Government source and mitter’’ for matters pertaining to pro- established that it would be made prietary data under 5 U.S.C. 552(b)(4)) available to the public upon request, (see § 286.13(a)(4) of this title) shall be there is no obligation to notify the notified promptly of that request and source. afforded reasonable time (e.g., 30 cal- (3) These coordination provisions also endar days) to present any objections apply to any non-U.S. Government concerning the release, unless it is record in the possession and control of clear that there can be no valid basis DLA from multi-national organiza- for objection. The following procedures tions, such as North Atlantic Treaty will be followed: Organization (NATO) and North Amer- (i) The person designated to respond ican Aerospace Defense Command will provide the source with a copy of (NORAD), or foreign governments. Co- the incoming request, a copy of the ordination with foreign governments documents responsive to the request, under the provisions of this paragraph and a letter of instruction. The notifi- shall be made through the Department cation letter will be addressed to the of State. president of the entity or the entity’s (m) File of initial denials. Copies of all counsel and sent by return receipt initial denials shall be maintained by mail. each DLA activity in a form suitable

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for rapid retrieval, periodic statistical time for the appeal shall not begin compilation, and management evalua- until the requester receives the last tion. such notification. (n) Appeals—(1) General—(i) Appeals to (ii) Time of receipt. An FOIA appeal is record denials. Requesters denied access considered received by DLA when it to records under the provisions of part reaches DLA-G or, in the case of fee or 286, subpart C, of this title may appeal requester category appeals, when it such determinations to the Director, reaches DLA-XAM. Misdirected appeals DLA. The appeal should be accom- should be referred expeditiously to the panied by a copy of the letter denying appropriate office. the initial request and contain the (iii) Time limits to decide appeals. Final basis for disagreement with the initial determinations on appeals normally refusal. shall be made within 20 working days (ii) Appeals to a ‘‘no record’’ finding. after receipt. Requesters have the right to appeal (iv) Delay in responding to an appeal. any ‘‘no record’’ finding to the FOIA (A) If additional time is needed due to manager of the activity that issued the the unusual circumstances described in finding. The letter of appeal should in- paragraph (j) of this section, the final clude the case number and, where ap- decision may be delayed for the num- propriate, reasons why the requester ber of working days (not to exceed 10), believes the activity should have that were not used as additional time records on the subject matter. Using for responding to the initial request. the information supplied by the requester, the FOIA manager will direct (B) If a determination cannot be that a second search be conducted. If made and the requester notified within the second search produces no docu- 20 working days, the appellate author- ments, the appeal will be forwarded to ity shall acknowledge to the requester, HQ DLA-G, Cameron Station, Alexan- in writing, the date of receipt of the dria, Virginia 22304–6100, along with a appeal, the circumstances surrounding copy of the case file. The FOIA man- the delay, and the anticipated date for ager will include information on the substantive response. Requesters shall amount of time spent on the request be advised that if the delay exceeds the and provide an explanation of the statutory extension provision or is for method of search and the types of of- reasons other than the unusual cir- fices searched. cumstances identified in paragraph (j) (iii) Appeals to fee waiver denials or re- of this section, they may consider their quester category decisions. Requesters administrative remedies exhausted. may appeal an initial determination They may, however, without regarding placement in a certain fee prejudicing their right of judicial rem- assessment category or waiver or re- edy, await a substantive response. DLA duction of fees when disclosure serves shall continue to process the case expe- the public interest. Requesters will in- ditiously, whether or not the requester clude a basis for disagreement and sub- seeks a court order for release of the mit the appeal to the Staff Director, records, but a copy of any response pro- Office of Administration (Attn: DLA- vided subsequent to filing of a com- XAM), Cameron Station, Alexandria, plaint shall be forwarded to the De- Virginia 22304–6100. partment of Justice. (2) Time limits—(i) Time limits to file (C) When the appellate authority or appeals. The requester shall be advised the authority’s representative must to file an appeal so that it reaches the consult with the requester over an appellate authority no later than 60 issue not previously settled, such as calendar days after the date of the ini- agreement to pay fees for documents tial denial letter. At the conclusion of previously denied, then any delays on this period, the case may be considered the requester’s part will not count to- closed; however, such closure does not ward the 20-day time limit. preclude the requester from filing liti- (3) Response to the requester. (i) When gation. In cases where the requester is an appellate authority makes a deter- provided several incremental determination to release all or a portion of minations for a single request, the records withheld by an IDA, a copy of

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the records so released should be for- mail, certified mail, certificates of warded promptly to the requester after mailing and return receipts. However, compliance with any preliminary pro- their use should be limited to instances cedural requirements, such as payment where it appears advisable to establish of fees. proof of dispatch or receipt of FOIA (ii) Final refusal to provide a re- correspondence. quested record must be made in writing (p) Receipt accounts. The Treasurer of by the DLA Director or his designee. In the United States has established Re- the case of fee appeals, final refusal to ceipt Account 3210 for use in depositing waive or reduce fees must be made in search, review, and duplication fees writing by the Staff Director of Admin- collected under the FOIA. Upon receipt istration. Record denial responses, at a of payment, the FOIA manager will minimum, shall conform to the fol- forward the check or money order to lowing: DFAS/CO/PDG, P.O. Box 182317, Colum- (A) The basis for the refusal shall be bus, Ohio 43218–2317. FOIA managers explained to the requester with regard will advise DFAS that the check is to to the applicable statutory exemption be deposited to accounting classifica- or exemptions invoked. tion 21R3210.0004. This account will not, (B) When the final refusal is based in however, be used for depositing re- whole or in part on a security classi- ceipts for technical information re- fication, the explanation shall include leased under the FOIA, industrially- a determination that the record meets funded activities, and non-appropriated the cited criteria and rationale of the funded activities. Instead, payments governing Executive Order, and that for these shall be deposited to the ap- this determination is based on a declas- propriate fund. sification review, with the explanation of how that review confirmed the con- § 1285.6 Fees and fee waivers. tinuing validity of the security classi- The rules and rates published in part fication. 286, subpart F of this title apply to this (C) The response shall advise the re- rule. For purposes of computer search, quester that the material being denied DLA has established rates of $20 per does not contain meaningful portions minute of central processing unit time that are reasonably segregable. for mainframe computer use and $20 (D) The response shall advise the re- per hour of wall clock time for personal quester of the right to judicial review. computer use. These rates represent (4) Consultaton. (i) Final refusal in- average operational costs and may be volving issues not previously resolved used when the actual computer cost or that are known to be inconsistent cannot be determined. with rulings of other DoD components ordinarily should not be made without § 1285.7 Reports. first consulting with the Office of the The reporting requirement outlined General Counsel of the Department of in this rule is assigned Report Control Defense. Symbol DD-PA(A)1365 and will be pre- (ii) Tentative decisions to deny pared according to part 286, subpart G, records that raise new or significant of this title. legal issues of potential significance to other agencies of the Government shall APPENDIX A TO PART 1285—GAINING be provided to the Department of Jus- ACCESS TO DLA RECORDS tice, Attn: Office of Legal Policy, Of- fice of Information and Policy, Wash- I. General ington, DC 20530. The Defense Logistics Agency was estab- (5) Records management. Case files of lished pursuant to authority vested in the appeals shall be retained by DLA-G or, Secretary of Defense and is an agency of DoD in the case of fee or requester category under the direction, authority, and control appeals, by DLA-XAM for a period of of the Assistant Secretary of Defense (Pro- duction and Logistics) and is subject to DoD six years to meet the statute of limita- policies, directives, and instructions. DLA is tions of claims requirement. made up of a headquarters and 22 Primary (o) Special mail services. DLA activi- Level Field Activities (PLFA’s). DLA does ties are authorized to use registered not have a central repository for its records.

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FOIA requests, therefore, should be ad- and plumbing accessories to complex repair dressed to the FOIA Office of the DLA activ- parts for mechanical, construction, and ity that has custody of the record desired. In automotive equipment, and for military air- answering inquiries regarding FOIA re- craft, surface ships, submarines, combat ve- quests, DLA personnel will assist requesters hicles, and missile systems. in determining the correct DLA activity to b. Defense Electronics Supply Center address their requests. If there is uncer- (DESC). Responsible for the acquisition, tainty as to the ownership of the DLA record management, and supply of more than one- desired, the requester may be referred to the half million electronic components such as FOIA manager of the DLA activity most resistors, capacitors, tubes, transformers, likely to have the record or to HQ DLA- microcircuits, and components for various XAM. communications and weapons systems. c. Defense Fuel Supply Center (DFSC). II. Description of DLA’s Central and Field Serves as material manager for bulk petro- Organization leum and coal and is responsible for its A. HQ Defense Logistics Agency, Cameron worldwide supply, storage, and distribution. Station, Alexandria, Virginia 22304–6100 d. Defense Industrial Supply Center (DISC). Buys and manages industrial items The headquarters is organized by broad such as bearings, ferrous and nonferrous functional area and includes the following metals, electrical wire, gasket material, and offices and directorates: certain mineral ores and precious metals. Office of the Director. e. Defense Personnel Support Center Executive Director, Contracting. (DPSC). Buys and manages food, clothing, Executive Director, Supply Operations. and medical supplies for all the armed serv- Executive Director, Technical and Logistics ices, some Federal agencies and authorized Services. foreign governments. Executive Director, Contract Administra- f. Defense General Supply Center (DGSC). tion. Buys and manages such categories of mate- Executive Director, Quality Assurance. rials as electrical hardware, materials han- Executive Director, Program and Technical dling equipment, kitchen and laundry equip- Support. ment, woodworking and metalworking ma- Staff Director, Congressional Affairs. chines, photographic supplies, and precision Staff Director, Public Affairs. measuring instruments. Staff Director, Command Security. 2. Depots. DLA depots are responsible for Staff Director, Administration. the receipt, storage, and distribution of Staff Director, Civilian Personnel. DLA-managed materiel. The principal depots Staff Director, Contracting Integrity. are: Staff Director, Military Personnel. Defense Distribution Region West (DDRW) Staff Director, Small and Disadvantaged Defense Distribution Region East (DDRE) Business Utilization. Defense Depot Memphis (DDMT) Staff Director, Installation Services and En- Defense Depot Ogden (DDOU) vironmental Protection. 3. Service centers. DLA operates six service Assistant Director, Information Systems and centers which provide technical and logistics Technology. services. The service centers are: Assistant Director, Policy and Plans. a. Defense Logistics Services Center General Counsel. (DLSC). Responsible for maintenance of the Comptroller. Federal Supply Catalog System, including the development and dissemination of cata- B. The PLFA’s. loging and item intelligence data to the The 22 PLFA’s are organized into six sup- Military Departments and other authorized ply centers, four depots, six service centers, customers. and six contract districts. b. Defense Reutilization and Marketing 1. Supply centers. The six supply centers are Service (DRMS). The central clearinghouse responsible for materiel management of as- for the reutilization, donation, sale, or dis- signed commodities and items of supply re- posal of DoD-owned excess property, includ- lating to food, clothing, textiles, medical, ing scrap and waste. chemical, petroleum, industrial, construc- c. Defense Industrial Plant Equipment tion, electronics, and general items of sup- Center (DIPEC). Manages the reserve of DoD- ply. The six supply centers are: owned industrial plant equipment. The cen- a. Defense Construction Supply Center ter repairs, rebuilds, and updates equipment (DCSC). Buys and manages construction ma- to avoid new procurement costs. terials, automotive, and construction equip- d. DLA Administrative Support Center ment components, and many repair parts (DASC). Provides general administrative used by the Military Services and other Fed- support to designated DLA activities. eral agencies. Manages items ranging from e. Defense National Stockpile Center common commercial items such as lumber (DNSC). Maintains the national reserve of

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strategic materials stored for use in event of V. FOIA Mailing Addresses war or other national emergency. f. DLA Systems Automation Center HQ Defense Logistics Agency, Attn: HQ (DSAC). Develops and maintains DLA’s auto- DLA-XAM, Cameron Station, Alexandria, mated and computerized systems. VA 22304–6100. 4. Contract districts. Six districts, each re- Defense Construction Supply Center, Attn: sponsible for contracts covering a multistate DCSC-WXA, 3990 E. Broad Street, Colum- or specialized area, administer materiel con- bus, OH 43216–5000. tracts after they are awarded by the military Defense Electronics Supply Center, Attn: services, defense agencies, some civil agen- DESC-WXA, 1507 Wilmington Pike, Day- cies, and certain foreign governments. The ton, OH 45444–5252. districts are: Defense Fuel Supply Center, Attn: DFSC-DB, Defense Contract Management District Cameron Station, Alexandria, VA 22304– Northeast (DCMDN). 6160. Defense Contract Management District Mid Defense General Supply Center, Attn: DGSC- Atlantic (DCMDM). DB, Richmond, VA 23297–5000. Defense Contract Management District Defense Industrial Supply Center, Attn: North Central (DCMDC). DISC-PPR, 700 Robbins Avenue, Philadel- Defense Contract Management District phia, PA 19111–5096. South (DCMDS). Defense Personnel Support Center, Attn: Defense Contract Management District West DPSC-WXA, 2800 South 20th Street, Phila- (DCMDW). delphia, PA 19101–8419. Defense Contract Management Command Defense Distribution Region East, Attn: International (DCMCI). DDRE-WX, New Cumberland, PA 17070– 5001. III. Requester Requirements Defense Depot Memphis, Attn: DDMT-WX, 2163 Airways Blvd., Memphis, TN 38114– A. Addressing Requests 5000. Address requests to the DLA PLFA most Defense Depot Ogden, Attn: DDOU-G, 800 likely to hold the records (see paragraph V of West 12th Street, Ogden, UT 84407–5000. this appendix for mailing addresses of FOIA Defense Distribution Region West, Attn: managers). If the PLFA is undeterminable, DDRW-WX, Tracy, California 95376–5000. address requests to HQ DLA-XAM for proper Defense National Stockpile Center Attn: routing. Requests must be in writing. DNSC-L, 1745 Jefferson Davis Highway, Crystal Square No. 4, suite 100, Arlington, B. Description of Records. VA 22202–3402. Provide a reasonable description of the Defense Industrial Plant Equipment Center, documents you are seeking. If you have de- Attn: DIPEC-LP, 2163 Airways Blvd., Mem- tailed information which would help reduce phis, TN 38114–5051. the search time involved, please include it in Defense Logistics Services Center, Attn: your request. If you have a document which DLSC-WXA, 74 N. Washington Avenue, references the DLA record you seek, include Battle Creek, MI 49017–3084. a copy of that document. Defense Reutilization and Marketing Serv- ice, c/o Defense Logistics Services Center, C. Fees and fee waivers. Attn: CLSC-WXA, 74 N. Washington Ave- State your willingness to pay fees above nue, Battle Creek, MI 49017–3084. the $15 automatic waiver or provide a jus- DLA Systems Automation Center, Attn: tification for waiver of all or part of the DSAC-E, P.O. Box 1605, Columbus, OH costs. Waiver requests must address with 43216–5002. specificity each of the fee waiver elements in DLA Administrative Support Center, Attn: part 286, subpart F, of this title. DASC-RA, Cameron Station, Alexandria, VA 22304–6130. IV. Availability of DLA Publications Defense Contract Management District Unrestricted DLA regulations, manuals, South, Attn: DCMDS-W, 805 Walker Street, and handbooks may be purchased from the Marietta, Georgia 30060–2789. DLA publications sales outlet. DLA Hand- Defense Contract Management District book 5025.1, Defense Logistics Agency Index Northeast, Attn: DCMDN-WX, 495 Summer of Publications, is published quarterly and Street, Boston, MA 02210–2184. may be used to help you identify publica- Defense Contract Management District tions of interest to you. Orders for this and North Central, Attn: DCMDC-WX, O’Hare other nonrestricted publications may be International Airport, P.O. Box 66926, Chi- placed through DASC-PD, Cameron Station, cago, Il 60666–0926. Alexandria, VA 22304–6130. That office will Defense Contract Management District West, advise you of cost before completing your Attn: DCMDW-WXA, 222 N. Sepulveda order. Blvd., El Segundo, CA 90245–4320.

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Defense Contract Management District Mid (c) The DLA vehicle decal will be Atlantic, Attn: DCMDM-RW, 2800 S. 20th valid for a period of 3 years from the Street, Philadelphia, PA 19101–7478. year and month of issue. Defense Contract Management Command International, Attn: DCMCI-MBW, Wright- (d) Activities will use DLA Form Patterson AFB, OH 45433–5000. 1454, Vehicle Registration/Driver Record, as the basic vehicle registra- PART 1288—REGISTRATION OF PRI- tion and driver record. VATELY OWNED MOTOR VEHI- (e) DLA tenant activities will comply with host installation policies and pro- CLES cedures for registering POV’s.

Sec. § 1288.3 Definitions. 1288.1 Purpose and scope. 1288.2 Policy. Terms used in this part 1288 are con- 1288.3 Definitions. tained in DLAR 5720.1. 1288.4 Responsibilities. 1288.5 Procedures. § 1288.4 Responsibilities. 1288.6 Forms and reports. (a) HQ DLA. (1) The command secu- APPENDIX A TO PART 1288—DECAL SPECIFICA- TIONS rity officer, DLA (DLA-T) will provide staff supervision and assistance to DLA AUTHORITY: 5 U.S.C. 301; DOD Directive activities on matters concerning this 5105.22, June 8, 1978. part 1288. SOURCE: 43 FR 40806, Sept. 13, 1978, unless (2) The inspector general, DLA (DLA- otherwise noted. I) will procure, issue, and control in- § 1288.1 Purpose and scope. spector general (IG) vehicle decals in accordance with § 1288.6 of this part, To prescribe policy and procedures with the exception of the 3-year valida- for the registration, inspection, and tion requirement. (Vehicles bearing marking of privately owned vehicles such decals will be permitted entry to (POV) on Defense Logistics Agency all DLA activities.) (DLA) activities. This regulation is ap- (b) The heads of DLA primary level plicable to individuals serving in or field activities will: employed by the Defense Logistics (1) Insure that personnel adhere to Agency, and to all other individuals the provisions of this part 1288 when subject to motor vehicle registration implemented. requirements set forth in this part 1288 and DLAR 5720.1/AR 190–5/OPNAVINST (2) Procure, issue, and control vehicle 11200.5B/AFR 125–14/MCO 5110.1B, Mili- decals in accordance with this DLAR. tary Police Motor Vehicle Traffic Su- (3) Periodically inform personnel of pervision. the requirements of this DLAR, DLAR 5720.1, and local requirements con- § 1288.2 Policy. cerning the motor vehicle registration (a) The operation of a POV on a DLA program. activity constitutes a conditional (4) Activity/tenant employees are not privilege extended by the Head of the considered visitors and will not be activity. The Heads of DLA primary issued visitor passes. Employees oper- level field activities (PLFA’s) have the ating loaner/rental vehicles may be authority to supplement this regula- temporarily registered in accordance tion to implement additional controls with DLAR 5720.1, paragraph 3–2c. and restraints warranted by existing conditions at a PLFA. For example, § 1288.5 Procedures. commanders of depots and supply cen- (a) Issuance of DLA POV decal and 3- ters may impose searches of vehicles as year validation sticker. (1) One decal will warranted to reduce pilferage, and pro- be affixed to the left front bumper (op- tect Government interests. erator’s side) of a four-wheel vehicle. (b) POV’s permanently registered for An additional decal may be placed on operation on a DLA activity will be the rear bumper of the vehicle. For ve- identified by use of one of the decals hicles not equipped with bumpers and prescribed in this part 1288 (appendices two-wheeled vehicles, the placement of A and B). decals will be determined locally.

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(2) A 3-year validation sticker indi- vehicle and will remain valid for as cating the decal expiration will be long as the registrant retains owner- issued at the same time the DLA decal ship of the vehicle and complies with is issued. Every 3 years, or following a registration requirements. A Privacy significant change, registrants will be Act statement for use in conjunction required to update their registration with DLA form 1454 will be made avail- information. Evidence of compliance able to the individual supplying data will be documented by the issuance and on the form. display of a new 3-year validation (b) Data blocks 3, 4, and 14 on DLA sticker. form 1454 will be entered in ink; re- (3) The validation sticker will be maining entries will be in pencil. placed next to the DLA decal affixed to (c) One copy of DLA form 1454 will the front bumper of the vehicle. This also serve as the driver record of the sticker will reflect the month and year registrant. of the decal expiration, e.g., vehicles (d) Upon permanent change of station registered during the month of June of the military service registrant, ac- 1978 will have affixed a validation tivity clearance procedures will pro- sticker with the numbers ‘‘6–81’’, indi- vide for DLA form 1454 to be included cating expiration of the decal at the in the registrant’s military personnel end of June 1981. The specifications for folder for transmittal to the gaining the validation sticker will be deter- activity. DLA forms 1454 for transfer- mined locally. ring civilian personnel will be for- (4) Decals or other media used to warded to the security officer of the identify vehicles of temporary reg- gaining activity. istrants or visitors will be locally pre- (e) The DLA form 1454 for military scribed. personnel being discharged or sepa- (5) Decals will be removed from rated will be forwarded to the appro- POV’s by the registrant when activity priate personnel office for inclusion in registration is terminated. See DLAR the records folder for subsequent re- 5720.1, chapter 3, for information on tirement. termination of registration. (6) Vehicle decals will be purchased APPENDIX A TO PART 1288—DECAL with appropriated funds for issuance at SPECIFICATIONS no cost to authorized users. A. The design format of the standard DLA (b) Proof of insurance. (1) Individuals decal to be used for identifying POV’s perma- registering vehicles will certify posses- nently registered for operation on DLA ac- sion of insurance per DLAR 5720.1, tivities is shown in enclosure 2. The IG decal paragraph 3–3c. will be of the same design and color as that (2) The certification contained on prescribed for the standard DLA decal except DLA form 1454 will, as indicated there- that the registration letter/number scheme will consist of the letters ‘‘IG’’ followed by a on, be witnessed and manifested by a number. Standard DLA decals may be pro- signature. cured from the U.S. Disciplinary Barracks, (c) Vehicle inspection. (1) DLA activi- USDB, Fort Leavenworth, Kans. 66027, which ties located in States or jurisdictions is an approved Federal printing plant. Exist- having mandatory vehicle safety in- ing stocks of decals with ‘‘DSA’’ inscribed spections will reflect the provisions of will be used until exhausted. DLAR 5720.1, paragraph 3–3d, in the B. The following specifications apply to supplementation of this DLAR. the separate elements of the decal: 1. Basic construction. Decal will meet Fed- (2) Vehicle safety inspections are not eral Specification L-5300A, 7 Jan 70, type I, mandatory for DLA activities located class 4, reflectivity 1. in areas not requiring such inspections. 2. Colors: (d) Registrant. Registrant must in- a. Background—Silver. form the vehicle registration office b. DLA emblem, field activity name, and within 72 hours as information on DLA scroll, the letters DLA, and year/date— form 1454 becomes invalid. Black. C. Registration letters/numbers: § 1288.6 Forms and reports. (1) Mandatory categories: (a) Officer personnel—Blue. (a) DLA form 1454 will be prepared at (b) Enlisted personnel—Red. the time of initial registration of the (c) Civilian employees—Green.

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(2) The following additional colors will be 4. Dimensions: used to categorize registration further: a. Maximum size: 3 inches by 6 inches. For (a) Noncommissioned officer personnel— economy a reduced size decal may be used on Brown. POV’s to include those with less than four (b) Civilian employees (nonappropriated wheels. fund), Red Cross, concessionaires, contrac- b. Registration letters and numerals: 11⁄4 to tors, and other similar categories—Black. 11⁄2 inches in height. 3. Registration letters/numbers. For each reg- 1 3 istration category a combination of letters c. DLA emblem letters: 1 ⁄2 inches to 1 ⁄4 and number(s) separated by the DLA emblem inches in height. will be used. The number-letter system will d. DLA letters: 1⁄2 inch to 3⁄4 inch in height. progress from AA-1 to AA-2, and so on, to e. Activity designation scroll and let- AA-99, from AB-1 to AB-99, eventually from tering: See appendix B. AZ-1 to AZ-99, and so on from ZZ-1 to ZZ-99.

PART 1290—PREPARING AND APPENDIX B TO PART 1290—TICKET SAMPLE— PROCESSING MINOR OFFENSES A PARKING VIOLATION APPENDIX C TO PART 1290—TICKET SAMPLE—A AND VIOLATION NOTICES RE- MOVING VIOLATION FERRED TO U.S. DISTRICT APPENDIX D TO PART 1290—TICKET SAMPLE— COURTS A NONTRAFFIC VIOLATION AUTHORITY: Department of Defense In- Sec. struction 6055.4; 18 U.S.C. 13, 3401, and 3402. 1290.1 References. 1 1290.2 Purpose and scope. 1290.3 Policy. 1290.4 Definitions. 1 Reference (a) may be purchased from the 1290.5 Background. Commander, U.S. Army AG Publications 1290.6 Significant changes. Center, 2800 Eastern Blvd., Baltimore, MD 1290.7 Responsibilities. 21220; reference (b) from the Defense Logis- 1290.8 Procedures. tics Agency (DASC-IP), Cameron Station, 1290.9 Forms and reports. Alexandria, VA 22314; references (c), (d), and APPENDIX A TO PART 1290—PREPARATION (e) from the Superintendent of Documents, GUIDE FOR DD FORM 1805, VIOLATION NO- Government Printing Office, Washington, DC TICE 20402.

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SOURCE: 44 FR 55859, Sept. 28, 1979, unless minor offenses committed by civilian otherwise noted. personnel.

§ 1290.1 References. § 1290.4 Definitions. (a) DLAR 5720.1/AR 190–5/ For the purpose of this part 1290 the OPNAVINST 11200.5B/AFR 125–14/MCO following definitions apply: 5110.1B, Motor Vehicle Traffic Super- vision. This part 1290 supersedes part 1290 (b) DLAR 5710.1, Authority of Mili- April 26, 1972. tary Commanders To Issue Security (a) Law Enforcement Personnel. Per- Orders and Regulations for the Protec- sons authorized by the Head of the tion of Property or Places Under Their PLFA to direct, regulate, control traf- Command. fic; to make apprehensions or arrests (c) Sections 1, 3401 and 3402, title 18, for violations of traffic regulations; or U.S.C. to issue citations or tickets. Personnel (d) Rules of procedures for the Trial so designated will include the Com- of Minor Offenses before United States mand Security Officer and all other Magistrates. personnel in 080, 083, 085, or 1800 series (e) Section 13, title 18, U.S.C., As- positions. similative Crimes Act. (b) Minor Federal Offenses. Those of- § 1290.2 Purpose and scope. fenses for which the authorized penalty does not exceed imprisonment for a pe- (a) This part 1290 implements DoD In- riod of 1 year, or a fine of not more struction 6055.4, Department of Defense than $1000, or both (18 U.S.C. 3401f). Traffic Safety Program, and sets forth basic objectives and procedures appli- (c) Petty Federal Offenses. Those of- cable to implementation of the Federal fenses for which the authorized penalty Magistrate System by DLA. This part does not exceed imprisonment for a pe- 1290 is applicable to HQ DLA, Defense riod of 6 months or a fine of not more Supply Centers (DSC’s), less Defense than $500, or both (18 U.S.C. 1(3)). Fuel Supply Center and Defense Indus- NOTE: A petty offense is a type of minor of- trial Supply Center, and to Defense De- fense. pots, less Defense Depot Mechanics- (d) Violation Notice. DD Form 1805, burg. DLA activities/personnel tenant Violation Notice, which will be used to on other DoD activities will abide by refer all petty offenses to the U.S. Mag- the requirements of the host. istrate/District Courts for disposition. (b) This part 1290 provides Heads of DLA primary level field activities NOTE: A complaint, made under oath on (PLFAs) with a means of exercising ef- forms provided by the magistrate, is the pre- fective control over violators who are scribed form for charging minor offenses not otherwise under their jurisdiction. other than petty offenses.

§ 1290.3 Policy. § 1290.5 Background. (a) It is the policy of HQ DLA that (a) DoD Instruction 6055.4 requires the Heads of DLA PLFAs will take that all traffic violations occurring on such steps as are necessary to prevent DoD installations be referred to the ap- offenses. Emphasis will be placed on propriate United States Magistrate, or prevention rather than apprehension State or local system magistrate, in and prosecution of offenders. the interest of impartial judicial deter- (b) The procedures outlined in this mination and effective law enforce- part 1290 may, at the discretion of the ment. Exceptions will be made only for Head of the activity concerned, be in- those rare violations in which military voked in lieu of the provisions of the discipline is the paramount consider- Uniform Code of Military Justice ation, or where the Federal court sys- (UCMJ) to deal with minor offenses of tem having jurisdiction has notified a civil nature, other than violations of the PLFA commander it will not ac- state traffic laws, committed by mili- cept certain offenses for disposition. tary personnel. These procedures may (b) Generally, the Federal Magistrate also be invoked to deal with nontraffic System applies state traffic laws and

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appropriate Federal laws to all per- court hearing, to pay their fines by sonnel while on Federal property (sec- using mail-in, preaddressed, postage tion 13, title 18 U.S.C., Assimilative paid envelopes furnished to them with Crimes Act). the violation notice. (2) Efficient, minimal commitment of § 1290.6 Significant changes. judicial and clerical time by using uni- This revision incorporates the DoD form procedures which centralize the requirement for referral of traffic vio- collection of fines, the scheduling of lations occurring on military installa- mandatory hearings or hearings where tions to the Federal or local mag- violators request them, and the keep- istrate. ing of violator records. (3) A simple but sure method of ac- § 1290.7 Responsibilities. counting for fines collected and tickets (a) HQ DLA. (1) The Command Security issued. Officer, DLA (DLA-T) will: (4) Impartial enforcement of minor (i) Exercise staff supervision over the offense laws. Magistrate system within DLA. (b) Court Appearances—(1) Mandatory (ii) Provide guidance and assistance Appearances. (i) As required by the Ad- to DLA activities concerning adminis- ministrative Office of the United trative and procedural aspects of this States Courts, each District Court will part 1290. determine, by local court rule, those (2) The Counsel, DLA (DLA-G) will offenses requiring mandatory appear- provide guidance and assistance to ance of violators. PLFA Counsels will DLA activities concerning legal as- coordinate with local magistrates or pects of this part 1290. district courts and secure a court ap- (b) The Heads of DLA Primary Level proved list of offenses requiring man- Field Activities will: datory appearance of violators before (1) Develop and put into effect the the local U.S. Magistrate. necessary regulatory and supervisory (ii) Mandatory appearance offense procedures to implement this part 1290. categories normally include: (2) Ensure implementing directives (A) Indictable offenses. authorize law enforcement/security (B) Offenses resulting in accidents. force (080, 083, 085 and 1800 series) per- (C) Operation of motor vehicle while sonnel to issue DD Form 1805. under the influence of intoxicating al- (3) Periodically publish in the PLFA cohol or a narcotic or habit producing Daily or Weekly Bulletin, a listing of or other mind altering drug, or permit- offenses for which mail-in procedures ting another person who is under the apply, with the amount of the fine for influence of intoxicating alcohol, or a each, and a listing of offenses requiring narcotic or habit producing or mind al- mandatory appearance of the violator tering drug to operate a motor vehicle before the U.S. Magistrate. The listings owned by the defendant or in his/her will indicate that they are not nec- custody or control. essarily all inclusive and that they are (D) Reckless driving or speeding. subject to change. A copy of the list- (2) Voluntary Appearances—(i) Re- ings will be provided to the local Union quested by violators at the time DD Form representatives. 1805 is issued. (A) Personnel issuing DD Form 1805 will refer violator for hear- § 1290.8 Procedures. ings before U.S. Magistrates in each in- (a) The U.S. Magistrate Court Provides stance where a hearing is requested by DLA with: the violator. (1) The means to process and dispose (B) Command security officers will of certain categories of minor offenses provide security force personnel with by mail. Under this system, U.S. Mag- necessary information to facilitate istrate and District Courts will, by scheduling violators to appear before local court rule, preset fines for the U.S. Magistrates. Box B of the DD bulk of petty violations (Federal or As- Form 1805 will be marked by the similated) and permit persons charged issuing official for each violator re- with such violations, who do not con- questing a hearing. Additionally proce- test the charge nor wish to have a dures set forth in appendix A will be

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accomplished by the official issuing Form 1805 is dependent upon two con- violation notice. siderations: (ii) Requested by violators by mail. (A) (i) The type of violation, i.e., park- Voluntary appearance procedures are ing, (such as blocking a fire lane) mov- also available for violators who are not ing traffic violation, or nontraffic of- present at the time a DD Form 1805 is fenses. issued (i.e., parking violations) or who (ii) Whether the offense cited re- subsequently decide to voluntarily ap- quires the mandatory appearance of pear before a U.S. Magistrate rather the violator before a U.S. Magistrate. than pay the fine indicated in the DD (2) Preparation and disposition of DD Form 1805. Form 1805: (B) Violators who use the mail-in (i) See illustration in appendix B for procedure to voluntarily appear before petty offenses where the mail-in fine a U.S. Magistrate must follow the in- procedures are authorized. structions in Box B of the DD Form (A) The amount of the fine for a spe- 1805 (violator copy). The violator will cific offense must be recorded in the be notified by the clerk of the District lower right corner of the DD Form 1805. Court of the time and place to appear This amount will always be predeter- for the scheduled hearing. mined by the U.S. Magistrate and provided to on duty enforcement personnel § 1290.9 Forms and reports. by the activity security officer or (a) General information on preparation equivalent authority. When violation and issue of DD Form 1805. (1) The U.S. notices are issued for an offense (e.g., Magistrate system is based on use of a parking violation) and the offender is four-ply ticket designed to provide absent, all entries concerning the vio- legal notice to violators and records re- lator will be left blank. quired by the court, law enforcement (B) Disposition of DD Form 1805 will authorities, and, if appropriate, the be as follows: state motor vehicle departments. The (1) The fourth copy (envelope) will be DD Form 1805 is printed on chemically issued to the violator or placed on the carbonized paper and prenumbered in vehicle of the violator. series for accounting control. Heads of DLA primary level field activities are (2) Copies one (white copy), two (yel- responsible for maintaining account- low copy), and three (pink copy) will be ability for each ticket issued and returned to the Security Officer’s of- stocks on hand. fice. The Security Officer will forward (2) DLA field activity Counsels will copies one and two, by letter of trans- coordinate with the U.S. Magistrate of mittal, to the appropriate U.S. District the judicial district in which the activ- Court. ity is located and maintain the infor- (3) Copy three will be filed at the Se- mation listed below: curity Office or equivalent issuing au- (i) List of petty offenses for which thority. DLA Form 1454, Vehicle Reg- mail-in procedure is authorized and the istration/Driver Record, will be anno- amount of the fine for each specific of- tated with each traffic offense. fense. The District Court address will (ii) When DD Form 1805 is used to be prestamped on the violator’s copy of cite personnel for mail-in type viola- the DD Form 1805 by the applicable tions, the appropriate supervisor will issuing authority. be provided an information copy of (ii) List of minor offenses requiring DLA Form 635, Security/Criminal Inci- mandatory appearance of the violator dent Report, denoting the date, time, before the magistrate. The name and place, and type of violation, and the location of the magistrate before whom amount of fine assessed. violators will appear. Schedule will be (iii) Heads of DLA primary level field coordinated with nearest Military activities or their representative will Service activity and appearance will be not accept or otherwise collect any conducted jointly whenever possible. fines or keep records of fines paid or (b) Issue procedures for DD Form 1805. not paid. They also will take no action (1) Information entered on the DD concerning nonpayment delinquencies

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except where warrants are subse- pervisor will be provided an informa- quently issued for the violator con- tion copy of DLA Form 635, denoting cerned by the appropriate court au- the date, time, place, and type of viola- thorities. tion, and the date the violator is sched- (iv) See illustrations in appendices C uled to appear before the U.S. Mag- and D for minor offenses requiring the istrate. mandatory appearance of violators be- (v) Additional information governing fore the U.S. Magistrate: preparation of DD Form 1805 is pro- (A) Mail-in fine procedures will not vided as appendix A. apply in mandatory appearance cases. The law enforcement authority issuing APPENDIX A TO PART 1290—PREPARA- a violation notice for an offense requir- TION GUIDE FOR DD FORM 1805, VIO- ing mandatory appearance of the viola- LATION NOTICE tor, will place a check mark in ‘‘Box A’’, DD Form 1805. The name and loca- All violations will require: tion of the U.S. Magistrate before Last four digits of the Social Security Number of the Issuing guard/police officer whom the violator must appear will be (placed in space marked ‘‘Officer No.’’). Date inserted on the line below ‘‘United of notice (is also violation date unless other- States District Court’’ as shown in ap- wise shown) and time. Description of viola- pendix C. The date and time of the ini- tion, including place noted. Violation code tial appearance will be entered in the number and issuing location code number (as space provided in ‘‘Box A’’. It is the determined by local Magistrate/District violator’s responsibility to verify the Court). Examples are shown at appendices B, date, time, and place of required court C, and D. appearances. In addition to above items (B) Disposition of DD Form 1805 will be as follows: Parking offenses require: Vehicle descrip- (1) The fourth copy (envelope) will be tion (make, color, body type), licensing issued to the violator. state, auto license number; and, if violator is present: Driver permit number, driver ad- (2) Copies one (white copy), two (yel- dress, driver’s name (all of above items and); low copy), and three (pink copy) will be moving traffic offenses require: Birth date returned to the Security Officer’s of- and sex, race (if it appears on driver’s per- fice. The Security Officer will forward mit), height and weight. copies one and two, by transmittal as Nontraffic offenses require: Statute vio- soon as possible, to the magistrate be- lated, person’s name, person’s address, birth fore whom the violator is scheduled to date, and sex; and, if applicable: Race, appear. height, and weight. (3) Copy three will be filed in the of- All mailable disposition offenses—amount of fine (collateral). fice of the Security Officer or equiva- All mandatory court offenses—Above data, lent issuing authority. as appropriate, and the place of court (i.e., (C) When DD Form 1805 is used to Magistrate Court Address), the date and cite personnel for mandatory appear- time of appearance (if known by officer), and ance type offenses, the individual’s su- check mark in Box ‘‘A’’.

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APPENDIX B TO PART 1290—TICKET SAMPLE—A PARKING VIOLATION

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APPENDIX C TO PART 1290—TICKET SAMPLE—A MOVING VIOLATION

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APPENDIX D TO PART 1290—TICKET SAMPLE—A NONTRAFFIC VIOLATION

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PART 1292—SECURITY OF DLA tions and orders in fulfillment of their ACTIVITIES AND RESOURCES responsibility to protect property and places under their jurisdiction and ad- Sec. ministration. However, separate secu- 1292.1 Purpose and scope. rity regulations and orders should not 1292.2 Policy. be issued when the host has issued se- 1292.3 Background. curity regulations and orders that af- 1292.4 Responsibilities. ford protection to the DLA activity. 1292.5 Procedures. (d) Detailed physical security and APPENDIX A TO PART 1292—SECTION 21 OF THE emergency plans developed in conjunc- INTERNAL SECURITY ACT OF 1950 tion with these security regulations AUTHORITY: DoD Directive 5200.8 and in ac- and orders will be as prescribed by cordance with Sec. 21 of the Internal Secu- DLAM 5710.1, Physical Security Man- rity Act of 1950, 50 U.S.C. 797. ual, and DLA War and Emergency Sup- SOURCE: 46 FR 13216, Feb. 20, 1981, unless port Plan (WESP), part II, Annex A. otherwise noted. § 1292.3 Background. § 1292.1 Purpose and scope. Section 21 of the Internal Security ‘‘To establish policy, assign respon- Act of 1950 (appendix A) authorizes the sibilities, and prescribe procedures for Secretary of Defense to designate mili- the issuance of security regulations tary commanders to promulgate or ap- and orders by Heads of DLA activities. prove regulations and orders for the This part 1292 implements DoD Direc- protection of property and places under tive 5200.8, Security of Military Instal- their command. DoD Directive 5200.8 lations and Resources, and is applica- designates military commanders of ble to HQ DLA, DLA field activities Army, Navy, Air Force, and Defense and property/places subject to the ju- Agency activities as having authority risdiction or administration of the De- to promulgate regulations and orders fense Logistics Agency. pursuant to the Internal Security Act § 1292.2 Policy. of 1950. (a) Military Heads of DLA field ac- § 1292.4 Responsibilities. tivities are authorized to issue or approve necessary security regulations (a) HQ DLA. (1) The Director, DLA/ and orders for the protection of prop- Deputy Director/Deputy Director, CAS erty and places under their jurisdic- will issue necessary security regulation/administration. Regulations and tions and orders for PLFAs headed by orders for the protection of property civilians. and personnel of subordinate activities (2) The Command Security Officer, headed by civilians shall be promul- DLA (DLA-T) will: gated by the military commander in (i) Provide technical staff guidance the chain of command immediately on the issuance of security regulations above such subordinate activity. and orders. (b) Regulations and orders for the (ii) Keep the Director, DLA informed protection of property and personnel of of violations of regulations/orders as primary level field activities (PLFAs) reported. headed by civilians, and subordinate (b) Field Activities. (1) The Heads of activities of such PLFAs which like- Primary Level Field Activities will: wise are headed by civilians, shall be (i) Publish a physical security plan promulgated by the Director, DLA/Dep- which provides proper and economical uty Director/Deputy Director, CAS. use of personnel and equipment to pre- (c) Heads of DLA field activities that vent or minimize loss or damage from are tenants on a military reservation, theft, espionage, sabotage, and other post, camp, station, installation, base, criminal or disruptive activities. or Government-owned or leased facility (ii) Report violations of security reg- administered by another command or ulations and orders to HQ DLA, ATTN: agency are responsible for protection of DLA-T, in accordance with DLAR property and places under their com- 5705.1, Reporting of Security and mand and may issue security regula- Criminal Violations.

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(2) The Military Heads of DLA field of applicable directives, will suffice activities will issue security regula- provided it cites the authority to issue tions and orders as necessary for the such directive. The posting of volumi- protection of places and property under nous, individual security regulations their jurisdiction pursuant to the pro- and orders will be avoided. visions of this part 1292 and other pertinent directives. APPENDIX A TO PART 1292—SECTION 21 OF THE INTERNAL SECURITY ACT OF 1950 § 1292.5 Procedures. 797. Security regulations and orders; penalty for (a) Security regulations and orders violation will be promulgated by any of the fol- (a) Whoever willfully shall violate any lowing means: such regulation or order as, pursuant to law- (1) Written directives of the activity ful authority, shall be or has been promul- Head. gated or approved by the Secretary of De- (2) Signs and similar media. fense, or by any military commander des- (3) Orally, when required by a contin- ignated by the Secretary of Defense, or by gency/emergency. the Director of the National Advisory Com- mittee for Aeronautics, for the protection or (b) Written directives and orders will security of military or naval aircraft, air- contain so much of the following state- ports, airport facilities, vessels, harbors, ment as is pertinent: ports, piers, waterfront facilities, bases, forts, posts, laboratories, stations, vehicles, This order (directive, bulletin, etc.) is equipment, explosives, or other property or issued pursuant to section 21, Internal Secu- places subject to the jurisdiction, adminis- rity Act of 1950, 50 U.S.C. 797, DoD Directive tration, or in the custody of the Department 5200.8, DLAR 5710.1, (directive issued by the of Defense, any Department or agency of Head of a DLA field activity subordinate to which said Department consists, or any offi- HQ DLA). cer or employeee of said Department or (c) Signs used as the sole vehicle for agency, or of the National Advisory Com- issuing a security regulation or order mittee for Aeronautics or any officer or em- must contain a recitation of the au- ployee thereof, relating to fire hazards, fire thority under which issued and the protection, lighting, machinery, guard service, disrepair, disuse or other unsatisfactory title of the authorized official who conditions thereon, or the ingress thereto or issued the regulation or order. DLAM egress or removal of persons therefrom, or 5710.1, chapter 3, contains instructions otherwise providing for safeguarding the on the exact wording of such signs. same against destruction, loss, or injury by (d) Oral orders will include a state- accident or by enemy action, sabotage or ment which clearly indicates the au- other subversive actions, shall be guilty of a thority for issuance similar to the pro- misdemeanor and upon conviction thereof visions of paragraph (b) of this section. shall be liable to a fine of not to exceed $5,000 (e) Written security orders and regu- or to imprisonment for not more than one year or both. lations will be posted in conspicuous (b) Every such regulation or order shall be and appropriate places to ensure widest posted in conspicuous and appropriate dissemination. The posting of a general places. Sept. 23, 1950, c. 1024, Title I, Par. 21, security regulation/order, or a listing 64 Stat. 1005.

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Part Page 1600–1601 [Reserved] 1602 Definitions ...... 301 1605 Selective Service System organization ...... 302 1609 Uncompensated personnel...... 308 1615 Administration of registration ...... 309 1618 Notice to registrants ...... 310 1621 Duty of registrants ...... 311 1624 Inductions ...... 312 1627 Volunteers for induction ...... 315 1630 Classification rules...... 316 1633 Administration of classification ...... 322 1636 Classification of conscientious objectors ...... 324 1639 Classification of registrants preparing for the Min- istry ...... 328 1642 Classification of registrants deferred because of hardship to dependents ...... 330 1645 Classification of ministers of religion ...... 332 1648 Classification by local board ...... 334 1651 Classification by District Appeal Board ...... 336 1653 Appeal to the President ...... 338 1656 Alternative service...... 340 1657 Overseas registrant processing ...... 349 1659 Extraordinary expenses of registrants ...... 350 1662 Freedom of Information Act (FOIA) procedures ..... 350 1665 Privacy Act procedures ...... 354 1690 [Reserved] 1697 Salary offset...... 360 1698 Advisory opinions...... 364 1699 Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by Selective Service System ...... 365

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accordance with the provisions of parts dent to act on cases of registrants in 1651 and 1656 of this chapter. accord with the provisions of part 1653 of this chapter. [69 FR 20543, Apr. 16, 2004] [52 FR 24454, July 1, 1987] § 1602.12 Governor. The word Governor includes, where § 1602.19 Numbers. applicable, the Governor of each of the Cardinal numbers may be expressed States of the United States, the Mayor by Arabic or Roman symbols. of the District of Columbia, the Gov- ernor of Puerto Rico, the Governor of § 1602.20 Registrant. the Virgin Islands, and the Governor of A registrant is a person registered Guam. under the Selective Service Law.

§ 1602.13 Judgmental Classification. § 1602.21 Selective Service Law. A classification action relating to a The term Selective Service Law in- registrant’s claim for Class 1-A-O, 1-O, cludes the Military Selective Service 2-D, 3-A, or 4-D. Act, all rules and regulations issued thereunder, and Proclamations of the § 1602.14 Local board. President pertaining to registration A local board or a panel thereof of under that Act. the Selective Service System is a group of not less than three civilian § 1602.22 Singular and plural. members appointed by the President Words importing the singular number after nomination by a Governor to act shall include the plural number, and on cases of registrants in accord with words importing the plural number the provisions of part 1648 of this chap- shall include the singular, except ter. where the context clearly indicates otherwise. [52 FR 24454, July 1, 1987] § 1602.23 State. § 1602.15 Local board of jurisdiction. The word State includes, where appli- The local board of jurisdiction is the cable, the several States of the United local board to which a registrant is as- States, the City of New York, the Dis- signed and which has authority, in ac- trict of Columbia, Puerto Rico, the cord with the provisions of this chap- Virgin Islands, and Guam. ter, to determine his claim or to issue to him an order. His local board and reg- § 1602.24 Claim. istrant’s local board refer to the local board of jurisdiction. A claim is a request for postponement of induction or classification into a [52 FR 24454, July 1, 1987] class other than 1–A. § 1602.16 MEPS. [52 FR 24454, July 1, 1987] A Military Entrance Processing Sta- § 1602.25 Director. tion is a military installation to which Director is the Director of Selective registrants are ordered to report for ex- Service. amination or induction. [52 FR 24454, July 1, 1987] § 1602.17 Military service. The term military service includes PART 1605—SELECTIVE SERVICE service in the Army, the Navy, the Air SYSTEM ORGANIZATION Force, the Marine Corps, and the Coast Guard. NATIONAL ADMINISTRATION § 1602.18 National Appeal Board. Sec. 1605.1 Director of Selective Service. The National Appeal Board or a panel 1605.6 National Appeal Board. thereof of the Selective Service System is a group of not less than three civil- REGION ADMINISTRATION ian members appointed by the Presi- 1605.7 Region Manager.

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1605.8 Staff of Region Headquarters for Se- essary for carrying out the functions of lective Service. the Selective Service System. STATE ADMINISTRATION (c) To obligate and authorize expenditures from funds appropriated for car- 1605.11 Governor. rying out the functions of the Selective 1605.12 State Director of Selective Service. Service System. 1605.13 Staff of State Headquarters for Se- lective Service. (d) To appoint and to fix, in accord- 1605.14 State Director of Selective Service ance with provisions of chapter 51 and for New York City. subchapter III of chapter 53 of title 5 U.S.C., relating to classification and DISTRICT APPEAL BOARDS General Schedule pay rates, the com- 1605.21 Area. pensation of such officers, agents, and 1605.22 Composition and appointment of dis- employees as shall be necessary for trict appeal boards. carrying out the functions of the Selec- 1605.23 Designation. tive Service System. 1605.24 Jurisdiction. 1605.25 Disqualification. (e) To procure such space as he may 1605.26 Organization and meetings. deem necessary for carrying out the 1605.27 Minutes of meetings. functions of the Selective Service Sys- 1605.28 Signing official papers. tem by lease pursuant to existing statutes. LOCAL BOARDS (f) To obtain by purchase, loan, or 1605.51 Area. gift such equipment, supplies, printing, 1605.52 Composition of local boards. binding, and blankbook work for the 1605.53 Designation. Selective Service System as he may 1605.54 Jurisdiction. deem necessary to carry out the func- 1605.55 Disqualification. 1605.56 Organization and meetings. tions of the Selective Service System. 1605.58 Minutes of meetings. (g) To perform such other duties as 1605.59 Signing official papers. shall be required of him under the Se- lective Service Law or which may be AREA OFFICE ADMINISTRATION delegated to him by the President. 1605.60 Area. (h) To delegate any of his authority 1605.61 Staff of area offices for selective to such officers, agents, or persons as service. he may designate and to provide for the subdelegation of any such author- INTERPRETERS ity. 1605.81 Interpreters.

AUTHORITY: Military Selective Service Act, § 1605.6 National Appeal Board. 50 U.S.C. App. 451 et seq.; E.O. 11623. (a) There is hereby created and estab- SOURCE: 47 FR 4644, Feb. 1, 1982, unless oth- lished within the Selective Service erwise noted. System a civilian agency of appeal which shall be known as the National NATIONAL ADMINISTRATION Appeal Board. The President shall appoint not less than three members to § 1605.1 Director of Selective Service. the National Appeal Board, and he The Director of Selective Service shall designate one member as chair- shall be responsible directly to the man. President. The Director of Selective (b) The President shall appoint mem- Service is hereby authorized and di- bers of the National Appeal Board from rected: among citizens of the United States (a) To prescribe such rules and regu- who: lations as he shall deem necessary for (1) Are not active or retired members the administration of the Selective of the Armed Forces or any reserve Service System, the conduct of its offi- component thereof; cers and employees, the distribution (2) Have not served as a member of and performance of its business, and the National Appeal Board for a period the custody, use, and preservation of of more than five years; its records, papers, and property. (3) Are at least 18 years of age; (b) To issue such public notices, or- (4) Are able to devote sufficient time ders, and instructions, as shall be nec- to duties of the Board; and

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(5) Are willing to fairly and uni- diem in lieu of subsistence in accord- formly apply Selective Service Law. ance with rates established by Federal (c)(1) A majority of the members of Travel Regulations. the board shall constitute a quorum for (g) The Director shall pay the ex- the transaction of business, and a ma- penses of the members of the National jority of the members present at any Appeal Board in accord with applicable meeting at which a quorum is present, Federal Travel Regulations and shall shall decide any question. furnish that Board and its panels nec- (2) The National Appeal Board may essary personnel, suitable office space, sit en banc, or upon the request of the necessary facilities and services. Director or as determined by the chair- [52 FR 8890, Mar. 20, 1987] man of the National Appeal Board, in panels, each panel to consist of at least REGION ADMINISTRATION three members. The Chairman of the National Appeal Board shall designate § 1605.7 Region Manager. the members of each panel and he shall (a) Subject to the direction and con- designate one member of each panel as trol of the Director of Selective Serv- chairman. A majority of the members ice, the Region Manager of Selective of a panel shall constitute a quorum Service for each region shall be in im- for the transaction of business, and a mediate charge of the Region Head- majority of the members present at quarters and shall be responsible for any meeting at which a quorum is carrying out the region functions of present, shall decide any question. the Selective Service System in the Each panel of the National Appeal various States assigned to the region. Board shall have full authority to act (b) The Region Manager will perform on all cases assigned to it. such duties as are prescribed by the Di- (3) The National Appeal Board or a rector of Selective Service. panel thereof shall hold meetings in Washington, DC, and upon request of § 1605.8 Staff of Region Headquarters the Director or as determined by the for Selective Service. Chairman of the National Appeal (a) Subject to applicable law, and Board, at any other place. within the limits of available funds, (d) The National Appeal Board or the staff of each region for Selective panel thereof shall classify each reg- Service shall consist of as many offi- istrant whose classification has been cers, either military or civilian, as appealed to the President under part shall be authorized by the Director of 1653 of this chapter. Selective Service. (e) No member of the National Ap- (b) In accordance with limitations peal Board shall act on the case of a imposed by the Director of Selective registrant who is the member’s first Service, the Region Manager is author- cousin or closer relation either by ized to appoint such civilian personnel blood, marriage, or adoption, or who is as he considers are required in the op- the member’s employer, employee or eration of the Region Headquarters. fellow employee or stands in the relationship of superior or subordinate of STATE ADMINISTRATION the member in connection with any employment, or is a partner or close § 1605.11 Governor. business associate of the member, or is The Governor is authorized to rec- a fellow member or employee of the ommend a person to be appointed by National Appeal Board. A member of the President as State Director of Se- the National Appeal Board must dis- lective Service for his State, who shall qualify himself in any matter in which represent the Governor in all Selective we would be restricted for any reason Service matters. in making an impartial decision. (f) Each member of the National Ap- § 1605.12 State Director of Selective peal Board while on the business of the Service. National Appeal Board away from his (a) The State Director of Selective home or regular place of business shall Service for each State, subject to the receive actual travel expenses and per direction and control of the Director of

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Selective Service, shall be in imme- DISTRICT APPEAL BOARDS diate charge of the State Headquarters for Selective Service in his State. The § 1605.21 Area. State Headquarters for Selective Serv- The Director of Selective Service ice shall be an office of record for Se- shall establish one or more district ap- lective Service operations only, and no peal boards in each of the Federal Judi- records other than Selective Service cial Districts in the several states of records shall be maintained in such of- the United States, the District of Co- fice. lumbia, Guam, Puerto Rico, and the (b) The State Director of Selective Virgin Islands. The Director of Selec- Service will perform such duties as are tive Service may establish panels of prescribed by the Director of Selective appeal boards. Service. § 1605.22 Composition and appoint- § 1605.13 Staff of State Headquarters ment of district appeal boards. for Selective Service. The Director of Selective Service will (a) Subject to applicable law and prescribe the number of members for within the limits of available funds, the district appeal boards. The Presi- the staff of each State Headquarters dent shall appoint members of district for Selective Service shall consist of as appeal boards from among citizens of many officers, either military or civil- the United States who are residents of ian, as shall be authorized by the Di- the area for which the respective rector of Selective Service. boards have jurisdiction. The Director (b) In accordance with limitations of Selective Service shall furnish nec- imposed by the Director of Selective essary personnel, suitable office space, Service, the State Director of Selective facilities and services to support each Service is authorized to appoint such district appeal board. civilian personnel as he considers are required in the operation of the State § 1605.23 Designation. Headquarters for Selective Service. The Director of Selective Service § 1605.14 State Director of Selective shall assign each district appeal board Service for New York City. within a Federal Judicial District a The Governor of the State of New specific identification by which it shall York is authorized to recommend a be known. If a district appeal board person to be appointed by the Presi- consists of more than one panel, each dent as State Director of Selective panel shall have a specific identifying Service for New York City, who shall number. Such numbers shall be as- represent the Governor in all Selective signed in numerical sequence begin- Service matters within the City of New ning with numeral 1. York. Subject to the direction and con- § 1605.24 Jurisdiction. trol of the Director of Selective Serv- ice, the State Director of Selective (a) The district appeal board shall Service for New York City shall be in have jurisdiction to review and to af- immediate charge of the State Head- firm or change any local board decision quarters for Selective Service for New appealed to it when: York City and shall perform such du- (1) An appeal is submitted by a reg- ties as are prescribed by the Director of istrant from a local board in its area; Selective Service. The State Director or of Selective Service for the State of (2) An appeal is submitted to it from New York shall have no jurisdiction in a local board not in the appeal board Selective Service matters within the area by a registrant whose principal City of New York. The State head- place of employment or residence is lo- quarters of Selective Service for New cated within the jurisdiction of the ap- York City shall be an office of record peal board; or for Selective Service operations only, (3) An appeal is submitted or trans- and no records other than Selective ferred to it by the Director of Selective Service records shall be maintained in Service to assure the fair and equitable such office. administration of the Law.

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(b) The district appeal board shall hamper the work of the board, the have jurisdiction to review and to af- chairman, a member of the board or firm or change any Alternative Service panel concerned, or an area office em- Office Manager decision appealed to it ployee shall report that fact to the Di- by an Alternative Service Worker pur- rector of Selective Service and such ac- suant to part 1656 of this chapter. tion as appropriate shall be taken. If, through death, resignation, or other [47 FR 4644, Feb. 1, 1982, as amended at 69 FR 20543, Apr. 16, 2004] causes, the membership of the board falls below the prescribed number of § 1605.25 Disqualification. members, the board or panel shall con- (a) No member of a district appeal tinue to function, provided a quorum of board shall act on the case of a reg- the prescribed membership is present istrant who is the member’s first cous- at each official meeting. in or closer relation, either by blood, § 1605.27 Minutes of meetings. marriage, or adoption, or who is the member’s employer, employee, or fel- A Selective Service compensated em- low employee, or stands in the rela- ployee will keep the minutes of each tionship of superior or subordinate of appeal board meeting. In the absence of the member in connection with any a compensated employee the minutes employment, or is a partner or close will be kept by an appeal board mem- business associate of the member, or is ber. a fellow member or employee of the § 1605.28 Signing official papers. board. (b) A member of a district appeal Official documents issued and min- board must disqualify himself in any utes of meetings maintained by a dis- matter in which he would be restricted trict appeal board may be signed by for any reason in making an impartial any member of the board, or by any decision. compensated employee of the Selective (c) Whenever a quorum of the district Service System authorized to perform appeal board or a panel thereof cannot administrative duties for the board, exact on the case of a registrant that it cept when otherwise prescribed by the has been assigned, and there is no Director of Selective Service. other panel of the district appeal board to which the case may be transferred, LOCAL BOARDS the district appeal board shall transmit § 1605.51 Area. such case to the director of Selective Service for transfer to another district (a) The Director of Selective Service appeal board. shall divide each State into local board areas and establish local boards. There § 1605.26 Organization and meetings. shall be at least one local board in each Each district appeal board, or panel county except where the Director of thereof, shall elect a chairman and a Selective Service establishes an inter- vice-chairman at least every two years. county board. When more than one A majority of the members of the local board is established within the board when present at any meeting same geographical jurisdiction, reg- shall constitute a quorum for the istrants residing in that area will be transaction of business. A majority of assigned among the boards as pre- the members present at any meeting at scribed by the Director of Selective which a quorum is present shall decide Service. The Director of Selective any question. Every member, unless Service may establish panels of local disqualified, shall vote on every ques- boards. tion or classification. In case of a tie (b) [Reserved] vote on a question or classification, the [47 FR 4644, Feb. 1, 1982, as amended at 52 FR board shall postpone action until the 24454, July 1, 1987] next meeting. If the question or classification remains unresolved at the next § 1605.52 Composition of local boards. meeting, the file will be transferred for The Director of Selective Service classification in accord with § 1605.25(c). shall prescribe the number of members If any member is absent so long as to of local boards.

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§ 1605.53 Designation. ship of the board shall constitute a The Director of Selective Service quorum for the transaction of business. shall assign each local board within a A majority of the members present at State a specific identifying number by any meeting at which a quorum is which it shall be known. Such identi- present shall decide any question or fying numbers shall be assigned in nu- classification. Every member present, merical sequence beginning with the unless disqualified, shall vote on every numeral 1. question or classification. In case of a tie vote on any question or classifica- § 1605.54 Jurisdiction. tion, the board shall postpone action The local board shall have full au- on the question or classification until thority to perform all acts within its it can be decided by a majority vote at jurisdiction authorized by law, to in- the next meeting. If the question or clude the acting on any claim pre- classification remains unresolved at sented to it when: the next meeting, the file will be trans- (a) The claim is submitted by a reg- ferred for classification in accord with istrant who is assigned to it; or § 1605.55(c). If any member is absent so (b) The claim is transferred to it long as to hamper the work of the from another board in the manner pro- board, the chairman, a member of the vided in these regulations; or board, or a Selective Service com- (c) The claim is submitted or pensated employee shall report that tranferred to it by the Director of Se- fact to the Director of Selective Serv- lective Service to assure the fair and ice and appropriate action shall be equitable administration of the Law. taken. If through death, resignation, or other cause, the membership of a board § 1605.55 Disqualification. falls below the prescribed number, it (a) No member of a local board shall shall continue to function provided a act on the case of a registrant who is quorum of the prescribed membership the member’s first cousin or closer re- is present at each official meeting. lation, either by blood, marriage, or adoption, or who is the member’s em- § 1605.58 Minutes of meetings. ployer, employee, or fellow employee, A compensated employee of the ap- or stands in the relationship of supe- propriate area office will keep the min- rior or subordinate of the member in utes of each meeting of a local board. connection with any employment, or is In the absence of a compensated em- a partner or close business associate of ployee the minutes will be kept by a the member, or a fellow member or em- board member. ployee of the area office. (b) A member of the local board must § 1605.59 Signing official papers. disqualify himself in any matter in which he would be restricted, for any Official papers issued by a local reason, in making an impartial deci- board may be signed by any member of sion. the board or compensated employee of (c) Whenever a quorum of a local the area office, or any compensated board cannot act on the case of a reg- employee of the Selective Service Sys- istrant, the area office supervisor shall tem whose official duties require him cause such case to be transferred to an- to perform administrative duties at the other board within the area office. In area office except when otherwise pre- those instances where only one board scribed by the Director of Selective exists in an area office, the case should Service. be transmitted to the nearest area office for transfer to a board under its ju- AREA OFFICE ADMINISTRATION risdiction. § 1605.60 Area. § 1605.56 Organization and meetings. (a) The Director of Selective Service Each local board shall elect a chair- shall prescribe the number of area of- man and vice-chairman at least every fices to be established and shall define two years. A majority of the member- the boundaries thereof.

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(b) The area office shall be an office Law shall be uncompensated. No per- of record and responsible for all admin- son serving without compensation istrative and operational support of the shall accept remuneration from any one or more local boards within its ju- source for services rendered in connec- risdiction. tion with Selective Service matters.

§ 1605.61 Staff of area offices for selec- [52 FR 24454, July 1, 1987, as amended at 69 tive service. FR 20544, Apr. 16, 2004] Subject to applicable law and within § 1609.2 Citizenship. the limits of available funds, the staff No person shall be appointed to any of each area office shall consist of as uncompensated position in the Selec- many compensated employees, either tive Service System who is not a cit- military or civilian, as shall be author- izen of the United States. ized by the Director of Selective Serv- ice. § 1609.3 Eligibility. (a) The President, upon the rec- INTERPRETERS ommendation of the respective Gov- § 1605.81 Interpreters. ernors, will consider for appointment as a member of a local board, any per- (a) The local board, district appeal son who: board and the National Selective Serv- (1) Is within the age limits prescribed ice Appeal Board are authorized to use by the Military Selective Service Act; interpreters when necessary. and (b) The following oath shall be ad- (2) Is a citizen of the United States; ministered by a member of the board or and a compensated employee of the System (3) Is a resident of the county in to an interpreter each time he or she which the local board has jurisdiction; interprets: and Do you swear (or affirm) that you will (4) Is not an active or retired member truly interpret in the matter now in hear- of the Armed Forces or any reserve ing? component thereof; and (c) Any interpreter who fails to re- (5) Has not served as a member of a spond in the affirmative shall not be Selective Service board for a period of permitted to function in this capacity. more than 20 years; and (6) Is able to perform such duties as [47 FR 4644, Feb. 1, 1982, as amended at 52 FR necessary during standby status; and 24454, July 1, 1987] (7) Is able to devote sufficient time to board affairs; and PART 1609—UNCOMPENSATED (8) Is willing to fairly and uniformly PERSONNEL apply Selective Service Law. (b) The President, upon the rec- Sec. ommendation of the Director of Selec- 1609.1 Uncompensated positions. tive Service, will consider for appoint- 1609.2 Citizenship. ment as a member of a district appeal 1609.3 Eligibility. board any person who: 1609.4 Oath of office. (1) Is within the age limits prescribed 1609.5 Suspension. by the Military Selective Service Act; 1609.6 Removal. 1609.7 Use of information. and (2) Is a citizen of the United States; AUTHORITY: Military Selective Service Act, and 50 U.S.C. App. 451 et seq; E.O. 11623. (3) Is a resident of the Federal Judi- SOURCE: 47 FR 4647, Feb. 1, 1982, unless oth- cial District in which the district ap- erwise noted. peal board has jurisdiction; and (4) Is not an active or retired member § 1609.1 Uncompensated positions. of the Armed Forces or any reserve Members of local boards, district ap- component thereof; and peal boards, and all other persons vol- (5) Has not served as a member of a unteering their services to assist in the Selective Service board for a period of administration of the Selective Service more than 20 years; and

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(6) Is able to perform such duties as 1615.4 Duty of persons required to register. necessary during standby status; and 1615.5 Persons not to be registered. (7) Is able to devote sufficient time to 1615.6 Selective service number. the district appeal board affairs; and 1615.7 Evidence of registration. (8) Is willing to fairly and uniformly 1615.8 Cancellation of registration. apply Selective Service Law. 1615.9 Registration card or form. AUTHORITY: Military Selective Service Act, § 1609.4 Oath of office. 50 U.S.C. App. 451 et seq.; E.O. 11623, 36 FR Every person who undertakes to 19963, 3 CFR, 1971–1975 Comp., p. 614, as render voluntary uncompensated serv- amended by E.O. 12608, 52 FR 34617, 3 CFR, ice in the administration of the Selec- 1987 Comp., p. 245.

tive Service Law shall execute an Oath SOURCE: 45 FR 48130, July 18, 1980, unless of Office and Waiver of Pay before he otherwise noted. enters upon his duties. § 1615.1 Registration. § 1609.5 Suspension. (a) Registration under selective serv- The Director of Selective Service ice law consists of: may suspend from duty any uncompensated person engaged in the adminis- (1) Completing a registration card or tration of the Selective Service Law other method of registration prescribed pending his consideration of the advis- by the Director of Selective Service by ability of removing such person. a person required to register; and (2) The recording of the registration § 1609.6 Removal. information furnished by the reg- (a) The Director of Selective Service istrant in the records (master com- may remove any uncompensated per- puter file) of the Selective Service Sys- son engaged in the administration of tem. Registration is completed when the Selective Service Law. both of these actions have been accom- (b) The Governor may recommend to plished. the Director of Selective Service the (b) The Director of Selective Service removal, for cause, of the State Direc- will furnish to each registrant a tor or any uncompensated person en- verification notice that includes a copy gaged in the administration of the Se- of the information pertaining to his lective Service Law in his State. The registration that has been recorded in Director of Selective Service shall the records of the Selective Service make such investigation of the Gov- System together with a correction ernor’s recommendation as he deems form. If the information is correct, the necessary, and upon completion of his registrant should take no action. If the investigation, he shall take such action information is incorrect, the registrant as he deems proper. should forthwith furnish the correct in- § 1609.7 Use of information. formation to the Director of Selective Any information or records obtained Service. If the registrant does not re- by compensated or uncompensated per- ceive the verification notice within 90 sonnel during the performance of their days after he completed a method of official duties, including proceedings registration prescribed by the Director, before the boards, shall be restricted to he shall advise in writing the Selective official use by the personnel of the Se- Service System, P.O. Box 94638, Pala- lective Service System except as spe- tine, IL 60094–4638. cifically authorized by law. (c) The methods of registration prescribed by the Director include com- PART 1615—ADMINISTRATION OF pleting a Selective Service Registra- REGISTRATION tion Card at a classified Post Office, registration on the Selective Service Sec. Internet web site (http://www.sss.gov), 1615.1 Registration. telephonic registration, registration on 1615.2 Responsibility of Director of Selec- approved Federal and State Govern- tive Service in registration. ment forms, registration through high 1615.3 Registration procedures.

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school and college registrars, and Se- § 1615.5 Persons not to be registered. lective Service remainder mailback No person who is not required by se- card. lective service law or the Proclamation [45 FR 48130, July 18, 1980, as amended at 65 of the President to register shall be FR 47670, Aug. 3, 2000; 65 FR 60101, Oct. 10, registered. 2000] § 1615.6 Selective service number. § 1615.2 Responsibility of Director of Every registrant shall be given a se- Selective Service in registration. lective service number. The Social Se- Whenever the President by proclama- curity Account Number will not be tion or other public notice fixes a day used for this purpose. or days for registration, the Director of Selective Service shall take the nec- § 1615.7 Evidence of registration. essary steps to prepare for registration The Director of Selective Service and, on the day or days fixed, shall su- Shall issue to each registrant written pervise the registration of those per- evidence of his registration. The Direc- sons required to present themselves for tor of Selective Service will replace and submit to registration. The Direc- that evidence upon written request of tor of Selective Service shall also ar- the registrant, but such request will range for and supervise the registra- not be granted more often than once in tion of those persons who present any period of six months. themselves for registration at times other than on the day or days fixed for § 1615.8 Cancellation of registration. any registration. The Director of Selective Service may cancel the registration of any par- § 1615.3 Registration procedures. ticular registrant or of a registrant Persons required by selective service who comes within a specified group of law and the Proclamation of the Presi- registrants. dent to register shall be registered in accord with procedures prescribed by § 1615.9 Registration card or form. the Director of Selective Service. For the purposes of these regulations, the terms Registration Card and § 1615.4 Duty of persons required to Registration Form are synonomous. register. A person required by selective service PART 1618—NOTICE TO law to register has the duty: REGISTRANTS (a) To complete the registration process by a method prescribed by the Sec. Director of Selective Service and to 1618.1 Abandonment of rights or privileges. record thereon his name, date of birth, 1618.2 Filing of documents. sex, Social Security Account Number 1618.4 Transmission of orders and other offi- (SSAN), current mailing address, per- cial papers to registrants. manent residence, telephone number, AUTHORITY: Military Selective Service Act, date signed, and signature, if re- 50 U.S.C. App. 451 et seq.; E.O. 11623. quested; and SOURCE: 47 FR 4648, Feb. 1, 1982, unless oth- (b) To submit for inspection, upon re- erwise noted. quest, evidence of his identity to a person authorized to accept the registra- § 1618.1 Abandonment of rights or tion information. Evidence of identity privileges. may be a birth certificate, motor vehi- If a registrant fails to claim and ex- cle operator’s license, student’s identi- ercise any right or privilege within the fication card, United States Passport, required time, he shall be deemed to or a similar document. have abandoned the right or privilege unless the Director of Selective Serv- [45 FR 48130, July 18, 1980, as amended at 65 FR 60101, Oct. 10, 2000] ice, for good cause, waives the time limit.

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§ 1618.2 Filing of documents. facts or circumstances relating to the A document other than a registration postponement, deferment or exemp- card received by an element of the Se- tion; and lective Service System will be consid- (d) Who has a postponement of exam- ered to have been filed on the date that ination, to notify the System imme- it is received: Provided, That a docu- diately of any changes in facts or cir- ment that is received which was trans- cumstances relating to the postpone- mitted by the United States Postal ment. Service (USPS) and was enclosed in a [52 FR 24454, July 1, 1987] cover that bears a legible USPS postmark date will be deemed to have been § 1621.2 Duty to report for and submit received on that date. to induction. § 1618.4 Transmission of orders and When the Director of Selective Serv- other official papers to registrants. ice orders a registrant for induction, it Personnel of the Selective Service shall be the duty of the registrant to System will transmit orders or other report for and submit to induction at official papers addressed to a registrant the time and place ordered unless the by handing them to him personally or order has been canceled. If the time mailing them to him to the current when the registrant is ordered to re- mailing address last reported by him in port for induction is postponed, it shall writing to the Selective Service Sys- be the continuing duty of the reg- tem. istrant to report for and submit to induction at such time and place as he PART 1621—DUTY OF REGISTRANTS may be reordered. Regardless of the time when or the circumstances under Sec. which a registrant fails to report for 1621.1 Reporting by registrants of their cur- induction when it is his duty to do so, rent status. it shall thereafter be his continuing 1621.2 Duty to report for and submit to in- duty from day to day to report for and duction. submit to induction at the place speci- 1621.3 Duty to report for and submit to ex- fied in the order to report for induc- amination. tion. AUTHORITY: Military Selective Service Act, 50 U.S.C. App. 451 et seq.; E.O. 11623. [47 FR 4648, Feb. 1, 1982]

§ 1621.1 Reporting by registrants of § 1621.3 Duty to report for and submit their current status. to examination. Until otherwise notified by the Direc- When the Director orders a reg- tor of Selective Service, it is the duty istrant for examination, it shall be the of every registrant who registered after duty of the registrant to report for and July 1, 1980: submit to examination at the time and (a) To notify the System within 10 place ordered unless the order has been days of any change in the following canceled. If the time when the reg- items of information that he provided istrant is ordered to report for exam- on his registration form: name, current ination is postponed, it shall be the mailing address and permanent resi- continuing duty of the registrant to re- dence address; and port for and submit to examination at (b) To submit to the classifying au- such time and place as he may be reor- thority, all information concerning his dered. Regardless of the time when, or status within 10 days after the date on the circumstances under which a reg- which the classifying authority mails istrant fails to report for examination him a request therefor, or within such when it is his duty to do so, it shall longer period as may be fixed by the thereafter be his continuing duty from classifying authority; and day to day to report for and submit to (c) Who has a postponement of induc- examination at the place specified in tion, or has been deferred or exempted the order to report for examination. from training and service, to notify the System immediately of any changes in [52 FR 8890, Mar. 20, 1987]

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PART 1624—INDUCTIONS registration records are in the master computer file at the beginning of any Sec. day on which orders are issued. Orders 1624.1 Random selection procedures for in- shall be issued in such numbers and at duction. such times as will assure that such call 1624.2 Issuance of induction orders. or requisition is filled. The names con- 1624.3 Age selection groups. tained in the Selective Service System 1624.4 Selection and/or rescheduling of reg- data base on a given day will con- istrants for induction. 1624.5 Order to report for induction. stitute the valid list of registrants 1624.6 Postponement of induction. from which induction orders can be 1624.7 Expiration of deferment or exemp- issued on that day. tion. 1624.8 Transfer for induction. § 1624.3 Age selection groups. 1624.9 Induction into the Armed Forces. 1624.10 Order to report for examination. Age selection groups are established as follows: AUTHORITY: Military Selective Service Act, (a) The age 20 selection group for 50 U.S.C. App. 451 et seq.: E.O. 11623. each calendar year consists of reg- SOURCE: 47 FR 4648, Feb. 1, 1982, unless oth- istrants who have attained or will at- erwise noted. tain the age of 20 in that year. § 1624.1 Random selection procedures (b) The age 21 selection group for for induction. each calendar year consists of registrants who have attained or will at- (a) The Director of Selective Service tain the age of 21 in that year and, in shall from time to time establish a ran- like manner, each age selection group dom selection sequence for induction will be so designated through age group by a drawing to be conducted in the 25. place and on a date the Director shall (c) The age 26 through 34 selection fix. The random selection method shall groups consist of registrants who meet use 365 days, or when appropriate, 366 the following three criteria: days to represent the birthdays (month (1) They have attained or will attain and day only) of all registrants who, the age of 26 through 34, respectively, during the specified calendar year(s) during the calendar year; and attain their 18th year of birth. The drawing, commencing with the first (2) They have been previously ordered day selected, and continuing until all to report for induction but have not 365 days or, when appropriate 366 days been inducted; and are drawn, shall be accomplished im- (3) They have been classified in one partially. The random sequence num- of the following classes: ber thus determined for any registrant (i) Class 1-D-D. shall apply to him so long as he re- (ii) Class 2-D. mains subject to induction for military (iii) Class 3-A. training and service by random selec- (iv) Class 4-B. tion. (v) Class 4-F. (b) The date of birth of the registrant (d) The age 19 selection group for that appears on his Selective Service each calendar year consists of reg- Registration Record on the day before istrants who have attained the age of the lottery is conducted to establish 19 in that year. his random selection sequence will be (e) The age 18 selection group shall conclusive as to his date of birth in all consist of registrants who have at- matters pertaining to his relations tained the age of 18 years and six with the Selective Service System. months and who have not attained the age of 19 years in the order of their § 1624.2 Issuance of induction orders. dates of birth with the oldest being se- The Director of Selective Service, lected first. upon receipt of a call from the Sec- retary of Defense for persons to be in- § 1624.4 Selection and/or rescheduling ducted into the Armed Forces in accord of registrants for induction. with § 1624.4, shall issue orders to re- A registrant in Class 1–A or a reg- port for induction to registrants whose istrant subsequently classified 1–A–0

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shall be selected and ordered or re- dress most recently provided by the scheduled to report for induction in the registrant to the Selective Service Sys- following categories and in the order tem. The date specified to report for in- indicated: Provided, That a registrant duction shall be at least 10 days after who has been identified in accord with the date on which the Order to Report the procedures prescribed by the Direc- for Induction is issued. The filing of a tor of Selective Service as one who will claim for reclassification in accord become a member of one of the fol- with § 1633.2 of this chapter delays the lowing categories on the next January date the registrant is required to re- 1, may, prior to January 1, be selected port for induction until not earlier and ordered to report for induction on than the tenth day after the claim is a date after January 1 as a member of determined to have been abandoned or such category. is finally determined is finally deter- (a) Volunteers for induction in the mined in accord with the provisions of order in which they volunteered. this chapter. A claim is finally deter- (b) Registrants whose postponements mined when the registrant does not have expired in the order of expiration. have the right to appeal the last classi- (c) Registrants who previously have fication action with respect to the been ordered to report for induction claim or he fails to exercise his right to and whose exemptions or deferments appeal. have expired, in the order of their ran- (b) Any person who has been ordered dom sequence number (RSN) estab- for induction who is distant from the lished by random selection procedures address to which the order was sent in accord with § 1624.1 must either report at the time and (d) Registrants in the age 20 selection place specified in the order, or volun- group for the current calendar year in tarily submit himself for induction the order of their random sequence processing at another MEPS on or be- number (RSN) established by random fore the day that he was required to re- selection procedures in accord with port in accordance with his induction § 1624.1. order. (e) Registrants in each succeeding (c) The Director of Selective Service age selection group commencing with may direct the cancellation of any age 21 selection group and terminating Order to Report for Induction at any with the age 34 selection group, in time. turn, within the group, in the order of (d) Any Order to Report for Induction their random sequence number (RSN) issued by the Director of Selective established by random selection proce- Service to a registrant who is an alien, dures in accord with § 1624.1. who has not resided in the United (f) Registrants in the age 19 selection States for one year will be void. Such group for the current calendar year in order will be deemed only to be an the order of their random sequence order to produce evidence of his status. number (RSN) established by random When an alien registrant has been selection procedures in accord with within the United States for two or § 1624.1. more periods (including periods before (g) Registrants in the age 18 year and his registration) and the total of such six months selection group and who periods equals one year, he shall be have not attained the age of 19 in the deemed to have resided in the United order of their date of birth with the States for one year. In computing the oldest being selected first. length of such periods, any portion of one day shall be counted as a day. [47 FR 4648, Feb. 1, 1982, as amended at 52 FR 24455, July 1, 1987] Upon establishing a one year residency, the alien registrant will be assigned to § 1624.5 Order to report for induction. the age selection group corresponding (a) Immediately upon determining to his age. which persons are to be ordered for in- [47 FR 4648, Feb. 1, 1982, as amended at 52 FR duction, the Director of Selective Serv- 24455, July 1, 1987] ice shall issue to each person selected an Order to Report for Induction. The § 1624.6 Postponement of induction. order will be sent to the current ad- (a) [Reserved]

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(b) In the case of the death of a mem- (d) The Director of Selective Service ber of the registrant’s immediate fam- may authorize a delay of induction for ily, extreme emergency involving a any registrant whose date of induction member of the registrant’s immediate conflicts with a religious holiday his- family, serious illness or injury of the torically observed by a recognized registrant, or other emergency beyond church, religious sect or religious orga- the registrant’s control, the Director, nization of which he is a member. Any after the Order to Report for Induction registrant so delayed shall report for has been issued, may postpone for a induction on the next business day fol- specific time the date when such reg- lowing the religious holiday. istrant shall be required to report. The (e) [Reserved] period of postponement shall not ex- (f) The Director of Selective Service ceed 60 days from the date of the induc- may authorize a postponement of in- tion order. When necessary, the Direc- duction to a registrant when: tor may grant one further postpone- (1) The registrant qualifies and is ment, but the total postponement shall scheduled for a State or National ex- not exceed 90 days from the reporting amination in a profession or occupa- date on the induction order. tion which requires certification before (c)(1) Any registrant who is satisfac- being authorized to engage in the prac- torily pursuing a full-time course of in- tice of that profession or occupation; struction at a high school or similar or institution of learning and is issued an (2) The registrant has been accepted order to report for induction shall, in the next succeeding class as a cadet upon presentation of appropriate facts at the U.S. Military Academy, or the in the manner prescribed by the Direc- U.S. Air Force Academy, or the U.S. tor of Selective Service, have his in- Coast Guard Academy; or as a mid- duction postponed: shipman at the U.S. Naval Academy, or (i) Until the time of his graduation the U.S. Merchant Marine Academy; or therefrom; or (3) The registrant is a ROTC applicant who has been designated to par- (ii) Until he attains the twentieth an- ticipate in the next succeeding ROTC niversary of his birth; or field training program prior to enroll- (iii) Until the end of his last aca- ment in the ROTC; or demic year, even if he has attained the (4) The registrant has been accepted twentieth anniversary of his birth; or as a ROTC scholarship student in the (iv) Until he ceases satisfactorily to next succeeding ROTC program at a pursue such course of instruction, college or university. whichever is the earliest. (g) The Director of Selective Service (2) Any registrant who, while satis- shall issue to each registrant whose in- factorily pursuing a full-time course of duction is postponed a written notice instruction at a college, university, or thereof. similar institution of learning, is or- (h) No registrant whose induction has dered to report for induction shall, been postponed shall be inducted into upon the presentation of appropriate the Armed Forces during the period of facts in the manner prescribed by the any such postponement. A postpone- Director of Selective Service, have his ment of induction shall not render in- induction postponed: valid the Order to Report for Induction (i) Until the end of the semester or which has been issued to the reg- term, or in the case of his last aca- istrant, but shall operate only to post- demic year, the end of the academic pone the reporting date, and the reg- year; or istrant shall report on the new date (ii) Until he ceases to satisfactorily scheduled without having issued to him pursue such course of instruction, a new Order to Report for Induction. whichever is the earlier. (i) Any registrant receiving a post- (3) A postponement authorized by ponement under the provisions of this this subsection may be terminated by section, shall, after the expiration of the Director of Selective Service for such postponement, be rescheduled to cause upon no less than 10 days notice report for induction at the place to to the registrant. which he was originally ordered.

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(j) The initial determination of (c) If a registrant fails to report for claims for all postponements is made or complete an examination, the local by area office compensated personnel. board will determine that he has aban- After a denial of a claim for a student doned his claim. postponement, the registrant may re- (d) If a registrant is determined not quest the local board to consider the acceptable for military service, he will claim. Such registrant shall be af- be reclassified in Class 4–F. forded an opportunity to appeal before (e) If a registrant is determined ac- the board in accord with the proce- ceptable for military service, the proc- dures of §§ 1648.4 and 1648.5. essing of his claim will be completed. [47 FR 4648, Feb. 1, 1982, as amended at 52 FR [52 FR 24455, July 1, 1987] 24455, July 1, 1987] PART 1627—VOLUNTEERS FOR § 1624.7 Expiration of deferment or exemption. INDUCTION

The Director shall issue an Order to Sec. Report for Induction to a registrant 1627.1 Who may volunteer. who is liable for induction whenever 1627.2 Registration of volunteers. his deferment or exemption expires. 1627.3 Classification of volunteers. [52 FR 24455, July 1, 1987] AUTHORITY: Military Selective Service Act, 50 U.S.C. App 451 et seq.: E.O. 11623.

§ 1624.8 Transfer for induction. SOURCE: 47 FR 4650, Feb. 1, 1982, unless oth- The Director of Selective Service erwise noted. may direct that a registrant or registrants in a specified group of reg- § 1627.1 Who may volunteer. istrants be transferred for induction to Any registrant who has attained the such MEPS as he may designate. age of 17 years, who has not attained the age of 26 years, and who has not § 1624.9 Induction into the Armed completed his active duty obligation Forces. under the Military Selective Service Registrants in classes 1–A and 1–A–0, Act, when inductions are authorized, who have been ordered for induction may volunteer for induction into the and found qualified under standards Armed Forces unless he; prescribed by the Secretary of Defense, (a) Is classified in Class 4–F or is eli- will be inducted at the MEPS into the gible for Class 4–F; or Armed Forces. (b) Has been found temporarily unacceptable with reexamination believed § 1624.10 Order to report for examina- justified (RBJ) and the period of time tion. specified for his return for examination (a) The Director of Selective Service has not been terminated and the basis may order any registrant in Class 1–A for his temporary rejection continues who has filed a claim for classification to exist; or in a class other than Class 1–A or (c) Is an alien who has not resided in whose induction has been postponed, to the United States for a period of at report for an Armed Forces examina- least one year; or tion to determine acceptability for (d) Has not attained the age of 18 military service. The date specified to years and does not have the consent of report for examination shall be at least his parent or guardian for his induc- 7 days after the date on which the tion. Order to Report for Examination is issued. Such registrant will not be in- § 1627.2 Registration of volunteers. ducted until his claim for reclassifica- (a) If a person who is required to be tion has been decided or abandoned. registered but who has failed to reg- (b) The reporting date for examina- ister volunteers for induction, he shall tion may be postponed for any reason a be registered. reporting date for induction may be (b) In registering a volunteer, the postponed in accord with § 1624.6 (b), (d) area office shall follow the procedure or (f)(1). set forth in § 1615.3 of this chapter.

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§ 1627.3 Classification of volunteers. SOURCE: 47 FR 4651, Feb. 1, 1982, unless otherwise noted. When a registrant who is eligible to volunteer files an Application for Vol- § 1630.2 Classes. untary Induction, he shall be classified Each registrant shall be classified in in Class 1–A and processed for induc- one of the classes prescribed in this tion. part.

PART 1630—CLASSIFICATION RULES § 1630.10 Class 1-A: Available for unrestricted military service. Sec. (a) All registrants available for unre- 1630.2 Classes. stricted military service shall be in 1630.10 Class 1-A: Available for unrestricted military service. Class 1-A. 1630.11 Class 1-A-0: Conscientious objector (b) All registrants in the selection available for noncombatant military groups as determined by the Director service only. of Selective Service are available for 1630.12 Class 1-C: Member of the Armed unrestricted Military Service, except Forces of the United States, the National those determined by a classifying au- Oceanic and Atmospheric Administration thority to be eligible for exemption or or the Public Health Service. deferment from military service or for 1630.13 Class 1-D-D: Deferment for certain noncombatant or alternative service, members of a reserve component or student taking military training. or who have random sequence numbers 1630.14 Class 1-D-E: Exemption of certain (RSNs) determined by the Director not members of a reserve component or stu- to be required to fill calls by the Sec- dent taking military training. retary of Defense. 1630.15 Class 1-H: Registrant not subject to processing for induction. § 1630.11 Class 1-A-0: Conscientious ob- 1630.16 Class 1-O: Conscientious objector to jector available for noncombatant all military service. military service only. 1630.17 Class 1-O-S: Conscientious objector In accord with part 1636 of this chap- to all military service (separated). 1630.18 Class 1-W: Conscientious objector or- ter any registrant shall be palced in dered to perform alternative service. Class 1-A-0 who has been found, by rea- 1630.26 Class 2-D: Registrant deferred be- son of religious, ethical, or moral because of study preparing for the min- lief, to be conscientiously opposed to istry. participation in combatant military 1630.30 Class 3-A: Registrant deferred be- tranining and service in the Armed cause of hardship to dependents. Forces. 1630.31 Class 3-A-S: Registrant deferred because of hardship to dependents (sepa- § 1630.12 Class 1-C: Member of the rated). Armed Forces of the United States, 1630.40 Class 4-A: Registrant who has com- the National Oceanic and Atmos- pleted military service. pheric Administration or the Public 1630.41 Class 4-B: Official deferred by law. Health Service. 1630.42 Class 4-C: Alien or dual national. 1630.43 Class 4-D: Minister of religion. In Class 1-C shall be placed: 1630.44 Class 4-F: Registrant not acceptable (a) Every registrant who is or who for military service. becomes by enlistment or appointment, 1630.45 Class 4-G: Registrant exempted from a commissioned officer, a warrant offi- service because of the death of his parent cer, a pay clerk, an enlisted man or an or sibling while serving in the Armed aviation cadet of the Regular Army, Forces or whose parent or sibling is in a the Navy, the Air Force, the Marine captured or missing in action status. Corps, the Coast Guard, the National 1630.46 Class 4-T: Treaty alien. 1630.47 Class 4-W: Registrant who has com- Oceanic and Atmospheric Administra- pleted alternative service in lieu of in- tion or the Public Health Service. duction. (b) Every registrant who is a cadet, 1630.48 Class 4-A-A: Registrant who has per- United States Military Academy; or formed military service for a foreign na- midshipman, United States Naval tion. Academy; or a cadet, United States Air AUTHORITY: Military Selective Service Act, Force Academy; or cadet, United 50 U.S.C. App. 451 et seq., E.O. 11623. States Coast Guard Academy.

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(c) Every registrant who by induction completion or termination of the becomes a member of the Army of the course of instruction and so long there- United States, the United States Navy, after as he continues in a reserve sta- the United States Marine Corps, the tus upon being commissioned except Air Force of the United States, or the during any period he is eligible for United States Coast Guard. Class 1-C under the provision of (d) Exclusive of periods for training § 1630.12; or only, every registrant who is a member (b) Is a fully qualified and accepted of a reserve component of the Armed aviation cadet applicant of the Army, Forces and is on active duty, and every Navy, or Air Force, who has signed an member of the reserve of the Public agreement of service and is within such Health Service on active duty and as- numbers as have been designated by signed to staff the various offices and the Secretary of Defense. Such reg- bureaus of the Public Health Service istrant shall be retained in Class 1-D-D including the National Institutes of during the period covered by such Health, or assigned to the Coast Guard, agreement but in no case in excess of the Bureau of Prisons of the Depart- four months; or ment of Justice, Environmental Pro- (c) Is other than a registrant referred tection Agency, or the National Oce- to in paragraph (a) or (d) of this section anic and Atmospheric Administration who: or who are assigned to assist Indian (1) Prior to the issuance of orders for tribes, groups, bands, or communities him to report for induction; or pursuant to the Act of August 5, 1954 (2) Prior to the date scheduled for his (68 Stat. 674), as amended. induction and pursuant to a proclama- § 1630.13 Class 1-D-D: Deferment for tion by the Governor of a State to the certain members of a reserve com- effect that the authorized strength of ponent or student taking military any unit of the National Guard of that training. State cannot be maintained by the en- In Class 1-D-D shall be placed any listment or appointment of persons registrant who: who have not been issued orders to re- (a)(1) Has been selected for enroll- port for induction; or ment or continuance in the Senior (en- (3) Prior to the date scheduled for his tire college level) Army Reserve Offi- induction and pursuant to a determina- cer’s Training Corps, or the Air Force tion by the President that the strength Reserve Officer’s Training Corps, or the of the Ready Reserve of the Army Re- Naval Reserve Officer’s Training Corps, serve, Naval Reserve, Marine Corps Re- or the Naval and Marine Corps officer serve, Air Force Reserve, or Coast candidate program of the Navy, or the Guard Reserve cannot be maintained platoon leader’s class of the Marine by the enlistment or appointment of Corps, or the officer procurement pro- persons who have not been issued or- grams of the Coast Guard and the ders to report for induction: Coast Guard Reserve, or is appointed enlists or accepts an appointment be- an ensign, U.S. Naval Reserve while fore attaining the age of 26 years, in undergoing professional training; and the Ready Reserve of any Reserve com- (2) Has agreed in writing to accept a ponent of the Armed Forces, the Army commission, if tendered, and to serve National Guard, or the Air National subject to order of the Secretary of the Guard. Such registrant shall remain el- military department having jurisdic- igible for Class 1-D-D so long as he tion over him (or the Secretary of serves satisfactorily as a member of an Transportation with respect to the organized unit of such Ready Reserve U.S. Coast Guard), not less than 2 years or National Guard, or satisfactorily on active duty after receipt of a com- performs such other Ready Reserve mission; and service as may be prescribed by the (3) Has agreed to remain a member of Secretary of Defense, or serves satis- a regular or reserve component until factorily as a member of the Ready Re- the eighth anniversary of his receipt of serve of another reserve component, a commission. Such registrant shall re- the Army National Guard, or the Air main eligible for Class 1-D-D until National Guard, as the case may be; or

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(d) At any time has enlisted in the § 1630.16 Class 1-O: Conscientious ob- Army Reserve, the Naval Reserve, the jector to all military service. Marine Corps Reserve, the Air Force (a) Any registrant whose accept- Reserve, or the Coast Guard Reserve ability for military service has been and who thereafter has been commis- satisfactorily determined and who, in sioned therein upon graduation from accord with part 1636 of this chapter, an Officer’s Candidate School of such has been found, by reason of religious, Armed Force and has not has been or- ethical, or moral belief, to be conscien- dered to active duty as a commissioned tiously opposed to participation in officer. Such registrant shall remain both combatant and noncombatant eligible for Class 1-D-D so long as he training and service in the Armed performs satisfactory service as a com- Forces shall be classified in Class 1-O. missioned officer in an appropriate (b) Upon the written request of the unit of the Ready Reserve, as deter- registrant filed with his claim for clas- mined under regulations prescribed by sification in Class 1-O, the local board the Secretary of the department con- will consider his claim for classifica- cerned; or tion in Class 1-O before he is examined. (e) Is serving satisfactorily as a If the local board determines that the member of a reserve component of the registrant would qualify for Class 1-O if Armed Forces and is not eligible for he were acceptable for military service, Class 1-D-D under the provisions of any it will delay such classification until other paragraph of this section: Pro- he is found acceptable for military vided: That, for the purpose of this service. Upon the written request of paragraph, a member of a reserve com- such registrant, he will be deemed ac- ponent who is in the Standby Reserve ceptable for military service without or the Retired Reserve shall be deemed examination only for the purpose of to be serving satisfactorily unless the paragraph (a) of this section. Armed Forces of which he is a member informs the Selective Service System [52 FR 8891, Mar. 20, 1987; 52 FR 12641, Apr. 17, that he is not serving satisfactorily. 1987] [52 FR 24455, July 1, 1987] § 1630.17 Class 1-O-S: Conscientious objector to all military service (sep- § 1630.14 Class 1-D-E: Exemption of arated). certain members of a reserve component or student taking military Any registrant who has been sepa- training. rated from the Armed Forces (including their reserve components) by rea- In Class 1-D-E shall be placed any son of conscientious objection to par- registrant who: ticipation in both combatant and non- (a) Is a student enrolled in an officer combatant training and service in the procurement program at a military Armed Forces shall be classified in college the curriculum of which is ap- Class 1-O-S unless his period of mili- proved by the Secretary of Defense; or tary service qualifies him for Class 4-A. (b) Has been enlisted in the Delayed A registrant in Class 1-O-S will be re- Entry Program (DEP) at least ten days quired to serve the remainder of his ob- prior to his scheduled induction date; ligation under the Military Selective or Service Act in Alternative Service. (c) Has been transferred to a reserve component of the Army, Navy, Air [52 FR 8891, Mar. 20, 1987] Force, Marine Corps or Coast Guard § 1630.18 Class 1-W: Conscientious ob- after a period of extended active duty, jector ordered to perform alter- which was not for training only. native service. § 1630.15 Class 1-H: Registrant not sub- In Class 1-W shall be placed any reg- ject to processing for induction. istrant who has been ordered to perform alternative service contributing In Class 1-H shall be placed any reg- to the mainenance of the national istrant who is not eligible for Class 1- health, safety, or interest. A and is not currently subject to processing for induction. [52 FR 24456, July 1, 1987]

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§ 1630.26 Class 2-D: Registrant de- § 1630.31 Class 3-A-S: Registrant deferred because of study preparing ferred because of hardship to de- for the ministry. pendents (separated). In accord with part 1639 of this chap- Any registrant who has been sepa- ter any registrant shall be placed in rated from active military service by Class 2-D who has requested such reason of dependency or hardship shall deferment and: be placed in Class 3-A-S unless his period of military service qualifies him (a) Who is preparing for the ministry for Class 4-A or 1-D-E. No registrant under the direction of a recognized shall be retained in Class 3-A-S for church or religious organization; and more than six months. (b) Who is satisfactorily pursuing a full-time course of instruction required [52 FR 24456, July 1, 1987] for entrance into a recognized theo- § 1630.40 Class 4-A: Registrant who has logical or divinity school in which he completed military service. has been pre-enrolled; or (a) In Class 4-A shall be placed any (c) Who is satisfactorily pursuing a registrant other than a registrant eli- full-time course of instruction in or at gible for classification in Class 1-C, 1- the direction of a recognized theo- D-D, or 1-D-E who is within any of the logical or divinity school; or following categories: (d) Who having completed theological (1) A registrant who was discharged or divinity school is a student in a full- or transferred to a reserve component time graduate program or is a full-time of the Armed Forces for the conven- intern. The registrant’s studies must ience of the Government after having be related to and lead to entry into served honorably on active duty for a service as a regular or duly ordained period of not less than six months in minister of religion, and satisfactory the Army, the Navy, the Air Force, the progress in these studies as required by Marine Corps, or the Coast Guard; or the school in which the registrant is (2) A registrant who has served hon- enrolled must be maintained for con- orably on active duty for a period of not less than one year in the Army, the tinued eligibility for the deferment. Navy, the Air Force, the Marine Corps, § 1630.30 Class 3-A: Registrant de- or the Coast Guard; or ferred because of hardship to de- (3) A registrant who has served on ac- pendents. tive duty for a period of not less than twenty-four months as a commissioned (a) In accord with part 1642 of this officer in the National Oceanic and At- chapter any registrant shall be classi- mospheric Administration or the Pub- fied in Class 3-A: lic Health Service, provided that such (1) Whose induction would result in period of active duty in the Public extreme hardships to his wife when she Health Service as a commissioned Re- alone is dependent upon him for sup- serve Officer shall have been performed port; or by the registrant while assigned to (2) Whose deferment is advisable be- staff any of the various offices and bu- cause his child(ren), parent(s), reaus of the Public Health Service in- grrandparent(s), brother(s), or sister(s) cluding the National Institutes of is dependent upon him for support; or Health, or while assigned to the Coast (3) Whose deferment is advisable be- Guard, or the Bureau of Prisons of the Department of Justice, Environmental cause his wife and his child(ren), par- Protection Agency, or the National ent(s), grandparent(s), brother(s), or Oceanic and Atmospheric Administra- sister(s) are dependent upon him for tion, or who are assigned to assist In- support. dian tribes, groups, bands or commu- (b) The classification of each reg- nities pursuant to the Act of August 5, istrant in Class 3-A will not be granted 1954 (68 Stat. 674), as amended; for a period longer than 365 days. (4) [Reserved] [52 FR 24456, July 1, 1987] (5) A registrant who has completed six years of satisfactory service as a member of one or more of the Armed

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Forces including the Reserve compo- member of a legislative body of the nents thereof. United States or of a State, Territory (b) For the purpose of computation of or Possession; a judge of a court of periods of active duty referred to in record of the United States or of a paragraphs (a) (1), (2), or (3) of this sec- State, Territory or Possession, or the tion, no credit shall be allowed for: District of Columbia. (1) Periods of active duty training performed as a member of a reserve § 1630.42 Class 4-C: Alien or dual na- component pursuant to an order or call tional. to active duty solely for training pur- In Class 4-C shall be placed any reg- poses; or istrant who: (2) Periods of active duty in which (a) Establishes that he is a national the service consisted solely of training of the United States and of a country under the Army specialized training with which the United States has a program, the Army Air Force college treaty or agreement that provides that training program, or any similar pro- such person is exempt from liability for gram under the jurisdiction of the military service in the United States. Navy, Marine Corps, or Coast Guard; or (b) Is an alien and who has departed (3) Periods of active duty as a cadet from the United States prior to being at the United States Military Acad- issued an order to report for induction emy, United States Air Force Acad- or alternative service that has not been emy, or United States Coast Guard canceled. If any registrant who is clas- Academy, or as a midshipman at the sified in Class 4-C pursuant to this United States Naval Academy, or in a paragraph returns to the United States preparatory school after nomination as he shall be classified anew. a principal, alternate, or candidate for (c) Is an alien and who has registered admission to any such academies; or at a time when he was required by the (4) Periods of active duty in any of Selective Service Law to present him- the Armed Forces while being proc- self for and submit to registration and essed for entry into or separation from thereafter has acquired status within any educational program or institute one of the groups of persons exempt referred to in paragraph (b) (2) or (3) of from registration. this section; or (d) Is an alien lawfully admitted for (5) Periods of active duty of members permanent residence as defined in of the Reserve of the Public Health paragraph (2) of section 101(a) of the Service other than when assigned to Immigration and Nationality Act, as staff any of the various offices and bu- amended (66 Stat. 163, 8 U.S.C. 1101), reaus of the Public Health Service, in- and who by reason of occupational sta- cluding the National Institute of tus is subject to adjustment to non- Health, or the Coast Guard or the Bu- immigrant status under paragraph reau of Prisons of the Department of (15)(A), (15)(E), or (15)(G) or section Justice, Environmental Protection 101(a) but who executes a waiver in ac- Agency, or the Environmental Science cordance with section 247(b) of that Act Services Administration, or who are of all rights, privileges, exemptions, assigned to assist Indian tribes, groups, and immunities which would otherwise bands, communities pursuant to the accrue to him as a result of that occu- Act of August 5, 1954 (68 Stat. 674), as pational status. A registrant placed in amended. Class 4-C under the authority of this [47 FR 4651, Feb. 1, 1982, as amended at 52 FR paragraph shall be retained in Class 4- 24456, July 1, 1987] C only for so long as such occupational status continues. § 1630.41 Class 4-B: Official deferred (e) Is an alien and who has not re- by law. sided in the United States for one year, In Class 4-B shall be placed any reg- including any period of time before his istrant who is the Vice President of the registration. When such a registrant United States, a governor of a State, has been within the United States for Territory or possession, or any other two or more periods and the total of official chosen by the voters of the en- such period equals one year, he shall be tire State, Territory or Possession; a deemed to have resided in the United

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States for one year. In computing the Forces of the United States, or died length of such periods, any portion of after that date due to injuries received one day shall be counted as a day. or disease incurred in the line of duty during such service before Janaury 1, § 1630.43 Class 4-D: Minister of reli- 1960. gion. [47 FR 4651, Feb. 1, 1982, as amended at 52 FR In accord with part 1645 of this chap- 24456, July 1, 1987] ter any registrant shall be placed in Class 4-D who is a: § 1630.46 Class 4-T: Treaty alien. (a) Duly ordained minister of religion; or In Class 4-T shall be placed any reg- (b) Regular minister of religion. istrant who is an alien who established that he is exempt from military service § 1630.44 Class 4-F: Registrant not ac- under the terms of a treaty or inter- ceptable for military service. national agreement between the United In Class 4-F shall be placed any reg- States and the country of which he is a istrant who is found by the Secretary national, and who has made applica- of Defense, under applicable physical, tion to be exempted from liability for mental or administrative standards, to training and service in the Armed be not acceptable for service in the Forces of the United States. Armed Forces; except that no such reg- § 1630.47 Class 4-W: Registrant who istrant whose further examination or has completed alternative service re-examination is determined by the in lieu of induction. Secretary of Defense to be justified In Class 4-W shall be placed any reg- shall be placed in Class 4-F until such istrant who subsequent to being or- further examination has been accom- dered to perform alternative service in plished and such registrant continues lieu of induction has been released to be found not acceptable for military from such service after satisfactorily service. performing the work for a period of 24 [52 FR 24456, July 1, 1987] months, or has been granted an early release by the Director of Selective § 1630.45 Class 4-G: Registrant exempt- Service after completing at least 6 ed from service because of the months of satisfactory service. death of his parent or sibling while serving in the Armed Forces or whose parent or sibling is in a cap- § 1630.48 Class 4-A-A: Registrant who tured or missing in action status. has performed military service for a foreign nation. In Class 4-G shall be placed any reg- In Class 4-A-A shall be placed any istrant who, except during a period of registrant who, while an alien, has war or national emergency declared by served on active duty for a period of Congress, is: not less than 12 months in the armed (a) A surviving son or brother: forces of a nation determined by the (1) Whose parent or sibling of the Department of State to be a nation whole blood was killed in action or died with which the United States is associ- in the line of duty while serving in the ated in mutual defense activities and Armed Forces of the United States which grants exemptions from training after December 31, 1959, or died subse- and service in its armed forces to citi- quent to such date as a result of inju- zens of the United States who have ries received or disease incurred in the served on active duty in the Armed line of duty during such service; or Forces of the United States for a period (2) Whose parent or sibling of the of not less than 12 months; Provided: whole blood is in a captured or missing That all information which is sub- status as a result of such service in the mitted to the Selective Service System Armed Forces during any period of concerning the registrant’s service in time; or the armed forces of a foreign nation (b) The sole surviving son of a family shall be written in the English lan- in which the father or one or more sib- guage. lings were killed in action before Janu- ary 1, 1960 while serving in the Armed [52 FR 24456, July 1, 1987]

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PART 1633—ADMINISTRATION OF 1-O-S, 1-W, 3-A-S, 4-A, 4-A-A, 4-B, 4-C, CLASSIFICATION 4-F, 4-G, 4-T or 4-W for which he is eligible upon request by the registrant for Sec. a review of a classification denial ac- 1633.1 Classifying authority. tion under § 1633.1(f). No individual 1633.2 Claim for other than Class 1-A. shall be classified into Class 4-F unless 1633.3 Submission of claims. the Secretary of Defense has deter- 1633.4 Information relating to claims for mined that he is unacceptable for mili- deferment or exemption. 1633.5 Securing information. tary service. 1633.6 Consideration of classes. (f) Compensated employees of an area 1633.7 General principles of classification. office may in accord with § 1633.2 may 1633.8 Basis of classification. classify a registrant into an adminis- 1633.9 Explanation of classification action. trative class for which he is eligible. 1633.10 Notification to registrant of classification action. No individual shall be classified into 1633.11 Assignment of registrant to a local Class 4-F unless the Secretary of De- board. fense has determined that he is unac- 1633.12 Reconsideration of classification. ceptable for military service. AUTHORITY: Military Selective Service Act, [47 FR 4654, Feb. 1, 1982, as amended at 52 FR 50 U.S.C. App. 451 et seq.; E.O. 11623. 24456, July 1, 1987] SOURCE: 47 FR 4654, Feb. 1, 1982, unless otherwise noted. § 1633.2 Claim for other than Class 1-A. § 1633.1 Classifying authority. (a) Any registrant who has received an order to report for induction may, The following officials are authorized to classify registrants into the indi- prior to the day he is scheduled to re- cated classes established by part 1630 of port, submit to the Selective Service this chapter: System a claim that he is eligible to be (a) The Director of Selective Service classified into any class other than may in accord with the provisions of Class 1-A. The registrant may assert a this chapter classify a registrant into claim that he is eligible for more than any class for which he is eligible except one class other than Class 1-A. The reg- Classes 1-A-0, 1-0, 2-D, 3-A, and 4-D: istrant cannot subsequently file a Provided, That, the Director may not claim with respect to a class for which reclassify a registrant other than a vol- he was eligible prior to the day he was unteer for induction, into Class 1-A out originally scheduled to report. Infor- of another class prior to the expiration mation and documentation in support of the registrant’s entitlement to such of claims for reclassification and post- classification. The Director may, be- ponement of induction shall be filed in fore issuing an induction order to a accordance with instructions from the registrant, appropriately classify him Selective Service System. if the Secretary of Defense has cer- (b) Any registrant who has received tified him to be a member of an armed an order to report for induction that force or reserve component thereof. has not been canceled may, at any time (b) The National Selective Service before his induction, submit a claim Appeal Board may in accord with part that he is eligible to be classified into 1653 of this chapter classify a reg- any class other than Class 1-A based istrant into any class for which he is upon events over which he has no con- eligible. (c) A district appeal board may in ac- trol that occurred on or after the day cord with part 1651 of this chapter clas- he was originally scheduled to report sify a registrant into any class for for induction. which he is eligible. (c)(1) Claims will be filed with the (d) A local board may in accord with area office supporting the local board part 1648 of this chapter classify a reg- of jurisdiction. istrant into Class 1-A-0, 1-0, 2-D, 3-A, or (2) Claims will be considered by the 4-D for which he is eligible. local board identified in paragraph (e) A local board may also classify a (c)(1) or its supporting area office as registrant into Class 1-C, 1-D-D, 1-D-E, prescribed in this part.

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(d) The initial determination of § 1633.6 Consideration of classes. claims for all administrative classifica- Claims of a registrant will be consid- tions are made by area office compensated personnel. After a denial of a ered in inverse order of the listing of claim for an administrative classifica- the classes below. When grounds are es- tion the registrant may request the tablished to place a registrant in one local board to consider the claim. or more of the classes listed in the fol- (e) The initial determination of a lowing table, the registrant shall be judgmental classification is made by a classified in the lowest class for which local board. he is determined to be eligible, with (f) A registrant may request and Class 1-A-O considered the highest shall be granted a personal appearance class and Class 1-H considered the low- whenever a local or appeal board con- est class, according to the following siders his claim for reclassification. table: Personal appearances will be held in Class 1-A-O: Conscientious Objector Avail- accord with parts 1648, 1651 and 1653 of able for Noncombatant Military Service this chapter. Only. (g) A registrant who has filed a claim Class 1-O: Conscientious Objector to all for classification in Class 1-A-O or Military Service. Class 1-0 shall be scheduled for a per- Class 1-O-S: Conscientious Objector to all sonal appearance in accord with § 1648.4 Military Service (Separated). before his claim is considered. Class 2-D: Registrant Deferred Because of (h) If granted, a deferment or exemp- Study Preparing for the Ministry. tion supersedes the original order to Class 3-A: Registrant Deferred Because of report for induction. When a deferment Hardship to Dependents. or exemption expires or ends, a new Class 3-A-S: Registrant Deferred Because order to report for induction will be of Hardship to Dependents (Separated). issued. Class 4-D: Minister of Religion. Class 1-D-D: Deferment for Certain Mem- [52 FR 24457, July 1, 1987] bers of a Reserve Component or Student Taking Military Training. § 1633.3 Submission of claims. Class 4-B: Official Deferred by Law. Except as otherwise expressly pro- Class 4-C: Alien or Dual National. vided by the Director, no document re- Class 4-G: Registrant Exempted From lating to any registrant’s claims or po- Service Because of the Death of his Parent tential claims will be retained by the or Sibling While Serving in the Armed Selective Service System and no file Forces or Whose Parent or Sibling is in a relating to a registrant’s possible clas- Captured or Missing in Action Status. sification status will be established Class 4-A: Registrant Who Has Completed prior to that registrant being ordered Military Service. to report for induction. Class 4-A-A: Registrant Who Has Per- formed Military Service For a Foreign Na- § 1633.4 Information relating to claims tion. for deferment or exemption. Class 4-W: Registrant Who Has Completed Alternative Service in Lieu of Induction. The registrant shall be entitled to Class 1-D-E: Exemption of Certain Mem- present all relevant written informa- bers of a Reserve Component or Student tion which he believes to be necessary Taking Military Training. to assist the classifying authority in Class 1-C: Member of the Armed Forces of determining his proper classification; the United States, the National Oceanic and such information may include docu- Atmospheric Administration, or the Public ments, affidavits, and depositions. The Health Service. affidavits and depositions shall be as Class 1-W: Conscientious Objector Ordered concise and brief as possible. to Perform Alternative Service in Lieu of In- duction. § 1633.5 Securing information. Class 4-T: Treaty Alien. The classifying authority is author- Class 4-F-: Registrant Not Acceptable for ized to request and receive information Military Service. whenever such information will assist Class 1-H: Registrant Not Subject to Proc- in determining the proper classifica- essing for Induction. tion of a registrant. [52 FR 24457, July 1, 1987]

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§ 1633.7 General principles of classi- § 1633.11 Assignment of registrant to a fication. local board. (a) Each classified registrant in a se- (a) A registrant is assigned to the lection group is available for unre- local board that has jurisdiction over stricted military service until his eligi- his permanent address that he last fur- bility for noncombatant service, alter- nished the Selective Service System native service, or deferment or exemp- prior to the issuance of his induction tion from service has been determined order. by a classifying authority. (b) The Director may change a reg- (b) The classifying authority in con- istrant’s assignment when he deems it sidering a registrant’s claim for classi- necessary to assure the fair and equi- fication shall not discriminate for or table administration of the Selective against him because of his race, creed, Service Law. color or ethnic background and shall [52 FR 24457, July 1, 1987] not discriminate for or against him because of his membership or activity in § 1633.12 Reconsideration of classifica- any labor, political, religious, or other tion. organization. No classification is permanent. The [47 FR 4654, Feb. 1, 1982, as amended at 52 FR Director of Selective Service may 24457, July 1, 1987] order the reconsideration of any classification action when the facts, upon § 1633.8 Basis of classification. which the classification is based, change or when he finds that the reg- The registrant’s classification shall istrant made a misrepresentation of be determined on the basis of the offi- any material fact related to his claim cial forms of the Selective Service Sys- for classification. No action may be tem and other written information in taken under the preceding sentence of his file, oral statements, if made by the this paragraph unless the registrant is registrant at his personal appearance notified in writing of the impending ac- before the board, and oral statements, tion and the reasons thereof, and is if made by the registrant’s witnesses at given an opportunity to respond in his personal appearance. Any informa- writing within 10 days of the mailing of tion in any written summary of the the notice. If the Director orders a re- oral information presented at a reg- consideration of a classification in ac- istrant’s personal appearance that was cord with this paragraph, the claim prepared by an official of the Selective will be treated in all respects as if it Service System or by the registrant were the original claim for that classi- will be placed in the registrant’s file. fication. The file shall be subject to review by the registrant during normal business PART 1636—CLASSIFICATION OF hours. CONSCIENTIOUS OBJECTORS § 1633.9 Explanation of classification action. Sec. 1636.1 Purpose; definitions. Whenever a classifying authority de- 1636.2 The claim of conscientious objection. nies the request of a registrant for 1636.3 Basis for classification in Class 1-A-0. classification into a particular class or 1636.4 Basis for classification in Class 1-0. classifies a registrant in a class other 1636.5 Exclusion from Class 1-A-0 and Class than that which he requested, it shall 1-0. record the reasons therefor in the reg- 1636.6 Analysis of belief. istrant’s file. 1636.7 Impartiality. 1636.8 Considerations relevant to granting § 1633.10 Notification to registrant of or denying a claim for classification as a classification action. conscientious objector. 1636.9 Types of decisions. The Director will notify the reg- 1636.10 Statement of reasons for denial. istrant of any classification action. AUTHORITY: Military Selective Service Act, [52 FR 24457, July 1, 1987] 50 U.S.C. App. 451 et seq.; E.O. 11623.

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SOURCE: 47 FR 4655, Feb. 1, 1982, unless oth- life of a registrant a place parallel to erwise noted. that filled by belief in a Supreme Being for those holding more traditionally re- § 1636.1 Purpose; definitions. ligious views. (a) The provisions of this part govern (c) A registrant’s objection must be the consideration of a claim by a reg- sincere. istrant for classification in Class 1-A-0 [47 FR 4655, Feb. 1, 1982, as amended at 52 FR (§ 1630.11 of this chapter), or Class 1-0 24457, July 1, 1987] (§ 1630.17 of this chapter). (b) The definitions of this paragraph § 1636.4 Basis for classification in shall apply in the interpretation of the Class 1-0. provisions of this part: (a) A registrant must be conscien- (1) Crystallization of a Registrant’s Be- tiously opposed to participation in war liefs. The registrant’s becoming con- in any form and conscientiously op- scious of the fact that he is opposed to posed to participation in both combat- participation in war in any form. ant and noncombatant training and (2) Noncombatant Service. Service in service in the Armed Forces. any unit of the Armed Forces which is (b) A registrant’s objection may be unarmed at all times; any other mili- founded on religious training and be- tary assignment not requiring the lief; it may be based on strictly reli- bearing of arms or the use of arms in gious beliefs, or on personal beliefs combat or training in the use of arms. that are purely ethical or moral in (3) Noncombatant Training. Any train- source or centent and occupy in the life ing which is not concerned with the of a registrant a place parallel to that study, use, or handling of arms or other filled by belief in a Supreme Being for implements of warfare designed to de- those holding more traditionally reli- stroy human life. gious views. (c) A registrant’s objection must be § 1636.2 The claim of conscientious ob- sincere. jection. A claim to classification in Class 1-A- § 1636.5 Exclusion from Class 1-A-0 0 or Class 1-0, must be made by the reg- and Class 1-0. istrant in writing. Claims and docu- A registrant shall be excluded from ments in support of claims may only be Class 1-A-0 or Class 1-0: submitted after the registrant has re- (a) Who asserts beliefs which are of a ceived an order to report for induction religious, moral or ethical nature, but or after the Director has made a spe- who is found not to be sincere in his as- cific request for submission of such sertions; or documents. All claims or documents in (b) Whose stated objection to partici- support of claims received prior to a pation in war does not rest at all upon registrant being ordered to report for moral, ethical, or religious principle, induction or prior to the Director’s but instead rests solely upon consider- specific request for such documenta- ations of policy, pragmatism, expedition will be returned to the registrant ency, or his own self-interest or well- and no file or record of such submission being; or will be established. (c) Whose objection to participation in war is directed against a particular § 1636.3 Basis for classification in war rather than against war in any Class 1-A-0. form (a selective objection). If a reg- (a) A registrant must be conscien- istrant objects to war in any form, but tiously opposed to participation in also believes in a theocratic, spiritual combatant training and service in the war between the forces of good and Armed Forces. evil, he may not by reason of that be- (b) A registrant’s objection may be lief alone be considered a selective con- founded on religious training and be- scientious objector. lief; it may be based on strictly religious beliefs, or on personal beliefs § 1636.6 Analysis of belief. that are purely ethical or moral in (a) A registrant claiming conscien- source or content and occupy in the tious objection is not required to be a

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member of a peace church or any other convictions were acquired through church, religious organization, or reli- training, study, contemplation, or gious sect to qualify for a 1-A-0 or 1-0 other activity comparable to the proc- classification; nor is it necessary that esses by which traditional religious he be affiliated with any particular convictions are formulated. He must group opposed to participation in war show that these religious, moral, or in any form. ethical convictions, once acquired, (b) The registrant who identifies his have directed his life in the way tradi- beliefs with those of a traditional tional religious convictions of equal church or religious organization must strength, depth, and duration have di- show that he basically adheres to be- rected the lives of those whose beliefs liefs of that church or religious organi- are clearly founded in traditional reli- zation whether or not he is actually af- gious conviction. filiated with the institution whose (f) The registrant need not use formal teachings he claims as the basis of his or traditional language in describing conscientious objection. He need not the religious, moral, or ethical nature adhere to all beliefs of that church or of his beliefs. Board members are not religious organization. free to reject beliefs because they find (c) A registrant whose beliefs are not them incomprehensible or inconsistent religious in the traditional sense, but with their own beliefs. are based primarily on moral or ethical (g) Conscientious objection to par- principle should hold such beliefs with ticipation in war in any form, if based the same strength or conviction as the on moral, ethical, or religious beliefs, belief in a Supreme Being is held by a may not be deemed disqualifying sim- person who is religious in the tradi- ply because those beliefs may influence tional sense. Beliefs may be mixed; the registrant concerning the Nation’s they may be a combination of tradi- domestic or foreign policy. tional religious beliefs and nontradi- tional religious, moral or ethical be- [47 FR 4655, Feb. 1, 1982, as amended at 52 FR liefs. The registrant’s beliefs must play 24457, July 1, 1987] a significant role in his life but should § 1636.7 Impartiality. be evaluated only insofar as they pertain to his stated objection to his par- Boards may not give preferential ticipation in war. treatment to one religion over another, (d) Where the registrant is or has and all beliefs whether of a religious, been a member of a church, religious ethical, or moral nature are to be given organization, or religious sect, and equal consideration. where his claim of a conscientious objection is related to such membership, § 1636.8 Considerations relevant to the board may properly inquire as to granting or denying a claim for classification as a conscientious ob- the registrant’s membership, the reli- jector. gious teachings of the church, religious organization, or religious sect, and the (a) After the registrant has sub- registrant’s religious activity, insofar mitted a claim for classification as a as each relates to his objection to par- conscientious objector and his file is ticipation in war. The fact that the complete, a determination of his sin- registrant may disagree with or not cerity will be made based on: subscribe to some of the tenets of his (1) All documents in the registrant’s church or religious sect does not nec- file folder; and essarily discredit his claim. (2) The oral statements of the reg- (e)(1) The history of the process by istrant at his personal appearance(s) which the registrant acquired his be- before the local and/or appeal board; liefs, whether founded on religious, and moral, or ethical principle is relevant (3) The oral statements of the reg- to the determination whether his stat- istrant’s witnesses, if any, at his per- ed opposition to participation in war in sonal appearance(s) before the local any form is sincere. board; and (2) The registrant must demonstrate (4) The registrant’s general demeanor that his religious, ethical, or moral during his personal appearance(s).

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(b) The registrant’s stated convic- bases his objection on a belief in non- tions should be a matter of conscience. violence. (c) The board should be convinced (2) Care should be exercised that that the registrant’s personal history nervous, frightened, or apprehensive since the crystallization of his con- behavior at the personal appearance is scientious objection is not inconsistent not misconstrued as a reflection of in- with his claim and demonstrates that sincerity. the registrant’s objection is not solely (h) Oral response to questions posed a matter of expediency. A recent crys- by board members should be consistent tallization of beliefs does not in itself with the written statements of the reg- indicate expediency. istrant and should generally substan- (d) The information presented by the tiate the submitted information in the registrant should reflect a pattern of registrant’s file folder; any incon- behavior in response to war and weap- sistent material should be explained by ons which is consistent with his stated the registrant. It is important to rec- beliefs. Instances of violent acts or ognize that the registrant need not be conviction for crimes of violence, or eloquent in his answers. But, a clear employment in the development or inconsistency between the registrant’s manufacturing of weapons of war, if oral remarks at his personal appear- the claim is based upon or supported by ance and his written submission to the a life of nonviolence, may be indicative board may be adequate grounds, if not of inconsistent conduct. satisfactorily explained, for concluding (e) The development of a registrant’s that his claim is insincere. opposition to war in any form may (i) The registrant may submit letters bear on his sincerity. If the registrant of reference and other supporting claims a recent crystallization of be- statements of friends, relatives and ac- liefs, his claim should be supported by quaintances to corroborate the sin- evidence of a religious or educational cerity of his claim, although such sup- experience, a traumatic event, an his- plemental documentation is not essen- torical occasion, or some other special tial to approval of his claim. A finding situation which explains when and how of insincerity based on these letters or his objection to participation in war supporting statements must be care- crystallized. fully explained in the board’s decision, (f) In the event that a registrant has specific mention being made of the par- previously worked in the development ticular material relied upon for denial of or manufacturing of weapons of war of classification in Class 1-A-0 or Class or has served as a member of a military 1-0. reserve unit, it should be determined whether such activity was prior to the [47 FR 4655, Feb. 1, 1982, as amended at 52 FR stated crystallization of the reg- 24457, July 1, 1987; 60 FR 13908, Mar. 15, 1995] istrant’s conscientious objector beliefs. § 1636.9 Types of decisions. Inconsistent conduct prior to the actual crystallization of conscientious The following are the types of deci- objector beliefs is not necessarily in- sions which may be made by a board dicative of insincerity. But, incon- when a claim for classification in Class sistent conduct subsequent to such 1-A-0 or Class 1-0 has been considered. crystallization may indicate that reg- (a) Decision to grant a claim for clas- istrant’s stated objection is not sin- sification in Class 1-A-0 or Class 1-0, as cere. requested, based on a determination (g) A registrant’s behavior during his that the truth or sincerity of the reg- personal appearance before a board istrant’s claim is not refuted by any in- may be relevant to the sincerity of his formation contained in the registrant’s claim. file or obtained during his personal ap- (1) Evasive answers to questions by pearance. board members or the use of hostile, (b) Decision to deny a claim for clas- belligerent, or threatening words or ac- sification in Class 1-A-0 or Class 1-0 tions, for example, may in proper cir- based on all information before the cumstances be deemed inconsistent board, and a finding that such informa- with a claim in which the registrant tion fails to meet the tests specified in

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§ 1636.3 or 1636.4 of this part. If sup- religious organization established on ported by information contained in the the basis of a community of faith and registrant’s file or obtained during his belief, doctrines and practices of a reli- personal appearance the board may gious character, and which engages pri- find that the facts presented by the marily in religious activities. registrant in support of his claim are (3) The term recognized theological or untrue. divinity school refers to a theological or divinity school whose graduates are ac- [47 FR 4655, Feb. 1, 1982, as amended at 53 FR 25328, July 6, 1988] ceptable for ministerial duties either as an ordained or regular minister by § 1636.10 Statement of reasons for de- the church or religious organization nial. sponsoring a registrant as a ministerial (a) Denial of a conscientious objector student. claim by a board must be accompanied (4) The term graduate program refers by a statement specifying the reason(s) to a program in which the registrant’s for such denial as prescribed in §§ 1633.9, studies are officially approved by his 1651.4 and 1653.3 of this chapter. The church or religious organization for reason(s) must, in turn, be supported entry into service as a regular or duly by evidence in the registrant’s file. ordained minister of religion. (b) If a board’s denial is based on (5) The term full-time intern applies to statements by the registrant or on a a program that must run simultaneous determination that the claim is incon- with or immediately follow the com- sistent or insincere, this should be pletion of the theological or divinity fully explained in the statement of rea- training and is required by a recog- sons accompanying the denial. nized church or religious organization for entry into the ministry. (6) The term satisfactorily pursuing a PART 1639—CLASSIFICATION OF full-time course of instruction means REGISTRANTS PREPARING FOR maintaining a satisfactory academic THE MINISTRY record as determined by the institution while receiving full-time instructions Sec. in a structured learning situation. A 1639.1 Purpose; definitions. full-time course of instruction does not 1639.2 The claim for Class 2-D. 1639.3 Basis for classification in Class 2-D. include instructions received pursuant 1639.4 Exclusion from Class 2-D. to a mail order program. 1639.5 Impartiality. 1639.6 Considerations relevant to granting § 1639.2 The claim for Class 2-D. or denying claims for Class 2-D. A claim to classification in Class 2-D 1639.7 Types of decisions. must be made by the registrant in 1639.8 Statement of reason for denial. writing, such document being placed in AUTHORITY: Military Selective Service Act, his file folder. 50 U.S.C. App. 451 et seq.; E.O. 11623.

SOURCE: 47 FR 4657, Feb. 1, 1982, unless oth- § 1639.3 Basis for classification in erwise noted. Class 2-D. (a) In Class 2-D shall be placed any § 1639.1 Purpose; definitions. registrant who is preparing for the (a) The provisions of this part shall ministry under the direction of a rec- govern the consideration of a claim by ognized church or religious organiza- a registrant for classification in Class tion; and 2-D (§ 1630.26 of this chapter). (1) Who is satisfactorily pursuing a (b) The definitions of this paragraph full-time course of instruction required shall apply to the interpretation of the for entrance into a recognized theo- provisions of this part: logical or divinity school in which he (1) The term ministry refers to the vo- has been pre-enrolled or accepted for cation of a duly ordained minister of reli- admission; or gion or regular minister of religion as de- (2) Who is satisfactorily pursuing a fined in part 1645 of this chapter. full-time course of instruction in a rec- (2) The term recognized church or reli- ognized theological or divinity school; gious organization refers to a church or or

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(3) Who, having completed theo- pursuing a full-time course of instruc- logical or divinity school, is a student tion in a recognized theological or di- in a full-time graduate program or is a vinity school; or full-time intern, and whose studies are (4) Current certification to the effect related to and lead toward entry into that the registrant, having completed service as a regular or duly ordained theological or divinity school, is satis- minister of religion. Satisfactory factorily pursuing a full-time graduate progress in these studies as determined program or is a full-time intern, whose by the school in which the registrant is studies are related to and lead toward enrolled, must be maintained for quali- entry into service as a regular or duly fication for the deferment. ordained minister of religion. (b) The registrant’s classification (b) A board may require the reg- shall be determined on the basis of the istrant to obtain from the church, reli- written information in his file folder, gious organization, or school detailed oral statements, if made by the reg- information in order to determine istrant at his personal appearance be- whether or not the theological or di- fore a board, and oral statements, if vinity school is in fact a recognized made by the registrant’s witnesses at school or whether or not the church or his personal appearance. religious organization which is spon- [47 FR 4657, Feb. 1, 1982, as amended at 52 FR soring the registrant is recognized. 24458, July 1, 1987] [47 FR 4657, Feb. 1, 1982, as amended at 52 FR § 1639.4 Exclusion from Class 2-D. 24458, July 1, 1987] A registrant shall be excluded from § 1639.7 Types of decisions. Class 2-D when: (a) He fails to establish that the (a) A board may grant a classifica- theological or divinity school is a rection into Class 2-D until the end of the ognized school; or academic school year. (b) He fails to establish that the (b) Upon the expiration of a 2-D clas- church or religious organization which sification, a board shall review any re- is sponsoring him is so recognized; or quest for extension of the classification (c) He ceases to be a full-time stu- in the same manner as the first request dent; or for Class 2-D. This section does not re- (d) He fails to maintain satisfactory lieve a registrant of his duties under academic progress. § 1621.1 of this chapter. (c) The board may deny a claim for § 1639.5 Impartiality. Class 2-D when the evidence fails to Boards may not give precedence to merit any of the criteria established in any religious organization or school this section. over another, and all are to be given equal consideration. [47 FR 4657, Feb. 1, 1982, as amended at 52 FR 24458, July 1, 1987] § 1639.6 Considerations relevant to granting or denying claims for § 1639.8 Statement of reason for de- Class 2-D. nial. (a) The registrant’s claim for Class 2- (a) Denial of a claim for a ministerial D must include the following: student deferment by a board must be (1) A statement from a church or reli- accompanied by a statement specifying gious organization that the registrant the reason(s) for such denial as pre- is preparing for the ministry under its scribed in §§ 1633.9, 1651.4 and 1653.3 of direction; and this chapter. The reason(s) must in (2) Current certification to the effect turn, be supported by evidence in the that the registrant is satisfactorily registrant’s file. pursuing a full-time course of instruc- (b) If a board’s denial is based on tion required for entrance into a recog- statements by the registrant or his nized theological or divinity school in witnesses at a personal appearance, which he has been pre-enrolled; or this must be fully explained in the (3) Current certification to the effect statement of reasons accompanying that the registrant is satisfactorily the denial.

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PART 1642—CLASSIFICATION OF § 1642.2 The claim for classification in REGISTRANTS DEFERRED BECAUSE Class 3-A. OF HARDSHIP TO DEPENDENTS A claim for classification in Class 3- A must be made by the registrant in Sec. writing. Prior to the consideration of 1642.1 Purpose; definitions. the claim, the registrant shall submit 1642.2 The claim for classification in Class supporting documentation, such docu- 3-A. ments being placed in his file folder. 1642.3 Basis for classification in Class 3-A. 1642.4 Ineligibility for Class 3-A. § 1642.3 Basis for classification in 1642.5 Impartiality. Class 3-A. 1642.6 Considerations relevant to granting (a) In Class 3-A shall be placed any or denying claims for Class 3-A. registrant: 1642.7 Types of decisions. (1) Whose induction would result in 1642.8 Statement of reason for denial. extreme hardship to his wife when she AUTHORITY: Military Selective Service Act, alone is dependent upon him for sup- 50 U.S.C. App. 451 et seq. E.O. 11623. port; or (2) Whose deferment is advisable be- SOURCE: 47 FR 4658, Feb. 1, 1982, unless otherwise noted. cause his child(ren), parent(s), grandparent(s), brother(s), or sister(s) is de- § 1642.1 Purpose; definitions. pendent upon him for support; or (3) Whose deferment is advisable be- (a) The provisions of this part govern cause his wife and child(ren), parent(s), the consideration of a claim by a reg- grandparent(s), brother(s), or sister(s) istrant for classification in Class 3-A are dependent upon him for support. (§ 1630.30 of this chapter). (b) In its consideration of a claim by (b) The following definitions apply to a registrant for classification in Class the interpretation of the provisions of 3-A, the board will first determine this part. whether the registrant’s wife, (1) The term dependent shall apply to child(ren), parent(s), grandparent(s), the wife, child, parent, grandparent, brother(s), or sister(s) is dependent brother or sister of a registrant. upon the registrant for support. Sup- (2) The term child includes an unborn port may be financial assistance, per- child, a stepchild, a foster child or a le- sonal care or companionship. If finan- gally adopted child, who is legitimate cial assistance is the basis of support, or illegitimate, but shall not include the registrant’s contribution must be a any person 18 years of age or older un- substantial portion of the necessities of less he or she is physically or mentally the dependent. Under most cir- handicapped. cumstances 40 to 50% of the cost of the (3) The term parent shall include any necessities may be considered substan- person who has stood in the place of a tial. If that determination is affirma- parent to the registrant for at least 5 tive, the board will determine whether years preceding the 18th anniversary of the registrant’s induction would result the registrant’s date of birth and is in extreme hardship to his wife when now supported in good faith by the reg- she is the only dependent, or whether istrant. the registrant’s deferment is advisable (4) The term brother or sister shall in- because his child(ren), parent(s), grand- clude a person having one or both par- parent(s), brother(s), or sister(s) is de- ents in common with the registrant, pendent upon him for support, or be- who is either under 18 years of age or is cause his wife and his child(ren), par- physically or mentally handicapped. ent(s), grandparent(s), brother(s), or (5) The term support includes but is sister(s) are dependent upon him for not limited to financial assistance. support. A deferment is advisable (6) Hardship is the unreasonable dep- whenever the registrant’s induction rivation of a dependent of the financial would result in hardship to his depend- assistance, personal care or compan- ents. ionship furnished by the registrant (c) The registrant’s classification when that deprivation would be caused shall be determined on the basis of the by the registrant’s induction. written information in his file, oral

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statements, if made by the registrant § 1642.6 Considerations relevant to at his personal appearance before a granting or denying claims for board, and oral statements, if made by Class 3-A. the registrant’s witnesses at his per- (a) The registrant’s claim for Class 3- sonal appearances. A must include the following, with doc- [52 FR 24458, July 1, 1987] umentation, as applicable: (1) Registrant’s and his dependent’s § 1642.4 Ineligibility for Class 3-A. marital status; (a) A registrant is ineligible for Class (2) Physician’s statement concerning 3-A when: any dependent who is physically or (1) He assumed an obligation to his mentally handicapped; dependents specifically for the purpose (3) Employment status of registrant of evading training and service; or and his dependents; and (2) He acquired excessive financial (b) Each case must be weighed care- obligations primarily to establish his fully and decided on its own merits. dependency claim; or § 1642.7 Types of decisions. (3) His dependents would not be de- prived of reasonable support if the reg- (a) A board may grant a classifica- istrant is inducted; or tion into Class 3-A for such period of (4) There are other persons willing time it deems appropriate but in no and able to assume the support of his event the period exceed one year. dependents; or (b) Upon the expiration of a 3-A clas- (5) The dependents would suffer only sification a board shall review any re- normal anguish of separation from the quest for an extension of the classifica- registrant if he is inducted; or tion as if it were the first request for (6) The hardship to a dependent is that classification, and the fact that based solely on financial conditions the registrant was placed in Class 3-A and can be removed by payment and al- under apparently similar cir- lowances which are payable by the cumstances will not be a factor in the United States to the dependents of per- decision of the board. This section does sons who are serving in the Armed not relieve a registrant from his duties Forces; or under § 1621.1 of this chapter. (7) The hardship to the dependent is (c) [Reserved] based upon considerations that can be (d) A board shall deny a claim for eliminated by payments and allow- Class 3-A when the evidence fails to ances which are payable by the United meet the criteria established in this States to the dependents of persons part. who are serving in the Armed Forces. [47 FR 4658, Feb. 1, 1982, as amended at 52 FR (b) [Reserved] 24458, July 1, 1987] [47 FR 4658, Feb. 1, 1982, as amended at 52 FR § 1642.8 Statement of reason for de- 24458, July 1, 1987] nial. § 1642.5 Impartiality. (a) Denial of a claim for Class 3-A by (a) Boards shall consider all ques- a board must be accompanied by a tions in a claim for classification in statement specifying the reason(s) for Class 3-A with equal consideration of such denial as prescribed in §§ 1633.9, race, creed, color, sex or ethnic back- 1651.4 and 1653.3 of this chapter. The ground. reason must in turn, be supported by (b) Boards may not give precedence evidence in the registrant’s file. to one type of dependency hardship (b) If a board’s denial is based on over another. statements by the registrant or his witnesses at a personal appearance, [52 FR 24458, July 1, 1987] this must be fully explained in the statement of reasons accompanying the denial.

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PART 1645—CLASSIFICATION OF (3) The term regular or duly ordained MINISTERS OF RELIGION minister of religion does not include: (i) A person who irregularly or inci- Sec. dentally preaches and teaches the prin- 1645.1 Purpose; definitions. ciples of religion of a church, religious 1645.2 The claim for minister of religion sect, or organization; or classification. (ii) Any person who has been duly or- 1645.3 Basis for classification in Class 4-D. 1645.4 Exclusion from Class 4-D. dained a minister in accordance with 1645.5 Impartiality. the ceremonial rite or discipline of a 1645.6 Considerations relevant to granting church, religious sect or organization, or denying a claim for Class 4-D. but who does not regularly, as a bona 1645.7 Evaluation of claim. fide vocation, teach and preach the 1645.8 Types of decisions. principles of religion and administer 1645.9 Statement of reason for denial. the ordinances of public worship, as AUTHORITY: Military Selective Service Act, embodied in the creed or principles of 50 U.S.C. App. 451 et seq.; E.O. 11623. his church, sect, or organization. SOURCE: 47 FR 4660, Feb. 1, 1982, unless oth- (4) The term vocation denotes one’s erwise noted. regular calling or full-time profession.

§ 1645.1 Purpose; definitions. § 1645.2 The claim for minister of reli- (a) The provisions of this part govern gion classification. the consideration of a claim by a reg- A claim to classification in Class 4-D istrant for classification in Class 4-D must be made by the registrant in (§ 1630.43 of this chapter). writing, such document being placed in (b) The definitions of this paragraph his file folder. shall apply in the interpretation of the provisions of this part: § 1645.3 Basis for classification in (1) The term duly ordained minister of Class 4-D. religion means a person: (i) Who has been ordained in accord- In accordance with part 1630 of this ance with the ceremonial ritual or dis- chapter any registrant shall be placed cipline of a church, religious sect, or in Class 4-D who is a: organization established on the basis of (a) Duly ordained minister of reli- a community of faith and belief, doc- gion; or trines and practices of a religious char- (b) Regular minister of religion. acter; and (ii) Who preaches and teaches the § 1645.4 Exclusion from Class 4-D. doctrines of such church, sect, or orga- A registrant is excluded from Class 4- nization; and D when his claim clearly shows that: (iii) Who administers the rites and (a) He is not a regular minister or a ceremonies thereof in public worship; duly ordained minister; or and (iv) Who, as his regular and cus- (b) He is a duly ordained minister of tomary vocation, preaches and teaches religion in accordance with the cere- the principles of religion; and monial rite or discipline of a church, (v) Who administers the ordinances religious sect or organization, but who of public worship as embodied in the does not regularly as his bona fide vo- creed or principles of such church, sect, cation, teach and preach the principles or organization. of religion and administer the ordi- (2) The term regular minister of reli- nances of public worship, as embodied gion means one who as his customary in the creed or principles of his church, vocation preaches and teaches the prin- sect, or organization; or ciples of religion of a church, a reli- (c) He is a regular minister of religious sect, or organization of which he gion, but does not regularly, as his is a member, without having been for- bona fide vocation, teach and preach mally ordained as a minister of reli- the principles of religion; or gion, and who is recognized by such (d) He is not recognized by the church, sect, or organization as a reg- church, sect, or organization as a regular minister. ular minister of religion; or

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(e) He is a duly ordained minister of (d) If the board determines that the religion but does not administer the or- registrant is a regular minister of reli- dinances of public worship, as em- gion or duly ordained minister of reli- bodied in the creed of his church, sect, gion he shall be classified in Class 4-D. or organization. § 1645.7 Evaluation of claim. § 1645.5 Impartiality. (a) In evaluating a claim for classi- Boards may not give preferential fication in Class 4-D, the board will not treatment to one religion or sect over consider: another and no preferential treatment (1) The training or abilities of the will be given a duly ordained minister registrant for duty as a minister; or over a regular minister. (2) The motive or sincerity of the registrant in serving as a minister. § 1645.6 Considerations relevant to granting or denying a claim for (b) The board should be careful to as- Class 4-D. certain the actual duties and functions of registrants seeking classification in (a) The board shall first determine Class 4-D, such classification being ap- whether the registrant is requesting propriate only for leaders of the var- classification in Class 4-D because he is ious religious groups, not granted to a regular minister of religion or be- members of such groups generally. cause he is a duly ordained minister of (c) Preaching and teaching the prin- religion. ciples of one’s sect, if performed part- (b) If the registrant claims to be a time or half-time, occasionally or ir- duly ordained minister of religion, the regularly, are insufficient to establish board will: eligiblity for Class 4-D. These activi- (1) Determine whether the registrant ties must be regularly performed and has been ordained, in accordance with must comprise the registrant’s regular the ceremonial ritual or discipline of a calling or full-time profession. The church, religious sect, or organization mere fact of some secular employment established on the basis of a commu- on the part of a registrant requesting nity of faith and belief, doctrines and classification in Class 4-D does not in practices of religious character, to itself make him ineligible for that preach and teach the doctrines of such class. church, sect, or organization and to administer the rites and ceremonies (d) The board should request the reg- thereof in public worship; and istrant to furnish any additional infor- (2) Determine whether the registrant mation that it believes will be of as- as his regular, customary, and bona sistance in the consideration of the fide vocation, preaches and teaches the registrant’s claim for classification in principles of religion and administers Class 4-D. the ordinances of public worship, as § 1645.8 Types of decisions. embodied in the creed or principles of the church, sect, or organization by (a) If the board determines that the which the registrant was ordained. registrant is a regular minister of reli- (c) If the registrant claims to be a gion or a duly ordained minister of re- regular minister of religion, the board ligion, he shall be classified in Class 4- will: D. (1) Determine whether the registrant (b) The board will deny a claim for as his customary and regular calling or Class 4-D when the evidence fails to customary and regular full-time pro- meet the criteria established in this fession, preaches and teaches the prin- part. ciples of religion of a church, a religious sect, or organization of which he § 1645.9 Statement of reason for de- is a member, without having been for- nial. mally ordained as a minister of reli- (a) Denial of a 4-D claim by a board gion; and must be accompanied by a statement (2) Determine whether the registrant specifying the reason(s) for such denial is recognized by such church, sect, or as prescribed in §§ 1633.9, 1651.4 and organization as a regular minister. 1653.3 of this chapter. The reason(s)

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must in turn, be supported by evidence requests that the denial of such claim in the registrant’s file. be reviewed by the board. (b) If the board’s denial is based on [47 FR 4661, Feb. 1, 1982, as amended at 52 FR statements by the registrant or his 24458, July 1, 1987] witnesses at a personal appearance or on documentation in the registrant’s § 1648.4 Appointment for personal ap- file, such basis will be fully explained pearances. in the statement of reasons accom- (a) Not less than 10 days (unless the panying the denial. registrant requests an earlier appointment) in advance of the meeting at PART 1648—CLASSIFICATION BY which he may appear, the registrant LOCAL BOARD shall be informed of the time and place of such meeting and that he may Sec. present evidence, including witnesses, 1648.1 Authority of local board. bearing on his classification. 1648.3 Opportunity for personal appear- (b) Should the registrant who has ances. filed a claim for classification in Class 1648.4 Appointment for personal appear- 1-A-O or Class 1-O fail to appear at his ances. scheduled personal appearance, the 1648.5 Procedures during personal appear- board will not consider his claim for ance before the local board. classification in Class 1-A-O or Class 1- 1648.6 Registrants transferred for classifica- O. The board shall consider any written tion. explanation of such failure that has 1648.7 Procedures upon transfer for classi- been filed within 5 days (or extension fication. thereof granted by the board) after AUTHORITY: Military Selective Service Act, such failure to appear. It the board de- 50 U.S.C. App. 451 et seq.; E.O. 11623. termines that the registrant’s failure to appear was for good cause it shall § 1648.1 Authority of local board. reschedule the registrant’s personal ap- A local board shall consider and de- pearance. If the board does not receive termine all claims which it receives in a timely written explanation of the accord with § 1633.2 or § 1648.6 of this registrant’s failure to appear for his chapter. No action shall be taken by scheduled personal appearance or if the the board in the absence of a quorum of board determines that the registrant’s its prescribed membership. failure to appear was not for good cause, the registrant will be deemed to [52 FR 24458, July 1, 1987] have abandoned his claim for Class 1-A- O or 1-O and will be notified that his § 1648.3 Opportunity for personal ap- claim will not be considered. The board pearances. will notify the registrant in writing of (a) A registrant who has filed a claim its action under this paragraph. for classification in Class 1-A-O or (c) Whenever a registrant who has Class 1-O shall be scheduled for a per- filed a claim for a class other than sonal appearance in accord with § 1648.4 Class 1-A-0 or Class 1-0 for whom a per- before his claim is considered. sonal appearance has been scheduled, (b) A registrant who has filed a claim fails to appear in accord with such for classification in Class 2-D, Class 3- schedule, the board shall consider any written explanation of such failure A, or Class 4-D, shall, upon his written that has been filed within 5 days (or ex- request, be afforded an opportunity to tension thereof granted by the board) appear in person before the board be- after such failure to appear. If the fore his claim for classification is con- board determines that the registrant’s sidered. failure to appear was for good cause it (c) Any registrant who has filed a shall reschedule the registrant’s per- claim for classification in an adminis- sonal appearance. If the board does not trative class and whose claim has been receive a timely written explanation of denied, shall be afforded an oppor- the registrant’s failure to appear for tunity to appear before the board if he his scheduled personal appearance or if

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the board determines that the reg- choosing and may confer with the advi- istrant’s failure to appear was not for sor before responding to an inquiry or good cause, the registrant will be statement by the board: Provided, That, deemed to have abandoned his request those conferences do not substantially for personal appearance and the board interfere with or unreasonably delay will proceed to classify him on the the orderly process of the personal ap- basis of the material in his file. The pearance. board will notify the registrant in writ- (g) If, in the opinion of the board, the ing of its action under this paragraph. informal, administrative nature of the [47 FR 4661, Feb. 1, 1982, as amended at 52 FR personal appearance is unduly dis- 24458, July 1, 1987] rupted by the presence of an advisor, the board chairman may require the § 1648.5 Procedures during personal advisor to leave the hearing room. In appearance before the local board. such case, the board chairman shall (a) A quorum of the prescribed mem- put a statement of reasons for his ac- bership of a board shall be present dur- tion in the registrant’s file. ing all personal appearances. Only (h) The making of verbatim tran- those members of the board before scripts, and the using of cameras or whom the registrant appears shall clas- other recording devices are prohibited sify him. in proceedings before the board. This (b) At any such appearance, the reg- does not prevent the registrant or Se- istrant may present evidence, includ- lective Service from making a written ing witnesses; discuss his classifica- summary of all testimony presented. tion; direct attention to any informa- (i) Proceedings before the local tion in his file; and present such fur- boards shall be open to the public only ther information as he believes will as- upon the request of or with the permis- sist the board in determing his proper sion of the registrant. The board chair- classification. The information fur- man may limit the number of persons nished should be as concise as possible. attending the hearing in order to main- (c) The registrant may present the tain order. If during the hearing the testimony of not more than three wit- presence on nonparticipants in the pro- nesses unless it is the judgment of the ceeding becomes disruptive, the chair- board that the testimony of additional man may close the hearing. witnesses is warranted. The registrant [47 FR 4661, Feb. 1, 1982, as amended at 52 FR may summarize in writing, the oral in- 24459, July 1, 1987] formation that he or his witnesses presented. Such summary shall be placed § 1648.6 Registrants transferred for in the registrant’s file. classification. (d) A summary will be made of all (a) Before a board of jurisdiction has oral testimony given by the registrant undertaken the classification of a reg- and his witnesses at his personal ap- istrant, the file may, at his request, be pearance and such summary shall be transferred for classification to a local placed in the registrant’s file. board nearer to his current address (e) If the registrant does not speak than is the local board of jurisdiction. English adequately he may appear with (b) The Director of Selective Service a person to act as interpreter for him. may transfer a registrant to another The interpreter shall be sworn in ac- board for classification at any time cordance with § 1605.81(b). Such inter- when: preter will not be deemed to be a witness unless he testifies in behalf of the (1) A board cannot act on the reg- registrant. istrant’s claim because of disqualifica- (f) During the personal appearance tion under the provisions of § 1605.55 of only the registrant or his witnesses this chapter; or may address the board or respond to (2) He deems such transfer to be nec- questions of the board and only the essary in order to assure equitable ad- registrant and the board will be al- ministration of the Selective Service lowed to address questions to wit- Law. nesses. A registrant may, however, be [47 FR 4661, Feb. 1, 1982, as amended at 52 FR accompanied by an advisor of his 24459, July 1, 1987]

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§ 1648.7 Procedures upon transfer for tion. The registrant who wishes a per- classification. sonal appearance before the district ap- A board to which a registrant is peal board must file the request at the transferred for classification shall clas- same time he files the appeal. sify the registrant in the same manner § 1651.3 Procedures for taking an ap- it would classify a registrant assigned peal. to it. When the classification has been decided by the transfer board, the file (a) When the Director of Selective will be returned to the local board of Service appeals to a district appeal jurisdiction in the manner prescribed board he shall place in the registrant’s by the Director. file a written statement of his reasons for taking such appeal. When an appeal [47 FR 4661, Feb. 1, 1982] is taken by the Director, the registrant will be notified that the appeal has PART 1651—CLASSIFICATION BY been taken, the reason therefor, and DISTRICT APPEAL BOARD that the registrant may appear in person before the appeal board in accord Sec. with § 1651.4(e). 1651.1 Who may appeal to a district appeal (b) The registrant may appeal the board. classification action of the local board 1651.2 Time within which registrants may by filing with it a written notice of ap- appeal. peal. The registrant’s notice of appeal 1651.3 Procedures for taking an appeal. need not be in a particular form but 1651.4 Review by district appeal board. 1651.5 File to be returned after appeal to the must include the name of the reg- district appeal board is decided. istrant and his request. Any notice shall be liberally construed so as to AUTHORITY: Military Selective Service Act, permit the appeal. 50 U.S.C. App. 451 et seq. E.O. 11623. (c) The registrant may also request SOURCE: 47 FR 4662, Feb. 1, 1982, unless oth- an opportunity to appear in person be- erwise noted. fore the district appeal board and such appeal will be considered by the board § 1651.1 Who may appeal to a district appeal board. having jurisdiction over the local board which last classified him. (a) The Director of Selective Service (d) The registrant may attach to his may appeal from any determination of appeal a statement specifying the rea- a local board when he deems it nec- sons he believes the classification ac- essary to assure the fair and equitable tion that he is appealing is inappro- administration of the Selective Service priate, directing attention to any in- Law: Provided, That, no such appeal formation in his file, and setting out will be taken after the expiration of any information relevant to his claim. the appeal period prescribed in § 1651.2. (b) The registrant may appeal to a § 1651.4 Review by district appeal district appeal board the denial of his board. claim for a judgmental classification (a) An appeal to the district appeal by the local board. The registrant may board is determined by the classifica- appeal to a district appeal board the tion of the registrant in a class other denial of his claim for an administra- than 1-A or by its refusal to take such tive classification by the local board action. No action shall be taken by the whenever its decisions is not unani- board in the absence of a quorum of its mous. prescribed membership. [47 FR 4662, Feb. 1, 1982, as amended at 52 FR (b) Prior to the adjudication of an ap- 24459, July 1, 1987] peal, the clerk of the appeal board or any compensated employee authorized § 1651.2 Time within which registrants to perform the administrative duties of may appeal. the board shall review the file to insure The registrant who wishes to appeal that no procedural errors have oc- must file the appeal with his local curred during the history of the cur- board within 15 days after the date he rent claim. Files containing procedural is mailed a notice of classification ac- errors will be returned to the local

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board that classified the registrant for appear in accord with such schedule, any additional processing necessary to the board shall consider any written correct such errors. explanation of such failure that has (c) Files containing procedural errors been filed within 5 days (or extension that were not detected during the ini- thereof granted by the board) after tial screening but which subsequently such failure to appear. If the board de- surfaced during processing by the ap- termines that the registrant’s failure peal board, will be acted on and the to appear was for good cause it shall board will take such action necessary reschedule the registrant’s personal ap- to correct the errors and process the pearance. If the board does not receive appeal to completion. a timely written explanation of the (d) A board shall consider appeals in registrant’s failure to appear for his the order of their having been filed. scheduled personal appearance or if the (e) Upon receipt of the registrant’s board determines that the registrant’s file, a board shall ascertain whether failure to appear was not for good the registrant has requested a personal cause, the registrant will be deemed to appearance before the board. If no such have abandoned his request for per- request has been made, the board may sonal appearance and he will be classi- classify the registrant on the bases of the material in his file. fied on the basis of the material in his (f) Not less than 10 days (unless the file. The board will notify the reg- registrant requests an earlier appoint- istrant in writing of its action under ment) in advance of the meeting at this paragraph. which his classification will be consid- (j) A quorum of the prescribed mem- ered, the board shall inform any reg- bership of a board shall be present dur- istrant with respect to whom the Di- ing all personal appearances. Only rector of Selective Service has ap- those members of the board before pealed or who has requested a personal whom the registrant appears shall clas- appearance that he may appear at such sify him. meeting and present written evidence (k) At any personal appearance, the bearing on his classification. registrant may: Present his oral testi- (g) During the personal appearance, mony; point out the class or classes in only the registrant may address the which he thinks he should have been board or respond to questions of the placed; and direct attention to any in- board. The registrant will not be per- formation in his file. The registrant mitted to present witnesses at the per- may present any additional written in- sonal appearance before the district ap- formation he believes will assist the peal board. A registrant may, however, board in determining his proper classi- be accompanied by an advisor of his fication. The information furnished choosing and may confer with the advi- should be as concise as possible. sor before responding to an inquiry or (l) The registrant may summarize in statement by the board: Provided, That, writing the oral information that he those conferences do not substantially presented. Such summary shall be interfere with or unreasonably delay placed in the registrant’s file. the orderly process of the personal ap- (m) A summary will be made of oral pearance. testimony given by the registrant at (h) If, in the opinion of the board, the his personal appearance and such sum- informal, administrative nature of the mary shall be placed in the registrant’s hearing is unduly disrupted by the file. presence of an advisor during the per- (n) A district appeal board shall clas- sonal appearance, the board chairman may require the advisor to leave the sify a registrant who has requested a hearing room. In such case, the board personal appearance after he: chairman shall put a statement of rea- (1) Has appeared before the board; or sons for his action in the registrant’s (2) Has withdrawn his request to ap- file. pear; or (i) Whenever a registrant who has (3) Has abandoned his right to an op- filed a claim for whom a personal ap- portunity to appear; or pearance has been scheduled, fails to (4) Has failed to appear.

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(o) In considering a registrant’s ap- § 1653.1 Who may appeal to the Presi- peal, a board shall not receive or con- dent. sider any information other than the (a) The Director of Selective Service following: may appeal to the President from any (1) Information contained in the reg- non-unanimous determination of a dis- istrant’s file; and trict appeal board when he deems it (2) Oral statements by the registrant necessary to assure the fair and equi- during the registrant’s personal ap- table administration of the Selective pearance; and Service Law: Provided, That, no such (3) Written evidence submitted by the appeal will be taken after the expira- registrant to the board during his per- tion of the appeal period prescribed in sonal appearance. paragraph (b) of this section. (p) In the event a board classifies the (b) When a registrant has been classi- registrant in a class other than that fied by a district appeal board and one which he requested, it shall record its or more members of the board dis- reasons therefor in the file. sented from that classification, he may (q) The making of verbatim tran- within 15 days after a notice thereof scripts, and the using of cameras or has been mailed, appeal to the Presi- other recording devices are prohibited dent and may request a personal ap- in proceedings before the board. This pearance before the National Selective does not prevent the registrant or Se- Service Appeal Board. lective Service from making a written summary of his testimony. § 1653.2 Procedures for taking an ap- (r) Proceedings before the appeal peal to the President. boards shall be open to the public only (a) When the Director of Selective upon the request of or with the permis- Service appeals to the President he sion of the registrant. The board chair- shall place in the registrant’s file a man may limit the number of persons written statement of his reasons for attending the hearing in order to main- taking such appeal. When an appeal is tain order. If during the hearing the taken by the Director the registrant presence of non-participants in the pro- will be notified that the appeal has ceedings becomes disruptive the chair- been taken, the reasons therefor, and man may close the hearing. that the registrant may appear in per- [47 FR 4662, Feb. 1, 1982, as amended at 52 FR son before the National Board in ac- 24459, July 1, 1987] cord with § 1653.1(b). (b) An appeal to the President by the § 1651.5 File to be returned after ap- registrant shall be taken by filing a peal to the district appeal board is written notice of appeal with the local decided. board that classified him. He may at When the appeal to a district appeal the same time file a written request to board has been decided, the file shall be appear before the National Selective returned as prescribed by the Director Service Appeal Board. Such notice of Selective Service. need not be in any particular form but must state the name of the registrant PART 1653—APPEAL TO THE and the fact that he wishes the Presi- PRESIDENT dent to review the determination. § 1653.3 Review by the National Ap- Sec. peal Board. 1653.1 Who may appeal to the President. 1653.2 Procedures for taking an appeal to (a) An appeal to the President is de- the President. termined by the National Appeal Board 1653.3 Review by the National Appeal by its classification of the registrant in Board. a class other than 1-A or by its refusal 1653.4 File to be returned after appeal to the to take such action. No action shall be President is decided. taken by the board in the absence of a AUTHORITY: Military Selective Service Act, quorum of its prescribed membership. 50 U.S.C. App. 451 et seq.: E.O. 11623. (b) Prior to the adjudication of an ap- SOURCE: 47 FR 4663, Feb. 1, 1982, unless oth- peal, the clerk of the appeal board or erwise noted. any compensated employee authorized

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to perform the administrative duties of the board chairman may require the the board shall review the file to insure advisor to leave the hearing room. In that no procedural errors have oc- such a case, the board chairman shall curred during the history of the cur- put a statement of reasons for his ac- rent claim. Files containing procedural tion in the registrant’s file. errors will be returned to the board (j) Whenever a registrant who has where the errors occurred for any addi- filed a claim for whom a personal ap- tional processing necessary to correct pearance has been scheduled fails to such errors. appear in accord with such schedule, (c) Files containing procedural errors the board shall consider any written that were not detected during the ini- explanation of such failure that has tial screening but which subsequently been filed within five days (or exten- surfaced during processing by the ap- sion thereof granted by the board) after peal board, will be acted on and the such failure to appear. If the board de- board will take such action necessary termines that the registrant’s failure to correct the errors and process the to appear was for good cause it shall appeal to completion. reschedule the registrant’s personal ap- (d) The board shall consider appeals pearance. If the board does not receive in the order of their having been filed. a timely written explanation of the (e) Upon receipt of the registrant’s registrant’s failure to appear for his file, the board shall ascertain whether scheduled personal appearance or if the the registrant has requested a personal board determines that the registrant’s appearance before the board. If no such failure to appear was not for good request has been made, the board may cause, the registrant will be deemed to classify the registrant on the basis of have abandoned his request for per- the material in his file. sonal appearance and the board will (f) The board shall proceed to classify proceed to classify him on the basis of any registrant who has not requested a the material in his file. The registrant personal appearance after the specified will be notified in writing of its action time in which to request a personal ap- under this paragraph. pearance has elapsed. (k) A quorum of the prescribed mem- (g) Not less than 10 days in advance bership of a board shall be present dur- of the meeting at which his claim will ing all personal appearances. Only be considered, the board shall inform those members of the board before any registrant with respect to whom whom the registrant appears shall clas- the Director of Selective Service has sify him. appealed or who has requested a per- (l) At any such appearance, the reg- sonal appearance that he may appear istrant may: Present oral testimony; at such meeting and present written point out the class or classes in which evidence bearing on his classification. he thinks he should have been placed; (h) During the personal appearance and direct attention to any informa- only the registrant may address the tion in his file. The registrant may board or respond to questions of the present such further written informa- board. The registrant will not be per- tion as he believes will assist the board mitted to present witnesses at the per- in determining his proper classifica- sonal appearance before the National tion. The information furnished should Appeal Board. A registrant may, how- be as concise as possible. ever, be accompanied by an advisor of (m) The registrant may summarize in his choosing and may confer with the writing the oral information that he advisor before responding to an inquiry presented and any such summary shall or statement by the board: Provided, be placed in his file. That, those conferences do not sub- (n) A summary will be made of the stantially interfere with or unreason- oral testimony given by the registrant ably delay the orderly process of the at his personal appearance and such personal appearance. summary shall be placed in the reg- (i) If, in the opinion of the board, the istrant’s file. informal, administrative nature of the (o) The board shall classify a reg- personal appearance is unduly dis- istrant who has requested a personal rupted by the presence of an advisor, appearance after he:

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(1) Has appeared before the National 1656.7 Employer responsibilities. Board; or 1656.8 Employment agreements. (2) Has withdrawn his request to ap- 1656.9 Alternative service worker’s respon- pear; or sibilities. (3) Has waived his right to an oppor- 1656.10 Job placement. tunity to appear; or 1656.11 Job performance standards and sanc- (4) Has failed to appear. tions. (p) Whenever the National Board or 1656.12 Job reassignment. the panel thereof to which a case has 1656.13 Review of alternative service job assignments. been assigned cannot act on the case of 1656.14 Postponement of reporting date. a registrant, and there is no other 1656.15 Suspension of order to perform alter- panel of the National Board to which native service because of hardship to de- the case may be transferred, the deci- pendents. sion of the District Appeal Board will 1656.16 Early release—grounds and proce- be final. dures. (q) In considering a registrant’s ap- 1656.17 Administrative complaint process. peal, the board shall not receive or con- 1656.18 Computation of creditable time. sider any information other than the 1656.19 Completion of alternative service. following: 1656.20 Expenses for emergency medical (1) Information contained in the reg- care. istrant’s file; and AUTHORITY: Sec. 6(j) Military Selective (2) Oral statements by the registrant Service Act; 50 U.S.C. App. 456(j). at the registrant’s personal appearance; and SOURCE: 48 FR 16676, Apr. 19, 1983, unless (3) Written evidence submitted by the otherwise noted. registrant to the board during his per- § 1656.1 Purpose; definitions. sonal appearance. (r) In the event that the board classi- (a) The provisions of this part govern fies the registrant in a class other than the administration of registrants in that which he requested, it shall record Class 1-W and the Alternative Service its reasons therefor in his file. Program. (s) The making of verbatim tran- (b) The definitions of this paragraph scripts, and the using of cameras or shall apply in the interpretation of the other recording devices are prohibited provisions of this part: in proceedings before the board. This (1) Alternative Service (AS). Civilian does not prevent the registrant or Se- work performed in lieu of military lective Service from making a written service by a registrant who has been summary of his testimony. classified in Class 1-W. (t) Proceedings before the National (2) Alternative Service Office (ASO). An Appeal Board are closed to the public. office to administer the Alternative [47 FR 4663, Feb. 1, 1982, as amended at 52 FR Service Program in a specified geo- 24459, July 1, 1987] graphical area. (3) Alternative Service Office Manager § 1653.4 File to be returned after ap- (ASOM). The head of the ASO. peal to the President is decided. (4) Alternative Service Work. Civilian When the appeal to the President has work which contributes to the mainte- been decided, the file shall be returned nance of the national health, safety or as prescribed by the Director of Selec- interest, as the Director may deem ap- tive Service. propriate. (5) Alternative Service Worker (ASW). A PART 1656—ALTERNATIVE SERVICE registrant who has been found to be qualified for service and has been or- Sec. dered to perform alternative service 1656.1 Purpose; definitions. (Class 1-W). 1656.2 Order to perform alternative service. (6) Creditable Time. Time that is 1656.3 Responsibility for administration. counted toward an ASWs fulfillment of 1656.4 Alternative Service Office: jurisdiction and authority. his alternative service obligation. 1656.5 Eligible employment. (7) Director. The Director of Selective 1656.6 Overseas assignments. Service, unless used with a modifier.

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(8) Employer. Any institution, firm, duction conflicts with a religious holi- agency or corporation engaged in law- day historically observed by a recog- ful activity in the United States, its nized church, religious sect or religious territories or possessions, or in the organization of which he is a member. Commonwealth of Puerto Rico, that Any registrant so delayed shall report has been approved by Selective Service for alternative service on the next to employ ASWs. business day following the religious (9) Job Assignment. A job with an eli- holiday. gible employer to which an ASW is as- (d)(1) Any registrant who is satisfac- signed to perform his alternative serv- torily pursuing a full-time course of in- ice. struction at a high school or similar (10) Job Bank. A current inventory of institution of learning and is issued an alternative service job openings. order to perform alternative service (11) Job Matching. A comparison of shall, upon presentation of appropriate the ASW’s work experience, education, facts in the manner prescribed by the training, special skills, and work pref- Director of Selective Service, have his erences with the requirements of the date to report to perform alternative positions in the job bank. service postponed: (12) Job Placement. Assignment of the (i) Until the time of his graduation ASW to alternative service work. therefrom; or (13) Open Placement. The assignment (ii) Until he attains the twentieth an- of ASWs without employer interview to niversary of his birth; or employers who have agreed to employ (iii) Until the end of his last aca- all ASWs assigned to them up to an demic year, even if he has attained the agreed number. twentieth anniversary of his birth; or [48 FR 16676, Apr. 19, 1983, as amended at 69 (iv) Until he ceases satisfactorily to FR 20544, Apr. 16, 2004] pursue such course of instruction, whichever is the earliest. § 1656.2 Order to perform alternative (2) Any registrant who, while satis- service. factorily pursuing a full-time course of (a) The local board of jurisdiction instruction at a college, university or shall order any registrant who has been similar institution of learning, is or- classified in Class 1-O or 1-O-S to per- dered to perform alternative service form alternative service at a time and shall, upon the presentation of appro- place to be specified by the Director. priate facts in the manner prescribed (b) When the local board orders a reg- by the Director of Selective Service, istrant to perform alternative service, have his date to report to perform al- it shall be the duty of the registrant to ternative service. report for and perform alternative (i) Until the end of the semester or service at the time and place ordered term, or in the case of his last aca- unless the order has been canceled. If demic year, the end of the academic the time when the registrant is ordered year; or to report for alternative service is (ii) Until he ceases to satisfactorily postponed, it shall be the continuing pursue such course of instruction, duty of the registrant to report for and whichever is the earlier. perform alternative service at such (e) After the order to perform alter- time and place as he may be reordered. native service has been issued, the Di- Regardless of the time when or the cir- rector may postpone for a specific time cumstances under which a registrant the date when such registrant is re- fails to report for and perform alter- quired to report in the following cir- native service when it is his duty to do cumstances: so, it shall thereafter be his continuing (1) In the case of the death of a mem- duty from day to day to report for and ber of the registrant’s immediate fam- perform alternative service at the ily, extreme emergency involving a place specified in the order to report member of the registrant’s immediate for and perform alternative service. family, serious illness or injury of the (c) The Director may authorize a registrant, or other emergency beyond delay of reporting for alternative serv- the registrant’s control. The period of ice for any registrant whose date of in- postponement shall not exceed 60 days

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from the date of the order to perform (10) Refer to the Department of Jus- alternative service. When necessary, tice, when appropriate, any ASW who the Director may grant one further fails to perform satisfactorily his alter- postponement but the total postpone- native service; ment shall not exceed 90 days from the (11) Perform all other functions nec- reporting date on the order to perform essary for the administration of the Al- alternative service. ternative Service Program; and (2) When the registrant qualifies and (12) Delegate any of his authority to is scheduled for a State or National ex- such office, agent or person as he may amination in a profession or occupa- designate and provide as appropriate tion which requires certification before for the subdelegation of such author- being authorized to engage in the prac- ity. tice of that profession or occupation. (b) The Region Director shall be re- (f) The Director shall issue to each sponsible for the administration and registrant whose reporting date to per- operation of the Alternative Service form alternative service is postponed a Program in his Region as prescribed by written notice thereof. the Director. (g) A postponement of reporting date (c) The State Director shall perform to perform alternative service shall not duties for the administration and oper- render invalid the order to report for ation of the Alternative Service Pro- alternative service which has been gram in his State as prescribed by the issued to the registrant, but shall oper- Director. ate only to postpone the reporting (d) The ASOM shall perform duties date, and the registrant shall report on for the administration and operation of the new date scheduled without having the Alternative Service Program as issued to him a new order to report for prescribed by the Director. alternative service. (1) The ASO shall be an office of (h) Any registrant receiving a post- record that is responsible for the ad- ponement under the provisions of this ministration and operation of the Al- section, shall, after the expiration of ternative Service Program in its as- such postponement, be rescheduled to signed geographical area of jurisdic- report for alternative service at the tion. place to which he was originally or- (2) The staff of each ASO shall con- dered. sist of as many compensated employees [52 FR 8891, Mar. 20, 1987] as shall be authorized by the Director. (3) Appointment of civilians to ASO § 1656.3 Responsibility for administra- positions requiring direct dealing with tion. ASWs will be made as soon as feasible. (a) The Director in the administra- (e) The manager of an area office tion of the Alternative Service Pro- shall perform duties for Alternative gram shall establish and implement ap- Service as prescribed by the Director. propriate procedures to: (1) Assure that the program complies [48 FR 16676, Apr. 19, 1983, as amended at 69 with the Selective Service Law; FR 20544, Apr. 16, 2004] (2) Provide information to ASWs § 1656.4 Alternative Service Office: ju- about their rights and duties; risdiction and authority. (3) Find civilian work for ASWs; (4) Place ASWs in jobs approved for (a) Jurisdiction over the ASW will be alternative service; transferred from the area office imme- (5) Monitor the work performance of diately after his classification in Class ASWs placed in the program; 1-W to the ASO that administers the (6) Order reassignment and authorize Alternative Service Program in the job separation; area in which he is assigned to perform (7) Issue certificates of completion; alternative service. (8) Specify the location of Alter- (b) The ASO shall: native Service Offices; (1) Evaluate and approve jobs and (9) Specify the geographical area in employers for Alternative Service; which the ASOs shall have jurisdiction (2) Order the ASW to report for alter- over ASWs; native service work;

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(3) Issue such orders as are required medial programs and scientific re- to schedule the ASW for job interviews; search; (4) Issue such orders as are required (iii) Environmental programs, includ- to schedule the ASW for job placement; ing but not limited to conservation and (5) Monitor the ASW’s job perform- firefighting, park and recreational ac- ance; tivities, pollution control and moni- (6) Issue a certificate of satisfactory toring systems, and disaster relief; completion of the ASW’s Alternative (iv) Social services, including but not Service obligation; limited to sheltered or handicapped (7) Return the ASW to the jurisdic- workshops, vocational training or re- tion of the area office from which he training programs, senior citizens ac- was directed to perform Alternative tivities, crisis intervention and poverty Service; and relief; (8) Perform such other actions the (v) Community services, including Director may authorize as necessary to but not limited to fire protection, pub- administer the Alternative Service lic works projects, sanitation services, Program. school or public building maintenance, correctional facility support programs, § 1656.5 Eligible employment. juvenile rehabilitation programs, and (a) The Director will determine in ac- (vi) Agricultural work. cordance with the Selective Service (b) An organization desiring to em- Law which civilian employment pro- ploy ASWs is encouraged to submit a grams or activities are appropriate for request in writing to the Director or an Alternative Service work. ASOM for approval. Such requests will (1) Employers which are considered be considered at any time. appropriate for Alternative Service as- (c) Selective Service shall negotiate signments are limited to: employment agreements with prospec- (i) The U.S. Government or a state, tive employers with the objective of territory or possession of the United obtaining an adequate number of States or a political subdivision there- agreements to assure the timely place- of, the District of Columbia or the ment of all ASWs. Participating em- Commonwealth of Puerto Rico; ployers will provide prospective job (ii) Organizations, associations or listings to Selective Service. corporations primarily engaged either (d) Selective Service shall also nego- in a charitable activity conducted for tiate employment agreements with eli- the benefit of the general public or in gible employers wherein the employer carrying out a program for the im- will agree to hire a specified number of provement of the public health, welfare ASWs for open placement positions. or environment, including educational (e) A registrant classfied in Class 1-O and scientific activities in support or Class 1-O-S may seek his own alter- thereof, when such activity or program native service work by identifying a is not principally for the benefit of the job with an employer he believes would members of such organization, associa- be appropriate for Alternative Service tion or corporation or for increasing assignments and by having the em- the membership thereof. ployer advise the ASO in writing that (2) Employment programs or activi- he desires to employ the ASW. The ac- ties generally considered to be appro- ceptability of the job and employer so priate for Alternative Service work in- identified will be evaluated in accord- clude: ance with § 1656.5(a). (i) Health care services, including but [48 FR 16676, Apr. 19, 1983, as amended at 51 not limited to hospitals, nursing FR 17627, May 14, 1986; 52 FR 8892, Mar. 20, homes, extended care facilities, clinics, 1987; 54 FR 27001, June 27, 1989] mental health programs, hospices, community outreach programs and § 1656.6 Overseas assignments. hotlines; Alternative Service job assignments (ii) Educational services, including outside the United States, its terri- but not limited to teachers, teacher’s tories or possessions or the Common- aides, counseling, administrative sup- wealth of Puerto Rico, will be allowed port, parent counseling, recreation, re- when:

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(a) The employer is deemed eligible produces substantial evidence of viola- to employ ASWs and is based in the tions of § 1656.7, Selective Service will United States, its territories or posses- resolve the matter. sions, or the Commonwealth of Puerto (d) Termination of Employment Agree- Rico; ment. If a resolution of a dispute can- (b) The job meets the criteria listed not be reached by negotiation within a in § 1656.5(a); reasonable time, the Selective Service (c) The ASW and the employer sub- System shall terminate the employ- mit a joint application to Selective ment agreement and shall reassign the Service for the ASW to be employed in ASW. a specific job; (d) The employer satisfies Selective § 1656.9 Alternative service worker’s Service that the employer has the ca- responsibilities. pability to supervise and monitor the (a) A registrant classified in Class 1- overseas work of the ASW; and W is required to comply with all orders (e) International travel is provided issued under this part. without expense to Selective Service. (b) A registrant classified in Class 1- W is liable to perform 24 months of § 1656.7 Employer responsibilities. creditable time toward completion of Employers participating in the Alter- Alternative Service, unless released native Service Program are responsible earlier by the Director. for: (a) Complying with the employment § 1656.10 Job placement. agreement with Selective Service; (a) Selective Service will maintain a (b) Providing a clear statement of du- job bank for the exclusive purpose of ties, responsibilities, compensation and placing ASWs in alternative service employee benefits to the ASW; jobs. (c) Providing full-time employment (b) An ASW who has identified his for ASWs; own job in accordance with § 1656.5(e) of (d) Assuring that wages, hours and this part may be assigned by the ASO working conditions of ASWs confrom in that job pending review of the job by with Federal, state and local laws; Selective Service. If the job is then ap- (e) Providing adequate supervision of proved as Alternative Service Work in ASWs in their employ; and accordance with § 1656.5(a) the ASW (f) Providing nondiscriminatory will receive creditable time beginning treatment of ASWs in their employ. with the date he was placed on the job by Selective Service. If the job is not § 1656.8 Employment agreements. approved he will not receive creditable (a) Nature of Agreement. Before any time and will be placed by Selective ASW is placed with an employer, Selec- Service in a position approved for Al- tive Service and the employer shall ternative Service Work. Selective enter into an employment agreement Service must review the job within 30 that specifies their respective duties calendar days of the time it assigned and responsibilities under the Alter- the ASW to begin work. If the elapsed native Service Program. time from date of placement to the (b) Restrictions on Selective Service. date of Selective Service review ex- The Selective Service System shall not ceeds 30 days, the ASW will receive act in any controversy involving creditable time from the date of place- ASW’s wages, hours and working condi- ment regardless of the final determinations except to the extent any of these tion of employer eligibility made by subjects is specifically covered in Selective Service. If the placement is § 1656.7, § 1656.9, or the employment ultimately determined to be inappro- agreement between Selective Service priate for Alternative Service the ASW and the employer. will be reassigned in accordance with (c) Investigating and Negotiating. § 1656.12. Whenever there is evidence that an em- (c) In making job interview referrals ployer appears to be in violation of and in making assignments of ASWs to § 1656.7, Selective Service will inves- jobs, Selective Service will consider tigate the matter. If the investigation the compatibility of the ASW’s skills,

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work experience, and preferences with § 1656.12 Job reassignment. the qualification criteria for the job. (a) Grounds for Reassignment. The Di- (d) When An ASW is hired, the ASO rector may reassign an ASW whenever will issue a Job Placement Order speci- the Director determines that: fying the employer, the time, date and (1) The job assignment violates the place to report for his alternative serv- ASW’s religious, moral or ethical be- ice work. liefs or convictions as to participation (e) The ASO will normally place the in a war that led to his classification ASW in an alternative service job with- as a conscientious objector or violates in 30 calendar days after classification § 1656.5(a) of this part. in Class 1-W. (2) An ASW experiences a change in his mental or physical condition which § 1656.11 Job performance standards renders him unfit or unable to continue and sanctions. performing satisfactorily in his as- (a) Standards of Performance. An ASW signed job; is responsible for adhering to the (3) An ASW’s dependents incur a standards of conduct, attitude, appear- hardship which is not so severe as to ance and performance demanded by the justify a suspension of the Order to employer of his other employees in Perform Alternative Service under similar jobs. If there are no other em- § 1656.15; ployees, the standards shall conform to (4) The ASW’s employer ceases to op- those that are reasonable and cus- erate an approved program or activity; tomary in a similar job. (5) The ASW’s employer fails to com- (b) Failure to Perform. An ASW will be ply with terms and conditions of these deemed to have failed to perform satis- regulations or; factorily whenever: (6) Continual and severe differences (1) He refuses to comply with an between the ASW’s employer and ASW order of the Director issued under this remain unresolved. part; (7) The sanctions authorized in (2) He refuses employment by an ap- § 1656.11 should be applied. proved employer who agrees to hire (b) Who May Request Reassignment. him; Any ASW may request reassignment to (3) His employer terminates the another job. An employer may request ASW’s employment because his con- job reassignment of an ASW who is in duct, attitude, appearance or perform- his employ. ance violates reasonable employer (c) Method for Obtaining a Reassign- standards; or ment. All requests for reassignment (4) He quits or leaves his job without must be in writing with the reasons reasonable justification, and has not specified. The request may be filed submitted an appeal of his job assign- with the ASO of jurisdiction at any ment to the District Appeal Board. time during an ASW’s alternative service employment. An ASW must con- (c) Sanctions for ASW’s Failure to Per- tinue in his assigned job, if available, form. (1) The sanctions for failure to until the request for assignment is ap- meet his Alternative Service obliga- proved. tion are job reassignment, loss of creditable time during such period and re- § 1656.13 Review of alternative service ferral to the Department of Justice for job assignments. failure to comply with the Military Se- (a) Review of ASW job assignments lective Service Act. will be accomplished in accordance (2) Prior to invoking any of the sanc- with the provisions of this subsection. tions discussed herein, the ASO will (b) Whenever the ASW believes that conduct a review as prescribed in his job assignment violates his reli- § 1656.17 of all allegations that an ASW gious, moral or ethical beliefs or con- has failed to perform pursuant to any victions as to participation in war that of the provisions of § 1656.11(b). led to his classification as a conscien- [48 FR 16676, Apr. 19, 1983, as amended at 69 tious objector or is in violation of the FR 20544, Apr. 16, 2004] provisions of this part he may request

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a reassignment by the ASOM, as pro- § 1656.14 Postponement of reporting vided for in § 1656.12. date. (c) The ASOM shall reassign the ASW (a) General. The reporting date in any if the ASOM concludes that the ASW’s of the following orders may be post- work assignment violates his religious, poned in accord with this section. moral or ethical beliefs or convictions (1) Report for Job Placement; as to participation in war which led to (2) Report for a Job Interview; or his classification as a CO or is in viola- (3) Report to an Employer to Com- tion of the provisions of this part. mence Employment. (d) If the ASOM does not reassign the (b) Requests for Postponement. A re- ASW, the ASW may, within 15 days quest for postponement of a reporting after the date of mailing of the deci- date specified in an order listed in sion of the ASOM, request a review of paragraph (a) must be made in writing his job assignment by a District Appeal and filed prior to the reporting date Board. with the office which issued the order. (e) It shall be the function of the Dis- Such requests must include a state- trict Appeal Board to determine wheth- ment of the nature of the emergency er or not an ASW’s job assignment vio- and the expected period of its duration. lates the ASW’s religious, moral, or (c) Grounds for Postponement. An ASW ethical beliefs of convictions as to par- may, upon presentation of the appro- ticipation in war which led to his clas- priate facts in his request, be granted a sification as a conscientious objector postponement based on one or more of or is in violation of the provisions the following conditions: § 1656.5(a) of this part. In making the (1) The death of a member of his im- former determination, the Review mediate family; Board must be convinced by the ASW (2) An extreme emergency involving that if the ASW performed the job, his a member of his immediate family; convictions as to participation in war (3) His serious illness or injury; or would be violated in a similar way as if (4) An emergency condition directly the ASW had participated in war. affecting him which is beyond his con- (f) The District Appeal Board may af- trol. firm the assignment or order the reas- (d) Basis for Considering Request. The signment of the ASW in any matter ASW’s eligibility for a postponement considered by it. shall be determined by the office of ju- (g) Procedures of the District Appeal risdiction based upon official docu- Board are: ments and other written information (1) Appeals to the Board shall be in contained in his file. Oral statements writing, stating as clearly as possible made by the ASW or made by another the ground for the appeal. person in support of the ASW shall be (2) The ASW may appear before the reduced to writing and placed in the Board at his request. He may not be ASW’s file. represented by counsel or present wit- (e) Duration of Postponement. The ini- nesses. The ASOM or his representative tial postponement shall not exceed 60 may represent the Selective Service days from the reporting date in the System at the hearing and present evi- order. When necessary, the Director dence. may grant one further postponement, (3) The Board’s determination will be but the total postponement period based on all documents in the ASW’s shall not exceed 90 days from the re- file folder and statements made at the porting date in the order invovled. hearing. (f) Termination of Postponement. (1) A (4) The decision of the Board will be postponement may be terminated by binding only in the case before it. A de- the Director for cause upon no less cision of a Board will not be relied than ten days written notice to the upon by a Board in any other case. ASW. (5) A decision of the Board is not sub- (2) Any postponement shall be termi- ject to review within the Selective nated when the basis for the postpone- Service System. ment has ceased to exist. [48 FR 16676, Apr. 19, 1983, as amended at 69 (3) It is the responsibility of the ASW FR 20544, Apr. 16, 2004] promptly to notify in writing the office

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that granted the postponement when- (c) Local boards shall follow the pro- ever the basis for which his postpone- cedures established in parts 1642 and ment was granted ceases to exist. 1648 of this chapter to the extent they (g) Effect of Postponement. A post- are applicable in considering a request ponement of the reporting date in an for the suspension of an Order to Per- order shall not render the order inform Alternative Service. valid, but shall only serve to postpone the date on which the ASW is to re- § 1656.16 Early release—grounds and port. The ASW shall report at the expi- procedures. ration or termination of the postpone- (a) General Rule of Service Completion. ment. An ASW will not be released from al- (h) Religious Holiday. The Director ternative service prior to completion of may authorize a delay of reporting 24 months of creditable service unless under any of the orders specified for an granted an early release. ASW whose date to report conflicts (b) Reasons For Early Release. The Di- with a religious holiday historically rector may authorize the early release observed by a recognized church, reli- of an ASW whenever the ASO deter- gious sect or religious organization of mines that the ASW: which he is a member. Any ASW so de- (1) Has failed to meet the perform- layed shall report on the next business ance standards of available alternative day following the religious holiday. service employment because of physical, mental or moral reasons; § 1656.15 Suspension of order to per- (2) No longer meets the physical, form alternative service because of mental or moral standards that are re- hardship to dependents. quired for retention in the Armed (a) Whenever, after an ASW has Forces based on a physical or mental begun work, a condition develops that examination at a MEPS or other loca- results in hardship to his dependent as tion designated by Selective Service; contemplated by § 1630.30(a) of this (3) Is planning to return to school chapter which cannot be alleviated by and has been accepted by such school his reassignment under § 1656.12 (a)(3) of and scheduled to enter within 30 days this part, the ASW may request a sus- prior to the scheduled completion of pension of Order to Perform Alter- his alternative service obligation; native Service. If the local board that (4) Has been accepted for employ- ordered the ASW to report for Alter- ment and that such employment will native Service determines he would be not be available if he remains in alter- entitled to classification in Class 3-A, native service the full 24 months. Such assuming that the ASW were eligible early release shall not occur more than to file a claim for that class, further 30 days before the scheduled comple- compliance with his order shall be sus- tion of his alternative service obliga- pended for a period not to exceed 365 tion; or days, as the local board specifies. Ex- (5) Has enlisted in or has been in- tensions of not more than 365 days each ducted into the Armed Forces of the may be granted by the local board so United States. long as the hardship continues until (c) Reclassification and Records. Upon the ASW’s liability for training and granting an early release to an ASW, service under the Military Selective the Director will reclassify the ASW Service Act terminates. and transfer his records in accordance (b) An ASW may file a request for the with § 1656.19 of this part. suspension of his Order to Perform Al- ternative Service with the ASO. This § 1656.17 Administrative complaint request must be in writing, state as process. clearly as possible the basis for the re- (a) Whenever the ASOM learns that quest, and be signed and dated by the the ASW may have failed to perform ASW. The ASW must continue working satisfactorily his work (see § 1656.11(b)) in his assigned job until his request for or he receives a complaint by an em- the suspension of his Order to Perform ployer or an ASW involving the ASW’s Alternative Service has been approved. work other than matters described in

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§ 1656.8(b) of this part, he shall take (b) Creditable time will be awarded necessary action to: for periods of travel, job placement and (1) Interview, as appropriate, all par- job interviews performed under orders ties concerned to obtain information issued by Selective Service. Creditable relevant to the problems or com- time may be awarded for normal em- plaints; ployer leave periods. (2) Place a written summary of each (c) Creditable time will be awarded to interview in the ASW’s file and em- an ASW for the time lost after he ployer’s file; leaves his job assignment following his (3) Inform the persons interviewed request for reassignment on the basis that they may prepare and submit to of § 1656.13(b) of this part until he is re- him within ten days after the interview assigned pursuant to § 1656.13 (c) or (f) their personal written statements con- of this part. Creditable time for the cerning the problem; corresponding period will be lost if neither the ASOM nor the District Appeal (4) Place such statements in the Board orders the ASW’s reassignment ASW’s file; and on the basis of § 1656.12(a)(1) of this (5) Resolve the matter. part. (b) The employer or ASW may seek a review of the decision pursuant to [48 FR 16676, Apr. 19, 1983, as amended at 69 § 1656.17(a)(5). Such request must be FR 20544, Apr. 16, 2004] filed in writing with the ASO, for ac- § 1656.19 Completion of alternative tion by the State Director of Selective service. Service, within ten days after the date the notice of the decision is trans- Upon completion of 24 months of mitted to the ASW and employer. creditable time served in alternative service or when released early in ac- § 1656.18 Computation of creditable cordance with § 1656.16(b) (3) or (4): time. (a) The ASW shall be released from the Alternative Service Program; and (a) Creditable time starts when the (b) The Director shall issue to the ASW begins work pursuant to an Order ASW a Certificate of Completion and to Perform Alternative Service or 30 the registrant shall be reclassified in days after the issuance of such order, Class 4-W in accordance with § 1630.47 of whichever occurs first. Creditable time this chapter, and will accumulate except for periods of: (c) The ASW’s records shall be re- (1) Work of less than 35 hours a week turned to the area office of jurisdiction or an employer’s full-time work week after the ASW has completed his obli- whichever is greater; gation or has been separated from the (2) Leaves of absence in a calendar Alternative Service Program for any year of more than 5 days in the aggre- reason. gate granted by the employer to the ASW to attend to his personal affairs § 1656.20 Expenses for emergency med- unless such absence is approved by the ical care. ASOM; (a) Claims for payment of actual and (3) Time during which an ASW fails reasonable expenses for emergency or neglects to perform satisfactorily medical care, including hospitaliza- his assigned Alternative Service; tion, of ASWs who suffer illness or in- (4) Time during which the ASOM de- jury, and the transportation and burial termines that work of the ASW is un- of the remains of ASWs who suffer satisfactory because of his failure to death as a direct result of such illness comply with reasonable requirements or injury will be paid in accordance of his employer; with the provisions of this section. (5) Time during which the ASW is not (b) The term ‘‘emergency medical employed in an approved job because of care, including hospitalization’’, as his own fault; or used in this section, means such med- (6) Time during which the ASW is in ical care or hospitalization that nor- a postponement period or his Order to mally must be rendered promptly after Perform Alternative Service has been occurrence of the illness or injury ne- suspended. cessitating such treatment. Discharge

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by a physician or facility subsequent to § 1657.1 Purpose; definition. such medical care or hospitalization (a) The provisions of this part apply shall terminate the period of emer- to the processing of overseas reg- gency. istrants, and, where applicable, they (c) Claims will be considered only for supersede inconsistent provisions in expenses: this chapter. (1) For which only the ASW is liable (b) An overseas registrant is a reg- and for which there is no legal liability istrant whose bona fide current address for his reimbursement except in accord most recently provided by him to the with the provisions of this section; and Selective Service System is outside the (2) That are incurred as a result of United States, its territories or posses- illness or injury that occurs while the sions, Commonwealth of Puerto Rico, ASW is acting in accord with orders of Canada and Mexico. Selective Service to engage in travel or perform work for his Alternative Serv- § 1657.2 Local boards. ice employer. The Director shall establish local (d) No claim shall be allowed in any boards with jurisdiction to determine case in which the Director determines claims of overseas registrants. Such that the injury, illness, or death oc- boards shall consist of three or more curred because of the negligence or members appointed by the President. misconduct of the ASW. The Director shall prescribe the geo- (e) No claim shall be paid unless it is graphic jurisdiction of each board, and presented to the Director within one designate or establish an area office to year after the date on which the ex- support it. pense was incurred. § 1657.3 District appeal boards. (f) Cost of emergency medical care including hospitalization greater than The Director shall establish district usual and customary fees for service appeal boards with jurisdiction to de- established by the Social Security Ad- termine appeals of claims of overseas ministration, will prima facie be consid- registrants. Such boards shall consist ered unreasonable. Payment for burial of three or more members appointed by expenses shall not exceed the max- the President. The Director shall pre- imum that the Administrator of Vet- scribe the geographic jurisdiction of eran’s Affairs may pay under the provi- each board. sions of 38 U.S.C. 902(a) in any one case. § 1657.4 Consideration of claims. (g) Payment of claims when allowed shall be made only directly to the ASW An overseas registrant’s claim shall or his estate unless written authoriza- be determined by a local board (or its tion of the ASW or the personal rep- supporting area office) or appeal board resentative of his estate has been reas may be established in accord with ceived to pay another person. this part or, upon the request of the registrant filed no later than the filing of his claim for reclassification, by the PART 1657—OVERSEAS REGISTRANT board having geographic jurisdiction PROCESSING over his permanent address within the United States last reported by him to Sec. the Selective Service System prior to 1657.1 Purpose; definition. issuance of his induction order. 1657.2 Local boards. 1657.3 Distsrict appeal boards. § 1657.5 Place of induction. 1657.4 Consideration of claims. The Director may order an overseas 1657.5 Place of induction. registrant to any place in the world for 1657.6 Transportation. induction. AUTHORITY: Military Selective Service Act, 50 U.S.C. 451 et seq.; E.O. 11623. § 1657.6 Transportation.

SOURCE: 52 FR 24459, July 1, 1987, unless (a) The Director shall furnish trans- otherwise noted. portation for an overseas registrant

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from the place at which the registrant while so acting and occurs prior istrant’s order to report for induction to the completion of an emergency was sent to the place he is required to medical care, including hospitaliza- report for induction. If such registrant tion, occasioned by such illness or in- is not inducted, the Director shall fur- jury. nish him transportation from the place (d) No such claim shall be paid unless he reported for induction to the place it is presented within the period of one to which his order to report for induc- year from the date on which the ex- tion was sent. penses were incurred. (b) In the event the personal appear- (e) No such claim shall be allowed in ance before a local board or appeal case it is determined that the cause of board of an overseas registrant is re- injury, illness, or death was due to neg- quired or permitted by regulation, ligence or misconduct of the reg- travel expenses incurred in personally istrant. appearing before the board shall be at (f) Burial expenses shall not exceed the registrant’s own expense. the maximum prescribed in Section 11 of the Military Selective Service Act in PART 1659—EXTRAORDINARY any one case. EXPENSES OF REGISTRANTS (g) Payment of such claims when allowed shall be made only: (1) Directly to the person or facility AUTHORITY: Military Selective Service Act, with which the expenses were incurred; 50 U.S.C. App. 451 et seq.; E.O. 11623. or (2) By reimbursement to the reg- § 1659.1 Claims. istrant, a relative of the registrant, or (a) Claims for payment of actual and the legal representative of the reg- reasonable expenses of: istrant’s estate, for original payment (1) Emergency medical care, includ- of such expenses. ing hospitalization of registrants who suffer illness or injury; and [47 FR 4664, Feb. 1, 1982] (2) The transportation and burial of the remains of registrants who suffer PART 1662—FREEDOM OF INFOR- death while acting under orders issued MATION ACT (FOIA) PROCE- by or under the authority of the Direc- DURES tor of Selective Service will be paid in accordance with the provisions of this Sec. section. 1662.1 Applicability of this part. (b) Claims for payment of expenses 1662.2 Procedure for requesting information. incurred for the purposes set forth in 1662.3 Identification of information re- paragraph (a) of this section shall be quested. presented to the Director of Selective 1662.4 Consideration of requests for infor- Service. mation. 1662.5 Inspection, copying, and obtaining (c)(1) The term emergency medical copies. care, including hospitalization, as used in 1662.6 Fee schedule; waiver of fees. this section, shall be construed to mean such medical care or hospitaliza- AUTHORITY: 5 U.S.C. 552, as amended. tion that normally must be rendered SOURCE: 47 FR 7223, Feb. 18, 1982, unless promptly after an occurrence of illness otherwise noted. or injury. Discharge by a physician or facility subsequent to such medical § 1662.1 Applicability of this part. care or hospitalization shall be jus- The provisions of this part prescribe tification to terminate the period of the procedures for requests for infor- emergency. mation under 5 U.S.C. 552, as amended (2) The death of a registrant shall be (Freedom of Information Act). deemed to have occurred while acting under orders issued by or under the au- § 1662.2 Procedure for requesting in- thority of the Director of Selective formation. Service if it results directly from an Requests for information under the illness or injury suffered by the reg- Freedom of Information Act (FOIA)

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shall be in writing and should be ad- regular business hours by writing or dressed to the Director, Selective Serv- telephoning the records manager at the ice System, ATTN: Records Manager, address listed in § 1662.2. Such mate- Washington, DC 20435. rials may be copied manually without charge, and reasonable facilities will be § 1662.3 Identification of information made available for that purpose. Also, requested. copies of individual pages of such ma- Any person who requests information terials will be made available as speci- under FOIA shall provide a reasonably fied in § 1662.6; however, the right is re- specific description of the information served to limit to a reasonable quan- sought so that it may be located with- tity the copies of such materials which out undue search. If the description is may be made available in this manner. not sufficient, the records manager will notify the requester and, to the extent § 1662.6 Fee schedule; waiver of fees. possible, indicate the additional infor- (a) Definitions. For the purposes of mation required. Every reasonable ef- this section: fort shall be made to assist a requester (1) Direct costs mean those expendi- in the identification and location of tures which the Selective Service Sys- the record or records sought. tem (SSS) actually incurs in searching for and duplicating (and in the case of § 1662.4 Consideration of requests for commercial requesters, reviewing) doc- information. uments to respond to a FOIA request. (a) Upon receipt of any request for in- Direct costs include, for example, the formation or records, the records man- salary of the employee performing ager will determine within 10 days (ex- work (the basic rate of pay for the em- cepting Saturdays, Sundays, and legal ployee plus 16 percent of the rate to federal holidays) whether it is appro- cover benefits) and the cost of oper- priate to grant the request and will im- ating duplicating machinery. Not in- mediately provide written notification cluded in direct costs are overhead ex- to the person making the request. If penses such as costs of space, and heat- the request is denied, the written noti- ing or lighting the facility in which the fication to the person making the re- records are stored. quest will include the reasons therefor (2) The term search includes all time and a notice that an appeal may be spent looking for material that is re- lodged with the Director of Selective sponsive to a request, including page- Service. by-page or line-by-line identification of (b) Appeals shall be in writing and material within documents. Search addressed to the Director of Selective should be distinguished from review of Service at the address specified in material in order to determine whether § 1662.2 of this part. The appeal shall in- the material is exempt from disclosure clude a statement explaining the basis (see paragraph (a)(4) of this section). for the appeal. Determinations of ap- Searches may be done manually or by peals will be in writing and signed by computer using existing programming. the Director, or his designee, within 20 (3) Duplication refers to the process of days (excepting Saturdays, Sundays, making a copy of a document nec- and legal federal holidays). If, on ap- essary to respond to an FOIA request. peal, the denial is in whole or in part Such copies may take the form of upheld, the written determination will paper copy, microform, audio-visual include the reasons therefor and also materials, or machine readable docu- contain a notification of the provisions mentation (e.g., magnetic tape or for judicial review. disk), among others. (4) Review refers to the process of ex- § 1662.5 Inspection, copying, and ob- amining documents located in response taining copies. to a commercial use request to deter- When a request for information has mine whether any portion of any docu- been approved in accord with § 1662.4, ment located is permitted to be with- the person making the request may held. It also includes processing any make an appointment to inspect or documents for disclosure, e.g., doing all copy the materials requested during that is necessary to excise them and

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otherwise to prepare them for release. Moreover, as traditional methods of Review does not include time spent re- news delivery evolve (e.g., electronic solving general legal or policy issues dissemination of newspapers through regarding the application of exemp- telecommunications services), such al- tions. ternative media would be included in (5) The term ‘commercial use’ request this category. In the case of freelance refers to a request from or on behalf of journalists, they may be regarded as one who seeks information for the use working for a news organization if they or purpose that furthers the commer- can demonstrate a solid basis for ex- cial, trade, or profit interests of the re- pecting publication through that orga- quester or the person on whose behalf nization, even though not actually em- the request is made. In determining ployed by it. A publication contract whether a request properly belongs in would be the clearest proof, but the this category the agency must deter- agency may also look to the past publi- mine the use to which a requester will cation record of a requester in making put the documents requested. Moreover this determination. where there is reasonable cause to (b) Fees to be charged—categories of re- doubt the use to which a requester will questers. There are four categories of put the records sought, or where that FOIA requesters: Commercial use re- use is not clear from the request itself, questers; education and non-commer- the agency may seek additional clari- cial scientific institutions; representa- fication before assigning the request to tives of the news media; and other re- a specific category. questers. The FOI Reform Act pre- (6) The term educational institution re- scribes specific levels of fees for each of fers to a preschool, a public or private these categories: elementary or secondary school, an institution of graduate higher education, (1) Commercial use requesters. A re- an institution of undergraduate higher quest for documents for commercial education, an institution of profes- use will be assessed charges which re- sional education, and an institution of cover the full direct costs of searching vocational education, which operates a for, reviewing for release, and dupli- program or programs of scholarly re- cating the records sought. Requesters search. must reasonably describe the record (7) The term non-commercial scientific sought. Commercial use requesters are institution refers to an institution that not entitled to two hours of free search is not operated on a commercial basis as time nor 100 free pages of reproduction that term is referenced in paragraph of documents. The cost of searching for (a)(5) of this section, and which is oper- and reviewing records will be recovered ated solely for the purpose of con- even if there is ultimately no disclo- ducting scientific research the results sure of records (see paragraph (c)(5) of of which are not intended to promote this section). any particular product or industry. (2) Educational and non-commercial sci- (8) The term representative of the news entific institution requesters. Documents media refers to any person actively to requesters in this category will be gathering news for an entity that is or- provided for the cost of reproduction ganized and operated to publish or alone, excluding charges for the first broadcast news to the public. The term 100 pages. To be eligible for inclusion in news means information that is about this category, a requester must show current events or that would be of cur- that the request is being made as au- rent interest to the public. Examples of thorized by and under the auspices of a news media entities include television qualifying institution and that the or radio stations broadcasting to the records are not sought for a commer- public at large, and publishers of peri- cial use, but are sought in furtherance odicals (but only in those instances of scholarly (if the request is from an when they can qualify as disseminators educational institution) or scientific (if of news) who make their products the request is from a non-commercial available for purchase or subscription scientific institution) research. Re- by the general public. These examples questers must reasonably describe the are not intended to be all-inclusive. records sought.

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(3) Requesters who are representatives Records Manager may also require full of the news media. Documents will be payment in advance where a requester provided to requesters in this category has previously failed to pay fees in a for the cost of reproduction alone, ex- timely fashion. cluding charges for the first 100 pages. (B) If the Records Manager estimates To be eligible for inclusion in this cat- that the fees will likely exceed $25, he egory, a requester must meet the cri- will notify the requester of the esti- teria in paragraph (a)(8) of this section, mated amount of fees, unless the re- and his or her request must not be quester has indicated in advance his made for a commercial use. A request willingness to pay fees as high as those for records supporting the news dis- anticipated. Such a notice shall offer a semination function of the requester requester the opportunity to confer shall not be considered to be a request with agency personnel with the object that is for a commercial use. Request- of reformulating the request to meet ers must reasonably describe the his or her needs at a lower cost. records sought. (3) Late charges. The Records Man- (4) All other requesters. The agency ager may assess interest charges when will charge requesters who do not fit fee payment is not made within 30 days into any of the categories above fees of the date on which the billing was which recover the full reasonable di- sent. Interest will be at the rate pre- rect cost of searching for and reproduc- scribed in section 3717 of title 31 ing records that are responsive to the U.S.C.A. request, except that the first 100 pages (4) Waiver or reduction of fees—(i) of reproduction and the first two hours Standards for determining waiver or re- of search time shall be furnished with- duction. The Records Manager shall out charge. Moreover, requests from grant a waiver or reduction of fees record subjects for records about them- chargeable under this section where it selves filed in the agency’s systems of is determined that disclosure of the in- records will continue to be treated formation is in the public interest be- under the fee provisions of the Privacy cause it is likely to contribute signifi- Act of 1974 which permit fees only for cantly to public understanding of the reproduction. operations or activities of the Selec- (c) Assessment and collection of fees— tive Service System and is not pri- (1) Aggregated requests. If the Records marily in the commercial interest of Manager reasonably believes that a re- the requester. The Records Manager quester or group of requesters is at- shall also waive fees that are less than tempting to break a request down into the average cost of collecting fees. In a series of requests for the purpose of determining whether disclosure is in evading the assessment of fees, the the public interest, the following fac- Records Manager may aggregate any tors may be considered: such requests accordingly. (A) The relation of the records to the (2) Payment procedures—(i) Fee pay- operations or activities of the System; ment. The Records Manager may assume that a person requesting records (B) The information value of the in- pursuant to this part will pay the ap- formation to be disclosed; plicable fees, unless a request includes (C) Any contribution to an under- a limitation on fees to be paid or seeks standing of the subject by the general a waiver or reduction of fees pursuant public likely to result from disclosure; to paragraph (c)(4) of this section. Un- (D) The significance of that contribu- less applicable fees are paid, the agen- tion to the public understanding of the cy may use the authorities of the Debt subject; Collection Act (Pub. L. 97-365), includ- (E) The nature of the requester’s per- ing disclosure to consumer reporting sonal interest, if any, in the disclosure agencies and use of collection agencies, requested; and where appropriate, to encourage pay- (F) Whether the disclosure would be ment. primarily in the requester’s commer- (ii) Advance payment. (A) The Records cial interest. Manager may require advance payment (ii) Contents of request for waiver. of any fee estimated to exceed $250. The The Records Manager will normally

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deny a request for a waiver of fees that formation, packaging and mailing records, does not include: and sending records by special methods such (A) A clear statement of the request- as express mail. The Records Manager may er’s interest in the requested docu- provide self-service photocopy machines and microfiche printers as a convenience to re- ments; questers and set separate perpage fees re- (B) The use proposed for the docu- flecting the cost of operation and mainte- ments and whether the requester will nance of those machines. derive income or other benefit from such use; Fee waivers: (C) A statement of how the public For qualifying educational and non- will benefit from such use and from the commercial scientific institution requesters release of the requested documents; and representatives of the news media the and Records Manager will not assess fees for re- (D) If specialized use of the docu- view time, for the first 100 pages of reproduc- ments or information is contemplated, tion, or, when the records sought are reason- a statement of the requester’s quali- ably described, for search time. For other noncommercial use requests no fees will be fications that are relevant to the spe- assessed for review time, for the first 100 cialized use. pages of reproduction, or for the first two (iii) Burden of proof. In all cases the hours of search time. burden shall be on the requester to The Records Manager will waive in full present evidence or information in sup- fees that total less than $1.00 or that are less port of a request for a waiver of fees. than the average cost of collecting fees. (5) Fees for nonproductive search. Fees The Records Manager will also waive or re- for record searches and review may be duce fees, upon proper request, if disclosure charged even if not responsive docu- of the information is in the public interest ments are located or if the request is because it is likely to contribute significantly to public understanding of the oper- denied, particularly if the requester in- ations or activities of the System and is not sists upon a search after being in- primarily in the commercial interest of the formed that it is likely to be non- requester. productive or that any records found are likely to be exempt from disclo- [52 FR 13665, Apr. 24, 1987] sure. The Records Manager shall apply the standards set out in paragraph PART 1665—PRIVACY ACT (c)(4) of this section in determining PROCEDURES whether to waive or reduce fees. Sec. APPENDIX A TO § 1662.6—FREEDOM OF 1665.1 Rules for determining if an individual INFORMATION FEE SCHEDULE is the subject of a record. Duplication: 1665.2 Requests for access. 1665.3 Access to the accounting of disclo- Photocopy, per standard page ...... $.10 sures from records. Paper Copies of microfiche, per frame 1665.4 Requests to amend records...... $.10 1665.5 Request for review. Search and review: 1665.6 Schedule of fees. 1665.7 Information available to the public or Salary of the employee (the basic rate of to former employers of registrants. pay of the employee plus 16 percent of that 1665.8 Systems of records exempted from rate to cover benefits), performing the work certain provisions of this act. of manual search and review. AUTHORITY: 5 U.S.C. 552a. Computer search and production: SOURCE: 47 FR 7224, Feb. 18, 1982, unless For each request the Records Manager will otherwise noted. separately determine the actual direct costs of providing the service, including computer § 1665.1 Rules for determining if an in- search time, tape or printout production, dividual is the subject of a record. and operator salary. (a) Individuals desiring to know if a Special services: specific system of records maintained The Records Manager may agree to provide by the Selective Service System (SSS) and set fees to recover the costs of special contains a record pertaining to them services not covered by the Freedom of Infor- should address their inquiries to the mation Act, such as certifying records or in- Selective Service System, ATTN:

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Records Manager, Public & Intergov- (b) Procedures—(1) Content of the re- ernmental Affairs, Arlington, VA 22209- quest. (i) The request for access to a 2425. The written inquiry should con- record in a system of records shall be tain a specific reference to the system addressed to the records manager, at of records maintained by Selective the address cited above, and shall name Service listed in the SSS Notices of the system of records or contain a de- Systems of Records or it should description of such system of records. scribe the type of record in sufficient The request should state that the re- detail to reasonably identify the sys- quest is pursuant to the Privacy Act of tem of records. Notice of SSS Systems 1974. In the absence of specifying solely of Records subject to the Privacy Act the Privacy Act of 1974 and, if the re- is in the FEDERAL REGISTER and copies quest may be processed under both the of the notices will be available upon re- Freedom of Information Act and the quest to the records manager. A com- Privacy Act and the request specifies pilation of such notices will also be both or neither act, the procedures made and published by the Office of under the Privacy Act of 1974 will be Federal Register, in accord with sec- employed. The individual will be ad- tion 5 U.S.C. 552a(f). vised that the procedures of the Pri- (b) At a minimum, the request should vacy Act will be utilized, of the exist- also contain sufficient information to ence and the general effect of the Free- identify the requester in order to allow dom of Information Act, and the dif- SSS to determine if there is a record ference between procedures under the pertaining to that individual in a par- two acts (e.g. fees, time limits, access). ticular system of records. In instances The request should contain necessary when the information is insufficient to information to verify the identity of insure that disclosure will be to the in- the requester (see § 1665.2(b)(2)(vi)). In dividual to whom the information per- addition, the requester should include tains, in view of the sensitivity of the any other information which may as- information, SSS reserves the right to sist in the rapid identification of the ask the requester for additional identi- record for which access is being re- fying information. quested (e.g., maiden name, dates of (c) Ordinarily the requester will be employment, etc.) as well as any other informed whether the named system of identifying information contained in records contains a record pertaining to and required by SSS Notice of Systems the requester within 10 days of receipt of Records. of such a request (excluding Saturdays, (ii) If the request for access follows a Sundays, and legal federal holidays). prior request under § 1665.1, the same Such a response will also contain or identifying information need not be in- reference the procedures which must be cluded in the request for access if a ref- followed by the individual making the erence is made to that prior cor- request in order to gain access to the respondence, or a copy of the SSS re- record. sponse to that request is attached. (d) Whenever a response cannot be (iii) If the individual specifically de- made within the 10 days, the records sires a copy of the record, the request manager will inform the requester of should so specify. the reason for the delay and the date (2) SSS action on request. A request for by which a response may be antici- access will ordinarily be answered pated. within 10 days, except when the records [47 FR 7224, Feb. 18, 1982; 69 FR 1525, Jan. 9, manager determines that access cannot 2004] be afforded in that time, in which case the requester will be informed of the § 1665.2 Requests for access. reason for the delay and an estimated (a) Requirement for written requests. date by which the request will be an- Individuals desiring to gain access to a swered. Normally access will be grant- record pertaining to them in a system ed within 30 days from the date the re- of records maintained by SSS must quest was received by the Selective submit their request in writing in ac- Service System. At a minimum, the cord with the procedures set forth in answer to the request for access shall paragraph (b) below. include the following:

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(i) A statement that there is a record access. The extent of the identification as requested or a statement that there documentation required will depend on is not a record in the system of records the type of record to be accessed. In maintained by SSS; most cases, identification verification (ii) A statement as to whether access will be accomplished by the presen- will be granted only by providing copy tation of two forms of identification. of the record through the mail; or the Any additional requirements are speci- address of the location and the date fied in the system notices published and time at which the record may be pursuant to 5 U.S.C. 552a(e)(4). examined. In the event the requester is (C) Access granted by mail. For unable to meet the specified date and records to be accessed by mail, the time, alternative arrangements may be records manager shall, to the extent made with the official specified in possible, establish identity by a com- § 1665.2(b)(1); parison of signatures in situations (iii) A statement, when appropriate, where the data in the record is not so that examination in person will be the sensitive that unauthorized access sole means of granting access only could cause harm or embarrassment to when the records manager has deter- the individual to whom they pertain. mined that it would not unduly impede No identification documentation will the requester’s right of access; be required for the disclosure to the re- (iv) The amount of fees charged, if quester of information required to be any (see § 1665.6) (Fees are applicable made available to the public by 5 only to requests for copies); U.S.C. 552. When in the opinion of the (v) The name, title, and telephone records manager the granting of access number of the SSS official having oper- through the mail could reasonably be ational control over the record; and expected to result in harm or embar- (vi) The documentation required by rassment if disclosed to a person other SSS to verify the identity of the re- than the individual to whom the record quester. At a minimum, SSS’s pertains, a notarized statement of iden- verification standards include the fol- tity or some similar assurance of iden- lowing: tity will be required. (A) Current or former SSS employees. (D) Unavailability of identification doc- Current or former SSS employees re- umentation. If an individual is unable to questing access to a record pertaining produce adequate identification docu- to them in a system of records main- mentation the individual will be retained by SSS may, in addition to the quired to sign a statement asserting other requirements of this section, and identity and acknowledging that know- at the sole discretion of the official ingly or willfully seeking or obtaining having operational control over the access to a record about another person record, have his or her identity verified under false pretenses may result in a by visual observation. If the current or fine of up to $5,000. In addition, depend- former SSS employee cannot be so ing upon the sensitivity of the records identified by the official having oper- sought to be accessed, the official hav- ational control over the records, iden- ing operational control over the tification documentation will be re- records may require such further rea- quired. Employee identification cards, sonable assurances as may be consid- annuitant identification, drivers li- ered appropriate e.g., statements of censes, or the employee copy of any offi- other individuals who can attest to the cial personnel document in the record identity of the requester. No are examples of acceptable identifica- verification of identity will be required tion validation. of individuals seeking access to records (B) Other than current or former SSS which are otherwise available to any employees. Individuals other than cur- person under 5 U.S.C. 552, Freedom of rent or former SSS employees request- Information Act. ing access to a record pertaining to (E) Access by the parent of a minor, or them in a system of records main- legal guardian. A parent of a minor, tained by SSS must produce identifica- upon presenting suitable personal identi- tion documentation of the type de- fication, may access on behalf of the scribed herein, prior to being granted minor any record pertaining to the minor

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maintained by SSS in a system of (B) Within any system of records per- records. A legal guardian may simi- taining to possible violations of the larly act on behalf of an individual de- Military Selective Service Act, the clared to be incompetent due to phys- identity of or any information per- ical or mental incapacity or age by a taining to any individual who provides court of competent jurisdiction. Absent information relating to a suspected vi- a court order or consent, a parent or olator will not be revealed to the sus- legal guardian has no absolute right to pected violator. This exemption is have access to a record about a child. made under the provision of 5 U.S.C. Minors are not precluded from exer- 552a(k)(2). cising on their own behalf rights given to them by the Privacy Act. § 1665.3 Access to the accounting of (F) Granting access when accompanied disclosures from records. by another individual. When an indi- Rules governing the granting of ac- vidual requesting access to his or her cess to the accounting of disclosure are record in a system of records main- the same as those for granting accesses tained by SSS wishes to be accom- to the records (including verification of panied by another individual during identity) outlined in § 1665.2. the course of the examination of the record, the individual making the re- § 1665.4 Requests to amend records. quest shall submit to the official hav- (a) Requirement for written requests. ing operational control of the record, a Individuals desiring to amend a record signed statement authorizing that per- that pertains to them in a system of son access to the record. records maintained by SSS must sub- (G) Denial of access for inadequate mit their request in writing in accord identification documentation. If the offi- with the procedures set forth herein. cial having operational control over Records not subject to the Privacy Act the records in a system of records of 1974 will not be amended in accord maintained by SSS determines that an with these provisions. However, indi- individual seeking access has not pro- viduals who believe that such records vided sufficient identification docu- are inaccurate may bring this to the mentation to permit access, the offi- attention of SSS. cial shall consult with the records (b) Procedures. (1)(i) The requests to manager prior to finally denying the amend a record in a system of records individual access. shall be addressed to the records man- (H) Review of decision to deny access. ager. Included in the request shall be Whenever the records manager deter- the name of the system and a brief de- mines, in accordance with the proce- scription of the record proposed for dures herein, that access cannot be amendment. In the event the request granted the response will also include a to amend the record is the result of the statement of the procedures to obtain a individual’s having gained access to review of the decision to deny in accord the record in accordance with the pro- with § 1665.5. visions concerning access to records as (vii) Exceptions. (A) Nothing in these set forth above, copies of previous cor- regulations shall be construed to enti- respondence between the requester and tle an individual the right to access to SSS will serve in lieu of a separate de- any information compiled in reason- scription of the record. able anticipation of a civil action or (ii) When the individual’s identity proceeding. The mere fact that records has been previously verified pursuant in a system of records are frequently to § 1665.2(b)(2)(vi), further verification the subject of litigation does not bring of identity is not required as long as those systems of records within the the communication does not suggest scope of this provision. This provision that a need for verification is present. is not intended to preclude access by If the individual’s identity has not an individual to the records which are been previously verified, SSS may re- available to that individual under the quire identification validation as de- other processes such as the Freedom of scribed in § 1665.2(b)(2)(vi). Individuals Information Act or the rules of civil desiring assistance in the preparation procedure. of a request to amend a record should

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contact the records manager at the ad- (vi) A description of any other proce- dress cited above. dures which may be required of the in- (iii) The exact portion of the record dividual in order to process the appeal. the individual seeks to have amended (3) If the nature of the request for the should be clearly indicated. If possible, correction of the system of records pre- the proposed alternative language cludes a decision within 10 days, the in- should also be set forth, or at a min- dividual making the request will be in- imum, the facts which the individual formed within 10 days of the extended believes are not accurate, relevant, date for a decision. Such a decision will timely, or complete should be set forth be issued as soon as it is reasonably with such particularity as to permit possible, normally within 30 days from the receipt of the request (excluding SSS not only to understand the indi- Saturdays, Sundays, and legal Federal vidual’s basis for the request, but also holidays) unless unusual circumstances to make an appropriate amendment to preclude completing action within that the record. time. If the expected completion date (iv) The request must also set forth for the decision indicated cannot be the reasons why the individual believes met, the individual will be advised of his record is not accurate, relevant, the delay of a revised date when the de- timely, or complete. In order to avoid cision may be expected to be com- the retention by SSS of personal infor- pleted. mation merely to permit verification of records, the burden of persuading § 1665.5 Request for review. SSS to amend a record will be upon the (a) Individuals wishing to request a individual. The individual must furnish review of the decision by SSS with re- sufficient facts to persuade the official gard to any initial request to access or in charge of the system of the inaccu- amend a record in accord with the pro- racy, irrelevancy, timeliness or incom- visions of §§ 1665.2 and 1665.4, should pleteness of the record. submit the request for review in writ- (v) Incomplete or inaccurate requests ing and, to the extent possible, include will not be rejected categorically. The the information specified in § 1665.5(b). individual will be asked to clarify the Individuals desiring assistance in the request as needed. preparation of their request for review (2) SSS action on the request. To the should contact the records manager at extent possible, a decision, upon a re- the address provided herein. quest to amend a record will be made (b) The request for review should con- within 10 days, (excluding Saturdays, tain a brief description of the record Sundays, and legal Federal holidays). involved or in lieu thereof, copies of The response reflecting the decisions the correspondence from SSS in which upon a request for amendment will in- the request to access or to amend was clude the following: denied and also the reasons why the re- (i) The decision of the Selective Serv- quester believes that access should be ice System whether to grant in whole, granted or the disputed information or deny any part of the request to amended. The request for review should make reference to the information fur- amend the record. nished by the individual in support of (ii) The reasons for determination for his claim and the reasons as required any portion of the request which is de- by §§ 1665.2 and 1665.4 set forth by SSS nied. in its decision denying access or (iii) The name and address of the offi- amendment. Appeals filed without a cial with whom an appeal of the denial complete statement by the requester may be lodged. setting forth the reasons for review (iv) The name and address of the offi- will, of course, be processed. However, cial designated to assist, as necessary in order to make the appellate process and upon request of, the individual as meaningful as possible, the request- making the request in preparation of er’s disagreement should be set forth in the appeal. an understandable manner. In order to (v) A description of the review of the avoid the unnecessary retention of per- appeal with SSS (see § 1665.5). sonal information, SSS reserves the

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right to dispose of the material con- ment, and if it chooses, SSS’s state- cerning the request to access or amend ment will be sent to any prior trans- a record if no request for review in ac- feree of the disputed information who cord with this section is received by is listed on the accounting required by SSS within 180 days of the mailing by 5 U.S.C. 552a(c). If the reviewing offi- SSS of its decision upon an initial re- cial determines that the record should quest. A request for review received be amended in accord with the individ- after the 180 day period may, at the ual’s request, SSS will promptly cor- discretion of the records manager, be rect the record, advise the individual, treated as an initial request to access and inform previous recipients if an ac- or amend a record. counting of the disclosure was made (c) The request for review should be pursuant to 5 U.S.C. 552a(c). The notifi- addressed to the Director of Selective cation of correction pertains to infor- Service. mation actually disclosed. (d) The Director of Selective Service will inform the requester in writing of § 1665.6 Schedule of fees. the decision on the request for review (a) Prohibitions against charging fees. within 20 days (excluding Saturdays, Individuals will not be charged for: Sundays, and legal federal holidays) (1) The search and review of the from the date of receipt by SSS of the record. individual’s request for review unless (2) Any copies of the record produced the Director extends the 20 days period as a necessary part of the process of for good cause. The extension and the making the record available for access, reasons therefor will be sent by SSS to or the requester within the initial 20 day (3) Any copies of the requested record period. Such extensions should not be when it has been determined that ac- routine and should not normally excess can only be accomplished by proceed an additional thirty days. If the viding a copy of the record through the decision does not grant in full the re- mail. quest for amendment, the notice of the (4) Where a registrant has been decision will provide a description of charged under the Military Selective the steps the individual may take to Service Act and must defend himself in obtain judicial review of such a deci- a criminal prosecution, or where a reg- sion, a statement that the individual istrant submits to induction and there- may file a concise statement with SSS after brings habeas corpus proceedings setting forth the individual’s reasons to test the validity of his induction, for his disagreement with the decision the Selective Service System will fur- and the procedures for filing such a nish to him, or to any person he may statement of disagreement. The Direc- designate, one copy of his Selective tor of Selective Service has the author- Service file free of charge. ity to determine the conciseness of the (b) Waiver. The Director of Selective statement, taking into account the Service may at no charge, provide cop- scope of the disagreement and the com- ies of a record if it is determined the plexity of the issues. Upon the filing of production of the copies is in the inter- a proper, concise statement by the in- est of the Government. dividual, any subsequent disclosure of (c) Fee schedule and method of pay- the information in dispute will be ment. Fees will be charged as provided clearly noted so that the fact that the below except as provided in paragraphs record is disputed is apparent, a copy (a) and (b) of this section. of the concise statement furnished and (1) Duplication of records. Records will a concise statement by SSS setting be duplicated at a rate of $.25 per page. forth its reasons for not making the re- (2) Fees should be paid in full prior to quested changes, if SSS chooses to file issuance of requested copies. In the such a statement. A notation of a dis- event the requester is in arrears for pute is required to be made only if an previous requests, copies will not be individual informs the agency of his provided for any subsequent request disagreement with SSS’s determina- until the arrears have been paid in full. tion in accord with § 1665.5(a), (b) and (3) Remittance shall be in the form of (c). A copy of the individual’s state- cash, a personal check or bank draft

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drawn on a bank in the United States, PART 1697—SALARY OFFSET or postal money order. Remittances shall be made payable to the order of Sec. the Selective Service System and 1697.1 Purpose and scope. mailed or delivered to the records man- 1697.2 Definitions. ager, Selective Service System, Arling- 1697.3 Applicability. ton, VA 22209-2425. 1697.4 Notice requirements. (4) A receipt of fees paid will be given 1697.5 Hearing. 1697.6 Written decision. upon request. 1697.7 Coordinating offset with another Fed- [47 FR 7224, Feb. 18, 1982; 69 FR 1525, Jan. 9, eral agency. 2004] 1697.8 Procedures for salary offset. 1697.9 Refunds. § 1665.7 Information available to the 1697.10 Statute of Limitations. public or to former employers of 1697.11 Non-waiver of rights. registrants. 1697.12 Interest, penalties, and administrative costs. (a) Each area office maintains a clas- AUTHORITY: 5 U.S.C. 5514, and 5 CFR part sification record which contains the 550, subpart K. name, Selective Service number, and the current and past classifications for SOURCE: 54 FR 48098, Nov. 21, 1989, unless otherwise noted. each person assigned to that board. In- formation in this record may be in- § 1697.1 Purpose and scope. spected at the area office at which it is (a) This regulation provides proce- maintained. dures for the collection by administra- (b) Any compensated employee of the tive offset of a federal employee’s sal- Selective Service System may disclose ary without his/her consent to satisfy to the former employer of a registrant certain debts owed to the federal gov- who is serving in or who has been dis- ernment. These regulations apply to all charged from the Armed Forces wheth- federal employees who owe debts to the er the registrant has or has not been Selective Service System and to cur- discharged and, if discharged, the date rent employees of the Selective Service thereof, upon reasonable proof that the System who owe debts to other federal registrant left a position in the employ agencies. This regulation does not of the person requesting such informa- apply when the employee consents to tion in order to serve in the Armed recovery from his/her current pay ac- Forces. count. (c) Whenever an office referred to in (b) This regulation does not apply to this section is closed, the request for debts or claims arising under: information that otherwise would be (1) The Internal Revenue Code of 1954, submitted to it should be submitted to as amended, 26 U.S.C. 1 et seq.; the National Headquarters, Selective (2) The Social Security Act, 42 U.S.C. Service System, Arlington, VA 22209- 301 et seq.: 2425. (3) The tariff laws of the United States; or [47 FR 7224, Feb. 18, 1982; 69 FR 1525, Jan. 9, (4) Any case where a collection of a 2004] debt by salary offset is explicitly provided for or prohibited by another stat- § 1665.8 Systems of records exempted ute (e.g., travel advances in 5 U.S.C. from certain provisions of this act. 5705 and employee training expenses in Pursuant to 5 U.S.C. 552a(k)(2), the 5 U.S.C. 4108). Selective Service System will not re- (c) This regulation does not apply to veal to the suspected violator the in- any adjustment to pay arising out of formant’s name or other identifying in- an employee’s selection of coverage or formation relating to the informant. a change in coverage under a federal benefits program requiring periodic de- [47 FR 24543, June 7, 1982] ductions from pay if the amount to be recovered was accumulated over four PART 1690 [RESERVED] pay periods or less. 360

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(d) This regulation does not preclude Disposable pay means the amount the compromise, suspension, or termi- that remains from an employee’s fed- nation of collection action where ap- eral pay after required deductions for propriate under the standards imple- social security, federal, state or local menting the Federal Claims Collection income tax, health insurance pre- Act 31 U.S.C. 3711 et seq. 4 CFR parts 101 miums, retirement contributions, life through 105 and 45 CFR part 1177. insurance premiums, federal employ- (e) This regulation does not preclude ment taxes, and any other deductions an employee from requesting waiver of that are required to be withheld by an overpayment under 5 U.S.C. 5584, 10 law. U.S.C. 2774 or 32 U.S.C. 716 or in any Employee means a current employee way questioning the amount or valid- of an agency, including a current mem- ity of the debt by submitting a subse- ber of the Armed Forces or a Reserve of quent claim to the General Accounting the Armed Forces (Reserves). Office. This regulation does not pre- Hearing official means an individual clude an employee from requesting a responsible for conducting any hearing waiver pursuant to other statutory with respect to the existence or provisions applicable to the particular amount of a debt claimed, and who ren- debt being collected. ders a decision on the basis of such (f) Matters not addressed in these hearing. A hearing official may not be regulations should be reviewed in ac- under the supervision or control of the cordance with the Federal Claims Col- Director of Selective Service. lection Standards at 4 CFR 101.1 et seq. Paying Agency means the agency that employs the individual who owes the § 1697.2 Definitions. debt and authorizes the payment of his/ For the purposes of the part the fol- her current pay. lowing definitions will apply: Salary offset means an administrative offset to collect a debt pursuant to 5 Agency means an executive agency as U.S.C. 5514 by deduction(s) at one or is defined at 5 U.S.C. 105 including the more officially established pay inter- U.S. Postal Service and the U.S. Postal vals from the current pay account of Rate Commission; a military depart- an employee without his/her consent. ment as defined in 5 U.S.C. 102; an agency or court in the judicial branch, Waiver means the cancellation, re- including a court as defined in section mission, forgiveness, or non-recovery 610 of title 28 U.S.C., the District Court of a debt allegedly owed by an em- for the Northern Mariana Islands, and ployee to an agency as permitted or re- the Judicial Panel on Multidistrict quired by 5 U.S.C. 5584, 10 U.S.C. 2774., Litigation; an agency of the legislative 32 U.S.C. 716, 5 U.S.C. 8346(b), or any branch including the U.S. Senate and other law. House of Representatives; and other § 1697.3 Applicability. independent establishments that are entities of the federal government. (a) These regulations are to be fol- Creditor agency means the agency to lowed when: which the debt is owed. (1) The Selective Service System is Debt means an amount owed to the owed a debt by an individual currently United States from sources which in- employed by another federal agency; clude loans insured or guaranteed by (2) The Selective Service System is the United States and all other owed a debt by an individual who is a amounts due the United States from current employee of the Selective fees, leases, rents, royalties, services, Service System; or sales of real or personal property, over- (3) The Selective Service System em- payments, penalties, damages, inter- ploys an individual who owes a debt to ests, fines, forfeitures (except those another federal agency. arising under the Uniform Code of Mili- tary Justice) and all other similar § 1697.4 Notice requirements. sources. (a) Deductions shall not be made un- Director means the Director of Selec- less the employee is provided with tive Service or his designee. written notice signed by the Director

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of the debt at least 30 days before sal- erning the program for which the col- ary offset commences. lection is being made; and (b) The written notice shall contain: (13) Unless there are contractual or (1) A statement that the debt is owed statutory provisions to the contrary, a and an explanation of its nature and statement that amounts paid on or de- amount; ducted for the debt which are later (2) The agency’s intention to collect waived or found not owed to the United the debt by deducting from the employ- States will be promptly refunded to the ee’s current disposable pay account; employee. (3) The amount, frequency, proposed beginning date, and duration of the in- § 1697.5 Hearing. tended deduction(s); (a) Request for hearing. (1) An em- (4) An explanation of interest, pen- ployee must file a petition for a hear- alties, and administrative charges, in- ing in accordance with the instructions cluding a statement that such charges outlined in the agency’s notice to off- will be assessed unless excused in ac- set. cordance with the Federal Claims Col- (2) A hearing may be requested by fil- lection Standards at 4 CFR 101.1 et seq.; ing a written petition addressed to the (5) The employee’s right to inspect or Director of Selective Service stating request and receive a copy of govern- why the employee disputes the exist- ment records relating to the debt; ence or amount of the debt. The peti- (6) The opportunity to establish a tion for a hearing must be received by written schedule for the voluntary re- the Director no later than fifteen (15) payment of the debt; calendar days after the date of the no- (7) The right to a hearing conducted tice to offset unless the employee can by an impartial hearing official; show good cause for failing to meet the (8) The methods and time period for deadline date. petitioning for hearings; (b) Hearing procedures. (1) The hearing (9) A statement that the timely filing will be presided over by an impartial of a petition for a hearing will stay the hearing official. commencement of collection pro- (2) The hearing shall conform to proceedings; cedures contained in the Federal (10) A statement that a final decision Claims Collection Standards 4 CFR on the hearing will be issued not later 102.3(c). The burden shall be on the em- than 60 days after the filing of the peti- ployee to demonstrate that the exist- tion requesting the hearing unless the ence or the amount of the debt is in employee requests and the hearing offi- error. cial grants a delay in the proceedings; (11) A statement that any knowingly § 1697.6 Written decision. false or frivolous statements, represen- (a) The hearing official shall issue a tations, or evidence may subject the written opinion no later than 60 days employee to: after the hearing. (i) Disciplinary procedures appro- (b) The written opinion will include: priate under chapter 75 of title 5 a statement of the facts presented to U.S.C., part 752 of title 5, Code of Fed- demonstrate the nature and origin of eral Regulations, or any other applica- the alleged debt; the hearing official’s ble statutes or regulations; analysis, findings and conclusions; the (ii) Penalties under the False Claims amount and validity of the debt, and Act, sections 3729 through 3731 of title the repayment schedule, if applicable. 31 U.S.C., or any other applicable statutory authority; or § 1697.7 Coordinating offset with an- (iii) Criminal penalties under sec- other federal agency. tions 286, 287, 1001, and 1002 of title 18 (a) The Selective Service System as the U.S.C., or any other applicable statu- creditor agency. (1) When the Director tory authority. determines that an employee of a fed- (12) A statement of other rights and eral agency owes a delinquent debt to remedies available to the employee the Selective Service System, the Di- under statutes or regulations gov- rector shall as appropriate:

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(i) Arrange for a hearing upon the pay interval. The employee must re- proper petitioning by the employee; ceive written notice that the Selective (ii) Certify in writing to the paying Service System has received a certified agency that the employee owes the debt claim from the creditor agency, debt, the amount and basis of the debt, the amount of the debt, the date salary the date on which payment is due, the offset will begin, and the amount of the date the government’s right to collect deduction(s). The Selective Service the debt accrued, and that Selective System shall not review the merits of Service System regulations for salary the creditor agency’s determination of offset have been approved by the Office the validity or the amount of the cer- of Personnel Management; tified claim. (iii) If collection must be made in in- (2) If the employee transfers to an- stallments, the Director must advise other agency after the creditor agency the paying agency of the amount or has submitted its debt claim to the Se- percentage of disposable pay to be col- lective Service System and before the lected in each installment; debt is collected completely, the Selec- (iv) Advise the paying agency of the tive Service System must certify the actions taken under 5 U.S.C. 5514(b) total amount collected. One copy of the and provide the dates on which action certification must be furnished to the was taken unless the employee has employee. A copy must be furnished consented to salary offset in writing or the creditor agency with notice of the signed a statement acknowledging re- employee’s transfer. ceipt of procedures required by law. The written consent or acknowledge- § 1697.8 Procedures for salary offset. ment must be sent to the paying agen- (a) Deductions to liquidate an em- cy; ployee’s debt will be by the method and (v) If the employee is in the process in the amount stated in the Director’s of separating, the Selective Service notice of intention to offset as provided System must submit its debt claim to in § 1697.4. Debts will be collected in the paying agency as provided in this one lump sum where possible. If the part. The paying agency must certify employee is financially unable to pay any amounts already collected, notify in one lum sum, collection must be the employee and send a copy of the made in installments. certification and notice of the employ- (b) Debts will be collected by deduc- ee’s separation to the creditor agency. tion at officially established pay inter- If the creditor agency is aware that the vals from an employee’s current pay employee is entitled to Civil Service account unless alternative arrange- Retirement and Disability Fund or ments for repayment are made with similar payments, it must certify to the approval of the Director. the agency responsible for making such (c) Installment deductions will be payments the amount of the debt and made over a period not greater than that the provisions of this part have the anticipated period of employment. been followed; and The size of installment deductions (vi) If the employee has already sepa- must bear a reasonable relationship to rated and all payments due from the the size of the debt and the employee’s paying agency have been paid, the Di- ability to pay. The deduction for the rector may request, unless otherwise pay intervals for any period must not prohibited, that money payable to the exceed 15% of disposable pay unless the employee from the Civil Service Re- employee has agreed in writing to a de- tirement and Disability Fund or other duction of a greater amount. similar funds be collected by adminis- (d) Unliquidated debts may be offset trative offset as provided under 5 CFR against any financial payment due to a 831.1801 or other provisions of law or separated employee including but not regulation. limited to final salary or leave pay- (b) The Selective Service System as the ment in accordance with 31 U.S.C. 3716. paying agency. (1) Upon receipt of a properly certified debt claim from an- § 1697.9 Refunds. other agency, deductions will be sched- (a) The Selective Service System will uled to begin at the next established refund promptly any amounts deducted

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to satisfy debts owed to the Selective SOURCE: 52 FR 24460, July 1, 1987, unless Service System when the debt is otherwise noted. waived, found not owed to the Selec- tive Service System, or when directed § 1698.1 Purpose. by an administrative or judicial order. The provisions of this part prescribe (b) The creditor agency will promptly the procedures for requesting and proc- return any amounts deducted by the essing requests for advisory opinions Selective Service System to satisfy relative to a named individual’s liabil- debts owed to the creditor agency when ity for registration under the Military the debt is waived, found not owed, or Selective Service Act (MSSA), 50 when directed by an administrative or U.S.C. App. 451 et seq. judicial order. (c) Unless required by law, refunds § 1698.2 Requests for advisory opin- under this subsection shall not bear in- ions. terest. (a) Any male born after December 31, § 1697.10 Statute of Limitations. 1959 who has attained 18 years of age If a debt has been outstanding for may request an advisory opinion as to more than 10 years after the agency’s his liability to register under MSSA. A right to collect the debt first accrued, parent or guardian of such person who the agency may not collect by salary is unable to make a request for an ad- offset unless facts material to the gov- visory opinion may request an advisory ernment’s right to collect were not opinion for him. Any Federal, state or known and could not reasonably have municipal governmental agency may been known by the official or officials request an advisory opinion as to the who were charged with the responsi- liability of any male person born after bility for discovery and collection of December 31, 1959 who has attained 18 such debts. years of age to register under MSSA. § 1697.11 Non-waiver of rights. (b) Requests for advisory opinions shall be in writing and addressed to Di- An employee’s involuntary payment rector of Selective Service, ATTN: SIL, of all or any part of a debt collected P.O. Box 94638, Palatine, IL 60094–4638. under these regulations will not be With respect to the person concerning construed as a waiver of any rights that employee may have under 5 U.S.C. whom an advisory opinion is requested, 5514 or any other provision of contract the following should be furnished: full or law unless there are statutes or con- name, address, date of birth, Social Se- tract(s) to the contrary. curity Account Number, basis for the opinion that the registration require- § 1697.12 Interest, penalties, and ad- ment is inapplicable to him, and, if ap- ministrative costs. plicable, basis for his assertion that his Charges may be assessed for interest, failure to register ‘‘. . . was not a penalties, and administrative costs in knowing and willful failure to reg- accordance with the Federal Claims ister.’’ Collection Standards, 4 CFR 102.13 [52 FR 24460, July 1, 1987, as amended at 65 FR 47670, Aug. 3, 2000] PART 1698—ADVISORY OPINIONS § 1698.3 Requests for additional infor- Sec. mation. 1698.1 Purpose. 1698.2 Requests for advisory opinions. (a) The Director may request addi- 1698.3 Requests for additional information. tional appropriate information from 1698.4 Confidentiality of advisory opinions the requester for an advisory opinion. and requests for advisory opinions. (b) The Director will forward a copy 1698.5 Basis for advisory opinions. 1698.6 Issuance of advisory opinions. of the request by a Federal, state or 1698.7 Reconsideration of advisory opinion. municipal governmental agency for an 1698.8 Effect of advisory opinions. advisory opinion to the person to AUTHORITY: Military Selective Service Act, whom the request pertains and invite 50 U.S.C. 451 et seq.; E.O. 11623. his comments on it.

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§ 1698.4 Confidentiality of advisory 1699.130 General prohibitions against dis- opinions and requests for advisory crimination. opinions. 1699.131–1699.139 [Reserved] 1699.140 Employment. Advisory opinions will be confiden- 1699.141–1699.148 [Reserved] tial except as provided in § 1698.6. Re- 1699.149 Program accessibility: discrimina- quests for advisory opinions will be tion prohibited. confidential except as provided in 1699.150 Program accessibility: existing fa- § 1698.3. cilities. 1699.151 Program accessibility: new con- § 1698.5 Basis of advisory opinions. struction and alterations. 1699.152–1699.159 [Reserved] Advisory opinions will be based on 1699.160 Communications. the request therefor, responses to re- 1699.161–1699.169 [Reserved] quests for information, and matters of 1699.170 Compliance procedure. which the Director can take official 1699.171–1699.999 [Reserved] notice. AUTHORITY: 9 U.S.C. 794.

SOURCE: 50 FR 35219, Aug. 30, 1985, unless § 1698.6 Issuance of advisory opinions. otherwise noted. A copy of the advisory opinion will be furnished, without charge, to the re- § 1699.101 Purpose. quester therefor and to the individual The purpose of this part is to effec- to whom it pertains. A copy of an advi- tuate section 119 of the Rehabilitation, sory opinion will be furnished, without Comprehensive Services, and Develop- charge, to any Federal, state, or mu- mental Disabilities Amendments of nicipal governmental agency upon re- 1978, which amended section 504 of the quest. Rehabilitation Act of 1973 to prohibit discrimination on the basis of handicap § 1698.7 Reconsideration of advisory in programs or activities conducted by opinions. Executive agencies or the United Whenever the Director has reason to States Postal Service. believe that there is substantial error in the information on which an advi- § 1699.102 Application. sory opinion is based, he may recon- This part applies to all programs or sider it and issue an appropriate re- activities conducted by the agency. vised opinion. § 1699.103 Definitions. § 1698.8 Effect of advisory opinion. For purposes of this part, the term— The Selective Service System will Agency means the Selective Service not take action with respect to any System. person concerning whom the Director Assistant Attorney General means the has issued an advisory opinion Assistant Attorney General, Civil insonsistent with that advisory opin- Rights Division, United States Depart- ion. ment of Justice. Auxiliary aids means services or de- PART 1699—ENFORCEMENT OF vices that enable persons with im- NONDISCRIMINATION ON THE paired sensory, manual, or speaking BASIS OF HANDICAP IN PRO- skills to have an equal opportunity to GRAMS OR ACTIVITIES CON- participate in, and enjoy the benefits of, programs or activities conducted by DUCTED BY SELECTIVE SERVICE the agency. For example, auxiliary aids SYSTEM useful for persons with impaired vision include readers, Brailled materials, Sec. audio recordings, telecommunications 1699.101 Purpose. devices and other similar services and 1699.102 Application. 1699.103 Definitions. devices. Auxiliary aids useful for per- 1699.104–1699.109 [Reserved] sons with impaired hearing include 1699.110 Self-evaluation. telephone handset amplifiers, tele- 1699.111 Notice. phones compatible with hearing aids, 1699.112–1699.129 [Reserved] telecommunication devices for deaf

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persons (TDD’s), interpreters, misclassified as having, a mental or notetakers, written materials, and physical impairment that substantially other similar services and devices. limits one or more major life activi- Complete complaint means a written ties. statement that contains the complain- (4) Is regarded as having an impairment ant’s name and address and describes means— the agency’s alleged discriminatory ac- (i) Has a physical or mental impair- tion in sufficient detail to inform the ment that does not substantially limit agency of the nature and date of the al- major life activities but is treated by leged violation of section 504. It shall the agency as constituting such a limi- be signed by the complainant or by tation; someone authorized to do so on his or (ii) Has a physical or mental impair- her behalf. Complaints filed on behalf ment that substantially limits major of classes or third parties shall describe life activities only as a result of the at- or identify (by name, if possible) the titudes of others toward such impair- alleged victims of discrimination. ment; or Facility means all or any portion of (iii) Has none of the impairments de- buildings, structures, equipment, fined in paragraph (l) of this definition roads, walks, parking lots, rolling but is treated by the agency as having stock or other conveyances, or other such an impairment. real or personal property. Qualified handicapped person means— Handicapped person means any person (1) With respect to any agency pro- who has a physical or mental impair- gram or activity under which a person ment that substantially limits one or is required to perform services or to more major life activities, has a record achieve a level of accomplishment, a of such an impairment, or is regarded handicapped person who meets the es- as having such an impairment. sential eligibility requirements and As used in this definition, the phrase: who can achieve the purpose of the pro- (1) Physical or mental impairment in- gram or activity without modifications cludes— in the program or activity that the (i) Any physiological disorder or con- agency can demonstrate would result dition, cosmetic disfigurement, or ana- in a fundamental alteration in its na- tomical loss affecting one or more of ture; or the following body systems: Neuro- (2) With respect to any other pro- logical; musculoskeletal; special sense gram or activity, a handicapped person organs; respiratory, including speech who meets the essential eligibility re- organs; cardiovascular; reproductive; quirements for participation in, or re- digestive; genitourinary; hemic and ceipt of benefits from, that program or lymphatic; skin; and endocrine; or activity. (ii) Any mental or psychological dis- Section 504 means section 504 of the order, such as mental retardation, or- Rehabilitation Act of 1973 (Pub. L. 93– ganic brain syndrome, emotional or 112, 87 Stat. 394 (29 U.S.C. 794)), as mental illness, and specific learning amended by the Rehabilitation Act disabilities. The term physical or mental Amendments of 1974 (Pub. L. 93–516, 88 impairment includes, but is not limited Stat. 1617), and the Rehabilitation, to, such disease and conditions as or- Comprehensive Services, and Develop- thopedic, visual, speech, and hearing ment Disabilities Amendments of 1978 impairments, cerebral palsy, epilepsy, (Pub. L. 95–602, 92 Stat. 2955). As used muscular dystrophy, multiple sclerosis, in this part, section 504 applies only to cancer, heart disease, diabetes, mental programs or activities conducted by retardation, emotional illness, and Executive agencies and not to federally drug addition and alcoholism. assisted programs. (2) Major life activities includes functions such as caring for one’s self, per- §§ 1699.104–1699.109 [Reserved] forming manual tasks, walking, seeing, hearing, speaking, breathing, learning, § 1699.110 Self-evaluation. and working. (a) The agency shall, within one year (3) Has a record of such an impairment of the effective date of this part, evalu- means has a history of, or has been ate its current policies and practices,

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and the effects thereof, that do not or (ii) Afford a qualified handicapped may not meet the requirements of this person an opportunity to participate in part, and, to the extent modification of or benefit from the aid, benefit, or any such policies and practices is re- service that is not equal to that af- quired, the agency shall proceed to forded others; make the necessary modifications. (iii) Provide a qualified handicapped (b) The agency shall provide an op- person with an aid, benefit, or service portunity to interested persons, includ- that is not as effective in affording ing handicapped persons or organiza- equal opportunity to obtain the same tions representing handicapped per- result, to gain the same benefit, or to sons, to participate in the self-evalua- reach the same level of achievement as tion process by submitting comments that provided to others; (both oral and written). (iv) Provide different or separate aid, (c) The agency shall, for at least benefits, or services to handicapped three years following completion of the persons or to any class of handicapped evaluation required under paragraph persons than is provided to others un- (a) of this section, maintain on file and less such action is necessary to provide make available for public inspection— qualified handicapped persons with (1) A description of areas examined aids, benefits, or services that are as and any problems identified; and effective as those provided to others; (v) Deny a qualified handicapped per- (2) A description of any modifications son the opportunity to participate as a made. member of planning or advisory boards; § 1699.111 Notice. or (vi) Otherwise limit a qualified The agency shall make available to handicapped person in the enjoyment employees, applicants, participants, of any right, privilege, advantage, or beneficiaries, and other interested per- opportunity enjoyed by others receiv- sons such information regarding the ing the aid, benefit, or service. provisions of this part and its applica- (2) The agency may not deny a quali- bility to the programs or activities fied handicapped person the oppor- conducted by the agency, and make tunity to participate in programs or such information available to them in activities that are not separate or dif- such manner as the agency head finds ferent, despite the existence of permis- necessary to apprise such persons of sibly separate or different programs or the protections against discrimination activities. assured them by section 504 and its reg- (3) The agency may not, directly or ulation. through contractual or other arrangements, utilize criteria or methods of §§ 1699.112–1699.129 [Reserved] administration the purpose or effect of which would— § 1699.130 General prohibitions (i) Subject qualified handicapped per- against discrimination. sons to discrimination on the basis of (a) No qualified handicapped person handicap; or shall, on the basis of handicap, be ex- (ii) Defeat or substantially impair ac- cluded from participation in, be denied complishment of the objectives of a the benefits of, or otherwise be sub- program or activity with respect to jected to discrimination under any pro- handicapped persons. gram or activity conducted by the (4) The agency may not, in deter- agency. mining the site or location of a facil- (b)(1) The agency, in providing any ity, make selections the purpose or ef- aid, benefit or service, may not, di- fect of which would— rectly or through contractual, licens- (i) Exclude handicapped persons ing, or other arrangements, on the from, deny them the benefits of, or oth- basis of handicap— erwise subject them to discrimination (i) Deny a qualified handicapped per- under, any program or activity con- son the opportunity to participate in ducted by the agency; or or benefit from the aid, benefit, or (ii) Defeat or substantially impair service; the accomplishment of the objectives

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of a program or activity with respect benefits of, be excluded from participa- to handicapped persons. tion in, or otherwise be subject to dis- (5) The agency, in the selection of crimination under any program or ac- procurement contractors, may not use tivity conducted by the agency. criteria that subject qualified handicapped persons to discrimination on § 1699.150 Program accessibility: exist- the basis of handicap. ing facilities. (6) The agency may not administer a (a) General. The agency shall operate licensing or certification program in a each program or activity so that the manner that subjects qualified handi- program or activity, when viewed in its capped persons to discrimination on entirety, is readily accessible to and the basis of handicap, nor may the usable by handicapped persons. This agency establish requirements for the paragraph does not— programs or activities of licensees or (1) Necessarily require the agency to certified entities that subject qualified handicapped persons to discrimination make each of its existing facilities ac- on the basis of handicap. However, the cessible to and usable by handicapped programs or activities of entities that persons; are licensed or certified by the agency (2) Require the agency to take any are not, themselves, covered by this action that it can demonstrate would part. result in a fundamental alteration in (c) The exclusion of nonhandicapped the nature of a program or activity or persons from the benefits of a program in undue financial and administrative limited by Federal statute or Execu- burdens. In those circumstances where tive order to handicapped persons or agency personnel believe that the pro- the exclusion of a specific class of posed action would fundamentally handicapped persons from a program alter the program or activity or would limited by Federal statute or Execu- result in undue financial and adminis- tive order to a different class of handi- trative burdens, the agency has the capped person is not prohibited by this burden of proving that compliance with part. § 1699.150(a) would result in such alter- (d) The agency shall administer pro- ations or burdens. The decision that grams and activities in the most inte- compliance would result in such alter- grated setting appropriate to the needs ation or burdens must be made by the of qualified handicapped persons. agency head after considering all agency resources available for use in the §§ 1699.131–1699.139 [Reserved] funding and operation of the conducted § 1699.140 Employment. program or activity, and must be accompanied by a written statement of No qualified handicapped person the reasons for reaching that conclu- shall, on the basis of handicap, be sub- sion. If an action would result in such jected to discrimination in employ- an alteration or such burdens, the ment under any program or activity agency shall take any other action conducted by the agency. The defini- that would not result in such an alter- tions, requirements and procedures of ation or such burdens but would never- section 501 of the Rehabilitation Act of theless ensure that handicapped per- 1973 (29 U.S.C. 791), as established in 29 sons receive the benefits and services CFR part 1613, shall apply to employ- of the program or activity. ment in federally conducted programs or activities. (b) Methods. The agency may comply with the requirements of this section §§ 1699.141–1699.148 [Reserved] through such means as redesign of equipment, reassignment of services to § 1699.149 Program accessibility: dis- accessible buildings, assignment of crimination prohibited. aides to beneficiaries, home visits, de- Except as otherwise provided in livery of services at alternate acces- § 1699.150, no qualified handicapped per- sible sites, alteration of existing facili- sons shall, because the agency’s facilities and construction of new facilities, ties are inaccessible to or unusable by use of accessible rolling stock, or any handicapped persons, be denied the other methods that result in making

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its programs or activities readily ac- (4) Indicate the officials responsible cessible to and usable by handicapped for implementation of the plan. persons. The agency is not required to make structural changes in existing fa- § 1699.151 Program accessibility: new cilities where other methods are effec- construction and alterations. tive in achieving compliance with this Each building or part of a building section. The agency, in making alter- that is constructed or altered by, on ations to existing buildings, shall meet behalf of, or for the use of the agency accessibility requirements to the ex- shall be designed, constructed, or al- tent compelled by the Architectural tered so as to be readily accessible to Barriers Act of 1968, as amended (42 and usable by handcapped persons. The U.S.C. 4141 through 4157), and any regu- definitions, requirements, and stand- lations implementing it. In choosing ards of the Architectural Barriers Act among available methods for meeting (42 U.S.C. 4151 through 4157), as estab- the requirements of this section, the lished in 41 CFR 101–19.600 to 14–19.607, agency shall give priority to those methods that offer programs and ac- apply to buildings covered by this sec- tivities to qualified handicapped per- tion. sons in the most integrated setting ap- §§ 1699.152–1699.159 [Reserved] propriate. (c) Time period for compliance. The § 1699.160 Communications. agency shall comply with the obligations established under this section (a) The agency shall take appropriate within sixty days of the effective date steps to ensure effective communica- of this part except that where struction with applicants, participants, per- tural changes in facilities are under- sonnel of other Federal entities, and taken, such changes shall be made members of the public. within three years of the effective date (1) The agency shall furnish appro- of this part, but in any event as expedi- priate auxiliary aid where necessary to tiously as possible. afford a handicapped person an equal (d) Transition plan. In the event that opportunity to participate in, and structural changes to facilities will be enjoy the benefits of, a program or ac- undertaken to achieve program acces- tivity conducted by the agency. sibility, the agency shall develop, with- (i) In determining what type of auxil- in six months of the effective date of iary aid is necessary, the agency shall this part, a transition plan setting give primary consideration to the re- forth the steps necessary to complete quests of the handicapped person. such changes. The agency shall provide (ii) The agency need not provide indian opportunity to interested persons, vidually prescribed devices, readers for including handicapped persons or orga- personal use or study, or other devices nizations representing handicapped of a personal nature. persons, to participate in the develop- (2) Where the agency communicates ment of the transition by submitting with applicants and beneficiaries by comments (both oral and written). A copy of the transition plan shall be telephone, telecommunications devices made available for public inspection. for deaf persons (TDD’s), or equally ef- The plan shall, at a minimum— fective telecommunication systems (1) Identify physical obstacles in the shall be used. agency’s facilities that limit the acces- (b) The agency shall ensure that in- sibility of its programs or activities to terested persons, including persons handicapped persons; with impaired vision or hearing, can (2) Describe in detail the methods obtain information as to the existence that will be used to make the facilities and location of accessible services, ac- accessible; tivities, and facilities. (3) Specify the schedule for taking (c) The agency shall provide signs at the steps necessary to achieve compli- a primary entrance to each of its inac- ance with this section and, at the time, cessible facilities, directing users to a identify steps that will be taken during location at which they can obtain in- each year of the transition period; and formation about accessible facilities.

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The international symbol for accessi- days of the alleged act of discrimina- bility shall be used at each primary en- tion. The agency may extend this time trance of an accessible facility. period for good cause. (d) This section does not require the (e) If the agency receives a complaint agency to take any action that it can over which it does not have jurisdic- demonstrate would result in a funda- tion, it shall promptly notify the com- mental alteration in the nature of a plainant and shall make reasonable ef- program or activity or in undue finan- forts to refer the complaint to the ap- cial and administrative burdens. In propriate government entity. those circumstances where agency per- (f) The agency shall notify the Archi- sonnel believe that the proposed action tectural and Transportation Barriers would fundamentally alter the program Compliance Board upon receipt of any or activity or would result in undue fi- complaint alleging that a building or nancial and administrative burdens, facility that is subject to the Architec- the agency has the burden of proving tural Barriers Act of 1968, as amended that compliance with § 1699.160 would (42 U.S.C. 4151 through 4157), or section result in such alteration or burdens. 502 of the Rehabilitation Act of 1973, as The decision that compliance would re- amended (29 U.S.C. 792), is not readily sult in such alteration or burdens must accessible and usable to handicapped be made by the agency head after con- persons. sidering all agency resources available (g) Within 180 days of the receipt of a for use in the funding and operation of complete complaint for which it has ju- the conducted program or activity, and risdiction, the agency shall notify the must be accompanied by a written complainant of the results of the inves- statement of the reasons for reaching tigation in a letter containing— that conclusion. If an action required (1) Findings of fact and conclusion of to comply with this section would re- law; sult in such burdens, the agency shall (2) A description of a remedy of each take any other action that would not violation found; and result in such an alteration or such (3) A notice of the right to appeal. burdens but would nevertheless ensure (h) Appeals of the findings of fact and conclusions of law or remedies must be that, to the maximum extent possible, filed by the complainant within 90 days handicapped persons receive the bene- of receipt from the agency of the letter fits and services of the program or ac- required by § 1699.170(g). The agency tivity. may extend this time for good cause. §§ 1699.161–1699.169 [Reserved] (i) Timely appeals shall be accepted and processed by the Director of Selec- § 1699.170 Compliance procedure. tive Service. (j) The agency shall notify the com- (a) Except as provided in paragraph plainant of the results of the appeal (b) of this section, this section applies within 60 days of the receipt of the re- to all allegations of discrimination on quest. If the agency determines that it the basis of handicap in programs or needs additional information from the activities conducted by the agency. complainant, it shall have 60 days from (b) The agency shall process com- the date it receives the additional in- plaints alleging violations of section formation to make its determination 504 with respect to employment accord- on the appeal. ing to the procedures established in 29 (k) The time limits cited in para- CFR part 1613 pursuant to section 501 graphs (g) and (j) of this section may be of the Rehabilitation Act of 1973 (29 extended with the permission of the U.S.C. 791). Assistant Attorney General. (c) Responsibility for implementa- (l) The agency may delegate its au- tion and operation of this section shall thority for conducting complaint in- be vested in the Associate Director for vestigations to other Federal agencies, Administration. except that the authority for making (d) The agency shall accept and in- the final determination may not be vestigate all complete complaints for delegated. which it has jurisdiction. All complete complaints must be filed within 180 §§ 1699.171–1699.999 [Reserved] 370

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Part Page 1700 Procedures for Disclosure of Records Pursuant to the Freedom of Information Act ...... 373 1701 Administration of Records Under the Privacy Act of 1974 ...... 380 1702 Procedures governing the acceptance of service of process ...... 399 1703 Production of ODNI information or material in proceedings before Federal, State, local or other government entity of competent jurisdiction ...... 400

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under the auspices of a qualifying in- (k) Potential requester means a person, stitution and that the records are not organization, or other entity who sub- sought for a commercial use but are mits an expression of interest. sought to further scholarly research. (3) Noncommercial scientific institution: § 1700.3 Contact for general information and requests. An institution that is not operated on a commercial basis, as that term is de- For general information on this Part, fined in paragraph (h)(1) of this section, to inquire about the FOIA program at and that is operated solely for the pur- ODNI, or to file a FOIA request (or expose of conducting scientific research pression of interest), please direct com- the results of which are not intended to munication in writing to the Office of the Director of National Intelligence, promote any particular product or in- Chief FOIA Officer c/o Director, Infor- dustry. To be in this category, a re- mation Management Office, Wash- quester must show that the request is ington, DC 20511 by mail or by fac- authorized by and is made under the simile at (703) 482–2144. FOIA requests auspices of a qualifying institution and can also be submitted by electronic that the records are not sought for a mail to FOIA @ dni.gov. For general in- commercial use but are sought to fur- formation or status information on ther scientific research. pending cases only, call the ODNI FOIA (4) Representative of the news media: Customer Service Center at (571) 204– An individual actively gathering news 4774. for an entity that is organized and operated to publish and broadcast news § 1700.4 Preliminary information. to the public and pursuant to the enti- Members of the public shall address ty’s news dissemination function and all communications to the point of not its commercial interests; the term contact specified in § 1700.3 and clearly ‘‘news’’ means information which con- delineate the communication as a re- cerns current events, would be of cur- quest under the FOIA. ODNI staff who rent interest to the general public, receive a FOIA request shall expedi- would enhance the public under- tiously forward the request to the Di- standing of the operations or activities rector, Information Management Office of the U.S. Government, and is in fact (IMO). Requests and appeals (as well as disseminated to a significant element referrals and consultations) received of the public at minimal cost; freelance from FOIA requesters who owe out- journalists are included in this defini- standing fees for information services tion if they provide sufficient evidence at this or other federal agencies will to justify an expectation of publication not be accepted and action on all pend- through such an organization, even ing requests shall be terminated in though not actually employed by it; a such circumstances. publication contract or prior publica- § 1700.5 Requirements as to form and tion record is relevant to such status; content. (5) All other: A request from an indi- (a) Required information. No par- vidual not within paragraphs (h)(1), (2), ticular form is required. A request (3), or (4) of this section; must reasonably describe the record or (i) Freedom of Information Act, records being sought and be submitted ‘‘FOIA,’’ or ‘‘the Act’’ means the stat- in accordance with this regulation. ute as codified at 5 U.S.C. 552; Documents must be described suffi- (j) ODNI means the Office of the Di- ciently to enable a staff member famil- rector of National Intelligence and its iar with the subject to locate the docu- component organizations. It does not ments with a reasonable amount of ef- include other members of the Intel- fort. Whenever possible, your request ligence Community as defined in 50 should include specific information U.S.C. 401a, or other federal entities about each record sought, such as the subsequently designated in accordance date, title or name, author, recipient, with this authority, unless specifically and the subject matter of the record. designated as included in this Part or As a general rule, the more specific you in the notice of a system of records; are about the records or type of records

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that you want, the more likely it will may be appealed to the Director of the be that the IMO will be able to locate Intelligence Staff, or his functional records responsive to your request. The equivalent, through the ODNI Chief IMO will provide you an opportunity to FOIA Officer. A requester is encour- discuss your request with it so that aged to provide any explanation or ar- you may modify your request to meet gument as to how his or her request the requirements of this section. If satisfies the requirements of this regu- after having been asked to do so you do lation and the Act. See § 1700.14 for fur- not provide the IMO with information ther details on appeals. sufficient to enable it to locate respon- (d) Time for fee waiver requests and ap- sive records your request will be peals. Appeals should be resolved prior closed. to the initiation of processing and the (b) Additional information for fee deter- incurring of costs. However, fee waiver mination. A requester must provide suf- requests will be accepted at any time ficient personally identifying informa- prior to an agency decision regarding tion to allow staff to determine the ap- the request, except when processing propriate fee category and to contact has been initiated, in which case the the requester easily. requester must agree to be responsible § 1700.6 Fees for records services. for costs in the event of an adverse administrative or judicial decision. (a) In general. Search, review, and re- (e) Agreement to pay fees. If you make production fees will be charged in ac- a FOIA request, it shall be considered a cordance with the provisions below re- firm commitment by you to pay all ap- lating to schedule, limitations, and category of requester. Applicable fees plicable fees chargeable under this reg- will be due even if a subsequent search ulation, up to and including the locates no responsive records or some amount of $25.00, unless you ask for a or all of the responsive records must be waiver of fees. When making a request, denied under one or more of the exemp- you may specify a willingness to pay a tions of the FOIA. greater or lesser amount. (b) Fee waiver requests. Records will (f) Advance payment. The ODNI may be furnished without charge or at a re- require an advance payment of up to duced rate when ODNI determines: 100 percent of the estimated fees when (1) As a matter of administrative dis- projected fees exceed $250.00, not in- cretion, the interest of the United cluding charges associated with the States Government would be served, or first 100 pages of production and two (2) It is in the public interest to pro- hours of search (when applicable), or vide responsive records because the dis- when the requester previously failed to closure is likely to contribute signifi- pay fees in a timely fashion, for fees of cantly to the public understanding of any amount. ODNI will hold in abey- the operations or activities of the ance for 45 days those requests where United States Government and is not advance payment has been requested. primarily in the commercial interest of (g) Schedule of fees.—(1) In general. the requester. The schedule of fees for services per- (c) Fee waiver appeals. Denials of re- formed in responding to requests for quests for fee waivers or reductions records is as follows:

Personnel Search and Review

Clerical/Technical ...... Quarter hour ...... $5.00 Professional/Supervisory ...... Quarter hour ...... 10.00 Manager/Senior Professional ...... Quarter hour ...... 18.00

Computer Search and Production

Search (on-line) ...... Flat rate ...... 10.00 Search (off-line) ...... Flat rate ...... 30.00 Other activity ...... Per minute ...... 10.00 Tapes (mainframe cassette) ...... Each ...... 9.00

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Tapes (mainframe cartridge) ...... Each ...... 9.00 Tapes (mainframe reel) ...... Each ...... 20.00 Tapes (PC 9mm) ...... Each ...... 25.00 Diskette (3.5″) ...... Each ...... 4.00 CD (bulk recorded) ...... Each ...... 10.00 CD (recordable) ...... Each ...... 20.00 Telecommunications ...... Per minute ...... 50 Paper (mainframe printer) ...... Per page ...... 10 Paper (PC b&w laser printer) ...... Per page ...... 10 Paper (PC color printer) ...... Per page ...... 1.00

Paper Production

Photocopy (standard or legal) ...... Per page ...... 10 Microfiche ...... Per frame ...... 20 Pre-printed (if available) ...... Per 100 pages ...... 5.00 Published (if available) ...... Per item ...... NTIS

(2) Application of schedule. Personnel cational and non-commercial scientific search time includes time expended in institution requesters, representatives manual paper records searches, indices of the news media requesters, and all searches, review of computer search re- other requesters. The categories are de- sults for relevance, and personal com- fined in § 1700.2 and applicable fees will puter system searches. In any event be assessed as follows: where the actual cost to ODNI of a par- (1) Commercial use requesters: ticular item is less than the above Charges which recover the full direct schedule (e.g., a large production run of costs of searching for, reviewing, and a document resulting in a cost less duplicating responsive records (if any); than $5.00 per hundred pages), then the (2) Educational and non-commercial actual lesser cost will be charged. scientific institution requesters, and (3) Other services. For all other types representatives of the news media re- of output, production, or reproduction questers: Only charges for reproduction (e.g., photographs, maps, or published beyond the first 100 pages; reports), ODNI will charge actual cost (3) All other requesters: Charges or amounts authorized by statute. De- which recover the full direct cost of terminations of actual cost shall in- searching for and reproducing respon- clude the commercial cost of the sive records (if any) beyond the first media, the personnel time expended in 100 pages of reproduction and the first making the item to be released, and an two hours of search time which will be allocated cost of the equipment used in furnished without charge. making the item, or, if the production (j) Associated requests. If it appears a is effected by a commercial service, requester or a group of requesters act- then that charge shall be deemed the ing in concert have requested portions actual cost for purposes of this regula- of an apparently unitary request for tion. the purpose of avoiding the assessment (h) Limitations on collection of fees—(1) of fees, ODNI may aggregate any such In general. No fees will be charged if requests and charge accordingly. Re- the cost of collecting the fee is equal to quests from multiple requesters will or greater than the fee itself. That cost not be aggregated without clear evi- includes the administrative costs to dence. ODNI will not aggregate mul- ODNI of billing, receiving, recording, tiple unrelated requests. and processing the fee for deposit to the Treasury Department and, as of the § 1700.7 Processing of requests for date of these regulations, is deemed to records. be $10.00. (a) In general. Requests meeting the (i) Fee categories. There are four cat- requirements of § 1700.3 through § 1700.6 egories of FOIA requesters for fee pur- shall be accepted as formal requests poses: Commercial use requesters, edu- and processed under the FOIA and this

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Part. A request will not be considered within the specified limits of its faster received until it reaches the IMO. Ordi- track. narily upon its receipt a request will be date-stamped as received. It is this § 1700.8 Action on the request. date that establishes when your re- (a) Initial action for access. ODNI staff quest is received for administrative identified to search for records pursu- purposes, not any earlier date such as ant to a FOIA request shall search all the date of the letter or its postmark relevant record systems within their date. For the quickest possible han- cognizance as of the date the search is dling, both the request letter and the commenced. A staff member tasked to envelope should be marked ‘‘Freedom conduct a search shall: of Information Act Request.’’ (1) Determine whether records exist; (b) Electronic Reading Room. ODNI (2) Determine whether and to what maintains an online FOIA Reading extent any FOIA exemptions apply; Room on the ODNI Web site which con- (3) Make recommendations for with- tains the information that the FOIA holding records or portions of records requires be routinely made available that originated in the staff member’s for public inspection and copying as organization and for which there is a well as other information determined legal basis for denial or make a rec- to be of general public interest. ommendation in accordance with (c) Confirming the existence of certain § 1700.7(c). In making recommendations, documents. In processing a request, ODNI staff shall be guided by the pro- ODNI shall decline to confirm or deny cedures specified in § 1700.10 regarding the existence of responsive records confidential commercial information whenever the fact of their existence or and § 1700.11 regarding third party in- nonexistence is itself classified under formation; and (4) Forward to the Director, IMO, all Executive Order 12,958 and its amend- records responsive to the request. ing orders, reveals intelligence sources (b) Referrals and consultations. ODNI and methods protected pursuant to 50 records containing information origi- U.S.C. 403–1(i)(1), or would be an inva- nated by other ODNI components shall sion of the personal privacy of third be forwarded to those entities for ac- parties. In such circumstances, ODNI, tion in accordance with paragraph (a) in its final written response, shall so of this section and returned. Records inform the requester and advise of his originated by other federal agencies or or her right to file an administrative ODNI records containing other federal appeal. agency information shall be forwarded (d) Time for response. Whenever the to such agencies for processing and di- statutory time limits for processing a rect response to the requester or for request cannot be met because of ‘‘un- consultation and return to the ODNI. usual circumstances,’’ as defined in the ODNI will notify the requester if it FOIA, and the component determines makes a referral for direct response. to extend the time limits on that basis, (c) Release of information. When the ODNI will inform the requester in writ- Director, IMO (or Appeals Authority) ing and advise the requester of the makes a final determination to release right to narrow the scope of his or her records, the records will be forwarded request or agree to an alternative to the requester in an appropriate for- timeframe for processing. mat promptly upon compliance with (e) Multitrack processing. ODNI may any preliminary procedural require- use two or more processing tracks by ments, including payment of fees. If distinguishing between simple and any portion of a record is withheld ini- more complex requests based on the tially or upon appeal, the Director, amount of work and/or time needed to IMO (or Appeals Authority) will pro- process the request, including through vide a written response that shall in- limits based on the number of pages include, at a minimum: volved. ODNI may provide requesters (1) The basis for the withholding, cit- in its slower track with an opportunity ing the specific statutory exemption or to limit the scope of their requests in exemptions invoked under the FOIA order to qualify for faster processing with respect to each portion withheld,

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unless documents are withheld in ac- vided to the United States Government cordance with § 1700.7(c); by a submitter which is reasonably be- (2) When the withholding is based in lieved to contain information exempt whole or in part on a security classi- from release under Exemption 4 of the fication, the explanation shall include FOIA, 5 U.S.C. 552(b)(4), because disclo- a determination that the record meets sure could reasonably be expected to the cited criteria and rationale of the cause substantial competitive harm; governing Executive Order; and (3) When the denial is based on 5 (3) Submitter means any person or en- U.S.C. 552(b)(3), the statute relied upon; tity who provides confidential commer- and cial information to the United States (4) Notice to the requester of the Government; it includes, but is not right to judicial review. limited to, corporations, businesses § 1700.9 Payment of fees, notification (however organized), State govern- of decision, and right of appeal. ments, and foreign governments. (a) Fees in general. Fees collected (b) Designation of confidential commer- under this part do not accrue to ODNI cial information. A submitter of busi- and shall be deposited immediately to ness information will use good-faith ef- the general account of the United forts to designate, by appropriate States Treasury. markings, either at the time of submis- (b) Notification of decision. Upon com- sion or at a reasonable time thereafter, pletion of all required review and the any portions of its submission that it receipt of accrued fees (or promise to considers to be confidential commer- pay such fees), ODNI will promptly in- cial information and hence protected form the requester in writing of those from required disclosure pursuant to records or portions of records that will Exemption 4 of the FOIA. Such des- be released and those that will be de- ignations shall expire 10 years after the nied. date of the submission unless the sub- (1) For documents to be released, mitter requests, and provides justifica- ODNI will provide paper copies or docu- tion for, a longer designation period. ments on electronic media, if requested (c) Process in event of FOIA request— and available; (1) Notice to submitters. ODNI shall pro- (2) For documents not released or vide a submitter with prompt written partially released, ODNI shall explain notice of receipt of a FOIA request en- the reasons for any denial and give no- compassing business information when- tice of a right of administrative appeal. ever: For partial releases, redactions will be (i) The submitter has in good faith made to ensure requesters can see the designated the information as con- placement and general length of fidential commercial information, or redactions with the applicable exemp- (ii) ODNI staff believe that disclosure tion or exemptions clearly with respect of the information could reasonably be to each redaction. expected to cause substantial competi- § 1700.10 Procedures for business in- tive harm, and formation. (iii) The information was submitted (a) In general. Business information within the last 10 years unless the sub- obtained by ODNI from a submitter mitter requested and provided accept- shall not be disclosed pursuant to a able justification for a specific notice FOIA request except in accordance period of greater duration. with this section. For purposes of this (2) Form of notice. Communication to section, the following definitions a submitter of commercial information apply: shall either describe the exact nature (1) Business information means com- of the confidential commercial infor- mercial or financial information in mation at issue or provide copies of the which a legal entity has a recognized responsive records containing such in- property interest; formation. (2) Confidential commercial information (3) Response by submitter. (i) Within means such business information pro- seven days of the notice described in

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paragraph (c)(1), all claims of confiden- shall not apply if ODNI determines tiality by a submitter must be sup- that: ported by a detailed statement of any (i) The information should not be dis- objection to disclosure. Such state- closed, pursuant to Exemption 4 and/or ment shall: any other exemption of the FOIA; (A) Affirm that the information has (ii) The information has been pub- not been disclosed to the public; lished lawfully or has been officially (B) Explain why the information is a made available to the public; trade secret or confidential commer- (iii) The disclosure of the informa- cial information; tion is otherwise required by law or (C) Explain in detail how disclosure federal regulation; or of the information will result in sub- (iv) The designation made by the substantial competitive harm; mitter under this section appears frivo- (D) Affirm that the submitter will lous, except that, in such a case, the provide ODNI and the Department of ODNI will, within a reasonable time Justice with such litigation support as prior to the specified disclosure date, requested; and give the submitter written notice of (E) Be certified by an officer author- any final decision to disclose the infor- ized to legally bind the submitter. mation. (ii) It should be noted that information provided by a submitter pursuant § 1700.11 Procedures for information to this provision may itself be subject concerning other persons. to disclosure under the FOIA. (a) In general. Personal information (4) Decision and notice of intent to dis- concerning individuals other than the close. (i) ODNI shall consider carefully requester shall not be disclosed under a submitter’s objections and specific grounds for nondisclosure prior to its the FOIA if the proposed release would final determination. If the Director, constitute a clearly unwarranted inva- IMO, decides to disclose a document sion of personal privacy, or, if the in- over the objection of a submitter, formation was compiled for law en- ODNI shall provide the submitter a forcement purposes, it could reason- written notice that shall include: ably be expected to constitute an un- (A) A statement of the reasons for warranted invasion of personal privacy. which the submitter’s disclosure objec- See 5 U.S.C. 552 (b)(6) and (b)(7)(C). For tions were not sustained; purposes of this section, the following (B) A description of the information definitions apply: to be disclosed; and (1) Personal information means any (C) A specified disclosure date that is information about an individual that is seven days after the date of the instant not a matter of public record, or easily notice. discernible to the public, or protected (ii) When notice is given to a sub- from disclosure because of the implica- mitter under this section, the ODNI tions that arise from Government pos- shall also notify the requester and, if session of such information. the ODNI notifies a submitter that it (2) Public interest means the public intends to disclose information, then interest in understanding the oper- the requester shall be notified also and ations and activities of the United given the proposed date for disclosure. States Government and not simply any (5) Notice of FOIA lawsuit. If a re- matter that might be of general inter- quester initiates legal action seeking est to the requester or members of the to compel disclosure of information as- public. serted to be within the scope of this (b) Determination to be made. In mak- section, ODNI shall promptly notify ing the required determination under the submitter. The submitter, as speci- this section and pursuant to Exemp- fied above, shall provide such litigation tions 6 and 7(C) of the FOIA, ODNI will assistance as required by ODNI and the balance the privacy interests that Department of Justice. would be compromised by disclosure (6) Exceptions to notice requirement. against the public interest in release of The notice requirements of this section the requested information.

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(c) Otherwise. A requester seeking in- determination that no records exist, formation on a third party is encour- should submit a written request for re- aged to provide a signed affidavit or view to the Chief FOIA Officer c/o Di- declaration from the third party con- rector, Information Management Of- senting to disclosure of the informa- fice, Office of the Director of National tion. However, any such statements Intelligence, Washington, DC 20511. The shall be narrowly construed and the Di- words ‘‘FOIA APPEAL’’ should be writ- rector, IMO, in the exercise of that offi- ten on the letter and the envelope. The cer’s discretion and administrative au- appeal must be signed by the individual thority, may seek clarification from or his legal counsel. the third party prior to any or all re- (b) Requirements as to time and form. leases. Appeals of adverse decisions must be received within 45 days of the date of § 1700.12 Requests for expedited proc- the ODNI’s initial decision. Requesters essing. should include a statement of the rea- (a) In general. All requests will be sons supporting the request for rever- handled in the order received on a sal of the initial decision. strictly ‘‘first-in, first-out’’ basis. Ex- (c) Exceptions. No appeal shall be ac- ceptions to this rule will only be made cepted if the requester has outstanding in accordance with the following proce- fees for information services at this or dures. another federal agency. In addition, no (b) Procedure. A requester who seeks appeal shall be accepted if the informa- expedited processing must submit a tion in question has been the subject of statement, certified to be true and cor- an administrative review within the rect, explaining in detail the basis for previous two years or is the subject of requesting expedited processing. With- pending litigation in the Federal in ten calendar days of its receipt of a courts. request for expedited processing, the IMO shall decide whether to grant it § 1700.14 Action by appeals authority. and shall notify the requester of the (a) The Director of the Intelligence decision. If a request for expedited Staff, after consultation with any processing is granted, the request shall ODNI component organization involved be given priority and shall be processed in the initial decision as well as with as soon as practicable. the Office of General Counsel, will (c) Determination to be made: Requests make a final determination on the ap- and appeals will be taken out of order peal. Appeals of denials of requests for and given expedited processing treat- expedited processing shall be acted on ment whenever it is determined that expeditiously. they involve: (b) The Director, IMO, will ordinarily (1) Circumstances in which the lack be the initial deciding official on FOIA of expedited treatment could reason- requests to the ODNI. However, in the ably be expected to pose an imminent event the Director of the Intelligence threat to the life or physical safety of Staff makes an initial decision that is an individual; or later appealed, the Principal Deputy (2) An urgency to inform the public Director for National Intelligence will concerning an actual or alleged Fed- decide the appeal in accordance with eral Government activity, if made by a the procedures in this section. person primarily engaged in disseminating information. PART 1701—ADMINISTRATION OF § 1700.13 Right to appeal and appeal RECORDS UNDER THE PRIVACY procedures. ACT OF 1974 (a) Right to appeal. Individuals who disagree with a decision not to produce Subpart A—Protection of Privacy and Ac- a document or parts of a document, to cess to Individual Records Under the deny a fee category request, to deny a Privacy Act of 1974 request for a fee waiver or fee reduc- Sec. tion, to deny expedited processing, or a 1701.1 Purpose, scope, applicability. decision regarding a fee estimate or a 1701.2 Definitions.

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1701.3 Contact for general information and selves and request an accounting of dis- requests. closures of those records by the ODNI. 1701.4 Privacy Act responsibilities/policy. In addition, this subpart details param- 1701.5 Collection and maintenance of records. eters for disclosing personally identifi- 1701.6 Disclosure of records/policy. able information to persons other than 1701.7 Requests for notification of and ac- the subject of a record. cess to records. (b) Scope. The provisions of this sub- 1701.8 Requests to amend or correct records. part apply to all records in systems of 1701.9 Requests for an accounting of record records maintained by ODNI direc- disclosures. torates, centers, mission managers and 1701.10 ODNI responsibility for responding other sub-organizations [hereinafter to access requests. 1701.11 ODNI responsibility for responding called ‘‘components’’] that are re- to requests for amendment or correction. trieved by an individual’s name or per- 1701.12 ODNI responsibility for responding sonal identifier. to requests for accounting. (c) Applicability. This subpart governs 1701.13 Special procedures for medical/psy- the following individuals and entities: chiatric/psychological testing records. (1) All ODNI staff and components 1701.14 Appeals. must comply with this subpart. The 1701.15 Fees. 1701.16 Contractors. terms ‘‘staff’’ and ‘‘component’’ are de- 1701.17 Standards of conduct. fined in § 1701.2. (2) Unless specifically exempted, this Subpart B—Exemption of Records Systems subpart also applies to advisory com- Under the Privacy Act mittees and councils within the meaning of the Federal Advisory Committee 1701.20 Exemption policies. 1701.21 Exemption of National Counterter- Act (FACA) which provide advice to: rorism Center (NCTC) systems of records. Any official or component of ODNI; or 1701.22 Exemption of Office of the National the President, and for which ODNI has Counterintelligence Executive (ONCIX) been delegated responsibility for pro- systems of records. viding service. 1701.23 Exemption of Office of Inspector (d) Relation to Freedom of Information General (OIG) systems of records. Act. The ODNI shall provide a subject individual under this subpart all Subpart C—Routine Uses Applicable to records which are otherwise accessible More Than One ODNI System of Records to such individual under the provisions 1701.30 Policy and applicability. of the Freedom of Information Act, 5 1701.31 General routine uses. U.S.C. 552. AUTHORITY: 50 U.S.C. 401–442; 5 U.S.C. 552a. § 1701.2 Definitions. SOURCE: 73 FR 16532, Mar. 28, 2008, unless otherwise noted. For purposes of this subpart, the following terms have the meanings indicated: Subpart A—Protection of Privacy Access means making a record avail- and Access to Individual able to a subject individual. Records Under the Privacy Act means the Privacy Act of 1974. Act of 1974 Agency means the ODNI or any of its components. § 1701.1 Purpose, scope, applicability. Component means any directorate, (a) Purpose. This subpart establishes mission manager, or other sub-organi- the policies and procedures the Office zation in the ODNI or reporting to the of the Director of National Intelligence Director, that has been designated or (ODNI) will follow in implementing the established in the ODNI pursuant to requirements of the Privacy Act of Section 103 of the National Security 1974, 5 U.S.C. 552a, as amended. This Act of 1947, as amended, including the subpart sets forth the procedures ODNI National Counterterrorism Center must follow in collecting and main- (NCTC), the National Counterprolifera- taining personal information from or tion Center (NCPC) and the Office of about individuals, as well as procedures the National Counterintelligence Exec- by which individuals may request to utive (ONCIX), or such other offices access or amend records about them- and officials as may be established by

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law or as the Director may establish or purpose which is compatible with the designate in the ODNI, for example, the purpose for which the record was col- Program Manager, Information Shar- lected. It does not include disclosure ing Environment (ISE) and the Inspec- which the Privacy Act otherwise per- tor General (IG). mits pursuant to subsection (b) of the Disclosure means making a record Act. about an individual available to or re- Staff means any current or former leasing it to another party. regular or special employee, detailee, FOIA means the Freedom of Informa- assignee, employee of a contracting or- tion Act. ganization, or independent contractor Individual, when used in connection of the ODNI or any of its components. with the Privacy Act, means a living Subject individual means the person person who is a citizen of the United to whom a record pertains (or ‘‘record States or an alien lawfully admitted subject’’). for permanent residence. It does not in- System of records means a group of clude sole proprietorships, partner- records under ODNI’s control from ships, or corporations. which information about an individual Information means information about is retrieved by the name of the indian individual and includes, but is not vidual or by an identifying number, limited to, vital statistics; race, sex, or symbol, or other particular assigned to other physical characteristics; earn- the individual. Single records or groups ings information; professional fees paid of records which are not retrieved by a to an individual and other financial in- personal identifier are not part of a formation; benefit data or claims infor- system of records, mation; the Social Security number, employer identification number, or § 1701.3 Contact for general informa- other individual identifier; address; tion and requests. phone number; medical information; Privacy Act requests and appeals and and information about marital, family inquiries regarding this subpart or or other personal relationships. about ODNI’s Privacy Act program Maintain means to establish, collect, must be submitted in writing to the Di- use, or disseminate when used in con- rector, Information Management Office nection with the term record; and, to (D/IMO), Office of the Director of Na- have control over or responsibility for tional Intelligence, Washington, DC a system of records, when used in con- 20511 (by mail or by facsimile at 703– nection with the term system of 482–2144) or to the contact designated records. in the specific Privacy Act System of Notification means communication to Records Notice. Privacy Act requests an individual whether he is a subject with the required identification state- individual. ment and signature pursuant to para- Office of the Director of National Intel- graphs (d) and (e) of § 1701.7 of this sub- ligence means any and all of the compo- part must be filed in original form. nents of the ODNI. Record means any item, collection, or § 1701.4 Privacy Act responsibilities/ grouping of information about an indi- policy. vidual that is maintained by the ODNI The ODNI will administer records including, but not limited to, informa- about individuals consistent with stat- tion such as an individual’s education, utory, administrative, and program re- financial transactions, medical his- sponsibilities. Subject to exemptions tory, and criminal or employment his- authorized by the Act, ODNI will col- tory that contains the individual’s lect, maintain and disclose records as name, or an identifying number, sym- required and will honor subjects’ rights bol, or any other identifier assigned to to view and amend records and to ob- an individual. When used in this sub- tain an accounting of disclosures. part, record means only a record that is in a system of records. § 1701.5 Collection and maintenance of Routine use means the disclosure of a records. record outside ODNI, without the con- (a) ODNI will not maintain a record sent of the subject individual, for a unless:

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(1) It is relevant and necessary to ac- thorized access to its systems of complish an ODNI function required by records, to prevent unauthorized dis- statute or Executive Order; closure of records, and to prevent phys- (2) It is acquired to the greatest ex- ical damage to or destruction of tent practicable from the subject indi- records; vidual when ODNI may use the record (i) ODNI will establish rules and in- to make any determination about the structions for complying with the re- individual; quirements of the Privacy Act, includ- (3) The individual providing the ing notice of the penalties for non-com- record is informed of the authority for pliance, applicable to all persons in- providing the record (including wheth- volved in the design, development, oper providing the record is mandatory or eration or maintenance of any system voluntary), the principal purpose for of records. maintaining the record, the routine uses for the record, and what effect re- § 1701.6 Disclosure of records/policy. fusing to provide the record may have; Consistent with 5 U.S.C. 552a(b), (4) It is maintained with such accu- ODNI will not disclose any record racy, relevance, timeliness and com- which is contained in a system of pleteness as is reasonably necessary to records by any means (written, oral or ensure fairness to the individual in the electronic) without the consent of the determination; subject individual unless disclosure (b) Except as to disclosures made to without consent is made for reasons an agency or made under the FOIA, permitted under applicable law, includ- ODNI will make reasonable efforts ing: prior to disseminating a record about (a) Internal agency use on a need-to- an individual, to ensure that the record know basis; is accurate, relevant, timely, and com- (b) Release under the Freedom of In- plete; formation Act (FOIA) if not subject to (c) ODNI will not maintain or develop protection under the FOIA exemptions; a system of records that is not the sub- (c) A specific ‘‘routine use’’ as de- ject of a current or planned public no- scribed in the ODNI’s published com- tice; pilation of Routine Uses Applicable to (d) ODNI will not adopt a routine use More Than One ODNI System of of information in a system without no- Records or in specific published Pri- tice and invitation to comment pub- vacy Act Systems of Records Notices lished in the FEDERAL REGISTER at (available at http://www.dni.gov); least 30 days prior to final adoption of (d) Release to the Bureau of the Cen- the routine use; sus, the National Archives and Records (e) To the extent ODNI participates Administration, or the Government with a non-Federal agency in matching Accountability Office, for the perform- activities covered by section (8) of the ance of those entities’ statutory duties; Act, ODNI will publish notice of the (e) Release in non-identifiable form matching program in the FEDERAL to a recipient who has provided written REGISTER; assurance that the record will be used (f) ODNI will not maintain a record solely for statistical research or re- which describes how an individual exer- porting; cises rights guaranteed by the First (f) Compelling circumstances in Amendment unless expressly author- which the health or safety of an indi- ized by statute or by the subject individual is at risk; vidual, or unless pertinent to and with- (g) Release pursuant to the order of a in the scope of an authorized law en- court of competent jurisdiction or to a forcement activity; governmental entity for a specifically (g) When required by the Act, ODNI documented civil or criminal law en- will maintain an accounting of all dis- forcement activity; closures of records by the ODNI to per- (h) Release to either House of Con- sons, organizations or agencies; gress or to any committee, sub- (h) Each ODNI component shall im- committee or joint committee thereof plement administrative, physical and to the extent of matter within its juris- technical controls to prevent unau- diction;

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(i) Release to a consumer reporting ment Printing Office’s World Wide Web agency in accordance with section site, http://www.gpoaccess.gov. 3711(e) of Title 31. (d) Verification of identity. A written request for access to records about one- § 1701.7 Requests for notification of self must include full (legal) name, cur- and access to records. rent address, date and place of birth, (a) How to request. Unless records are and citizenship status. Aliens lawfully not subject to access (see paragraph (b) admitted for permanent residence must of this section), individuals seeking ac- provide their Alien Registration Num- cess to records about themselves may ber and the date that status was ac- submit a request in writing to the D/ quired. The D/IMO may request addi- IMO, as directed in Sec. 1701.3 of this tional or clarifying information to as- subpart, or to the contact designated certain identity. Access requests must in the specific Privacy Act System of be signed and the signature either no- Records Notice. To ensure proper rout- tarized or submitted under 28 U.S.C. ing and tracking, requesters should 1746, authorizing statements made mark the envelope ‘‘Privacy Act Re- under penalty of perjury as a sub- quest.’’ stitute for notarization. (b) Records not subject to access. The (e) Verification of guardianship or rep- following records are not subject to re- resentational relationship. The parent or view by subject individuals: guardian of a minor, the guardian of an (1) Records in ODNI systems of individual under judicial disability, or records that ODNI has exempted from an attorney retained to represent an access and correction under the Pri- individual shall provide, in addition to vacy Act, 5 U.S.C. 552a(j) or (k), by no- establishing the identity of the minor tice published in the FEDERAL REG- or individual represented as required in ISTER, or where those exemptions re- paragraph (d) of this section, evidence quire that ODNI can neither confirm of such representation by submitting a nor deny the existence or nonexistence certified copy of the minor’s birth cer- of responsive records (see tificate, court order, or representa- § 1701.10(c)(iii)). tional agreement which establishes the (2) Records in ODNI systems of relationship and the requester’s iden- records that another agency has ex- tity. empted from access and correction (f) ODNI will permit access to or pro- under the Privacy Act, 5 U.S.C. 552a(j) vide copies of records to individuals or (k), by notice published in the FED- other than the record subject (or the ERAL REGISTER, or where those exemp- subject’s legal representative) only tions require that ODNI can neither with the requester’s written authoriza- confirm nor deny the existence or non- tion. existence of responsive records (see § 1701.10(c)(iii)). § 1701.8 Requests to amend or correct (c) Description of records. Individuals records. requesting access to records about (a) How to request. Unless the record themselves should, to the extent pos- is not subject to amendment or correc- sible, describe the nature of the tion (see paragraph (b) of this section), records, why and under what cir- individuals (or guardians or representa- cumstances the requester believes tives acting on their behalf) may make ODNI maintains the records, the time a written amendment or correction re- period in which they may have been quest to the D/IMO, as directed in compiled and, ideally, the name or § 1701.3 of this subpart, or to the con- identifying number of each Privacy Act tact designated in a specific Privacy System of Records in which they might Act System of Records. Requesters be included. The ODNI publishes no- seeking amendment or correction tices in the FEDERAL REGISTER that de- should identify the particular record or scribe its systems of records. The FED- portion subject to the request, explain ERAL REGISTER compiles these notices why an amendment or correction is biennially and makes them available in necessary, and provide the desired re- hard copy at large reference libraries placement language. Requesters may and in electronic form at the Govern- submit documentation supporting the

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request to amend or correct. Requests forcement activities in response to for amendment or correction will lapse written requests from the respective (but may be re-initiated with a new re- head of the law enforcement agency quest) if all necessary information is specifying the law enforcement activi- not submitted within forty-five (45) ties for which the disclosures are days of the date of the original request. sought; or The identity verification procedures of (3) Disclosures from systems of paragraphs (d) and (e) of § 1701.7 of this records that have been exempted from subpart apply to amendment requests. accounting requirements under the (b). (1) Records which are determina- Privacy Act, 5 U.S.C. 552a(j) or (k), by tions of fact or evidence received (e.g., notice published in the FEDERAL REG- transcripts of testimony given under ISTER. oath or written statements made under oath; transcripts of grand jury pro- § 1701.10 ODNI responsibility for re- ceedings, judicial proceedings, or sponding to access requests. quasi-judicial proceedings, which are (a) Acknowledgement of requests. Upon the official record of those proceedings; receipt of a request providing all nec- pre-sentence records that originated essary information, the D/IMO shall ac- with the courts) and knowledge receipt to the requester and (2) Records in ODNI systems of provide an assigned request number for records that ODNI or another agency further reference. has exempted from amendment and (b) Tasking to component. Upon re- correction under Privacy Act, 5 U.S.C. ceipt of a proper access request, the D/ 552a(j) or (k) by notice published in the IMO shall provide a copy of the request FEDERAL REGISTER. to the point of contact (POC) in the § 1701.9 Requests for an accounting of ODNI component with which the record disclosures. records sought reside. The POC within the component shall determine wheth- (a) How to request. Except where ac- countings of disclosures are not re- er responsive records exist and, if so, quired to be kept (see paragraph (b) of recommend to the D/IMO: this section), record subjects (or their (1) Whether access should be denied guardians or representatives) may rein whole or part (and the legal basis for quest an accounting of disclosures that denial under the Privacy Act); or have been made to another person, or- (2) Whether coordination with or re- ganization, or agency as permitted by ferral to another component or federal the Privacy Act at 5 U.S.C. 552a(b). agency is appropriate. This accounting contains the date, na- (c) Coordination and referrals—(1) Ex- ture, and purpose of each disclosure, as amination of records. If a component well as the name and address of the POC receiving a request for access de- person, organization, or agency to termines that an originating agency or which the disclosure was made. Re- other agency that has a substantial in- quests for accounting should identify terest in the record is best able to proc- each record in question and must be ess the request (e.g., the record is gov- made in writing to the D/IMO, as indi- erned by another agency’s regulation, cated in § 1701.3 of this subpart, or to or another agency originally generated the contact designated in a specific or classified the record), the POC shall Privacy Act System of Records. forward to the D/IMO all records nec- (b) Accounting not required. The ODNI essary for coordination with or referral is not required to provide accounting of to the other component or agency, as disclosure in the following cir- well as specific recommendations with cumstances: respect to any denials. (1) Disclosures for which the Privacy (2) Notice of referral. Whenever the D/ Act does not require accounting, i.e., IMO refers all or any part of the re- disclosures to employees within the sponsibility for responding to a request agency and disclosures made under the to another agency, the D/IMO shall no- FOIA; tify the requester of the referral. (2) Disclosures made to law enforce- (3) Effect of certain exemptions. (i) In ment agencies for authorized law en- processing a request, the ODNI shall

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decline to confirm or deny the exist- § 1701.11 ODNI responsibility for re- ence or nonexistence of any responsive sponding to requests for amend- records whenever the fact of their ex- ment or correction. istence or nonexistence: (a) Acknowledgement of request. The D/ (A) May reveal protected intelligence IMO shall acknowledge receipt of a resources and collection methods (50 quest for amendment or correction of U.S.C. 403–1(i)); or records in writing and provide an as- (B) Is classified and subject to an ex- signed request number for further ref- emption appropriately invoked by erence. ODNI or another agency under sub- (b) Tasking of component. Upon re- sections (j) or (k) of the Privacy Act. ceipt of a proper request to amend or (ii) In such event, the ODNI will incorrect a record, the D/IMO shall for- form the requester in writing and ad- ward the request to the POC in the vise the requestor of the right to file component maintaining the record. an administrative appeal of any ad- The POC shall promptly evaluate the verse determination. proposed amendment or correction in (d) Time for response. The D/IMO shall light of any supporting justification respond to a request for access prompt- and recommend that the D/IMO grant ly upon receipt of recommendations or deny the request or, if the request from the POC and determinations re- involves a record subject to correction sulting from any necessary coordina- by an originating agency, refer the re- tion with or referral to another agency. quest to the other agency. The D/IMO may determine to update a (c) Action on request for amendment or requester on the status of a request correction. (1) If the POC determines that remains outstanding longer than that the request for amendment or cor- reasonably expected. rection is justified, in whole or in part, (e) ODNI action on requests for access— the D/IMO shall promptly: (1) Grant of access. Once the D/IMO de- (i) Make the amendment, in whole or termines to grant a request for access in part, as requested and provide the in whole or in part, the D/IMO shall no- requester a written description of the tify the requester in writing and come amendment or correction made; and to agreement with the requester about (ii) Provide written notice of the how to effect access, whether by on- amendment or correction to all per- site review or duplication of the sons, organizations or agencies to records. If a requester is accompanied which the record has been disclosed (if by another person, the requester shall an accounting of the disclosure was be required to authorize in writing any made); discussion of the records in the pres- (2) Where the D/IMO has referred an ence of the other person. amendment request to another agency, (2) Denial of access. The D/IMO shall the D/IMO, upon confirmation from notify the requester in writing when an that agency that the amendment has adverse determination is made denying been effected, shall provide written no- a request for access in any respect. Ad- tice of the amendment or correction to verse determinations, or denials, con- all persons, organizations or agencies sist of a determination to withhold any to which ODNI previously disclosed the requested record in whole or in part; a record. determination that a requested record (3) If the POC determines that the re- does not exist or cannot be located; a quester’s records are accurate, rel- determination that what has been re- evant, timely and complete, and that quested is not a record subject to the no basis exists for amending or cor- Privacy Act; or a determination that recting the record, either in whole or the existence of a record can neither be in part, the D/IMO shall inform the re- confirmed nor denied. The notification quester in writing of: letter shall state: (i) The reason(s) for the denial; and (i) The reason(s) for the denial; and (ii) The procedure for appeal of the (ii) The procedure for appeal of the denial under Sec. 1701.15 of this sub- denial under § 1701.14 of this subpart. part.

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§ 1701.12 ODNI responsibility for re- § 1701.13 Special procedures for med- sponding to requests for account- ical/psychiatric/psychological ing. records. (a) Acknowledgement of request. Upon Current and former ODNI employees, receipt of a request for accounting, the including current and former employ- D/IMO shall acknowledge receipt of the ees of ODNI contractors, and unsuc- request in writing and provide an as- cessful applicants for employment may seek access to their medical, psy- signed request number for further ref- chiatric or psychological testing erence. records by writing to: Information and (b) Tasking of component. Upon re- Privacy Coordinator, Central Intel- ceipt of a request for accounting, the ligence Agency, Washington, DC 20505, D/IMO shall forward the request to the and provide identifying information as POC in the component maintaining the required by paragraphs (d) and (e) of record. The POC shall work with the § 1701.7 of this subpart. The Central In- component’s information management telligence Agency’s Privacy Act Regu- officer and the systems administrator lations will govern administration of to generate the requested disclosure these types of records, including ap- history. peals from adverse determinations. (c) Action on request for accounting. The D/IMO will notify the requester § 1701.14 Appeals. when the accounting is available for (a) Individuals may appeal denials of on-site review or transmission in paper requests for access, amendment, or ac- or electronic medium. counting by submitting a written re- (d) Notice of court-ordered disclosures. quest for review to the Director, Infor- The D/IMO shall make reasonable ef- mation Management Office (D/IMO) at forts to notify an individual whose the Office of the Director of National record is disclosed pursuant to court Intelligence, Washington, DC 20511. The words ‘‘PRIVACY ACT APPEAL’’ order. Notice shall be made within a should be written on the letter and the reasonable time after receipt of the envelope. The appeal must be signed by order; however, when the order is not a the record subject or legal representa- matter of public record, the notice tive. No personal appearance or hear- shall be made only after the order being on appeal will be allowed. comes public. Notice shall be sent to (b) The D/IMO must receive the ap- the individual’s last known address and peal letter within 45 calendar days of include a copy of the order and a de- the date the requester received the no- scription of the information disclosed. tice of denial. The postmark is conclu- No notice shall be made regarding sive as to timeliness. Copies of cor- records disclosed from a criminal law respondence from ODNI denying the re- enforcement system that has been ex- quest to access or amend the record empted from the notice requirement. should be included with the appeal, if (e) Notice of emergency disclosures. possible. At a minimum, the appeal let- ODNI shall notify an individual whose ter should identify: record it discloses under compelling (1) The records involved; circumstances affecting health or safe- (2) The date of the initial request for ty. This notice shall be mailed to the access to or amendment of the record; individual’s last known address and (3) The date of ODNI’s denial of that request; and shall state the nature of the informa- (4) A statement of the reasons sup- tion disclosed; the person, organiza- porting the request for reversal of the tion, or agency to which it was dis- initial decision. The statement should closed; the date of disclosure; and the focus on information not previously compelling circumstances justifying available or legal arguments dem- the disclosure. This provision shall not onstrating that the ODNI’s decision is apply in circumstances involving clas- improper. sified records that have been exempted (c) Following receipt of the appeal, from disclosure pursuant to subsection the Director of Intelligence Staff (DIS) (j) or (k) of the Privacy Act. shall, in consultation with the Office of

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General Counsel, make a final deter- § 1701.16 Contractors. mination in writing on the appeal. (a) Any approved contract for the op- (d) Where ODNI reverses an initial eration of a Privacy Act system of denial, the following procedures apply: records to accomplish a function of the (1) If ODNI reverses an initial denial ODNI will contain the Privacy Act proof access, the procedures in paragraph visions prescribed by the Federal Ac- (e)(1) of § 1701.10 of this subpart will quisition Regulations (FAR) at 48 CFR apply. part 24, requiring the contractor to (2) If ODNI reverses its initial denial comply with the Privacy Act and this of a request to amend a record, the subpart. The contracting component POC will ensure that the record is cor- will be responsible for ensuring that rected as requested, and the D/IMO will the contractor complies with these inform the individual of the correction, contract requirements. This section as well as all persons, organizations does not apply to systems of records and agencies to which ODNI had dis- maintained by a contractor as a func- closed the record. tion of management discretion, e.g., (3) If ODNI reverses its initial denial the contractor’s personnel records. of a request for accounting, the POC (b) Where the contract contains a will notify the requester when the ac- provision requiring the contractor to counting is available for on-site review comply with the Privacy Act and this subpart, the contractor and any em- or transmission in paper or electronic ployee of the contractor will be consid- medium. ered employees of the ODNI for pur- (e) If ODNI upholds its initial denial poses of the criminal penalties of the or reverses in part (i.e., only partially Act, 5 U.S.C. 552a(i). granting the request), ODNI’s notice of final agency action will inform the re- § 1701.17 Standards of conduct. quester of the following rights: (a) General. ODNI will ensure that (1) Judicial review of the denial staff are aware of the provisions of the under 5 U.S.C. 552a(g)(1), as limited by Privacy Act and of their responsibil- 5 U.S.C. 552a(g)(5). ities for protecting personal informa- (2) Opportunity to file a statement of tion that ODNI collects and maintains, disagreement with the denial, citing consistent with Sec. 1701.5 and 1701.6 of the reasons for disagreeing with this subpart. ODNI’s final determination not to cor- (b) Criminal penalties—(1) Unauthor- rect or amend a record. The requester’s ized disclosure. Criminal penalties may statement of disagreement should ex- be imposed against any ODNI staff plain why he disputes the accuracy of who, by virtue of employment, has pos- the record. session or access to ODNI records (3) Inclusion in one’s record of copies which contain information identifiable of the statement of disagreement and with an individual, the disclosure of the final denial, which ODNI will pro- which is prohibited by the Privacy Act vide to all subsequent recipients of the or by these rules, and who, knowing disputed record, as well as to all pre- that disclosure of the specific material vious recipients of the record where an is prohibited, willfully discloses the accounting was made of prior disclo- material in any manner to any person sures of the record. or agency not entitled to receive it. (2) Unauthorized maintenance. Crimi- § 1701.15 Fees. nal penalties may be imposed against any ODNI staff who willfully maintains ODNI shall charge fees for duplica- a system of records without meeting tion of records under the Privacy Act, the requirements of subsection (e)(4) of 5 U.S.C. 552a, in the same way in which the Privacy Act, 5 U.S.C. 552a. The D/ it will charge for duplication of records IMO, the Civil Liberties Protection Of- under § 1700.7(g), ODNI’s regulation im- ficer, the General Counsel, and the In- plementing the fee provision of the spector General are authorized inde- Freedom of Information Act, 5 U.S.C. pendently to conduct such surveys and 552. inspect such records as necessary from

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time to time to ensure that these re- tionary waiver of an exemption with quirements are met. respect to a record will not obligate (3) Unauthorized requests. Criminal the ODNI to waive the exemption with penalties may be imposed upon any respect to any other record in an ex- person who knowingly and willfully re- empted system of records. As a condi- quests or obtains any record con- tion of such discretionary access, ODNI cerning an individual from the ODNI may impose any restrictions (e.g., con- under false pretenses. cerning the location of file reviews) deemed necessary or advisable to pro- Subpart B—Exemption of Record tect the security of agency operations, Systems Under the Privacy Act information, personnel, or facilities. (3) Records in ODNI systems also are § 1701.20 Exemption policies. subject to protection under 50 U.S.C. (a) General. The DNI has determined 403–1(i), the provision of the National that invoking exemptions under the Security Act of 1947 which requires the Privacy Act and continuing exemp- DNI to protect intelligence sources and tions previously asserted by agencies methods from unauthorized disclosure. whose records ODNI receives is necessary: to ensure against the release of § 1701.21 Exemption of National Counterterrorism Center (NCTC) classified information essential to the systems of records. national defense or foreign relations; to protect intelligence sources and (a) The ODNI exempts the following methods; and to maintain the integrity systems of records from the require- and effectiveness of intelligence, inves- ments of subsections (c)(3); (d)(1), (2), tigative and law enforcement proc- (3) and (4); (e)(1); (e)(4)(G), (H), (I); and esses. Accordingly, as authorized by (f) of the Privacy Act to the extent the Privacy Act, 5 U.S.C. 552a, sub- that information in the system is subsections (j) and (k), and in accordance ject to exemption pursuant subsections with the rulemaking procedures of the (k)(1) and (k)(5) of the Act: Administrative Procedures Act, 5 (1) NCTC Human Resources Manage- U.S.C. 553, the ODNI shall: ment System (ODNI/NCTC–001). (1) Exercise its authority pursuant to (2) [Reserved] subsections (j) and (k) of the Privacy (b) Exemptions from the particular Act to exempt certain ODNI systems of subsections are justified for the fol- records or portions of systems of lowing reasons: records from various provisions of the (1) From subsection (c)(3) (account- Privacy Act; and ing of disclosures) because an account- (2) Continue in effect and assert all ing of disclosures from records con- exemptions claimed under Privacy Act cerning the record subject would spe- subsections (j) and (k) by an origi- cifically reveal an investigative inter- nating agency from which the ODNI est on the part of the ODNI or recipient obtains records where the purposes un- agency and could result in release of derlying the original exemption remain properly classified national security or valid and necessary to protect the con- foreign policy information. tents of the record. (2) From subsections (d)(1), (2), (3) (b) Related policies. (1) The exemp- and (4) (record subject’s right to access tions asserted apply to records only to and amend records) because affording the extent they meet the criteria of access and amendment rights could subsections (j) and (k) of the Privacy alert the record subject to the inves- Act, whether claimed by the ODNI or tigative interest of intelligence or law the originator of the records. enforcement agencies or compromise (2) Discretion to supersede exemp- sensitive information classified in the tion: Where complying with a request interest of national security. In the ab- for access or amendment would not ap- sence of a national security basis for pear to interfere with or adversely af- exemption, records in this system may fect a counterterrorism or law enforce- be exempted from access and amendment interest, and unless prohibited by ment to the extent necessary to honor law, the D/IMO may exercise his discre- promises of confidentiality to persons tion to waive the exemption. Discre- providing information concerning a

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candidate for position. Inability to and amending records, and for assess- maintain such confidentiality would ing fees) because the system is exempt restrict the free flow of information from subsection (d) provisions regard- vital to a determination of a can- ing access and amendment of records didate’s qualifications and suitability. by record subjects. Nevertheless, the (3) From subsection (e)(1) (maintain ODNI has published agency rules con- only relevant and necessary records) cerning notification of a subject in re- because it is not always possible to es- sponse to his request if any system of tablish relevance and necessity before records named by the subject contains all information is considered and eval- a record pertaining to him and proce- uated in relation to an intelligence dures by which the subject may access concern. In the absence of a national or amend the records. Notwithstanding security basis for exemption under sub- exemption, the ODNI may determine it section (k)(1), records in this system appropriate to satisfy a record sub- may be exempted from the relevance ject’s access request. requirement pursuant to subsection (c) The ODNI exempts the following (k)(5) because it is not possible to de- systems of records from the require- termine in advance what exact infor- ments of subsections (c)(3); (d)(1), (2), mation may assist in determining the (3) and (4); (e)(1); (e)(4)(G), (H), (I); and qualifications and suitability of a can- (f) of the Privacy Act to the extent didate for position. Seemingly irrele- that information in the system is sub- vant details, when combined with other ject to exemption pursuant to sub- data, can provide a useful composite section (k)(1) of the Act: for determining whether a candidate (1) NCTC Access Authorization should be appointed. Records (ODNI/NCTC–002). (4) From subsections (e)(4)(G) and (H) (2) NCTC Telephone Directory (ODNI/ (publication of procedures for notifying NCTC–003). subjects of the existence of records (3) NCTC Partnership Management about them and how they may access Records (ODNI/NCTC–006). records and contest contents) because (4) NCTC Tacit Knowledge Manage- the system is exempted from sub- ment Records (ODNI/NCTC–007). section (d) provisions regarding access (d) Exemptions from the particular and amendment, and from the sub- subsections are justified for the fol- section (f) requirement to promulgate lowing reasons: agency rules. Nevertheless, the ODNI (1) From subsection (c)(3) (account- has published notice concerning notifi- ing of disclosures) because an account- cation, access, and contest procedures ing of disclosures from records con- because it may in certain cir- cerning the record subject would spe- cumstances determine it appropriate to cifically reveal an investigative inter- provide subjects access to all or a por- est on the part of the ODNI or recipient tion of the records about them in a sys- agency and could result in release of tem of records. properly classified national security or (5) From subsection (e)(4)(I) (identi- foreign policy information. fying sources of records in the system (2) From subsections (d)(1), (2), (3) of records) because identifying sources and (4) (record subject’s right to access could result in disclosure of properly and amend records) because affording classified national defense or foreign access and amendment rights could policy information, intelligence alert the record subject to the inves- sources and methods, and investigatory tigative interest of intelligence or law techniques and procedures. Notwith- enforcement agencies or compromise standing its proposed exemption from sensitive information classified in the this requirement, ODNI identifies interest of national security. record sources in broad categories suf- (3) From subsection (e)(1) (maintain ficient to provide general notice of the only relevant and necessary records) origins of the information it maintains because it is not always possible to es- in its systems of records. tablish relevance and necessity before (6) From subsection (f) (agency rules all information is considered and eval- for notifying subjects to the existence uated in relation to an intelligence of records about them, for accessing concern.

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(4) From subsections (e)(4)(G) and (H) (2) NCTC Online (ODNI/NCTC–005). (publication of procedures for notifying (3) NCTC Terrorism Analysis Records subjects of the existence of records (ODNI/NCTC–008). about them and how they may access (4) NCTC Terrorist Identities Records records and contest contents) because (ODNI/NCTC–009). the system is exempted from sub- (f) Exemptions from the particular section (d) provisions regarding access subsections are justified for the fol- and amendment and from the sub- lowing reasons: section (f) requirement to promulgate (1) From subsection (c)(3) (account- agency rules. Nevertheless, the ODNI ing of disclosures) because an account- has published notice concerning notifi- ing of disclosures from records con- cation, access, and contest procedures cerning the record subject would spe- because it may in certain cir- cifically reveal an investigative inter- cumstances determine it appropriate to est on the part of the ODNI as well as provide subjects access to all or a por- the recipient agency and could: Result tion of the records about them in a sys- in release of properly classified na- tem of records. tional security or foreign policy infor- (5) From subsection (e)(4)(I) (identi- mation; compromise ongoing efforts to fying sources of records in the system investigate a known or suspected ter- of records) because identifying sources rorist; reveal sensitive investigative or could result in disclosure of properly surveillance techniques; or identify a classified national defense or foreign confidential source. With this informa- policy information, intelligence tion, the record subject could frustrate sources and methods, and investigatory counterintelligence measures; impede techniques and procedures. Notwith- an investigation by destroying evi- standing its proposed exemption from dence or intimidating potential wit- this requirement, ODNI identifies nesses; endanger the physical safety of record sources in broad categories suf- sources, witnesses, and law enforce- ficient to provide general notice of the ment and intelligence personnel and origins of the information it maintains their families; or evade apprehension in its systems of records. or prosecution by law enforcement per- (6) From subsection (f) (agency rules sonnel. for notifying subjects to the existence (2) From subsections (d)(1), (2), (3) of records about them, for accessing and (4) (record subject’s right to access and amending records, and for assess- and amend records) because these pro- ing fees) because the system is exempt visions concern individual access to from subsection (d) provisions regard- and amendment of counterterrorism, ing access and amendment of records investigatory and intelligence records. by record subjects. Nevertheless, the Affording access and amendment rights ODNI has published agency rules con- could alert the record subject to the cerning notification of a subject in re- fact and nature of an investigation or sponse to his request if any system of the investigative interest of intel- records named by the subject contains ligence or law enforcement agencies; a record pertaining to him and proce- permit the subject to frustrate such in- dures by which the subject may access vestigation, surveillance or potential or amend the records. Notwithstanding prosecution; compromise sensitive in- exemption, the ODNI may determine it formation classified in the interest of appropriate to satisfy a record sub- national security; identify a confiden- ject’s access request. tial source or disclose information (e) The ODNI exempts the following which would reveal a sensitive inves- systems of records from the require- tigative or intelligence technique; and ments of subsections (c)(3); (d)(1), (2), endanger the health or safety of law (3), (4); (e)(1); (e)(4)(G), (H), (I); and (f) enforcement personnel, confidential in- of the Privacy Act, to the extent that formants, and witnesses. In addition, information in the system is subject to affording subjects access and amend- exemption pursuant to subsections ment rights would impose an impos- (k)(1) and (k)(2) of the Act: sible administrative burden to continu- (1) NCTC Knowledge Repository ously reexamine investigations, anal- (SANCTUM) (ODNI/NCTC–004). yses, and reports.

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(3) From subsection (e)(1) (maintain of records about them, for accessing only relevant and necessary records) and amending records and for assessing because it is not always possible for in- fees) because the system is exempt telligence or law enforcement agencies from subsection (d) provisions regard- to know in advance what information ing access and amendment of records about an encounter with a known or by record subjects. Nevertheless, the suspected terrorist will be relevant for ODNI has published agency rules con- the purpose of conducting an oper- cerning notification of a subject in re- ational response. Relevance and neces- sponse to his request if any system of sity are questions of judgment and tim- records named by the subject contains ing, and only after information is eval- a record pertaining to him and proce- uated can relevance and necessity be dures by which the subject may access established. In addition, information in or amend the records. Notwithstanding the system of records may relate to exemption, the ODNI may determine it matters under the investigative juris- appropriate to satisfy a record sub- diction of another agency, and may not ject’s access request. readily be segregated. Furthermore, information in these systems of records, § 1701.22 Exemption of Office of the over time, aid in establishing patterns National Counterintelligence Exec- of criminal activity that can provide utive (ONCIX) system of records. leads for other law enforcement agen- (a) The ODNI exempts the following cies. system of records from the require- (4) From subsections (e)(4)(G) and (H) ments of subsections (c)(3); (d)(1), (2), (publication of procedures for notifying (3), (4); (e)(1); (e)(4)(G), (H), (I); and (f) subjects of the existence of records of the Privacy Act, to the extent that about them and how they may access information in the system is subject to records and contest contents) because exemption pursuant to subsections the system is exempted from sub- (k)(1) and (k)(2) of the Act: section (d) provisions regarding access (1) ONCIX Counterintelligence Dam- and amendment and from the sub- age Assessment Records (ODNI/ONCIX– section (f) requirement to promulgate 001). agency rules. Nevertheless, the ODNI (2) [Reserved] has published notice concerning notifi- (b) Exemptions from the particular cation, access, and contest procedures subsections are justified for the fol- because it may in certain cir- lowing reasons: cumstances determine it appropriate to (1) From subsection (c)(3) (account- provide subjects access to all or a por- ing of disclosures) because an account- tion of the records about them in a sys- ing of disclosures from records con- tem of records. cerning the record subject would spe- (5) From subsection (e)(4)(I) (identi- cifically reveal an investigative inter- fying sources of records in the system est on the part of the ODNI as well as of records) because identifying sources the recipient agency and could: result could result in disclosure of properly in release of properly classified na- classified national defense or foreign tional security or foreign policy infor- policy information. Additionally, ex- mation; compromise ongoing efforts to emption from this provision is nec- investigate a known or suspected ter- essary to protect the privacy and safe- rorist; reveal sensitive investigative or ty of witnesses and sources of informa- surveillance techniques; or identify a tion, including intelligence sources and confidential source. With this informa- methods and investigatory techniques tion, the record subject could frustrate and procedures. Notwithstanding its counterintelligence measures; impede proposed exemption from this require- an investigation by destroying evi- ment, ODNI identifies record sources in dence or intimidating potential wit- broad categories sufficient to provide nesses; endanger the physical safety of general notice of the origins of the in- sources, witnesses, and law enforce- formation it maintains in its systems ment and intelligence personnel and of records. their families; or evade apprehension (6) From subsection (f) (agency rules or prosecution by law enforcement per- for notifying subjects to the existence sonnel.

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(2) From subsections (d)(1), (2), (3) cumstances determine it appropriate to and (4) (record subject’s right to access provide subjects access to all or a por- and amend records) because these pro- tion of the records about them in a sys- visions concern individual access to tem of records. and amendment of counterterrorism, (5) From subsection (e)(4)(I) (identi- investigatory and intelligence records. fying sources of records in the system Affording access and amendment rights of records) because identifying sources could alert the record subject to the could result in disclosure of properly fact and nature of an investigation or classified national defense or foreign the investigative interest of intel- policy information. Additionally, ex- ligence or law enforcement agencies; emption from this provision is nec- permit the subject to frustrate such in- essary to protect the privacy and safe- vestigation, surveillance or potential ty of witnesses and sources of informa- prosecution; compromise sensitive in- tion, including intelligence sources and formation classified in the interest of methods and investigatory techniques national security; identify a confiden- and procedures. Notwithstanding its tial source or disclose information proposed exemption from this require- which would reveal a sensitive inves- ment, ODNI identifies record sources in tigative or intelligence technique; and broad categories sufficient to provide endanger the health or safety of law general notice of the origins of the in- enforcement personnel, confidential information it maintains in its systems formants, and witnesses. In addition, of records. affording subjects access and amend- (6) From subsection (f) (agency rules ment rights would impose an impos- for notifying subjects to the existence sible administrative burden to continu- of records about them, for accessing ously reexamine investigations, anal- and amending records and for assessing yses, and reports. fees) because the system is exempt (3) From subsection (e)(1) (maintain from subsection (d) provisions regard- only relevant and necessary records) ing access and amendment of records because it is not always possible to by record subjects. Nevertheless, the know in advance what information will ODNI has published agency rules con- be relevant to evaluate and mitigate cerning notification of a subject in re- damage to the national security. Rel- sponse to his request if any system of evance and necessity are questions of records named by the subject contains judgment and timing, and only after a record pertaining to him and proce- information is evaluated can relevance dures by which the subject may access and necessity be established. In addi- or amend the records. Notwithstanding tion, information in the system of exemption, the ODNI may determine it records may relate to matters under appropriate to satisfy a record sub- the investigative jurisdiction of an- ject’s access request. other agency, and may not readily be segregated. Furthermore, information § 1701.23 Exemption of Office of In- in these systems of records, over time, spector General (OIG) systems of aid in establishing patterns of criminal records. activity that can provide leads for (a) The ODNI exempts the following other law enforcement agencies. systems of records from the require- (4) From subsections (e)(4)(G) and (H) ments of subsections (c)(3); (d)(1), (2), (publication of procedures for notifying (3) and (4); (e)(1); (e)(4)(G), (H), (I); and subjects to the existence of records (f) of the Privacy Act to the extent about them and how they may access that information in the system is sub- records and contest contents) because ject to exemption pursuant subsections the system is exempted from sub- (k)(1) and (k)(5) of the Act: section (d) provisions regarding access (1) OIG Human Resources Records and amendment and from the sub- (ODNI/OIG–001). section (f) requirement to promulgate (2) OIG Experts Contact Records agency rules. Nevertheless, the ODNI (ODNI/OIG–002). has published notice concerning notifi- (b) Exemptions from the particular cation, access, and contest procedures subsections are justified for the fol- because it may in certain cir- lowing reasons:

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(1) From subsection (c)(3) (account- section (f) requirement to promulgate ing of disclosures) because an account- agency rules. Nevertheless, the ODNI ing of disclosures from records con- has published such a notice concerning cerning the record subject would spe- notification, access, and contest proce- cifically reveal an investigative inter- dures because it may in certain cir- est on the part of the ODNI or recipient cumstances determine it appropriate to agency and could result in release of provide subjects access to all or a por- properly classified national security or tion of the records about them in a sys- foreign policy information. tem of records. (2) From subsections (d)(1), (2), (3) (5) From subsection (e)(4)(I) (identi- and (4) (record subject’s right to access fying sources of records in the system and amend records) because affording of records) because identifying sources access and amendment rights could could result in disclosure of properly alert the record subject to the inves- classified national defense or foreign tigative interest of intelligence or law policy information, intelligence enforcement agencies or compromise sources and methods and investigatory sensitive information classified in the techniques and procedures. Notwith- interest of national security. In the ab- standing its proposed exemption from sence of a national security basis for this requirement, ODNI identifies exemption under subsection (k)(1), record sources in broad categories suf- records in this system may be exempt- ficient to provide general notice of the ed from access and amendment pursu- origins of the information it maintains ant to subsection (k)(5) to the extent in its systems of records. necessary to honor promises of con- (6) From subsection (f) (agency rules fidentiality to persons providing infor- for notifying subjects to the existence mation concerning a candidate for po- of records about them, for accessing sition. Inability to maintain such con- and amending records and for assessing fidentiality would restrict the free flow fees) because the system is exempt of information vital to a determination from subsection (d) provisions regard- of a candidate’s qualifications and suit- ing access and amendment of records ability. by record subjects. Nevertheless, the (3) From subsection (e)(1) (maintain ODNI has published agency rules con- only relevant and necessary records) cerning notification of a subject in re- because it is not always possible to es- sponse to his request if any system of tablish relevance and necessity before records named by the subject contains all information is considered and eval- a record pertaining to him and proce- uated in relation to an intelligence dures by which the subject may access concern. In the absence of a national or amend the records. Notwithstanding security basis for exemption under sub- exemption, the ODNI may determine it section (k)(1), records in this system appropriate to satisfy a record sub- may be exempted from the relevance ject’s access request. requirement pursuant to subsection (c) The ODNI exempts the following (k)(5) because it is not always possible system of records from the require- to determine in advance what exact in- ments of subsections (c)(3) and (4); formation may assist in determining (d)(1), (2), (3), (4); (e)(1), (2), (3), (5), (8) the qualifications and suitability of a and (12); and (g) of the Privacy Act, to candidate for position. Seemingly irrel- the extent that information in the sys- evant details, when combined with tem is subject to exemption pursuant other data, can provide a useful com- to subsection (j)(2) of the Act. In addi- posite for determining whether a can- tion, the following system of records is didate should be appointed. exempted from the requirements of (4) From subsections (e)(4)(G) and (H) subsections (c)(3); (d)(1), (2), (3) and (4); (publication of procedures for notifying (e)(1); (e)(4)(G), (H) and (I); and (f) of subjects of the existence of records the Privacy Act, to the extent that in- about them and how they may access formation in the system is subject to records and contest contents) because exemption pursuant to subsections the system is exempted from sub- (k)(1) and (k)(2) of the Act. section (d) provisions regarding access (1) OIG Investigation and Interview and amendment and from the sub- Records (ODNI/OIG–003).

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(2) [Reserved] ously reexamine investigations, anal- (d) Exemptions from the particular yses, and reports. subsections are justified for the fol- (4) From subsection (e)(1) (maintain lowing reasons: only relevant and necessary records) (1) From subsection (c)(3) (account- because it is not always possible to ing of disclosures) because an account- know in advance what information will ing of disclosures from records con- be relevant for the purpose of concerning the record subject would spe- ducting an investigation. Relevance cifically reveal an investigative inter- and necessity are questions of judg- est on the part of the ODNI as well as ment and timing, and only after infor- the recipient agency and could: result mation is evaluated can relevance and in release of properly classified na- necessity be established. In addition, tional security or foreign policy infor- information in the system of records mation; compromise ongoing efforts to may relate to matters under the inves- investigate a known or suspected ter- tigative jurisdiction of another agency, rorist; reveal sensitive investigative or and may not readily be segregated. surveillance techniques; or identify a Furthermore, information in these sys- confidential source. With this informa- tems of records, over time, aid in es- tion, the record subject could frustrate tablishing patterns of criminal activity counterintelligence measures; impede that can provide leads for other law en- an investigation by destroying evi- forcement agencies. dence or intimidating potential wit- (5) From subsection (e)(2) (collection directly from the individual) because nesses; endanger the physical safety of application of this provision would sources, witnesses, and law enforce- alert the subject of a counterterrorism ment and intelligence personnel and investigation, study or analysis to that their families; or evade apprehension fact, permitting the subject to frus- or prosecution by law enforcement per- trate or impede the activity. Counter- sonnel. terrorism investigations necessarily (2) From subsection (c)(4) (notice of rely on information obtained from amendment to record recipients) be- third parties rather than information cause the system is exempted from the furnished by subjects themselves. access and amendment provisions of (6) From subsection (e)(3) (provide subsection (d). Privacy Act Statement to subjects fur- (3) From subsections (d)(1), (2), (3) nishing information) because the sys- and (4) (record subject’s right to access tem is exempted from the (e)(2) re- and amend records) because these pro- quirement to collect information di- visions concern individual access to rectly from the subject. and amendment of counterterrorism, (7) From subsections (e)(4)(G) and (H) investigatory and intelligence records. (publication of procedures for notifying Affording access and amendment rights subjects of the existence of records could alert the record subject to the about them and how they may access fact and nature of an investigation or records and contest contents) because the investigative interest of intel- the system is exempted from sub- ligence or law enforcement agencies; section (d) provisions regarding access permit the subject to frustrate such in- and amendment and from the sub- vestigation, surveillance or potential section (f) requirement to promulgate prosecution; compromise sensitive in- agency rules. Nevertheless, the ODNI formation classified in the interest of has published notice concerning notifi- national security; identify a confiden- cation, access, and contest procedures tial source or disclose information because it may in certain cir- which would reveal a sensitive inves- cumstances determine it appropriate to tigative or intelligence technique; and provide subjects access to all or a por- endanger the health or safety of law tion of the records about them in a sys- enforcement personnel, confidential in- tem of records. formants, and witnesses. In addition, (8) From subsection (e)(4)(I) (identi- affording subjects access and amend- fying sources of records in the system ment rights would impose an impos- of records) because identifying sources sible administrative burden to continu- could result in disclosure of properly

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classified national defense or foreign fees) because the system is exempt policy information. Additionally, ex- from the subsection (d) provisions re- emption from this provision is nec- garding access and amendment of essary to protect the privacy and safe- records by record subjects. Neverthe- ty of witnesses and sources of informa- less, the ODNI has published agency tion, including intelligence sources and rules concerning notification of a sub- methods and investigatory techniques ject in response to his request if any and procedures. Notwithstanding its system of records named by the subject proposed exemption from this require- contains a record pertaining to him ment, ODNI identifies record sources in and procedures by which the subject broad categories sufficient to provide may access or amend the records. Not- general notice of the origins of the in- withstanding exemption, the ODNI formation it maintains in its systems may determine it appropriate to sat- of records. isfy a record subject’s access request. (9) From subsection (e)(5) (maintain (13) From subsection (g) (civil rem- timely, accurate, complete and up-to- edies) to the extent that the civil rem- date records) because many of the edies relate to provisions of 5 U.S.C. records in the system are derived from 552a from which this rule exempts the other domestic and foreign agency system. record systems over which ODNI exercises no control. In addition, in col- Subpart C—Routine Uses Applica- lecting information for counterter- ble to More Than One ODNI rorism, intelligence, and law enforce- System of Records ment purposes, it is not possible to determine in advance what information § 1701.30 Policy and applicability. is accurate, relevant, timely, and com- (a) ODNI proposes the following gen- plete. With the passage of time and the eral routine uses to foster simplicity development of additional facts and and economy and to avoid redundancy circumstances, seemingly irrelevant or or error by duplication in multiple dated information may acquire signifi- ODNI systems of records and in sys- cance. The restrictions imposed by tems of records established hereafter (e)(5) would limit the ability of intel- by ODNI or by one of its components. ligence analysts to exercise judgment (b) These general routine uses may in conducting investigations and im- apply to every Privacy Act system of pede development of intelligence nec- records maintained by ODNI and its essary for effective counterterrorism components, unless specifically stated and law enforcement efforts. otherwise in the System of Records No- (10) From subsection (e)(8) (notice of tice for a particular system. Additional compelled disclosures) because requir- general routine uses may be identified ing individual notice of legally com- as notices of systems of records are pelled disclosure poses an impossible published. administrative burden and could alert (c) Routine uses specific to a par- subjects of counterterrorism, law en- ticular System of Records are identi- forcement, or intelligence investiga- fied in the System of Records Notice tions to the previously unknown fact of for that system. those investigations. (11) From subsection (e)(12) (public § 1701.31 General routine uses. notice of matching activity) because, (a) Except as noted on Standard to the extent such activities are not Forms 85 and 86 and supplemental otherwise excluded from the matching forms thereto (questionnaires for em- requirements of the Privacy Act, pub- ployment in, respectively, ‘‘non-sen- lishing advance notice in the FEDERAL sitive’’ and ‘‘national security’’ posi- REGISTER would frustrate the ability of tions within the Federal government), intelligence analysts to act quickly in a record that on its face or in conjunc- furtherance of analytical efforts. tion with other information indicates (12) From subsection (f) (agency rules or relates to a violation or potential for notifying subjects to the existence violation of law, whether civil, crimi- of records about them, for accessing nal, administrative or regulatory in and amending records and for assessing nature, and whether arising by general

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statute, particular program statute, sel at government expense; or the regulation, rule or order issued pursu- United States or another Federal agen- ant thereto, may be disclosed as a rou- cy, where the ODNI, Office of General tine use to an appropriate federal, Counsel, determines that litigation is state, territorial, tribal, local law en- likely to affect the ODNI. forcement authority, foreign govern- (e) A record from a system of records ment or international law enforcement maintained by the ODNI may be dis- authority, or to an appropriate regu- closed as a routine use to representa- latory body charged with inves- tives of the Department of Justice and tigating, enforcing, or prosecuting such other U.S. Government entities, to the violations. extent necessary to obtain advice on (b) A record from a system of records any matter within the official respon- maintained by the ODNI may be dis- sibilities of such representatives and closed as a routine use, subject to ap- the responsibilities of the ODNI. propriate protections for further dis- (f) A record from a system of records closure, in the course of presenting in- maintained by the ODNI may be dis- formation or evidence to a magistrate, closed as a routine use to a Federal, special master, administrative law state or local agency or other appro- judge, or to the presiding official of an priate entities or individuals from administrative board, panel or other which/whom information may be administrative body. sought relevant to: A decision con- (c) A record from a system of records cerning the hiring or retention of an maintained by the ODNI may be dis- employee or other personnel action; closed as a routine use to representa- the issuing or retention of a security tives of the Department of Justice or clearance or special access, contract, any other entity responsible for rep- grant, license, or other benefit; or the resenting the interests of the ODNI in conduct of an authorized investigation connection with potential or actual or inquiry, to the extent necessary to civil, criminal, administrative, judicial identify the individual, inform the or legislative proceedings or hearings, source of the nature and purpose of the for the purpose of representing or pro- inquiry, and identify the type of infor- viding advice to: The ODNI; any staff mation requested. of the ODNI in his or her official capac- (g) A record from a system of records ity; any staff of the ODNI in his or her maintained by the ODNI may be dis- individual capacity where the staff has closed as a routine use to any Federal, submitted a request for representation state, local, tribal or other public au- by the United States or for reimburse- thority, or to a legitimate agency of a ment of expenses associated with re- foreign government or international taining counsel; or the United States authority to the extent the record is or another Federal agency, when the relevant and necessary to the other en- United States or the agency is a party tity’s decision regarding the hiring or to such proceeding and the record is retention of an employee or other per- relevant and necessary to such pro- sonnel action; the issuing or retention ceeding. of a security clearance or special ac- (d) A record from a system of records cess, contract, grant, license, or other maintained by the ODNI may be dis- benefit; or the conduct of an authorized closed as a routine use in a proceeding inquiry or investigation. before a court or adjudicative body (h) A record from a system of records when any of the following is a party to maintained by the ODNI may be dis- litigation or has an interest in such closed as a routine use to a Member of litigation, and the ODNI, Office of Gen- Congress or Congressional staffer in re- eral Counsel, determines that use of sponse to an inquiry from that Member such records is relevant and necessary of Congress or Congressional staffer to the litigation: The ODNI; any staff made at the written request of the in- of the ODNI in his or her official capac- dividual who is the subject of the ity; any staff of the ODNI in his or her record. individual capacity where the Depart- (i) A record from a system of records ment of Justice has agreed to represent maintained by the ODNI may be dis- the staff or has agreed to provide coun- closed to the Office of Management and

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Budget in connection with the review other official purposes when the ODNI of private relief legislation, as set forth requires information or consultation in Office of Management and Budget assistance, or both, from the former Circular No. A–19, at any stage of the staff regarding a matter within that legislative coordination and clearance person’s former area of responsibility. process as set forth in the Circular. (o) A record from a system of records (j) A record from a system of records maintained by the ODNI may be dis- maintained by the ODNI may be disclosed as a routine use to legitimate closed as a routine use to any agency, foreign, international or multinational organization, or individual for author- security, investigatory, law enforce- ized audit operations, and for meeting ment or administrative authorities in related reporting requirements, includ- order to comply with requirements im- ing disclosure to the National Archives posed by, or to claim rights conferred and Records Administration for records in, formal agreements and arrange- management inspections and such ments to include those regulating the other purposes conducted under the au- stationing and status in foreign coun- thority of 44 U.S.C. 2904 and 2906, or tries of Department of Defense mili- successor provisions. tary and civilian personnel. (k) A record from a system of records (p) A record from a system of records maintained by the ODNI may be dis- maintained by the ODNI may be disclosed as a routine use to individual closed as a routine use to any Federal members or staff of Congressional in- agency when documents or other infor- telligence oversight committees in mation obtained from that agency are connection with the exercise of the used in compiling the record and the committees’ oversight and legislative record is relevant to the official re- functions. sponsibilities of that agency, provided (l) A record from a system of records that disclosure of the recompiled or en- maintained by the ODNI may be dis- hanced record to the source agency is closed as a routine use pursuant to Ex- otherwise authorized and lawful. ecutive Order to the President’s For- (q) A record from a system of records eign Intelligence Advisory Board, the maintained by the ODNI may be dis- President’s Intelligence Oversight closed as a routine use to appropriate Board, to any successor organizations, agencies, entities, and persons when: and to any intelligence oversight enti- The security or confidentiality of in- ty established by the President, when formation in the system of records has the Office of the General Counsel or the or may have been compromised; and Office of the Inspector General deter- the compromise may result in eco- mines that disclosure will assist such nomic or material harm to individuals entities in performing their oversight (e.g., identity theft or fraud), or harm functions and that such disclosure is to the security or integrity of the af- otherwise lawful. fected information or information (m) A record from a system of technology systems or programs records maintained by the ODNI may (whether or not belonging to the ODNI) be disclosed as a routine use to con- that rely upon the compromised infor- tractors, grantees, experts, consult- mation; and disclosure is necessary to ants, or others when access to the enable ODNI to address the cause(s) of record is necessary to perform the the compromise and to prevent, mini- function or service for which they have mize, or remedy potential harm result- been engaged by the ODNI. ing from the compromise. (n) A record from a system of records (r) A record from a system of records maintained by the ODNI may be dis- maintained by the ODNI may be disclosed as a routine use to a former staff closed as a routine use to a Federal, of the ODNI for the purposes of restate, local, tribal, territorial, foreign, sponding to an official inquiry by a or multinational agency or entity or to Federal, state, or local government en- any other appropriate entity or indi- tity or professional licensing authority vidual for any of the following pur- or facilitating communications with a poses: to provide notification of a seri- former staff of the ODNI that may be ous terrorist threat for the purpose of necessary for personnel-related or guarding against or responding to such

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threat; to assist in coordination of ter- SOURCE: 74 FR 11479, Mar. 18, 2009, unless rorist threat awareness, assessment, otherwise noted. analysis, or response; or to assist the recipient in performing authorized re- § 1702.1 Scope and purpose. sponsibilities relating to terrorism or This part sets forth the ODNI policy counterterrorism. concerning service of process upon the (s) A record from a system of records ODNI and ODNI employees in their of- maintained by the ODNI may be dis- ficial, individual or combined official closed as a routine use for the purpose and individual capacities. This part is of conducting or supporting authorized intended to ensure the orderly execu- counterintelligence activities as de- tion of ODNI affairs and is not intended fined by section 401a(3) of the National Security Act of 1947, as amended, to to impede the legal process. elements of the Intelligence Commu- § 1702.2 Definitions. nity, as defined by section 401a(4) of the National Security Act of 1947, as For purposes of this part the fol- amended; to the head of any Federal lowing terms have the following mean- agency or department; to selected ings: counterintelligence officers within the DNI. The Director of National Intel- Federal government. ligence. (t) A record from a system of records General Counsel. The ODNI’s General maintained by the ODNI may be dis- Counsel, Acting General Counsel or closed as a routine use to a Federal, Deputy General Counsel. state, local, tribal, territorial, foreign, ODNI. The Office of the Director of or multinational government agency or National Intelligence and all of its entity, or to other authorized entities or individuals, but only if such disclo- components, including, but not limited sure is undertaken in furtherance of re- to, the National Counterintelligence sponsibilities conferred by, and in a Executive, the National Counterter- manner consistent with, the National rorism Center, the National Counter- Security Act of 1947, as amended; the proliferation Center, the Program Man- Counterintelligence Enhancement Act ager for the Information Sharing Envi- of 2002, as amended; Executive Order ronment, and all national intelligence 12333 or any successor order together centers and program managers the DNI with its implementing procedures ap- may establish. proved by the Attorney General; and ODNI Employee. Any current or other provisions of law, Executive former employee, contractor, inde- Order or directive relating to national pendent contractor, assignee or intelligence or otherwise applicable to detailee to the ODNI. the ODNI. This routine use is not in- OGC. The Office of the General Coun- tended to supplant the other routine sel of the ODNI. uses published by the ODNI. Process. A summons, complaint, subpoena or other document properly PART 1702—PROCEDURES GOV- issued by or under the authority of, a ERNING THE ACCEPTANCE OF federal, state, local or other govern- SERVICE OF PROCESS ment entity of competent jurisdiction.

Sec. § 1702.3 Procedures governing accept- 1702.1 Scope and purpose. ance of service of process. 1702.2 Definitions. 1702.3 Procedures governing acceptance of (a) Service of process upon the ODNI service of process. or an ODNI employee in the employee’s 1702.4 Notification to Office of General official capacity. Counsel. (1) Personal service. Unless otherwise 1702.5 Interpretation. expressly authorized by the General AUTHORITY: The Intelligence Reform and Counsel, personal service of process Terrorism Prevention Act of 2004, Pub. L. upon the ODNI or an ODNI employee in No. 108–458, 118 Stat. 3638 (2004); National Se- curity Act of 1947, as amended, 50 U.S.C. § 401 the employee’s official capacity, may et seq.; Executive Order 12333, as amended. be accepted only by an OGC attorney

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at ODNI Headquarters. The OGC attor- for the ODNI employee in the employ- ney shall write or stamp ‘‘Service Ac- ee’s official capacity by an OGC attor- cepted In Official Capacity Only’’ on ney at ODNI Headquarters. The OGC the return of service form. attorney shall write or stamp, ‘‘Service (2) Mail service. Where service of Accepted In Official Capacity Only,’’ process by registered or certified mail on the return of service form. is authorized by law, only an OGC at- (d) Acceptance of service of process torney may accept such service of proc- shall not constitute an admission or ess upon the ODNI or an ODNI em- waiver with respect to jurisdiction, ployee in the employee’s official capac- propriety of service, improper venue or ity, unless otherwise expressly author- any other defense in law or equity ized by the General Counsel. The OGC available under the laws or rules appli- attorney shall write or stamp, ‘‘Service cable to the service of process. Accepted In Official Capacity Only,’’ on the waiver of personal service form. § 1702.4 Notification to Office of Gen- Service of process by mail must be ad- eral Counsel. dressed to the Office of the Director of An ODNI employee who receives or National Intelligence, Office of General has reason to expect to receive, service Counsel, Washington, DC 20511, and the of process in an official, individual or envelope must be conspicuously combined individual and official capac- marked ‘‘Service of Process.’’ (b) Service of process upon an ODNI ity in a matter that may involve testi- employee solely in the employee’s indi- mony or the furnishing of documents vidual capacity. that could reasonably be expected to (1) Generally. ODNI employees will involve ODNI interests, shall promptly not be required to accept service of notify the OGC ((703) 275–2527) prior to process in their purely individual ca- responding to the service in any man- pacity on ODNI facilities or premises. ner, and if possible, before accepting (2) Personal Service. Subject to the service. sole discretion of the General Counsel, § 1702.5 Interpretation. process servers generally will not be allowed to enter ODNI facilities or prem- Any questions concerning interpreta- ises for the purpose of serving process tion of this regulation shall be referred upon an ODNI employee solely in the to the Office of General Counsel for res- employee’s individual capacity. Except olution. for the DNI, the Principal Deputy Di- rector of National Intelligence, and the PART 1703—PRODUCTION OF ODNI Director of the Intelligence Staff, the INFORMATION OR MATERIAL IN OGC is not authorized to accept service of process on behalf of any ODNI em- PROCEEDINGS BEFORE FEDERAL, ployee in the employee’s individual ca- STATE, LOCAL OR OTHER GOV- pacity. ERNMENT ENTITY OF COMPETENT (3) Mail Service. Unless otherwise ex- JURISDICTION pressly authorized by the General Counsel, ODNI employees are not au- Sec. thorized to accept or forward mailed 1703.1 Scope and purpose. service of process directed to another 1703.2 Definitions. ODNI employee in that employee’s in- 1703.3 General. dividual capacity. Any such process 1703.4 Procedure for production. will be returned to the sender via ap- 1703.5 Interpretation. propriate postal channels. AUTHORITY: The Intelligence Reform and (c) Service of Process Upon an ODNI Terrorism Prevention Act of 2004, Public employee in a combined official and in- Law No. 108–458, 118 Stat. 3638 (2004); Na- dividual capacity. Unless otherwise ex- tional Security Act of 1947, as amended, 50 pressly authorized by the General U.S.C. 401 et seq.; Executive Order 12333, as Counsel, service of process, in person or amended; and United States ex rel. Touhy v. by mail, upon an ODNI employee in the Ragen, 340 U.S. 462 (1951). employee’s combined official and indi- SOURCE: 74 FR 11480, Mar. 18, 2009, unless vidual capacity, may be accepted only otherwise noted.

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§ 1703.1 Scope and purpose. of that employee’s official duties or be- This part sets forth the policy and cause of that employee’s association procedures with respect to the produc- with the ODNI. tion or disclosure of material con- OGC: The Office of the General Coun- tained in the files of the ODNI, infor- sel of the ODNI. mation relating to or based upon mate- OGC Attorney: Any attorney in the rial contained in the files of the ODNI, OGC. and information acquired by any per- Proceeding: Any matter before a court son while such person was an employee of law, administrative law judge, ad- of the ODNI as part of the performance ministrative tribunal or commission or of that person’s official duties or be- other body that conducts legal or ad- cause of that person’s association with ministrative proceedings, and includes the ODNI. all phases of the proceeding. Production or Produce: The disclosure § 1703.2 Definitions. of ODNI information or material in response to a demand. The following definitions apply to this part: § 1703.3 General. Defenses: Any and all legal defenses, privileges or objections available to (a) No ODNI employee shall respond the ODNI in response to a demand. to a demand for ODNI information or Demand: material without prior authorization (1) Any subpoena, order or other legal as set forth in this part. summons issued by a federal, state, (b) This part is intended only to pro- local or other government entity of vide procedures for responding to de- competent jurisdiction with the au- mands for production of documents or thority to require a response on a par- information, and does not create any ticular matter or a request for appear- right or benefit, substantive or proce- ance of an individual where a demand dural, enforceable by any party against could issue. the United States. (2) Any request for production or disclosure which may result in the § 1703.4 Procedure for production. issuance of a subpoena, order, or other (a) Whenever a demand is made for legal process to compel production or ODNI information or material, the em- disclosure. ployee who received the demand shall DNI: The Director of National Intel- immediately notify OGC ((703) 275– ligence. 2527). The OGC and the ODNI employee General Counsel: The ODNI’s General shall then follow the procedures set Counsel, Acting General Counsel or forth in this section. Deputy General Counsel. (b) The OGC may assert any and all ODNI: The Office of the Director of defenses before any search for poten- National Intelligence and all of its tially responsive ODNI information or components, including, but not limited material begins. Further, in its sole to, the Office of the National Counter- discretion the ODNI may decline to intelligence Executive, the National begin a search for potentially respon- Counterterrorism Center, the National sive ODNI information or material Counterproliferation Center, the Pro- until a final and non-appealable dis- gram Manager for the Information position of any or all of the asserted Sharing Environment, and all national defenses is made by the federal, state, intelligence centers and program man- local or government entity of com- agers the DNI may establish. petent jurisdiction. When the OGC de- ODNI Employee: Any current or termines that it is appropriate to former employee, contractor, inde- search for potentially responsive ODNI pendent contractor, assignee or information and material, the OGC will detailee to the ODNI. forward the demand to the appropriate ODNI Information or Material: Infor- ODNI offices or entities with responsi- mation or material that is contained in bility for the ODNI information or ma- ODNI files, related to or based upon terial sought in the demand. Those material contained in ODNI files or ac- ODNI offices or entities shall then quired by any ODNI employee as part search for and provide to the OGC all

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potentially responsive ODNI informa- (f) If response to a demand is required tion and material. The OGC may then before a decision is made whether to assert any and all defenses to the pro- provide responsive ODNI information duction of what it determines is re- or material, an OGC attorney will responsive ODNI information or mate- quest that a Department of Justice at- rial. torney appear with the ODNI employee (c) In reaching a decision on whether upon whom that demand has been to produce responsive ODNI informa- made before the court or other com- tion or material, or to object to the de- petent authority and provide it with a mand, the OGC shall consider whether: copy of this regulation and inform the (1) Any relevant privileges are appli- court or other authority as to the sta- cable; tus of the demand. The court will be re- (2) The applicable rules of discovery quested to stay the demand pending or procedure require production; resolution by the ODNI. If the request (3) Production would violate a stat- for a stay is denied or there is a ruling ute, regulation, executive order or that the demand must be complied other provision of law; with irrespective of instructions ren- (4) Production would violate a non- dered in accordance with this Part, the disclosure agreement; employee upon whom the demand was (5) Production would be inconsistent made shall, if directed to do so by the with the DNI’s responsibility to pro- General Counsel or its designee, re- tect intelligence sources and methods, spectfully decline to comply with the or reveal classified information or demand under the authority of United state secrets; States ex rel. Touhy v. Ragen, 340 U.S. (6) Production would violate a spe- 462 (1951), and this regulation. cific ODNI policy issuance or instruc- (g) ODNI officials may delegate in tion; and (7) Production would unduly interfere writing any authority given to them in with the orderly conduct of ODNI func- this Part to subordinate officials. tions. (h) Any individual or entity not an (d) If oral or written testimony is ODNI employee as defined in this Part sought by a demand in a case or matter who receives a demand for the produc- in which the ODNI is not a party, a rea- tion or disclosure of ODNI information sonably detailed description of the tes- or material acquired because of that timony sought in the form of an affi- person’s or entity’s association with davit, or a written statement if that is the ODNI should notify the OGC ((703) not feasible, by the party seeking the 275–2527) for guidance and assistance. testimony or its attorney must be fur- In such cases the provisions of this reg- nished to the OGC. ulation shall be applicable. (e) The OGC shall notify the appropriate employees of all decisions re- § 1703.5 Interpretation. garding responses to demands and pro- Any questions concerning interpreta- vide advice and counsel for the imple- tion of this Regulation shall be re- mentation of the decisions. ferred to the OGC for resolution.

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Part Page 1800 Public access to NACIC records under the Freedom of Information Act (FOIA) ...... 405 1801 Public rights under the Privacy Act of 1974 ...... 414 1802 Challenges to classification of documents by authorized holders pusuant to section 1.9 of Execu- tive Order 12958 ...... 422 1803 Public requests for mandatory declassification review of classified information pusuant to section 3.6 of Executive Order 12958 ...... 425 1804 Access by historical researchers and former presidential appointees pusuant to section 4.5 of Exec- utive Order 12958 ...... 429 1805 Production of official records or disclosure of official information in proceedings before Federal, State or local Government entities of competent juridiction ...... 432 1806 Procedures governing acceptance of service of process ...... 434 1807 Enforcement of nondiscrimination on the basis of disability in programs or activities conducted by the National Counterintelligence Center ...... 435

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Subpart B—Filing of FOIA Requests § 1800.2 Definitions. For purposes of this part, the fol- 1800.11 Preliminary information. lowing terms have the meanings indi- 1800.12 Requirements as to form and content. cated: 1800.13 Fees for record services. NACIC means the United States Na- 1800.14 Fee estimates (pre-request option). tional Counterintelligence Center acting through the NACIC Information Subpart C—NACIC Action on FOIA and Privacy Coordinator; Requests Days means calendar days when 1800.21 Processing of requests for records. NACIC is operating and specifically ex- 1800.22 Action and determination(s) by cludes Saturdays, Sundays, and legal originator(s) or any interested party. public holidays. Three (3) days may be 1800.23 Payment of fees, notification of de- added to any time limit imposed on a cision, and right of appeal. requester by this part if responding by U.S. domestic mail; otherwise ten (10) Subpart D—Additional Administrative days may be added if responding by Matters international mail; 1800.31 Procedures for business information. Control means ownership or the au- 1800.32 Procedures for information con- thority of NACIC pursuant to federal cerning other persons. statute or privilege to regulate official 1800.33 Allocation of resources; agreed ex- or public access to records; tensions of time. Coordinator means the NACIC Infor- 1800.34 Requests for expedited processing. mation and Privacy Coordinator who Subpart E—NACIC Action on FOIA serves as the NACIC manager of the in- Administrative Appeals formation review and release program instituted under the Freedom of Infor- 1800.41 Appeal authority. mation Act; 1800.42 Right of appeal and appeal proce- Direct-costs means those expenditures dures. which an agency actually incurs in the 1800.43 Determination(s) by Office Chief(s). processing of a FOIA request; it does 1800.44 Action by appeals authority. 1800.45 Notification of decision and right of not include overhead factors such as judicial review. space; it does include: (1) Pages means paper copies of stand- AUTHORITY: 5 U.S.C. 552. ard office size or the dollar value SOURCE: 64 FR 49879, Sept. 14, 1999, unless equivalent in other media; otherwise noted. (2) Reproduction means generation of a copy of a requested record in a form Subpart A—General appropriate for release; (3) Review means all time expended in § 1800.1 Authority and purpose. examining a record to determine This part is issued under the author- whether any portion must be withheld ity of and in order to implement the pursuant to law and in effecting any Freedom of Information Act (FOIA), as required deletions but excludes per- amended (5 U.S.C. 552); and section 102 sonnel hours expended in resolving gen- of the National Security Act of 1947, as eral legal or policy issues; it also

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means personnel hours of professional means information which concerns cur- time; rent events, would be of current inter- (4) Search means all time expended in est to the general public, would en- looking for and retrieving material hance the public understanding of the that may be responsive to a request operations or activities of the U.S. utilizing available paper and electronic Government, and is in fact dissemi- indices and finding aids; it also means nated to a significant element of the personnel hours of professional time or public at minimal cost; freelance jour- the dollar value equivalent in com- nalists are included in this definition if puter searches; they can demonstrate a solid basis for Expression of interest means a written expecting publication through such an communication submitted by a mem- organization, even though not actually ber of the public requesting informa- employed by it; a publication contract tion on or concerning the FOIA pro- or prior publication record is relevant gram and/or the availability of docu- to such status; ments from NACIC; (4) means a request from an Federal agency means any executive All other department, military department, or individual not within categories (h)(1), other establishment or entity included (2), or (3) of this section; in the definition of agency in 5 U.S.C. Freedom of Information Act or ‘‘FOIA’’ 552(f); means the statutes as codified at 5 Fees means those direct costs which U.S.C. 552; may be assessed a requester consid- Interested party means any official in ering the categories established by the the executive, military, congressional, FOIA; requesters should submit infor- or judicial branches of government, mation to assist NACIC in determining United States or foreign, or U.S. Gov- the proper fee category and NACIC ernment contractor who, in the sole may draw reasonable inferences from discretion of NACIC, has a subject mat- the identity and activities of the re- ter or physical interest in the docu- quester in making such determina- ments or information at issue; tions; the fee categories include: Originator means the U.S. Govern- (1) Commercial means a request in ment official who originated the docu- which the disclosure sought is pri- ment at issue or successor in office or marily in the commercial interest of such official who has been delegated re- the requester and which furthers such lease or declassification authority pur- commercial, trade, income or profit in- suant to law; terests; Potential requester means a person, or- (2) Non-commercial educational or sci- ganization, or other entity who sub- means a request from entific institution mits an expression of interest; an accredited United States edu- Reasonably described records means a cational institution at any academic level or institution engaged in research description of a document (record) by concerning the social, biological, or unique identification number or de- physical sciences or an instructor or scriptive terms which permit a NACIC researcher or member of such institu- employee to locate documents with tions; it also means that the informa- reasonable effort given existing indices tion will be used in a specific scholarly and finding aids; or analytical work, will contribute to Records or agency records means all the advancement of public knowledge, documents, irrespective of physical or and will be disseminated to the general electronic form, made or received by public; NACIC in pursuance of federal law or in (3) Representative of the news media connection with the transaction of means a request from an individual ac- public business and appropriate for tively gathering news for an entity preservation by NACIC as evidence of that is organized and operated to pub- the organization, functions, policies, lish and broadcast news to the Amer- decisions, procedures, operations, or ican public and pursuant to their news other activities of NACIC or because of dissemination function and not their the informational value of the data commercial interests; the term news contained therein; it does not include:

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(1) Books, newspapers, magazines, clearly delineate the communication journals, magnetic or printed tran- as a request under the Freedom of In- scripts of electronic broadcasts, or formation Act and this regulation. similar public sector materials ac- NACIC employees receiving a commu- quired generally and/or maintained for nication in the nature of a FOIA re- library or reference purposes; to the ex- quest shall expeditiously forward same tent that such materials are incor- to the Coordinator. Requests and ap- porated into any form of analysis or peals on requests, referrals, or coordi- otherwise distributed or published by nations received from members of the NACIC, they are fully subject to the public who owe outstanding fees for in- disclosure provisions of the FOIA; formation services at this or other fed- (2) Index, filing, or museum docu- eral agencies will not be accepted and ments made or acquired and preserved action on all pending requests shall be solely for reference, indexing, filing, or terminated in such circumstances. exhibition purposes; and (3) Routing and transmittal sheets § 1800.12 Requirements as to form and and notes and filing or destruction content. notes which do not also include infor- (a) No par- mation, comment, or statements of Required information. substance; ticular form is required. A request need Responsive records means those docu- only reasonably describe the records of ments (i.e., records) which NACIC has interest. This means that documents determined to be within the scope of a must be described sufficiently to en- FOIA request. able a professional employee familiar with the subject to locate the docu- § 1800.3 Contact for general informa- ments with a reasonable effort. Com- tion and requests. monly this equates to a requirement For general information on this part, that the documents must be locatable to inquire about the FOIA program at through the indexing of our various NACIC, or to file a FOIA request (or ex- systems. Extremely broad or vague re- pression of interest), please direct your quests or requests requiring research communication in writing to the Infor- do not satisfy this requirement. mation and Privacy Coordinator, Exec- (b) Additional information for fee deter- utive Secretariat Office, National mination. In addition, a requester Counterintelligence Center, 3W01 NHB, should provide sufficient personal iden- Washington, DC 20505. Such inquiries tifying information to allow us to de- will also be accepted by facsimile at termine the appropriate fee category. (703)874–5844. For general information A requester should also provide an or status information on pending cases agreement to pay all applicable fees or only, the telephone number is (703)874– fees not to exceed a certain amount or 4121. Collect calls cannot be accepted. request a fee waiver. (c) Otherwise. Communications which § 1800.4 Suggestions and complaints. do not meet these requirements will be NACIC welcomes suggestions or com- considered an expression of interest plaints with regard to its administra- and NACIC will work with, and offer tion of the Freedom of Information suggestions to, the potential requester Act. Letters of suggestion or complaint in order to define a request properly. should identify the specific purpose and the issues for consideration. NACIC § 1800.13 Fees for record services. will respond to all substantive commu- (a) In general. Search, review, and re- nications and take such actions as de- production fees will be charged in ac- termined feasible and appropriate. cordance with the provisions below relating to schedule, limitations, and Subpart B—Filing of FOIA Requests category of requester. Applicable fees will be due even if our search locates § 1800.11 Preliminary information. no responsive records or some or all of Members of the public shall address the responsive records must be denied all communications to the NACIC Co- under one or more of the exemptions of ordinator as specified at § 1800.03 and the Freedom of Information Act.

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(b) Fee waiver requests. Records will the completion of a case, and fee waiv- be furnished without charge or at a re- er appeals within forty-five (45) days of duced rate whenever NACIC deter- our initial decision subject to the fol- mines: lowing condition: if processing has (1) That, as a matter of administra- been initiated, then the requester must tive discretion, the interest of the agree to be responsible for costs in the United States Government would be event of an adverse administrative or served, or judicial decision. (2) That it is in the public interest (e) Agreement to pay fees. In order to because it is likely to contribute sig- protect requesters from large and/or nificantly to the public understanding unanticipated charges, NACIC will re- of the operations or activities of the quest specific commitment when it es- United States Government and is not timates that fees will exceed $100.00. primarily in the commercial interest of NACIC will hold in abeyance for forty- the requester; NACIC shall consider the five (45) days requests requiring such following factors when making this de- agreement and will thereafter deem termination: the request closed. This action, of (i) Whether the subject of the request course, would not prevent an individual concerns the operations or activities of from refiling his or her FOIA request the United States Government; and, if with a fee commitment at a subsequent so, date. (ii) Whether the disclosure of the re- (f) Deposits. NACIC may require an quested documents is likely to con- advance deposit of up to 100 percent of tribute to an understanding of United the estimated fees when fees may ex- States Government operations or ac- ceed $250.00 and the requester has no tivities; and, if so, history of payment, or when, for fees of (iii) Whether the disclosure of the re- any amount, there is evidence that the quested documents will contribute to requester may not pay the fees which public understanding of United States would be accrued by processing the re- Government operations or activities; quest. NACIC will hold in abeyance for and, if so, forty-five (45) days those requests (iv) Whether the disclosure of the re- where deposits have been requested. quested documents is likely to con- (g) Schedule of fees—(1) In general. The tribute significantly to public under- schedule of fees for services performed standing of United States Government in responding to requests for records is operations and activities; and established as follows: (v) Whether the requester has a com- (i) Personnel Search and Review mercial interest that would be Clerical/TechnicallQuarter hourl$ furthered by the requested disclosure; 5.00lProfessional/SupervisorylQuarter and, if so, hourl 10.00llManager/Senior (vi) Whether the disclosure is pri- ProfessionallQuarter hourl18.00 marily in the commercial interest of (ii) Computer Search and Production the requester. (c) Fee waiver appeals. Denials of re- Search (on-line)lFlat ratel10.00lSearch quests for fee waivers or reductions (off-line)lFlat ratel30.00lOther activity Per minute 10.00 Tapes (main- may be appealed to the Director, l l l frame cassette)lEachl9.00lTapes (main- NACIC via the Coordinator. A re- frame cartridge)lEachl9.00lTapes (main- quester is encouraged to provide any frame reel)lEachl20.00lTapes (PC explanation or argument as to how his 9mm)lEachl25.00lDiskette (3.5″) or her request satisfies the statutory lEachl4.00lCD (bulk re- requirement set forth in paragraph (b) corded)lEachl10.00lCD (record- of this section. able)lEachl20.00l Telecommunications (d) Time for fee waiver requests and ap- lPer minutel.50l Paper (mainframe printer)lPer pagel.10lPaper (PC b&w laser peals. It is suggested that such requests printer)lPer pagel.10lPaper (PC color and appeals be made and resolved prior printer)lPer pagel1.00 to the initiation of processing and the incurring of costs. However, fee waiver (iii) Paper Production requests will be accepted at any time Photocopy (standard or legal)lPer prior to the release of documents or pagel.10lMicrofichelPer framel.20lPre-

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printed (if available)lPer 100 (1) ‘‘Commercial use’’ requesters: pagesl5.00lPublished (if available)lPer Charges which recover the full direct itemlNTISl costs of searching for, reviewing, and (2) Application of schedule. Personnel duplicating responsive records (if any); search time includes time expended in (2) ‘‘Educational and non-commercial either manual paper records searches, scientific institution’’ requesters as indices searches, review of computer well as ‘‘representatives of the news search results for relevance, personal media’’ requesters: Only charges for re- computer system searches, and various production beyond the first 100 pages; reproduction services. In any event (3) ‘‘All other’’ requesters: Charges where the actual cost to NACIC of a which recover the full direct cost of particular item is less than the above searching for and reproducing respon- schedule (e.g., a large production run of sive records (if any) beyond the first a document resulted in a cost less than 100 pages of reproduction and the first $5.00 per hundred pages), then the ac- two hours of search time which will be tual lesser cost will be charged. furnished without charge. (3) Other services. For all other types (j) Associated requests. A requester or of output, production, or reproduction associated requesters may not file a se- (e.g., photographs, maps, or published ries of multiple requests, which are reports), actual cost or amounts au- merely discrete subdivisions of the in- thorized by statute. Determinations of formation actually sought for the pur- actual cost shall include the commer- pose of avoiding or reducing applicable cial cost of the media, the personnel fees. In such instances, NACIC may ag- time expended in making the item to gregate the requests and charge the ap- be released, and an allocated cost of plicable fees. the equipment used in making the item, or, if the production is effected § 1800.14 Fee estimates (pre-request by a commercial service, then that option). charge shall be deemed the actual cost In order to avoid unanticipated or po- for purposes of this part. tentially large fees, a requester may (h) Limitations on collection of fees—(1) submit a request for a fee estimate. In general. No fees will be charged if Pursuant to the Electronic Freedom of the cost of collecting the fee is equal to Information Act Amendments of 1996, or greater than the fee itself. That cost NACIC will endeavor within twenty (20) includes the administrative costs to days to provide an accurate estimate, NACIC of billing, receiving, recording, and, if a request is thereafter sub- and processing the fee for deposit to mitted, NACIC will not accrue or the Treasury Department and, as of the charge fees in excess of our estimate date of these regulations, is deemed to without the specific permission of the be $10.00. requester. (2) Requests for personal information. No fees will be charged for requesters seeking records about themselves Subpart C—NACIC Action On under the FOIA; such requests are FOIA Requests processed in accordance with both the FOIA and the Privacy Act in order to § 1800.21 Processing of requests for ensure the maximum disclosure with- records. out charge. (a) In general. Requests meeting the (i) Fee categories. There are four cat- requirements of §§ 1800.11 through egories of FOIA requesters for fee pur- 1800.13 shall be accepted as formal re- poses: ‘‘commercial use’’ requesters, quests and processed under the Free- ‘‘educational and non-commercial sci- dom of Information Act, 5 U.S.C. 552, entific institution’’ requesters, ‘‘rep- and these regulations. Pursuant to the resentatives of the news media’’ re- Electronic Freedom of Information Act questers, and ‘‘all other’’ requesters. Amendments of 1996, upon receipt, The categories are defined in § 1800.2, NACIC shall within twenty (20) days and applicable fees, which are the same record each request, acknowledge rein two of the categories, will be as- ceipt to the requester in writing, and sessed as follows: thereafter effect the necessary

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taskings to the NACIC components rea- § 1800.22 Action and determination(s) sonably believed to hold responsive by originator(s) or any interested records. party. (b) Database of ‘‘officially released in- (a) Initial action for access. (1) NACIC formation.’’ As an alternative to exten- components tasked pursuant to a FOIA sive tasking and as an accommodation request shall search all relevant record to many requesters, NACIC maintains systems within their cognizance. They a database of ‘‘officially released infor- shall: mation’’ which contains copies of docu- (i) Determine whether a record ex- ments released by NACIC. Searches of ists; this database can be accomplished ex- (ii) Determine whether and to what peditiously. Moreover, requests that extent any FOIA exemptions apply; (iii) Approve the disclosure of all are specific and well-focused will often non-exempt records or portions of incur minimal, if any, costs. Request- records for which they are the origi- ers interested in this means of access nator; and should so indicate in their correspond- (iv) Forward to the Coordinator all ence. Consistent with the mandate of records approved for release or nec- the Electronic Freedom of Information essary for coordination with or referral Act Amendments of 1996, on-line elec- to another originator or interested tronic access to these records is avail- party. able to the public. Detailed informa- (2) In making these decisions, the tion regarding such access is available NACIC component officers shall be from the point of contact specified in guided by the applicable law as well as § 1800.3. the procedures specified at § 1800.31 and (c) Effect of certain exemptions. In § 1800.32 regarding confidential com- processing a request, NACIC shall de- mercial information and personal in- cline to confirm or deny the existence formation (about persons other than or nonexistence of any responsive the requester). records whenever the fact of their ex- (b) Referrals and coordinations. As ap- istence or nonexistence is itself classi- plicable and within twenty (20) days, fied under Executive Order 12958 and pursuant to the Electronic Freedom of may jeopardize intelligence sources or Information Act Amendments of 1996, methods protected pursuant to section of receipt by the Coordinator, any NACIC records containing information 103(c)(6) of the National Security Act of originated by other NACIC components 1947. In such circumstances, NACIC, in shall be forwarded to those entities for the form of a final written response, action in accordance with paragraph shall so inform the requester and ad- (a) of this section and return. Records vise of his or her right to an adminis- originated by other federal agencies or trative appeal. NACIC records containing other federal (d) Time for response. Pursuant to the agency information shall be forwarded Electronic Freedom of Information Act to such agencies within twenty (20) Amendments of 1996, NACIC will utilize days of our completion of initial action every effort to determine within the in the case for action under their regu- statutory guideline of twenty (20) days lations and direct response to the re- after receipt of an initial request quester (for other agency records) or whether to comply with such a request. return to NACIC (for NACIC records). However, should the volume of requests require that NACIC seek additional § 1800.23 Payment of fees, notification of decision, and right of appeal. time from a requester pursuant to § 1800.33, NACIC will inform the re- (a) Fees in general. Fees collected quester in writing and further advise of under this part do not accrue to the his or her right to file an administra- National Counterintelligence Center tive appeal of any adverse determina- and shall be deposited immediately to the general account of the United tion. States Treasury. (b) Notification of decision. Upon completion of all required review and the

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receipt of accrued fees (or promise to reasonably be expected to cause sub- pay such fees), NACIC will promptly in- stantial competitive harm; form the requester in writing of those Submitter means any person or entity records or portions of records which who provides confidential commercial may be released and which must be de- information to the United States Gov- nied. With respect to the former, ernment; it includes, but is not limited NACIC will provide copies; with respect to, corporations, businesses (however to the latter, NACIC shall explain the organized), state governments, and for- reasons for the denial, identify the per- eign governments; and son(s) responsible for such decisions by (b) Designation of confidential commer- name and title, and give notice of a cial information. A submitter of busi- right of administrative appeal. ness information will use good-faith ef- (c) Availability of reading room. As an forts to designate, by appropriate alternative to receiving records by markings, either at the time of submis- mail, a requester may arrange to in- sion or at a reasonable time thereafter, spect the records deemed releasable at any portions of its submission that it a NACIC ‘‘reading room’’ in the metro- considers to be confidential commer- politan Washington, DC area. Access cial information and hence protected will be granted after applicable and ac- from required disclosure pursuant to crued fees have been paid. Requests to exemption (b)(4). Such designations review or browse documents in our shall expire ten (10) years after the database of ‘‘officially released date of the submission unless the sub- records’’ will also be honored in this mitter requests, and provides justifica- manner to the extent that paper copies tion for, a longer designation period. or electronic copies in unclassified (c) Process in event of FOIA request— computer systems exist. All such re- (1) Notice to submitters. NACIC shall pro- quests shall be in writing and ad- vide a submitter with prompt written dressed pursuant to § 1800.3. The records notice of receipt of a Freedom of Infor- will be available at such times as mu- mation Act request encompassing busi- tually agreed but not less than three ness information whenever: (3) days from our receipt of a request. (i) The submitter has in good faith The requester will be responsible for designated the information as con- reproduction charges for any copies of fidential commercial information, or records desired. (ii) NACIC believes that disclosure of the information could reasonably be Subpart D—Additional expected to cause substantial competi- Administrative Matters tive harm, and (iii) The information was submitted § 1800.31 Procedures for business in- within the last ten (10) years unless the formation. submitter requested and provided ac- (a) In general. Business information ceptable justification for a specific no- obtained by NACIC by a submitter tice period of greater duration. shall not be disclosed pursuant to a (2) Form of notice. This notice shall ei- Freedom of Information Act request ther describe the exact nature of the except in accordance with this section. confidential commercial information For purposes of this section, the fol- at issue or provide copies of the respon- lowing definitions apply: sive records containing such informa- Business information means commer- tion. cial or financial information in which a (3) Response by submitter. (i) Within legal entity has a recognized property seven (7) days of the above notice, all interest; claims of confidentiality by a sub- Confidential commercial information mitter must be supported by a detailed means such business information pro- statement of any objection to disclo- vided to the United States Government sure. Such statement shall: by a submitter which is reasonably be- (A) Specify that the information has lieved to contain information exempt not been disclosed to the public; from release under exemption (b)(4) of (B) Explain why the information is the Freedom of Information Act, 5 contended to be a trade secret or con- U.S.C. 552, because disclosure could fidential commercial information;

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(C) Explain how the information is (iii) The disclosure of the informa- capable of competitive damage if dis- tion is otherwise required by law or closed; federal regulation; or (D) State that the submitter will pro- (iv) The designation made by the sub- vide NACIC and the Department of Jus- mitter under this section appears frivo- tice with such litigation defense as re- lous, except that, in such a case, quested; and NACIC will, within a reasonable time (E) Be certified by an officer author- prior to the specified disclosure date, ized to legally bind the corporation or give the submitter written notice of similar entity. any final decision to disclose the infor- (ii) It should be noted that informa- mation. tion provided by a submitter pursuant [64 FR 49879, Sept. 14, 1999; 64 FR 53769, Oct. to this provision may itself be subject 4, 1999] to disclosure under the FOIA. (4) Decision and notice of intent to dis- § 1800.32 Procedures for information close. (i) NACIC shall consider carefully concerning other persons. a submitter’s objections and specific (a) In general. Personal information grounds for nondisclosure prior to its concerning individuals other than the final determination. If NACIC decides requester shall not be disclosed under to disclose a document over the objec- the Freedom of Information Act if the tion of a submitter, NACIC shall pro- proposed release would constitute a vide the submitter a written notice clearly unwarranted invasion of per- which shall include: sonal privacy. See 5 U.S.C. 552(b)(6). (A) A statement of the reasons for For purposes of this section, the fol- which the submitter’s disclosure objec- lowing definitions apply: tions were not sustained; Personal information means any infor- (B) A description of the information mation about an individual that is not to be disclosed; and a matter of public record, or easily dis- (C) A specified disclosure date which cernible to the public, or protected is seven (7) days after the date of the from disclosure because of the implica- instant notice. tions that arise from Government possession of such information. (ii) When notice is given to a submitter under this section, NACIC shall Public interest means the public inter- also notify the requester and, if NACIC est in understanding the operations notifies a submitter that it intends to and activities of the United States Government and not simply any mat- disclose information, then the re- ter which might be of general interest quester shall be notified also and given to the requester or members of the the proposed date for disclosure. public. (5) Notice of FOIA lawsuit. If a re- (b) Determination to be made. In mak- quester initiates a civil action seeking ing the required determination under to compel disclosure of information as- this section and pursuant to exemption serted to be within the scope of this (b)(6) of the FOIA, NACIC will balance section, NACIC shall promptly notify the privacy interests that would be the submitter. The submitter, as speci- compromised by disclosure against the fied above, shall provide such litigation public interest in release of the re- assistance as required by NACIC and quested information. the Department of Justice. (c) Otherwise. A requester seeking in- (6) Exceptions to notice requirement. formation on a third person is encour- The notice requirements of this section aged to provide a signed affidavit or shall not apply if NACIC determines declaration from the third person that: waiving all or some of their privacy (i) The information should not be dis- rights. However, all such waivers shall closed in light of other FOIA exemp- be narrowly construed and the Coordi- tions; nator, in the exercise of his discretion (ii) The information has been pub- and administrative authority, may lished lawfully or has been officially seek clarification from the third party made available to the public; prior to any or all releases.

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§ 1800.33 Allocation of resources; an administrative appeal or judicial re- agreed extensions of time. view as appropriate. (a) In general. NACIC components § 1800.34 Requests for expedited proc- shall devote such personnel and other essing. resources to the responsibilities imposed by the Freedom of Information (a) In general. All requests will be Act as may be appropriate and reason- handled in the order received on a able considering: strictly ‘‘first-in, first-out’’ basis. Ex- (1) The totality of resources available ceptions to this section will only be to the component, made in accordance with the following (2) The business demands imposed on procedures. In all circumstances, how- the component by the Director of ever, and consistent with established NACIC or otherwise by law, judicial precedent, requests more prop- (3) The information review and re- erly the scope of requests under the lease demands imposed by the Congress Federal Rules of Civil or Criminal Pro- or other governmental authority, and cedure (or other federal, state, or for- (4) The rights of all members of the eign judicial or quasi-judicial rules) public under the various information will not be granted expedited proc- review and disclosure laws. essing under this or related (e.g., Pri- (b) Discharge of FOIA responsibilities. vacy Act) provisions unless expressly Components shall exercise due dili- ordered by a federal court of competent gence in their responsibilities under jurisdiction. the FOIA and must allocate a reason- (b) Procedure. Requests for expedited able level of resources to requests processing will be approved only when under the Act in a strictly ‘‘first-in, a compelling need is established to the first-out’’ basis and utilizing two or satisfaction of NACIC. A requester may more processing queues to ensure that make such a request with a certifi- smaller as well as larger (i.e., project) cation of ‘‘compelling need’’ and, with- cases receive equitable attention. The in ten (10) days of receipt, NACIC will Information and Privacy Coordinator decide whether to grant expedited proc- is responsible for management of the essing and will notify the requester of NACIC-wide program defined by this its decision. The certification shall set part and for establishing priorities for forth with specificity the relevant facts cases consistent with established law. upon which the requester relies and it The Director, NACIC shall provide pol- appears to NACIC that substantive icy and resource direction as necessary records relevant to the stated needs and render decisions on administrative may exist and be deemed releasable. A appeals. ‘‘compelling need’’ is deemed to exist: (c) Requests for extension of time. When (1) When the matter involves an im- NACIC is unable to meet the statutory minent threat to the life or physical time requirements of the FOIA, it will safety of an individual; or inform the requester that the request (2) When the request is made by a cannot be processed within the statu- person primarily engaged in dissemi- tory time limits, provide an oppor- nating information and the informa- tunity for the requester to limit the tion is relevant to a subject of public scope of the request so that it can be urgency concerning an actual or al- processed within the statutory time leged Federal government activity. limits, or arrange with the requester an agreed upon time frame for proc- Subpart E—NACIC Action On essing the request, or determine that FOIA Administrative Appeals exceptional circumstances mandate additional time in accordance with the § 1800.41 Appeal authority. definition of ‘‘exceptional cir- The Director, NACIC will make final cumstances’’ per section 552(a)(6)(C) of NACIC decisions from appeals of initial the Freedom of Information Act, as adverse decisions under the Freedom of amended, effective October 2, 1997. In Information Act and such other infor- such instances NACIC will, however, mation release decisions made under inform a requester of his or her right parts 1801, 1802, and 1803 of this chap- to decline our request and proceed with ter. Matters decided by the Director,

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NACIC will be deemed a final decision § 1800.43 Determination(s) by Office by NACIC. Chief(s). Each Office Chief in charge of an of- § 1800.42 Right of appeal and appeal fice which originated or has an interest procedures. in any of the records subject to the ap- (a) Right of Appeal. A right of admin- peal, or designee, is a required party to istrative appeal exists whenever access any appeal; other interested parties to any requested record or any portion may become involved through the re- thereof is denied, no records are lo- quest of the Coordinator when it is de- cated in response to a request, or a re- termined that some or all of the infor- quest for a fee waiver is denied. NACIC mation is also within their official cog- will apprise all requesters in writing of nizance. These parties shall respond in their right to appeal such decisions to writing to the Coordinator with a find- the Director, NACIC through the Coor- ing as to the exempt status of the in- dinator. formation. This response shall be pro- (b) Requirements as to time and form. vided expeditiously on a ‘‘first-in, first- Appeals of decisions must be received out’’ basis taking into account the by the Coordinator within forty-five business requirements of the parties and consistent with the information (45) days of the date of NACIC’s initial rights of members of the general public decision. NACIC may, for good cause under the various information review and as a matter of administrative dis- and release laws. cretion, permit an additional thirty (30) days for the submission of an ap- § 1800.44 Action by appeals authority. peal. All appeals shall be in writing and (a) The Coordi- addressed as specified in § 1800.3. All ap- Preparation of docket. nator shall provide a summation peals must identify the documents or memorandum for consideration of the portions of documents at issue with Director, NACIC; the complete record specificity and may present such infor- of the request consisting of the re- mation, data, and argument in support quest, the document(s) (sanitized and as the requester may desire. full text) at issue, and the findings of (c) Exceptions. No appeal shall be ac- concerned Office Chiefs or designee(s). cepted if the requester has outstanding (b) Decision by the Director, NACIC. fees for information services at this or The Director, NACIC shall personally another federal agency. In addition, no decide each case; no personal appear- appeal shall be accepted if the informa- ances shall be permitted without the tion in question has been the subject of express permission of the Director, a review within the previous two (2) NACIC. years or is the subject of pending litigation in the federal courts. § 1800.45 Notification of decision and (d) Receipt, recording, and tasking. right of judicial review. NACIC shall promptly record each re- The Coordinator shall promptly pre- quest received under this part, ac- pare and communicate the decision of knowledge receipt to the requester in the Director, NACIC to the requester. writing, and thereafter effect the nec- With respect to any decision to deny essary taskings to the office(s) which information, that correspondence shall originated or has an interest in the state the reasons for the decision, iden- record(s) subject to the appeal. tify the officer responsible, and include (e) Time for response. NACIC shall at- a notice of a right to judicial review. tempt to complete action on an appeal within twenty (20) days of the date of PART 1801—PUBLIC RIGHTS UNDER receipt. The volume of requests, how- THE PRIVACY ACT OF 1974 ever, may require that NACIC request additional time from the requester pur- Subpart A—General suant to § 1800.33. In such event, NACIC Sec. will inform the requester of the right 1801.1 Authority and purpose. to judicial review. 1801.2 Definitions.

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1801.3 Contact for general information and (b) Purpose in general. This part pre- requests. scribes procedures for a requester, as 1801.4 Suggestions and complaints. defined herein: (1) To request notification of whether Subpart B—Filing Of Privacy Act Requests the National Counterintellingence Cen- 1801.11 Preliminary information. ter (NACIC) maintains a record con- 1801.12 Requirements as to form. cerning them in any non-exempt por- 1801.13 Requirements as to identification of tion of a system of records or any non- requester. exempt system of records; 1801.14 Fees. (2) To request a copy of all non-exempt records or portions of records; Subpart C—Action On Privacy Act (3) To request that any such record Requests be amended or augmented; and 1801.21 Processing requests for access to or (4) To file an administrative appeal amendment of records. to any initial adverse determination to 1801.22 Action and determination(s) by deny access to or amend a record. originator(s) or any interested party. (c) Other purposes. This part also sets 1801.23 Notification of decision and right of forth detailed limitations on how and appeal. to whom NACIC may disclose personal information and gives notice that cer- Subpart D—Additional Administrative tain actions by officers or employees of Matters the United States Government or mem- 1801.31 Special procedures for medical and bers of the public could constitute psychological records. criminal offenses. 1801.32 Requests for expedited processing. 1801.33 Allocation of resources; agreed ex- § 1801.2 Definitions. tensions of time. For purposes of this part, the following terms have the meanings indi- Subpart E—Action On Privacy Act cated: Administrative Appeals NACIC means the United States Na- tional Counterintelligence Center act- 1801.41 Appeal authority. 1801.42 Right of appeal and appeal proce- ing through the NACIC Information dures. and Privacy Coordinator; 1801.43 Determination(s) by Office Chief(s). Days means calendar days when 1801.44 Action by appeals authority. NACIC is operating and specifically ex- 1801.45 Notification of decision and right of cludes Saturdays, Sundays, and legal judicial review. public holidays. Three (3) days may be added to any time limit imposed on a Subpart F—Prohibitions requester by this part if responding by U.S. domestic mail; ten (10) days may 1801.51 Limitations on disclosure. 1801.52 Criminal penalties. be added if responding by international mail; Subpart G—Exemptions Control means ownership or the authority of NACIC pursuant to federal 1801.63 Specific exemptions. statute or privilege to regulate official AUTHORITY: 5 U.S.C. 552a. or public access to records; Coordinator means the NACIC Infor- SOURCE: 64 FR 49884, Sept. 14, 1999, unless mation and Privacy Coordinator who otherwise noted. serves as the NACIC manager of the information review and release program Subpart A—General instituted under the Privacy Act; Federal agency means any executive § 1801.1 Authority and purpose. department, military department, or (a) Authority. This part is issued other establishment or entity included under the authority of and in order to in the definition of agency in 5 U.S.C. implement the Privacy Act of 1974 (5 552(f); U.S.C. 552a) and section 102 of the Na- Interested party means any official in tional Security Act of 1947, as amended the executive, military, congressional, (50 U.S.C. 403). or judicial branches of government,

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United States or foreign, or U.S. Gov- § 1801.4 Suggestions and complaints. ernment contractor who, in the sole NACIC welcomes suggestions or com- discretion of NACIC, has a subject matter or physical interest in the docu- plaints with regard to its administra- ments or information at issue; tion of the Privacy Act. Letters of sug- Maintain means maintain, collect, gestion or complaint should identify use, or disseminate; the specific purpose and the issues for Originator means the U.S. Govern- consideration. NACIC will respond to ment official who originated the docu- all substantive communications and ment at issue or successor in office or take such actions as determined fea- such official who has been delegated re- sible and appropriate. lease or declassification authority pursuant to law; Subpart B—Filing Of Privacy Act Privacy Act or PA means the statute Requests as codified at 5 U.S.C. 552a; Record means an item, collection, or § 1801.11 Preliminary information. grouping of information about an indi- Members of the public shall address vidual that is maintained by NACIC in a system of records; all communications to the contact Requester or individual means a cit- specified at § 1801.3 and clearly delin- izen of the United States or an alien eate the communication as a request lawfully admitted for permanent resi- under the Privacy Act and this regula- dence who is a living being and to tion. Requests and administrative ap- whom a record might pertain; peals on requests, referrals, and coordi- Responsive record means those docu- nations received from members of the ments (records) which NACIC has de- public who owe outstanding fees for in- termined to be within the scope of a formation services at this or other fed- Privacy Act request; eral agencies will not be accepted and Routine use means, with respect to action on existing requests and appeals the disclosure of a record, the use of will be terminated in such cir- such record for a purpose which is com- cumstances. patible with the purpose for which the record is maintained; § 1801.12 Requirements as to form. System of records means a group of (a) In general. No particular form is any records under the control of NACIC required. All requests must contain the from which records are retrieved by the identification information required at name of an individual or by some iden- § 1801.13. tifying number, symbol, or other iden- (b) For access. For requests seeking tifying particular assigned to that indi- access, a requester should, to the ex- vidual. tent possible, describe the nature of § 1801.3 Contact for general informa- the record sought and the record sys- tion and requests. tem(s) in which it is thought to be in- For general information on this part, cluded. Requesters may find assistance to inquire about the Privacy Act pro- from information described in the Pri- gram at NACIC, or to file a Privacy vacy Act Issuances Compilation which Act request, please direct your commu- is published biennially by the FEDERAL nication in writing to the Information REGISTER. In lieu of this, a requester and Privacy Coordinator, Executive may simply describe why and under Secretariat Office, National Counter- what circumstances it is believed that intelligence Center, 3W01 NHB, Wash- NACIC maintains responsive records; ington, DC 20505. Requests with the re- NACIC will undertake the appropriate quired identification statement pursu- searches. ant to § 1801.13 must be filed in original (c) For amendment. For requests seek- form by mail. Subsequent communica- ing amendment, a requester should tions and any inquiries will be accepted identify the particular record or por- by mail or facsimile at (703) 874–5844 or tion subject to the request, state a jus- by telephone at (703) 874–4121. Collect tification for such amendment, and calls cannot be accepted. provide the desired amending language.

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§ 1801.13 Requirements as to identi- Subpart C—Action On Privacy Act fication of requester. Requests (a) In general. Individuals seeking access to or amendment of records con- § 1801.21 Processing requests for ac- cerning themselves shall provide their cess to or amendment of records. full (legal) name, address, date and (a) In general. Requests meeting the place of birth, and current citizenship requirements of § 1801.11 through status together with a statement that § 1801.13 shall be processed under both such information is true under penalty the Freedom of Information Act, 5 of perjury or a notarized statement U.S.C. 552, and the Privacy Act, 5 swearing to or affirming identity. If U.S.C. 552a, and the applicable regula- NACIC determines that this informa- tions, unless the requester demands tion is not sufficient, NACIC may re- otherwise in writing. Such requests quest additional or clarifying informa- will be processed under both Acts re- tion. gardless of whether the requester cites (b) Requirement for aliens. Only aliens one Act in the request, both, or nei- lawfully admitted for permanent resi- ther. This action is taken in order to dence (PRAs) may file a request pursu- ensure the maximum possible disclo- ant to the Privacy Act and this part. sure to the requester. Such individuals shall provide, in addi- (b) Receipt, recording and tasking. tion to the information required under Upon receipt of a request meeting the paragraph (a) of this section, their requirements of §§ 1801.11 through Alien Registration Number and the 1801.13, NACIC shall within ten (10) date that status was acquired. days record each request, acknowledge (c) Requirement for representatives. The receipt to the requester, and thereafter parent or guardian of a minor indi- effect the necessary taskings to the of- vidual, the guardian of an individual fice(s) reasonably believed to hold re- under judicial disability, or an attor- sponsive records. ney retained to represent an individual (c) Effect of certain exemptions. In shall provide, in addition to estab- processing a request, NACIC shall de- lishing the identity of the minor or in- cline to confirm or deny the existence dividual represented as required in or nonexistence of any responsive paragraph (a) or (b) of this section, evi- records whenever the fact of their ex- dence of such representation by sub- istence or nonexistence is itself classi- mission of a certified copy of the mi- fied under Executive Order 12958 and nor’s birth certificate, court order, or that confirmation of the existence of a representational agreement which es- record may jeopardize intelligence tablishes the relationship and the resources and methods protected pursu- quester’s identity. ant to section 103(c)(6) of the National (d) Procedure otherwise. If a requester Security Act of 1947. In such cir- or representative fails to provide the cumstances, NACIC, in the form of a information in paragraph (a), (b), or (c) final written response, shall so inform of this section within forty-five (45) the requester and advise of his or her days of the date of our request, NACIC right to an administrative appeal. will deem the request closed. This ac- (d) Time for response. Although the tion, of course, would not prevent an Privacy Act does not mandate a time individual from refiling his or her Pri- for response, our joint treatment of re- vacy Act request at a subsequent date quests under both the Privacy Act and with the required information. the FOIA means that the NACIC should provide a response within the FOIA § 1801.14 Fees. statutory guideline of ten (10) days on No fees will be charged for any action initial requests and twenty (20) days on under the authority of the Privacy Act, administrative appeals. However, the 5 U.S.C. 552a, irrespective of the fact volume of requests may require that that a request is or may be processed NACIC seek additional time from a re- under the authority of both the Pri- quester pursuant to § 1801.33. In such vacy Act and the Freedom of Informa- event, NACIC will inform the requester tion Act. in writing and further advise of his or

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her right to file an administrative ap- forwarded to those entities for action peal. in accordance with paragraphs (a), (b), or (c) of this section and return. § 1801.22 Action and determination(s) Records originated by other federal by originator(s) or any interested agencies or NACIC records containing party. other federal information shall be for- (a) Initial action for access. NACIC of- warded to such agencies within ten (10) fices tasked pursuant to a Privacy Act days of our completion of initial action access request shall search all relevant in the case for action under their regu- record systems within their cog- lations and direct response to the re- nizance. They shall: quester (for other NACIC records) or (1) Determine whether responsive return to NACIC (for NACIC records). records exist; (e) Effect of certain exemptions. This (2) Determine whether access must be section shall not be construed to allow denied in whole or part and on what access to systems of records exempted legal basis under both Acts in each by the Director, NACIC pursuant to such case; subsections (j) and (k) of the Privacy (3) Approve the disclosure of records Act or where those exemptions require for which they are the originator; and that NACIC can neither confirm nor (4) Forward to the Coordinator all deny the existence or nonexistence of records approved for release or nec- responsive records. essary for coordination with or referral to another originator or interested § 1801.23 Notification of decision and party as well as the specific determina- right of appeal. tions with respect to denials (if any). (b) Initial action for amendment. Within ten (10) days of receipt of re- NACIC offices tasked pursuant to a sponses to all initial taskings and sub- Privacy Act amendment request shall sequent coordinations (if any), and dis- review the official records alleged to be patch of referrals (if any), NACIC will inaccurate and the proposed amend- provide disclosable records to the re- ment submitted by the requester. If quester. If a determination has been they determine that NACIC’s records made not to provide access to re- are not accurate, relevant, timely or quested records (in light of specific ex- complete, they shall promptly: emptions) or that no records are found, (1) Make the amendment as re- NACIC shall so inform the requester, quested; identify the denying official, and ad- (2) Write to all other identified pervise of the right to administrative ap- sons or agencies to whom the record peal. has been disclosed (if an accounting of the disclosure was made) and inform of Subpart D—Additional the amendment; and Administrative Matters (3) Inform the Coordinator of such decisions. § 1801.31 Special procedures for med- (c) Action otherwise on amendment re- ical and psychological records. quest. If the NACIC office records manager declines to make the requested (a) In general. When a request for ac- amendment (or declines to make the cess or amendment involves medical or requested amendment) but agrees to psychological records and when the augment the official records, that man- originator determines that such ager shall promptly: records are not exempt from disclosure, (1) Set forth the reasons for refusal; NACIC will, after consultation with the and Director of Medical Services, CIA, de- (2) Inform the Coordinator of such determine: cision and the reasons therefore. (1) Which records may be sent di- (d) Referrals and coordinations. As ap- rectly to the requester and plicable and within ten (10) days of re- (2) Which records should not be sent ceipt by the Coordinator, any NACIC directly to the requester because of records containing information origi- possible medical or psychological harm nated by other NACIC offices shall be to the requester or another person.

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(b) Procedure for records to be sent to process considerations involving pos- physician. In the event that NACIC de- sible deprivation of life or liberty cre- termines, in accordance with para- ate circumstances of exceptional ur- graph (a)(2) of this section, that gency and extraordinary need. In ac- records should not be sent directly to cordance with established judicial the requester, NACIC will notify the precedent, requests more properly the requester in writing and advise that scope of requests under the Federal the records at issue can be made avail- Rules of Civil or Criminal Procedure able only to a physician of the request- (or equivalent state rules) will not be er’s designation. Upon receipt of such granted expedited processing under designation, verification of the iden- this or related (e.g., Freedom of Infor- tity of the physician, and agreement by mation Act) provisions unless ex- the physician: pressly ordered by a federal court of (1) To review the documents with the competent jurisdiction. requesting individual, (2) To explain the meaning of the § 1801.33 Allocation of resources; documents, and agreed extensions of time. (3) To offer counseling designed to (a) In general. NACIC components temper any adverse reaction, NACIC shall devote such personnel and other will forward such records to the des- resources to the responsibilities im- ignated physician. posed by the Privacy Act as may be ap- (c) Procedure if physician option not propriate and reasonable considering: available. If within sixty (60) days of (1) The totality of resources available paragraph (a)(2) of this section, the re- to the component, quester has failed to respond or des- (2) The business demands imposed on ignate a physician, or the physician the component by the Director, NACIC fails to agree to the release conditions, or otherwise by law, NACIC will hold the documents in (3) The information review and re- abeyance and advise the requester that lease demands imposed by the Congress this action may be construed as a tech- or other governmental authority, and nical denial. NACIC will also advise the (4) The rights of all members of the requester of the responsible official and public under the various information of his or her rights to administrative review and disclosure laws. appeal and thereafter judicial review. (b) Discharge of Privacy Act responsibilities. Offices shall exercise due dili- § 1801.32 Requests for expedited proc- gence in their responsibilities under essing. the Privacy Act and must allocate a (a) All requests will be handled in the reasonable level of resources to re- order received on a strictly ‘‘first-in, quests under the Act in a strictly first-out’’ basis. Exceptions to this rule ‘‘first-in, first-out’’ basis and utilizing will only be made in circumstances two or more processing queues to en- that NACIC deems to be exceptional. In sure that smaller as well as larger (i.e., making this determination, NACIC project) cases receive equitable atten- shall consider and must decide in the tion. The Information and Privacy Co- affirmative on all of the following fac- ordinator is responsible for manage- tors: ment of the NACIC-wide program de- (1) That there is a genuine need for fined by this part and for establishing the records; and priorities for cases consistent with es- (2) That the personal need is excep- tablished law. The Director, NACIC tional; and shall provide policy and resource direc- (3) That there are no alternative fo- tion as necessary and shall render deci- rums for the records sought; and sions on administrative appeals. (4) That it is reasonably believed that (c) Requests for extension of time. substantive records relevant to the While the Privacy Act does not specify stated needs may exist and be deemed time requirements, our joint treatment releasable. of requests under the FOIA means that (b) In sum, requests shall be consid- when NACIC is unable to meet the ered for expedited processing only statutory time requirements of the when health, humanitarian, or due FOIA, NACIC may request additional

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time from a requester. In such in- of pending litigation in the federal stances NACIC will inform a requester courts. of his or her right to decline our re- (d) Receipt, recording, and tasking. quest and proceed with an administra- NACIC shall promptly record each ad- tive appeal or judicial review as appro- ministrative appeal, acknowledge re- priate. ceipt to the requester in writing, and thereafter effect the necessary Subpart E—Action On Privacy Act taskings to the office chief in charge of Administrative Appeals the office(s) which originated or has an interest in the record(s) subject to the § 1801.41 Appeal authority. appeal. The Director, NACIC will make final NACIC decisions from appeals of initial § 1801.43 Determination(s) by Office adverse decisions under the Privacy Chiefs. Act and such other information release Each Office Chief in charge of an of- decisions made under 32 CFR parts fice which originated or has an interest 1800, 1802, and 1803 of this chapter. Mat- in any of the records subject to the ap- ters decided by the Director, NACIC will be deemed a final decision by peal, or designee, is a required party to NACIC. any appeal; other interested parties may become involved through the re- § 1801.42 Right of appeal and appeal quest of the Coordinator when it is de- procedures. termined that some or all of the infor- (a) Right of Appeal. A right of admin- mation is also within their official cog- istrative appeal exists whenever access nizance. These parties shall respond in to any requested record or any portion writing to the Coordinator with a find- thereof is denied, no records are lo- ing as to the exempt or non-exempt cated in response to a request, or a re- status of the information including ci- quest for amendment is denied. NACIC tations to the applicable exemption will apprise all requesters in writing of and/or their agreement or disagree- their right to appeal such decisions to ment as to the requested amendment the Director, NACIC through the Coor- and the reasons therefore. Each re- dinator. sponse shall be provided expeditiously (b) Requirements as to time and form. on a ‘‘first-in, first-out’’ basis taking Appeals of decisions must be received into account the business requirements by the Coordinator within forty-five (45) days of the date of NACIC’s initial of the parties and consistent with the decision. NACIC may, for good cause information rights of members of the and as a matter of administrative dis- general public under the various infor- cretion, permit an additional thirty mation review and release laws. (30) days for the submission of an appeal. All appeals to the Director, § 1801.44 Action by appeals authority. NACIC shall be in writing and ad- (a) Preparation of docket. The Coordi- dressed as specified in § 1801.3. All ap- nator shall provide a summation peals must identify the documents or memorandum for consideration of the portions of documents at issue with Director, NACIC; the complete record specificity, provide the desired amend- of the request consisting of the re- ing language (if applicable), and may quest, the document(s) (sanitized and present such information, data, and ar- full text) at issue, and the findings of gument in support as the requester any concerned office chiefs or des- may desire. ignee(s). (c) Exceptions. No appeal shall be ac- (b) Decision by the Director, NACIC. cepted if the requester has outstanding The Director, NACIC shall personally fees for information services at this or decide each case; no personal appear- another federal agency. In addition, no appeal shall be accepted if the informa- ances shall be permitted without the tion in question has been the subject of express permission of the Director, an administrative review within the NACIC. previous two (2) years or is the subject

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§ 1801.45 Notification of decision and assurance that the record will be used right of judicial review. solely as a statistical research or re- (a) In general. The Coordinator shall porting record, and the record is to be promptly prepare and communicate the transferred in a form that is not indi- decision of the Director, NACIC to the vidually identifiable; requester. With respect to any decision (f) To the National Archives and to deny information or deny amend- Records Administration as a record ment, that correspondence shall state which has sufficient historical or other the reasons for the decision, identify value to warrant its continued preser- the officer responsible, and include a vation by the United States Govern- notice of the right to judicial review. ment, or for evaluation by the Archi- (b) For amendment requests. With fur- vist of the United States or designee to ther respect to any decision to deny an determine whether the record has such amendment, that correspondence shall value; also inform the requester of the right (g) To another agency or to an in- to submit within forty-five (45) days a strumentality of any governmental ju- statement of his or her choice which risdiction within or under the control shall be included in the official records of the United States for a civil or of NACIC. In such cases, the applicable criminal law enforcement activity if record system manager shall clearly the activity is authorized by law, and if note any portion of the official record the head of that agency or instrumen- which is disputed, append the request- tality has made a written request to er’s statement, and provide copies of NACIC specifying the particular infor- the statement to previous recipients (if mation desired and the law enforce- any are known) and to any future re- ment activity for which the record is cipients when and if the disputed infor- sought; mation is disseminated in accordance (h) To a person pursuant to a showing with a routine use. of compelling circumstances affecting the health or safety of an individual if Subpart F—Prohibitions upon such disclosure notification is transmitted to the last known address § 1801.51 Limitations on disclosure. of such individual; No record which is within a system of (i) To either House of Congress, or, to records shall be disclosed by any means the extent of matter within its juris- of communication to any individual or diction, any committee or sub- to another agency, except pursuant to committee thereof, any joint com- a written request by, or with the prior mittee of Congress or subcommittee of written consent of, the individual to any such joint committee; whom the record pertains, unless dis- (j) To the Comptroller General or any closure of the record would be: of his authorized representatives in the (a) To those officers and employees of course of the performance of the duties NACIC which maintains the record who of the General Accounting Office; or have a need for the record in the per- (k) To any agency, government in- formance of their duties; strumentality, or other person or enti- (b) Required under the Freedom of ty pursuant to the order of a court of Information Act, 5 U.S.C. 552; competent jurisdiction of the United (c) For a routine use as defined in States or constituent states. § 1801.02(m), as contained in the Privacy Act Issuances Compilation which is § 1801.52 Criminal penalties. published biennially in the FEDERAL (a) Unauthorized disclosure. Criminal REGISTER, and as described in sections penalties may be imposed against any (a)(7) and (e)(4)(D) of the Act; officer or employee of NACIC who, by (d) To the Bureau of the Census for virtue of employment, has possession purposes of planning or carrying out a of or access to NACIC records which census or survey or related activity contain information identifiable with pursuant to the provisions of U.S.C. an individual, the disclosure of which Title 13; is prohibited by the Privacy Act or by (e) To a recipient who has provided these rules, and who, knowing that dis- NACIC with advance adequate written closure of the specific material is so

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prohibited, willfully discloses the ma- President of the United States or other terial in any manner to any person or individuals pursuant to 18 U.S.C. 3056; agency not entitled to receive same. (d) Required by statute to be main- (b) Unauthorized maintenance. Crimi- tained and used solely as statistical nal penalties may be imposed against records; any officer or employee of NACIC who (e) Investigatory in nature and com- willfully maintains a system of records piled solely for the purpose of deter- without meeting the requirements of mining suitability, eligibility, or quali- section (e)(4) of the Privacy Act, 5 fications for federal civilian employ- U.S.C. 552a. The Coordinator and the ment, military service, federal con- Director of NACIC are authorized inde- tracts, or access to classified informa- pendently to conduct such surveys and tion, but only to the extent that the inspect such records as necessary from disclosure of such material would re- time to time to ensure that these reveal the identity of a source who fur- quirements are met. nished information to the United (c) Unauthorized requests. Criminal States Government under an express penalties may be imposed upon any promise of confidentiality, or, prior to person who knowingly and willfully re- the effective date of this section, under quests or obtains any record con- an implied promise of confidentiality; cerning an individual from NACIC (f) Testing or examination material under false pretenses. used solely to determine individual qualifications for appointment or pro- Subpart G—Exemptions motion in the federal service the disclosure of which would compromise the § 1801.63 Specific exemptions. objectivity or fairness of the testing or examination process; or Pursuant to authority granted in section (k) of the Privacy Act, the Direc- (g) Evaluation material used to de- tor, NACIC has determined to exempt termine potential for promotion in the from section (d) of the Privacy Act armed services, but only to the extent those portions and only those portions that the disclosure of such material of all systems of records maintained by would reveal the identity of a source NACIC that would consist of, pertain who furnished information to the to, or otherwise reveal information United States Government under an that is: express promise of confidentiality, or, prior to the effective date of this sec- (a) Classified pursuant to Executive tion, under an implied promise of con- Order 12958 (or successor or prior fidentiality. Order) and thus subject to the provisions of 5 U.S.C. 552(b)(1) and 5 U.S.C. 552a(k)(1); PART 1802—CHALLENGES TO (b) Investigatory in nature and com- CLASSIFICATION OF DOCU- piled for law enforcement purposes, MENTS BY AUTHORIZED HOLDERS other than material within the scope of PURSUANT TO SECTION 1.9 OF section (j)(2) of the Act; provided how- EXECUTIVE ORDER 12958 ever, that if an individual is denied any right, privilege, or benefit to which Subpart A—General they are otherwise eligible, as a result of the maintenance of such material, Sec. then such material shall be provided to 1802.1 Authority and purpose. that individual except to the extent 1802.2 Definitions. that the disclosure would reveal the 1802.3 Contact for general information and identity of a source who furnished the requests. information to the United States Gov- 1802.4 Suggestions and complaints. ernment under an express promise of confidentiality, or, prior to the effec- Subpart B—Filing of Challenges tive date of this section, under an im- 1802.11 Prerequisites. plied promise of confidentiality; 1802.12 Requirements as to form. (c) Maintained in connection with 1802.13 Identification of material at issue. providing protective services to the 1802.14 Transmission.

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Subpart C—Action on Challenges classified information, or otherwise has Constitutional authority pursuant to 1802.21 Receipt, recording, and tasking. 1802.22 Challenges barred by res judicata. their office; 1802.23 Determination by originator(s) and/ Days means calendar days when or any interested party. NACIC is operating and specifically ex- 1802.24 Designation of authority to hear cludes Saturdays, Sundays, and legal challenges. public holidays. Three (3) days may be 1802.25 Action on challenge. added to any requirement of this part 1802.26 Notification of decision and prohibi- if responding by U.S. domestic mail; tion on adverse action. ten (10) days may be added if respond- Subpart D—Right of Appeal ing by international mail; Challenge means a request in the in- 1802.31 Right of Appeal. dividual’s official, not personal, capac- AUTHORITY: Executive Order 12958, 60 FR ity and in furtherance of the interests 19825, 3 CFR 1996 Comp., p. 333–356 (or suc- of the United States; cessor Orders). Control means ownership or the au- SOURCE: 64 FR 49889, Sept. 14, 1999, unless thority of NACIC pursuant to federal otherwise noted. statute or privilege to regulate official or public access to records; Subpart A—General Coordinator means the NACIC Infor- mation and Privacy Coordinator acting § 1802.1 Authority and purpose. in the capacity of the Director of (a) Authority. This part is issued NACIC; under the authority of and in order to Information means any knowledge implement § 1.9 of Executive Order that can be communicated or documen- (E.O.) 12958 and section 102 of the Na- tary material, regardless of its phys- tional Security Act of 1947. ical form, that is: (b) Purpose. This part prescribes pro- (1) Owned by, produced by or for, or cedures for authorized holders of infor- under the control of the United States mation classified under the various Government, and provisions of E.O. 12958, or predecessor (2) Lawfully and actually in the pos- Orders, to seek a review or otherwise session of an authorized holder and for challenge the classified status of infor- which ownership and control has not mation to further the interests of the been relinquished by NACIC; United States Government. This part Interested party means any official in and § 1.9 of E.O. 12958 confer no rights the executive, military, congressional, upon members of the general public, or or judicial branches of government, authorized holders acting in their per- United States or foreign, or U.S. Gov- sonal capacity, both of whom shall con- ernment contractor who, in the sole tinue to request reviews of classifica- discretion of NACIC, has a subject mat- tion under the mandatory declassifica- ter or physical interest in the docu- tion review provisions set forth at § 3.6 ments or information at issue; of E.O. 12958. Originator means the NACIC officer who originated the information at § 1802.2 Definitions. issue, or successor in office, or a NACIC For purposes of this part, the fol- officer who has been delegated declas- lowing terms have the meanings as in- sification authority for the informa- dicated: tion at issue in accordance with the NACIC means the United States Na- provisions of this Order; tional Counterintelligence Center act- This Order means Executive Order ing through the NACIC Information 12958 of April 17, 1995, or successor Or- and Privacy Coordinator; ders. Authorized holders means any member of any United States executive depart- § 1802.3 Contact for general informa- ment, military department, the Con- tion and requests. gress, or the judiciary (Article III) who For information on this part or to holds a security clearance from or has file a challenge under this part, please been specifically authorized by NACIC direct your inquiry to the Director, Na- to possess and use on official business tional Counterintelligence Center,

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Washington, DC 20505. The commercial form is in issue, the challenge shall (non-secure) telephone is (703) 874–4117; state so clearly and present or other- the classified (secure) telephone for wise refer with specificity to that in- voice and facsimile is (703) 874–5829. formation in the body of the challenge.

§ 1802.4 Suggestions and complaints. § 1802.14 Transmission. NACIC welcomes suggestions or com- Authorized holders must direct chal- plaints with regard to its administra- lenge requests to NACIC as specified in tion of the Executive Order. Letters of § 1802.3. The classified nature of the suggestion or complaint should iden- challenge, as well as the appended doc- tify the specific purpose and the issues uments, require that the holder trans- for consideration. NACIC will respond mit same in full accordance with estab- to all substantive communications and lished security procedures. In general, take such actions as determined fea- registered U.S. mail is approved for SE- sible and appropriate. CRET, non-compartmented material; higher classifications require use of ap- Subpart B—Filing Of Challenges proved Top Secret facsimile machines or NACIC-approved couriers. Further § 1802.11 Prerequisites. information is available from NACIC as Prior to reliance on this part, au- well as corporate or other federal agen- thorized holders are required to first cy security departments. exhaust such established administrative procedures for the review of classi- Subpart C—Action On Challenges fied information. Further information on these procedures is available from § 1802.21 Receipt, recording, and the point of contact, § 1802.3. tasking. The Coordinator shall within ten (10) § 1802.12 Requirements as to form. days record each challenge received The challenge shall include identi- under this part, acknowledge receipt to fication of the challenger by full name the authorized holder, and task the and title of position, verification of se- originator and other interested parties. curity clearance or other basis of au- Additional taskings, as required during thority, and an identification of the the review process, shall be accom- documents or portions of documents or plished within five (5) days of notifica- information at issue. The challenge tion. shall also, in detailed and factual terms, identify and describe the rea- § 1802.22 Challenges barred by res ju- sons why it is believed that the infor- dicata. mation is not protected by one or more The Coordinator shall respond on be- of the § 1.5 provisions, that the release half of the Director, NACIC and deny of the information would not cause any challenge where the information in damage to the national security, or question has been the subject of a clas- that the information should be declassification review within the previous sified due to the passage of time. The two (2) years or is the subject of pend- challenge must be properly classified; ing litigation in the federal courts. in this regard, until the challenge is decided, the authorized holder must § 1802.23 Response by originator(s) treat the challenge, the information and/or any interested party. being challenged, and any related or (a) In general. The originator of the explanatory information as classified classified information (document) is a at the same level as the current classi- required party to any challenge; other fication of the information in dispute. interested parties may become involved through the request of the Di- § 1802.13 Identification of material at rector, NACIC or the originator when issue. it is determined that some or all of the Authorized holders shall append the information is also within their official documents at issue and clearly mark cognizance. those portions subject to the challenge. (b) Determination. These parties shall If information not in documentary respond in writing to the Director,

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NACIC with a mandatory unclassified notice that no adverse action or ret- finding, to the greatest extent possible, ribution can be taken in regard to the and an optional classified addendum. challenge and that an appeal of the de- This finding shall agree to a declas- cision may be made to the Interagency sification or, in specific and factual Security Classification Appeals Panel terms, explain the basis for continued (ISCAP) established pursuant to § 5.4 of classification including identification this Order. of the category of information, the harm to national security which could Subpart D—Right of Appeal be expected to result from disclosure, and, if older than ten (10) years, the § 1802.31 Right of appeal. basis for the extension of classification A right of appeal is available to the time under §§ 1.6 and 3.4 of this Order. ISCAP established pursuant to § 5.4 of These parties shall also provide a this Order. Action by that body will be statement as to whether or not there is the subject of rules to be promulgated any other statutory, common law, or by the Information Security Oversight Constitutional basis for withholding as Office (ISOO). required by § 6.1(c) of this Order. (c) Time. The determination(s) shall be provided on a first in, first out basis PART 1803—PUBLIC REQUESTS FOR with respect to all challenges pending MANDATORY DECLASSIFICATION under this section and shall be accom- REVIEW OF CLASSIFIED INFOR- plished expeditiously taking into ac- MATION PURSUANT TO SECTION count the requirements of the author- 3.6 OF EXECUTIVE ORDER 12958 ized holder as well as the business requirements of the originator including Subpart A—General their responsibilities under the Free- dom of Information Act, the Privacy Sec. Act, or the mandatory declassification 1803.1 Authority and purpose. review provisions of this Order. 1803.2 Definitions. 1803.3 Contact for general information and § 1802.24 Designation of authority to requests. hear challenges. 1803.4 Suggestions and complaints. The Director, NACIC is the NACIC authority to hear and decide challenges Subpart B—Filing of Mandatory under this part. Declassification Review (MDR) Requests 1803.11 Preliminary information. § 1802.25 Action on challenge. 1803.12 Requirements as to form. Action by Coordinator. The Coordi- 1803.13 Fees. nator shall provide a summation memorandum for consideration of the Subpart C—NACIC Action on MDR Director, NACIC; the complete package Requests consisting of the challenge, the infor- 1803.21 Receipt, recording, and tasking. mation at issue, and the findings of the 1803.22 Requests barred by res judicata. originator and interested parties shall 1803.23 Determination by originator or in- also be provided. The Director, NACIC terested party. shall personally decide each case; no 1803.24 Notification of decision and right of personal appearances shall be per- appeal. mitted without the express permission of the Director, NACIC. Subpart D—NACIC Action on MDR Appeals § 1802.26 Notification of decision and prohibition on adverse action. 1803.31 Requirements as to time and form. 1803.32 Receipt, recording, and tasking. The Coordinator shall communicate 1803.33 Determination by NACIC Office the decision of NACIC to the author- Chiefs. ized holder, the originator, and other 1803.34 Appeal authority. interested parties within ten (10) days 1803.35 Action by appeals authority. of the decision by the Coordinator. 1803.36 Notification of decision and right of That correspondence shall include a further appeal.

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Subpart E—Further Appeals Federal agency means any executive department, military department, or 1803.41 Right of further appeal. other establishment or entity included AUTHORITY: Section 3.6 of Executive Order in the definition of agency in 5 U.S.C. 12958 (or successor Orders) and Section 102 of 552(f); the National Security Act, as amended (50 Information means any knowledge U.S.C. 403). that can be communicated or documen- SOURCE: 64 FR 49890, Sept. 14, 1999, unless tary material, regardless of its phys- otherwise noted. ical form that is owned by, produced by or for, or under the control of the Subpart A—General United States Government; it does not include information originated by the § 1803.1 Authority and purpose. incumbent President, White House (a) Authority. This part is issued Staff, appointed committees, commis- under the authority of and in order to sions or boards, or any entities within implement § 3.6 of Executive Order the Executive Office that solely advise (E.O.) 12958 (or successor Orders); and and assist the incumbent President; Section 102 of the National Security Interested party means any official in Act of 1947, as amended (50 U.S.C. 403). the executive, military, congressional, (b) Purpose. This part prescribes pro- or judicial branches of government, cedures, subject to limitations set United States or foreign, or U.S. Gov- forth below, for members of the public ernment contractor who, in the sole to request a declassification review of discretion of NACIC, has a subject mat- information classified under the var- ter or physical interest in the docu- ious provisions of this or predecessor ments or information at issue; Orders. Section 3.6 of E.O. 12958 and NARA means the National Archives these regulations do not create any and Records Administration; right or benefit, substantive or proce- Originator means the NACIC officer dural, enforceable at law by a party who originated the information at against the United States, its agencies, issue, or successor in office, or a NACIC officers, or employees. officer who has been delegated declassification authority for the informa- § 1803.2 Definitions. tion at issue in accordance with the For purposes of this part, the fol- provisions of this Order; lowing terms have the meanings as in- Presidential libraries means the librar- dicated: ies or collection authorities estab- NACIC means the United States Na- lished by statute to house the papers of tional Counterintelligence Center act- former Presidents Hoover, Roosevelt, ing through the NACIC Information Truman, Eisenhower, Kennedy, John- and Privacy Coordinator; son, Nixon, Ford, Carter, Reagan, Bush Days means calendar days when and similar institutions or authorities NACIC is operating and specifically ex- as may be established in the future; cludes Saturdays, Sundays, and legal Referral means coordination with or public holidays. Three (3) days may be transfer of action to an interested added to any requirement of this part party; if responding by U.S. domestic mail; This Order means Executive Order ten (10) days may be added if respond- 12958 of April 17, 1995 or successor Or- ing by international mail; ders; Control means ownership or the authority of NACIC pursuant to federal § 1803.3 Contact for general informa- statute or privilege to regulate official tion and requests. or public access to records; For general information on this part Coordinator means the NACIC Infor- or to request a declassification review, mation and Privacy Coordinator who please direct your communication to serves as the NACIC manager of the in- the Information and Privacy Coordi- formation review and release program nator, National Counterintelligence instituted under the mandatory declas- Center, 3W01 NHB, Washington, DC sification review provisions of Execu- 20505. Such inquiries will also be active Order 12958; cepted by facsimile at (703) 874–5844.

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For general or status information only, § 1803.13 Fees. the telephone number is (703) 874–4121. Requests submitted via NARA or the Collect calls cannot be accepted. various Presidential libraries shall be responsible for reproduction costs re- § 1803.4 Suggestions and complaints. quired by statute or regulation. Re- NACIC welcomes suggestions or com- quests made directly to NACIC will be plaints with regard to its administra- liable for costs in the same amount and tion of the mandatory declassification under the same conditions as specified review program established under Ex- in part 1800 of this chapter. ecutive Order 12958. Letters of suggestion or complaint should identify the Subpart C—NACIC Action on MDR specific purpose and the issues for con- Requests sideration. NACIC will respond to all substantive communications and take § 1803.21 Receipt, recording, and such actions as determined feasible and tasking. appropriate. The Information and Privacy Coordi- nator shall within ten (10) days record Subpart B—Filing of Mandatory each mandatory declassification review Declassification Review (MDR) request received under this part, acknowledge receipt to the requester in Requests writing (if received directly from a requester), and shall thereafter task the § 1803.11 Preliminary information. originator and other interested parties. Members of the public shall address Additional taskings, as required during all communications to the point of the review process, shall be accom- contact specified above and clearly de- plished within ten (10) days of notifica- lineate the communication as a request tion. under this part. Requests and appeals on requests received from members of § 1803.22 Requests barred by res judi- the public who owe outstanding fees for cata. information services under this Order The Coordinator shall respond to the or the Freedom of Information Act at requester and deny any request where this or another federal agency will not the information in question has been be accepted until such debts are re- the subject of a classification review solved. within the previous two (2) years or is the subject of pending litigation in the § 1803.12 Requirements as to form. federal courts. The request shall identify the docu- § 1803.23 Determination by originator ment(s) or material(s) with sufficient or interested party. specificity (e.g., National Archives and (a) In general. The originator of the Records Administration (NARA) Docu- classified information (document) is a ment Accession Number or other appli- required party to any mandatory de- cable, unique document identifying classification review request; other in- number) to enable NACIC to locate it terested parties may become involved with reasonable effort. Broad or topical through a referral by the Coordinator requests for records on a particular when it is determined that some or all subject may not be accepted under this of the information is also within their provision. A request for documents official cognizance. contained in the various Presidential (b) Required determinations. These par- libraries shall be effected through the ties shall respond in writing to the Co- staff of such institutions who shall for- ordinator with a finding as to the clas- ward the document(s) in question for sified status of the information includ- NACIC review. The requester shall also ing the category of protected informa- provide sufficient personal identifying tion as set forth in § 1.5 of this Order, information when required by NACIC and, if older than ten (10) years, the to satisfy requirements of this part. basis for the extension of classification time under §§ 1.6 and 3.4 of this Order.

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These parties shall also provide a the request of the Coordinator when it statement as to whether or not there is is determined that some or all of the any other statutory, common law, or information is also within their official Constitutional basis for withholding as cognizance. These parties shall respond required by § 6.1(c) of this Order. in writing to the Coordinator with a (c) Time. This response shall be pro- finding as to the classified status of the vided expeditiously on a first-in, first- information including the category of out basis taking into account the busi- protected information as set forth in ness requirements of the originator or § 1.5 of this Order, and, if older than ten interested parties and consistent with (10) years, the basis for continued clas- the information rights of members of sification under §§ 1.6 and 3.4 of this the general public under the Freedom Order. These parties shall also provide of Information Act and the Privacy a statement as to whether or not there Act. is any other statutory, common law, or Constitutional basis for withholding as § 1803.24 Notification of decision and right of appeal. required by § 6.1(c) of this Order. This response shall be provided expedi- The Coordinator shall communicate tiously on a ‘‘first-in, first-out’’ basis the decision of NACIC to the requester taking into account the business re- within ten (10) days of completion of quirements of the parties and con- all review action. That correspondence sistent with the information rights of shall include a notice of a right of ad- members of the general public under ministrative appeal to the Director, the Freedom of Information Act and NACIC pursuant to § 3.6(d) of this the Privacy Act. Order. § 1803.34 Appeal authority. Subpart D—NACIC Action on MDR The Director, NACIC will make final Appeals NACIC decisions from appeals of initial § 1803.31 Requirements as to time and denial decisions under E.O. 12958. Mat- form. ters decided by the Director, NACIC will be deemed a final decision by Appeals of decisions must be received NACIC. by the Coordinator within forty-five (45) days of the date of mailing of § 1803.35 Action by appeals authority. NACIC’s initial decision. It shall identify with specificity the documents or Action by the Director, NACIC. The information to be considered on appeal Coordinator shall provide a summation and it may, but need not, provide a fac- memorandum for consideration of the tual or legal basis for the appeal. Director, NACIC; the complete record of the request consisting of the re- § 1803.32 Receipt, recording, and quest, the document(s) (sanitized and tasking. full text) at issue, and the findings of The Coordinator shall promptly the originator and interested parties. record each appeal received under this The Director, NACIC shall personally part, acknowledge receipt to the re- decide each case; no personal appear- quester, and task the originator and ances shall be permitted without the other interested parties. Additional express permission of the Director, taskings, as required during the review NACIC. process, shall be accomplished within ten (10) days of notification. § 1803.36 Notification of decision and right of further appeal. § 1803.33 Determination by NACIC Of- The Coordinator shall communicate fice Chiefs. the decision of the Director, NACIC to Each NACIC Office Chief in charge of the requester, NARA, or the particular an office which originated or has an in- Presidential Library within ten (10) terest in any of the records subject to days of such decision. That correspond- the appeal, or designee, is a required ence shall include a notice that an ap- party to any appeal; other interested peal of the decision may be made to the parties may become involved through Interagency Security Classification

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Appeals Panel (ISCAP) established pur- (i) Requesting access to NACIC suant to § 5.4 of this Order. records for purposes of historical research, or Subpart E—Further Appeals (ii) Requesting access to NACIC records as a former Presidential ap- § 1803.41 Right of further appeal. pointee. A right of further appeal is available (2) Section 4.5 of Executive Order to the ISCAP established pursuant to 12958 and this part do not create any § 5.4 of this Order. Action by that Panel right or benefit, substantive or proce- will be the subject of rules to be pro- dural, enforceable at law by a party mulgated by the Information Security against the United States, its agencies, Oversight Office (ISOO). officers, or employees.

PART 1804—ACCESS BY HISTOR- § 1804.2 Definitions. ICAL RESEARCHERS AND For purposes of this part, the fol- FORMER PRESIDENTIAL AP- lowing terms have the meanings indi- POINTEES PURSUANT TO SECTION cated: 4.5 OF EXECUTIVE ORDER 12958 NACIC means the United States Na- tional Counterintelligence Center act- Subpart A—General ing through the NACIC Information and Privacy Coordinator; Sec. Days means calendar days when 1804.01 Authority and purpose. NACIC is operating and specifically ex- 1804.02 Definitions. cludes Saturdays, Sundays, and legal 1804.03 Contact for general information and public holidays. Three (3) days may be requests. 1804.04 Suggestions and complaints. added to any requirement of this part if responding by U.S. domestic mail; Subpart B—Requests for Historical Access ten (10) days may be added if responding by international mail; 1804.11 Requirements as to who may apply. Control means ownership or the au- 1804.12 Designations of authority to hear re- thority of NACIC pursuant to federal quests. 1804.13 Receipt, recording, and tasking. statute or privilege to regulate official 1804.14 Determinations by tasked officials. or public access to records; 1804.15 Action by hearing authority. Coordinator means the NACIC Infor- 1804.16 Action by appeal authority. mation and Privacy Coordinator who 1804.17 Notification of decision. serves as the NACIC manager of the 1804.18 Termination of access. historical access program established AUTHORITY: Section 4.5 of Executive Order pursuant to Section 4.5 of this Order; 12958 (or successor Orders) and Presidential Federal agency means any executive Decision Directive/NSC 24 ‘‘U.S. Counter- department, military department, or intelligence Effectiveness,’’ dated May 3, other establishment or entity included 1994. in the definition of agency in 5 U.S.C. SOURCE: 64 FR 49892, Sept. 14, 1999, unless 552(f); otherwise noted. Former Presidential appointee means any person who has previously occu- Subpart A—General pied a policy-making position in the executive branch of the United States § 1804.1 Authority and purpose. Government to which they were ap- (a) Authority. This part is issued pointed by the current or former Presi- under the authority of and in order to dent and confirmed by the United implement § 4.5 of Executive Order States Senate; 12958 (or successor Orders); and Presi- Historian or historical researcher dential Decision Directive/NSC 24, U.S. means any individual with professional Counterintelligence Effectiveness, training in the academic field of his- dated May 3, 1994. tory (or related fields such as jour- (b) Purpose. (1) This part prescribes nalism) engaged in a research project procedures for: leading to publication (or any similar

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activity such as academic course devel- Subpart B—Requests for Historical opment) reasonably intended to in- Access crease the understanding of the Amer- ican public into the operations and ac- § 1804.11 Requirements as to who may tivities of the United States govern- apply. ment; (a) Historical researchers:—(1) In gen- Information means any knowledge eral. Any historian engaged in a histor- that can be communicated or documen- ical research project as defined above tary material, regardless of its phys- may submit a request in writing to the ical form that is owned by, produced by Coordinator to be given access to clas- or for, or is under the control of the sified information for purposes of that United States Government; research. Any such request shall indi- Interested party means any official in cate the nature, purpose, and scope of the executive, military, congressional, the research project. or judicial branches of government, (2) Additional considerations. In light United States or foreign, or U.S. Gov- of the very limited resources for ernment contractor who, in the sole NACIC’s various historical programs, it discretion of NACIC, has a subject mat- is the policy of NACIC to consider ap- ter or physical interest in the docu- plications for historical research privi- ments or information at issue; leges only in those instances where the Originator means the NACIC officer researcher’s needs cannot be satisfied who originated the information at through requests for access to reason- issue, or successor in office, or a NACIC ably described records under the Free- officer who has been delegated declas- dom of Information Act or the manda- sification authority for the informa- tory declassification review provisions tion at issue in accordance with the of Executive Order 12958 and where provisions of this Order; issues of internal resource availability This Order means Executive Order and fairness to all members of the his- 12958 of April 17, 1995 or successor Or- torical research community militate in ders. favor of a particular grant. (b) Former Presidential appointees. Any § 1804.3 Contact for general informa- former Presidential appointee as de- tion and requests. fined herein may also submit a request For general information on this part, to be given access to any classified to inquire about historical access to records which they originated, re- NACIC records, or to make a formal reviewed, signed, or received while serv- quest for such access, please direct ing in that capacity. Such appointees your communication in writing to the may also request approval for a re- Information and Privacy Coordinator, search associate but there is no entitle- Executive Secretariat, 3W01 NHB, Na- ment to such enlargement of access tional Counterintelligence Center, and the decision in this regard shall be Washington, DC 20505. Inquiries will in the sole discretion of NACIC. Re- also be accepted by facsimile at (703) quests from appointees shall be in writ- 874–5844. For general information only, ing to the Coordinator and shall iden- the telephone number is (703) 874–4121. tify the records of interest. Collect calls cannot be accepted. § 1804.12 Designations of authority to § 1804.4 Suggestions and complaints. hear requests. NACIC welcomes suggestions or com- The Director, NACIC has designated plaints with regard to its administra- the Coordinator, as the NACIC author- tion of the historical access program ity to decide requests for historical and established pursuant to Executive former Presidential appointee access Order 12958. Letters of suggestion or under Executive Order 12958 (or suc- complaint should identify the specific cessor Orders) and this part. purpose and the issues for consideration. NACIC will respond to all sub- § 1804.13 Receipt, recording, and stantive communications and take tasking. such actions as determined feasible and The Information and Privacy Coordi- appropriate. nator shall within ten (10) days record

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each request for historical access re- and release and/or publication (by the ceived under this part, acknowledge re- Deputy Director of NACIC and the ceipt to the requester in writing and originator); take the following action: (7) That sufficient resources are (a) Compliance with general require- available for the administrative sup- ments. The Coordinator shall review port of the researcher given current each request under this part and deter- mission requirements (by the Deputy mine whether it meets the general re- Director of NACIC and the originator); quirements as set forth in § 1804.11; if it and, does not, the Coordinator shall so no- (8) That the request cannot be satis- tify the requester and explain the legal fied to the same extent through re- basis for this decision. quests for access to reasonably de- (b) Action on requests meeting general scribed records under the Freedom of requirements. For requests which meet Information Act or the mandatory de- the requirements of § 1804.11, the Coor- classification review provisions of Ex- dinator shall thereafter task the origi- ecutive Order 12958 (by the Coordi- nator(s) of the materials for which ac- nator, the Deputy Director of NACIC cess is sought and other interested par- and the originator). ties. Additional taskings, as required (b) Time. These responses shall be during the review process, shall be ac- provided expeditiously on a first-in, complished within ten (10) days of noti- first-out basis taking into account the fication. business requirements of the tasked offices and consistent with the informa- § 1804.14 Determinations by tasked of- tion rights of members of the general ficials. public under the Freedom of Informa- (a) Required determinations. The tion Act and the Privacy Act. NACIC tasked parties as specified below shall will utilize its best efforts to complete respond in writing to the Coordinator action on requests under this part with recommended findings to the fol- within thirty (30) days of date of re- lowing issues: ceipt. (1)That a serious professional or scholarly research project by the re- § 1804.15 Action by hearing authority. quester is contemplated; Action by Coordinator. The Coordi- (2) That such access is clearly con- nator shall provide a summation sistent with the interests of national memorandum for consideration of the security (by originator and interested Director, NACIC, the complete record party, if any); of the request consisting of the request (3) That a non-disclosure agreement and the findings of the tasked parties. has been or will be executed by the re- The Director, NACIC shall decide requester (or research associate, if any) quests on the basis of the eight factors and other appropriate steps have been enumerated at § 1804.14(a). The Direc- taken to assure that classified informa- tor, NACIC shall personally decide each tion will not be disclosed or otherwise case; no personal appearances shall be compromised; permitted without the express permis- (4) That a pre-publication agreement sion of the Director, NACIC. has been or will be executed by the requester (or research associate, if any) § 1804.16 Action by appeal authority. which provides for a review of notes The record compiled (the request, the and any resulting manuscript by the memoranda filed by the originator and Deputy Director of NACIC; interested parties, and the previous de- (5) That the information requested is cision(s)) as well as any memorandum reasonably accessible and can be lo- of law or policy the referent desires to cated and compiled with a reasonable be considered, shall be certified by the effort (by the Deputy Director of Coordinator and shall constitute the NACIC and the originator); official record of the proceedings and (6) That it is reasonably expected must be included in any subsequent fil- that substantial and substantive gov- ings. In such cases, the factors to be ernment documents and/or information determined as specified in § 1804.14(a) will be amenable to declassification will be considered by the Director,

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NACIC de novo and that decision shall of that person’s association with be final. NACIC.

§ 1804.17 Notification of decision. § 1805.2 Definitions. The Coordinator shall inform the re- For the purpose of this part: quester of the decision of the Director, NACIC means the National Counter- NACIC within ten (10) days of the deci- intelligence Center and includes all sion and, if favorable, shall manage the staff elements of the NACIC. access for such period as deemed re- Demand means any subpoena, order quired but in no event for more than or other legal summons (except gar- two (2) years unless renewed by the Di- nishment orders) that is issued by a rector, NACIC in accordance with the federal, state or local government enti- requirements of § 1804.14(a). ty of competent jurisdiction with the § 1804.18 Termination of access. authority to require a response on a particular matter, or a request for ap- The Coordinator shall cancel any au- pearance of an individual where a de- thorization whenever the security mand could issue. clearance of a requester (or research Employee means any officer, any associate, if any) has been canceled or staff, contract or other employee of whenever the Director, NACIC deter- NACIC, any person including inde- mines that continued access would not pendent contractors associated with or be in compliance with one or more of acting on behalf of NACIC; and any the requirements of § 1804.14(a). person formerly having such relationships with NACIC. PART 1805—PRODUCTION OF OFFI- Production or produce means the dis- CIAL RECORDS OR DISCLOSURE closure of: OF OFFICIAL INFORMATION IN (1) Any material contained in the PROCEEDINGS BEFORE FEDERAL, files of NACIC; or STATE OR LOCAL GOVERNMENT (2) Any information relating to mate- ENTITIES OF COMPETENT JURIS- rial contained in the files of NACIC, in- DICTION cluding but not limited to summaries of such information or material, or Sec. opinions based on such information or 1805.1 Scope and purpose. material; or 1805.2 Definitions. (3) Any information acquired by per- 1805.3 General. sons while such persons were employ- 1805.4 Procedures for production. ees of NACIC as a part of the perform- AUTHORITY: 5 U.S.C. 104; Presidential Deci- ance of their official duties or because sion Directive/NSC 24 ‘‘U.S. Counterintel- of their official status or association ligence Effectiveness, dated May 3, 1994; 50 with NACIC; in response to a demand U.S.C. 403g; United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951); E.O. 12333; E.O. upon an employee of NACIC. 12356; U.S. v. Snepp 444 U.S. 507 (1980). NACIC Counsel is the NACIC employee designated to manage legal SOURCE: 64 FR 49894, Sept. 14, 1999, unless otherwise noted. matters and regulatory compliance.

§ 1805.1 Scope and purpose. § 1805.3 General. This part sets forth the policy and (a) No employee shall produce any procedures with respect to the produc- materials or information in response to tion or disclosure of: a demand without prior authorization (a) Material contained in the files of as set forth in this part. This part also NACIC, applies to former employees to the ex- (b) Information relating to or based tent consistent with applicable non- upon material contained in the files of disclosure agreements. NACIC, (b) This part is intended only to pro- (c) Information acquired by any per- vide procedures for responding to de- son while such person is an employee of mands for production of documents or NACIC as part of the performance of information, and is not intended to, that person’s official duties or because does not, and may not be relied upon

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to, create any right or benefit, sub- the testimony or by the party’s attor- stantive or procedural, enforceable by ney must be furnished to the NACIC any party against the United States. Counsel. (e) The NACIC Counsel shall be re- § 1805.4 Procedure for production. sponsible for notifying the appropriate (a) Whenever a demand for produc- employees and other persons of all de- tion is made upon an employee, the cisions regarding responses to demands employee shall immediately notify and providing advice and counsel as to NACIC Counsel, who will follow the the implementation of such decisions. procedures set forth in this section. (f) If response to a demand is required (b) NACIC Counsel and the Office before a decision is made whether to Chiefs with responsibility for the infor- provide the documents or information mation sought in the demand shall de- sought by the demand, NACIC Counsel, termine whether any information or materials may properly be produced in after consultation with the Depart- response to the demand, except that ment of Justice, shall appear before NACIC Counsel may assert any and all and furnish the court or other com- legal defenses and objections to the de- petent authority with a copy of this mand available to NACIC prior to the part and state that the demand has start of any search for information re- been or is being, as the case may be, responsive to the demand. NACIC may, in ferred for the prompt consideration of its sole discretion, decline to begin any the appropriate NACIC officials, and search for information responsive to shall respectfully request the court or the demand until a final and non-ap- other authority to stay the demand pealable disposition of any such depending receipt of the required instruc- fenses and objections raised by NACIC tions. has been made by the entity or person (g) If the court or any other author- that issued the demand. ity declines to stay the demand pend- (c) NACIC officials shall consider the ing receipt of instructions in response following factors, among others, in to a request made in accordance with reaching a decision: § 1805.4(g) or rules that the demand (1) Whether production is appropriate must be complied with regardless of in- in light of any relevant privilege; structions rendered in accordance with (2) Whether production is appropriate this Part not to produce the material under the applicable rules of discovery or disclose the information sought, the or the procedures governing the case or matter in which the demand arose; and employee upon whom the demand has (3) Whether any of the following cir- been made shall, if so directed by cumstances apply: NACIC Counsel, respectfully decline to (i) Disclosure would violate a statute, comply with the demand under the au- including but not limited to the Pri- thority of United States ex. rel. Touhy v. vacy Act of 1974, as amended, 5 U.S.C. Ragen, 340 U.S. 462 (1951), and this part. 552a; (h) With respect to any function (ii) Disclosure would reveal classified granted to NACIC officials in this part, information; such officials are authorized to dele- (iii) Disclosure would improperly re- gate in writing their authority in any veal trade secrets or proprietary con- case or matter or category thereof to fidential information without the own- subordinate officials. er’s consent; or (i) Any non-employee who receives a (iv) Disclosure would interfere with demand for the production or disclo- the orderly conduct of NACIC’s func- sure of NACIC information acquired be- tions. cause of that person’s association or (d) If oral or written testimony is contacts with NACIC should notify sought by a demand in a case or matter NACIC Counsel, (703) 874–4121, for guid- in which the NACIC is not a party, a ance and assistance. In such cases, the reasonably detailed description of the testimony sought, in the form of an af- provisions of this part shall be applica- fidavit or, if that is not feasible, a writ- ble. ten statement, by the party seeking

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PART 1806—PROCEDURES GOV- § 1806.3 Procedures governing accept- ERNING ACCEPTANCE OF SERV- ance of service of process. ICE OF PROCESS (a) Service of Process Upon the NACIC or a NACIC Employee in an Official Ca- Sec. pacity—(1) Personal Service. Unless oth- 1806.1 Scope and Purpose. erwise expressly authorized by NACIC 1806.2 Definitions. Counsel, or designee, personal service 1806.3 Procedures governing acceptance of of process may be accepted only by service of process. NACIC Counsel, Director, NACIC, or 1806.4 Notification to NACIC Counsel. Deputy Director, NACIC, located at 1806.5 Authority of NACIC Counsel. Central Intelligence Agency Head-

AUTHORITY: 5 U.S.C. 104; Presidential Deci- quarters, Langley, Virginia. sion Directive/NSC 24 ‘‘U.S. Counterintel- (2) Mail Service. Where service of ligence Effectiveness’’, dated May 3, 1994; 50 process by registered or certified mail U.S.C. 403g; E.O. 12333. is authorized by law, unless expressly directed otherwise by the NACIC Coun- SOURCE: 64 FR 49895, Sept. 14, 1999, unless otherwise noted. sel or designee, personal service of process may be accepted only by § 1806.1 Scope and purpose. NACIC Counsel, Director, NACIC, or Deputy Director, NACIC. Process by (a) This part sets forth the authority mail should be addressed as follows: of NACIC personnel to accept service of NACIC Counsel, National Counterintel- process on behalf of the NACIC or any ligence Center, Washington, DC 20505. NACIC employee. (b) Service of Process Upon a NACIC (b) This part is intended to ensure Employee Solely in An Individual Capac- the orderly execution of the NACIC’s ity—(1) General. NACIC will not provide affairs and not to impede any legal pro- the name or address of any current or ceeding. former NACIC employee to individuals (c) NACIC regulations concerning or entities seeking to serve process employee responses to demands for pro- upon such employee solely in his or her duction of official information before individual capacity, even when the federal, state or local government enti- matter is related to NACIC activities. ties are set out in part 1805 of this (2) Personal Service. Subject to the chapter. sole discretion of appropriate officials of the CIA, where NACIC is physically § 1806.2 Definitions. located, process servers generally will NACIC means the National Counter- not be allowed to enter CIA Head- intelligence Center and include all quarters for the purpose of serving staff elements of NACIC. process upon any NACIC employee Process means a summons complaint, solely in his or her individual capacity. subpoena, or other official paper (ex- Subject to the sole discretion of the Di- rector, NACIC, process servers will gen- cept garnishment orders) issued in con- erally not be permitted to enter NACIC junction with a proceeding or hearing office space for the purpose of serving being conducted by a federal, state, or process upon a NACIC employee solely local government entity of competent in his or her individual capacity. The jurisdiction. NACIC Counsel, the Director, NACIC, Employee means any NACIC officer, and the Deputy Director, NACIC are any staff, contract, or other employee not permitted to accept service of proc- of NACIC, any person including inde- ess on behalf of a NACIC employee in pendent contractors associated with or his or her individual capacity. acting for or on behalf of NACIC, and (3) Mail Service. Unless otherwise ex- any person formerly having such a re- pressly authorized by the NACIC Coun- lationship with NACIC. sel, or designee, NACIC personnel are NACIC Counsel refers to the NACIC not authorized to accept or forward employee designated by NACIC to man- mailed service of process directed to age legal issues and regulatory compli- any NACIC employee in his or her indi- ance. vidual capacity. Any such process will

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be returned to the sender via appro- 1807.103 Definitions. priate postal channels. 1807.104–1807.110 [Reserved] (c) Service of Process Upon a NACIC 1807.111 Notice. Employee in a Combined Official and In- 1807.112–1807.129 [Reserved] dividual Capacity—Unless expressly di- 1807.130 General prohibitions against discrimination. rected otherwise by the NACIC Coun- 1807.131–1807.139 [Reserved] sel, or designee, any process to be 1807.140 Employment. served upon a NACIC employee in his 1807.141–1807.148 [Reserved] or her combined official and individual 1807.149 Program accessibility: discrimina- capacity, in person or by mail, can be tion prohibited. accepted only by NACIC Counsel, Di- 1807.150 Program accessibility: existing fa- rector, NACIC, or Deputy Director, cilities. NACIC, National Counterintelligence 1807.151 Program accessibility: new con- Center, Langley, Virginia. struction and alterations. (d) Service of Process Upon a NACIC 1807.152–1807.159 [Reserved] Counsel. The documents for which serv- 1807.160 Communications. 1807.161–1807.169 [Reserved] ice is accepted in official capacity only 1807.170 Compliance procedures. shall be stamped ‘‘Service Accepted in Official Capacity Only.’’ Acceptance of AUTHORITY: 5 U.S.C. 104, Presidential Deci- Service of Process shall not constitute sion Directive/NSC 24 U.S. Counterintel- an admission or waiver with respect to ligence Effectiveness, dated May 3, 1994, 29 U.S.C. 794. jurisdiction, propriety of service, improper venue, or any other defense in SOURCE: 64 FR 49896, Sept. 14, 1999, unless law or equity available under the laws otherwise noted. or rules applicable to the service of process. § 1807.101 Purpose. The purpose of this part is to effec- § 1806.4 Notification to NACIC Coun- tuate section 119 of the Rehabilitation, sel. Comprehensive Services, and Develop- A NACIC employee who receives or mental Disabilities Amendments of has reason to expect to receive service 1978, which amended section 504 of the of process in an individual, official, or Rehabilitation Act of 1973 to prohibit combined individual and official capac- discrimination on the basis of dis- ity, in a matter that may involve or ability in programs or activities con- the furnishing of documents and that ducted by Executive agencies or the could reasonably be expected to in- United States Postal Service. volve NACIC interests, shall promptly notify the NACIC Counsel. Such notifi- § 1807.102 Application. cation should be given prior to pro- This part applies to all programs or viding the requestor, personal counsel activities conducted by the NACIC. or any other representative, any NACIC information and prior to the ac- § 1807.103 Definitions. ceptance of service of process. For purposes of this part, the fol- § 1806.5 Authority of NACIC Counsel. lowing terms means— Assistant Attorney General means the Any questions concerning interpreta- Assistant Attorney General, Civil tion of this part shall be referred to the Rights Division, United States Depart- NACIC Counsel for resolution ment of Justice. Auxiliary aids means services or de- PART 1807—ENFORCEMENT OF vices that enable persons with im- NONDISCRIMINATION ON THE paired sensory, manual, or speaking BASIS OF DISABILITY IN PRO- skills to have an equal opportunity to GRAMS OR ACTIVITIES CON- participate in, and enjoy the benefits DUCTED BY THE NATIONAL of, programs or activities conducted by COUNTERINTELLIGENCE CENTER the NACIC. For example, auxiliary aids useful for persons with impaired vision Sec. include readers, materials in Braille, 1807.101 Purpose. audio recordings, and other similar 1807.102 Application. services and devices. Auxiliary aids

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useful for persons with impaired hear- ganic brain syndrome, emotional or ing include telephone handset ampli- mental illness, and specific learning fiers, telephones compatible with hear- disabilities. The term physical or men- ing aids, telecommunication devices tal impairment includes, but is not for deaf persons (TDD’s), interpreters, limited to, such diseases and condi- notetakers, written materials, and tions as orthopedic, visual, speech, and other similar services and devices. The hearing impairments, cerebral palsy, CIA, where NACIC is physically lo- epilepsy, muscular dystrophy, multiple cated, may prohibit from any of its fa- sclerosis, cancer, heart disease, diabe- cilities any auxiliary aid, or category tes, mental retardation, emotional ill- of auxiliary aid that the Center for CIA ness, drug addiction, and alcoholism. Security (CCS) determines creates a se- (2) Major life activities includes func- curity risk or potential security risk. tions such as caring for one’s self, per- CCS reserves the right to examine any forming manual tasks, walking, seeing, auxiliary aid brought into the NACIC hearing, speaking, breathing, learning, facilities at CIA Headquarters. and working; Complete complaint means a written (3) Has a record of such an impair- statement that contains the complain- ment means has a history of, or has ant’s name and address and describes been misclassified as having a mental the NACIC’s alleged discriminatory ac- or physical impairment that substan- tion in sufficient detail to inform the tially limits one or more major life ac- NACIC of the nature and date of the al- tivities. leged violation of section 504. It must (4) Is regarded as having an impair- be signed by the complainant or by ment means— someone authorized to do so on his or her behalf. Complaints filed on behalf (i) Has a physical or mental impair- of classes or third parties must de- ment that does not substantially limit scribe or identify (by name, if possible) major life activities but is treated by the alleged victims of discrimination. the NACIC as constituting such a limitation; Director means the Director of NACIC or an official or employee of the NACIC (ii) Has a physical or mental impair- acting for the Director under a delega- ment that substantially limits major tion of authority. life activities only as a result of the at- Facility means all or any portion of titudes of others toward the impair- buildings, structures, equipment, ment; or roads, walks, parking lots, rolling (iii) Has none of the impairments de- stock or other conveyances or other fined in paragraph (1) of this definition real or personal property. but is treated by the NACIC as having Individual with disabilities means any such an impairment. person who has a physical or mental Qualified individual with disabilities impairment that substantially limits means— one or more major life activities, has a (1) With respect to any NACIC pro- record of such an impairment, or is re- gram or activity under which a person garded as having such an impairment. is required to perform services or to As used in this definition, the phrase— achieve a level of accomplishment, an (1) Physical or mental impairment individual with a handicap who meets includes— the essential eligibility requirements (i) Any physiological disorder or con- and who can achieve the purpose of the dition, cosmetic disfigurement, or ana- program or activity without modifica- tomical loss affecting one or more of tions in the program or activity that the following body systems: Cardio- the NACIC can demonstrate would re- vascular; Neurological; musculo- sult in a fundamental alteration in its skeletal; special sense organs; res- nature; piratory, including speech organs; re- (2) With respect to any other NACIC productive; digestive; genitourinary; program or activity, an individual with hemic and lymphatic; skin; and endo- disabilities who meets the essential eli- crine; or gibility requirements for participation (ii) Any mental or psychological dis- in, or receipt of benefits from, that pro- order, such as mental retardation, or- gram or activity; and

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(3) Qualified individual with a dis- the same result, to gain the same ben- ability as that term is defined for pur- efit, to reach the same level of achieve- poses of employment in 29 CFR ment as that provided to others; 1614.203(a)(6), which is made applicable (iii) Provide a qualified individual to this part by § 1807.140. with disabilities with an aid, benefit, Section 504 means section 504 of the or service that is not as effective in af- Rehabilitation Act of 1973 (Pub. L. 93– fording equal opportunity to obtain the 112, 87 Stat. 394 (29 U.S.C. 794), as same result, to gain the same benefit, amended by the Rehabilitation Act or to reach the same level of achieve- Amendments of 1974 (Pub. L. 93–516, 88 ment as that provided to others; Stat. 1617); the Rehabilitation, Com- (iv) Provide different or separate aid, prehensive Services, and Develop- benefits, or services to individuals with mental Disabilities Amendments of disabilities or to any class of individ- 1978 (Pub. L. 95–002, 92 Stat. 2955); and uals with disabilities than is provided the Rehabilitation Act Amendments of to others unless that action is nec- 1986 (Pub. L. 99–506, 100 Stat. 1810). As essary to provide qualified individuals used in this part, section 504 applies with disabilities with aid, benefits, or only to programs or activities con- services that are as effective as those ducted by the NACIC and not to feder- provided to others; ally assisted programs. (v) Deny a qualified individual with §§ 1807.104–1807.110 [Reserved] disabilities the opportunity to participate as a member of planning or advi- § 1807.111 Notice. sory boards; or The NACIC shall make available to (vi) Otherwise limit a qualified indi- employees, applicants, participants, vidual with disabilities in the enjoy- beneficiaries, and other interested per- ment of any right, privilege, advan- sons, such information regarding the tage, or opportunity enjoyed by others provisions of this part and its applica- receiving the aid, benefit, or service. bility to the programs or activities (2) The NACIC may not deny a quali- conducted by the NACIC, and make fied individual with disabilities the op- that information available to them in portunity to participate in programs or such manner as the Director finds nec- activities that are not separate or dif- essary to apprise those persons of the ferent, despite the existence of permis- protections against discrimination as- sibly separate or different programs or sured them by section 504 and the regu- activities. lations in this part. (3) The NACIC may not, directly or through contractual or other arrange- §§ 1807.112–1807.129 [Reserved] ments, utilize criteria or methods of administration the purpose or effect of § 1807.130 General prohibitions against discrimination. which would: (i) Subject qualified individuals with (a) No qualified individual with dis- disabilities to discrimination on the abilities shall, on the basis of dis- basis of disability; or ability, be excluded from participation in, be denied the benefits of, or other- (ii) Defeat or substantially impair ac- wise be subjected to discrimination complishment of the objectives of a under, any program or activity con- program or activity with respect to inducted by the NACIC. dividuals with disabilities. (b)(1) The NACIC, in providing any (4) The NACIC may not, in deter- aid, benefit, or service, may not, di- mining the site or location of a facil- rectly or through contractual, licens- ity, make selections the purpose or ef- ing, or other arrangements, on the fect of which would: basis of disability: (i) Exclude individuals with disabil- (i) Deny a qualified individual with ities from, deny them the benefits of, disabilities the opportunity to partici- or otherwise subject them to discrimi- pate in or benefit from the aid, benefit, nation under, any program or activity or service; conducted by the NACIC; or (ii) Deny a qualified individual with (ii) Defeat or substantially impair disabilities an opportunity to obtain the accomplishment of the objectives

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of a program or activity with respect disabilities shall, because the NACIC’s to individuals with disabilities. facilities are inaccessible to or unus- (5) The NACIC, in the selection of able by individuals with disabilities, be procurement contractors, may not use denied the benefits of, be excluded from criteria that subject qualified individ- participation in, or otherwise be sub- uals with disabilities to discrimination jected to discrimination under any pro- on the basis of disability. gram or activity conducted by the (6) The NACIC may not administer a NACIC. licensing or certification program in a manner that subjects qualified individ- § 1807.150 Program accessibility: exist- uals with disabilities to discrimination ing facilities. on the basis of disability, nor may the NACIC establish requirements for the (a) General. The NACIC shall operate programs or activities of licensees or each program or activity so that the certified entities that subject qualified program or activity, viewed in its en- individuals with disabilities to dis- tirety, is readily accessible to and usa- crimination on the basis of disability. ble by individuals with disabilities. However, the programs or activities of This program does not: entities that are licensed or certified (1) Necessarily require the NACIC to by the NACIC are not, themselves, cov- make each of its existing facilities ac- ered by this part. cessible to and usable by individuals (c) The exclusion of persons without with disabilities; disabilities from the benefits of a pro- (2)(i) Require the NACIC to take any gram limited by Federal statute or Ex- action that it can demonstrate would ecutive Order to individuals with dis- result in a fundamental alteration in abilities or the exclusion of a specific the nature of a program or activity or class of individuals with disabilities in undue financial and administrative from a program limited by Federal burdens. statute or Executive Order to a dif- (ii) The NACIC has the burden of ferent class of individuals with disabil- proving that compliance with ities is not prohibited by this part. (d) The NACIC shall administer pro- § 1807.150(a) would result in that alter- grams and activities in the most inte- ation or those burdens. grated setting appropriate to the needs (iii) The decision that compliance of qualified individuals with disabil- would result in that alteration of those ities. burdens must be made by the Director after considering all of the NACIC’s re- §§ 1807.131–1807.139 [Reserved] sources available for use in the funding and operation of the conducted pro- § 1807.140 Employment. gram or activity, and must be accom- No qualified individual with disabil- panied by a written statement of the ities shall, solely on the basis of dis- reasons for reaching that conclusion. ability, be subjected to discrimination (iv) If an action would result in that in employment under any program or alteration or those burdens, the NACIC activity conducted by the NACIC. The shall take any other action that would definitions, requirements, and proce- not result in the alteration of burdens dures of section 501 of the Rehabilita- but would nevertheless ensure that in- tion Act of 1979 (29 U.S.C. 791), as estab- dividuals with disabilities receive the lished by the Equal Employment Op- benefits and services of the program or portunity Commission in 29 CFR part activity. 1614, shall apply to employment in fed- (b) Methods. (1) The NACIC may com- erally conducted programs or activities. ply with the requirements of this section through such means as redesign of §§ 1807.141–1807.148 [Reserved] equipment, delivery of services at alternate accessible sites, alteration of § 1807.149 Program accessibility: dis- existing facilities, or any other meth- crimination prohibited. ods that result in making its programs Except as otherwise provided in or activities readily accessible to and § 1807.150, no qualified individual with usable by individuals with disabilities.

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(2) The NACIC is not required to (c) This section does not require the make structural changes in existing fa- NACIC to take any action that it can cilities if other methods are effective demonstrate would result in a funda- in achieving compliance with this sec- mental alteration in the nature of a tion. program or activity or in undue finan- (3) In choosing among available cial and administrative burdens. In methods for meeting the requirements those circumstances where NACIC per- of this section, the NACIC shall give sonnel believe that the proposed action priority to those methods that offer would fundamentally alter the program programs and activities to qualified in- or activity or would result in undue fi- dividuals with disabilities in the most nancial and administrative burdens, integrated setting appropriate. the NACIC has the burden of proving that compliance with § 1807.160 would § 1807.151 Program accessibility: new result in such alteration or burdens. construction and alterations. The decision that compliance would re- Each building or part of a building sult in such alteration or burdens must that is constructed or altered by, on be made by the NACIC head or his or behalf of, or for the use of, the NACIC her designee after considering all shall be designed, constructed, or al- NACIC resources available for use in tered so as to be readily accessible to the funding and operation of the con- and usable by individuals with disabil- ducted program or activity and must ities in compliance with the defini- be accompanied by a written statement tions, requirements, and standards of of the reasons for reaching that conclu- the Americans with Disabilities Act sion. If an action required to comply Accessibility Guidelines, 36 CFR part with this section would result in such 1191. an alteration or such burdens, the NACIC shall take any other action that §§ 1807.152–1807.159 [Reserved] would not result in such an alteration or such burdens but would nevertheless § 1807.160 Communications. ensure that, to the maximum extent (a) The NACIC shall take appropriate possible, individuals with disabilities steps to ensure effective communica- receive the benefits and services of the tion with applicants, participants, per- program or activity. sonnel of other Federal entities, and members of the public as follows: §§ 1807.161–1807.169 [Reserved] (1)(i) The NACIC shall furnish appropriate auxiliary aids if necessary to af- § 1807.170 Compliance procedures. ford an individual with disabilities an (a) Except as provided in paragraph equal opportunity to participate in, (b) of this section, this section applies and enjoy the benefits of, a program or to all allegations of discrimination on activity conducted by the NACIC. the basis of disability in programs and (ii) In determining what type of aux- activities conducted by the NACIC. iliary aid is necessary, the NACIC shall (b) The NACIC shall process com- give primary consideration to the re- plaints alleging violations of section quests of the individual with disabil- 504 with respect to employment accord- ities. ing to the procedures established by (2) Where the NACIC communicates the Equal Employment Opportunity with applicants and beneficiaries by Commission in 29 CFR part 1614 pursu- telephone, telecommunication devices ant to section 501 of the Rehabilitation for deaf persons (TDD’s) or equally ef- Act of 1973 (29 U.S.C. 791). fective telecommunication systems (c) The Director, Office of Equal Em- shall be used to communicate with per- ployment Opportunity, is responsible sons with impaired hearing. for coordinating implementation of (b) The NACIC shall ensure that in- this section. Complaints may be sent terested persons, including persons to NACIC, Director, Washington, DC with impaired vision or hearing, can 20505. obtain information as to the existence (d) The NACIC shall accept and inves- and location of accessible services, ac- tigate all complete complaints for tivities, and facilities. which it has jurisdiction. All complete

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complaints must be filed within 180 (h) Appeals of the findings of fact and days of the alleged act of discrimina- conclusions of law or remedies must be tion. The NACIC may extend this time filed by the complainant within 90 days period for good cause. of receipt from the NACIC of the letter (e) If the NACIC receives a complaint required by paragraph (g) of this sec- over which it does not have jurisdiction. The NACIC may extend this time tion, it shall promptly notify the com- for good cause. plainant and shall make reasonable ef- (i) Timely appeals shall be accepted forts to refer the complaint to the ap- and processed by the Director. propriate government entity. (j) The NACIC shall notify the com- (f) The NACIC shall notify the Archi- plainant of the results of the appeal tectural and Transportation Barriers within 60 days of the receipt of the re- Compliance Board upon receipt of any quest. If the NACIC determines that it complaint alleging that a building or needs additional information from the facility that is subject to the Ameri- cans with Disabilities Act Accessibility complainant, it shall have 60 days from Guidelines is not readily accessible to the date it receives the additional in- and usable by individuals with disabil- formation to make its determination ities. on the appeal. (g) Within 180 days of the receipt of a (k) The time limits cited in para- complete complaint for which it has ju- graphs (g) and (j) of this section may be risdiction, The NACIC shall notify the extended with the permission of the complainant of the results of the inves- Assistant Attorney General. tigation in a letter containing: (l) The Director may delegate the au- (1) Findings of fact and conclusions thority for conducting complaint in- of law; vestigations to other Federal agencies, (2) A description of a remedy for each except that the authority for making violation found; and the final determination may not be (3) A notice of the right to appeal. delegated.

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Part Page 1900 Public access to CIA records under the Freedom of Information Act (FOIA) ...... 443 1901 Public rights under the Privacy Act of 1974 ...... 454 1902 Information security regulations ...... 464 1903 Conduct on Agency Installations ...... 465 1904 Procedures governing acceptance of service of process ...... 471 1905 Production of official records or disclosure of official information in proceedings before Federal, state or local governmental entities of competent jurisdiction ...... 472 1906 Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the Central Intelligence Agency ...... 474 1907 Challenges to classification of documents by authorized holders pursuant to § 1.9 of Executive Order 12958 ...... 480 1908 Public requests for mandatory declassification review of classified information pursuant to § 3.6 of Executive Order 12958 ...... 483 1909 Access by historical researchers and former presidentail appointees pursuant to § 4.5 of Exec- utive Order 12958 ...... 488 1910 Debarment and suspension procedures ...... 491

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required deletions but excludes per- means information that is about cur- sonnel hours expended in resolving gen- rent events or that would be of current eral legal or policy issues; it also interest to the public. Examples of means personnel hours of professional news media entities include television time; or radio stations broadcasting to the (4) Search means all time expended in public at large, and publishers of peri- looking for and retrieving material odicals (but only in those instances that may be responsive to a request when they can qualify as disseminators utilizing available paper and electronic of ‘‘news’’) who make their products indices and finding aids; it also means available for purchase or subscription personnel hours of professional time or by the general public. These examples the dollar value equivalent in com- are not intended to be all-inclusive. puter searches; Moreover, as traditional methods of (f) Expression of interest means a writ- news delivery evolve (e.g., electronic ten communication submitted by a dissemination of newspapers through member of the public requesting infor- telecommunications services), such al- mation on or concerning the FOIA pro- ternative media would be included in gram and/or the availability of docu- this category. In the case of ‘‘free- ments from the CIA; lance’’ journalists, they may be re- (g) Federal agency means any execu- garded as working for a news organiza- tive department, military department, tion if they can demonstrate a solid or other establishment or entity in- basis for expecting publication through cluded in the definition of agency in 5 that organization, even though not ac- U.S.C. 552(f); tually employed by it. A publication (h) Fees means those direct costs contract would be the clearest proof, which may be assessed a requester con- but agencies may also look to the past sidering the categories established by publication record of a requestor in the FOIA; requesters should submit in- making this determination: formation to assist the Agency in de- (4) All other means a request from an termining the proper fee category and individual not within paragraph (h)(1), the Agency may draw reasonable infer- (2), or (3) of this section; ences from the identity and activities (i) Freedom of Information Act or of the requester in making such deter- ‘‘FOIA’’ means the statutes as codified minations; the fee categories include: at 5 U.S.C. 552; (1) Commercial means a request in which the disclosure sought is pri- (j) Interested party means any official marily in the commercial interest of in the executive, military, congres- the requester and which furthers such sional, or judicial branches of govern- commercial, trade, income or profit in- ment, United States or foreign, or U.S. terests; Government contractor who, in the (2) Non-commercial educational or sci- sole discretion of the CIA, has a subject entific institution means a request from matter or physical interest in the doc- an accredited United States edu- uments or information at issue; cational institution at any academic (k) Originator means the U.S. Govern- level or institution engaged in research ment official who originated the docu- concerning the social, biological, or ment at issue or successor in office or physical sciences or an instructor or such official who has been delegated re- researcher or member of such institu- lease or declassification authority pur- tions; it also means that the informa- suant to law; tion will be used in a specific scholarly (l) Potential requester means a person, or analytical work, will contribute to organization, or other entity who sub- the advancement of public knowledge, mits an expression of interest; and will be disseminated to the general (m) Reasonably described records public; means a description of a document (3) Representative of the news media re- (record) by unique identification num- fers to any person actively gathering ber or descriptive terms which permit news for an entity that is organized an Agency employee to locate docu- and operated to publish or broadcast ments with reasonable effort given ex- news to the public. The term ‘‘news’’ isting indices and finding aids;

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(n) Records or agency records means paid, customer satisfaction survey all documents, irrespective of physical cards. Letters of suggestion or com- or electronic form, made or received by plaint should identify the specific pur- the CIA in pursuance of federal law or pose and the issues for consideration. in connection with the transaction of The Agency will respond to all sub- public business and appropriate for stantive communications and take preservation by the CIA as evidence of such actions as determined feasible and the organization, functions, policies, appropriate. decisions, procedures, operations, or other activities of the CIA or because FILING OF FOIA REQUESTS of the informational value of the data contained therein; it does not include: § 1900.11 Preliminary information. (1) Books, newspapers, magazines, jour- Members of the public shall address nals, magnetic or printed transcripts of all communications to the CIA Coordi- electronic broadcasts, or similar public nator as specified at 32 CFR 1900.03 and sector materials acquired generally and/ clearly delineate the communication or maintained for library or reference as a request under the Freedom of In- purposes; to the extent that such mate- formation Act and this regulation. CIA rials are incorporated into any form of employees receiving a communication analysis or otherwise distributed or in the nature of a FOIA request shall published by the Agency, they are fully expeditiously forward same to the Co- subject to the disclosure provisions of ordinator. Requests and appeals on re- the FOIA; quests, referrals, or coordinations re- (2) Index, filing, or museum documents ceived from members of the public who made or acquired and preserved solely owe outstanding fees for information for reference, indexing, filing, or exhi- services at this or other federal agen- bition purposes; and cies will not be accepted and action on (3) Routing and transmittal sheets and all pending requests shall be termi- notes and filing or destruction notes nated in such circumstances. which do not also include information, comment, or statements of substance; § 1900.12 Requirements as to form and (o) Responsive records means those content. documents (i.e., records) which the (a) Required information. No par- Agency has determined to be within ticular form is required. A request need the scope of a FOIA request. only reasonably describe the records of 62 FR 32481, June 16, 1997, as amended at 72 interest. This means that documents FR 39316, July 18, 2007] must be described sufficiently to enable a professional employee familiar § 1900.03 Contact for general informa- with the subject to locate the docu- tion and requests. ments with a reasonable effort. Com- For general information on this part, monly this equates to a requirement to inquire about the FOIA program at that the documents must be locatable CIA, or to file a FOIA request (or ex- through the indexing of our various pression of interest), please direct your systems. Extremely broad or vague re- communication in writing to the Infor- quests or requests requiring research mation and Privacy Coordinator, Cen- do not satisfy this requirement. tral Intelligence Agency, Washington, (b) Additional information for fee deter- DC 20505. Such inquiries will also be ac- mination. In addition, a requester cepted by facsimile at (703) 613–3007. should provide sufficient personal iden- For general information or status in- tifying information to allow us to de- formation on pending cases only, the termine the appropriate fee category. telephone number is (703) 613–1287. Col- A requester should also provide an lect calls cannot be accepted. agreement to pay all applicable fees or fees not to exceed a certain amount or § 1900.04 Suggestions and complaints. request a fee waiver. The Agency welcomes suggestions or (c) Otherwise. Communications which complaints with regard to its adminis- do not meet these requirements will be tration of the Freedom of Information considered an expression of interest Act. Many requesters will receive pre- and the Agency will work with, and

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offer suggestions to, the potential re- (c) Fee waiver appeals. Denials of requester in order to define a request quests for fee waivers or reductions properly. may be appealed to the Chair of the Agency Release Panel via the Coordi- § 1900.13 Fees for record services. nator. A requester is encouraged to (a) In general. Search, review, and re- provide any explanation or argument production fees will be charged in ac- as to how his or her request satisfies cordance with the provisions below re- the statutory requirement set forth lating to schedule, limitations, and above. category of requester. Applicable fees (d) Time for fee waiver requests and ap- will be due even if our search locates peals. It is suggested that such requests no responsive records or some or all of and appeals be made and resolved prior the responsive records must be denied to the initiation of processing and the under one or more of the exemptions of incurring of costs. However, fee waiver the Freedom of Information Act. requests will be accepted at any time (b) Fee waiver requests. Records will prior to the release of documents or be furnished without charge or at a re- the completion of a case, and fee waiv- duced rate whenever the Agency deter- er appeals within forty-five (45) days of mines: our initial decision subject to the fol- (1) That, as a matter of administra- lowing condition: If processing has tive discretion, the interest of the been initiated, then the requester must United States Government would be agree to be responsible for costs in the served, or event of an adverse administrative or judicial decision. (2) That it is in the public interest because it is likely to contribute sig- (e) Agreement to pay fees. In order to nificantly to the public understanding protect requesters from large and/or of the operations or activities of the unanticipated charges, the Agency will United States Government and is not request specific commitment when it primarily in the commercial interest of estimates that fees will exceed $100.00. the requester; the Agency shall con- The Agency will hold in abeyance for sider the following factors when mak- forty-five (45) days requests requiring ing this determination: such agreement and will thereafter deem the request closed. This action, of (i) Whether the subject of the request course, would not prevent an individual concerns the operations or activities of from refiling his or her FOIA request the United States Government; and, if with a fee commitment at a subsequent so, date. (ii) Whether the disclosure of the re- (f) Deposits. The Agency may require quested documents is likely to con- an advance deposit of up to 100 percent tribute to an understanding of United of the estimated fees when fees may ex- States Government operations or ac- ceed $250.00 and the requester has no tivities; and, if so, history of payment, or when, for fees of (iii) Whether the disclosure of the re- any amount, there is evidence that the quested documents will contribute to requester may not pay the fees which public understanding of United States would be accrued by processing the re- Government operations or activities; quest. The Agency will hold in abey- and, if so, ance for forty-five (45) days those re- (iv) Whether the disclosure of the requests where deposits have been requested documents is likely to con- quested. tribute significantly to public under- (g) Schedule of fees—(1) In general. The standing of United States Government schedule of fees for services performed operations and activities; and in responding to requests for records is (v) Whether the requester has a com- established as follows: mercial interest that would be furthered by the requested disclosure; Personnel Search and Review and, if so, (vi) Whether the disclosure is pri- Clerical/Technical ...... Quarter hour $5.00 Professional/Supervisory ...... Quarter hour 10.00 marily in the commercial interest of Manager/Senior Professional ...... Quarter hour 18.00 the requester.

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Computer Search and Production as of the date of these regulations, is deemed to be $10.00. Search (on-line) ...... Flat rate ...... 10.00 (2) Requests for personal information. Search (off-line) ...... Flat rate ...... 30.00 Other activity ...... Per minute .... 10.00 No fees will be charged for requesters Tapes (mainframe cassette) ...... Each ...... 9.00 seeking records about themselves Tapes (mainframe cartridge) ...... Each ...... 9.00 under the FOIA; such requests are Tapes (mainframe reel) ...... Each ...... 20.00 Tapes (PC 9mm) ...... Each ...... 25.00 processed in accordance with both the Diskette (3.5″) ...... Each ...... 4.00 FOIA and the Privacy Act in order to CD (bulk recorded) ...... Each ...... 10.00 ensure the maximum disclosure with- CD (recordable) ...... Each ...... 20.00 Telecommunications ...... Per minute .... .50 out charge. Paper (mainframe printer) ...... Per page ...... 10 (i) Fee categories. There are four cat- Paper (PC b&w laser printer) ...... Per page ...... 10 egories of FOIA requesters for fee pur- Paper (PC color printer) ...... Per page ...... 1.00 poses: Commercial use requesters, edu- Paper Production cational and non-commercial scientific institution requesters, representatives of Photocopy (standard or legal) ...... Per page ...... 10 Microfiche ...... Per frame ...... 20 the news media requesters, and all other Pre-printed (if available) ...... Per 100 5.00 requesters. The categories are defined pages. in § 1900.02, and applicable fees, which Published (if available) ...... Per item ...... NTIS are the same in two of the categories, (2) Application of schedule. Personnel will be assessed as follows: search time includes time expended in (1) Commercial use requesters: Charges either manual paper records searches, which recover the full direct costs of indices searches, review of computer searching for, reviewing, and dupli- search results for relevance, personal cating responsive records (if any); computer system searches, and various (2) Educational and non-commercial sci- reproduction services. In any event entific institution requesters as well as where the actual cost to the Agency of ‘‘representatives of the news media’’ re- a particular item is less than the above questers: Only charges for reproduction schedule (e.g., a large production run of beyond the first 100 pages; a document resulted in a cost less than (3) All other requesters: Charges $5.00 per hundred pages), then the ac- which recover the full direct cost of tual lesser cost will be charged. Items searching for and reproducing respon- published and available at the National sive records (if any) beyond the first Technical Information Service (NTIS) 100 pages of reproduction and the first are also available from CIA pursuant to two hours of search time which will be this part at the NTIS price as author- furnished without charge. ized by statute. (j) Associated requests. A requester or (3) Other services. For all other types associated requesters may not file a se- of output, production, or reproduction ries of multiple requests, which are (e.g., photographs, maps, or published merely discrete subdivisions of the in- reports), actual cost or amounts au- formation actually sought for the pur- thorized by statute. Determinations of pose of avoiding or reducing applicable actual cost shall include the commer- fees. In such instances, the Agency cial cost of the media, the personnel may aggregate the requests and charge time expended in making the item to the applicable fees. be released, and an allocated cost of the equipment used in making the § 1900.14 Fee estimates (pre-request item, or, if the production is effected option). by a commercial service, then that In order to avoid unanticipated or po- charge shall be deemed the actual cost tentially large fees, a requester may for purposes of this part. submit a request for a fee estimate. (h) Limitations on collection of fees—(1) The Agency will endeavor within ten In general. No fees will be charged if (10) days to provide an accurate esti- the cost of collecting the fee is equal to mate, and, if a request is thereafter or greater than the fee itself. That cost submitted, the Agency will not accrue includes the administrative costs to or charge fees in excess of our estimate the Agency of billing, receiving, re- without the specific permission of the cording, and processing the fee for de- requester. Effective October 2, 1997, the posit to the Treasury Department and, ten (10) day provision is modified to

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twenty (20) days pursuant to the Elec- 1947. In such circumstances, the Agen- tronic Freedom of Information Act cy, in the form of a final written re- Amendments of 1996. sponse, shall so inform the requester and advise of his or her right to an ad- CIA ACTION ON FOIA REQUESTS ministrative appeal. (d) Time for response. The Agency will § 1900.21 Processing of requests for utilize every effort to determine within records. the statutory guideline of ten (10) days (a) In general. Requests meeting the after receipt of an initial request requirements of §§ 1900.11 through whether to comply with such a request. 1900.13 shall be accepted as formal re- However, the current volume of requests and processed under the Free- quests require that the Agency seek dom of Information Act, 5 U.S.C. 552, additional time from a requester pursu- and these regulations. Upon receipt, ant to 32 CFR 1900.33. In such event, the Agency shall within ten (10) days the Agency will inform the requester in record each request, acknowledge re- writing and further advise of his or her ceipt to the requester in writing, and right to file an administrative appeal thereafter effect the necessary of any adverse determination. Effective taskings to the CIA components rea- October 2, 1997, the ten (10) day provi- sonably believed to hold responsive sion is modified to twenty (20) days records. Effective October 2, 1997, the pursuant to the Electronic Freedom of ten (10) day provision is modified to Information Act Amendments of 1996. twenty (20) days pursuant to the Elec- tronic Freedom of Information Act § 1900.22 Action and determination(s) Amendments of 1996. by originator(s) or any interested (b) Database of ‘‘officially released in- party. formation.’’ As an alternative to exten- (a) Initial action for access. CIA com- sive tasking and as an accommodation ponents tasked pursuant to a FOIA re- to many requesters, the Agency main- quest shall search all relevant record tains a database of ‘‘officially released systems within their cognizance which information’’ which contains copies of have not been excepted from search by documents released by this Agency. the provisions of the CIA Information Searches of this database, containing Act of 1984. They shall: currently in excess of 500,000 pages, can (1) Determine whether a record ex- be accomplished expeditiously. More- ists; over, requests that are specific and (2) Determine whether and to what well-focused will often incur minimal, extent any FOIA exemptions apply; if any, costs. Requesters interested in (3) Approve the disclosure of all non- this means of access should so indicate exempt records or portions of records in their correspondence. Effective No- for which they are the originator; and vember 1, 1997 and consistent with the (4) Forward to the Coordinator all mandate of the Electronic Freedom of records approved for release or nec- Information Act Amendments of 1996, essary for coordination with or referral on-the public. Detailed information re- to another originator or interested garding such access will line electronic party. In making these decisions, the access to these records will be avail- CIA component officers shall be guided able to be available at that time from by the applicable law as well as the the point of contact specified in procedures specified at 32 CFR 1900.31 § 1900.03. and 32 CFR 1900.32 regarding confiden- (c) Effect of certain exemptions. In tial commercial information and per- processing a request, the Agency shall sonal information (about persons other decline to confirm or deny the exist- than the requester). ence or nonexistence of any responsive (b) Referrals and coordinations. As ap- records whenever the fact of their ex- plicable and within ten (10) days of re- istence or nonexistence is itself classi- ceipt by the Coordinator, any CIA fied under Executive Order 12958 or re- records containing information origi- vealing of intelligence sources and nated by other CIA components shall methods protected pursuant to section be forwarded to those entities for ac- 103(c)(5) of the National Security Act of tion in accordance with paragraph (a)

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of this section and return. Records for reproduction charges for any copies originated by other federal agencies or of records desired. CIA records containing other federal agency information shall be forwarded ADDITIONAL ADMINISTRATIVE MATTERS to such agencies within ten (10) days of our completion of initial action in the § 1900.31 Procedures for business in- case for action under their regulations formation. and direct response to the requester (a) In general. Business information (for other agency records) or return to obtained by the Central Intelligence the CIA (for CIA records). Effective Oc- Agency by a submitter shall not be dis- tober 2, 1997, the ten (10) day provision closed pursuant to a Freedom of Infor- is modified to twenty (20) days pursu- mation Act request except in accord- ant to the Electronic Freedom of Infor- ance with this section. For purposes of mation Act Amendments of 1996. this section, the following definitions apply: § 1900.23 Payment of fees, notification (1) Business information means com- of decision, and right of appeal. mercial or financial information in (a) Fees in general. Fees collected which a legal entity has a recognized under this part do not accrue to the property interest; Central Intelligence Agency and shall (2) Confidential commercial information be deposited immediately to the gen- means such business information pro- eral account of the United States vided to the United States Government Treasury. by a submitter which is reasonably be- (b) Notification of decision. Upon com- lieved to contain information exempt pletion of all required review and the from release under exemption (b)(4) of receipt of accrued fees (or promise to the Freedom of Information Act, 5 pay such fees), the Agency will prompt- U.S.C. 552, because disclosure could ly inform the requester in writing of reasonably be expected to cause sub- those records or portions of records stantial competitive harm; which may be released and which must (3) Submitter means any person or en- be denied. With respect to the former, tity who provides confidential commer- the Agency will provide copies; with re- cial information to the United States spect to the latter, the Agency shall Government; it includes, but is not explain the reasons for the denial, iden- limited to, corporations, businesses tify the person(s) responsible for such (however organized), state govern- decisions by name and title, and give ments, and foreign governments; and notice of a right of administrative appeal. (b) Designation of confidential commercial information. A submitter of busi- (c) Availability of reading room. As an alternative to receiving records by ness information will use good-faith ef- mail, a requester may arrange to in- forts to designate, by appropriate spect the records deemed releasable at markings, either at the time of submis- a CIA ‘‘reading room’’ in the metro- sion or at a reasonable time thereafter, politan Washington, DC area. Access any portions of its submission that it will be granted after applicable and ac- considers to be confidential commer- crued fees have been paid. Requests to cial information and hence protected review or browse documents in our from required disclosure pursuant to database of ‘‘officially released exemption (b)(4). Such designations records’’ will also be honored in this shall expire ten (10) years after the manner to the extent that paper copies date of the submission unless the sub- or electronic copies in unclassified mitter requests, and provides justifica- computer systems exist. All such re- tion for, a longer designation period. quests shall be in writing and ad- (c) Process in event of FOIA request— dressed pursuant to 32 CFR 1900.03. The (1) Notice to submitters. The Agency records will be available at such times shall provide a submitter with prompt as mutually agreed but not less than written notice of receipt of a Freedom three (3) days from our receipt of a re- of Information Act request encom- quest. The requester will be responsible passing business information whenever:

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(i) The submitter has in good faith (C) A specified disclosure date which designated the information as con- is seven (7) days after the date of the fidential commercial information, or instant notice. (ii) The Agency believes that disclo- (ii) When notice is given to a sub- sure of the information could reason- mitter under this section, the Agency ably be expected to cause substantial shall also notify the requester and, if competitive harm, and the Agency notifies a submitter that it (iii) The information was submitted intends to disclose information, then within the last ten (10) years unless the the requester shall be notified also and submitter requested and provided ac- given the proposed date for disclosure. ceptable justification for a specific no- (5) Notice of FOIA lawsuit. If a re- tice period of greater duration. quester initiates a civil action seeking to compel disclosure of information as- (2) Form of notice. This notice shall ei- serted to be within the scope of this ther describe the exact nature of the section, the Agency shall promptly no- confidential commercial information tify the submitter. The submitter, as at issue or provide copies of the respon- specified above, shall provide such liti- sive records containing such informa- gation assistance as required by the tion. Agency and the Department of Justice. (3) Response by submitter. (i) Within (6) Exceptions to notice requirement. seven (7) days of the above notice, all The notice requirements of this section claims of confidentiality by a sub- shall not apply if the Agency deter- mitter must be supported by a detailed mines that: statement of any objection to disclo- (i) The information should not be dis- sure. Such statement shall: closed in light of other FOIA exemp- (A) Specify that the information has tions; not been disclosed to the public; (ii) The information has been pub- (B) Explain why the information is lished lawfully or has been officially contended to be a trade secret or con- made available to the public; fidential commercial information; (iii) The disclosure of the informa- (C) Explain how the information is tion is otherwise required by law or capable of competitive damage if dis- federal regulation; or closed; (iv) The designation made by the sub- (D) State that the submitter will pro- mitter under this section appears frivo- vide the Agency and the Department of lous, except that, in such a case, the Justice with such litigation defense as Agency will, within a reasonable time requested; and prior to the specified disclosure date, (E) Be certified by an officer author- give the submitter written notice of ized to legally bind the corporation or any final decision to disclose the infor- similar entity. mation. (ii) It should be noted that informa- § 1900.32 Procedures for information tion provided by a submitter pursuant concerning other persons. to this provision may itself be subject (a) In general. Personal information to disclosure under the FOIA. concerning individuals other than the (4) Decision and notice of intent to dis- requester shall not be disclosed under close. (i) The Agency shall consider the Freedom of Information Act if the carefully a submitter’s objections and proposed release would constitute a specific grounds for nondisclosure prior clearly unwarranted invasion of per- to its final determination. If the Agen- sonal privacy. See 5 U.S.C. 552(b)(6). cy decides to disclose a document over For purposes of this section, the fol- the objection of a submitter, the Agen- lowing definitions apply: cy shall provide the submitter a writ- (1) Personal information means any in- ten notice which shall include: formation about an individual that is (A) A statement of the reasons for not a matter of public record, or easily which the submitter’s disclosure objec- discernible to the public, or protected tions were not sustained; from disclosure because of the implica- (B) A description of the information tions that arise from Government pos- to be disclosed; and session of such information.

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(2) Public interest means the public in- part and for establishing priorities for terest in understanding the operations cases consistent with established law. and activities of the United States The Director, Information Manage- Government and not simply any mat- ment through the Agency Release ter which might be of general interest Panel shall provide policy and resource to the requester or members of the direction as necessary and render deci- public. sions on administrative appeals. (b) Determination to be made. In mak- (c) Requests for extension of time. When ing the required determination under the Agency is unable to meet the stat- this section and pursuant to exemption utory time requirements of the FOIA, (b)(6) of the FOIA, the Agency will bal- it will inform the requester that the re- ance the privacy interests that would quest cannot be processed within the be compromised by disclosure against statutory time limits, provide an op- the public interest in release of the re- portunity for the requester to limit the quested information. scope of the request so that it can be (c) Otherwise. A requester seeking in- processed within the statutory time formation on a third person is encour- limits, or arrange with the requester aged to provide a signed affidavit or an agreed upon time frame for proc- declaration from the third person essing the request, or determine that waiving all or some of their privacy exceptional circumstances mandate ad- rights. However, all such waivers shall ditional time. In such instances the be narrowly construed and the Coordi- Agency will, however, inform a re- nator, in the exercise of his discretion quester of his or her right to decline and administrative authority, may our request and proceed with an admin- seek clarification from the third party istrative appeal or judicial review as prior to any or all releases. appropriate. Effective October 2 1997, the definition of exceptional cir- § 1900.33 Allocation of resources; cumstances is modified per section agreed extensions of time. 552(a)(6)(C) of the Freedom of Informa- (a) In general. Agency components tion Act, as amended. shall devote such personnel and other resources to the responsibilities im- § 1900.34 Requests for expedited proc- posed by the Freedom of Information essing. Act as may be appropriate and reason- (a) In general. All requests will be able considering: handled in the order received on a (1) The totality of resources available strictly ‘‘first-in, first-out’’ basis. Ex- to the component, ceptions to this rule will only be made (2) The business demands imposed on in accordance with the following proce- the component by the Director of Cen- dures. In all circumstances, however, tral Intelligence or otherwise by law, and consistent with established judi- (3) The information review and re- cial precedent, requests more properly lease demands imposed by the Congress the scope of requests under the Federal or other governmental authority, and Rules of Civil or Criminal Procedure (4) The rights of all members of the (or other federal, state, or foreign judi- public under the various information cial or quasi-judicial rules) will not be review and disclosure laws. granted expedited processing under (b) Discharge of FOIA responsibilities. this or related (e.g., Privacy Act) pro- Components shall exercise due dili- visions unless expressly ordered by a gence in their responsibilities under federal court of competent jurisdiction. the FOIA and must allocate a reason- (b) Procedure prior to October 2, 1997. able level of resources to requests Requests for expedited processing shall under the Act in a strictly ‘‘first-in, be granted only in circumstances that first-out’’ basis and utilizing two or the Agency deems to be exceptional. In more processing queues to ensure that making this determination, the Agency smaller as well as larger (i.e., project) shall consider and must decide in the cases receive equitable attention. The affirmative on all of the following fac- Information and Privacy Coordinator tors: is responsible for management of the (i) That there is a genuine need for Agency-wide program defined by this the specific requested records; and

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(ii) That the personal need is excep- view Committee, acts as the senior cor- tional; and porate board in the CIA on all matters (iii) That there are no alternative fo- of information review and release. rums for the records or information (1) Membership. The HRPB is com- sought; and posed of the Executive Director, who (iv) That it is reasonably believed serves as its Chair, the Deputy Direc- that substantive records relevant to tor for Administration, the Deputy Di- the stated needs may exist and be rector for Intelligence, the Deputy Di- deemed releasable. rector for Operations, the Deputy Di- (2) In sum, requests shall be consid- rector for Science and Technology, the ered for expedited processing only General Counsel, the Director of Con- when health, humanitarian, or due gressional Affairs, the Director of the process considerations involving pos- Public Affairs Staff, the Director, Cen- sible deprivation of life or liberty cre- ter for the Study of Intelligence, and ate circumstances of exceptional ur- the Associate Deputy Director for Ad- gency and extraordinary need. ministration/Information Services, or (c) Procedure on or after October 2, their designees. 1997. Requests for expedited processing (2) Authorities and activities. The will be approved only when a compel- HRPB, by majority vote, may delegate ling need is established to the satisfac- to one or more of its members the au- tion of the Agency. A requester may thority to act on any appeal or other make such a request with a certifi- matter or authorize the Chair to dele- cation of ‘‘compelling need’’ and, with- gate such authority, as long as such in ten (10) days of receipt, the Agency delegation is not to the same indi- will decide whether to grant expedited vidual or body who made the initial de- processing and will notify the re- nial. The Executive Secretary of the quester of its decision. The certifi- HRPB is the Director, Information cation shall set forth with specificity Management. The Chair may request the relevant facts upon which the re- interested parties to participate when quester relies and it appears to the special equities or expertise are in- Agency that substantive records rel- volved. evant to the stated needs may exist (c) Agency Release Panel (‘‘ARP’’ or and be deemed releasable. A ‘‘compel- ‘‘Panel’’). The HRPB, pursuant to its ling need’’ is deemed to exist: delegation of authority, has estab- (1) When the matter involves an im- lished a subordinate Agency Release minent threat to the life or physical Panel. safety of an individual; or (1) Membership. The ARP is composed (2) When the request is made by a of the Director, Information Manage- person primarily engaged in dissemi- ment, who serves as its Chair; the In- nating information and the informa- formation Review Officers from the Di- tion is relevant to a subject of public rectorates of Administration, Intel- urgency concerning an actual or al- ligence, Operations, Science and Tech- leged Federal government activity. nology, and the Director of Central In- telligence Area; the CIA Information CIA ACTION ON FOIA ADMINISTRATIVE and Privacy Coordinator; the Chief, APPEALS Historical Review Group; the Chair, Publications Review Board; the Chief, § 1900.41 Establishment of appeals Records Declassification Program; and structure. representatives from the Office of Gen- (a) In general. Two administrative en- eral Counsel, the Office of Congres- tities have been established by the Di- sional Affairs, and the Public Affairs rector of Central Intelligence to facili- Staff. tate the processing of administrative (2) Authorities and activities. The appeals under the Freedom of Informa- Panel shall meet on a regular schedule tion Act. Their membership, authority, and may take action when a simple and rules of procedure are as follows. majority of the total membership is (b) Historical Records Policy Board present. The Panel shall advise and as- (‘‘HRPB’’ or ‘‘Board’’). This Board, the sist the HRPB on all information re- successor to the CIA Information Re- lease issues, monitor the adequacy and

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timeliness of Agency releases, set com- fees for information services at this or ponent search and review priorities, re- another federal agency. In addition, no view adequacy of resources available to appeal shall be accepted if the informa- and planning for all Agency release tion in question has been the subject of programs, and perform such other func- a review within the previous two (2) tions as deemed necessary by the years or is the subject of pending liti- Board. The Information and Privacy gation in the federal courts. Coordinator also serves as Executive (d) Receipt, recording, and tasking. The Secretary of the Panel. The Chair may Agency shall promptly record each re- request interested parties to partici- quest received under this part, ac- pate when special equities or expertise knowledge receipt to the requester in are involved. The Panel, functioning as writing, and thereafter effect the nec- a committee of the whole or through essary taskings to the Deputy Direc- individual members, will make final tor(s) in charge of the directorate(s) Agency decisions from appeals of ini- which originated or has an interest in tial adverse decisions under the Free- the record(s) subject to the appeal. As dom of Information Act and such other used herein, the term Deputy Director information release decisions made includes an equivalent senior official in under 32 CFR parts 1901, 1907, and 1908. the DCI-area as well as a designee Issues shall be decided by a majority of known as the Information Review Offi- members present; in all cases of a di- cer for a directorate or area. vided vote, any member of the ARP (e) Time for response. The Agency then present may refer such matter to shall attempt to complete action on an the HRPB by written memorandum to appeal within twenty (20) days of the the Executive Secretary of the HRPB. date of receipt. The current volume of Matters decided by the Panel or Board requests, however, often requires that will be deemed a final decision by the the Agency request additional time Agency. from the requester pursuant to 32 CFR 1900.33. In such event, the Agency will § 1900.42 Right of appeal and appeal inform the requester of the right to ju- procedures. dicial review. (a) Right of Appeal. A right of administrative appeal exists whenever access § 1900.43 Determination(s) by Deputy to any requested record or any portion Director(s). thereof is denied, no records are lo- Each Deputy Director in charge of a cated in response to a request, or a re- directorate which originated or has an quest for a fee waiver is denied. The interest in any of the records subject Agency will apprise all requesters in to the appeal, or designee, is a required writing of their right to appeal such party to any appeal; other interested decisions to the CIA Agency Release parties may become involved through Panel through the Coordinator. the request of the Coordinator when it (b) Requirements as to time and form. is determined that some or all of the Appeals of decisions must be received information is also within their official by the Coordinator within forty-five cognizance. These parties shall respond (45) days of the date of the Agency’s in writing to the Coordinator with a initial decision. The Agency may, for finding as to the exempt status of the good cause and as a matter of adminis- information. This response shall be trative discretion, permit an additional provided expeditiously on a ‘‘first-in, thirty (30) days for the submission of first-out’’ basis taking into account an appeal. All appeals shall be in writ- the business requirements of the par- ing and addressed as specified in 32 ties and consistent with the informa- CFR 1900.03. All appeals must identify tion rights of members of the general the documents or portions of docu- public under the various information ments at issue with specificity and review and release laws. may present such information, data, and argument in support as the re- § 1900.44 Action by appeals authority. quester may desire. (a) Preparation of docket. The Coordi- (c) Exceptions. No appeal shall be ac- nator, acting in the capacity of Execu- cepted if the requester has outstanding tive Secretary of the Agency Release

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Panel, shall place administrative ap- 1901.02 Definitions. peals of FOIA requests ready for adju- 1901.03 Contact for general information and dication on the agenda at the next oc- requests. curring meeting of that Panel. The Ex- 1901.04 Suggestions and complaints. ecutive Secretary shall provide a sum- FILING OF PRIVACY ACT REQUESTS mation memorandum for consideration of the members; the complete record of 1901.11 Preliminary information. the request consisting of the request, 1901.12 Requirements as to form. 1901.13 Requirements as to identification of the document(s) (sanitized and full requester. text) at issue, and the findings of the 1901.14 Fees. concerned Deputy Director(s) or designee(s). ACTION ON PRIVACY ACT REQUESTS (b) Decision by the Agency Release 1901.21 Processing requests for access to or Panel. The Agency Release Panel shall amendment of records. meet and decide requests sitting as a 1901.22 Action and determination(s) by committee of the whole. Decisions are originator(s) or any interested party. by majority vote of those present at a 1901.23 Notification of decision and right of meeting and shall be based on the writ- appeal. ten record and their deliberations; no ADDITIONAL ADMINISTRATIVE MATTERS personal appearances shall be permitted without the express permission 1901.31 Special procedures for medical and of the Panel. psychological records. (c) Decision by the Historical Records 1901.32 Requests for expedited processing. Policy Board. In any cases of divided 1901.33 Allocation of resources; agreed extensions of time. vote by the ARP, any member of that body is authorized to refer the request ACTION ON PRIVACY ACT ADMINISTRATIVE to the CIA Historical Records Policy APPEALS Board which acts as the senior cor- 1901.41 Establishment of appeals structure. porate board for the Agency. The 1901.42 Right of appeal and appeal proce- record compiled (the request, the dures. memoranda filed by the originator and 1901.43 Determination(s) by Deputy Direc- interested parties, and the previous de- tor(s). cision(s)) as well as any memorandum 1901.44 Action by appeals authority. of law or policy the referent desires to 1901.45 Notification of decision and right of be considered, shall be certified by the judicial review. Executive Secretary of the Agency Re- PROHIBITIONS lease Panel and shall constitute the official record of the proceedings and 1901.51 Limitations on disclosure. must be included in any subsequent fil- 1901.52 Criminal penalties. ings. EXEMPTIONS § 1900.45 Notification of decision and 1901.61 Purpose and authority. right of judicial review. 1901.62 General exemptions. 1901.63 Specific exemptions. The Executive Secretary of the Agen- cy Release Panel shall promptly pre- AUTHORITY: National Security Act of 1947, pare and communicate the decision of as amended; Central Intelligence Agency Act of 1949, as amended; Privacy Act, as amend- the Panel or Board to the requester. ed; and Executive Order 12958 (or successor With respect to any decision to deny Orders). information, that correspondence shall state the reasons for the decision, iden- SOURCE: 62 FR 32488, June 16, 1997, unless otherwise noted. tify the officer responsible, and include a notice of a right to judicial review. GENERAL PART 1901—PUBLIC RIGHTS UNDER § 1901.01 Authority and purpose. THE PRIVACY ACT OF 1974 (a) Authority. This part is issued under the authority of and in order to GENERAL implement the Privacy Act of 1974 (5 Sec. U.S.C. 552a); sec. 102 of the National Se- 1901.01 Authority and purpose. curity Act of 1947, as amended (50

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U.S.C. 403); and sec. 6 of the Central In- (f) Interested party means any official telligence Agency Act of 1949, as in the executive, military, congres- amended (50 U.S.C. 403g). sional, or judicial branches of govern- (b) Purpose in general. This part pre- ment, United States or foreign, or U.S. scribes procedures for a requester, as Government contractor who, in the defined herein: sole discretion of the CIA, has a subject (1) To request notification of whether matter or physical interest in the doc- the Central Intelligence Agency main- uments or information at issue; tains a record concerning them in any (g) Maintain means maintain, collect, non-exempt portion of a system of use, or disseminate; records or any non-exempt system of (h) Originator means the U.S. Govern- records; ment official who originated the docu- (2) To request a copy of all non-ex- ment at issue or successor in office or empt records or portions of records; such official who has been delegated re- (3) To request that any such record lease or declassification authority pur- be amended or augmented; and suant to law; (4) To file an administrative appeal (i) Privacy Act or PA means the stat- to any initial adverse determination to ute as codified at 5 U.S.C. 552a; deny access to or amend a record. (j) Record means an item, collection, (c) Other purposes. This part also sets or grouping of information about an in- forth detailed limitations on how and dividual that is maintained by the Cen- to whom the Agency may disclose per- tral Intelligence Agency in a system of sonal information and gives notice that records; certain actions by officers or employ- (k) Requester or individual means a ees of the United States Government or citizen of the United States or an alien members of the public could constitute lawfully admitted for permanent resi- criminal offenses. dence who is a living being and to whom a record might pertain; § 1901.02 Definitions. (l) Responsive record means those doc- For purposes of this part, the fol- uments (records) which the Agency has lowing terms have the meanings indi- determined to be within the scope of a cated: Privacy Act request; (a) Agency or CIA means the United (m) Routine use means, with respect States Central Intelligence Agency to the disclosure of a record, the use of acting through the CIA Information such record for a purpose which is com- and Privacy Coordinator; patible with the purpose for which the (b) Days means calendar days when record is maintained; the Agency is operating and specifi- (n) System of records means a group of cally excludes Saturdays, Sundays, and any records under the control of the legal public holidays. Three (3) days Central Intelligence Agency from may be added to any time limit im- which records are retrieved by the posed on a requester by this part if re- name of an individual or by some iden- sponding by U.S. domestic mail; ten tifying number, symbol, or other iden- (10) days may be added if responding by tifying particular assigned to that indi- international mail; vidual. (c) Control means ownership or the authority of the CIA pursuant to fed- § 1901.03 Contact for general informa- eral statute or privilege to regulate of- tion and requests. ficial or public access to records; For general information on this part, (d) Coordinator means the CIA Infor- to inquire about the Privacy Act pro- mation and Privacy Coordinator who gram at CIA, or to file a Privacy Act serves as the Agency manager of the request, please direct your communica- information review and release pro- tion in writing to the Information and gram instituted under the Privacy Act; Privacy Coordinator, Central Intel- (e) Federal agency means any execu- ligence Agency, Washington, DC. 20505. tive department, military department, Requests with the required identifica- or other establishment or entity in- tion statement pursuant to 32 CFR cluded in the definition of agency in 5 1901.13 must be filed in original form by U.S.C. 552(f); mail. Subsequent communications and

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any inquiries will be accepted by mail tion subject to the request, state a jus- or facsimile at (703) 613–3007 or by tele- tification for such amendment, and phone at (703) 613–1287. Collect calls provide the desired amending language. cannot be accepted. § 1901.13 Requirements as to identi- § 1901.04 Suggestions and complaints. fication of requester. The Agency welcomes suggestions or (a) In general. Individuals seeking ac- complaints with regard to its adminis- cess to or amendment of records con- tration of the Privacy Act. Many re- cerning themselves shall provide their questers will receive pre-paid, cus- full (legal) name, address, date and tomer satisfaction survey cards. Let- place of birth, and current citizenship ters of suggestion or complaint should status together with a statement that identify the specific purpose and the such information is true under penalty issues for consideration. The Agency of perjury or a notarized statement will respond to all substantive commu- swearing to or affirming identity. If nications and take such actions as de- the Agency determines that this infor- termined feasible and appropriate. mation is not sufficient, the Agency may request additional or clarifying FILING OF PRIVACY ACT REQUESTS information. (b) Requirement for aliens. Only aliens § 1901.11 Preliminary information. lawfully admitted for permanent resi- Members of the public shall address dence (PRAs) may file a request pursu- all communications to the contact ant to the Privacy Act and this part. specified at § 1901.03 and clearly delin- Such individuals shall provide, in addi- eate the communication as a request tion to the information required under under the Privacy Act and this regula- paragraph (a) of this section, their tion. Requests and administrative ap- Alien Registration Number and the peals on requests, referrals, and coordi- date that status was acquired. nations received from members of the (c) Requirement for representatives. The public who owe outstanding fees for in- parent or guardian of a minor indi- formation services at this or other fed- vidual, the guardian of an individual eral agencies will not be accepted and under judicial disability, or an attor- action on existing requests and appeals ney retained to represent an individual will be terminated in such cir- shall provide, in addition to estab- cumstances. lishing the identity of the minor or individual represented as required in § 1901.12 Requirements as to form. paragraph (a) or (b) of this section, evi- (a) In general. No particular form is dence of such representation by sub- required. All requests must contain the mission of a certified copy of the mi- identification information required at nor’s birth certificate, court order, or § 1901.13. representational agreement which es- (b) For access. For requests seeking tablishes the relationship and the re- access, a requester should, to the ex- quester’s identity. tent possible, describe the nature of (d) Procedure otherwise. If a requester the record sought and the record sys- or representative fails to provide the tem(s) in which it is thought to be in- information in paragraph (a), (b), or (c) cluded. Requesters may find assistance of this section within forty-five (45) from information described in the Pri- days of the date of our request, the vacy Act Issuances Compilation which Agency will deem the request closed. is published biannually by the FEDERAL This action, of course, would not pre- REGISTER. In lieu of this, a requester vent an individual from refiling his or may simply describe why and under her Privacy Act request at a subse- what circumstances it is believed that quent date with the required informa- this Agency maintains responsive tion. records; the Agency will undertake the appropriate searches. § 1901.14 Fees. (c) For amendment. For requests seek- No fees will be charged for any action ing amendment, a requester should under the authority of the Privacy Act, identify the particular record or por- 5 U.S.C. 552a, irrespective of the fact

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that a request is or may be processed to 32 CFR 1901.33. In such event, the under the authority of both the Pri- Agency will inform the requester in vacy Act and the Freedom of Informa- writing and further advise of his or her tion Act. right to file an administrative appeal.

ACTION ON PRIVACY ACT REQUESTS § 1901.22 Action and determination(s) by originator(s) or any interested § 1901.21 Processing requests for ac- party. cess to or amendment of records. (a) Initial action for access. CIA com- (a) In general. Requests meeting the ponents tasked pursuant to a Privacy requirements of 32 CFR 1901.11 through Act access request shall search all rel- 1901.13 shall be processed under both evant record systems within their cog- the Freedom of Information Act, 5 nizance. They shall: U.S.C. 552, and the Privacy Act, 5 (1) Determine whether responsive U.S.C. 552a, and the applicable regula- records exist; tions, unless the requester demands otherwise in writing. Such requests (2) Determine whether access must be will be processed under both Acts re- denied in whole or part and on what gardless of whether the requester cites legal basis under both Acts in each one Act in the request, both, or nei- such case; ther. This action is taken in order to (3) Approve the disclosure of records ensure the maximum possible disclo- for which they are the originator; and sure to the requester. (4) Forward to the Coordinator all (b) Receipt, recording and tasking. records approved for release or nec- Upon receipt of a request meeting the essary for coordination with or referral requirements of §§ 1901.11 through to another originator or interested 1901.13, the Agency shall within ten (10) party as well as the specific determina- days record each request, acknowledge tions with respect to denials (if any). receipt to the requester, and thereafter (b) Initial action for amendment. CIA effect the necessary taskings to the components tasked pursuant to a Pri- components reasonably believed to vacy Act amendment request shall re- hold responsive records. view the official records alleged to be (c) Effect of certain exemptions. In inaccurate and the proposed amend- processing a request, the Agency shall ment submitted by the requester. If decline to confirm or deny the exist- they determine that the Agency’s ence or nonexistence of any responsive records are not accurate, relevant, records whenever the fact of their ex- timely or complete, they shall prompt- istence or nonexistence is itself classi- ly: fied under Executive Order 12958 or re- (1) Make the amendment as re- vealing of intelligence sources and quested; methods protected pursuant to section (2) Write to all other identified per- 103(c)(5) of the National Security Act of sons or agencies to whom the record 1947. In such circumstances, the Agen- has been disclosed (if an accounting of cy, in the form of a final written re- the disclosure was made) and inform of sponse, shall so inform the requester the amendment; and and advise of his or her right to an administrative appeal. (3) Inform the Coordinator of such decisions. (d) Time for response. Although the Privacy Act does not mandate a time (c) Action otherwise on amendment re- for response, our joint treatment of request. If the CIA component records quests under both the Privacy Act and manager declines to make the re- the FOIA means that the Agency quested amendment or declines to should provide a response within the make the requested amendment but FOIA statutory guideline of ten (10) agrees to augment the official records, days on initial requests and twenty (20) that manager shall promptly: days on administrative appeals. How- (1) Set forth the reasons for refusal; ever, the current volume of requests re- and quire that the Agency often seek addi- (2) Inform the Coordinator of such de- tional time from a requester pursuant cision and the reasons therefore.

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(d) Referrals and coordinations. As ap- (2) Which records should not be sent plicable and within ten (10) days of re- directly to the requester because of ceipt by the Coordinator, any CIA possible medical or psychological harm records containing information origi- to the requester or another person. nated by other CIA components shall (b) Procedure for records to be sent to be forwarded to those entities for ac- physician. In the event that the Agency tion in accordance with paragraphs (a), determines, in accordance with para- (b), or (c) of this section and return. graph (a)(2) of this section, that Records originated by other federal records should not be sent directly to agencies or CIA records containing the requester, the Agency will notify other federal agency information shall the requester in writing and advise be forwarded to such agencies within that the records at issue can be made ten (10) days of our completion of ini- available only to a physician of the re- tial action in the case for action under quester’s designation. Upon receipt of their regulations and direct response to such designation, verification of the the requester (for other agency identity of the physician, and agree- records) or return to the CIA (for CIA ment by the physician: records). (1) To review the documents with the (e) Effect of certain exemptions. This requesting individual, section shall not be construed to allow (2) To explain the meaning of the access to systems of records exempted documents, and by the Director of Central Intelligence (3) To offer counseling designed to pursuant to subsections (j) and (k) of temper any adverse reaction, the Agen- the Privacy Act or where those exemp- cy will forward such records to the des- tions require that the CIA can neither ignated physician. confirm nor deny the existence or non- (c) Procedure if physician option not If within sixty (60) days of existence of responsive records. available. the paragraph (a)(2) of this section, the § 1901.23 Notification of decision and requester has failed to respond or des- right of appeal. ignate a physician, or the physician fails to agree to the release conditions, Within ten (10) days of receipt of re- the Agency will hold the documents in sponses to all initial taskings and sub- abeyance and advise the requester that sequent coordinations (if any), and dis- this action may be construed as a tech- patch of referrals (if any), the Agency nical denial. The Agency will also ad- will provide disclosable records to the vise the requester of the responsible of- requester. If a determination has been ficial and of his or her rights to admin- made not to provide access to re- istrative appeal and thereafter judicial quested records (in light of specific ex- review. emptions) or that no records are found, the Agency shall so inform the re- § 1901.32 Requests for expedited proc- quester, identify the denying official, essing. and advise of the right to administra- (a) All requests will be handled in the tive appeal. order received on a strictly ‘‘first-in, first-out’’ basis. Exceptions to this rule ADDITIONAL ADMINISTRATIVE MATTERS will only be made in circumstances that the Agency deems to be excep- § 1901.31 Special procedures for med- tional. In making this determination, ical and psychological records. the Agency shall consider and must de- (a) In general. When a request for ac- cide in the affirmative on all of the fol- cess or amendment involves medical or lowing factors: psychological records and when the (1) That there is a genuine need for originator determines that such the records; and records are not exempt from disclosure, (2) That the personal need is excep- the Agency will, after consultation tional; and with the Director of Medical Services, (3) That there are no alternative fo- determine: rums for the records sought; and (1) Which records may be sent di- (4) That it is reasonably believed that rectly to the requester and substantive records relevant to the

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stated needs may exist and be deemed (c) Requests for extension of time. releasable. While the Privacy Act does not specify (b) In sum, requests shall be consid- time requirements, our joint treatment ered for expedited processing only of requests under the FOIA means that when health, humanitarian, or due when the Agency is unable to meet the process considerations involving pos- statutory time requirements of the sible deprivation of life or liberty cre- FOIA, the Agency may request addi- ate circumstances of exceptional ur- tional time from a requester. In such gency and extraordinary need. In ac- instances the Agency will inform a re- cordance with established judicial quester of his or her right to decline precedent, requests more properly the our request and proceed with an admin- scope of requests under the Federal istrative appeal or judicial review as Rules of Civil or Criminal Procedure appropriate. (or equivalent state rules) will not be granted expedited processing under ACTION ON PRIVACY ACT this or related (e.g., Freedom of Infor- ADMINISTRATIVE APPEALS mation Act) provisions unless expressly ordered by a federal court of § 1901.41 Establishment of appeals competent jurisdiction. structure. (a) In general. Two administrative en- § 1901.33 Allocation of resources; agreed extensions of time. tities have been established by the Di- rector of Central Intelligence to facili- (a) In general. Agency components tate the processing of administrative shall devote such personnel and other appeals under the Freedom of Informa- resources to the responsibilities im- tion Act. Their membership, authority, posed by the Privacy Act as may be ap- and rules of procedure are as follows. propriate and reasonable considering: (b) Historical Records Policy Board (1) The totality of resources available (‘‘HRPB’’ or ‘‘Board’’). This Board, the to the component, successor to the CIA Information Re- (2) The business demands imposed on view Committee, acts as the senior cor- the component by the Director of Cen- porate board in the CIA on all matters tral Intelligence or otherwise by law, of information review and release. (3) The information review and release demands imposed by the Congress (1) Membership. The HRPB is com- or other governmental authority, and posed of the Executive Director, who (4) The rights of all members of the serves as its Chair, the Deputy Direc- public under the various information tor for Administration, the Deputy Di- review and disclosure laws. rector for Intelligence, the Deputy Di- (b) Discharge of Privacy Act respon- rector for Operations, the Deputy Di- sibilities. Components shall exercise due rector for Science and Technology, the diligence in their responsibilities under General Counsel, the Director of Con- the Privacy Act and must allocate a gressional Affairs, the Director of the reasonable level of resources to re- Public Affairs Staff, the Director, Cen- quests under the Act in a strictly ter for the Study of Intelligence, and ‘‘first-in, first-out’’ basis and utilizing the Associate Deputy Director for Ad- two or more processing queues to en- ministration/Information Services, or sure that smaller as well as larger (i.e., their designees. project) cases receive equitable atten- (2) Authorities and activities. The tion. The Information and Privacy Co- HRPB, by majority vote, may delegate ordinator is responsible for manage- to one or more of its members the au- ment of the Agency-wide program de- thority to act on any appeal or other fined by this Part and for establishing matter or authorize the Chair to dele- priorities for cases consistent with es- gate such authority, as long as such tablished law. The Director, Informa- delegation is not to the same indi- tion Management through the Agency vidual or body who made the initial de- Release Panel shall provide policy and nial. The Executive Secretary of the resource direction as necessary and HRPB is the Director, Information shall make determinations on adminis- Management. The Chair may request trative appeals. interested parties to participate when

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special equities or expertise are in- § 1901.42 Right of appeal and appeal volved. procedures. (c) Agency Release Panel (‘‘ARP’’ or (a) Right of Appeal. A right of admin- ‘‘Panel’’). The HRPB, pursuant to its istrative appeal exists whenever access delegation of authority, has estab- to any requested record or any portion lished a subordinate Agency Release thereof is denied, no records are lo- Panel. cated in response to a request, or a re- (1) Membership. The ARP is composed quest for amendment is denied. The of the Director, Information Manage- Agency will apprise all requesters in ment, who serves as its Chair; the In- writing of their right to appeal such formation Review Officers from the Di- decisions to the CIA Agency Release rectorates of Administration, Intel- Panel through the Coordinator. ligence, Operations, Science and Tech- (b) Requirements as to time and form. nology, and the Director of Central In- Appeals of decisions must be received telligence Area; the CIA Information by the Coordinator within forty-five and Privacy Coordinator; the Chief, (45) days of the date of the Agency’s Historical Review Group; the Chair, initial decision. The Agency may, for Publications Review Board; the Chief, good cause and as a matter of adminis- Records Declassification Program; and trative discretion, permit an additional representatives from the Office of Gen- thirty (30) days for the submission of eral Counsel, the Office of Congres- an appeal. All appeals to the Panel sional Affairs, and the Public Affairs shall be in writing and addressed as Staff. specified in 32 CFR 1901.03. All appeals must identify the documents or por- (2) Authorities and activities. The tions of documents at issue with speci- Panel shall meet on a regular schedule ficity, provide the desired amending and may take action when a simple language (if applicable), and may majority of the total membership is present such information, data, and ar- present. The Panel shall advise and as- gument in support as the requester sist the HRPB on all information re- may desire. lease issues, monitor the adequacy and (c) Exceptions. No appeal shall be ac- timeliness of Agency releases, set com- cepted if the requester has outstanding ponent search and review priorities, re- fees for information services at this or view adequacy of resources available to another federal agency. In addition, no and planning for all Agency release appeal shall be accepted if the informa- programs, and perform such other function in question has been the subject of tions as deemed necessary by the an administrative review within the Board. The Information and Privacy previous two (2) years or is the subject Coordinator also serves as Executive of pending litigation in the federal Secretary of the Panel. The Chair may courts. request interested parties to partici- (d) Receipt, recording, and tasking. The pate when special equities or expertise Agency shall promptly record each ad- are involved. The Panel, functioning as ministrative appeal, acknowledge re- a committee of the whole or through ceipt to the requester in writing, and individual members, will make final thereafter effect the necessary Agency decisions from appeals of ini- taskings to the Deputy Director(s) in tial adverse decisions under the Free- charge of the directorate(s) which dom of Information Act and such other originated or has an interest in the information release decisions made record(s) subject to the appeal. As used under 32 CFR parts 1901, 1907, and 1908. herein, the term Deputy Director in- Issues shall be decided by a majority of cludes an equivalent senior official members present; in all cases of a di- within the DCI-area as well as a des- vided vote, any member of the ARP ignee known as the Information Re- then present may refer such matter to view Officer for a directorate or area. the HRPB by written memorandum to the Executive Secretary of the HRPB. § 1901.43 Determination(s) by Deputy Matters decided by the Panel or Board Director(s). will be deemed a final decision by the Each Deputy Director in charge of a Agency. directorate which originated or has an

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interest in any of the records subject cision(s)) as well as any memorandum to the appeal, or designee, is a required of law or policy the referent desires to party to any appeal; other interested be considered, shall be certified by the parties may become involved through Executive Secretary of the Agency Re- the request of the Coordinator when it lease Panel and shall constitute the of- is determined that some or all of the ficial record of the proceedings and information is also within their official must be included in any subsequent fil- cognizance. These parties shall respond ings. in writing to the Coordinator with a finding as to the exempt or non-exempt § 1901.45 Notification of decision and status of the information including ci- right of judicial review. tations to the applicable exemption (a) In general. The Executive Sec- and/or their agreement or disagree- retary of the Agency Release Panel ment as to the requested amendment shall promptly prepare and commu- and the reasons therefore. Each re- nicate the decision of the Panel or sponse shall be provided expeditiously Board to the requester. With respect to on a ‘‘first-in, first-out’’ basis taking any decision to deny information or into account the business requirements deny amendment, that correspondence of the parties and consistent with the shall state the reasons for the decision, information rights of members of the identify the officer responsible, and in- general public under the various infor- clude a notice of the right to judicial mation review and release laws. review. (b) For amendment requests. With fur- § 1901.44 Action by appeals authority. ther respect to any decision to deny an (a) Preparation of docket. The Coordi- amendment, that correspondence shall nator, acting as the Executive Sec- also inform the requester of the right retary of the Agency Release Panel, to submit within forty-five (45) days a shall place administrative appeals of statement of his or her choice which Privacy Act requests ready for adju- shall be included in the official records dication on the agenda at the next oc- of the CIA. In such cases, the applica- curring meeting of that Panel. The Ex- ble record system manager shall clear- ecutive Secretary shall provide a sum- ly note any portion of the official mation memorandum for consideration record which is disputed, append the of the members; the complete record of requester’s statement, and provide cop- the request consisting of the request, ies of the statement to previous recipi- the document(s) (sanitized and full ents (if any are known) and to any fu- text) at issue, and the findings of the ture recipients when and if the dis- concerned Deputy Director(s) or des- puted information is disseminated in ignee(s). accordance with a routine use. (b) Decision by the Agency Release Panel. The Agency Release Panel shall PROHIBITIONS meet and decide requests sitting as a committee of the whole. Decisions are § 1901.51 Limitations on disclosure. by majority vote of those present at a No record which is within a system of meeting and shall be based on the writ- records shall be disclosed by any means ten record and their deliberations; no of communication to any individual or personal appearances shall be per- to another agency, except pursuant to mitted without the express permission a written request by, or with the prior of the Panel. written consent of, the individual to (c) Decision by the Historical Records whom the record pertains, unless dis- Policy Board. In any cases of divided closure of the record would be: vote by the ARP, any member of that (a) To those officers and employees of body is authorized to refer the request this Agency which maintains the to the CIA Historical Records Policy record who have a need for the record Board which acts as the senior cor- in the performance of their duties; porate board for the Agency. The (b) Required under the Freedom of record compiled (the request, the Information Act, 5 U.S.C. 552; memoranda filed by the originator and (c) For a routine use as defined in interested parties, and the previous de- § 1901.02(m), as contained in the Privacy

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Act Issuances Compilation which is § 1901.52 Criminal penalties. published biennially in the FEDERAL (a) Unauthorized disclosure. Criminal REGISTER, and as described in §§ (a)(7) penalties may be imposed against any and (e)(4)(D) of the Act; officer or employee of the CIA who, by (d) To the Bureau of the Census for virtue of employment, has possession purposes of planning or carrying out a of or access to Agency records which census or survey or related activity contain information identifiable with pursuant to the provisions of U.S.C. an individual, the disclosure of which Title 13; is prohibited by the Privacy Act or by (e) To a recipient who has provided these rules, and who, knowing that dis- the Agency with advance adequate closure of the specific material is so written assurance that the record will prohibited, willfully discloses the ma- be used solely as a statistical research terial in any manner to any person or or reporting record, and the record is agency not entitled to receive same. to be transferred in a form that is not (b) Unauthorized maintenance. Crimi- individually identifiable; nal penalties may be imposed against (f) To the National Archives and any officer or employee of the CIA who Records Administration as a record willfully maintains a system of records which has sufficient historical or other without meeting the requirements of value to warrant its continued preser- section (e)(4) of the Privacy Act, 5 vation by the United States Govern- U.S.C.552a. The Coordinator and the In- ment, or for evaluation by the Archi- spector General are authorized inde- vist of the United States or designee to pendently to conduct such surveys and determine whether the record has such inspect such records as necessary from value; time to time to ensure that these re- (g) To another agency or to an in- quirements are met. strumentality of any governmental ju- (c) Unauthorized requests. Criminal risdiction within or under the control penalties may be imposed upon any of the United States for a civil or person who knowingly and willfully re- criminal law enforcement activity if quests or obtains any record con- the activity is authorized by law, and if cerning an individual from the CIA the head of that agency or instrumen- under false pretenses. tality has made a written request to the CIA specifying the particular infor- EXEMPTIONS mation desired and the law enforcement activity for which the record is § 1901.61 Purpose and authority. sought; Purpose of exemptions. This Part sets (h) To a person pursuant to a showing forth those systems of records or por- of compelling circumstances affecting tions of systems of records which the the health or safety of an individual if Director of Central Intelligence has de- upon such disclosure notification is termined to exempt from the proce- transmitted to the last known address dures established by this regulation of such individual; and from certain provisions of the Pri- (i) To either House of Congress, or, to vacy Act: the extent of matter within its juris- (a) The purpose of the following spec- diction, any committee or sub- ified general exemption of polygraph committee thereof, any joint com- records is to prevent access and review mittee of Congress or subcommittee of of records which intimately reveal CIA any such joint committee; operational methods. The purpose of (j) To the Comptroller General or any the general exemption from the provi- of his authorized representatives in the sions of sections (c)(3) and (e)(3) (A)–(D) course of the performance of the duties of the Privacy Act is to avoid disclo- of the General Accounting Office; or sures that may adversely affect ongo- (k) To any agency, government in- ing operational relationships with strumentality, or other person or enti- other intelligence and related organi- ty pursuant to the order of a court of zations and thus reveal or jeopardize competent jurisdiction of the United intelligence sources and methods or States or constituent states. risk exposure of intelligence sources

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and methods in the processing of cov- grant of confidentiality in the case of ert employment applications. law enforcement or employment and (b) The purpose of the general exemp- security suitability investigations (or tion from sections (d), (e)(4)(G), (f)(1), promotion material in the case of the and (g) of the Privacy Act is to protect armed services); protect information only those portions of systems of used in connection with protective records which if revealed would risk services under 18 U.S.C. 3056; protect exposure of intelligence sources and the efficacy of testing materials; and methods or hamper the ability of the protect information which is required CIA to effectively use information re- by statute to be maintained and used ceived from other agencies or foreign solely as statistical records. governments. (c) It should be noted that by sub- § 1901.62 General exemptions. jecting information which would consist of, reveal, or pertain to intel- (a) Pursuant to authority granted in ligence sources and methods to sepa- section (j) of the Privacy Act, the Di- rate determinations by the Director of rector of Central Intelligence has de- Central Intelligence under the provi- termined to exempt from all sections sion entitled ‘‘General exemptions,’’ 32 of the Act—except sections 552a(b); (c) CFR 1901.62 regarding access and no- (1) and (2); (e) (1), (4) (A)–(F), (5), (6), (7), tice, an intent is established to apply (9), (10), and (11); and (i)—the following the exemption from access and notice systems of records or portions of only in those cases where notice in records in a system of record: itself would constitute a revelation of (1) Polygraph records. intelligence sources and methods; in (2) [Reserved] all cases where only access to informa- (b) Pursuant to authority granted in tion would reveal such source or meth- section (j) of the Privacy Act, the Di- od, notice will be given upon request. rector of Central Intelligence has de- (d) The purpose of the general exemp- termined to exempt from sections (c)(3) tion for records that consist of, pertain and (e)(3) (A)–(D) of the Act all systems to, or would otherwise reveal the iden- of records maintained by this Agency. tities of employees who provide infor- (c) Pursuant to authority granted in mation to the Office of the Inspector section (j) of the Privacy Act, the Di- General is to implement section 17 of rector of Central Intelligence has de- the CIA Act of 1949, as amended, 50 termined to exempt from notification U.S.C. 403q(e)(3), and to ensure that no under sections (e)(4)(G) and (f)(1) those action constituting a reprisal or threat portions of each and all systems of of reprisal is taken because an em- records which have been exempted ployee has cooperated with the Office from individual access under section (j) of Inspector General. in those cases where the Coordinator (e) The purpose of the specific exemptions provided for under section (k) of determines after advice by the respon- the Privacy Act is to exempt only sible components that confirmation of those portions of systems of records the existence of a record may jeop- which would consist of, reveal, or per- ardize intelligence sources and meth- tain to that information which is enu- ods. In such cases the Agency must nei- merated in that section of the Act. ther confirm nor deny the existence of (f) In each case, the Director of Cen- the record and will advise a requester tral Intelligence currently or then in that there is no record which is avail- office has determined that the enumer- able pursuant to the Privacy Act of ated classes of information should be 1974. exempt in order to comply with dealing (d) Pursuant to authority granted in with the proper classification of na- section (j) of the Privacy Act, the Di- tional defense or foreign policy infor- rector of Central Intelligence has de- mation; protect the identification of termined to exempt from access by in- persons who provide information to the dividuals under section (d) of the Act CIA Inspector General; protect the pri- those portions and only those portions vacy of other persons who supplied in- of all systems of records maintained by formation under an implied or express the CIA that:

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(1) Consist of, pertain to, or would section (j)(2) of the Act; provided how- otherwise reveal intelligence sources ever, that if an individual is denied any and methods; right, privilege, or benefit to which (2) Consist of documents or informa- they are otherwise eligible, as a result tion provided by any foreign govern- of the maintenance of such material, ment entity, international organiza- then such material shall be provided to tion, or, any United States federal, that individual except to the extent state, or other public agency or author- that the disclosure would reveal the ity; and identity of a source who furnished the (3) Consist of information which information to the United States Gov- would reveal the identification of per- ernment under an express promise of sons who provide information to the confidentiality, or, prior to the effec- CIA Inspector General. tive date of this section, under an im- (e) Pursuant to authority granted in plied promise of confidentiality; section (j) of the Privacy Act, the Di- (c) Maintained in connection with rector of Central Intelligence has de- providing protective services to the termined to exempt from judicial re- President of the United States or other view under section (g) of the Act all de- individuals pursuant to 18 U.S.C. 3056; terminations to deny access under sec- (d) Required by statute to be main- tion (d) of the Act and all decisions to tained and used solely as statistical deny notice under sections (e)(4)(G) and records; (f)(1) of the Act pursuant to determina- (e) Investigatory in nature and com- tion made under paragraph (c) of this piled solely for the purpose of deter- section when it has been determined by mining suitability, eligibility, or quali- an appropriate official of the CIA that fications for federal civilian employ- such access would disclose information ment, military service, federal con- which would: tracts, or access to classified informa- (1) Consist of, pertain to, or other- tion, but only to the extent that the wise reveal intelligence sources and disclosure of such material would re- methods; veal the identity of a source who fur- (2) Consist of documents or informa- nished information to the United tion provided by any foreign govern- States Government under an express ment entity, international organiza- promise of confidentiality, or, prior to tion, or, any United States federal, the effective date of this section, under state, or other public agency or author- an implied promise of confidentiality; ity; and (f) Testing or examination material (3) Consist of information which used solely to determine individual would reveal the identification of per- qualifications for appointment or pro- sons who provide information to the motion in the federal service the dis- CIA Inspector General. closure of which would compromise the objectivity or fairness of the testing or § 1901.63 Specific exemptions. examination process; or Pursuant to authority granted in sec- (g) Evaluation material used to de- tion (k) of the Privacy Act, the Direc- termine potential for promotion in the tor of Central Intelligence has deter- armed services, but only to the extent mined to exempt from section (d) of that the disclosure of such material the Privacy Act those portions and would reveal the identity of a source only those portions of all systems of who furnished information to the records maintained by the CIA that United States Government under an would consist of, pertain to, or other- express promise of confidentiality, or, wise reveal information that is: prior to the effective date of this sec- (a) Classified pursuant to Executive tion, under an implied promise of con- Order 12958 (or successor or prior fidentiality. Order) and thus subject to the provisions of 5 U.S.C. 552(b)(1) and 5 U.S.C. 552a(k)(1); PART 1902—INFORMATION (b) Investigatory in nature and com- SECURITY REGULATIONS piled for law enforcement purposes, other than material within the scope of Subparts A–E [Reserved] 464

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Subpart F—Declassification and ommendation for decision to the appro- Downgrading priate Deputy Director or Head of Inde- pendent Office. If those officials believe disclosure may be warranted, they, in AUTHORITY: Sec. 5–402 of Executive Order 12065. coordination with OGC, as appropriate, shall refer the matter and a rec- § 1902.13 Declassification and down- ommendation to the DDCI. If the DDCI grading policy. determines that the public interest in (a)–(b) [Reserved] disclosure of the information out- (c) The Executive Order provides that weighs any damage to national secu- in some cases the need to protect prop- rity that might reasonably be expected erly classified information ‘‘may be to result from disclosure, the informa- outweighed by the public interest in tion shall be declassified. disclosure of the information,’’ and [45 FR 64175, Sept. 29, 1980] that ‘‘when such questions arise’’ the competing interests in protection and PART 1903—CONDUCT ON disclosure are to be balanced. The Order further provides that the infor- AGENCY INSTALLATIONS mation is to be declassified in such cases if the balance is struck in favor Sec. of disclosure. The drafters of the Order 1903.1 Definitions. 1903.2 Applicability. recognized that such cases would be 1903.3 State law applicable. rare and that declassification decisions 1903.4 Vehicles and traffic safety. in such cases would remain the respon- 1903.5 Enforcement of parking regulations. sibility of the Executive Branch. For 1903.6 Admission on to an Agency installa- purposes of these provisions, a question tion. as to whether the public interest favor- 1903.7 Trespassing. ing the continued protection of prop- 1903.8 Interfering with Agency functions. erly classified information is out- 1903.9 Explosives. weighed by a public interest in the dis- 1903.10 Weapons. 1903.11 Restrictions on photographic, trans- closure of that information will be mitting, and recording equipment. deemed to exist only in circumstances 1903.12 Alcoholic beverages and controlled where, in the judgment of the agency, substances. nondisclosure could reasonably be ex- 1903.13 Intoxicated on an Agency installa- pected to: tion. (1) Place a person’s life in jeopardy. 1903.14 Disorderly conduct. (2) Adversely affect the public health 1903.15 Preservation of property. and safety. 1903.16 Restrictions on animals. (3) Impede legitimate law enforce- 1903.17 Soliciting, vending, and debt collection. ment functions. 1903.18 Distribution of materials. (4) Impede the investigative or over- 1903.19 Gambling. sight functions of the Congress. 1903.20 Penalties and effects on other laws. (5) Obstruct the fair administration of justice. AUTHORITY: 50 U.S.C. 403o. (6) Deprive the public of information SOURCE: 63 FR 44786, Aug. 21, 1998, unless indispensable to public decisions on otherwise noted. issues of critical national importance (effective for declassification reviews § 1903.1 Definitions. conducted on or after 1 February 1980). As used in this part: (d) When a case arises that requires a Agency installation. For the purposes balancing of interests under paragraph of this part, the term Agency installa- (c) above, the reviewing official shall tion means the property within the refer the matter to an Agency official Agency Headquarters Compound and having Top Secret classification au- the property controlled and occupied thority, who shall balance. If it appears by the Federal Highway Administra- that the public interest in disclosure of tion located immediately adjacent to the information may outweigh any such Compound, and property within continuing need for its protection, the any other Agency installation and pro- case shall be referred with a rec- tected property (i.e., property owned,

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leased, or otherwise controlled by the required to be licensed in any State or Central Intelligence Agency). otherwise. Authorized person. An officer of the Weapons. Any firearms or any other Security Protective Service, or any loaded or unloaded pistol, rifle, shot- other Central Intelligence Agency em- gun, or other weapon which is designed ployee who has been authorized by the to, or may be readily converted to Director of Central Intelligence pursu- expel a projectile by ignition of a pro- ant to section 15 of the Central Intel- pellant, by compressed gas, or which is ligence Agency Act of 1949 to enforce spring-powered. Any bow and arrow, the provisions of this part. crossbow, blowgun, spear gun, hand- Blasting agents. The term is defined thrown spear, sling-shot, irritant gas for the purposes of this part as it is de- device, explosive device, or any other fined in Title 18 U.S.C. 841. implement designed to discharge mis- siles; or a weapon, device, instrument, Controlled Substance. Any drug or material, or substance, animate or in- other substance, or immediate pre- animate, that is used for or is readily cursor that has been defined as a con- capable of, causing death or serious trolled substance in the Controlled bodily injury, including any weapon Substances Act (Title 21 U.S.C. 801 et the possession of which is prohibited seq.). under the laws of the State in which Explosives/Explosive Materials. The the Agency installation or portion term is defined for the purposes of this thereof is located; except that such part as it is defined in Title 18 U.S.C. term does not include a closing pocket 841. knife with a blade of less than 21⁄2 Operator. A person who operates, inches in length. drives, controls, or otherwise has charge of, or is in actual physical con- § 1903.2 Applicability. trol of a mechanical mode of transpor- The provisions of this part apply to tation or any other mechanical equip- all Agency installations, and to all per- ment. sons entering on to or when on an Permit. A written authorization to Agency installation. They supplement engage in uses or activities that are the provisions of Title 18, United otherwise prohibited, restricted, or reg- States Code, relating to crimes and ulated. criminal procedures, and those provi- Possession. Exercising direct physical sions of State law that are federal control or dominion, with or without criminal offenses by virtue of the As- ownership, over the property. similative Crimes Act, 18 U.S.C. 13. The State law. The applicable and non- Director of Central Intelligence, at his conflicting laws, statutes, regulations, discretion, may suspend the applica- ordinances, and codes of the State(s) bility of this part, or a portion thereof, and other political subdivision(s) with- on any Agency installation, or any por- in whose exterior boundaries an Agen- tion of the installation, covered under cy installation or a portion thereof is this part. Where necessary and when located. consistent with national security re- Traffic. Pedestrians, ridden or herded quirements notices will be posted on animals, vehicles, and other convey- the affected Agency installation to in- ances, either singly or together, while dicate that the applicability of this using any road, path, street, or other part or a portion thereof has been sus- thoroughfare for the purpose of travel. pended. Vehicles. Any vehicle that is self-pro- pelled or designed for self-propulsion, § 1903.3 State law applicable. any motorized vehicle, and any vehicle (a) Unless specifically addressed by drawn by or designed to be drawn by a the regulations in this part, traffic motor vehicle, including any device in, safety and the permissible use and op- upon, or by which any person or prop- eration of vehicles within an Agency erty is or can be transported or drawn installation are governed by State law. upon a roadway, highway, hallway, or State law that is now or may later be pathway; to include any device moved in effect is adopted and made a part of by human or animal power. Whether the regulations in this part.

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(b) Violating a provision of State law (2) The provisions or paragraph (b)(1) is prohibited. of this section shall also apply to an operator who is or has been legally en- § 1903.4 Vehicles and traffic safety. titled to use alcohol or another drug. (a) Open container of alcoholic bev- (3) Test. (i) At the request or direc- erage. (1) Each person within the vehi- tion of an authorized person who has cle is responsible for complying with probable cause to believe that an oper- the provisions of this section that per- ator of a vehicle within an Agency in- tain to carrying an open container. The stallation has violated a provision of operator of the vehicle is the person re- paragraph (b)(1) of this section, the op- sponsible for complying with the provi- erator shall submit to one or more sions of this section that pertain to the tests of blood, breath, saliva, or urine storage of an open container. for the purpose of determining blood (2) Carrying or storing a bottle, can, alcohol, drug, and controlled substance or other receptacle containing an alco- content. holic beverage that is open or has been (ii) Refusal by an operator to submit opened, or whose seal is broken, or the to a test is prohibited and may result contents of which have been partially in detention and citation by an author- removed, within a vehicle on an Agen- ized person. Proof of refusal many be cy installation is prohibited. admissible in any related judicial pro- (3) This section does not apply to: ceeding. (i) An open container stored in the (iii) Any test or tests for the presence trunk of a vehicle or, if a vehicle is not of alcohol, drugs, and controlled sub- equipped with a trunk, to an open container stored in some other portion of stances shall be determined by and ad- the vehicle designated for the storage ministered at the direction of an offi- of luggage and not normally occupied cer of the Security Protective Service. by or readily accessible to the operator (iv) Any test shall be conducted by or passenger; or using accepted scientific methods and (ii) An open container stored in the equipment of proven accuracy and reli- living quarters of a motor home or ability and operated by personnel cer- camper. tified in its use. (4) For the purpose of paragraph (4) Presumptive levels. (i) The results (a)(3)(i) of this section, a utility com- of chemical or other quantitative tests partment or glove compartment is are intended to supplement the ele- deemed to be readily accessible to the ments of probable cause used as the operator and passengers of a vehicle. basis for the arrest of an operator (b) Operating under the influence of al- charged with a violation of this sec- cohol, drugs, or controlled substances. (1) tion. If the alcohol concentration in Operating or being in actual physical the operator’s blood or breath at the control of a vehicle is prohibited while. time of the testing is less than the al- (i) Under the influence of alcohol, cohol concentration specified in para- drug or drugs, a controlled substance, graph (b)(1)(ii) of this section this fact or any combination thereof, to a degree does not give rise to any presumption that renders the operator incapable of that the operator is or is not under the safe operation; or influence of alcohol. (ii) The alcohol concentration in the (ii) The provisions of paragraph operator’s blood is 0.08 grams or more (b)(4)(i) of this section are not intended of alcohol per 100 milliliters of blood or to limit the introduction of any other 0.08 grams or more alcohol per 210 li- competent evidence bearing upon the ters of breath. Provided, however, that question of whether the operator, at if the applicable State law that applies the time of the alleged violation, was to operating a vehicle while under the under the influence of alcohol, a drug influence of alcohol establishes more or drugs, or a controlled substance, or restrictive limits of alcohol concentra- any combination thereof. tion in the operator’s blood or breath, those limits supersede the limits speci- [63 FR 44786, Aug. 21, 1998; 64 FR 27041, May fied in this section. 18, 1999]

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§ 1903.5 Enforcement of parking regu- (c) All personal property, including lations. but not limited to any packages, brief- (a) A vehicle parked in any location cases, other containers or vehicles without authorization, pursuant to a brought on to, on, or being removed fraudulent, fabricated, copied or al- from an Agency installation are sub- tered parking permit, or parked con- ject to inspection and search by au- trary to the directions of posted signs thorized persons. or markings, shall be subject to any (d) A full search of a person may ac- penalties imposed by this section and company an investigative stop or an the vehicle may be removal from the arrest. Agency installation a the owner’s risk (e) Persons entering on to an Agency and expense. The Central Intelligence installation or into a restricted area Agency assumes no responsibility for who refuse to permit an inspection and the payment of any fees or costs research will be denied further entry and lated to the removal and/or storage of will be ordered to leave the Agency in- the vehicle which may be charged to stallation or restricted area pursuant the owner of the vehicle by the towing to § 1903.7(a) of this part. (f) All persons entering on to or when organization. on any Agency installation shall com- (b) The use, attempted use or posses- ply with all official signs of a prohibi- sion of a fraudulent, fabricated, copied tory, regulatory, or directory nature at or altered parking permit is prohibited. all times while on the Agency installa- (c) The blocking of entrances, drive- tion. ways, sidewalks, paths, loading plat- (g) All persons entering on to or forms, or fire hydrants on an Agency when on any Agency installation shall installation is prohibited. comply with the instructions or direc- (d) This section may be supplemented tions of authorized persons. or the applicability suspended from time to time by the Director of the § 1903.7 Trespassing. Center for CIA Security, or by his or (a) Entering, or remaining on any her designee, by the issuance and post- Agency installation without proper au- ing of such parking directives as may thorization is prohibited. Failure to be required, and when so issued and obey an order to leave given under this posted, such directives shall the same section by an authorized person, or re- force and effects as if made a part entry or attempted reentry onto the thereof. Agency installation after being ordered (e) Proof that a vehicle was parked in to leave or after being instructed not violation of the regulations of this sec- to reenter by an authorized person tion or directives may be taken as under this section is also prohibited. prima facie evidence that the registered (b) Any person who violates the pro- owner was responsible for the viola- visions of this part may be ordered to tion. leave the Agency installation by an authorized person. A violator’s reentry § 1903.6 Admission on to an Agency in- may also be prohibited. stallation. (a) Access on to any Agency installa- § 1903.8 Interfering with Agency function shall be controlled and restricted tions. to ensure the orderly and secure con- The following are prohibited: duct of Agency business. Admission on (a) Interference. Threatening, resist- to an Agency installation or into a re- ing, intimidating, or intentionally stricted area on an Agency installation interfering with a government em- shall be limited to Agency employees ployee or agent engaged in an official and other persons with proper author- duty, or on account of the performance ization. of an official duty. (b) All persons entering on to or (b) Violation of a lawful order. Vio- when on an Agency installation shall, lating the lawful order of an authorized when required and/or requested, person to maintain order and control, produce and display proper identifica- public access and movement during fire tion to authorized persons. fighting operations, law enforcement

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actions, and emergency operations that purposes as determined by the Director involve a threat to public safety or of the Center for CIA Security; government resources, or other activi- (3) To the lawful performance of offi- ties where the control of public move- cial duties by an officer, agent, or em- ment and activities is necessary to ployee of the United States, a State, or maintain order and public health or a political subdivision thereof, who is safety. authorized by law to engage in or su- (c) False information. Knowingly giv- pervise the prevention, detection, in- ing false information: vestigation, or prosecution of any vio- (1) To an authorized person inves- lation of law; or tigating an accident or violation of law (4) To the possession of a weapon by or regulation; or a Federal official or a member of the (2) On an application for a permit. Armed Forces if such possession is au- (d) False report. Knowingly giving a thorized by law. false report for the purpose of mis- leading an authorized person in the § 1903.11 Restrictions on photographic, conduct of official duties, or making a transmitting, and recording equip- false report that causes a response by ment. the government to a fictitious event. (a) Except as otherwise authorized § 1903.9 Explosives. under this section, the following are prohibited on Agency installations: (a) Using, possessing, storing, or (1) Possessing a camera, other visual transporting explosives, blasting or audio recording devices, or elec- agents, ammunition or explosive materials is prohibited on any Agency in- tronic transmitting equipment of any stallation, except as authorized by the kind. Director of the Center for CIA Secu- (2) Carrying a camera, other visual or rity. When permitted, the use, posses- audio recording devices, or electronic sion, storage, and transportation shall transmitting equipment of any kind. be in accordance with applicable Fed- (3) Using a camera, other visual or eral and State laws, and shall also be audio recording devices, or electronic in accordance with applicable Central transmitting equipment of any kind. Intelligence Agency rules and/or regu- (b) This section does not apply to any lations. person using, possessing or storing a (b) Using, possessing, storing, or government or privately owned cel- transporting items intended to be used lular telephone or pager while on any to fabricate an explosive or incendiary Agency installation. The Central Intel- device, either openly or concealed, ex- ligence Agency may regulate or other- cept for official purposes is prohibited. wise administratively control cellular telephones and pagers outside the pro- § 1903.10 Weapons. visions of this part. (a) Except as provided in paragraph (c) This section does not apply to any (c) of this section, knowingly pos- officer, agent, or employee of the sessing or causing to be present a United States, a State, or a political weapon on an Agency installation, or subdivision thereof, who may enter on attempting to do so is prohibited. to an Agency installation to engage in (b) Knowingly possessing or causing or supervise the prevention, detection, to be present a weapon on an Agency investigation, or prosecution of any installation, incident to hunting or violation of law. other lawful purposes is prohibited. (d) This section does not apply to any (c) This section does not apply— person who has received approval from (1) Where Title 18 U.S.C. 930 applies; the Director of the Center for CIA Se- (2) To any person who has received curity, or from his or her designee to authorization from the Director of the Center for CIA Security, or from his or carry, transport, or use a camera, her designee to possess, carry, trans- other visual or audio recording devices, port, or use a weapon in support of the or electronic transmitting equipment Agency’s mission or for other lawful while on an Agency installation.

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§ 1903.12 Alcoholic beverages and con- time of day or night, and other factors trolled substance. that would govern the conduct of a rea- (a) Alcoholic beverages. The posses- sonable prudent person under the cir- sion, transportation of alcoholic bev- cumstances. erages in closed containers and their (d) Uses obscene language, an utter- consumption on an Agency installation ance, or gesture, or engages in a dis- will be administratively controlled by play or act that is obscene. the Agency outside the provisions of (e) Impedes or threatens the security this part. of persons or property, or disrupts the (b) Controlled substances. The fol- performance of official duties by em- lowing are prohibited on an Agency in- ployees, officers, contractors or visi- stallation: tors on an Agency installation or ob- (1) The delivery of a controlled sub- structs the use of areas on an Agency stance, except when distribution is installation such as entrances, foyers, made by a licensed physician or phar- lobbies, corridors, concourses, offices, macist in accordance with applicable elevators, stairways, roadways, drive- Federal or State law, or as otherwise ways, walkways, or parking lots. permitted by Federal or State law. For the purpose of this paragraph, delivery § 1903.15 Preservation of property. means the actual, attempt, or con- structive transfer of a controlled sub- The following are prohibited: stance. (a) Property Damage. Destroying or (2) The possession of a controlled sub- damaging private property. stance, unless such substance was ob- (b) Theft. The theft of private prop- tained by the possessor directly from, erty, except where Title 18 U.S.C. 661 or pursuant to a valid prescription or applies. ordered by, a licensed physician or (c) Creation of hazard. The creation of pharmacist, or as otherwise allowed by hazard to persons or things, the throw- Federal or State law. ing of articles of any kind from or at buildings, vehicles, or persons while on § 1903.13 Intoxicated on an Agency in- an Agency installation. stallation. (d) Improper disposal. The improper Presence on an Agency installation disposal of trash or rubbish while on an when under the influence of alcohol, a Agency installation. drug, or a controlled substance or a combination thereof to a degree that § 1903.16 Restriction on animals. interferes with, impedes or hinders the Animals, except for those animals performance of the official duties of any government employee, or damages used for the assistance of persons with government or personal property is disabilities, or animals under the prohibited. charge and control of the Central Intel- ligence Agency, shall not be brought § 1903.14 Disorderly conduct. onto an Agency installation for other than official purposes. A person commits disorderly conduct when, with intent to cause public § 1903.17 Soliciting, vending, and debt alarm, nuisance, jeopardy, or violence, collection. or knowingly or recklessly creating a risk thereof, such person commits any Commercial or political soliciting, of the following prohibited acts: vending of all kinds, displaying or dis- (a) Engages in fighting or threat- tributing commercial advertising, col- ening, or in violent behavior. lecting private debts or soliciting alms (b) Acts in a manner that is phys- on any Agency installation is prohib- ically threatening or menacing, or acts ited. This does not apply to: in a manner that is likely to inflict in- (a) National or local drives for funds jury or incite an immediate breach of for welfare, health, or other purposes peace. as authorized by Title 5 CFR parts 110 (c) Makes noises that are unreason- and 950 as amended and sponsored or able considering the nature and pur- approved by the Director of Central In- pose of the actor’s conduct, location, telligence, or by his or her designee.

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(b) Personal notices posted on au- SOURCE: 56 FR 41458, Aug. 21, 1991, unless thorized bulletin boards and in compli- otherwise noted. ance with Central Intelligence Agency rules governing the use of such author- § 1904.1 Scope and purpose. ized bulletin boards advertising to sell (a) This part sets forth the limits of or rent property of Central Intelligence authority of CIA personnel to accept Agency employees or their immediate service of process on behalf of the CIA families. or any CIA employee. (b) This part is intended to ensure § 1903.18 Distribution of materials. the orderly execution of the Agency’s Distributing, posting, or affixing ma- affairs and not to impede any legal pro- terials, such as pamphlets, handbills, ceeding. or flyers, on any Agency installation is (c) CIA regulations concerning em- prohibited except as authorized by ployee responses to demands for pro- § 1903.17(b), or by other authorization duction of official information in pro- from the Director of the Center for CIA ceedings before federal, state, or local Security, or from his or her designee. government entities are set out in part 1905 of this chapter. § 1903.19 Gambling. § 1904.2 Definitions. Gambling in any form, or the operation of gambling devices, is prohib- (a) Agency or CIA means the Central ited. This prohibition shall not apply Intelligence Agency and include all to the vending or exchange of chances staff elements of the Director of Cen- by licensed blind operators of vending tral Intelligence. facilities for any lottery set forth in a (b) Process means a summons, com- State law and authorized by the provi- plaint, subpoena, or other official paper sions of the Randolph-Sheppard Act (except garnishment orders) issued in (Title 20 U.S.C. 107 et seq.). conjunction with a proceeding or hearing being conducted by a federal, state, § 1903.20 Penalties and effects on or local governmental entity of com- other laws. petent jurisdiction. (a) Whoever shall be found guilty of (c) Employee means any CIA officer, violating any rule or regulation enu- any staff, contract, or other employee merated in this part is subject to the of CIA, any person including inde- penalties imposed by Federal law for pendent contractors associated with or the commission of a Class B mis- acting for or on behalf of CIA, and any demeanor offense. person formerly having such a relation- (b) Nothing in this part shall be con- ship with CIA. strued to abrogate or supersede any (d) General Counsel includes the Dep- other Federal law or any non-con- uty General Counsel or Acting General flicting State or local law, ordinance Counsel. or regulation applicable to any location where the Agency installation is § 1904.3 Procedures governing accept- situated. ance of service of process. (a) Service of Process Upon the CIA or PART 1904—PROCEDURES GOV- a CIA Employee in An Official Capacity— ERNING ACCEPTANCE OF SERV- (1) Personal service. Unless otherwise expressly authorized by the General ICE OF PROCESS Counsel, or designee, personal service of process may be accepted only by at- Sec. torneys of the Office of General Coun- 1904.1 Scope and purpose. 1904.2 Definitions. sel at CIA Headquarters in Langley, 1904.3 Procedures governing acceptance of Virginia. service of process. (2) Mail service. Where service of proc- 1904.4 Notification to CIA Office of General ess by registered or certified mail is Counsel. authorized by law, unless expressly di- 1904.5 Authority of General Counsel. rected otherwise by the General Coun- AUTHORITY: 50 U.S.C. 403g; 50 U.S.C. sel or designee, such process may only 403(d)(3); E.O. 12333 sections 1.8(h), 1.8(i), 3.2. be accepted by attorneys of the Office

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of General Counsel. Process by mail or rules applicable to the service of should be addressed as follows: Litiga- process. tion Division, Office of General Coun- sel, Central Intelligence Agency, Wash- § 1904.4 Notification to CIA Office of ington, DC 20505. General Counsel. (b) Service of Process Upon a CIA Em- A CIA employee who receives or has ployee Solely in An Individual Capacity— reason to expect service of process in (1) General. Consistent with section 6 of an individual, official, or combined in- the CIA Act of 1949, as amended, 50 dividual and official capacity, in a U.S.C. 403g, CIA will not provide the matter that may involve testimony or name or address of any current or the furnishing of documents and that former employee of CIA to individuals could reasonably be expected to in- or entities seeking to serve process volve Agency interests, shall promptly upon such employee solely in his or her notify the Litigation Division, Office of individual capacity, even where the General Counsel (703–874–3118). Such matter is related to CIA activities. notification should be given prior to (2) Personal Service. Subject to the providing the requestor, counsel or sole discretion of appropriate officials other representative any Agency infor- of the CIA, process servers generally mation, and prior to accepting service will not be allowed to enter CIA facili- of process. ties or premises for the purpose of serv- § 1904.5 Authority of General Counsel. ing process upon any CIA employee solely in his or her individual capacity. Any questions concerning interpreta- The Office of General Counsel is not tion of this regulation shall be referred authorized to accept service of process to the Office of General Counsel for res- on behalf of a CIA employee—except olution. the Director and Deputy Director of Central Intelligence—in his or her indi- PART 1905—PRODUCTION OF OFFI- vidual capacity. CIAL RECORDS OR DISCLOSURE (3) Mail Service. Unless otherwise ex- OF OFFICIAL INFORMATION IN pressly authorized by the General PROCEEDINGS BEFORE FEDERAL, Counsel, or designee, CIA personnel are STATE OR LOCAL GOVERN- not authorized to accept or forward MENTAL ENTITIES OF COMPETENT mailed service of process directed to any CIA employee in his or her indi- JURISDICTION vidual capacity. Any such process will Sec. be returned to the sender via appro- 1905.1 Scope and purpose. priate postal channels. 1905.2 Definitions. (c) Service of Process Upon a CIA Em- 1905.3 General. ployee in A Combined Official and Indi- 1905.4 Procedure for production. vidual Capacity. Unless expressly di- AUTHORITY: 5 U.S.C. 403(d)(3); 50 U.S.C. rected otherwise by the General Coun- 403g; United States ex rel. Touhy v. Ragen, sel, or designee, any process to be 340 U.S. 462 (1951); E.O. 12333 §§ 1.8(i), 1.5(h), served upon a CIA employee in his or 3.2; E.O. 12356; U.S. v. Snepp, 444 U.S. 507 her combined official and individual (1980). capacity, in person or by mail, can be SOURCE: 56 FR 41459, Aug. 21, 1991, unless accepted only by attorneys of the Of- otherwise noted. fice of General Counsel at CIA Head- quarters in Langley, Virginia. § 1905.1 Scope and purpose. (d) The documents for which service This part sets forth the policy and is accepted in official capacity only procedures with respect to the produc- shall be stamped ‘‘Service Accepted in tion or disclosure of (a) material con- Official Capacity Only.’’ Acceptance of tained in the files of CIA, (b) informa- service of process shall not constitute tion relating to or based upon material an admission or waiver with respect to contained in the files of CIA, and (c) in- jurisdiction, propriety of service, im- formation acquired by any person proper venue, or any other defense in while such person was an employee of law or equity available under the laws CIA as part of the performance of that

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person’s official duties or because of does not, and may not be relied upon that person’s association with CIA. to, create any right or benefit, substantive or procedural, enforceable by § 1905.2 Definitions. any party against the United States. For the purpose of this part: (a) CIA or Agency means the Central § 1905.4 Procedure for production. Intelligence Agency and includes all (a) Whenever a demand for produc- staff elements of the Director of Cen- tion is made upon an employee, the tral Intelligence. employee shall immediately notify the (b) Demand means any subpoena, Litigation Division, Office of General order, or other legal summons (except Counsel, Central Intelligence Agency, garnishment orders) that is issued by a Washington, DC 20505 (703/874–3118), federal, state, or local governmental which shall follow the procedures set entity of competent jurisdiction with the authority to require a response on forth in this section. a particular matter, or a request for (b) The General Counsel of CIA and appearance of an individual where a de- Deputy Directors or Heads of Inde- mand could issue. pendent Offices with responsibility for (c) Employee means any officer, any the information sought in the demand, staff, contract, or other employee of or their designees, shall determine CIA; any person including independent whether any information or materials contractors associated with or acting may properly be produced in response on behalf of CIA; and any person for- to the demand, except that the Office merly having such a relationship with of General Counsel may assert any and CIA. all legal defenses and objections to the (d) Production or produce means the demand available to CIA prior to the disclosure of: start of any search for information re- (1) Any material contained in the sponsive to the demand. CIA may, in files of CIA; or its sole discretion, decline to begin any (2) Any information relating to mate- search for information responsive to rial contained in the files of CIA, in- the demand until a final and non-ap- cluding but not limited to summaries pealable disposition of any such de- of such information or material, or fenses and objections raised by CIA has opinions based on such information or been made by the entity or person that material; or issued the demand. (3) Any information acquired by per- (c) CIA officials shall consider the sons while such persons were employ- following factors, among others, in ees of CIA as a part of the performance reaching a decision: of their official duties or because of (1) Whether production is appropriate their official status or association with in light of any relevant privilege; CIA; (2) Whether production is appropriate in response to a demand upon an em- under the applicable rules of discovery ployee of CIA. or the procedures governing the case or (e) General Counsel includes the Dep- matter in which the demand arose; and uty General Counsel or Acting General (3) Whether any of the following cir- Counsel. cumstances apply: § 1905.3 General. (i) Disclosure would violate a statute, (a) No employee shall produce any including but not limited to the Pri- materials or information in response to vacy Act of 1974, as amended, 5 U.S.C. a demand without prior authorization 552a; as set forth in this part. This part ap- (ii) Disclosure would be inconsistent plies to former employees to the extent with the statutory responsibility of the consistent with applicable nondisclo- Director of Central Intelligence to pro- sure agreements. tect intelligence sources and methods; (b) This part is intended only to pro- (iii) Disclosure would violate a spe- vide procedures for responding to de- cific CIA regulation or directive; mands for production of documents or (iv) Disclosure would reveal classified information, and is not intended to, information;

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(v) Disclosure would improperly re- such officials are authorized to dele- veal trade secrets or proprietary con- gate in writing their authority in any fidential information without the own- case or matter or category thereof to er’s consent; or subordinate officials. (vi) Disclosure would unduly inter- (i) Any nonemployee who receives a fere with the orderly conduct of CIA’s demand for the production or disclo- functions. sure of CIA information acquired be- (d) If oral or written testimony is cause of that person’s association or sought by a demand in a case or matter contacts with CIA should notify CIA’s in which the CIA is not a party, a rea- Office of General Counsel, Litigation sonably detailed description of the tes- Division (703/874–3118) for guidance and timony sought, in the form of an affi- assistance. In such cases the provisions davit or, if that is not feasible, a writ- of this regulation shall be applicable. ten statement, by the party seeking the testimony or by the party’s attor- PART 1906—ENFORCEMENT OF ney must be furnished to the CIA Office NONDISCRIMINATION ON THE of General Counsel. (e) The Office of General Counsel BASIS OF HANDICAP IN PRO- shall be responsible for notifying the GRAMS OR ACTIVITIES CON- appropriate employees and other per- DUCTED BY THE CENTRAL INTEL- sons of all decisions regarding re- LIGENCE AGENCY sponses to demands and providing advice and counsel as to the implementa- Sec. tion of such decisions. 1906.101 Purpose. (f) If response to a demand is required 1906.102 Application. before a decision is made whether to 1906.103 Definitions. provide the documents or information 1906.104–1906.109 [Reserved] sought by the demand, an attorney 1906.110 Self-evaluation. 1906.111 Notice. from the Office of General Counsel, 1906.112–1906.129 [Reserved] after consultation with the Depart- 1906.130 General prohibitions against dis- ment of Justice, shall appear before crimination. and furnish the court or other com- 1906.131–1906.139 [Reserved] petent authority with a copy of this 1906.140 Employment. Regulation and state that the demand 1906.141–1906.148 [Reserved] has been or is being, as the case may 1906.149 Program accessibility: Discrimina- be, referred for the prompt consider- tion prohibited. ation of the appropriate CIA officials, 1906.150 Program accessibility: Existing fa- and shall respectfully request the court cilities. or other authority to stay the demand 1906.151 Program accessibility: New construction and alterations. pending receipt of the requested in- 1906.152–1906.159 [Reserved] structions. 1906.160 Communications. (g) If the court or other authority de- 1906.161–1906.169 [Reserved] clines to stay the demand pending re- 1906.170 Compliance procedures. ceipt of instructions in response to a request made in accordance with AUTHORITY: 19 U.S.C. 794. § 1905.4(g), or rules that the demand SOURCE: 57 FR 39610, Sept. 1, 1992, unless must be complied with irrespective of otherwise noted. instructions rendered in accordance with this part not to produce the mate- § 1906.101 Purpose. rial or disclose the information sought, The purpose of this part is to effec- the employee upon whom the demand tuate section 119 of the Rehabilitation, has been made shall, if so directed by Comprehensive Services, and Develop- the General Counsel of CIA, or des- mental Disabilities Amendments of ignee, respectfully decline to comply 1978, which amended section 504 of the with the demand under the authority Rehabilitation Act of 1973 to prohibit of United States ex rel. Touhy v. Ragen, discrimination on the basis of handicap 340 U.S. 462 (1951), and this Regulation. in programs or activities conducted by (h) With respect to any function Executive agencies or the United granted to CIA officials in this part, States Postal Service.

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§ 1906.102 Application. scribe or identify (by name, if possible) This part applies to all programs or the alleged victims of discrimination. activities conducted by the Agency ex- Director means the Director of Cen- cept for programs or activities con- tral Intelligence or an official or em- ducted outside the United States that ployee of the Agency acting for the Di- do not involve handicapped persons in rector under a delegation of authority. the United States. This regulation will Facility means all or any portion of apply to the Agency only to the extent buildings, structures, equipment, consistent with the National Security roads, walks, parking lots, rolling Act of 1947 (50 U.S.C. 402 et seq.), as stock or other conveyances or other amended; the Central Intelligence real or personal property. Agency Act of 1949 (50 U.S.C. 403a et Individual with handicaps means any seq.), as amended; and other applicable person who has a physical or mental law. impairment that substantially limits one or more major life activities, has a § 1906.103 Definitions. record of such an impairment, or is re- For purposes of this part, the fol- garded as having such an impairment. lowing terms means— As used in this definition, the phrase— Assistant Attorney General means the (1) Physical or mental impairment in- Assistant Attorney General, Civil cludes— Rights Division, United States Depart- (i) Any physiological disorder or con- ment of Justice. dition, cosmetic disfigurement, or ana- Auxiliary aids means services or de- tomical loss affecting one or more of vices that enable persons with im- the following body systems: Cardio- paired sensory, manual, or speaking vascular; Neurological; musculo- skills to have an equal opportunity to skeletal; special sense organs; res- participate in, and enjoy the benefits piratory, including speech organs; re- of, programs or activities conducted by productive; digestive; genitourinary; the Agency. For example, auxiliary hemic and lymphatic; skin; and endo- aids useful for persons with impaired crine; or vision include readers, materials in (ii) Any mental or psychological dis- braille, audio recordings, and other order, such as mental retardation, or- similar services and devices. Auxiliary ganic brain syndrome, emotional or aids useful for persons with impaired mental illness, and specific learning hearing include telephone handset am- disabilities. The term ‘‘physical or plifiers, telephones compatible with mental impairment’’ includes, but is hearing aids, telecommunication de- not limited to, such diseases and condi- vices for deaf persons (TDD’s), inter- tions as orthopedic, visual, speech, and preters, notetakers, written materials, hearing impairments, cerebral palsy, and other similar services and devices. epilepsy, muscular dystrophy, multiple The Central Intelligence Agency may sclerosis, cancer, heart disease, diabe- prohibit from any of its facilities any tes, mental retardation, emotional ill- auxiliary aid, or category of auxiliary ness, drug addiction, and alcoholism. aid, that the Office of Security (OS) de- (2) Major life activities includes func- termines creates a security risk or po- tions such as caring for one’s self, per- tential security risk. OS reserves the forming manual tasks, walking, seeing, right to examine any auxiliary aid hearing, speaking, breathing, learning, brought into an Agency facility. and working; Complete complaint means a written (3) Has a record of such an impairment statement that contains the complain- means has a history of, or has been ant’s name and address and describes misclassified as having a mental or the Agency’s alleged discriminatory physical impairment that substantially action in sufficient detail to inform the limits one or more major life activi- Agency of the nature and date of the ties. alleged violation of section 504. It must (4) Is regarded as having an impairment be signed by the complainant or by means— someone authorized to do so on his or (i) Has a physical or mental impair- her behalf. Complaints filed on behalf ment that does not substantially limit of classes or third parties must de- major life activities but is treated by

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the Agency as constituting such a limi- may not meet the requirements of this tation; part, and to the extent modification of (ii) Has a physical or mental impair- any of those policies and practices is ment that substantially limits major required, the Agency shall proceed to life activities only as a result of the at- make the necessary modifications. titudes of others toward the impair- (b) The Agency shall provide an opment; or portunity to interested persons, includ- (iii) Has none of the impairments de- ing individuals with handicaps or orga- fined in paragraph (1) of this definition nizations representing individuals with but is treated by the Agency as having handicaps to participate in the self- such an impairment. evaluation process by submitting com- Qualified individual with handicaps ments (both oral and written). means— (c) The Agency shall, for at least 3 (1) With respect to any Agency pro- years following completion of the self- gram or activity under which a person evaluation, maintain on file, and make is required to perform services or to available for public inspection— achieve a level of accomplishment, an (1) A description of areas examined individual with handicaps who meets and any problems identified; and the essential eligibility requirements (2) A description of any modifications and who can achieve the purpose of the made. program or activity without modifications in the program or activity that § 1906.111 Notice. the Agency can demonstrate would re- The Agency shall make available, to sult in a fundamental alteration in its employees, applicants, participants, nature; beneficiaries, and other interested per- (2) With respect to any other Agency sons, such information regarding the program or activity, an individual with provisions of this part and its applica- handicaps who meets the essential eli- bility to the programs or activities gibility requirements for participation conducted by the Agency, and make in, or receipt of benefits from, that pro- that information available to them in gram or activity; and such manner as the Director finds nec- (3) Qualified handicapped person as essary to apprise those persons of the that term is defined for purposes of em- protections against discrimination as- ployment in 29 CFR 1613.702(f), which is sured them by section 504 and the regu- made applicable to this part by lations in this part. § 1906.140. Section 504 means section 504 of the §§ 1906.112–1906.129 [Reserved] Rehabilitation Act of 1973 (Pub. L. 93– 112, 87 Stat. 394 (29 U.S.C. 794)), as § 1906.130 General prohibitions amended by the Rehabilitation Act against discrimination. Amendments of 1974 (Pub. L. 93–516, 88 (a) No qualified individual with Stat. 1617); the Rehabilitation, Com- handicaps shall, on the basis of handi- prehensive Services, and Develop- cap, be excluded from participation in, mental Disabilities Amendments of be denied the benefits of, or otherwise 1978 (Pub. L. 95–002, 92 Stat. 2955); and be subjected to discrimination under, the Rehabilitation Act Amendments of any program or activity conducted by 1986 (Pub. L. 99–506, 100 Stat. 1810). As the Agency. used in this part, section 504 applies (b)(1) The Agency, in providing any only to programs or activities con- aid, benefit, or service, may not, di- ducted by the Agency and not to feder- rectly or through contractual, licens- ally assisted programs. ing, or other arrangements, on the basis of handicap: §§ 1906.104–1906.109 [Reserved] (i) Deny a qualified individual with handicap the opportunity to partici- § 1906.110 Self-evaluation. pate in or benefit from the aid, benefit, (a) The Agency shall, within one year or service; of the effective date of this part, evalu- (ii) Deny a qualified individual with ate its current policies and practices, handicaps an opportunity to obtain the and the effect thereof, that do not or same result, to gain the same benefit,

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to reach the same level of achievement (5) The Agency, in the selection of as that provided to others; procurement contractors, may not use (iii) Provide a qualified individual criteria that subject qualified individ- with handicaps with an aid, benefit, or uals with handicaps to discrimination service that is not as effective in af- on the basis of handicap. fording equal opportunity to obtain the (6) The Agency may not administer a same result, to gain the same benefit, licensing or certification program in a or to reach the same level of achieve- manner that subjects qualified individ- ment as that provided to others; uals with handicaps to discrimination (iv) Provide different or separate aid, on the basis of handicap, nor may the benefits, or services to individuals with Agency establish requirements for the handicaps or to any class of individuals programs or activities of licensees or with handicaps than is provided to oth- certified entities that subject qualified ers unless that action is necessary to individuals with handicaps to discrimi- provide qualified individuals with nation on the basis on handicap. How- handicaps with aid, benefits, or serv- ever, the programs or activities of enti- ices that are as effective as those pro- ties that are licensed or certified by vided to others; the Agency are not, themselves, cov- (v) Deny a qualified individual with ered by this part. handicaps the opportunity to partici- (c) The exclusion of nonhandicapped pate as a member of planning or advi- persons from the benefits or a program sory boards; or limited by Federal statute or Execu- (vi) Otherwise limit a qualified indi- tive Order to individuals with handi- vidual with handicaps in the enjoy- caps or the exclusion of a specific class ment of any right, privilege, advan- of individuals with handicaps from a tage, or opportunity enjoyed by others program limited by Federal statute or receiving the aid, benefit, or service. Executive Order to a different class of (2) The Agency may not deny a quali- individuals with handicaps is not pro- fied individual with handicaps the op- hibited by this part. portunity to participate in programs or (d) The Agency shall administer pro- activities that are not separate or dif- grams and activities in the most inte- ferent, despite the existence of permis- grated setting appropriate to the needs sibly separate or different programs or of qualified individuals with handicaps. activities. §§ 1906.131–1906.139 [Reserved] (3) The Agency may not, directly or through contractual or other arrange- § 1906.140 Employment. ments, utilize criteria or methods of No qualified individual with handi- administration the purpose or effect of caps shall, solely on the basis of handi- which would— cap, be subjected to discrimination in (i) Subject qualified individuals with employment under any program or ac- handicaps to discrimination on the tivity conducted by the Agency. The basis of handicap; or definitions, requirements, and proce- (ii) Defeat or substantially impair ac- dures of section 501 of the Rehabilita- complishment of the objectives of a tion Act of 1979 (29 U.S.C. 791), as estab- program or activity with respect to in- lished by the Equal Employment Op- dividuals with handicaps. portunity Commission in 29 CFR part (4) The Agency may not, in deter- 1613, shall apply to employment in fed- mining the site or location of a facil- erally conducted programs or activi- ity, make selections the purpose or ef- ties. fect of which would— (i) Exclude individuals with handi- §§ 1906.141–1906.148 [Reserved] caps from, deny them the benefits of, or otherwise subject them to discrimi- § 1906.149 Program accessibility: Dis- nation under, any program or activity crimination prohibited. conducted by the Agency; or Except as otherwise provided in (ii) Defeat or substantially impair § 1906.150, no qualified individual with the accomplishment of the objectives handicaps shall, because the Agency’s of a program or activity with respect facilities are inaccessible to or unus- to individuals with handicaps. able by individuals with handicaps, be

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denied the benefits of, be excluded from (2) The Agency is not required to participation in, or otherwise be sub- make structural changes in existing fa- jected to discrimination under any pro- cilities if other methods are effective gram or activity conducted by the in achieving compliance with this sec- Agency. tion. (3) The Agency, in making alter- § 1906.150 Program accessibility: Exist- ations to existing buildings, shall meet ing facilities. accessibility requirements to the ex- (a) General. The Agency shall operate tent compelled by the Architectural each program or activity so that the Barriers Act of 1968, as amended (42 program or activity, viewed in its en- U.S.C. 4151–4157), and any regulations tirety, is readily accessible to and usa- implementing that Act. ble by individuals with handicaps. This (4) In choosing among available program does not— methods for meeting the requirements (1) Necessarily require the Agency to of this section, the Agency shall give make each of its existing facilities ac- priority to those methods that offer cessible to and usable by individuals programs and activities to qualified in- with handicaps; dividuals with handicaps in the most (2)(i) Require the Agency to take any integrated setting appropriate. action that it can demonstrate would (c) Time period for compliance. The result in a fundamental alteration in Agency shall comply with the obliga- the nature of a program or activity or tions established under this section in undue financial and administrative within 60 days of the effective date of burdens. this part except that if structural (ii) The Agency has the burden of changes in facilities are undertaken, proving that compliance with the changes shall be made within 3 § 1906.150(a) would result in that alter- years of the effective date of this part, ation or those burdens. but in any event as expeditiously as (iii) The decision that compliance possible. would result in that alteration or those (d) Transition plan. (1) In the event burdens must be made by the Director that structural changes to facilities after considering all of the Agency’s re- will be undertaken to achieve program sources available for use in the funding accessibility, the Agency shall develop, and operation of the conducted pro- within 6 months of the effective date of gram or activity, and must be accom- this part, a transition plan setting panied by a written statement of the forth the steps necessary to complete reasons for reaching that conclusion. those changes. (iv) If an action would result in that (2) The Agency shall provide an op- alteration or those burdens, the Agen- portunity to interested persons, includ- cy shall take any other action that ing individuals with handicaps or orga- would not result in the alteration or nizations representing individuals with burdens but would nevertheless ensure handicaps, to participate in the devel- that individuals with handicaps receive opment of the transition plan by sub- the benefits and services of the pro- mitting comments (both oral and writ- gram or activity. ten). A copy of the transition plan (b) Methods. (1) The Agency may com- must be made available for public in- ply with the requirements of this sec- spection. tion through such means as redesign of (3) The plan must, at a minimum— equipment, reassignment of services to (i) Identify physical obstacles in the accessible buildings, assignment of Agency’s facilities that limit the ac- aides to beneficiaries, home visits, de- cessibility of its programs or activities livery of services at alternate acces- to individuals with handicaps; sible sites, alteration of existing facili- (ii) Describe in detail the methods ties and construction of new facilities, that will be used to make the facilities use of accessible rolling stock, or any accessible; other methods that result in making (iii) Specify the schedule for taking its programs or activities readily ac- the steps necessary to achieve compli- cessible to and usable by individuals ance with this section and, if the time with handicaps. period of the transition plan is longer

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than one year, identify steps that will bility shall be used at each primary en- be taken during each year of the tran- trance of an accessible facility. sition period; and (d) This section does not require the (iv) Indicate the official responsible Agency to take any action that it can for implementation of the plan. demonstrate would result in a fundamental alteration in the nature of a § 1906.151 Program accessibility: New program or activity or in undue finan- construction and alterations. cial and administrative burdens. In Each building or part of a building those circumstances where Agency per- that is constructed or altered by, on sonnel believe that the proposed action behalf of, or for the use of, the Agency would fundamentally alter the program shall be designed, constructed, or al- or activity or would result in undue fi- tered so as to be readily accessible to nancial and administrative burdens, and usable by individuals with handi- the Agency has the burden of proving caps. The definitions, requirements, that compliance with § 1906.160 would and standards of the Architectural Bar- result in such alteration or burdens. riers Act of 1968 (42 U.S.C. 4151–4175), as The decision that compliance would re- established in 41 CFR 101–19.600 to 101– sult in such alteration or burdens must 19–607, apply to buildings covered by be made by the Agency head or his or this section. her designee after considering all Agency resources available for use in §§ 1906.152–1906.159 [Reserved] the funding and operation of the conducted program or activity and must § 1906.160 Communications. be accompanied by a written statement (a) The Agency shall take appro- of the reasons for reaching that conclu- priate steps to ensure effective commu- sion. If an action required to comply nication with applicants, participants, with this section would result in such personnel of other Federal entities, and an alteration or such burdens, the members of the public as follows: Agency shall take any other action (1)(i) The Agency shall furnish appro- that would not result in such an alter- priate auxiliary aids if necessary to af- ation or such burdens but would never- ford an individual with handicaps an theless ensure that, to the maximum equal opportunity to participate in, extent possible, individuals with handi- and enjoy the benefits of, a program or caps receive the benefits and services activity conducted by the Agency. of the program or activity. (ii) In determining what type of auxiliary aid is necessary, the Agency §§ 1906.161–1906.169 [Reserved] shall give primary consideration to the requests of the individual with handi- § 1906.170 Compliance procedures. caps. (a) Except as provided in paragraph (2) Where the Agency communicates (b) of this section, this section applies with applicants and beneficiaries by to all allegations of discrimination on telephone, telecommunication devices the basis of handicap in programs and for deaf persons (TDD’s) or equally ef- activities conducted by the Agency. fective telecommunication systems (b) The Agency shall process com- shall be used to communicate with per- plaints alleging violations of section sons with impaired hearing. 504 with respect to employment accord- (b) The Agency shall ensure that in- ing to the procedures established by terested persons, including persons the Equal Employment Opportunity with impaired vision or hearing, can Commission in 29 CFR part 1613 pursu- obtain information as to the existence ant to section 501 of the Rehabilitation and location of accessible services, ac- Act of 1973 (29 U.S.C. 791). tivities, and facilities. (c) The Director, Office of Equal Em- (c) The Agency shall provide signage ployment Opportunity, is responsible at a primary entrance to each of its infor coordinating implementation of accessible facilities, directing users to this section. Complaints may be sent a location at which they can obtain in- to Central Intelligence Agency, Direc- formation about accessible facilities. tor, Office of Equal Employment Op- The international symbol for accessi- portunity, Washington, DC 20505.

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(d) The Agency shall accept and in- PART 1907—CHALLENGES TO vestigate all complete complaints for CLASSIFICATION OF DOCU- which it has jurisdiction. All complete MENTS BY AUTHORIZED HOLDERS complaints must be filed within 180 days of the alleged act of discrimina- PURSUANT TO § 1.9 OF EXECU- tion. The Agency may extend this time TIVE ORDER 12958 period for good cause. (e) If the Agency receives a com- GENERAL plaint over which it does not have ju- Sec. risdiction, it shall promptly notify the 1907.01 Authority and purpose. complainant and shall make reason- 1907.02 Definitions. able efforts to refer the complaint to 1907.03 Contact for general information and the appropriate government entity. requests. (f) The Agency shall notify the Archi- 1907.04 Suggestions and complaints. tectural and Transportation Barriers Compliance Board upon receipt of any FILING OF CHALLENGES complaint alleging that a building or 1907.11 Prerequisites. facility that is subject to the Architec- 1907.12 Requirements as to form. tural Barriers Act of 1968, as amended 1907.13 Identification of material at issue. (42 U.S.C. 4151–4157) is not readily ac- 1907.14 Transmission. cessible to and usable by individuals ACTION ON CHALLENGES with handicaps. (g) Within 180 days of the receipt of a 1907.21 Receipt, recording, and tasking. complete complaint for which it has ju- 1907.22 Challenges barred by res judicata. risdiction, The Agency shall notify the 1907.23 Response by originator(s) and/or any complainant of the results of the inves- interested party. tigation in a letter containing— 1907.24 Designation of authority to hear (1) Findings of fact and conclusions challenges. 1907.25 Action on challenge. of law; 1907.26 Notification of decision and prohibi- (2) A description of a remedy for each tion on adverse action. violation found; and (3) A notice of the right to appeal. RIGHT OF APPEAL (h) Appeals of the findings of fact and 1907.31 Right of appeal. conclusions of law or remedies must be filed by the complainant within 90 days AUTHORITY: Executive Order 12958, 60 FR of receipt from the Agency of the letter 19825, 3 CFR 1996 Comp., P. 333–356 (or suc- required by § 1906.170(g). The Agency cessor orders). may extend this time for good cause. SOURCE: 62 FR 32494, June 16, 1997, unless (i) Timely appeals shall be accepted otherwise noted. and processed by the Director. (j) The Agency shall notify the com- GENERAL plainant of the results of the appeal within 60 days of the receipt of the re- § 1907.01 Authority and purpose. quest. If the Agency determines that it (a) Authority. This Part is issued needs additional information from the under the authority of and in order to complainant, it shall have 60 days from implement § 1.9 of Executive Order the date it receives the additional in- (E.O.) 12958, sec. 102 of the National Se- formation to make its determination curity Act of 1947, and sec. 6 of the CIA on the appeal. Act of 1949. (k) The time limits cited in para- (b) Purpose. This part prescribes pro- graphs (g) and (j) of this section may be cedures for authorized holders of infor- extended with the permission of the mation classified under the various Assistant Attorney General. provisions of E.O. 12958, or predecessor (l) The Director may delegate the au- Orders, to seek a review or otherwise thority for conducting complaint in- challenge the classified status of infor- vestigations to other Federal agencies, mation to further the interests of the except that the authority for making United States Government. This part the final determination may not be and § 1.9 of E.O. 12958 confer no rights delegated. upon members of the general public, or

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authorized holders acting in their per- (h) Interested party means any official sonal capacity, both of whom shall con- in the executive, military, congres- tinue to request reviews of classifica- sional, or judicial branches of govern- tion under the mandatory declassifica- ment, United States or foreign, or U.S. tion review provisions set forth at § 3.6 Government contractor who, in the of E.O. 12958. sole discretion of the CIA, has a subject matter or physical interest in the doc- § 1907.02 Definitions. uments or information at issue; For purposes of this part, the fol- (i) Originator means the CIA officer lowing terms have the meanings as in- who originated the information at dicated: issue, or successor in office, or a CIA (a) Agency or CIA means the United officer who has been delegated declas- States Central Intelligence Agency sification authority for the informa- acting through the CIA Information tion at issue in accordance with the and Privacy Coordinator; provisions of this Order; (j) This Order means Executive Order (b) Authorized holders means any 12958 of April 17, 1995 and published at member of any United States executive 60 FR 19825–19843 (or successor Orders). department, military department, the Congress, or the judiciary (Article III) § 1907.03 Contact for general informa- who holds a security clearance from or tion and requests. has been specifically authorized by the For information on this part or to Central Intelligence Agency to possess file a challenge under this part, please and use on official business classified direct your inquiry to the Executive information, or otherwise has Con- Secretary, Agency Release Panel, Cen- stitutional authority pursuant to their tral Intelligence Agency, Washington, office; DC 20505. The commercial (non-secure) (c) Ddays means calendar days when telephone is (703) 613–1287; the classified the Agency is operating and specifi- (secure) telephone for voice and fac- cally excludes Saturdays, Sundays, and simile is (703) 613–3007. legal public holidays. Three (3) days may be added to any time limit im- § 1907.04 Suggestions and complaints. posed on a requester by this CFR Part The Agency welcomes suggestions or if responding by U.S. domestic mail; complaints with regard to its adminis- ten (10) days may be added if respond- tration of the Executive Order. Letters ing by international mail; of suggestion or complaint should iden- (d) Challenge means a request in the tify the specific purpose and the issues individual’s official, not personal, ca- for consideration. The Agency will re- pacity and in furtherance of the inter- spond to all substantive communica- ests of the United States; tions and take such actions as deter- (e) Control means ownership or the mined feasible and appropriate. authority of the CIA pursuant to federal statute or privilege to regulate of- FILING OF CHALLENGES ficial or public access to records; (f) Coordinator means the CIA Infor- § 1907.11 Prerequisites. mation and Privacy Coordinator acting The Central Intelligence Agency has in the capacity of Executive Secretary established liaison and procedures with of the Agency Release Panel; many agencies for declassification (g) Information means any knowledge issues. Prior to reliance on this Part, that can be communicated or documen- authorized holders are required to first tary material, regardless of its phys- exhaust such established administra- ical form, that is: tive procedures for the review of classi- (1) Owned by, produced by or for, or fied information. Further information under the control of the United States on these procedures is available from Government, and the point of contact, see 32 CFR 1907.03. (2) Lawfully and actually in the possession of an authorized holder and for § 1907.12 Requirements as to form. which ownership and control has not The challenge shall include identi- been relinquished by the CIA; fication of the challenger by full name

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and title of position, verification of se- to the authorized holder, and task the curity clearance or other basis of au- originator and other interested parties. thority, and an identification of the Additional taskings, as required during documents or portions of documents or the review process, shall be accom- information at issue. The challenge plished within five (5) days of notifica- shall also, in detailed and factual tion. terms, identify and describe the reasons why it is believed that the infor- § 1907.22 Challenges barred by res ju- mation is not protected by one or more dicata. of the § 1.5 provisions, that the release The Executive Secretary of the Agen- of the information would not cause cy Release Panel shall respond on be- damage to the national security, or half of the Panel and deny any chal- that the information should be declas- lenge where the information in ques- sified due to the passage of time. The tion has been the subject of a classi- challenge must be properly classified; fication review within the previous two in this regard, until the challenge is (2) years or is the subject of pending decided, the authorized holder must litigation in the federal courts. treat the challenge, the information being challenged, and any related or § 1907.23 Response by originator(s) explanatory information as classified and/or any interested party. at the same level as the current classi- (a) In general. The originator of the fication of the information in dispute. classified information (document) is a required party to any challenge; other § 1907.13 Identification of material at interested parties may become in- issue. volved through the request of the Exec- Authorized holders shall append the utive Secretary or the originator when documents at issue and clearly mark it is determined that some or all of the those portions subject to the challenge. information is also within their official If information not in documentary cognizance. form is in issue, the challenge shall (b) Determination. These parties shall state so clearly and present or other- respond in writing to the Executive wise refer with specificity to that in- Secretary of the Agency Release Panel formation in the body of the challenge. with a mandatory unclassified finding, to the greatest extent possible, and an § 1907.14 Transmission. optional classified addendum. This Authorized holders must direct chal- finding shall agree to a declassification lenge requests to the CIA as specified or, in specific and factual terms, ex- in § 1907.03. The classified nature of the plain the basis for continued classifica- challenge, as well as the appended doc- tion including identification of the cat- uments, require that the holder trans- egory of information, the harm to na- mit same in full accordance with estab- tional security which could be expected lished security procedures. In general, to result from disclosure, and, if older registered U.S. mail is approved for SE- than ten (10) years, the basis for the ex- CRET, non-compartmented material; tension of classification time under higher classifications require use of ap- §§ 1.6 and 3.4 of this Order. These par- proved Top Secret facsimile machines ties shall also provide a statement as or CIA-approved couriers. Further in- to whether or not there is any other formation is available from the CIA as statutory, common law, or Constitu- well as corporate or other federal agen- tional basis for withholding as required cy security departments. by § 6.1(c) of this Order. (c) Time. The determination(s) shall ACTION ON CHALLENGES be provided on a ‘‘first-in, first-out’’ basis with respect to all challenges § 1907.21 Receipt, recording, and pending under this section and shall be tasking. accomplished expeditiously taking into The Executive Secretary of the Agen- account the requirements of the au- cy Release Panel shall within ten (10) thorized holder as well as the business days record each challenge received requirements of the originator includ- under this Part, acknowledge receipt ing their responsibilities under the

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Freedom of Information Act, the Pri- the decision of the Agency to the au- vacy Act, or the mandatory declas- thorized holder, the originator, and sification review provisions of this other interested parties within ten (10) Order. days of the decision by the Panel or Board. That correspondence shall in- § 1907.24 Designation of authority to clude a notice that no adverse action hear challenges. or retribution can be taken in regard The Deputy Director for Administra- to the challenge and that an appeal of tion has designated the Agency Release the decision may be made to the Inter- Panel and the Historical Records Pol- agency Security Classification Appeals icy Board, established pursuant to 32 Panel (ISCAP) established pursuant to CFR 1900.41, as the Agency authority to § 5.4 of this Order. hear and decide challenges under these regulations. RIGHT OF APPEAL

§ 1907.25 Action on challenge. § 1907.31 Right of appeal. (a) Action by Agency Release Panel. A right of appeal is available to the The Executive Secretary shall place ISCAP established pursuant to § 5.4 of challenges ready for adjudication on this Order. Action by that body will be the agenda at the next occurring meet- the subject of rules to be promulgated ing of the Agency Release Panel. The by the Information Security Oversight Executive Secretary shall provide a Office (ISOO). summation memorandum for consideration of the members; the complete PART 1908—PUBLIC REQUESTS FOR package consisting of the challenge, MANDATORY DECLASSIFICATION the information at issue, and the find- REVIEW OF CLASSIFIED INFOR- ings of the originator and interested parties shall also be provided. The MATION PURSUANT TO § 3.6 OF Agency Release Panel shall meet and EXECUTIVE ORDER 12958 decide challenges sitting as a committee of the whole. Decisions are by GENERAL majority vote of those present at a Sec. meeting and shall be based on the writ- 1908.01 Authority and purpose. ten record and their deliberations; no 1908.02 Definitions. personal appearances shall be per- 1908.03 Contact for general information and mitted without the express permission requests. of the Panel. 1908.04 Suggestions and complaints. (b) Action by Historical Records Policy FILING OF MANDATORY DECLASSIFICATION Board. In any cases of divided vote by REVIEW (MDR) REQUESTS the ARP, any member of that body is 1908.11 Preliminary information. authorized to refer the request to the 1908.12 Requirements as to form. CIA Historical Records Policy Board 1908.13 Fees. which acts as the senior corporate board for the Agency. The record com- AGENCY ACTION ON MDR REQUESTS piled (the request, the memoranda filed 1908.21 Receipt, recording, and tasking. by the originator and interested par- 1908.22 Requests barred by res judicata. ties, and the previous decision(s)) as 1908.23 Determination by originator or in- well as any memorandum of law or pol- terested party. icy the referent desires to be consid- 1908.24 Notification of decision and right of ered, shall be certified by the Execu- appeal. tive Secretary of the Agency Release AGENCY ACTION ON MDR APPEALS Panel and shall constitute the official record of the proceedings and must be 1908.31 Requirements as to time and form. included in any subsequent filings. 1908.32 Receipt, recording, and tasking. 1908.33 Determination by Deputy Direc- § 1907.26 Notification of decision and tor(s). prohibition on adverse action. 1908.34 Establishment of appeals structure. 1908.35 Action by appeals authority. The Executive Secretary of the Agen- 1908.36 Notification of decision and right of cy Release Panel shall communicate further appeal.

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FURTHER APPEALS declassification review provisions of 1908.41 Right of further appeal. Executive Order 12958; (e) Federal agency means any execu- AUTHORITY: Executive Orders 12958, 60 FR 19825, 3 CFR 1996 Comp., p. 333–356 (or suc- tive department, military department, cessor Orders). or other establishment or entity included in the definition of agency in 5 SOURCE: 62 FR 32495, June 16, 1997, unless U.S.C. 552(f); otherwise noted. (f) Information means any knowledge GENERAL that can be communicated or documentary material, regardless of its phys- § 1908.01 Authority and purpose. ical form that is owned by, produced by (a) Authority. This part is issued or for, or under the control of the under the authority of and in order to United States Government; it does not implement § 3.6 of Executive Order include: (E.O.) 12958 (or successor Orders); the (1) Information within the scope of CIA Information Act of 1984 (50 U.S.C. the CIA Information Act, or 431); sec. 102 of the National Security (2) Information originated by the in- Act of 1947, as amended (50 U.S.C. 403); cumbent President, White House Staff, and sec. 6 of the CIA Act of 1949, as appointed committees, commissions or amended (5 U.S.C. 403g). boards, or any entities within the Ex- (b) Purpose. This part prescribes pro- ecutive Office that solely advise and cedures, subject to limitations set assist the incumbent President; forth below, for members of the public (g) Interested party means any official to request a declassification review of in the executive, military, congres- information classified under the var- sional, or judicial branches of govern- ious provisions of this or predecessor ment, United States or foreign, or U.S. Orders. Section 3.6 of E.O. 12958 and Government contractor who, in the these regulations do not create any sole discretion of the CIA, has a subject right or benefit, substantive or proce- matter or physical interest in the doc- dural, enforceable at law by a party uments or information at issue; against the United States, its agencies, (h) NARA means the National Ar- officers, or employees. chives and Records Administration; (i) Originator means the CIA officer § 1908.02 Definitions. who originated the information at For purposes of this part, the fol- issue, or successor in office, or a CIA lowing terms have the meanings as in- officer who has been delegated declas- dicated: sification authority for the informa- (a) Agency or CIA means the United tion at issue in accordance with the States Central Intelligence Agency provisions of this Order; acting through the CIA Information (j) Presidential libraries means the li- and Privacy Coordinator; braries or collection authorities estab- (b) Days means calendar days when lished by statute to house the papers of the Agency is operating and specifi- former Presidents Hoover, Roosevelt, cally excludes Saturdays, Sundays, and Truman, Eisenhower, Kennedy, Nixon, legal public holidays. Three (3) days Ford, Carter, Reagan, Bush and similar may be added to any time limit im- institutions or authorities as may be posed on a requester by this part if re- established in the future; sponding by U.S. domestic mail; ten (k) Referral means coordination with (10) days may be added if responding by or transfer of action to an interested international mail; party; (c) Control means ownership or the (l) This Order means Executive Order authority of the CIA pursuant to Fed- 12958 of April 17, 1995 and published at eral statute or privilege to regulate of- 60 FR 19825–19843 (or successor Orders); ficial or public access to records; (d) Coordinator means the CIA Infor- § 1908.03 Contact for general informa- mation and Privacy Coordinator who tion and requests. serves as the Agency manager of the For general information on this Part information review and release pro- or to request a declassification review, gram instituted under the mandatory please direct your communication to

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the Information and Privacy Coordi- fying information when required by the nator, Central Intelligence Agency, Agency to satisfy requirements of this Washington, DC 20505. Such inquiries part. will also be accepted by facsimile at (703) 613–3007. For general or status in- § 1908.13 Fees. formation only, the telephone number Requests submitted via NARA or the is (703) 613–1287. Collect calls cannot be various Presidential libraries shall be accepted. responsible for reproduction costs required by statute or regulation. Re- § 1908.04 Suggestions and complaints. quests made directly to this Agency The Agency welcomes suggestions or will be liable for costs in the same complaints with regard to its adminis- amount and under the same conditions tration of the mandatory declassifica- as specified in 32 CFR part 1900. tion review program established under Executive Order 12958. Many requesters AGENCY ACTION ON MDR REQUESTS will receive pre-paid, customer satisfaction survey cards. Letters of sugges- § 1908.21 Receipt, recording, and tion or complaint should identify the tasking. specific purpose and the issues for con- The Information and Privacy Coordi- sideration. The Agency will respond to nator shall within ten (10) days record all substantive communications and each mandatory declassification review take such actions as determined fea- request received under this part, ac- sible and appropriate. knowledge receipt to the requester in writing (if received directly from a re- FILING OF MANDATORY DECLASSIFICA- quester), and shall thereafter task the TION REVIEW (MDR) REQUESTS originator and other interested parties. Additional taskings, as required during § 1908.11 Preliminary information. the review process, shall be accom- Members of the public shall address plished within ten (10) days of notifica- all communications to the point of tion. contact specified above and clearly delineate the communication as a request § 1908.22 Requests barred by res judi- under this regulation. Requests and ap- cata. peals on requests received from mem- The Coordinator shall respond to the bers of the public who owe outstanding requester and deny any request where fees for information services under this the information in question has been Order or the Freedom of Information the subject of a classification review Act at this or another federal agency within the previous two (2) years or is will not be accepted until such debts the subject of pending litigation in the are resolved. federal courts.

§ 1908.12 Requirements as to form. § 1908.23 Determination by originator The request shall identify the docu- or interested party. ment(s) or material(s) with sufficient (a) In general. The originator of the specificity (e.g., National Archives and classified information (document) is a Records Administration (NARA) Docu- required party to any mandatory de- ment Accession Number or other appli- classification review request; other in- cable, unique document identifying terested parties may become involved number) to enable the Agency to locate through a referral by the Coordinator it with reasonable effort. Broad or top- when it is determined that some or all ical requests for records on a particular of the information is also within their subject may not be accepted under this official cognizance. provision. A request for documents (b) Required determinations. These par- contained in the various Presidential ties shall respond in writing to the Co- libraries shall be effected through the ordinator with a finding as to the clas- staff of such institutions who shall for- sified status of the information includ- ward the document(s) in question for ing the category of protected informa- Agency review. The requester shall tion as set forth in § 1.5 of this Order, also provide sufficient personal identi- and, if older than ten (10) years, the

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basis for the extension of classification parties may become involved through time under §§ 1.6 and 3.4 of this Order. the request of the Coordinator when it These parties shall also provide a is determined that some or all of the statement as to whether or not there is information is also within their official any other statutory, common law, or cognizance. These parties shall respond Constitutional basis for withholding as in writing to the Coordinator with a required by § 6.1(c) of this Order. finding as to the classified status of the (c) Time. This response shall be pro- information including the category of vided expeditiously on a ‘‘first-in, first- protected information as set forth in out’’ basis taking into account the § 1.5 of this Order, and, if older than ten business requirements of the originator (10) years, the basis for continued clas- or interested parties and consistent sification under §§ 1.6 and 3.4 of this with the information rights of mem- Order. These parties shall also provide bers of the general public under the a statement as to whether or not there Freedom of Information Act and the is any other statutory, common law, or Privacy Act. Constitutional basis for withholding as § 1908.24 Notification of decision and required by § 6.1(c) of this Order. This right of appeal. response shall be provided expeditiously on a ‘‘first-in, first-out’’ basis The Coordinator shall communicate the decision of the Agency to the re- taking into account the business requester within ten (10) days of comple- quirements of the parties and con- tion of all review action. That cor- sistent with the information rights of respondence shall include a notice of a members of the general public under right of administrative appeal to the the Freedom of Information Act and Agency Release Panel pursuant to the Privacy Act. § 3.6(d) of this Order. § 1908.34 Establishment of appeals AGENCY ACTION ON MDR APPEALS structure. (a) In general. Two administrative en- § 1908.31 Requirements as to time and tities have been established by the Di- form. rector of Central Intelligence to facili- Appeals of decisions must be received tate the processing of administrative by the Coordinator within forty-five appeals under the mandatory declas- (45) days of the date of mailing of the sification review provisions of this Agency’s initial decision. It shall iden- Order. Their membership, authority, tify with specificity the documents or and rules of procedure are as follows. information to be considered on appeal (b) Historical Records Policy Board and it may, but need not, provide a fac- (‘‘HRPB’’ or ‘‘Board’’). This Board, the tual or legal basis for the appeal. successor to the CIA Information Re- § 1908.32 Receipt, recording, and view Committee, acts as the senior cor- tasking. porate board in the CIA on all matters of information review and release. It is The Coordinator shall promptly record each appeal received under this composed of the Executive Director, part, acknowledge receipt to the re- who serves as its Chair, the Deputy Di- quester, and task the originator and rector for Administration, the Deputy other interested parties. Additional Director for Intelligence, the Deputy taskings, as required during the review Director for Operations, the Deputy Di- process, shall be accomplished within rector for Science and Technology, the ten (10) days of notification. General Counsel, the Director of Con- gressional Affairs, the Director of the § 1908.33 Determination by Deputy Di- Public Affairs Staff, the Director, Cen- rector(s). ter for the Study of Intelligence, and Each Deputy Director in charge of a the Associate Deputy Director for Ad- directorate which originated or has an ministration/Information Services, or interest in any of the records subject their designees. The Board, by major- to the appeal, or designee, is a required ity vote, may delegate to one or more party to any appeal; other interested of its members the authority to act on

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any appeal or other matter or author- mandatory declassification review re- ize the Chair to delegate such author- quests ready for adjudication on the ity, as long as such delegation is not to agenda at the next occurring meeting the same individual or body who made of the Agency Release Panel. The Exec- the initial denial. The Executive Sec- utive Secretary shall provide a summa- retary of the HRPB is the Director, In- tion memorandum for consideration of formation Management. The Chair may the members, the complete record of request interested parties to partici- the request consisting of the request, pate when special equities or expertise the document(s) (sanitized and full are involved. text) at issue, and the findings of the (c) Agency Release Panel (‘‘ARP’’ or originator and interested parties. The ‘‘Panel’’). The HRPB, pursuant to its Panel shall meet and decide requests delegation of authority, has estab- sitting as a committee of the whole. lished a subordinate Agency Release Decisions are by majority vote of those Panel. This Panel is composed of the present at a meeting and shall be based Director, Information Management, on the written record and their delib- who serves as its Chair; the Informa- erations; no personal appearances shall tion Review Officers from the Direc- be permitted without the express per- torates of Administration, Intel- mission of the Panel. ligence, Operations, Science and Tech- (b) Action by Historical Records Policy nology, and the Director of Central In- Board. In any cases of divided vote by telligence Area; the CIA Information the ARP, any member of that body is and Privacy Coordinator; the Chief, authorized to refer the request to the Historical Review Group; the Chair, CIA Historical Records Policy Board Publications Review Board; the Chief, which acts as the senior corporate Records Declassification Program; and board for the Agency. The record com- representatives from the Offices of piled (the request, the memoranda filed General Counsel and Congressional Af- by the originator and interested par- fairs, and the Public Affairs Staff. The ties, and the previous decision(s)) as Information and Privacy Coordinator well as any memorandum of law or pol- also serves as the Executive Secretary icy the referent desires to be consid- of the Panel. The Panel advises and as- ered, shall be certified by the Execu- sists the HRPB on all information re- tive Secretary of the Agency Release lease issues, monitors the adequacy Panel and shall constitute the official and timeliness of Agency releases, sets record of the proceedings and must be component search and review prior- included in any subsequent filings. ities, reviews adequacy of resources available to and planning for all Agen- § 1908.36 Notification of decision and cy release programs, and performs such right of further appeal. other functions as deemed necessary by The Coordinator shall communicate the Board. The Chair may request in- the decision of the Panel or Board to terested parties to participate when the requester, NARA, or the particular special equities or expertise are in- Presidential Library within ten (10) volved. The Panel, functioning as a days of such decision. That correspond- committee of the whole or through in- ence shall include a notice that an ap- dividual members, will make final peal of the decision may be made to the Agency decisions from appeals of ini- Interagency Security Classification tial denial decisions under E.O. 12958. Appeals Panel (ISCAP) established pur- Issues not resolved by the Panel will be suant to § 5.4 of this Order. referred by the Panel to the HRPB. Matters decided by the Panel or Board FURTHER APPEALS will be deemed a final decision by the Agency. § 1908.41 Right of further appeal. A right of further appeal is available § 1908.35 Action by appeals authority. to the ISCAP established pursuant to (a) Action by Agency Release Panel. § 5.4 of this Order. Action by that Panel The Coordinator, in his or her capacity will be the subject of rules to be pro- as Executive Secretary of the Agency mulgated by the Information Security Release Panel, shall place appeals of Oversight Office (ISOO).

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PART 1909—ACCESS BY HISTOR- (a) Agency or CIA means the United ICAL RESEARCHERS AND States Central Intelligence Agency FORMER PRESIDENTIAL AP- acting through the CIA Information POINTEES PURSUANT TO § 4.5 OF and Privacy Coordinator; EXECUTIVE ORDER 12958 (b) Agency Release Panel or Panel or ARP means the CIA Agency Release

GENERAL Panel established pursuant to 32 CFR 1900.41; Sec. 1909.01 Authority and purpose. (c) Days means calendar days when 1909.02 Definitions. the Agency is operating and specifi- 1909.03 Contact for general information and cally excludes Saturdays, Sundays, and requests. legal public holidays. Three (3) days 1909.04 Suggestions and complaints. may be added to any time limit im- REQUESTS FOR HISTORICAL ACCESS posed on a requester by this part if responding by U.S. domestic mail; ten 1909.11 Requirements as to who may apply. 1909.12 Designations of authority to hear re- (10) days may be added if responding by quests. international mail; 1909.13 Receipt, recording, and tasking. (d) Control means ownership or the 1909.14 Determinations by tasked officials. authority of the CIA pursuant to fed- 1909.15 Action by hearing authority. eral statute or privilege to regulate of- 1909.16 Action by appeal authority. 1909.17 Notification of decision. ficial or public access to records; 1909.18 Termination of access. (e) Coordinator means the CIA Infor- mation and Privacy Coordinator who AUTHORITY: Executive Order 12958, 60 FR 19825. 3 CFR 1996 Comp., p. 333–356 (or suc- serves as the Agency manager of the cessor Orders). historical access program established pursuant to § 4.5 of this Order; SOURCE: 62 FR 32498, June 16, 1997, unless otherwise noted. (f) Director, Center for the Study of In- telligence or ‘‘D/CSI’’ means the Agency GENERAL official responsible for the management of the CIA’s various historical § 1909.01 Authority and purpose. programs including the management of (a) AUTHORITY. This part is issued access granted under this section; under the authority of and in order to (g) Director of Personnel Security implement § 4.5 of Executive Order means the Agency official responsible 12958 (or successor Orders); the CIA In- for making all security and access ap- formation Act of 1984 (50 U.S.C. 431); provals and for effecting the necessary sec. 102 of the National Security Act of non-disclosure and/or pre-publication 1947, as amended (50 U.S.C. 403); and agreements as may be required; sec. 6 of the Central Intelligence Agen- (h) Federal agency means any execu- cy Act of 1949, as amended (50 U.S.C. tive department, military department, 403g). or other establishment or entity in- (b) Purpose. (1) This part prescribes cluded in the definition of agency in 5 procedures for: (i) Requesting access to CIA records U.S.C. 552(f); for purposes of historical research, or (i) Former Presidential appointee (ii) Requesting access to CIA records means any person who has previously as a former Presidential appointee. occupied a policy-making position in (2) Section 4.5 of Executive Order the executive branch of the United 12958 and these regulations do not cre- States Government to which they were ate any right or benefit, substantive or appointed by the current or former procedural, enforceable at law by a President and confirmed by the United party against the United States, its States Senate; agencies, officers, or employees. (j) Historian or historical researcher means any individual with professional § 1909.02 Definitions. training in the academic field of his- For purposes of this part, the fol- tory (or related fields such as jour- lowing terms have the meanings indi- nalism) engaged in a research project cated: leading to publication (or any similar

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activity such as academic course devel- REQUESTS FOR HISTORICAL ACCESS opment) reasonably intended to increase the understanding of the Amer- § 1909.11 Requirements as to who may ican public into the operations and ac- apply. tivities of the United States govern- (a) Historical researchers—(1) In gen- ment; eral. Any historian engaged in a histor- (k) Information means any knowledge ical research project as defined above that can be communicated or documen- may submit a request in writing to the tary material, regardless of its phys- Coordinator to be given access to clas- ical form that is owned by, produced by sified information for purposes of that or for, or is under the control of the research. Any such request shall indi- United States Government; cate the nature, purpose, and scope of (l) Interested party means any official the research project. in the executive, military, congres- (2) Additional considerations. In light sional, or judicial branches of govern- of the very limited resources for the ment, United States or foreign, or U.S. Agency’s various historical programs, Government contractor who, in the it is the policy of the Agency to con- sole discretion of the CIA, has a subject sider applications for historical re- matter or physical interest in the doc- search privileges only in those in- uments or information at issue; stances where the researcher’s needs (m) Originator means the CIA officer cannot be satisfied through requests who originated the information at for access to reasonably described issue, or successor in office, or a CIA records under the Freedom of Informa- officer who has been delegated declas- tion Act or the mandatory declassifica- sification authority for the information review provisions of Executive tion at issue in accordance with the Order 12958 and where issues of internal provisions of this Order; resource availability and fairness to all (n) This Order means Executive Order members of the historical research 12958 of April 17 1995 and published at 60 community militate in favor of a par- FR 19825-19843 (or successor Orders). ticular grant. (b) Former Presidential appointees. Any § 1909.03 Contact for general informa- former Presidential appointee as de- tion and requests. fined herein may also submit a request For general information on this Part, to be given access to any classified to inquire about historical access to records which they originated, re- CIA records, or to make a formal reviewed, signed, or received while serv- quest for such access, please direct ing in that capacity. Such appointees your communication in writing to the may also request approval for a re- Information and Privacy Coordinator, search associate but there is no entitle- Central Intelligence Agency, Wash- ment to such enlargement of access ington, DC. 20505. Inquiries will also be and the decision in this regard shall be accepted by facsimile at (703) 613–3007. in the sole discretion of the Agency. For general information only, the tele- Requests from appointees shall be in phone number is (703) 613–1287. Collect writing to the Coordinator and shall calls cannot be accepted. identify the records of interest.

§ 1909.04 Suggestions and complaints. § 1909.12 Designations of authority to The Agency welcomes suggestions or hear requests. complaints with regard to its adminis- The Deputy Director for Administra- tration of the historical access pro- tion has designated the Coordinator, gram established pursuant to Execu- the Agency Release Panel, and the His- tive Order 12958. Letters of suggestion torical Records Policy Board, estab- or complaint should identify the spe- lished pursuant to 32 CFR 1900.41, as cific purpose and the issues for consid- the Agency authorities to decide re- eration. The Agency will respond to all quests for historical and former Presi- substantive communications and take dential appointee access under Execu- such actions as determined feasible and tive Order 12958 (or successor Orders) appropriate. and these regulations.

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§ 1909.13 Receipt, recording, and (5) That the information requested is tasking. reasonably accessible and can be lo- The Information and Privacy Coordi- cated and compiled with a reasonable nator shall within ten (10) days record effort (by D/CSI and originator); each request for historical access re- (6) That it is reasonably expected ceived under this Part, acknowledge re- that substantial and substantive gov- ceipt to the requester in writing and ernment documents and/or information take the following action: will be amenable to declassification and release and/or publication (by D/ (a) Compliance with general require- CSI and originator); ments. The Coordinator shall review (7) That sufficient resources are each request under this part and deter- available for the administrative sup- mine whether it meets the general report of the researcher given current quirements as set forth in 32 CFR mission requirements (by D/CSI and 1909.11; if it does not, the Coordinator originator); and, shall so notify the requester and ex- (8) That the request cannot be satis- plain the legal basis for this decision. fied to the same extent through re- (b) Action on requests meeting general quests for access to reasonably de- requirements. For requests which meet scribed records under the Freedom of the requirements of 32 CFR 1909.11, the Information Act or the mandatory de- Coordinator shall thereafter task the classification review provisions of Ex- D/CSI, the originator(s) of the mate- ecutive Order 12958 (by Coordinator, D/ rials for which access is sought, and CSI and originator). other interested parties. Additional (b) Time. These responses shall be taskings, as required during the review provided expeditiously on a ‘‘first-in, process, shall be accomplished within first-out’’ basis taking into account ten (10) days of notification. the business requirements of the tasked offices and consistent with the § 1909.14 Determinations by tasked of- information rights of members of the ficials. general public under the Freedom of (a) Required determinations. The Information Act and the Privacy Act. tasked parties as specified below shall The Agency will utilize its best efforts respond in writing to the Coordinator to complete action on requests under with recommended findings to the fol- this part within thirty (30) days of date lowing issues: of receipt. (1) That a serious professional or scholarly research project by the re- § 1909.15 Action by hearing authority. quester is contemplated (by D/CSI); Action by Agency Release Panel. The (2) That such access is clearly con- Coordinator, in his or her capacity as sistent with the interests of national Executive Secretary of the Agency Re- security (by originator and interested lease Panel, shall place historical ac- party, if any); cess requests ready for adjudication on (3) That a non-disclosure agreement the agenda at the next occurring meet- has been or will be executed by the re- ing of the Agency Release Panel. The quester (or research associate, if any) Executive Secretary shall provide a and other appropriate steps have been summation memorandum for consider- taken to assure that classified informa- ation of the members, the complete tion will not be disclosed or otherwise record of the request consisting of the compromised (by Director of Personnel request and the findings of the tasked Security and representative of the Of- parties. The Panel shall meet and de- fice of General Counsel); cide requests sitting as a committee of (4) That a pre-publication agreement the whole on the basis of the eight fac- has been or will be executed by the re- tors enumerated at 32 CFR 1909.14(a). quester (or research associate, if any) Decisions are by majority vote of those which provides for a review of notes present at a meeting and shall be based and any resulting manuscript (by Di- on the written record and their delib- rector of Personnel Security and rep- erations; no personal appearances shall resentative of the Office of General be permitted without the express per- Counsel); mission of the Panel.

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§ 1909.16 Action by appeal authority. Personnel Security cancels the secu- In any cases of divided vote by the rity clearance of a requester (or re- ARP, any member of that body is au- search associate, if any) or whenever thorized to refer the request to the CIA the Agency Release Panel determines Historical Records Policy Board which that continued access would not be in acts as the senior corporate board for compliance with one or more of the re- the Agency. The record compiled (the quirements of 32 CFR 1909.14(a). request, the memoranda filed by the originator and interested parties, and PART 1910—DEBARMENT AND the previous decision(s)) as well as any SUSPENSION PROCEDURES memorandum of law or policy the referent desires to be considered, shall be certified by the Executive Secretary of Sec. 1910.1 General. the Agency Release Panel and shall constitute the official record of the AUTHORITY: 50 U.S.C. 401–442; 50 U.S.C. proceedings and must be included in 403a–403u; 48 CFR ch. 1, subpart 9.4. any subsequent filings. In such cases, the factors to be determined as speci- § 1910.1 General. fied in 32 CFR 1909.14(a) will be consid- The Central Intelligence Agency ered by the Board de novo and that de- (CIA), in accordance with its authori- cision shall be final. ties under the Central Intelligence § 1909.17 Notification of decision. Agency Act of 1949, as amended, and the National Security Act of 1947, as The Coordinator shall inform the re- amended, has an established debarment quester of the decision of the Agency and suspension process in accordance Release Panel or the Historical with subpart 9.402(d) of the Federal Ac- Records Policy Board within ten (10) days of the decision and, if favorable, quisition Regulation (FAR). This proc- shall manage the access for such period ess and the causes for debarment and as deemed required but in no event for suspension are consistent with those more than two (2) years unless renewed found in FAR 9.406 and 9.407. The rights by the Panel or Board in accordance of CIA contractors in all matters in- with the requirements of 32 CFR volving debarment and suspension are 1909.14(a). hereby governed by the provisions of subpart 9.4 of the FAR. § 1909.18 Termination of access. [69 FR 63064, Oct. 29, 2004] The Coordinator shall cancel any authorization whenever the Director of

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Part Page 2000 Administrative procedures [Reserved] 2001 Classified national security information ...... 495 2003 National security information—standard forms ..... 530 2004 National industrial security program directive No. 1 ...... 537

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to the process of making an original which coincides with the lapse of the classification decision. There is no re- information’s national security sensi- quirement, at the time of the decision, tivity, and shall assign such date or for the original classification author- event as the declassification instruc- ity to prepare a written description of tion. such damage. However, the original (ii) If unable to determine a date or classification authority must be able event of less than 10 years, the original to support the decision in writing, in- classification authority shall ordi- cluding identifying or describing the narily assign a declassification date damage, should the classification deci- that is 10 years from the date of the sion become the subject of a challenge original classification decision. or access demand. (iii) If unable to determine a date or (d) Declassification without proper au- event of 10 years, the original classi- thority. Classified information that has fication authority shall assign a de- been declassified without proper au- classification date not to exceed 25 thority remains classified. Administra- years from the date of the original tive action shall be taken to restore classification decision. markings and controls, as appropriate. (2) Extending duration of classification for information originally classified under § 2001.11 Classification authority [1.3]. the Order. Extensions of classification (a) General. Agencies with original are not automatic. If an original classi- classification authority shall establish fication authority with jurisdiction a training program for original classi- over the information does not extend fiers in accordance with subpart F of the classification of information as- this part. signed a date or event for declassifica- (b) Requests for original classification tion, the information is automatically authority. Agencies not possessing such declassified upon the occurrence of the authority shall forward requests to the date or event. If an original classifica- Director of the Information Security tion authority has assigned a date or Oversight Office (ISOO). The agency event for declassification that is less head must make the request and shall than 25 years from the date of classi- provide a specific justification of the fication, an original classification au- need for this authority. The Director of thority with jurisdiction over the in- ISOO shall forward the request, along formation may extend the classifica- with the Director’s recommendation, tion duration of such information for a to the President through the Assistant period not to exceed 25 years from the to the President for National Security date of origination. Affairs within 30 days. Agencies wish- (i) For information in records deter- ing to increase their assigned level of mined to have permanent historical original classification authority shall value, successive extensions may not forward requests in accordance with exceed a total of 25 years from the date the procedures of this section. of the information’s origin. Continued classification of this information be- § 2001.12 Duration of classification yond 25 years is governed by section 3.3 [1.5]. of the Order. (a) Determining duration of classifica- (ii) For information in a file series of tion for information originally classified records determined not to have perma- under the Order—(1) Establishing dura- nent historical value, the duration of tion of classification. When determining classification beyond 25 years shall be the duration of classification for infor- the same as the disposition of those mation originally classified under this records (destruction date) in each agen- Order, an original classification au- cy Records Control Schedule or Gen- thority shall follow the sequence listed eral Records Schedule approved by the in paragraphs (a)(1)(i), (ii), and (iii) of National Archives and Records Admin- this section. istration, although the duration of (i) The original classification author- classification may be extended if a ity shall attempt to determine a date record has been retained for business or event that is less than 10 years from reasons beyond its scheduled destruc- the date of original classification and tion date.

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(iii) For currently unscheduled from the date of its origin, at which records, the duration of classification time it will be subject to section 3.3 of beyond 25 years shall be determined in the Order. accordance with the provisions of (c) Changing the classification level of (a)(2)(i) (for permanently valuable information originally classified under the records) or (a)(2)(ii) (for temporary Order. An original classification au- records) when the records are sched- thority with jurisdiction over the in- uled. formation may change the level of (3) Conditions for extending classifica- classification of information. Docu- tion. When extending the duration of ments shall be remarked with the new classification, the original classifica- classification level, the date of the action authority must: tion, and the authority for the change. (i) Be an original classification au- Changing the classification level may thority with jurisdiction over the in- also require changing portion markings formation; for information contained within a doc- (ii) Ensure that the information con- ument. Additionally, the original clas- tinues to meet the standards for classi- sification authority shall update appro- fication under the Order; and priate security classification guides. (iii) Make reasonable attempts to no- (d) Reclassifying specific information. tify all known holders of the informa- An original classification authority tion. with jurisdiction over the information (b) Information classified under prior may reclassify information that has orders—(1) Specific date or event. Unless been declassified or marked as unclas- declassified earlier, information sified in cases involving specific infor- marked with a specific date or event mation that has not been publicly re- for declassification under a prior order leased under proper authority and has is automatically declassified upon that not been subject to a Freedom of Infor- date or event. However, if the informa- mation Act, Privacy Act, or Mandatory tion is contained in records determined Declassification Review request. (If the by the Archivist of the United States information has been publicly released to be permanently valuable, and the under proper authority, see section prescribed date or event will take place 1.7(c) of the Order and § 2001.13; if the more than 25 years from the informa- information has not been publicly re- tion’s origin, the declassification of the leased but has been the subject of an information will instead be subject to access demand, see section 1.7(d) of the section 3.3 of the Order. Order.). (2) Indefinite duration of classification. (1) When taking this action, an origi- For information marked ‘‘Originating nal classification authority must in- Agency’s Determination Required,’’ its clude the following markings on the in- acronym ‘‘OADR,’’ or with some other formation: marking indicating an indefinite dura- (i) The level of classification; tion of classification under a prior (ii) The identity, by name or personal order: identifier and position, of the original (i) A declassification authority, as classification authority; defined in section 6.1 of the Order, may (iii) declassification instructions; declassify it; (iv) a concise reason for classifica- (ii) An authorized original classification; and tion authority with jurisdiction over (v) the date the action was taken. the information may re-mark the in- (2) The original classification author- formation to establish a duration of ity shall notify all known authorized classification consistent with the re- holders of this action. quirements for information originally (e) Exemption categories from 10-year classified under the Order, as provided declassification. The markings for ex- in paragraph (a) of this section; or emption categories X1 through X8 can (iii) Unless declassified earlier, such no longer be used. When these mark- information contained in records deter- ings appear on information dated be- mined by the Archivist of the United fore September 22, 2003, the informa- States to be permanently valuable tion shall be declassified 25 years from shall remain classified for 25 years the date of the original decision, unless

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it has been properly exempted under the specific maximum velocity of the new F– section 3.3 of the Order. 88 aircraft on July 10, 1999. The document (f) Foreign government information. should be marked for declassification on The declassifying agency is the agency July 10, 2009, ten years after the specific information is first recorded, and not on Octo- that initially received or classified the ber 20, 2005, ten years after the date of the information. When foreign government guide’s generic instruction. Subsequent doc- information is being considered for de- uments containing this information would be classification or appears to be subject marked for declassification 10 years from the to automatic declassification, the de- date of the document. classifying agency shall determine whether the information is subject to a § 2001.13 Classification prohibitions treaty or international agreement that and limitations [1.7]. would prevent its declassification at (a) In making the decision to reclas- that time. Depending on the age of the sify information that has been declas- information and whether it is con- sified and released to the public under tained in permanently valuable proper authority, the agency head or records, the declassifying agency shall deputy agency head must determine in also determine if another exemption writing that reclassification of the in- under section 3.3 (b) of the Order, such formation is necessary in the interest as the exemption that pertains to of the national security. United States foreign relations, may (1) In addition, the agency must deem apply to the information. If the declas- the information to be reasonably re- sifying agency believes such an exemp- coverable which means that: tion may apply, it should consult with (i) Most individual recipients or hold- any other concerned agencies in mak- ers are known and can be contacted ing its declassification determination. and all forms of the information to be The declassifying agency or the De- reclassified can be retrieved from them partment of State, as appropriate, may and consult with the foreign government(s) (ii) If the information has been made prior to declassification. available to the public via means such (g) Determining when information is as Government archives or reading subject to automatic declassification. The rooms, it is withdrawn from public ac- ‘‘date of the information’s origin’’ or cess. ‘‘the information’s origin,’’ as used in (2) The declassification and release of the Order and this part, pertains to the information under proper authority date that specific information, which is means that the agency originating the contemporaneously or subsequently information authorized the declas- classified, is first recorded in an agen- sification and release of the informa- cy’s records, or in presidential histor- tion. ical materials, presidential records or (b) Once the reclassification action donated historical materials. The fol- has occurred, it must be reported to lowing examples illustrate this process: ISOO within 30 days. The notification Example 1. An agency first issues a classi- must include how the ‘‘reasonably re- fication guide on the F–99 aircraft on Octo- coverable’’ decision was made, includ- ber 20, 1995. The guide states that the fact ing the number of recipients or holders, that the F–99 aircraft has a maximum veloc- how the information was retrieved and ity of 500 m.p.h. shall be classified at the how the recipients or holders were ‘‘Secret’’ level for a period of ten years. A document dated July 10, 1999, is classified be- briefed. cause it includes the maximum velocity of (c) Any recipients or holders of the the F–99. The document should be marked reclassified information who have cur- for declassification on October 20, 2005, ten rent security clearances shall be appro- years after the specific information was first priately briefed about their continuing recorded in the guide, not on July 10, 2009, legal obligations and responsibilities to ten years after the derivatively classified protect this information from unau- document was created. thorized disclosure. The recipients or Example 2. An agency classification guide issued on October 20, 1995, states that the holders who do not have security clear- maximum velocity of any fighter aircraft ances shall, to the extent practicable, shall be classified at the ‘‘Secret’’ level for a be appropriately briefed about the re- period of ten years. The agency first records classification of the information that

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they have had access to, their obliga- has the right to forward the challenge tion not to disclose the information, to the Interagency Security Classifica- and be requested to sign an acknowl- tion Appeals Panel (ISCAP) for a deci- edgement of this briefing. sion. The challenger may also forward (d) The reclassified information must the challenge to the ISCAP if an agen- be appropriately marked and safe- cy has not responded to an internal ap- guarded. The markings should include peal within 90 days of the agency’s re- the reclassification authority and the ceipt of the appeal. Agency responses date of the action. Apply other mark- to those challenges it denies shall in- ings as provided in subpart B of this clude the challenger’s appeal rights to part. the ISCAP. (4) Whenever an agency receives a § 2001.14 Classification challenges classification challenge to information [1.8]. that has been the subject of a challenge (a) Challenging classification. Author- within the past two years, or that is ized holders wishing to challenge the the subject of pending litigation, the classification status of information agency is not required to process the shall present such challenges to an challenge beyond informing the chal- original classification authority with lenger of this fact and of the chal- jurisdiction over the information. An lenger’s appeal rights, if any. authorized holder is any individual, in- (c) Additional considerations. (1) Chal- cluding an individual external to the lengers and agencies shall attempt to agency, who has been granted access to keep all challenges, appeals and re- specific classified information in ac- sponses unclassified. However, classi- cordance with the provisions of the fied information contained in a chal- Order to include the special conditions lenge, an agency response, or an appeal set forth in section 4.1(h) of the Order. shall be handled and protected in ac- A formal challenge under this provi- cordance with the Order and its imple- sion must be in writing, but need not menting directives. Information being be any more specific than to question challenged for classification shall re- why information is or is not classified, main classified unless and until a final or is classified at a certain level. decision is made to declassify it. (b) Agency procedures. (1) Because the Order encourages authorized holders to (2) The classification challenge provi- challenge classification as a means for sion is not intended to prevent an au- promoting proper and thoughtful clas- thorized holder from informally ques- sification actions, agencies shall en- tioning the classification status of par- sure that no retribution is taken ticular information. Such informal in- against any authorized holders bring- quiries should be encouraged as a ing such a challenge in good faith. means of holding down the number of (2) Agencies shall establish a system formal challenges. for processing, tracking and recording § 2001.15 Classification guides [2.2]. formal classification challenges made by authorized holders. Agencies shall (a) Preparation of classification guides. consider classification challenges sepa- Originators of classification guides are rately from Freedom of Information encouraged to consult users of guides Act or other access requests, and shall for input when developing or updating not process such challenges in turn guides. When possible, originators of with pending access requests. classification guides are encouraged to (3) The agency shall provide an ini- communicate within their agencies and tial written response to a challenge with other agencies that are developing within 60 days. If the agency is unable guidelines for similar activities to en- to respond to the challenge within 60 sure the consistency and uniformity of days, the agency must acknowledge the classification decisions. Each agency challenge in writing, and provide a shall maintain a list of its classifica- date by which the agency will respond. tion guides in use. The acknowledgment must include a (b) General content of classification statement that if no agency response is guides. Classification guides shall, at a received within 120 days, the challenger minimum:

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(1) Identify the subject matter of the Subpart B—Identification and classification guide; Markings (2) Identify the original classification authority by name or personal identi- § 2001.20 General [1.6]. fier, and position; A uniform security classification sys- (3) Identify an agency point-of-con- tem requires that standard markings tact or points-of-contact for questions be applied to classified information. regarding the classification guide; Except in extraordinary circumstances, (4) Provide the date of issuance or or as approved by the Director of ISOO, last review; the marking of classified information (5) State precisely the elements of in- created after September 22, 2003, shall formation to be protected; not deviate from the following pre- (6) State which classification level scribed formats. If markings cannot be applies to each element of information, affixed to specific classified informa- and, when useful, specify the elements tion or materials, the originator shall of information that are unclassified; provide holders or recipients of the in- (7) State, when applicable, special formation with written instructions for handling caveats; protecting the information. Markings (8) Prescribe declassification instruc- shall be uniformly and conspicuously tions or the exemption category from applied to leave no doubt about the automatic declassification at 25 years, classified status of the information, as approved by the ISCAP under sec- the level of protection required, and the duration of classification. tion 3.3(d) of the Order and listed in § 2001.21(e) of subpart B, for each ele- § 2001.21 Original classification ment of information; and [1.6(a)]. (9) State a concise reason for classi- (a) Primary markings. On the face of fication which, at a minimum, cites each originally classified document, re- the applicable classification category gardless of the media, the original clas- or categories in section 1.4 of the sification authority shall apply the fol- Order. lowing markings. (c) Dissemination of classification (1) Classification authority. The name guides. Classification guides shall be or personal identifier, and position disseminated as widely as necessary to title of the original classification au- ensure the proper and uniform deriva- thority shall appear on the ‘‘Classified tive classification of information. By’’ line. An example might appear as: (d) Reviewing and updating classification guides. (1) Classification guides, in- Classified By: David Smith, Chief, Division 5, Department of Good Works, Office of Ad- cluding guides created under prior or- ministration ders, shall be reviewed and updated as or circumstances require, but, in any event, at least once every five years. Classified By: ID#IMNO1, Chief, Division 5, Department of Good Works, Office of Ad- Updated instructions for guides first ministration created under prior orders shall comply with the requirements of the Order and (2) Agency and office of origin. If not this part. otherwise evident, the agency and of- (2) Originators of classification fice of origin shall be identified and fol- guides are encouraged to consult the low the name on the ‘‘Classified By’’ users of guides for input when review- line. An example might appear as: ing or updating guides. Also, users of Classified By: David Smith, Chief, Division 5 classification guides are encouraged to Department of Good Works, Office of Ad- notify the originator of the guide when ministration. they acquire information that suggests (3) Reason for classification. The origi- the need for change in the instructions nal classification authority shall iden- contained in the guide. tify the reason(s) for the decision to classify. The original classification authority shall include, at a minimum, a

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brief reference to the pertinent classi- classification to a specific date or fication category(ies), or the number event, mark that date or event as: 1.4 plus the letter(s) that corresponds Classified By: David Smith, Chief, Division 5, to that classification category in sec- Department of Good Works, Office of Ad- tion 1.4 of the Order. ministration (i) These categories, as they appear Reason: 1.4(g) in the Order, are as follows: Declassify On: October 14, 2004 (A) Military plans, weapons systems, or operations; or (B) Foreign government information; Declassify On: Completion of Operation (C) Intelligence activities (including (ii) When a specific date or event special activities), intelligence sources within 10 years cannot be established, or methods, or cryptology; the original classification authority (D) Foreign relations or foreign ac- will apply the date that is 10 years tivities of the United States, including from the date of the original decision. confidential sources; For example, on a document that con- (E) Scientific, technological, or eco- tains information classified on October nomic matters relating to the national 14, 2003, mark the ‘‘Declassify On’’ line security, which includes defense as: against transnational terrorism; Classified By: David Smith, Chief, Division 5, (F) United States Government pro- Department of Good Works, Office of Ad- grams for safeguarding nuclear mate- ministration rials or facilities; Reason: 1.4(g) (G) Vulnerabilities or capabilities of Declassify On: October 14, 2013 systems, installations, infrastructures, projects, plans, or protection services (iii) Upon the determination that the relating to the national security, information must remain classified be- which includes defense against yond 10 years, the original classifica- transnational terrorism; or tion authority will apply a date not to (H) Weapons of mass destruction. exceed 25 years from the date of the (ii) An example might appear as: original decision. For example, on a document that contains information Classified By: David Smith, Chief, Division 5, classified on October 10, 2003, mark the Department of Good Works, Office of Ad- ministration ‘‘Declassify On’’ line as: Reason: Vulnerabilities or capabilities of Classified By: David Smith, Chief, Division 5, plans relating to the national security Department of Good Works, Office of Ad- or ministration Reason: 1.4(g) Reason: 1.4(g) (iii) When the reason for classifica- Declassify On: October 10, 2028 tion is not apparent from the content (b) Overall marking. The highest of the information, e.g., classification level of classified information con- by compilation, the original classifica- tained in a document shall appear in a tion authority shall provide a more de- way that will distinguish it clearly tailed explanation of the reason for from the informational text. classification. (1) Conspicuously place the overall (4) Declassification instructions. The classification at the top and bottom of duration of the original classification the outside of the front cover (if any), decision shall be placed on the ‘‘De- on the title page (if any), on the first classify On’’ line. The original classi- page, and on the outside of the back fication authority will apply one of the cover (if any). following instructions: (2) For documents containing infor- (i) The original classification author- mation classified at more than one ity will apply a date or event for de- level, the overall marking shall be the classification that corresponds to the highest level. For example, if a docu- lapse of the information’s national se- ment contains some information curity sensitivity, that is less than 10 marked ‘‘Secret’’ and other informa- years from the date of the original de- tion marked ‘‘Confidential,’’ the over- cision. When linking the duration of all marking would be ‘‘Secret.’’

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(3) Each interior page of a classified 1, 2003 with a declassification date of document shall be marked at the top December 1, 2015: and bottom either with the highest Classified By: David Smith, Chief, Division 5, level of classification of information Department of Good Works, Office of Ad- contained on that page, including the ministration designation ‘‘Unclassified’’ when it is Reason: 1.4(g) applicable, or with the highest overall Declassify On: Classification extended on De- classification of the document. cember 1, 2005, until December 1, 2028, by (c) Portion marking. Each portion of a David Jones, Chief, Division 5 document, ordinarily a paragraph, but (e) Marking information exempted from including subjects, titles, graphics and automatic declassification at 25 years. (1) the like, shall be marked to indicate When an agency head or senior agency its classification level by placing a par- official exempts permanently valuable enthetical symbol immediately pre- information from automatic declas- ceding or following the portion to sification at 25 years, the ‘‘Declassify which it applies. On’’ line shall be revised to include the (1) To indicate the appropriate classi- symbol ‘‘25X’’ plus a brief reference to fication level, the symbols ‘‘(TS)’’ for the pertinent exemption category(ies) Top Secret, ‘‘(S)’’ for Secret, ‘‘(C)’’ for or the number(s) that corresponds to Confidential, and ‘‘(U)’’ for Unclassi- that category(ies) in section 3.3(b) of fied shall be used. the Order. Other than when the exemp- (2) Each classified portion of a docu- tion pertains to the identity of a con- ment marked exempt from automatic fidential human source, or a human in- declassification shall be exempted un- telligence source, the revised ‘‘Declas- less the original classification author- sify On’’ line shall also include the new ity indicates otherwise on the docu- date or event for declassification. The ment. marking for an exemption for the iden- (3) An agency head or senior agency tity of a confidential human source or official may request a waiver from the a human intelligence source shall be portion marking requirement for a spe- ‘‘25X1-human.’’ This marking denotes cific category of information. Such a that this specific information is not request shall be submitted to the Di- subject to automatic declassification. rector of ISOO and should include the (2) The pertinent exemptions, using reasons that the benefits of portion the language of section 3.3(b) of the marking are outweighed by other fac- Order, are: tors. Statements citing administrative burden alone will ordinarily not be 25X1: reveal the identity of a confidential viewed as sufficient grounds to support human source, or a human intelligence a waiver. source, or reveal information about the ap- (d) Classification extensions. (1) An plication of an intelligence source or method; original classification authority may 25X2: reveal information that would assist extend the duration of classification in the development or use of weapons of for up to 25 years from the date of the mass destruction; information’s origin for information 25X3: reveal information that would impair contained in records determined to be U.S. cryptologic systems or activities; permanently valuable. 25X4: reveal information that would impair (2) The ‘‘Declassify On’’ line shall be the application of state-of-the-art technology within a U.S. weapon system; revised to include the new declassifica- 25X5: reveal actual U.S. military war plans tion instructions, and shall include the that remain in effect; identity of the person authorizing the 25X6: reveal information, including foreign extension and the date of the action. government information, that would seri- (3) The office of origin shall make ously and demonstrably impair relations be- reasonable attempts to notify all hold- tween the United States and a foreign gov- ers of such information. Classification ernment, or seriously and demonstrably un- guides shall be updated to reflect such dermine ongoing diplomatic activities of the United States; revisions. 25X7: reveal information that would clear- (4) An example of an extended dura- ly and demonstrably impair the current abil- tion of classification may appear as ity of United States Government officials to follows for a document dated December protect the President, Vice President, and

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other protectees for whom protection serv- Derived From: Memo, ‘‘Funding Problems,’’ ices, in the interest of the national security, October 20, 2003, Office of Administration, are authorized; Department of Good Works 25X8: reveal information that would seri- or ously and demonstrably impair current na- Derived From: CG No. 1, Department of Good tional security emergency preparedness Works, dated October 20, 2003 plans or reveal current vulnerabilities of systems, installations, infrastructures, or (i) When a document is classified de- projects relating to the national security; or rivatively on the basis of more than 25X9: violate a statute, treaty, or inter- one source document or classification national agreement. guide, the ‘‘Derived From’’ line shall (3) The pertinent portion of the appear as: Derived From: Multiple marking would appear as: Sources (ii) The derivative classifier shall Declassify On: 25X-State-of-the-art tech- maintain the identification of each nology within a U.S. weapon system, Octo- source with the file or record copy of ber 1, 2020 the derivatively classified document. or When practicable, this list should be Declassify On: 25X4, October 1, 2020 included in or with all copies of the derivatively classified document. (4) Documents should not be marked (2) A document derivatively classi- with a ‘‘25X’’ marking until the agency fied on the basis of a source document has been informed that the President that is itself marked ‘‘Multiple or the Interagency Security Classifica- Sources’’ shall cite the source docu- tion Appeals Panel concurs with the ment on its ‘‘Derived From’’ line rath- proposed exemption. Agencies that er than the term ‘‘Multiple Sources.’’ have submitted proposed exemptions or An example might appear as: a declassification guide to the ISCAP may mark documents with ‘‘25X’’ cat- Derived From: Report entitled, ‘‘New Weap- ons,’’ dated October 20, 2003, Department of egories, while waiting for ISCAP con- Good Works, Office of Administration currence, unless otherwise notified by the Panel’s Executive Secretary. (c) Reason for classification. The rea- (5) Agencies need not apply a ‘‘25X’’ son for the original classification deci- marking to individual documents con- sion, as reflected in the source docu- tained in a file series exempted from ment(s) or classification guide, is not automatic declassification under sec- required to be transferred in a deriva- tion 3.3(c) of the Order until the indi- tive classification action. If included, however, it shall conform to the stand- vidual document is removed from the ards in § 2001.21(a)(3). file. (d) Declassification instructions. (1) § 2001.22 Derivative classification [2.1]. The derivative classifier shall carry forward the instructions on the ‘‘De- (a) General. Information classified declassify On’’ line from the source docu- rivatively on the basis of source document to the derivative document, or ments or classification guides shall the duration instruction from the clas- bear all markings prescribed in § 2001.20 sification or declassification guide. and § 2001.21, except as provided in this (2) When a document is classified de- section. Information for these mark- rivatively on the basis of more than ings shall be carried forward from the one source document or more than one source document or taken from in- element of a classification guide, the structions in the appropriate classi- ‘‘Declassify On’’ line shall reflect the fication guide. longest duration of any of its sources. (b) Source of derivative classification. (i) When a document is classified de- (1) The derivative classifier shall con- rivatively either from a source docu- cisely identify the source document or ment(s) or a classification guide that the classification guide on the ‘‘De- contains the declassification instruc- rived From’’ line, including the agency tion, ‘‘Originating Agency’s Deter- and, where available, the office of ori- mination Required,’’ or ‘‘OADR,’’ or gin, and the date of the source or from a source document(s) or a classi- guide. An example might appear as: fication guide that contains any of the

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exemption markings X1 through X8. cial shall provide the Director of ISOO Unless otherwise instructed by the with a written explanation for the use original classifier, the derivative clas- of agency special markings. sifier shall carry forward: (c) Transmittal documents. A trans- (A) The fact that the source docu- mittal document shall indicate on its ment(s) was marked with this instruc- face the highest classification level of tion; and any classified information attached or (B) The date of origin of the most re- enclosed. The transmittal shall also in- cent source document(s), classification clude conspicuously on its face the fol- guides, or specific information, as ap- lowing or similar instructions, as appropriate to the circumstances. propriate: (ii) Examples might appear as: Unclassified When Classified Enclosure Re- Declassify On: Source Marked ‘‘OADR’’, Date moved of source: October 20, 1990 or or Upon Removal of Attachments, This Docu- Declassify On: Source Marked ‘‘X1’’, Date of ment is (Classification Level) source: October 20, 2000 (iii) Either of these markings will (d) Foreign government information. permit the determination of when the Documents that contain foreign gov- classified information is 25 years old ernment information shall include the and, if permanently valuable, subject marking, ‘‘This Document Contains to automatic declassification under (indicate country of origin) Informa- section 3.3 of the Order. tion.’’ The portions of the document (e) Overall marking. The derivative that contain the foreign government classifier shall conspicuously mark the information shall be marked to indi- classified document with the highest cate the government and classification level of classification of information level, using accepted country code included in the document, as provided standards, e.g., ‘‘(Country code—C).’’ If in § 2001.21(b). the identity of the specific government (f) Portion marking. Each portion of a must be concealed, the document shall derivatively classified document shall be marked, ‘‘This Document Contains be marked in accordance with its Foreign Government Information,’’ and source, and as provided in § 2001.21(c). pertinent portions shall be marked ‘‘FGI’’ together with the classification § 2001.23 Additional requirements level, e.g., ‘‘(FGI-C).’’ In such cases, a [1.6]. separate record that identifies the for- (a) Marking prohibitions. Markings eign government shall be maintained other than ‘‘Top Secret,’’ ‘‘Secret,’’ in order to facilitate subsequent de- and ‘‘Confidential,’’ such as ‘‘For Offi- classification actions. When classified cial Use Only,’’ ‘‘Sensitive But Unclas- records are transferred to the National sified,’’ ‘‘Limited Official Use,’’ or Archives and Records Administration ‘‘Sensitive Security Information’’ shall for storage or archival purposes, the not be used to identify classified na- accompanying documentation shall, at tional security information. No other a minimum, identify the boxes that term or phrase shall be used in con- contain foreign government informa- junction with these markings, such as tion. If the fact that information is for- ‘‘Secret Sensitive’’ or ‘‘Agency Con- eign government information must be fidential,’’ to identify classified na- concealed, the markings described in tional security information. The terms this paragraph shall not be used and ‘‘Top Secret,’’ ‘‘Secret,’’ and ‘‘Con- the document shall be marked as if it fidential’’ should not be used to iden- were wholly of U.S. origin. tify non-classified executive branch in- (e) Working papers. A working paper formation. is defined as documents or materials, (b) Agency prescribed special markings. regardless of the media, which are ex- Agencies shall refrain from the use of pected to be revised prior to the prepa- special markings when they merely re- ration of a finished product for dis- state or emphasize the principles and semination or retention. Working pa- standards of the Order and this part. pers containing classified information Upon request, the senior agency offi- shall be dated when created, marked

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with the highest classification of any status of the information and who au- information contained in them, pro- thorized the declassification. tected at that level, and if otherwise (b) The following markings shall be appropriate, destroyed when no longer applied to records, or copies of records, needed. When any of the following con- regardless of media: ditions applies, working papers shall be (1) The word, ‘‘Declassified;’’ controlled and marked in the same (2) The name or personal identifier, manner prescribed for a finished docu- and position title of the declassifica- ment at the same classification level: tion authority or declassification (1) Released by the originator outside guide; the originating activity; (3) The date of declassification; and (2) Retained more than 180 days from (4) The overall classification mark- the date of origin; or ings that appear on the cover page or (3) Filed permanently. first page shall be lined with an ‘‘X’’ or (f) Other material. Bulky material, straight line. An example might appear equipment and facilities, etc. shall be clearly identified in a manner that as: leaves no doubt about the classifica- SECRET tion status of the material, the level of Declassified by David Smith, Chief, Division protection required, and the duration 5, August 17, 2005 of classification. Upon a finding that identification would itself reveal classified information, such identification Subpart C—Declassification is not required. Supporting documenta- § 2001.30 Automatic declassification tion for such a finding must be main- [3.3]. tained in the appropriate security facility. (a) General. All departments and (g) Unmarked materials. Information agencies that have original classifica- contained in unmarked records, or tion authority, or previously had origi- presidential or related materials, and nal classification authority, and main- which pertains to the national defense tain records appraised as having per- or foreign relations of the United manent historical value that contain States and has been maintained and information classified by that agency protected as classified information shall comply with the automatic de- under prior orders shall continue to be classification provisions of the Order. treated as classified information under All agencies with original classifica- the Order, and is subject to its provi- tion authority shall cooperate with sions regarding declassification. NARA in managing automatic declassification of accessioned Federal § 2001.24 Declassification markings records, presidential papers and [1.5, 1.6, 3.3]. records, and donated historical mate- (a) General. A uniform security clas- rials under the control of the Archivist sification system requires that stand- of the United States. ard markings be applied to declassified (b) Presidential records. The Archivist information. Except in extraordinary of the United States shall establish circumstances, or as approved by the procedures for the declassification of Director of ISOO, the marking of de- presidential or White House materials classified information shall not deviate transferred to the legal custody of the from the following prescribed formats. National Archives of the United States If declassification markings cannot be or maintained in the presidential li- affixed to specific information or mate- braries. rials, (e.g., agencies using automated (c) Classified information in the custody information systems, special media, of contractors, licensees, certificate hold- microfilm) the originator shall provide ers, grantees or other authorized private holders or recipients of the information organizations or individuals. Pursuant to with written instructions for marking the provisions of National Industrial the information. Markings shall be uni- Security Program, agencies must pro- formly and conspicuously applied to vide security classification/declas- leave no doubt about the declassified sification guidance to such entities or

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individuals who possess classified in- tion provisions of section 3.3 of the formation. Agencies must also deter- Order when the information is 25 years mine if classified Federal records are old. held by such entities or individuals, (h) Foreign government information. and if so, whether they are permanent The declassifying agency is the agency records of historical value and thus that initially received or classified the subject to section 3.3 of this Order. information. When foreign government Until such a determination has been information appears to be subject to made by an appropriate agency official, automatic declassification, the declas- the classified information contained in sifying agency shall determine whether such records shall not be subject to the information is subject to a treaty automatic declassification and shall be or international agreement that would safeguarded in accordance with the prevent its declassification at that most recent security classification/de- time. The declassifying agency shall classification guidance provided by the also determine if another exemption agency. under section 3.3(b) of the Order, such (d) Transferred information. In the as the exemption that pertains to case of classified information trans- United States foreign relations, may ferred in conjunction with a transfer of apply to the information. If the declas- functions, and not merely for storage sifying agency believes such an exemp- or archival purposes, the receiving tion may apply, it should consult with agency shall be deemed to be the origi- any other concerned agencies in mak- nating agency. ing its declassification determination. (e) Unofficially transferred information. The declassifying agency or the De- In the case of classified information partment of State, as appropriate, that is not officially transferred as de- should consult with the foreign govern- scribed in paragraph (d), of this sec- ment prior to declassification. tion, but that originated in an agency (i) Assistance to the Archivist of the that has ceased to exist and for which United States. Agencies shall consult there is no successor agency, the Direc- with NARA before establishing auto- tor of ISOO will designate an agency or matic declassification programs. Agen- agencies to act on provisions of the cies shall cooperate with NARA in de- Order, with the concurrence of the des- veloping schedules for the declassifica- ignated agency or agencies. tion of records in the National Ar- (f) Processing records originated by an- chives of the United States and the other agency. When an agency uncovers presidential libraries to ensure that declassified records originated by another classification is accomplished in a agency that appear to meet the criteria timely manner. NARA will provide infor the application of the automatic formation about the records proposed declassification provisions of the for automatic declassification. Agen- Order, the finding agency should alert cies shall consult with NARA before re- the originating agency and seek in- viewing records in their holdings to en- struction. sure that appropriate procedures are (g) Unscheduled records. Classified in- established for maintaining the integ- formation in records that have not rity of the records and that NARA re- been scheduled for disposal or reten- ceives accurate information about tion by NARA is not subject to section agency declassification actions when 3.3 of the Order. Classified information records are accessioned into NARA. in records that are scheduled as perma- NARA will provide guidance to the nently valuable when that information agencies about the requirements for is already more than 20 years old shall notification of declassification actions be subject to the automatic declas- on accessioned records, box labeling, sification provisions of section 3.3 of and identifying exempt information in the Order five years from the date the the records. records are scheduled. Classified infor- (j) Use of approved declassification mation in records that are scheduled as guides. Approved declassification permanently valuable when that infor- guides are a basis for the exemption mation is less than 20 years old shall be from automatic declassification of spe- subject to the automatic declassifica- cific information as provided in section

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3.3(d) of the Order. These guides must sification for classified information include additional pertinent detail re- contained in this type of media. Agen- lating to the exemptions described in cies may delay the date for automatic section 3.3(b) of the Order, and follow declassification for up to five addi- the format required of declassification tional years for these types of special guides for systematic review as de- media. Information contained in spe- scribed in § 2001.32 of this part. In order cial media that has been referred shall for such guides to be used in place of be automatically declassified five years the identification of specific informa- from the date of notification or 30 tion within individual documents, the years from the date of origination of information to be exempted must be the special media, whichever is longer, narrowly defined, with sufficient speci- unless the information has been prop- ficity to allow the user to identify the erly exempted by the equity holding information with precision. Exemp- agency under section 3.3(d) of the tions for general categories of informa- Order. tion will not be acceptable. The actual (2) Referred or Transferred Records. items to be exempted are specific docu- An agency head or senior agency offi- ments. All such declassification guides cial, either through the agency’s de- used in conjunction with section 3.3(d) classification plan or within 90 days of of the Order must be submitted to the the decision, must notify the Director Director of ISOO, serving as Executive of the Information Security Oversight Secretary of the Interagency Security Office of a decision to delay the onset Classification Appeals Panel, for ap- of automatic declassification for proval by the Panel. records that have been referred or (k) Automatic declassification date. No transferred to that agency. Agencies later than December 31, 2006, all classi- that have records subject to automatic fied records that are more than 25 declassification must identify all equi- years old and have been determined to ties and refer them to the appropriate have permanent historical value will agency prior to the date of automatic be automatically declassified whether declassification or, if the information or not the records have been reviewed. has been properly exempted by the re- (l) Exemption from Automatic Declas- ferring agency, prior to the specific sification. Agencies may propose to ex- date or event for declassification under empt from automatic declassification section 3.3(d) of the Order. Information specific information, either by ref- contained in records that have been re- erence to information in specific ferred shall be automatically declas- records or in the form of a classifica- sified three years from the date of noti- tion or declassification guide, within fication or 28 years from the date of five years of, but not later than 180 origination of the records, whichever is days before the information is subject longer, unless the information has been to automatic declassification. The properly exempted by another equity agency head or senior agency official, holding agency under section 3.3(d) of within the specified timeframe, shall the Order. Agencies receiving a notifi- notify the Director of ISOO, serving as cation of a referral must immediately the Executive Secretary of the Inter- acknowledge receipt of it. Notifying agency Security Classification Appeals agencies must follow-up if an acknowl- Panel, of the specific information being edgment is not received within 60 days. proposed for exemption from auto- (3) Newly Discovered Records. An matic declassification. agency head or senior agency official (m) Delays in the onset of automatic de- must notify the Director of the Infor- classification. (1) Microforms, motion mation Security Oversight Office of pictures, audiotapes, videotapes, or any decision to delay automatic de- comparable media. An agency head or classification no later than 90 days, senior agency official, either through from discovery of the records. The no- its agency’s declassification plan, or tification should identify the records within 90 days of the decision, must no- and the anticipated date for declas- tify the Director of the Information Se- sification. An agency has up to three curity Oversight Office of a decision to years from the date of discovery to delay the onset of automatic declas- make a declassification, exemption or

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referral determination. If other agen- tained in permanently valuable records cies’ interests or equities are identified that is less than 25 years. in the newly discovered records, those agencies will have three years from the § 2001.32 Declassification guides [3.3]. date of notification to complete their (a) Preparation of declassification review and make a declassification or guides. Declassification guides shall be exemption determination. prepared to facilitate the declassifica- (n) Redaction standard. Agencies are tion of information contained in encouraged but are not required to re- records determined to be of permanent dact documents that contain informa- historical value. When it is sufficiently tion that is exempt from automatic de- detailed and understandable, and iden- classification under section 3.3 of the tified for both purposes, a classifica- Order, especially if the information tion guide may also be used as a declas- that must remain classified comprises sification guide. a relatively small portion of the docu- (b) General content of declassification ment. guides. Declassification guides shall, at (o) Restricted Data and Formerly Re- a minimum: stricted Data. (1) Records containing (1) Identify the subject matter of the Restricted Data (RD) and Formerly Re- declassification guide; stricted Data (FRD) are excluded from (2) Identify the original declassifica- the automatic declassification require- tion authority by name or personal ments in section 3.3 of the Order be- identifier, and position; cause they are classified under the (3) Provide the date of issuance or Atomic Energy Act of 1954, as amend- last review; ed. Restricted Data concerns: (4) State precisely the categories or (i) The design, manufacture, or utili- elements of information: zation of atomic weapons; (i) To be declassified; (ii) The production of special nuclear (ii) To be downgraded; or material, e.g., enriched uranium or plu- (iii) Not to be declassified. tonium; or (5) Identify any related files series (iii) The use of special nuclear mate- that have been exempted from auto- rial in the production of energy. matic declassification pursuant to sec- (2) Formerly Restricted Data is infor- tion 3.3(c) of the Order; mation that is still classified but which (6) To the extent a guide is used in has been removed from the Restricted conjunction with the automatic declas- Data category because it is related pri- sification provisions in section 3.3 of marily to the military utilization of the Order, state precisely the elements atomic weapons. of information to be exempted from de- (3) Any document marked as con- classification to include: taining Restricted Data or Formerly (i) The appropriate exemption cat- Restricted Data shall remain classified egory listed in section 3.3(b) of the indefinitely or shall be referred to the Order, and, when citing the exemption Department of Energy for a classifica- category listed in section 3.3(b)(9) of tion review. the Order, specify the applicable statute, treaty or international agreement; § 2001.31 Systematic declassification and review [3.4]. (ii) A date or event for declassifica- (a) Listing of declassification authori- tion. ties. Agencies shall maintain a current (c) External review. Agencies shall listing of officials delegated declas- submit declassification guides for re- sification authority by name, position, view to the Director of ISOO. To the or other identifier. If possible, this list- extent such guides are used in conjunc- ing shall be unclassified. tion with the automatic declassifica- (b) Responsibilities. Agencies shall es- tion provisions in section 3.3 of the tablish systematic review programs for Order, the Director shall submit them those records containing information for approval by the Interagency Secu- exempt from automatic declassifica- rity Classification Appeals Panel. tion. Agencies may also conduct sys- Agencies that have submitted a declas- tematic review of information con- sification guide to the ISCAP may use

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the guide while waiting for ISCAP ap- that the custodial agency may review proval, unless otherwise notified by the its records, the custodial agency shall Panel’s Executive Secretary. review the requested records in accord- (d) Internal review and update. Agency ance with declassification guides or declassification guides shall be re- guidelines provided by the originating viewed and updated as circumstances agency. Upon receipt of a request from require, but at least once every five the referring agency, the originating years. Each agency shall maintain a agency shall process the request in ac- list of its declassification guides in use. cordance with this section. The origi- § 2001.33 Mandatory review for declas- nating agency shall communicate its sification [3.5, 3.6]. declassification determination to the referring agency. (a) U.S. originated information. (1) Re- ceipt of requests. Each agency shall (iii) Appeals of denials of mandatory declassification review requests. The publish in the FEDERAL REGISTER the identity of the person(s) or office(s) to agency appellate authority shall nor- which mandatory declassification re- mally make a determination within 60 view requests should be addressed. working days following the receipt of (2) Processing. an appeal. If additional time is re- (i) Requests for classified records in quired to make a determination, the the custody of the originating agency. agency appellate authority shall notify A valid mandatory declassification re- the requester of the additional time view request need not identify the re- needed and provide the requester with quested information by date or title of the reason for the extension. The agen- the responsive records, but must be of cy appellate authority shall notify the sufficient specificity to allow agency requester in writing of the final deter- personnel to locate the records con- mination and of the reasons for any de- taining the information sought with a nial. reasonable amount of effort. In re- (iv) Appeals to the Interagency Secu- sponding to mandatory declassification rity Classification Appeals Panel. In review requests, agencies shall either accordance with section 5.3(c) of the make a prompt declassification deter- Order, the Interagency Security Classi- mination and notify the requester ac- fication Appeals Panel shall publish in cordingly, or inform the requester of the FEDERAL REGISTER the rules and the additional time needed to process procedures for bringing mandatory de- the request. Agencies shall ordinarily make a final determination within one classification appeals before it. year from the date of receipt. When in- (b) Foreign government information. formation cannot be declassified in its Except as provided in this paragraph, entirety, agencies shall make reason- agency heads shall process mandatory able efforts to release, consistent with declassification review requests for other applicable law, those declassified classified records containing foreign portions of the requested information government information in accordance that constitute a coherent segment. with this section. The declassifying Upon denial of an initial request, the agency is the agency that initially re- agency shall also notify the requester ceived or classified the information. of the right of an administrative ap- When foreign government information peal, which must be filed within 60 is being considered for declassification, days of receipt of the denial. the declassifying agency shall deter- (ii) Requests for classified records in mine whether the information is sub- the custody of an agency other than ject to a treaty or international agree- the originating agency. When an agen- ment that would prevent its declas- cy receives a mandatory declassifica- sification at that time. The declas- tion review request for records in its sifying agency or the Department of possession that were originated by an- State, as appropriate, may consult other agency, it shall refer the request with the foreign government(s) prior to and the pertinent records to the origi- declassification. nating agency. However, if the originating agency has previously agreed

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(c) Cryptologic and intelligence infor- Security Oversight Office, in coordina- mation. Mandatory declassification re- tion with the National Archives and view requests for cryptologic informa- Records Administration and the other tion and information concerning intel- concerned agencies, shall standardize ligence activities (including special ac- the referral process, including the de- tivities) or intelligence sources or velopment of standard forms. Agencies methods shall be processed solely in conducting pass/fail reviews may refer accordance with special procedures documents to agencies that redact. Ac- issued by the Secretary of Defense and tions taken by the sender and the re- the Director of Central Intelligence, recipient may differ as noted below: spectively. (1) When a referral is from a pass/fail (d) Fees. In responding to mandatory agency to a pass/fail agency, both agen- declassification review requests for cies conduct a pass/fail review and an- classified records, agency heads may notate the classification or declas- charge fees in accordance with section sification decisions in accordance with 9701 of title 31, United States Code. NARA guidelines. The receiving agency (e) Assistance to the Department of should also notify the referring agency State. Heads of agencies should assist that the review has been completed. the Department of State in its prepara- (2) When a referral is from a pass/fail tion of the Foreign Relations of the agency to a redaction agency, the re- United States (FRUS) series by facili- daction agency is only required to con- tating access to appropriate classified duct pass/fail reviews of documents re- materials in their custody and by expe- ferred by a pass/fail agency. If the re- diting declassification review of docu- daction agency wishes to redact the ments proposed for inclusion in the document, it must do so on a copy of FRUS. the referred document, then file the re- (f) Requests filed under mandatory de- dacted version with the original. The classification review and the Freedom of redaction agency should also notify the Information Act. When a requester sub- pass/fail referring agency that the re- mits a request both under mandatory view has been completed. review and the Freedom of Information (3) Referrals from redaction agencies Act (FOIA), the agency shall require to pass/fail agencies will be in the form the requester to elect one process or of document copies. In the course of re- the other. If the requester fails to elect view the pass/fail agency may either one or the other, the request will be pass or fail the document or its equi- treated as a FOIA request unless the ties. The pass/fail agency may review requested materials are subject only to and redact failed documents when prac- mandatory review. ticable. (g) FOIA and Privacy Act requests. (4) Referrals between redaction agen- Agency heads shall process requests for cies may result in redaction of any ex- declassification that are submitted emptible equities. under the provisions of the FOIA, as (b) Referral decisions. When agencies amended, or the Privacy Act of 1974, in review documents or folders only to accordance with the provisions of those the point at which exemptible informa- Acts. tion is identified, they must take one (h) Redaction standard. Agencies shall of the following actions to protect any redact documents that are the subject other unidentified equities that may be of an access demand unless the overall in the unreviewed portions of the docu- meaning or informational value of the ment: document is clearly distorted by redac- (1) Complete a review of the docu- tion. ment or folder to identify other agency equities and notify those agencies; or § 2001.34 Referrals [3.3, 3.6]. (2) Exempt the document or folder (a) Approaches to declassification. The and assign a Date/Event for automatic exchange of information between agen- declassification, before which time cies and the final disposition of docu- they must provide timely notification ments are affected by differences in the to any equity agencies. Agencies re- approaches to declassification. To fa- viewing a previously exempted docu- cilitate this process, the Information ment or folder may apply a different

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exemption and new Date/Event for should notify the agency that placed automatic declassification based upon the tabs that the review is complete. the content of previously unreviewed Any additional equities noted in the re- equities. view must be annotated on the tab and (c) Unmarked or improperly marked brought to the attention of the agency documents. Agencies that find other that tabbed the document so the tab- agency information in unmarked or bing agency can notify those newly improperly marked documents may identified agencies. apply a different exemption and new (iv) Equity Notification Database. Date/Event for automatic declassifica- Agencies may also use an electronic tion based upon the content of pre- notification database as a means of no- viously unreviewed equities. tification. Use of such a database, when (d) Means of Referral. The reviewing agency must communicate referrals to available, will constitute referral and equity agencies. They may use either acknowledgement of referrals received of the methods below: under the Order. (1) Full text referral. Agencies will make referrals in a format mutually Subpart D—Safeguarding agreed to by the referring and receiving agencies. Each referral request will § 2001.40 General [4.1]. clearly identify the referring agency (a) Classified information, regardless and may identify the sections or areas of its form, shall be afforded a level of of the document containing the receiv- protection against loss or unauthorized ing agency’s equities and the requested disclosure commensurate with its level action; or of classification. (2) Tab and notify. (b) Except for NATO and other for- (i) Agencies will use NARA-approved tabs and will clearly indicate on them eign government information, agency the agency or agencies having equity heads or their designee(s) (hereinafter in the document(s) held within the referred to as agency heads) may adopt tabs. Successive documents with iden- alternative measures, using risk man- tical equity(ies) may be grouped within agement principles, to protect against a single tab. Documents with differing loss or unauthorized disclosure when equities, or non-successive documents, necessary to meet operational require- must be tabbed individually. In gen- ments. When alternative measures are eral, document order may not be used for other than temporary, unique changed to facilitate tabbing. In cases situations, the alternative measures where there are so many tabbed docu- shall be documented and provided to ments in a box that tabbing documents the Director, Information Security individually would seriously overfill Oversight Office (ISOO), to facilitate the box, the reviewer may group docu- that office’s oversight responsibility. ments under a single tab for each agen- Upon request, the description shall be cy equity at the back of each file fold- provided to any other agency with er, or back of the box if there is no file which classified information or secure folder. If this becomes necessary, the facilities are shared. In all cases, the reviewer shall prepare a folder/docu- alternative measures shall provide pro- ment list or consult with NARA so that tection sufficient to reasonably deter original order can be restored during and detect loss or unauthorized disclo- archival processing. sure. Risk management factors consid- (ii) Agency notification must in- ered will include sensitivity, value and clude, at a minimum, the following information: the approximate volume of crucial nature of the information; anal- equity, the highest classification of ysis of known and anticipated threats; documents, the exact location (to box vulnerability; and countermeasure ben- level) of the documents so marked, and efits versus cost. instructions related to access to the (c) NATO classified information shall boxes containing the documents. be safeguarded in compliance with U.S. (iii) Agencies will acknowledge receipt of referral notifications. They

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Security Authority for NATO Instruc- is procured, it shall be in conformance tions I–69 and I–70. Other foreign gov- with the standards and specifications ernment information shall be safe- established by the Administrator of guarded as described herein for U.S. in- General Services, and shall, to the formation except as required by an ex- maximum extent possible, be of the isting treaty, agreement or other obli- type available through the Federal gation (hereinafter, obligation). When Supply System. the information is to be safeguarded pursuant to an existing obligation, the § 2001.43 Storage [4.1]. additional requirements at § 2001.53 (a) General. Classified information may apply to the extent they were re- shall be stored only under conditions quired in the obligation as originally designed to deter and detect unauthor- negotiated or are agreed upon during amendment. Negotiations on new obli- ized access to the information. Storage gations or amendments to existing ob- at overseas locations shall be at U.S. ligations shall strive to bring provi- Government controlled facilities unless sions for safeguarding foreign govern- otherwise stipulated in treaties or ment information into accord with international agreements. Overseas standards for safeguarding U.S. infor- storage standards for facilities under a mation as described in this Directive. Chief of Mission are promulgated under (d) An agency head who originates or the authority of the Overseas Security handles classified information shall Policy Board. refer any matter pertaining to the im- (b) Requirements for physical protec- plementation of this Directive that he tion. (1) Top Secret. Top Secret infor- or she cannot resolve to the Director, mation shall be stored by one of the ISOO for resolution. following methods: (i) In a GSA-approved security con- § 2001.41 Responsibilities of holders tainer with one of the following supple- [4.1]. mental controls: Authorized persons who have access (A) Continuous protection by cleared to classified information are respon- guard or duty personnel; sible for: (B) Inspection of the security con- (a) Protecting it from persons with- tainer every two hours by cleared out authorized access to that informa- guard or duty personnel; tion, to include securing it in approved (C) An Intrusion Detection System equipment or facilities whenever it is (IDS) with the personnel responding to not under the direct control of an au- the alarm arriving within 15 minutes of thorized person; the alarm annunciation [Acceptability (b) Meeting safeguarding require- of Intrusion Detection Equipment ments prescribed by the agency head; (IDE): All IDE must be UL-listed (or and equivalent as defined by the agency (c) Ensuring that classified informa- head) and approved by the agency head. tion is not communicated over unse- Government and proprietary installed, cured voice or data circuits, in public maintained, or furnished systems are conveyances or places, or in any other manner that permits interception by subject to approval only by the agency unauthorized persons. head.]; or (D) Security-In-Depth conditions, § 2001.42 Standards for security equip- provided the GSA-approved container ment [4.1]. is equipped with a lock meeting Fed- The Administrator of General Serv- eral Specification FF-L–2740. ices shall, in coordination with agency (ii) An open storage area constructed heads originating classified informa- in accordance with § 2001.43, which is tion, establish and publish uniform equipped with an IDS with the per- standards, specifications and supply sonnel responding to the alarm arriv- schedules for security equipment de- ing within 15 minutes of the alarm an- signed to provide secure storage for nunciation if the area is covered by Se- and destruction of classified informa- curity-In-Depth or a five minute alarm tion. Whenever new security equipment response if it is not.

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(iii) An IDS-equipped vault with the level of information protected unless personnel responding to the alarm ar- other sufficient controls exist to pre- riving within 15 minutes of the alarm vent access to the lock or knowledge of annunciation. the combination. Combinations shall (2) Secret. Secret information shall be changed under the following condi- be stored by one of the following meth- tions: ods: (i) Whenever such equipment is (i) In the same manner as prescribed placed into use; for Top Secret information; (ii) Whenever a person knowing the (ii) In a GSA-approved security con- combination no longer requires access tainer or vault without supplemental to it unless other sufficient controls controls; or exist to prevent access to the lock; or (iii) In either of the following: (A) Until October 1, 2012, in a non- (iii) Whenever a combination has GSA-approved container having a been subject to possible unauthorized built-in combination lock or in a nondisclosure. GSA-approved container secured with a (2) Equipment out of service. When rigid metal lockbar and an agency head security equipment is taken out of approved padlock; or service, it shall be inspected to ensure (B) An open storage area. In either that no classified information remains case, one of the following supplemental and the built-in combination lock shall controls is required: be reset to a standard combination. (1) The location that houses the con- (d) Key operated locks. When special tainer or open storage area shall be circumstances exist, an agency head subject to continuous protection by may approve the use of key operated cleared guard or duty personnel; locks for the storage of Secret and Con- (2) Cleared guard or duty personnel fidential information. Whenever such shall inspect the security container or locks are used, administrative proce- open storage area once every four dures for the control and accounting of hours; or keys and locks shall be established. (3) An IDS (per paragraph (b)(1)(i)(C) of this section) with the personnel re- § 2001.44 Information controls [4.1, sponding to the alarm arriving within 4.2]. 30 minutes of the alarm annunciation. (a) General. Agency heads shall estab- [In addition to one of these supple- lish a system of control measures mental controls specified in paragraphs which assure that access to classified (b)(2)(iii)(B)(1) through (3), security-in- information is limited to authorized depth as determined by the agency persons. The control measures shall be head is required as part of the supple- appropriate to the environment in mental controls for a non-GSA-ap- which the access occurs and the nature proved container or open storage area storing Secret information.] and volume of the information. The (3) Confidential. Confidential infor- system shall include technical, phys- mation shall be stored in the same ical, and personnel control measures. manner as prescribed for Top Secret or Administrative control measures which Secret information except that supple- may include records of internal dis- mental controls are not required. tribution, access, generation, inven- (c) Combinations. Use and mainte- tory, reproduction, and disposition of nance of dial-type locks and other classified information shall be required changeable combination locks. when technical, physical and personnel (1) Equipment in service. The classi- control measures are insufficient to fication of the combination shall be deter and detect access by unauthor- the same as the highest level of classi- ized persons. fied information that is protected by (b) Reproduction. Reproduction of the lock. Combinations to dial-type classified information shall be held to locks shall be changed only by persons the minimum consistent with oper- having a favorable determination of ational requirements. The following eligibility for access to classified infor- additional control measures shall be mation and authorized access to the taken:

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(1) Reproduction shall be accom- bulky item of equipment, the outside plished by authorized persons knowl- or body of the item may be considered edgeable of the procedures for classi- to be a sufficient enclosure provided fied reproduction; observation of it does not reveal classi- (2) Unless restricted by the origi- fied information; nating Agency, Top Secret, Secret, and (iii) If the classified information is Confidential information may be repro- an item of equipment that is not rea- duced to the extent required by oper- sonably packable and the shell or body ational needs, or to facilitate review is classified, it shall be concealed with for declassification; an opaque enclosure that will hide all (3) Copies of classified information classified features; shall be subject to the same controls as (iv) Specialized shipping containers, the original information; and including closed cargo transporters or (4) The use of technology that pre- diplomatic pouch, may be considered vents, discourages, or detects the unau- the outer enclosure when used; and thorized reproduction of classified in- (v) When classified information is formation is encouraged. hand-carried outside a facility, a § 2001.45 Transmission [4.1, 4.2]. locked briefcase may serve as the outer enclosure. (a) General. Classified information (2) Couriers and authorized persons shall be transmitted and received in an designated to hand-carry classified in- authorized manner which ensures that formation shall ensure that the infor- evidence of tampering can be detected, mation remains under their constant that inadvertent access can be pre- and continuous protection and that di- cluded, and that provides a method rect point-to-point delivery is made. As which assures timely delivery to the an exception, agency heads may ap- intended recipient. Persons transmitting classified information are respon- prove, as a substitute for a courier on sible for ensuring that intended recipi- direct flights, the use of specialized ents are authorized persons with the shipping containers that are of suffi- capability to store classified informa- cient construction to provide evidence tion in accordance with this Directive. of forced entry, are secured with a high (b) Dispatch. Agency heads shall es- security padlock, are equipped with an tablish procedures which ensure that: electronic seal that would provide evi- (1) All classified information phys- dence of surreptitious entry and are ically transmitted outside facilities handled by the carrier in a manner to shall be enclosed in two layers, both of ensure that the container is protected which provide reasonable evidence of until its delivery is completed. tampering and which conceal the con- (c) Transmission methods within and tents. The inner enclosure shall clearly between the U.S., Puerto Rico, or a U.S. identify the address of both the sender possession or trust territory. (1) Top Se- and the intended recipient, the highest cret. Top Secret information shall be classification level of the contents, and transmitted by direct contact between any appropriate warning notices. The authorized persons; the Defense Cou- outer enclosure shall be the same ex- rier Service or an authorized govern- cept that no markings to indicate that ment agency courier service; a des- the contents are classified shall be visi- ignated courier or escort with Top Se- ble. Intended recipients shall be identi- cret clearance; electronic means over fied by name only as part of an atten- approved communications systems. tion line. The following exceptions Under no circumstances will Top Se- apply: cret information be transmitted via (i) If the classified information is an the U.S. Postal Service. internal component of a packable item (2) Secret. Secret information shall of equipment, the outside shell or body be transmitted by: may be considered as the inner enclo- (i) Any of the methods established for sure provided it does not reveal classi- Top Secret; U.S. Postal Service Ex- fied information; press Mail and U.S. Postal Service Reg- (ii) If the classified information is an istered Mail, as long as the Waiver of inaccessible internal component of a Signature and Indemnity block, item

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11–B, on the U.S. Postal Service Ex- The transmission of classified informa- press Mail Label shall not be com- tion to a U.S. Government facility lo- pleted; and cleared commercial carriers cated outside the 50 states, the District or cleared commercial messenger serv- of Columbia, the Commonwealth of ices. The use of street-side mail collec- Puerto Rico, or a U.S. possession or tion boxes is strictly prohibited; and trust territory, shall be by methods (ii) Agency heads may, on an excep- specified above for Top Secret informational basis and when an urgent re- tion or by the Department of State quirement exists for overnight delivery Courier Service. U.S. Registered Mail within the U.S. and its Territories, au- through Military Postal Service facili- thorize the use of the current holder of ties may be used to transmit Secret the General Services Administration and Confidential information provided contract for overnight delivery of in- that the information does not at any formation for the Executive Branch as time pass out of U.S. citizen control long as applicable postal regulations nor pass through a foreign postal sys- (39 CFR chapter I) are met. Any such tem. delivery service shall be U.S. owned (e) Transmission of U.S. classified infor- and operated, provide automated in- mation to foreign governments. Such transit tracking of the classified infor- transmission shall take place between mation, and ensure package integrity designated government representatives during transit. The contract shall re- using the transmission methods de- quire cooperation with government inscribed in paragraph (d) of this section. quiries in the event of a loss, theft, or When classified information is trans- possible unauthorized disclosure of ferred to a foreign government or its classified information. The sender is representative a signed receipt is re- responsible for ensuring that an au- quired. thorized person will be available to re- (f) Receipt of classified information. ceive the delivery and verification of Agency heads shall establish proce- the correct mailing address. The pack- dures which ensure that classified in- age may be addressed to the recipient formation is received in a manner by name. The release signature block which precludes unauthorized access, on the receipt label shall not be exe- provides for inspection of all classified cuted under any circumstances. The information received for evidence of use of external (street side) collection tampering and confirmation of con- boxes is prohibited. Classified Commu- tents, and ensures timely acknowledg- nications Security Information, NATO, ment of the receipt of Top Secret and and foreign government information Secret information by an authorized shall not be transmitted in this man- recipient. As noted in paragraph (e) of ner. this section, a receipt acknowledgment (3) Confidential. Confidential infor- of all classified material transmitted mation shall be transmitted by any of to a foreign government or its rep- the methods established for Secret in- resentative is required. formation or U.S. Postal Service Cer- tified Mail. In addition, when the re- § 2001.46 Destruction [4.1, 4.2]. cipient is a U.S. Government facility, (a) General. Classified information the Confidential information may be identified for destruction shall be de- transmitted via U.S. First Class Mail. stroyed completely to preclude rec- However, Confidential information ognition or reconstruction of the clas- shall not be transmitted to government sified information in accordance with contractor facilities via first class procedures and methods prescribed by mail. When first class mail is used, the agency heads. The methods and equip- envelope or outer wrapper shall be ment used to routinely destroy classi- marked to indicate that the informa- fied information include burning, tion is not to be forwarded, but is to be cross-cut shredding, wet-pulping, melt- returned to sender. The use of street- ing, mutilation, chemical decomposi- side mail collection boxes is prohib- tion or pulverizing. ited. (b) Technical guidance. Technical (d) Transmission methods to a U.S. Gov- guidance concerning appropriate meth- ernment facility located outside the U.S. ods, equipment, and standards for the

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destruction of classified electronic shall use established procedures to en- media and processing equipment com- sure coordination with— ponents may be obtained by submitting (1) The Department of Justice, and all pertinent information to the Na- (2) The legal counsel of the agency tional Security Agency/Central Secu- where the individual responsible is as- rity Service, Directorate for Informa- signed or employed. tion Systems Security, Fort Meade, MD 20755. Specifications concerning ap- § 2001.48 Special access programs [4.3]. propriate equipment and standards for (a) General. The safeguarding require- the destruction of other storage media ments of this Directive may be en- may be obtained from the GSA. hanced for information in Special Ac- cess Programs (SAP), established under § 2001.47 Loss, possible compromise or unauthorized disclosure [4.1, 4.2]. the provisions of Section 4.3 of E.O. 12958, as amended, by the agency head (a) General. Any person who has responsible for creating the SAP. Agen- knowledge that classified information cy heads shall ensure that the en- has been or may have been lost, pos- hanced controls are based on an assess- sibly compromised or disclosed to an ment of the value, critical nature, and unauthorized person(s) shall imme- vulnerability of the information. diately report the circumstances to an (b) Significant interagency support re- official designated for this purpose. quirements. Agency heads must ensure (b) Cases involving information origi- that a Memorandum of Agreement/Un- nated by a foreign government or another derstanding (MOA/MOU) is established U.S. government agency. Whenever a for each Special Access Program that loss or possible unauthorized disclosure has significant interagency support re- involves the classified information or quirements, to appropriately and fully interests of a foreign government agen- address support requirements and sup- cy, or another government agency, the porting agency oversight responsibil- department or agency in which the ities for that SAP. compromise occurred shall advise the other government agency or foreign § 2001.49 Telecommunications auto- government of the circumstances and mated information systems and net- findings that affect their information work security [4.1, 4.2]. or interests. However, foreign govern- Each agency head shall ensure that ments normally will not be advised of classified information electronically any security system vulnerabilities accessed, processed, stored or trans- that contributed to the compromise. mitted is protected in accordance with (c) Inquiry/investigation and corrective applicable national policy issuances actions. Agency heads shall establish identified in the Index of National Se- appropriate procedures to conduct an curity Telecommunications and Infor- inquiry/investigation of a loss, possible mation Systems Security Issuances compromise or unauthorized disclosure (NSTISSI) and Director of Central In- of classified information, in order to telligence Directive (DCID) 6/3. implement appropriate corrective actions, which may include disciplinary § 2001.50 Technical security [4.1]. sanctions, and to ascertain the degree Based upon the risk management fac- of damage to national security. tors referenced in § 2001.40 of this direc- (d) Department of Justice and legal tive agency heads shall determine the counsel coordination. Agency heads requirement for technical counter- shall establish procedures to ensure co- measures such as Technical Surveil- ordination with legal counsel whenever lance Countermeasures (TSCM) and a formal action, beyond a reprimand, is TEMPEST necessary to detect or deter contemplated against any person be- exploitation of classified information lieved responsible for the unauthorized through technical collection methods disclosure of classified information. and may apply countermeasures in ac- Whenever a criminal violation appears cordance with NSTISSI 7000, entitled to have occurred and a criminal pros- Tempest Countermeasures for Facili- ecution is contemplated, agency heads ties, and SPB Issuance 6–97, entitled

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National Policy on Technical Surveil- (vi) A description of the briefings lance Countermeasures. provided and a copy of the nondisclosure agreements signed. § 2001.51 Emergency authority [4.2]. (a) Agency heads or any designee § 2001.52 Open storage areas [4.1]. may prescribe special provisions for This section describes the construc- the dissemination, transmission, safe- tion standards for open storage areas. guarding and destruction of classified (a) Construction. The perimeter walls, information during certain emergency floors, and ceiling will be permanently situations. constructed and attached to each (b) In emergency situations, in which other. All construction must be done in there is an imminent threat to life or a manner as to provide visual evidence in defense of the homeland, agency of unauthorized penetration. heads or designees may authorize the (b) Doors. Doors shall be constructed disclosure of classified information to of wood, metal, or other solid material. an individual or individuals who are Entrance doors shall be secured with a otherwise not routinely eligible for ac- built-in GSA-approved three-position cess under the following conditions: combination lock. When special cir- (1) Limit the amount of classified in- cumstances exist, the agency head may formation disclosed to the absolute authorize other locks on entrance minimum to achieve the purpose; doors for Secret and Confidential stor- (2) Limit the number of individuals age. Doors other than those secured who receive it; with the aforementioned locks shall be (3) Transmit the classified informa- secured from the inside with either tion via approved Federal Government deadbolt emergency egress hardware, a channels by the most secure and expe- deadbolt, or a rigid wood or metal bar ditious method to include those re- which extends across the width of the quired in subpart C of this directive, or door, or by other means approved by other means deemed necessary when the agency head. time is of the essence; (c) Vents, ducts, and miscellaneous (4) Provide instructions about what openings. All vents, ducts, and similar specific information is classified, how openings in excess of 96 square inches it should be safeguarded; physical cus- (and over 6 inches in its smallest di- tody of classified information must re- mension) that enter or pass through an main with an authorized Federal Gov- open storage area shall be protected ernment entity, in all but the most ex- with either bars, expanded metal grills, traordinary circumstances; commercial metal sounds baffles, or an (5) Provide appropriate briefings to intrusion detection system. the recipients on their responsibilities (d) Windows. (1) All windows which not to disclose the information and ob- might reasonably afford visual observa- tain a signed nondisclosure agreement; tion of classified activities within the (6) Within 72 hours of the disclosure facility shall be made opaque or of classified information, or the ear- equipped with blinds, drapes, or other liest opportunity that the emergency coverings. permits, but no later than 30 days after (2) Windows at ground level will be the release, the disclosing authority constructed from or covered with ma- must notify the originating agency of terials which provide protection from the information by providing the fol- forced entry. The protection provided lowing information: to the windows need be no stronger (i) A description of the disclosed in- than the strength of the contiguous formation; walls. Open storage areas which are lo- (ii) To whom the information was cated within a controlled compound or disclosed; equivalent may eliminate the require- (iii) How the information was dis- ment for forced entry protection if the closed and transmitted; windows are made inoperable either by (iv) Reason for the emergency re- permanently sealing them or equipping lease; them on the inside with a locking (v) How the information is being safe- mechanism and they are covered by an guarded; and IDS (either independently or by the

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motion detection sensors within the government ‘‘Restricted,’’ ‘‘Des- area.) ignated,’’ or unclassified provided in confidence), such information must be § 2001.53 Foreign government informa- classified under E.O. 12958 as amended. tion [4.1]. The receiving agency, or a receiving The requirements described below are U.S. contractor, licensee, grantee, or additional baseline safeguarding stand- certificate holder acting in accordance ards that may be necessary for foreign with instructions received from the government information, other than U.S. Government, shall provide a de- NATO information, that requires pro- gree of protection to the foreign gov- tection pursuant to an existing treaty, ernment information at least equiva- agreement, bilateral exchange or other lent to that required by the govern- obligation. NATO classified informa- ment or international organization tion shall be safeguarded in compliance that provided the information. When with United States Security Authority adequate to achieve equivalency, these for NATO Instructions I–69 and I–70. To standards may be less restrictive than the extent practical, and to facilitate the safeguarding standards that ordi- its control, foreign government infor- narily apply to U.S. CONFIDENTIAL mation should be stored separately information. If the foreign protection from other classified information. To requirement is lower than the protec- avoid additional costs, separate storage tion required for U.S. CONFIDENTIAL may be accomplished by methods such information, the following require- as separate drawers of a container. The ments shall be met: safeguarding standards described below (1) Documents may retain their origi- may be modified if required or per- nal foreign markings if the responsible mitted by treaties or agreements, or agency determines that these markings for other obligations, with the prior are adequate to meet the purposes written consent of the National Secu- served by U.S. classification markings. rity Authority of the originating gov- Otherwise, documents shall be marked, ernment, hereafter ‘‘originating gov- ‘‘This document contains (insert name ernment.’’ of country) (insert classification level) (a) Top Secret. Records shall be main- information to be treated as U.S. (in- tained of the receipt, internal distribu- sert classification level).’’ The notation, destruction, access, reproduction, tion, ‘‘Modified Handling Authorized,’’ and transmittal of foreign government may be added to either the foreign or Top Secret information. Reproduction U.S. markings authorized for foreign requires the consent of the originating government information. If remarking government. Destruction will be wit- foreign originated documents or mat- nessed. ter is impractical, an approved cover (b) Secret. Records shall be main- sheet is an authorized option; tained of the receipt, external dispatch and destruction of foreign government (2) Documents shall be provided only Secret information. Other records may to those who have an established need- be necessary if required by the origi- to-know, and where access is required nator. Secret foreign government infor- by official duties; mation may be reproduced to meet (3) Individuals being given access mission requirements unless prohibited shall be notified of applicable handling by the originator. Reproduction shall instructions. This may be accom- be recorded unless this requirement is plished by a briefing, written instruc- waived by the originator. tions, or by applying specific handling (c) Confidential. Records need not be requirements to an approved cover maintained for foreign government sheet; Confidential information unless re- (4) Documents shall be stored in such quired by the originator. a manner so as to prevent unauthorized (d) Restricted and other foreign govern- access; ment information provided in confidence. (5) Documents shall be transmitted In order to assure the protection of in a method approved for classified in- other foreign government information formation, unless this method is provided in confidence (e.g., foreign waived by the originating government.

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(e) Third-country transfers. The reclassification activity. Activities that lease or disclosure of foreign govern- generate significant amounts of classi- ment information to any third-country fied information should conduct at entity must have the prior consent of least one document review per year. the originating government if required (f) Reporting. The format for docu- by a treaty, agreement, bilateral ex- menting findings shall be set by the of- change, or other obligation. ficial(s) responsible for the program. Subpart E—Self-Inspections § 2001.61 Coverage [5.4(d)(4)]. (a) General. These standards are not § 2001.60 General [5.4]. all-inclusive. Each agency may expand (a) Purpose. This subpart sets stand- upon the coverage according to pro- ards for establishing and maintaining gram and policy needs. Each self-in- an ongoing agency self-inspection pro- spection of an agency activity need not gram, which shall include the periodic include all the elements covered in this review and assessment of the agency’s section. Agencies without original classified product. ‘‘Self-inspection’’ classification authority need not in- means the internal review and evalua- clude in their self-inspections those tion of individual agency activities and elements of coverage pertaining to the agency as a whole with respect to original classification. the implementation of the program es- (b) Elements of coverage. (1) Original tablished under the Order. classification. (i) Evaluate original (b) Applicability. These standards are classification authority’s general un- binding on all executive branch agen- derstanding of the process of original cies that create or handle classified in- classification, including the: formation. Pursuant to Executive (A) Applicable standards for classi- Order 12829, the National Industrial Se- fication; curity Program Operating Manual (B) Levels of classification and the (NISPOM) prescribes the security re- damage criteria associated with each; quirements, restrictions and safeguards and applicable to industry, including the (C) Required classification markings. conduct of contractor self-inspections. (ii) Determine if delegations of origi- The standards established in the nal classification authority conform NISPOM should be consistent with the with the requirements of the Order, in- standards prescribed in Executive cluding whether: Order 12958, as amended and this part. (A) Delegations are limited to the (c) Responsibility. The senior agency minimum required to administer the official is responsible for the agency’s program; self-inspection program. The senior agency official shall designate agency (B) Designated original classification personnel to assist in carrying out this authorities have a demonstrable and responsibility. continuing need to exercise this au- (d) Approach. The official(s) respon- thority; sible for the program shall determine (C) Delegations are in writing and the means and methods for the conduct identify the official by name or posi- of self-inspections. These may include: tion title; and (1) A review of relevant security di- (D) New requests for delegation of rectives, guides and instructions; classification authority are justified. (2) Interviews with producers and (iii) Assess original classification users of classified information; authority’s familiarity with the dura- (3) A review of access and control tion of classification requirements, in- records and procedures; and cluding: (4) A review of a sample of classified (A) Assigning a specific date or event documents generated by agency activi- for declassification that is less than 10 ties. years when possible; (e) Frequency. The official(s) respon- (B) Establishing ordinarily a 10 year sible for the program shall set the fre- duration of classification when an ear- quency of self-inspections on the basis lier date or event cannot be deter- of program needs and the degree of mined; and

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(C) Limiting extensions of classifica- (E) Determine whether responsible tion for specific information not to ex- agency officials are cooperating with ceed 25 years for permanently valuable the ISOO Director to coordinate the records or providing a 25 year exemp- linkage and effective utilization of ex- tion. isting agency databases of records that (iv) Conduct a review of a sample of have been declassified and publicly reclassified information generated by the leased. inspected activity to determine the (4) Safeguarding. propriety of classification and the ap- (i) Monitor agency adherence to es- plication of proper and full markings. tablished safeguarding standards. (v) Evaluate classifiers’ actions to (ii) 5.4(c) of the Order—Verify wheth- comply with the standards specified in er the agency has established to the ex- § 2001.15 and § 2001.32 of this part, relat- tent practical a records system de- ing to classification and declassification guides, respectively. signed and maintained to optimize the safeguarding of classified information. (vi) Verify observance with the prohibitions on classification and limita- (iii) Assess compliance with controls tions on reclassification. for access to classified information. (vii)Assess whether the agency’s clas- (iv) Evaluate the effectiveness of the sification challenges program meets agency’s program in detecting and the requirements of the Order and this processing security violations and pre- part. venting recurrences. (2) Derivative classification. Assess (v) Assess compliance with the proce- the general familiarity of individuals dures for identifying, reporting and who classify derivatively with the: processing unauthorized disclosures of (i) Conditions for derivative classi- classified information. fication; (vi) Evaluate the effectiveness of pro- (ii) Requirement to consult with the cedures to ensure that: originator of the information when (A) The originating agency exercises questions concerning classification control over the classified information arise; it generates; (iii) Proper use of classification (B) Holders of classified information guides; and do not disclose information originated (iv) Proper and complete application by another agency without that agen- of classification markings to deriva- cy’s authorization; and tively classified documents. (C) Departing or transferred officials (3) Declassification. return all classified information in (i) Verify whether the agency has es- their possession to authorized agency tablished, to the extent practical, a personnel. system of records management to fa- (5) Security education and training. cilitate public release of declassified Evaluate the effectiveness of the agen- documents. cy’s security education and training (ii) Evaluate the status of the agency program in familiarizing appropriate declassification program, including the personnel with classification proce- requirement to: dures; and determine whether the pro- (A) Comply with the automatic de- gram meets the standards specified in classification provisions regarding his- subpart F of this part. torically valuable records over 25 years old; (6) Management and oversight. (B) Declassify, when possible, histori- (i) Determine whether original classi- cally valuable records prior to acces- fiers have received prescribed training. sion into the National Archives; (ii) Verify whether the agency’s spe- (C) Provide the Archivist with ade- cial access programs: quate and current declassification (A) Adhere to specified criteria in the guides; creation of these programs; (D) Ascertain that the agency’s man- (B) Are kept to a minimum; datory review program conforms to es- (C) Provide for the conduct of inter- tablished requirements; and nal oversight; and

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(D) Include an annual review of each (b) Applicability. These standards are program to determine whether it con- binding on all executive branch depart- tinues to meet the requirements of the ments and agencies that create or han- Order. dle classified information. Pursuant to (iii) Assess whether: Executive Order 12829, the NISPOM (A) Senior management dem- prescribes the security requirements, onstrates commitment to the success restrictions, and safeguards applicable of the program, including providing the to industry, including the conduct of necessary resources for effective imple- contractor security education and mentation; training. The standards established in (B) Producers and users of classified the NISPOM should be consistent with information receive guidance with re- the standards prescribed in Executive spect to security responsibilities and Order 12958, as amended and of this requirements; part. (C) Controls to prevent unauthorized (c) Responsibility. The senior agency access to classified information are ef- official is responsible for the agency’s fective; security education and training pro- (D) Contingency plans are in place gram. The senior agency official shall for safeguarding classified information designate agency personnel to assist in used in or near hostile areas; carrying out this responsibility. (E) The performance contract or (d) Approach. Security education and other system used to rate civilian or training should be tailored to meet the military personnel includes the man- specific needs of the agency’s security agement of classified information as a program, and the specific roles employ- critical element or item to be evalu- ees are expected to play in that pro- ated in the rating of: Original classi- gram. The agency official(s) respon- fiers; security managers; classification sible for the program shall determine management officers; and security spe- the means and methods for providing cialists; and other employees whose du- security education and training. Train- ties significantly involve the creation ing methods may include briefings, or handling of classified information; interactive videos, dissemination of in- and structional materials, and other media (F) A method is in place for col- and methods. Agencies shall maintain lecting information on the costs associ- records about the programs it has of- ated with the implementation of the fered and employee participation in Order. them. (e) Frequency. The frequency of agency security education and training will Subpart F—Security Education vary in accordance with the needs of and Training the agency’s security classification program. Each agency shall provide § 2001.70 General [5.4]. some form of refresher security edu- (a) Purpose. This subpart sets stand- cation and training at least annually. ards for agency security education and training programs. Implementation of § 2001.71 Coverage [5.4(d)(3)]. these standards should: (a) General. Each department or agen- (1) Ensure that all executive branch cy shall establish and maintain a for- employees who create, process or han- mal security education and training dle classified information have a satis- program which provides for initial and factory knowledge and understanding refresher training, and termination about classification, safeguarding, and briefings. This subpart establishes se- declassification policies and proce- curity education and training stand- dures; ards for original classification authori- (2) Increase uniformity in the con- ties, declassification authorities, secu- duct of agency security education and rity managers, classification manage- training programs; and ment officers, security specialists, and (3) Reduce improper classification, all other personnel whose duties sig- safeguarding and declassification prac- nificantly involve the creation or han- tices. dling of classified information. These

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standards are not intended to be all-in- thorities, authorized declassification clusive. The official responsible for the authorities, individuals specifically security education and training pro- designated as responsible for derivative gram may expand or modify the cov- classification, classification manage- erage provided in this part according to ment officers, security managers, secu- the agency’s program and policy needs. rity specialists, and all other personnel (b) Elements of initial coverage. All whose duties significantly involve the cleared agency personnel shall receive creation or handling of classified infor- initial training on basic security poli- mation should receive more detailed cies, principles, practices, and crimi- training. This training should be pro- nal, civil, and administrative penalties. vided before or concurrent with the Such training must be provided in con- date the employee assumes any of the junction with the granting of a secu- positions listed above, but in any event rity clearance, and prior to granting access to classified information. The no later than six months from that following areas should be considered date. Coverage considerations should for inclusion in initial briefings. include: (1) Roles and responsibilities. (1) Original Classification Authori- (i) What are the responsibilities of ties. the senior agency official, classifica- (i) What is the difference between tion management officers, the security original and derivative classification? manager and the security specialist? (ii) Who can classify information (ii) What are the responsibilities of originally? agency employees who create or handle (iii) What are the standards that a classified information? designated classifier must meet to (iii) Who should be contacted in case classify information? of questions or concerns about classi- (iv) What discretion does the Original fication matters? Classification Authority have in (2) Elements of classifying and declassifying information, for example, classifying information. foreign government information. (i) What is classified information and (v) What is the process for deter- why is it important to protect it? (ii) What are the levels of classified mining duration of classification? information and the damage criteria (vi) What are the prohibitions and associated with each level? limitations on classifying information? (iii) What are the prescribed classi- (vii) What are the basic markings fication markings and why is it impor- that must appear on classified informa- tant to have classified information tion? fully and properly marked? (viii) What are the general standards (iv) What are the general require- and procedures for declassification? ments for declassifying information? (2) Declassification authorities other (v) What are the procedures for chal- than original classification authori- lenging the classification status of in- ties. formation? (i) What are the standards, methods (3) Elements of safeguarding. and procedures for declassifying infor- (i) What are the proper procedures for mation under Executive Order 12958, as safeguarding classified information? amended? (ii) What constitutes an unauthorized (ii) What are the standards for cre- disclosure and what are the criminal, ating and using agency declassification civil, and administrative penalties associated with these disclosures? guides? (iii) What are the general conditions (iii) What is contained in the agen- and restrictions for access to classified cy’s automatic declassification plan? information? (iv) What are the agency responsibil- (iv) What should an individual do ities for the maintenance of a declas- when he or she believes safeguarding sification database? standards may have been violated? (3) Individuals specifically designated (c) Specialized security education and as responsible for derivative classifica- training. Original classification au- tion, security managers, classification

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management officers, security special- ment for refresher training by means of ists or any other personnel whose du- audiovisual products or written mate- ties significantly involve the creation rials. or handling of classified information. (e) Termination briefings. Each agency (i) What are the original and deriva- shall ensure that each employee grant- tive classification processes and the ed access to classified information who standards applicable to each? leaves the service of the agency re- (ii) What are the proper and complete ceives a termination briefing. Also, classification markings, as described in each agency employee whose clearance subpart B of this part? is withdrawn must receive such a brief- (iii) What are the authorities, meth- ing. At a minimum, termination brief- ods and processes for downgrading and ings must impress upon each employee: declassifying information? The continuing responsibility not to (iv) What are the methods for the disclose any classified information to proper use, storage, reproduction, which the employee had access and the transmission, dissemination and de- potential penalties for non-compliance; struction of classified information? and the obligation to return to the ap- (v) What are the requirements for propriate agency official all classified creating and updating classification documents and materials in the em- and declassification guides? ployee’s possession. (vi) What are the requirements for (f) Other security education and train- controlling access to classified infor- ing. Agencies are encouraged to develop mation? additional security education and (vii) What are the procedures for in- training according to program and pol- vestigating and reporting instances of icy needs. Such security education and security violations, and the penalties training could include: associated with such violations? (1) Practices applicable to U.S. offi- (viii) What are the requirements for cials traveling overseas; creating, maintaining, and terminating (2) Procedures for protecting classi- special access programs, and the mech- fied information processed and stored anisms for monitoring such programs? in automated information systems; (ix) What are the procedures for the (3) Methods for dealing with secure use, certification and accredita- uncleared personnel who work in prox- tion of automated information systems imity to classified information; and networks which use, process, store, (4) Responsibilities of personnel serv- reproduce, or transmit classified infor- ing as couriers of classified informa- mation? tion; and (x) What are the requirements for (5) Security requirements that gov- oversight of the security classification ern participation in international pro- program, including agency self-inspec- grams. tions? (d) Refresher security education and Subpart G—Reporting and training. Agencies shall provide re- Definitions fresher training to employees who create, process or handle classified infor- § 2001.80 Statistical reporting mation. Refresher training should rein- [5.2(b)(4)]. force the policies, principles and proce- Each agency that creates or handles dures covered in initial and specialized classified information shall report an- training. Refresher training should nually to the Director of ISOO statis- also address the threat and the tech- tics related to its security classifica- niques employed by foreign intel- tion program. The Director will in- ligence activities attempting to obtain struct agencies what data elements are classified information, and advise per- required, and how and when they are to sonnel of penalties for engaging in es- be reported. pionage activities. Refresher training should also address issues or concerns § 2001.81 Accounting for costs identified during agency self-inspec- [5.4(d)(8)]. tions. When other methods are imprac- (a) Information on the costs associ- tical, agencies may satisfy the require- ated with the implementation of the

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Order will be collected from the agen- declassification under E.O. 12958, as cies. The agencies will provide data to amended. ISOO on the cost estimates for classi- (h) ‘‘Federal Record’’ includes all fication-related activities. ISOO will books, papers, maps, photographs, ma- report these cost estimates annually to chine-readable materials, or other doc- the President. The agency senior offi- umentary materials, regardless of cial should work closely with the agen- physical form or characteristics, made cy comptroller to ensure that the best or received by an agency of the United estimates are collected. States Government under Federal law (b) The Secretary of Defense, acting or in connection with the transaction as the executive agent for the National of public business and preserved or ap- Industrial Security Program under Ex- propriate for preservation by that ecutive Order 12829, and consistent agency or its legitimate successor as with agreements entered into under evidence of the organization, functions, section 202 of E.O. 12829, will collect policies, decisions, procedures, oper- cost estimates for classification-re- ations, or other activities of the Gov- lated activities of contractors, licens- ernment or because of the informa- ees, certificate holders, and grantees, tional value of data in them. Library and report them to ISOO annually. and museum material made or ac- ISOO will report these cost estimates quired and preserved solely for ref- annually to the President. erence, and stocks of publications and processed documents are not included. § 2001.82 Definitions [6.1]. (44 U.S.C. 3301) (i) ‘‘File series’’ means a body of re- (a) ‘‘Accessioned Records’’ means lated records created or maintained by records of permanent historical value an agency, activity, office or indi- in the legal custody of NARA. vidual. The records may be related by (b) means a per- ‘‘Authorized person’’ subject, topic, form, function, or filing son who has a favorable determination scheme. An agency, activity, office, or of eligibility for access to classified in- individual may create or maintain sev- formation, has signed an approved non- eral different file series, each serving a disclosure agreement, and has a need- different function. Examples may in- to-know for the specific classified include a subject file, alphabetical name formation in the performance of offi- index, chronological file, or a record cial duties. set of agency publications. File series (c) ‘‘Cleared commercial carrier’’ means frequently correspond to items on a a carrier that is authorized by law, reg- NARA-approved agency records sched- ulatory body, or regulation, to trans- ule. Some very large series may con- port SECRET and CONFIDENTIAL ma- tain several identifiable sub-series, and terial and has been granted a SECRET it may be appropriate to treat sub-se- facility clearance in accordance with ries as discrete series for the purposes the National Industrial Security Pro- of the Order. gram. (j) ‘‘Newly Discovered Records’’ means (d) ‘‘Control’’ means the authority of records that were inadvertently not re- the agency that originates informa- viewed prior to the effective date of tion, or its successor in function, to automatic declassification because the regulate access to the information. agency declassification authority was (e) ‘‘Declassified or Declassification’’ unaware of their existence. means the authorized change in the (k) ‘‘Open storage area’’ means an status of information from classified area constructed in accordance with information to unclassified informa- section 2001.62 and authorized by the tion. agency head for open storage of classi- (f) ‘‘Equity’’ means information origi- fied information. nally classified by or under the control (l) ‘‘Pass/Fail (P/F)’’ means a declas- of an agency. sification technique that regards infor- (g) ‘‘Exempted’’ means nomenclature mation at the full document or folder and marking indicating information level. Any exemptible portion of a doc- has been determined to fall within an ument or folder may result in exemp- enumerated exemption from automatic tion (failure) of the entire documents

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or folders. Documents or folders that mitigate the vulnerability of open stor- contain no exemptible information are age areas without alarms and security passed and therefore declassified. Doc- storage cabinets during non-working uments within exempt folders are ex- hours. empt from automatic declassification. (r) ‘‘Tab’’ means a narrow paper Declassified documents may be subject sleeve placed around a document or to FOIA exemptions other than the se- group of documents in such a way that curity exemption ((b)(1)), and the re- it would be readily visible. quirements placed by legal authorities (s) ‘‘Transferred Records’’ means governing Presidential records and ma- records transferred to agency storage terials. facilities or a federal records center. (m) ‘‘Permanent Records’’ means any (t) ‘‘Temporary Records’’ means fed- Federal record that has been deter- eral records approved by NARA for dis- mined by NARA to have sufficient posal, either immediately or after a value to warrant its preservation in specified retention period. Also called the National Archives of the United disposable records. States. Permanent records include all (u) ‘‘Unscheduled Records’’ means fed- records accessioned by NARA into the eral records whose final disposition has National Archives of the United States not been approved by NARA. All and later increments of the same records that fall under a NARA ap- records, and those for which the dis- proved records control schedule are position is permanent on SF 115s, Re- considered to be scheduled records. quest for Records Disposition Author- (v) ‘‘Vault’’ means an area approved ity, approved by NARA on or after May by the agency head which is designed 14, 1973. and constructed of masonry units or (n) ‘‘Presidential Historical Materials steel lined construction to provide pro- and Records’’ means the papers or tection against forced entry. A mod- records of the former Presidents under ular vault approved by the General the legal control of the Archivist pur- Services Administration (GSA) may be suant to sections 2107, 2111, 2111note, or used in lieu of a vault as prescribed in 2203 of title 44, U.S.C., as defined at 44 the first sentence of this paragraph (e). U.S.C. 2111, 2111note, and 2001. Vaults shall be equipped with a GSA- (o) ‘‘Records’’ means the records of an approved vault door and lock. agency and Presidential papers or Pres- idential records, as those terms are de- § 2001.83 Effective date [6.3]. fined in title 44, United States Code, in- Part 2001 shall become effective Sep- cluding those created or maintained by tember 22, 2003. a government contractor, licensee, certificate holder, or grantee that are sub- APPENDIX A TO PART 2001—INTER- ject to the sponsoring agency’s control AGENCY SECURITY CLASSIFICATION under the terms of the contract, li- APPEALS PANEL BYLAWS cense, certificate, or grant. ARTICLE I. PURPOSE (p) ‘‘Redaction’’ means the removal of exempted information from copies of a The purpose of the Interagency Security Classification Appeals Panel (ISCAP) and document. these bylaws is to fulfill the functions as- (q) ‘‘Security-in-depth’’ means a deter- signed to the ISCAP by Executive Order mination by the agency head that a fa- 12958, ‘‘Classified National Security Informa- cility’s security program consists of tion,’’ as amended. layered and complementary security controls sufficient to deter and detect ARTICLE II. AUTHORITY unauthorized entry and movement Executive Order 12958, ‘‘Classified National within the facility. Examples include, Security Information,’’ as amended (here- but are not limited to, use of perimeter after the ‘‘Order’’), and its implementing directives. fences, employee and visitor access controls, use of an Intrusion Detection ARTICLE III. MEMBERSHIP System (IDS), random guard patrols A. Primary Membership. Appointments throughout the facility during non- under section 5.3(a) of the Order establish working hours, closed circuit video the primary membership of the ISCAP. monitoring or other safeguards that B. Alternate Membership.

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1. Primary members are expected to par- complete and timely manner. The members ticipate fully in the activities of the ISCAP. may arrange briefings by substantive experts The Executive Secretary shall request that from individual departments or agencies, each entity represented on the ISCAP also after consultation with the Chair. designate in writing addressed to the Chair E. Agenda. The Chair shall establish the an alternate or alternates to represent it on agenda for all meetings. Potential items for all occasions when the primary member is the agenda may be submitted to the Chair by unable to participate. Such written designa- any member or the Executive Secretary. tion must be made by the agency or office Acting through the Executive Secretary, the head represented on the ISCAP, or by their Chair will distribute the agenda and sup- deputy or senior agency official for the porting materials to the members as soon as Order. When serving for a primary member, possible before a scheduled meeting. an alternate member shall assume all the rights and responsibilities of that primary F. Minutes. The Executive Secretary shall member, including voting. be responsible for the preparation of each 2. When a vacancy in the primary member- meeting’s minutes, and the distribution of ship occurs, the designated alternate shall draft minutes to each member. The minutes represent the agency or office until the agen- will include a record of the members present cy or office head fills the vacancy. The at the meeting and the result of each vote. Chair, working through the Executive Sec- At the subsequent meeting of the ISCAP, the retary, shall take all appropriate measures Chair will read or reference the draft min- to encourage the agency or office head to fill utes of the previous meeting. At that time a vacancy in the primary membership as the minutes will be corrected, as necessary, quickly as possible. and approved by the membership and cer- C. Liaison. The Executive Secretary shall tified by the Chair. The approved minutes request that each entity represented on the will be maintained among the records of the ISCAP also designate to the Chair in writing ISCAP. an individual or individuals (hereinafter referred to as ‘‘liaisons’’) to serve as a liaison ARTICLE V. VOTING to the Executive Secretary in support of the primary member and alternate(s). Such writ- A. Motions. When a decision or rec- ten designation must be made by the agency ommendation of the ISCAP is required to re- or office head represented on the ISCAP, or solve a matter before it, the Chair shall re- by their deputy or senior agency official for quest or accept a motion for a vote. Any the Order. These designated individuals shall member, including the Chair, may make a meet at the call of the Executive Secretary. motion for a vote. No second shall be re- D. Chair. As provided in section 5.3(a) of quired to bring any motion to a vote. A the Order, the President shall select the quorum must be present when a vote is Chair from among the primary members. taken. E. Vice Chair. The members may elect B. Eligibility. Only the members, including from among the primary members a Vice the Chair, may vote on a motion before the Chair who shall: ISCAP, with each agency or office rep- 1. Chair meetings that the Chair is unable resented having one vote. to attend; and C. Voting Procedures. Votes shall ordi- 2. Serve as Acting Chair during a vacancy narily be taken and tabulated by a show of in the Chair of the ISCAP. hands. ARTICLE IV. MEETINGS D. Passing a Motion. In response to a motion, members may vote affirmatively, nega- A. Purpose. The primary purpose of ISCAP tively, or abstain from voting. Except as oth- meetings is to discuss and bring formal reso- erwise provided in these bylaws, a motion lution to matters before the ISCAP. passes when it receives a majority of affirm- B. Frequency. As provided in section 5.3(a) ative votes of the members voting. However, of the Order, the ISCAP shall meet at the in no instance will the ISCAP reverse an call of the Chair, who shall schedule meet- agency’s decision without the affirmative ings as may be necessary for the ISCAP to fulfill its functions in a timely manner. The vote of at least a majority of the members Chair shall also convene the ISCAP when represent. quested by a majority of its primary mem- E. Votes in a Non-meeting Context. The bers. Chair may call for a vote of the membership C. Quorum. Meetings of the ISCAP may be outside the context of a formal ISCAP meet- held only when a quorum is present. For this ing. An alternate member may also partici- purpose, a quorum requires the presence of pate in such a vote if the primary member at least five primary or alternate members. cannot. The Executive Secretary shall record D. Attendance. As determined by the and retain such votes in a documentary form Chair, attendance at meetings of the ISCAP and immediately report the results to the shall be limited to those persons necessary Chair and other primary and alternate mem- for the ISCAP to fulfill its functions in a bers.

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ARTICLE VI. FIRST FUNCTION: APPEALS OF D. Rejection of Appeal. If the Executive AGENCY DECISIONS REGARDING CLASSIFICA- Secretary determines that the appeal does TION CHALLENGES not meet the requirements of the Order or these bylaws, the Executive Secretary shall In accordance with section 5.3(b) of the Order, the ISCAP shall decide on appeals by notify the appellant in writing that the ap- authorized persons who have filed classifica- peal will not be considered by the ISCAP. tion challenges under section 1.8 of the The notification shall include an explanation Order. of why the appeal is deficient. A. Jurisdiction. The ISCAP will consider E. Preparation. The Executive Secretary appeals from classification challenges that shall notify the Chair, the designated senior otherwise meet the standards of the Order if: agency official, and the primary member, al- 1. The appeal is filed in accordance with ternate, or liaison of the affected agency(ies) these bylaws; when an appeal is lodged. Under the direc- 2. The appellant has previously challenged tion of the ISCAP, the Executive Secretary the classification action at the agency that shall supervise the preparation of an appeal originated or is otherwise responsible for the file, pertinent portions of which will be pre- information in question in accordance with sented to the members of the ISCAP for the agency’s procedures or, if the agency has their review prior to a vote on the appeal. failed to establish procedures for classifica- The appeal file will eventually include all tion challenges, by filing a written challenge records pertaining to the appeal. directly with the agency head or designated F. Resolution of Appeals. The ISCAP may senior agency official, as defined in section vote to affirm the agency’s decision, to re- 6.1(ii) of the Order; verse the agency’s decision in whole or in 3. The appellant has (a) Received a final part, or to remand the matter to the agency agency decision denying his or her challenge; for further consideration. A decision to re- or (b) Not received (i) an initial written reverse an agency’s decision requires the af- sponse to the classification challenge from firmative vote of at least a majority of the the agency within 120 days of its filing, or members present. (ii) a written response to an internal agency G. Notification. The Executive Secretary appeal within 90 days of the filing of the ap- shall promptly notify in writing the appel- peal; lant, the agency head, and designated senior 4. There is no action pending in the federal agency official of the ISCAP’s decision. courts regarding the information in ques- H. Agency Appeals. Within 60 days of re- tion; and ceipt of an ISCAP decision that reverses a 5. The information in question has not final agency decision, the agency head may been the subject of review by the federal petition the President through the Assistant courts or the ISCAP within the past two to the President for National Security Af- years. fairs to overrule the decision of the ISCAP. B. Addressing of Appeals. Appeals should I. Protection of Classified Information. All be addressed to: Executive Secretary, Inter- persons involved in the appeal shall make agency Security Classification Appeals every effort to minimize the inclusion of Panel, Attn: Classification Challenge Ap- classified information in the appeal file. Any peals, c/o Information Security Oversight Of- classified information contained in the ap- fice, National Archives and Records Admin- peal file shall be handled and protected in istration, 7th and Pennsylvania Avenue, accordance with the Order and its imple- NW., Room 500, Washington, DC 20408. The menting directives. Information being chal- appeal must contain enough information for lenged for classification shall remain classi- the Executive Secretary to be able to obtain fied unless and until a final decision is made all pertinent documents about the classifica- to declassify it. In no instance will the tion challenge from the affected agency. No ISCAP declassify properly classified infor- classified information should be included mation solely because of an agency’s failure within the initial appeal document. The Ex- to prescribe or follow appropriate procedures ecutive Secretary will arrange for the trans- for handling classification challenges. mittal of classified information from the J. Maintenance of File. The Executive Sec- agency after receiving the appeal. If it is im- retary shall maintain the appeal file among possible for the appellant to file an appeal the records of the ISCAP. without including classified information, prior arrangements must be made by con- ARTICLE VII. SECOND FUNCTION: REVIEW OF tacting the Information Security Oversight AGENCY EXEMPTIONS FROM AUTOMATIC DE- Office. CLASSIFICATION C. Timeliness of Appeals. An appeal to the ISCAP must be filed within 60 days of: In accordance with section 5.3(b) of the 1. The date of the final agency decision; or Order, the ISCAP shall approve, deny or 2. The agency’s failure to meet the time amend agency exemptions from automatic frames established in paragraph (A)(3)(b) of declassification as provided in section 3.3(d) this Article. of the Order.

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A. Agency Notification of Exemptions. The declassification requests that otherwise agency head or designated senior agency of- meet the standards of the Order if: ficial shall notify the Executive Secretary of 1. The appeal is filed in accordance with agency exemptions in accordance with the these bylaws; requirements of the Order and its imple- 2. The appellant has previously filed a re- menting directives. Agencies shall provide quest for mandatory declassification review any additional information or justification at the agency that originated or is otherwise that the Executive Secretary believes is nec- responsible for the information in question essary or helpful in order for the ISCAP to in accordance with the agency’s procedures review and decide on the exemption. The or, if the agency has failed to establish pro- agency head may seek relief from the ISCAP cedures for mandatory review, by filing a from any request for information by the Ex- written request directly with the agency ecutive Secretary to which the agency ob- head or designated senior agency official; jects. 3. The appellant has (a) Received a final B. Preparation. The Executive Secretary agency decision denying his or her request; shall notify the Chair of the agency submis- or (b) Not received (i) an initial decision on sion. At the direction of the ISCAP, the Ex- the request for mandatory declassification ecutive Secretary shall supervise the prepa- review from the agency within one year of ration of an exemption file, pertinent por- its filing, or (ii) a final decision on an inter- tions of which will be presented to the mem- nal agency appeal within 180 days of the fil- bers of the ISCAP for their review prior to a ing of the appeal; vote on the exemptions. The exemption file 4. There is no action pending in the federal will eventually include all records pertaining courts regarding the information in ques- to the ISCAP’s consideration of the agency’s tion; and exemptions. 5. The information in question has not C. Resolution. The ISCAP may vote to ap- been the subject of review by the federal prove an agency exemption, to deny an agen- courts or the ISCAP within the past two cy exemption, to amend an agency exemption, or to remand the matter to the agency years. for further consideration. A decision to deny B. Addressing of Appeals. Appeals should or amend an agency exemption requires the be addressed to: Executive Secretary, Inter- affirmative vote of a majority of the mem- agency Security Classification Appeals bers present. Panel, Attn: Mandatory Review Appeals, c/o D. Notification. The Executive Secretary Information Security Oversight Office, Na- shall promptly notify in writing the agency tional Archives and Records Administration, head and designated senior agency official of 7th and Pennsylvania Avenue, NW., Room the ISCAP’s decision. 500, Washington, DC 20408. The appeal must E. Agency Appeals. Within 60 days of re- contain enough information for the Execu- ceipt of an ISCAP decision that denies or tive Secretary to be able to obtain all perti- amends an agency exemption, the agency nent documents about the request for man- head may petition the President through the datory declassification review from the af- Assistant to the President for National Secu- fected agency. rity Affairs to overrule the decision of the C. Timeliness of Appeals. An appeal to the ISCAP. ISCAP must be filed within 60 days of: F. Protection of Classified Information. 1. The date of the final agency decision; or Any classified information contained in the 2. The agency’s failure to meet the time exemption file shall be handled and pro- frames established in paragraph (A)(3)(b) of tected in accordance with the Order and its this Article. implementing directives. Information that D. Rejection of Appeal. If the Executive the agency maintains is exempt from declas- Secretary determines that the appeal does sification shall remain classified unless and not meet the requirements of the Order or until a final decision is made to declassify it. these bylaws, the Executive Secretary shall G. Maintenance of File. The Executive Sec- notify the appellant in writing that the ap- retary shall maintain the exemption file peal will not be considered by the ISCAP. among the records of the ISCAP. The notification shall include an explanation of why the appeal is deficient. ARTICLE VIII. THIRD FUNCTION: APPEALS OF E. Preparation. The Executive Secretary AGENCY DECISIONS DENYING DECLASSIFICA- shall notify the Chair and the primary mem- TION UNDER MANDATORY REVIEW PROVI- ber, alternate, or liaison of the affected SIONS OF THE ORDER agency(ies) when an appeal is lodged. Under In accordance with section 5.3(b) of the the direction of the ISCAP, the Executive Order, the ISCAP shall decide on appeals by Secretary shall supervise the preparation of parties whose requests for declassification an appeal file, pertinent portions of which under section 3.5 of the Order have been de- will be presented to the members of the nied. ISCAP for their review prior to a vote on the A. Jurisdiction. The ISCAP will consider appeal. The appeal file will eventually in- appeals from denials of mandatory review for clude all records pertaining to the appeal.

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F. Narrowing Appeals. To expedite the res- jority vote, or an agency head represented on olution of appeals and minimize backlogs, the Panel, may petition the President, the Executive Secretary is authorized to through the Assistant to the President for consult with appellants with the objective of National Security Affairs, to reverse the narrowing or prioritizing the information DCI’s determination. Such petitions must be subject to the appeal. made within 60 days of receipt of the DCI’s G. Resolution of Appeals. The ISCAP may determination. If the Panel has not been no- vote to affirm the agency’s decision, to re- tified of the DCI’s determination within 60 verse the agency’s decision in whole or in days (or if additional time is requested as part, or to remand the matter to the agency outlined above, within 90 days) of the date for further consideration. A decision to re- that the DCI has been notified of the Panel’s verse an agency’s decision requires the af- conclusion, the information shall be declas- firmative vote of at least a majority of the sified, pending resolution of any appeals filed members present. pursuant to section I of Article VIII of these H. Notification. The Executive Secretary bylaws. shall promptly notify in writing the appellant, the agency head, and designated senior ARTICLE X. ADDITIONAL FUNCTIONS agency official of the ISCAP’s decision. In its consideration of the matters before I. Agency Appeals. Within 60 days of re- it, the ISCAP shall perform such additional ceipt of an ISCAP decision that reverses a advisory functions as are consistent with final agency decision, the agency head may and supportive of the successful implementa- petition the President through the Assistant tion of the Order. to the President for National Security Af- fairs to overrule the decision of the ISCAP. ARTICLE XI. SUPPORT STAFF J. Protection of Classified Information. As provided in section 5.3(a) of the Order, Any classified information contained in the the Director of the Information Security appeal file shall be handled and protected in Oversight Office will serve as Executive Sec- accordance with the Order and its imple- retary to the ISCAP, and the staff of the In- menting directives. Information that is sub- formation Security Oversight Office will project to an appeal from an agency decision de- vide program and administrative support for nying declassification under the mandatory the ISCAP. The Executive Secretary will su- review provisions of the Order shall remain pervise the staff in this function pursuant to classified unless and until a final decision is the direction of the Chair and ISCAP. On an made to declassify it. In no instance will the as needed basis, the ISCAP may seek ISCAP declassify properly classified infor- detailees from its member agencies to aug- mation solely because of an agency’s failure ment the staff of the Information Security to prescribe or follow appropriate procedures Oversight Office in support of the ISCAP. for handling mandatory review for declassification requests and appeals. ARTICLE XII. RECORDS K. Maintenance of File. The Executive Sec- retary shall maintain the appeal file among A. Integrity of ISCAP Records. The Execu- the records of the ISCAP. All information tive Secretary shall maintain separately declassified as a result of ISCAP action shall documentary materials, regardless of their be available for inclusion within the data- physical form or characteristics, that are bases delineated in section 3.7 of the Order. produced by or presented to the ISCAP or its staff in the performance of the ISCAP’s func- ARTICLE IX. INFORMATION OWNED OR CON- tions, consistent with applicable federal law. TROLLED BY THE DIRECTOR OF CENTRAL IN- B. Referrals. Any Freedom of Information TELLIGENCE (DCI) Act request or other access request for a doc- Notwithstanding any conclusion reached ument that originated within an agency by the ISCAP that information owned or other than the ISCAP shall be referred to controlled by the DCI should be declassified, that agency for processing. if the DCI disagrees because he or she has ARTICLE XIII. ANNUAL REPORTS TO THE made a determination as set forth in section PRESIDENT 5.3(f) of the Order, and he or she so notifies the Panel, the information shall remain clas- The ISCAP has been established for the sified. The Panel expects notification to nor- sole purpose of advising and assisting the mally be made in writing within 60 days of President in the discharge of his constitu- receipt of the Panel’s written notification of tional and discretionary authority to protect such a conclusion. In the event that the DCI the national security of the United States requires additional time to provide notifica- (section 5.3(e) of the Order). As provided in tion to the Panel, the DCI, his or her deputy, section 5.3(a) of the Order, pertinent infor- or the DCI’s primary or alternate Panel mation and data about the activities of the member, shall notify the Panel, in writing, ISCAP shall be included in the Reports to of the need for additional time, not to exceed the President issued by the Information Se- an additional 30 days. Following receipt of curity Oversight Office. The Chair, in coordi- the DCI’s determination, the Panel, by ma- nation with the other members of the ISCAP

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and the Executive Secretary, shall deter- and/or will reduce the costs associated mine what information and data to include with its protection. in each Report. [48 FR 40849, Sept. 9, 1983] ARTICLE XIV. APPROVAL, AMENDMENT, AND PUBLICATION OF BYLAWS § 2003.2 Scope. The approval and amendment of these by- The use of the standard forms pre- laws shall require the affirmative vote of at scribed in subpart B is mandatory for least four of the ISCAP’s members. In ac- all departments, and independent agen- cordance with the Order, the Executive Sec- cies or offices of the executive branch retary shall submit the approved bylaws and their amendments for publication in the that create and/or handle national se- FEDERAL REGISTER. curity information. As appropriate, these departments, and independent [69 FR 17053, Apr. 1, 2004] agencies or offices may mandate the use of these forms by their contractors, PART 2003—NATIONAL SECURITY licensees or grantees who are author- INFORMATION—STANDARD FORMS ized access to national security information. Subpart A—General Provisions [48 FR 40849, Sept. 9, 1983] Sec. § 2003.3 Waivers. 2003.1 Purpose. 2003.2 Scope. Except as specifically provided, waiv- 2003.3 Waivers. ers from the mandatory use of the 2003.4 Availability. standard forms prescribed in subpart B may be granted only by the Director of Subpart B—Prescribed Forms ISOO. 2003.20 Classified Information Nondisclosure [52 FR 10190, Mar. 30, 1987] Agreement: SF 312; Classified Informa- tion Nondisclosure Agreement: SF 189; § 2003.4 Availability. Classified Information Nondisclosure Agreement (Industrial/Commercial/Non- Agencies may obtain copies of the Government): SF 189–A. standard forms prescribed in subpart B 2003.21 Security Container Information: SF by ordering through FEDSTRIP/ 700. MILSTRIP or from the General Serv- 2003.22 Activity Security Checklist: SF 701. ices Administration (GSA) Customer 2003.23 Security Container Check Sheet: SF Supply Centers (CSCs). The national 702. stock number of each form is cited 2003.24 TOP SECRET Cover Sheet: SF 703. with its description in subpart B. 2003.25 SECRET Cover Sheet: SF 704. 2003.26 CONFIDENTIAL Cover Sheet: SF [50 FR 51826, Dec. 19, 1985] 705. 2003.27 TOP SECRET Label SF 706. Subpart B—Prescribed Forms 2003.28 SECRET Label SF 707. 2003.29 CONFIDENTIAL Label SF 708. § 2003.20 Classified Information Non- 2003.30 CLASSIFIED Label SF 709. disclosure Agreement: SF 312; Clas- 2003.31 UNCLASSIFIED Label SF 710. sified Information Nondisclosure 2003.32 DATA DESCRIPTOR Label SF 711. Agreement: SF 189; Classified Infor- mation Nondisclosure Agreement AUTHORITY: Sec. 5.2(b)(7) of E.O. 12356. (Industrial/Commercial/Non-Gov- ernment): SF 189–A. Subpart A—General Provisions (a) SF 312, SF 189, and SF 189–A are nondisclosure agreements between the § 2003.1 Purpose. United States and an individual. The The purpose of the standard forms prior execution of at least one of these prescribed in subpart B is to promote agreements, as appropriate, by an indi- the implementation of the govern- vidual is necessary before the United ment-wide information security pro- States Government may grant that in- gram. Standard forms are prescribed dividual access to classified informa- when their use will enhance the protection. From the effective date of this tion of national security information rule, September 29, 1988, the SF 312

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shall be used in lieu of both the SF 189 (e) The use of the ‘‘Security Debrief- and the SF 189–A for this purpose. In ing Acknowledgement’’ portion of the any instance in which the language in SF 312 is optional at the discretion of the SF 312 differs from the language in the implementing agency. either the SF 189 or SF 189–A, agency (f) An authorized representative of a heads shall interpret and enforce the contractor, licensee, grantee, or other SF 189 or SF 189–A in a manner that is non-Government organization, acting fully consistent with the interpreta- as a designated agent of the United tion and enforcement of the SF 312. States, may witness the execution of (b) All employees of executive branch the SF 312 by another non-Government departments, and independent agencies employee, and may accept it on behalf or offices, who have not previously of the United States. Also, an employee signed the SF 189, must sign the SF 312 of a United States agency may witness before being granted access to classi- the execution of the SF 312 by an em- fied information. An employee who has ployee, contractor, licensee or grantee previously signed the SF 189 is per- of another United States agency, pro- mitted, at his or her own choosing, to vided that an authorized United States substitute a signed SF 312 for the SF Government official or, for non-Gov- 189. In these instances, agencies shall ernment employees only, a designated take all reasonable steps to dispose of agent of the United States subse- the superseded nondisclosure agree- quently accepts by signature the SF ment or to indicate on it that it has 312 on behalf of the United States. been superseded. (g) The provisions of the SF 312, the (c) All Government contractor, li- SF 189, and the SF 189–A do not super- censee, and grantee employees, or sede the provisions of section 2302, title other non-Government personnel re- 5, United States Code, which pertain to quiring access to classified information the protected disclosure of information in the performance of their duties, who by Government employees, or any have not previously signed either the other laws of the United States. SF 189 or the SF 189–A, must sign the SF 312 before being granted access to (h)(1) Modification of the SF 189. The classified information. An employee second sentence of paragraph 1 of every who has previously signed either the executed copy of the SF 189 is clarified SF 189 or the SF 189–A is permitted, at to read: his or her own choosing, to substitute a As used in this Agreement, classified infor- signed SF 312 for either the SF 189 or mation is marked or unmarked classified in- the SF 189–A. In these instances, agen- formation, including oral communications, cies, with the cooperation of the perti- that is classified under the standards of Ex- nent contractor, licensee or grantee, ecutive Order 12356, or under any other Exec- shall take all reasonable steps to dis- utive order or statute that prohibits the unauthorized disclosure of information in the pose of the superseded nondisclosure interest of national security; and unclassi- agreement or to indicate on it that it fied information that meets the standards has been superseded. for classification and is in the process of a (d) Agencies may require other per- classification determination as provided in sons, who are not included under para- sections 1.1(c) and 1.2(e) of Executive Order graphs (b) or (c) of this section, and 12356, or under any other Executive order or who have not previously signed either statute that requires protection for such in- the SF 189 or the SF 189–A, to execute formation in the interest of national security. SF 312 before receiving access to classified information. A person in such cir- (2) Scope of ‘‘classified information’’. cumstances who has previously signed As used in the SF 312, the SF 189, and either the SF 189 or the SF 189–A is the SF 189–A, ‘‘classified information’’ permitted, at his or her own choosing, is marked or unmarked classified infor- to substitute a signed SF 312 for either mation, including oral communica- the SF 189 or the SF 189–A. In these in- tions; and unclassified information stances, agencies shall take all reason- that meets the standards for classifica- able steps to dispose of the superseded tion and is in the process of a classi- nondisclosure agreement or to indicate fication determination, as provided in on it that it has been superseded. sections 1.1(c) and 1.2(e) of Executive

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Order 12356 or any other statute or Ex- obligations, rights, sanctions and liabilities ecutive order that requires interim created by said Executive Order and listed protection for certain information statutes are incorporated into this Agree- while a classification determination is ment and are controlling. 11. I have read this Agreement carefully pending. ‘‘Classified information’’ does and my questions, if any, have been an- not include unclassified information swered. I acknowledge that the briefing offi- that may be subject to possible classi- cer has made available to me the Executive fication at some future date, but is not Order and statutes referenced in this Agree- currently in the process of a classifica- ment and its implementing regulation (32 tion determination. CFR 2003.20) so that I may read them at this (3) Basis for liability. A party to the time, if I so choose. SF 312, SF 189 or SF 189–A may be lia- (ii) The first sentence of paragraph 7 ble for disclosing ‘‘classified informa- of each executed copy of the SF 312, SF tion’’ only if he or she knows or rea- 189 and SF 189–A, whether executed sonably should know that: (i) The prior to or after the publication of this marked or unmarked information is rule, is amended to read: classified, or meets the standards for I understand that all classified information classification and is in the process of a to which I have access or may obtain access classification determination; and (ii) by signing this Agreement is now and will his or her action will result, or reason- remain the property of, or under the control ably could result in the unauthorized of the United States Government unless and disclosure of that information. until otherwise determined by an authorized In no instance may a party to the SF official or final ruling of a court of law. 312, SF 189 or SF 189–A be liable for vio- The second sentence of paragraph 7 of lating its nondisclosure provisions by each executed copy of the SF 312 (Sep- disclosing information when, at the tember 1988 version), SF 189 and SF time of the disclosure, there is no basis 189–A, which reads, ‘‘I do not now, nor to suggest, other than pure specula- will I ever, possess any right, interest, tion, that the information is classified title or claim whatsoever to such infor- or in the process of a classification de- mation,’’ and whether executed prior termination. to or after the publication of this rule, (4) Modification of the SF 312, SF 189 is deleted. and SF 189–A. (i) Each executed copy of (i) Points of clarification. (1) As used in the SF 312, SF 189 and SF 189–A, wheth- paragraph 3 of SF 189 and SF–189–A, the er executed prior to or after the publi- word ‘‘indirect’’ refers to any situation cation of this rule, is amended to in- in which the knowing, willful or neg- clude the following paragraphs 10 and ligent action of a party to the agree- 11. ment results in the unauthorized dis- 10. These restrictions are consistent with closure of classified information even and do not supersede, conflict with or other- though the party to the agreement wise alter the employee obligations, rights does not directly communicate, deliver or liabilities created by Executive Order or transmit classified information to a 12356; section 7211 of title 5 U.S.C. (governing person who is not authorized to receive disclosures to Congress); section 1034 of title it. 10 U.S.C., as amended by the Military Whis- (2) As used in paragraph 7 of SF 189, tleblower Protection Act (governing disclo- ‘‘information’’ refers to ‘‘classified insure to Congress by members of the military); section 2302(b)(8) of title 5 U.S.C., as formation,’’ exclusively. amended by the Whistleblower Protection (3) As used in the third sentence of Act (governing disclosures of illegality, paragraph 7 of SF 189 and SF 189–A, the waste, fraud, abuse or public health or safety words ‘‘all materials which have, or threats); the Intelligence Identities Protec- may have, come into my possession,’’ tion Act of 1982 (50 U.S.C. 421 et seq.) (gov- refer to ‘‘all classified materials which erning disclosures that could expose con- have or may come into my possession,’’ fidential Government agents), and the stat- exclusively. utes which protect against disclosure that (j) Each agency must retain its exe- may compromise the national security, including sections 641, 793, 794, 798, and 952 of cuted copies of the SF 312, SF 189, and title 18 U.S.C., and section 4(b) of the Sub- SF 189–A in file systems from which an versive Activities Act of 1950 (50 U.S.C. sec- agreement can be expeditiously re- tion 783(b)). The definitions, requirements, trieved in the event that the United

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States must seek its enforcement or a (l) The national stock number for the subsequent employer must confirm its SF 312 is 7540–01–280–5499. prior execution. The original, or a le- [53 FR 38279, Sept. 29, 1988, as amended at 56 gally enforceable facsimile that is re- FR 2645, Jan. 23, 1991; 56 FR 27559, June 14, tained in lieu of the original, such as 1991] microfiche, microfilm, computer disk, or electronic storage medium, must be § 2003.21 Security Container Informa- retained for 50 years following its date tion: SF 700. of execution. For agreements executed (a) SF 700 provides the names, ad- by civilian employees of the United dresses and telephone numbers of em- States Government, an agency may ployees who are to be contacted if the store the executed copy of the SF 312 security container to which the form and SF 189 in the United States Office pertains is found open and unattended. of Personnel Management’s Official The form also includes the means to Personnel Folder (OPF) as a long-term maintain a current record of the secu- (right side) document for that em- rity container’s combination and pro- ployee. An agency may permit its con- vides the envelope to be used to for- tractors, licensees and grantees to re- ward this information to the appropriate agency activity or official. tain the executed agreements of their (b) SF 700 shall be used in all situa- employees during the time of employ- tions that call for the use of a security ment. Upon the termination of employ- container information form. Agency- ment, the contractors, licensee or wide use of SF 700 shall begin when grantee shall deliver the original or le- supplies of existing forms are ex- gally enforceable facsimile of the exe- hausted or September 30, 1986, which- cuted SF 312, SF 189 or SF 189–A of that ever occurs earlier. employee to the Government agency (c) Parts 2 and 2A of each completed primarily responsible for his or her copy of SF 700 shall be classified at the classified work. A contractor, licensee highest level of classification of the in- or grantee of an agency participating formation authorized for storage in the in the Defense Industrial Security Pro- security container. A new SF 700 must gram shall deliver the copy or legally be completed each time the combina- enforceable facsimile of the executed tion to the security container is SF 312, SF 189 or SF 189–A of a termi- changed as required by applicable exec- nated employee to the Defense Indus- utive order(s), statute(s) or imple- trial Security Clearance Office. Each menting security regulations. agency shall inform ISOO of the file (d) Only the Director of the Informa- systems that it uses to store these tion Security Oversight Office (ISOO) agreements for each category of af- may grant an agency’s application for fected individuals. a waiver from the use of SF 700. To (k) Only the National Security Coun- apply for a waiver, an agency must cil may grant an agency’s request for a submit its proposed alternative form to waiver from the use of the SF 312. To the Director of ISOO along with its justification for use. The ISOO Director apply for a waiver, an agency must will review the request and notify the submit its proposed alternative non- agency of the decision. disclosure agreement to the Director of (e) The national stock number for the ISOO, along with a justification for its SF 700 is 7540–01–214–5372. use. The Director of ISOO will request a determination about the alternative [50 FR 51826, Dec. 19, 1985] agreement’s enforceability from the Department of Justice prior to making § 2003.22 Activity Security Checklist: SF 701. a recommendation to the National Se- curity Council. An agency that has pre- (a) SF 701 provides a systematic viously received a waiver from the use means to make a thorough end-of-day of the SF 189 or the SF 189–A need not security inspection for a particular seek a waiver from the use of the SF work area and to allow for employee accountability in the event that irreg- 312. ularities are discovered.

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(b) SF 701 shall be used in all situa- § 2003.24 TOP SECRET Cover Sheet: tions that call for the use of an activ- SF 703. ity security checklist. Agency-wide use (a) SF 703 serves as a shield to proof SF 701 shall begin when supplies of tect TOP SECRET classified informa- existing forms are exhausted or Sep- tion from inadvertent disclosure and to tember 30, 1986, whichever occurs ear- alert observers that TOP SECRET in- lier. formation is attached to it. (c) Completion, storage and disposi- (b) SF 703 shall be use in all situation of SF 701 will be in accordance tions that call for the use of a TOP SE- with each agency’s security regula- CRET cover sheet. Agency-wide use of tions. SF 703 shall begin when supplies of ex- (d) Only the Director of the Informa- isting forms are exhausted or Sep- tion Security Oversight Office (ISOO) tember 30, 1986, whichever occurs ear- may grant an agency’s application for lier. a waiver from the use of SF 701. To (c) SF 703 is affixed to the top of the apply for a waiver, an agency must TOP SECRET document and remains submit its proposed alternative form to attached until the document is destroyed. At the time of destruction, SF the Director of ISOO along with its jus- 703 is removed and, depending upon its tification for use. The ISOO Director condition, reused. will review the request and notify the (d) Only the Director of the Informa- agency of the decision. tion Security Oversight Office (ISOO) (e) The national stock number for the may grant any agency’s application for SF 701 is 7540–01–213–7899. a waiver from the use of SF 703. To [50 FR 51826, Dec. 19, 1985] apply for a waiver, an agency must submit its proposed alternative form to § 2003.23 Security Container Check the Director of ISOO along with its jus- Sheet: SF 702. tification for use. The ISOO Director will review the request and notify the (a) SF 702 provides a record of the agency of the decision. names and times that persons have (e) The national stock number of the opened, closed or checked a particular SF 703 is 7540–01–213–7901. container that holds classified information. [50 FR 51826, Dec. 19, 1985] (b) SF 702 shall be used in all situa- § 2003.25 SECRET Cover Sheet: SF 704. tions that call for the use of a security container check sheet. Agency-wide (a) SF 704 serves as a shield to pro- use of SF 702 shall begin when supplies tect SECRET classified information of existing forms are exhausted or Sep- from inadvertent disclosure and to tember 30, 1986, whichever occurs ear- alert observers that SECRET informa- lier. tion is attached to it. (b) SF 704 shall be use in all situa- (c) Completion, storage and disposal tions that call for the use of a SECRET of SF 702 will be in accordance with cover sheet. Agency-wide use of SF 704 each agency’s security regulations. shall begin when supplies of existing (d) Only the Director of the Informa- forms are exhausted or September 30, tion Security Oversight Office (ISOO) 1986, whichever occurs earlier. may grant an agency’s application for (c) SF 704 is affixed to the top of the a waiver from the use of SF 702. To SECRET document and remains at- apply for a waiver, an agency must tached until the document is de- submit its proposed alternative form to stroyed. At the time of destruction, SF the Director of ISOO along with its jus- 704 is removed and, depending upon its tification for use. The ISOO Director condition, reused. will review the request and notify the (d) Only the Director of the Informa- agency of the decision. tion Security Oversight Office (ISOO) (e) The national stock number of the may grant any agency’s application for SF 702 is 7540–01–213–7900. a waiver from the use of SF 704. To apply for a waiver, an agency must [50 FR 51826, Dec. 19, 1985] submit its proposed alternative form to

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the Director of ISOO along with its jus- affect operation of equipment in which tification for use. The ISOO Director the medium is used. Once the Label has will review the request and notify the been applied, it cannot be removed. agency of the decision. (d) Only the Director of ISOO may (e) The national stock number of the grant a waiver from the use of SF 706. SF 704 is 7540–01–213–7902. To apply for a waiver, an agency must [50 FR 51827, Dec. 19, 1985] submit its proposed alternative form to the Director of ISOO along with its jus- § 2003.26 CONFIDENTIAL Cover tification for use. The Director of ISOO Sheet: SF 705. will review the request and notify the (a) SF 705 serves as a shield to pro- agency of the decision. tect CONFIDENTIAL classified infor- (e) The national stock number of the mation from inadvertent disclosure SF 706 is 7540–01–207–5536. and to alert observers that CONFIDEN- [52 FR 10190, Mar. 30, 1987] TIAL information is attached to it. (b) SF 705 shall be use in all situa- § 2003.28 SECRET Label SF 707. tions that call for the use of a CON- (a) SF 707 is used to identify and pro- FIDENTIAL cover sheet. Agency-wide tect automatic data processing (ADP) use of SF 705 shall begin when supplies media and other media that contain of existing forms are exhausted or Sep- SECRET information. SF 707 is used tember 30, 1986, whichever occurs ear- instead of the SF 704 for media other lier. than documents. (c) SF 705 is affixed to the top of the CONFIDENTIAL document and re- (b) SF 707 shall be used in all situa- mains attached until the document is tions that call for the use of a SECRET destroyed. At the time of destruction, Label. Agency-wide use of SF 707 shall SF 705 is removed and, depending upon begin when supplies of existing forms its condition, reused. are exhausted or January 31, 1988, (d) Only the Director of the Informa- whichever occurs earlier. tion Security Oversight Office (ISOO) (c) SF 707 is affixed to the medium may grant any agency’s application for containing SECRET information in a a waiver from the use of SF 705. To manner that would not adversely affect apply for a waiver, an agency must operation of equipment in which the submit its proposed alternative form to medium is used. Once the Label has the Director of ISOO along with its jus- been applied, it cannot be removed. tification for use. The ISOO Director (d) Only the Director of ISOO may will review the request and notify the grant a waiver from the use of SF 707. agency of the decision. To apply for a waiver, an agency must (e) The national stock number for the submit its proposed alternative form to SF 705 is 7540–01–213–7903. the Director of ISOO along with its justification for use. The Director of ISOO [50 FR 51827, Dec. 19, 1985] will review the request and notify the agency of the decision. § 2003.27 TOP SECRET Label SF 706. (e) The national stock number of the (a) SF 706 is used to identify and pro- SF 707 is 7540–01–207–5537. tect automatic data processing (ADP) media and other media that contain [52 FR 10190, Mar. 30, 1987] TOP SECRET information. SF 706 is used instead of the SF 703 for media § 2003.29 CONFIDENTIAL Label SF other than documents. 708. (b) SF 706 shall be used in all situa- (a) SF 708 is used to identify and pro- tions that call for the use of a TOP SE- tect automatic data processing (ADP) CRET Label. Agency-wide use of SF 706 media and other media that contain shall begin when supplies of existing CONFIDENTIAL information. SF 708 is forms are exhausted or January 31, used instead of the SF 705 for media 1988, whichever occurs earlier. other than documents. (c) SF 706 is affixed to the medium (b) SF 708 shall be used in all situa- containing TOP SECRET information tions that call for the use of a CON- in a manner that would not adversely FIDENTIAL Label. Agency-wide use of

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SF 708 shall begin when supplies of ex- (e) The national stock number of the isting forms are exhausted or January SF 709 is 7540–01–207–5540. 31, 1988, whichever occurs earlier. [52 FR 10190, Mar. 30, 1987] (c) SF 708 is affixed to the medium containing CONFIDENTIAL informa- § 2003.31 UNCLASSIFIED Label SF tion in a manner that would not ad- 710. versely affect operation of equipment (a) In a mixed environment in which in which the medium is used. Once the classified and unclassified information Label has been applied, it cannot be re- are being processed or stored, SF 710 is moved. used to identify automatic data proc- (d) Only the Director of ISOO may essing (ADP) media and other media grant a waiver from the use of SF 708. that contain unclassified information. To apply for a waiver, an agency must Its function is to aid in distinguishing submit its proposed alternative form to among those media that contain either the Director of ISOO along with its jus- classified or unclassified information tification for use. The Director of ISOO in a mixed environment. will review the request and notify the (b) SF 710 shall be used in all situa- agency of the decision. tions that require the use of an UN- (e) The national stock number of the CLASSIFIED Label. Agency-wide use SF 708 is 7540–01–207–5538. of SF 710 shall begin when supplies of existing forms are exhausted or Janu- [52 FR 10190, Mar. 30, 1987] ary 31, 1988, whichever occurs earlier. (c) SF 710 is affixed to the medium § 2003.30 CLASSIFIED Label SF 709. containing unclassified information in (a) SF 709 is used to identify and pro- a manner that would not adversely af- tect automatic data processing (ADP) fect operation of equipment in which media and other media that contain the medium is used. Once the Label has classified information pending a deter- been applied, it cannot be removed. mination by the classifier of the spe- However, the label is small enough so cific classification level of the informa- that it can be wholly covered by a SF tion. 706, SF 707, SF 708 or SF 709 if the me- (b) SF 709 shall be used in all situa- dium subsequently contains classified tions that require the use of a CLASSI- information. FIED Label. Agency-wide use of SF 709 (d) Only the Director of ISOO may shall begin when supplies of existing grant a waiver from the use of SF 710. forms are exhausted or January 31, To apply for a waiver, an agency must 1988, whichever occurs earlier. submit its proposed alternative form to (c) SF 709 is affixed to the medium the Director of ISOO along with its jus- containing classified information in a tification for use. The Director of ISOO manner that would not adversely affect will review the request and notify the operation of equipment in which the agency of the decision. medium is used. Once the Label has (e) The national stock number of the been applied, it cannot be removed. SF 710 is 7540–01–207–5539. When a classifier has made a deter- [52 FR 10191, Mar. 30, 1987] mination of the spedific level of classification of the information contained § 2003.32 DATA DESCRIPTOR Label on the medium, either SF 706, SF 707, SF 711. or SF 708 shall be affixed on top of SF (a) SF 711 is used to identify addi- 709 so that only the SF 706, SF 707, or tional safeguarding controls that per- SF 708 is visible. tain to classified information that is (d) Only the Director of ISOO may stored or contained on automatic data grant a waiver from the use of SF 709. processing (ADP) or other media. To apply for a waiver, an agency must (b) SF 711 shall be used in all situa- submit its proposed alternative form to tions that require the use of a DATA the Director of ISOO along with its jus- DESCRIPTOR Label. Agency-wide use tification for use. The Director of ISOO of SF 711 shall begin when supplies of will review the request and notify the existing forms are exhausted or Janu- agency of the decision. ary 31, 1988, whichever occurs earlier.

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(c) SF 711 is affixed to the ADP me- Subpart A—Implementation and dium containing classified information Oversight in a manner that would not adversely affect operation of equipment in which § 2004.10 Responsibilities of the Direc- the medium is used. SF 711 is ordi- tor, Information Security Oversight narily used in conjunction with the SF Office (ISOO) [102(b)]. 1 706, SF 707, SF 708 or SF 709, as appro- The Director ISOO shall: priate. Once the Label has been ap- (a) Implement EO 12829, as amended. plied, it cannot be removed. The SF 711 (b) Ensure that the NISP is operated provides spaces for information that as a single, integrated program across should be completed as required. the Executive Branch of the Federal (d) Only the Director of ISOO may Government; i.e., that the Executive grant a waiver from the use of SF 711. Branch departments and agencies ad- To apply for a waiver, an agency must here to NISP principles. submit its proposed alternative form to (c) Ensure that each contractor’s im- the Director of ISOO along with its jus- plementation of the NISP is overseen tification for use. The Director of ISOO by a single Cognizant Security Author- will review the request and notify the ity (CSA), based on a preponderance of agency of the decision. classified contracts per agreement by (e) The national stock number of the the CSAs. SF 711 is 7540–01–207–5541. (d) Ensure that all Executive Branch departments and agencies that con- [52 FR 10191, Mar. 30, 1987] tract for classified work have included the Security Requirements clause, PART 2004—NATIONAL INDUSTRIAL 52.204–2, from the Federal Acquisition SECURITY PROGRAM DIRECTIVE Regulation (FAR), or an equivalent NO. 1 clause, in such contract. (e) Ensure that those Executive Subpart A—Implementation and Oversight Branch departments and agencies for which the Department of Defense Sec. (DoD) serves as the CSA have entered 2004.10 Responsibilities of the Director, In- into agreements with the DoD that es- formation Security Oversight Office (ISOO) [102(b)]. tablish the terms of the Secretary’s re- 2004.11 Agency Implementing Regulations, sponsibilities on behalf of those agency Internal Rules, or Guidelines [102(b)(3)]. heads. 2004.12 Reviews by ISOO [102(b)(4)]. § 2004.11 Agency Implementing Regu- Subpart B—Operations lations, Internal Rules, or Guide- lines [102(b)(3)]. 2004.20 National Industrial Security Pro- (a) Reviews and Updates. All imple- gram Operating Manual (NISPOM) menting regulations, internal rules, or [201(a)]. 2004.21 Protection of Classified Information guidelines that pertain to the NISP [201(e)]. shall be reviewed and updated by the 2004.22 Operational Responsibilities [202(a)]. originating agency, as circumstances 2004.23 Cost Reports [203(d)]. require. If a change in national policy 2004.24 Definitions. necessitates a change in agency implementing regulations, internal rules, or AUTHORITY: Section 102(b)(1) of Executive guidelines that pertain to the NISP, Order 12829, January 6, 2003, 58 FR 3479, as amended by Executive Order 12885, December the agency shall promptly issue revi- 14, 1993, 58 FR 65863. sions. (b) Reviews by ISOO. The Director, SOURCE: 71 FR 18007, Apr. 10, 2006, unless ISOO, shall review agency imple- otherwise noted. menting regulations, internal rules, or

1 Bracketed references pertain to related sections of Executive Order 12829, as amended by E.O. 12885.

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guidelines, as necessary, to ensure con- quirements may be designed to accom- sistency with NISP policies and proce- modate as necessary the unique cir- dures. Such reviews should normally cumstances of industry. Any issue per- occur during routine oversight visits, taining to deviation of industry re- when there is indication of a problem quirements in the NISPOM from the that comes to the attention of the Di- standards applicable to agencies shall rector, ISOO, or after a change in na- be addressed through the NISPOM co- tional policy that impacts such regula- ordination process. tions, rules, or guidelines. The Direc- tor, ISOO, shall provide findings from § 2004.22 Operational Responsibilities such reviews to the responsible depart- [202(a)]. ment or agency. (a) Designation of Cognizant Security Authority (CSA). The CSA for a con- § 2004.12 Reviews by ISOO [102(b)(4)]. tractor shall be determined by the pre- The Director, ISOO, shall fulfill his ponderance of classified contract activ- monitoring role based, in part, on in- ity per agreement by the CSAs. The re- formation received from NISP Policy sponsible CSA shall conduct oversight Advisory Committee (NISPPAC) mem- inspections of contractor security pro- bers, from on-site reviews that ISOO grams and provide other support serv- conducts under the authority of EO ices to contractors as necessary to en- 12829, as amended, and from complaints sure compliance with the NISPOM and and suggestions from persons within or that contractors are protecting classi- outside the Government. Findings shall fied information as required. DoD, as be reported to the responsible depart- Executive Agent, shall serve as the ment or agency. CSA for all Executive Branch departments and agencies that are not a des- Subpart B—Operations ignated CSA. As such, DoD shall: (1) Provide training to industry to § 2004.20 National Industrial Security ensure that industry understands the Program Operating Manual (NISPOM) [201(a)]. responsibilities associated with protecting classified information. (a) The NISPOM applies to release of (2) Validate the need for contractor classified information during all phases access to classified information, shall of the contracting process. establish a system to request personnel (b) As a general rule, procedures for security investigations for contractor safeguarding classified information by personnel, and shall ensure adequate contractors and recommendations for funding for investigations of those con- changes shall be addressed through the tractors under Department of Defense NISPOM coordination process that cognizance. shall be facilitated by the Executive Agent. The Executive Agent shall ad- (3) Maintain a system of eligibility dress NISPOM issues that surface from and access determinations of con- industry, Executive Branch depart- tractor personnel. ments and agencies, or the NISPPAC. (b) General Responsibilities. Executive When consensus cannot be achieved Branch departments and agencies that through the NISPOM coordination issue contracts requiring industry to process, the issue shall be raised to the have access to classified information NSC for resolution. and are not a designated CSA shall: (1) Include the Security Require- § 2004.21 Protection of Classified In- ments clause, 52.204–2, from the FAR in formation [201(e)]. such contracts; Procedures for the safeguarding of (2) Incorporate a Contract Security classified information by contractors Classification Specification (DD 254) are promulgated in the NISPOM. DoD, into the contracts in accordance with as the Executive Agent, shall use the FAR subpart 4.4; standards applicable to agencies as the (3) Sign agreements with the Depart- basis for the requirements, restric- ment of Defense as the Executive tions, and safeguards contained in the Agent for industrial security services; NISPOM; however, the NISPOM re- and,

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(4) Ensure applicable department and § 2004.24 Definitions. agency personnel having NISP imple- (a) ‘‘Cognizant Security Agencies mentation responsibilities are provided appropriate education and training. (CSAs)’’ means the Executive Branch departments and agencies authorized § 2004.23 Cost Reports [203(d)]. in EO 12829, as amended, to establish (a) The Executive Branch depart- industrial security programs: The De- ments and agencies shall provide infor- partment of Defense, designated as the mation each year to the Director, Executive Agent; the Department of ISOO, on the costs within the agency Energy; the Nuclear Regulatory Com- associated with implementation of the mission; and the Central Intelligence NISP for the previous year. Agency. (b) The DoD as the Executive Agent (b) ‘‘Contractor’’ means any indus- shall develop a cost methodology in co- trial, education, commercial, or other ordination with industry to collect the entity, to include licensees or grantees costs incurred by contractors of all Ex- that has been granted access to classi- ecutive Branch departments and agen- fied information. Contractor does not cies to implement the NISP, and shall include individuals engaged under per- report those costs to the Director, sonal services contracts. ISOO, on an annual basis.

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Part Page 2102 Rules and regulations to implement the Privacy Act of 1974 ...... 543 2103 Regulations to implement E.O. 12065—including procedures for public access to documents that may be declassified ...... 546

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the name of the individual or by some ber of the NSC Staff authorized to act other identifying particular assigned to in the name of the Staff Secretary in the individual. responding to a request under this Act. (d) Determination. Any decision made Every effort will be made to inform the by the NSC or designated official requestor if he or she is the subject of thereof which affects the individual’s a specific record or system of records rights, opportunities, benefits, etc. and within ten working days (excluding which is based in whole or in part on Saturdays, Sundays and legal Federal information contained in that individ- Holidays) of receipt of the request. ual’s record. Such a response will also contain the (e) Routine Use. With respect to the procedures to be followed in order to disclosure of a record, the use of such a gain access to any record which may record in a manner which is compatible exist and a copy of the most recent with the purpose for which it was col- NSC notice, as published in the FED- lected. ERAL REGISTER, on the system of (f) Disclosure. The granting of access records in which the record is con- or transfer of a record by any means. tained. (d) Whenever it is not possible to re- § 2102.4 Procedures for determining if spond in the time period specified an individual is the subject of a above, the NSC Staff Secretary or a record. designated alternate will, within ten (a) Individuals desiring to determine working days (excluding Saturdays, if they are the subject of a record or Sundays and legal Federal Holidays), system of records maintained by the inform the requestor of the reasons for NSC Staff should address their inquir- the delay (e.g., insufficient requestor ies, marking them plainly as a PRI- information, difficulties in record loca- VACY ACT REQUEST, to: tion, etc.), steps that need to be taken in order to expedite the request, and Staff Secretary, National Security Council, Room 374, Old Executive Office Building, the date by which a response is antici- Washington, DC 20506. pated. All requests must be made in writing § 2102.13 Requirements for access to a and should contain: record. (1) A specific reference to the system (a) Individuals requesting access to a of records maintained by the NSC as record or system of records in which listed in the NSC Notices of Systems there is information concerning them and Records (copies available upon re- must address a request in writing to quest); or the Staff Secretary of the NSC (see (2) A description of the record or sys- § 2102.1). Due to restricted access to tems of records in sufficient detail to NSC offices in the Old Executive Office allow the NSC to determine whether Building where the files are located, re- the record does, in fact, exist in an quests cannot be made in person. NSC system of records. (b) All written requests should con- (b) All requests must contain the tain a concise description of the printed or typewritten name of the in- records to which access is requested. In dividual to whom the record pertains, addition, the requestor should include the signature of the individual making any other information which he or she the request, and the address to which feels would assist in the timely identi- the reply should be sent. In instances fication of the record. Verification of when the identification is insufficient the requestor’s identity will be deter- to insure disclosure to the individual mined under the same procedures used to whom the information pertains in in requests for learning of the exist- view of the sensitivity of the informa- ence of a record. tion, NSC reserves the right to solicit (c) To the extent possible, any re- from the requestor additional identi- quest for access will be answered by fying information. the Staff Secretary or a designated al- (c) Responses to all requests under ternate within ten working days (ex- the Act will be made by the Staff Sec- cluding Saturdays, Sundays, and legal retary, or by another designated mem- Federal holidays) of the receipt of the

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request. In the event that a response § 2102.21 Procedures for appeal of de- cannot be made within this time, the termination to deny access to or requestor will be notified by mail of amendment of requested records. the reasons for the delay and the date (a) Individuals wishing to appeal an upon which a reply can be expected. NSC Staff denial of a request for access (d) The NSC response will forward a or to amend a record concerning them copy of the requested materials unless must address a letter of appeal to the further identification or clarification Staff Secretary of the NSC. The letter of the request is required. In the event must be received within thirty days access is denied, the requestor shall be from the date of the Staff Secretary’s informed of the reasons therefore and notice of denial and, at a minimum, the name and address of the individual should identify the following: (1) The records involved; to whom an appeal should be directed. (2) The dates of the initial request § 2102.15 Requirements for requests to and subsequent NSC determination; amend records. and (3) A brief statement of the reasons (a) Individuals wishing to amend a supporting the request for reversal of record contained in the NSC systems of the adverse determination. records pertaining to them must sub- (b) Within thirty working days (ex- mit a request in writing to the Staff cluding Saturdays, Sundays and legal Secretary of the NSC in accordance Federal holidays) of the date of receipt with the procedures set forth herein. of the letter of appeal, the Assistant to (b) All requests for amendment or the President for National Security Af- correction of a record must state con- fairs (hereinafter the ‘‘Assistant’’), or cisely the reason for requesting the the Deputy Assistant to the President amendment. Such requests should infor National Security Affairs (herein- clude a brief statement which describes after the ‘‘Deputy Assistant’’), acting the information the requestor believes in his name, shall issue a determina- to be inaccurate, incomplete, or unnec- tion on the appeal. In the event that a essary and the amendment or correc- final determination cannot be made tion desired. within this time period, the requestor will be informed of the delay, the rea- (c) To the extent possible, every re- sons therefor and the date on which a quest for amendment of a record will final response is expected. be answered within ten working days (c) If the original request was for ac- (excluding Saturdays, Sundays, and cess and the initial determination is legal Federal holidays) of the receipt of reversed, a copy of the records sought the request. In the event that a re- will be sent to the individual. If the sponse cannot be made within this initial determination is upheld, the re- time, the requestor will be notified by questor will be so advised and informed mail of the reasons for the delay and of the right to judicial review pursuant the date upon which a reply can be ex- to 5 U.S.C. 552a(g). pected. A final response to a request (d) If the initial denial of a request to for amendment will include the NSC amend a record is reversed, the records Staff determination on whether to will be corrected and a copy of the grant or deny the request. If the re- amended record will be sent to the in- quest is denied, the response will individual. In the event the original deci- clude: sion is upheld by the Assistant to the (1) The reasons for the decision; President, the requestor will be so ad- (2) The name and address of the indi- vised and informed in writing of his or her right to seek judicial review of the vidual to whom an appeal should be di- final agency determination, pursuant rected; to section 552a(g) of title 5, U.S.C. In (3) A description of the process for re- addition, the requestor will be advised view of the appeal within the NSC; and of his right to have a concise state- (4) A description of any other proce- ment of the reasons for disagreeing dures which may be required of the in- with the final determination appended dividual in order to process the appeal. to the disputed records. This statement

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should be mailed to the Staff Secretary knowingly and willfully make or cause within ten working days (excluding to be made any false or fraudulent Saturdays, Sundays, and legal Federal statements or representations in any Holidays) of the date of the requestor’s matter within the jurisdiction of any receipt of the final determination. agency of the United States. Section (i)(3) of the Privacy Act (5 U.S.C. 552a) § 2102.31 Disclosure of a record to per- makes it a misdemeanor, subject to a sons other than the individual to whom it pertains. maximum fine of $5,000, to knowingly and willfully request or obtain any (a) Except as provided by the Privacy record concerning an individual under Act, 5 U.S.C. 552a(b), the NSC will not false pretenses. Sections (i)(1) and (2) of disclose a record concerning an indi- 5 U.S.C. 552a provide penalties for vio- vidual to another person or agency lations by agency employees, of the without the prior written consent of the individual to whom the record per- Privacy Act or regulations established tains. thereunder.

§ 2102.41 Fees. § 2102.61 Exemptions. (a) Individuals will not be charged Pursuant to subsection (k) of the Pri- for: vacy Act (5 U.S.C. 552a), the Staff Sec- (1) The first copy of any record pro- retary has determined that certain vided in response to a request for ac- NSC systems of records may be exempt cess or amendment; in part from sections 553(c)(3), (d), (2) The search for, or review of, (e)(1), (e)(4), (G), (H), (I), and (f) of title records in NSC files; 5, and from the provisions of these reg- (3) Any copies reproduced as a nec- ulations. These systems of records may essary part of making a record or por- contain information which is classified tion thereof available to the indi- pursuant to Executive Order 11652. To vidual. the extent that this occurs, records in (b) After the first copy has been pro- the following systems would be exempt vided, records will be reproduced at the under the provision of 5 U.S.C. rate of twenty-five cents per page for 552a(k)(1): all copying of four pages or more. (c) The Staff Secretary may provide NSC 1.1—Central Research Index, copies of a record at no charge if it is NSC 1.2—NSC Correspondence Files, and determined to be in the interest of the NSC 1.3—NSC Meetings Registry. Government. (d) The Staff Secretary may require PART 2103—REGULATIONS TO IM- that all fees be paid in full prior to the PLEMENT E.O. 12065—INCLUD- issuance of the requested copies. ING PROCEDURES FOR PUBLIC (e) Remittances shall be in the form ACCESS TO DOCUMENTS THAT of a personal check or bank draft drawn on a bank in the United States, MAY BE DECLASSIFIED or a postal money order. Remittances shall be made payable to the ‘‘United Subpart A—Introduction States Treasury’’ and mailed to the Sec. Staff Secretary, National Security 2103.1 References. Council, Washington, DC 20506. 2103.2 Purpose. (f) A receipt for fees paid will be 2103.3 Applicability. given only upon request. Refund of fees paid for services actually rendered will Subpart B—Original Classification not be made. 2103.11 Basic policy. § 2102.51 Penalties. 2103.12 Level of original classification. 2103.13 Duration of original classification. Title 18, U.S.C. section 1001, Crimes 2103.14 Challenges to classification. and Criminal Procedures, makes it a criminal offense, subject to a max- Subpart C—Derivative Classification imum fine of $10,000 or imprisonment for not more than five years or both, to 2103.21 Definition and application.

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Subpart D—Declassification and Subpart B—Original Classification Downgrading § 2103.11 Basic policy. 2103.31 Declassification authority. 2103.32 Mandatory review for declassifica- It is the policy of the National Secu- tion. rity Council Staff to make available to 2103.33 Downgrading authority. the public as much information concerning its activities as is possible, Subpart E—Safeguarding consistent with its responsibility to protect the national security. 2103.41 Reproduction controls.

Subpart F—Implementation and Review § 2103.12 Level of original classification. 2103.51 Information Security Oversight Unnecessary classification, and clas- Committee. sification at a level higher than is nec- 2103.52 Classification Review Committee. essary, shall be avoided. If there is rea- AUTHORITY: E.O. 12065 and Information Se- sonable doubt as to which designation curity Oversight Office Directive No. 1. in section 1–1 of Executive Order 12065

SOURCE: 44 FR 2384, Jan. 11, 1979, unless is appropriate, or whether information otherwise noted. should be classified at all, the less restrictive designation should be used, or the information should not be classi- Subpart A—Introduction fied. § 2103.1 References. § 2103.13 Duration of original classi- (a) Executive Order 12065, ‘‘National fication. Security Information,’’ dated June 28, Original classification may be ex- 1978. tended beyond six years only by offi- (b) Information Security Oversight cials with Top Secret classification au- Office, Directive No. 1, ‘‘National Secu- thority. This extension authority shall rity Information,’’ dated October 2, be used only when these officials deter- 1978. mine that the basis for original classification will continue throughout the § 2103.2 Purpose. entire period that the classification The purpose of this regulation is to will be in effect and only for the fol- ensure, consistent with the authorities lowing reasons: listed in § 2103.1, that national security (a) The information is ‘‘foreign gov- information processed by the National ernment information’’ as defined by Security Council Staff is protected the authorities in § 2301.1; from unauthorized disclosure, but only (b) The information reveals intel- to the extent, and for such period, as is ligence sources and methods; necessary to safeguard the national se- (c) The information pertains to com- curity. munication security; (d) The information reveals vulner- § 2103.3 Applicability. ability or capability data, the unau- This regulation governs the National thorized disclosure of which can rea- Security Council Staff Information Se- sonably be expected to render ineffec- curity Program. In consonance with tive a system, installation, or project the authorities listed in § 2103.1, it es- important to the national security; tablishes the policy and procedures for (e) The information concerns plans the security classification, down- important to the national security, the grading, declassification, and safe- unauthorized disclosure of which reasonably can be expected to nullify the guarding of information that is owned effectiveness of the plan; by, is produced for or by, or is under (f) The information concerns specific the control of the National Security foreign relations matters, the contin- Council Staff. ued protection of which is essential to the national security;

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(g) Disclosure of the information § 2103.32 Mandatory review for declas- would place a person’s life in imme- sification. diate jeopardy; or (a) Receipt. (1) Requests for manda- (h) The continued protection of the tory review for declassification under information is specifically required by section 3–501 of Executive Order 12065 statute. must be in writing and should be ad- Even when the extension authority is dressed to : exercised, the period of original classi- National Security Council, ATTN: Staff fication shall not be greater than twen- Secretary (Mandatory Review Request), Old ty years from the date or original clas- Executive Office Building, Washington, DC sification, except that the original 20506. classification of ‘‘foreign government (2) The requestor shall be informed of information’’ pursuant to paragraph (a) the date of receipt of the request. This of this section may be for a period of date will be the basis for the time lim- thirty years. its specified in paragraph (b) of this section. § 2103.14 Challenges to classification. (3) If the request does not reasonably If holders of classified information describe the information sought, the believe that the information is improp- requestor shall be notified that, unless erly or unnecessarily classified, or that additional information is provided or original classification has been ex- the request is made more specific, no tended for too long a period, they further action will be taken. should discuss the matter with their (b) Review. (1) The requestor shall be immediate superiors or the classifier of informed of the National Security the information. If these discussions do Council Staff determination within not satisfy the concerns of the chal- sixty days of receipt of the initial re- lenger, the matter should be brought to quest. the attention of the chairperson of the (2) If the determination is to with- NSC Information Security Oversight hold some or all of the material re- Committee (see § 2103.51 of this part). quested, the requestor may appeal the determination. The requestor shall be informed that such an appeal must be Subpart C—Derivative made in writing within sixty days of Classification receipt of the denial and should be addressed to the chairperson of the Na- § 2103.21 Definition and application. tional Security Council Classification Derivative classification is the act of Review Committee. assigning a level of classification to in- (3) The requestor shall be informed of formation that is determined to be the the appellate determination within same in substance as information that thirty days of receipt of the appeal. is currently classified. Thus, derivative (c) Fees. (1) Fees for the location and classification may be accomplished by reproduction of information that is the any person cleared for access to that subject of a mandatory review request level of information, regardless of shall be assessed according to the fol- whether the person has original classi- lowing schedule: fication authority at that level. (i) Search for records. $5.00 per hour when the search is conducted by a cler- Subpart D—Declassification and ical employee; $8.00 per hour when the search is conducted by a professional Downgrading employee. No fee shall be assessed for searches of less than one hour. § 2103.31 Declassification authority. (ii) Reproduction of documents. Docu- The Staff Secretary, Staff Counsel, ments will be reproduced at a rate of and Director of Freedom of Informa- $.25 per page for all copying of four tion of the National Security Council pages or more. No fee shall be assessed Staff are authorized to declassify NSC for reproducing documents that are documents after consultation with the three pages or less, or for the first appropriate NSC Staff members. three pages of longer documents.

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(2) Where it is anticipated that the Subpart E—Safeguarding fees chargeable under this section will amount to more than $25, and the re- § 2103.41 Reproduction controls. questor has not indicated in advance a The Staff Secretary shall maintain willingness to pay fees as high as are records to show the number and dis- anticipated, the requestor shall be tribution of all Top Secret documents, promptly notified of the amount of the of all documents covered by special ac- anticipated fee or such portion thereof as can readily be estimated. In in- cess programs distributed outside the stances where the estimated fees will originating agency, and of all Secret greatly exceed $25, an advance deposit and Confidential documents that are may be required. Dispatch of such a no- marked with special dissemination or tice or request shall suspend the run- reproduction limitations. ning of the period for response by the NSC Staff until a reply is received Subpart F—Implementation and from the requestor. Review (3) Remittances shall be in the form either of a personal check or bank § 2103.51 Information Security Over- draft drawn on a bank in the United sight Committee. States, or a postal money order. Re- The NCS Information Security Over- mittances shall be made payable to the sight Committee shall be chaired by Treasury of the United States and the Staff Counsel of the National Secu- mailed to the Staff Secretary, National rity Council Staff. The Committee Security Council, Washington, DC shall be responsible for acting on all 20506. suggestions and complaints concerning (4) [Reserved] the administration of the National Se- (5) A receipt for fees paid will be curity Council information security given only upon request. Refund of fees program. The chairperson, who shall paid for services actually rendered will represent the NSC Staff on the Inter- not be made. agency Information Security Com- (6) If a requestor fails to pay within mittee shall also be responsible for thirty days for services rendered, fur- conducting an active oversight pro- ther action on any other requests sub- gram to ensure effective implementa- mitted by that requestor shall be sus- tion of Executive Order 12065. pended. (7) The Staff Secretary, National Se- § 2103.52 Classification Review Com- curity Council may waive all or part of mittee. any fee provided for in this section The NSC Classification Review Com- when it is deemed to be in either the mittee shall be chaired by the Staff interest of the NSC Staff or of the gen- Secretary of the National Security eral public. Council. The Committee shall decide appeals from denials of declassification § 2103.33 Downgrading authority. requests submitted pursuant to section The Staff Secretary, Staff Counsel, 3–5 of Executive Order 12065. The Com- and Director of Freedom of Informa- mittee shall consist of the chairperson, tion of the National Security Council the NSC Director of Freedom of Infor- Staff are authorized to downgrade NSC mation, and the NSC Staff member documents, after consultation with the with primary subject matter responsi- appropriate NSC Staff members. bility for the material under review.

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Part Page 2400 Regulations to implement E.O. 12356; Office of Science and Technology Policy information security program ...... 553

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§ 2400.3 Applicability. pected to cause exceptionally grave damage to the national security. This Regulation governs the Office of (2) ‘‘Secret’’ shall be applied to infor- Science and Technology Policy Infor- mation, the unauthorized disclosure of mation Security Program. In accord- which reasonably could be expected to ance with the provisions of Executive cause serious damage to the national Order 12356 and Directive No. 1 it estab- security. lishes, for uniform application throughout the Office of Science and (3) ‘‘Confidential’’ shall be applied to Technology Policy, the policies and information, the unauthorized disclo- procedures for the security classifica- sure of which reasonably could be ex- tion, downgrading, declassification and pected to cause damage to the national safeguarding of information that is security. owned by, produced for or by, or under (b) Except as otherwise provided by the control of the office of Science and statute, no other terms shall be used to Technology Policy. identify classified information. Mark- ings other than ‘‘Top Secret,’’ ‘‘Se- § 2400.4 Atomic Energy Material. cret,’’ and ‘‘Confidential,’’ such as ‘‘For Official Use Only,’’ shall not be used to Nothing in this Regulation super- identify national security information. sedes any requirement made by or In addition, no other term or phrase under the Atomic Energy act of 1954, as shall be used in conjunction with one amended. ‘‘Restricted Data’’ and infor- of the three authorized classification mation designated as ‘‘Formerly Re- levels, such as ‘‘Secret Sensitive’’ or stricted Data’’ shall be handled, pro- ‘‘Agency Confidential.’’ The terms tected, classified, downgraded, and de- ‘‘Top Secret’’, ‘‘Secret’’, and ‘‘Con- classified in conformity with the provi- fidential’’ should not be used to iden- sions of the Atomic Energy Act of 1954, tify nonclassified executive branch in- as amended, and regulations issued formation. pursuant thereto by the Department of Energy. (c) Unnecessary classification, and classification at a level higher than is necessary shall be scrupulously avoid- Subpart B—Original Classification ed. (d) If there is reasonable doubt about § 2400.5 Basic policy. the need to classify information, it Except as provided in the Atomic En- shall be safeguarded as if it were classi- ergy Act of 1954, as amended, Executive fied ‘‘Confidential’’ pending a deter- Order 12356, as implemented by Direc- mination by an original classification tive No. 1 and this Regulation, provides authority, who shall make this deter- the only basis for classifying informa- mination within thirty (30) days. If tion. The policy of the Office of Science there is reasonable doubt about the ap- and Technology Policy is to make propriate level of classification the available to the public as much infor- originator of the information shall mation concerning its activities as is safeguard it at the higher level of clas- possible, consistent with its responsi- sification pending a determination by bility to protect the national security. an original classification authority, Information may not be classified un- who shall make this determination less its disclosure reasonably could be within thirty (30) days. Upon the deter- expected to cause damage to the na- mination of a need for classification tional security. and/or the proper classification level, the information that is classified shall § 2400.6 Classification levels. be marked as provided in § 2400.12 of (a) National security information this part. (hereinafter ‘‘classified information’’) shall be classified at one of the fol- § 2400.7 Original classification author- lowing three levels: ity. (1) ‘‘Top Secret’’ shall be applied to (a) Authority for original classifica- information, the unauthorized disclo- tion of information as Top Secret shall sure of which reasonably could be ex- be exercised within OSTP only by the

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Director and by such principal subordi- the official in OSTP who has appro- nate officials having frequent need to priate subject matter interest and clas- exercise such authority as the Director sification authority with respect to shall designate in writing. this information. That official shall de- (b) The authority to classify informa- cide within thirty (30) days whether to tion originally as Secret shall be exer- classify this information. If the infor- cised within OSTP only by the Direc- mation is not within OSTP’s area of tor, other officials delegated in writing classification responsibility, OSTP to have original Top Secret classifica- shall promptly transmit the information authority, and any other officials tion to the responsible agency. If it is delegated in writing to have original not clear which agency has classifica- Secret classification authority. tion responsibility for this informa- (c) The authority to classify information, it shall be sent to the Director of tion originally as Confidential shall be the Information Security Oversight Of- exercised within OSTP only by officials fice. The Director shall determine the with original Top Secret or Secret agency having primary subject matter classification authority and any offi- interest and forward the information, cials delegated in writing to have origi- with appropriate recommendations, to nal Confidential classification author- that agency for a classification deter- ity. mination.

§ 2400.8 Limitations on delegation of § 2400.9 Classification requirements. original classification authority. (a) Information may be classified (a) The Director, OSTP is the only of- only if it concerns one or more of the ficial authorized to delegate original categories cited in Executive Order classification authority. 12356, as subcategorized below, and an (b) Delegations of original classifica- official having original classification tion authority shall be held to an abso- authority determines that its unau- lute minimum. thorized disclosure, either by itself or (c) Delegations of original classifica- in the context of other information, tion authority shall be limited to the reasonably could be expected to cause level of classification required. damage to the national security. (d) Original classification authority (1) Military plans, weapons or oper- shall not be delegated to OSTP per- ations; sonnel who only quote, restate, extract (2) The vulnerabilities or capabilities or paraphrase, or summarize classified of systems, installations, projects, or information or who only apply classi- plans relating to the national security; fication markings derived from source (3) Foreign government information; material or as directed by a classification guide. (4) Intelligence activities (including (e) The Executive Director, OSTP, special activities), or intelligence shall maintain a current listing of per- sources or methods; sons or positions receiving any delega- (5) Foreign relations or foreign action of original classification author- tivities of the United States; ity. If possible, this listing shall be un- (6) Scientific, technological, or eco- classified. nomic matters relating to the national (f) Original classification authority security; may not be redelegated. (7) United States Government pro- (g) Exceptional Cases. When an em- grams for safe-guarding nuclear mate- ployee, contractor, licensee, or grantee rials or facilities; of OSTP that does not have original (8) Cryptology; classification authority originates in- (9) A confidential source; or formation believed by that person to (10) Other categories of information require classification, the information which are related to national security shall be protected in a manner con- and that require protection against un- sistent with these Regulations as pro- authorized disclosure as determined by vided in § 2400.6(d) of this part. The in- the Director, Office of Science and formation shall be transmitted prompt- Technology Policy. Each such deter- ly as provided in these Regulations to mination shall be reported promptly to

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the Director of the Information Secu- classification is extended by an author- rity Oversight Office. ized official of the originating agency. (b) Foreign government information These extensions may be by individual need not fall within any other classi- documents or categories of informa- fication category listed in paragraph tion. The originating agency shall be (a) of this section to be classified. responsible for notifying holders of the (c) Certain information which would information of such extensions. otherwise be unclassified may require (c) Information classified under pred- classification when combined or associ- ecessor Executive Orders and marked ated with other unclassified or classi- for declassification review shall remain fied information. Classification on this classified until reviewed for declas- basis shall be fully supported by a writ- sification under the provisions of Exec- ten explanation that, at a minimum, utive Order 12356. shall be maintained with the file or ref- (d) Information classified under pred- erenced on the record copy of the infor- ecessor Executive Orders that does not mation. bear a specific date or event for declas- (d) Information classified in accord- sification shall remain classified until ance with this section shall not be de- reviewed for declassification. The au- classified automatically as a result of thority to extend the classification of any unofficial publication or inad- information subject to automatic de- vertent or unauthorized disclosure in classification under predecessor Orders the United States or abroad of iden- is limited to those officials who have tical or similar information. Following classification authority over the infor- an inadvertent or unauthorized publi- mation and are designated in writing cation or disclosure of information to have original classification author- identical or similar to information ity at the level of the information to that has been classified in accordance remain classified. Any decision to ex- with Executive Order 12356 or prede- tend this classification on other than a cessor orders, OSTP, if the agency of document-by-document basis shall be primary interest, shall determine the reported to the Director of the Infor- degree of damage to the national secu- mation Security Oversight Office. rity, the need for continued classification, and in coordination with the § 2400.12 Identification and markings. agency in which the disclosure oc- (a) At the time of original classifica- curred, what action must be taken to tion, the following information shall be prevent similar occurrences. If the shown on the face of all classified docu- agency of primary interest is other ments, or clearly associated with other than OSTP, the matter shall be re- forms of classified information in a ferred to that agency. manner appropriate to the medium involved, unless this information itself § 2400.10 Presumption of damage. would reveal a confidential source or Unauthorized disclosure of foreign relationship not otherwise evident in government information, the identity the document or information: of a confidential foreign source, or in- (1) One of the three classification lev- telligence sources or methods, is pre- els defined in § 2400.6 of this part; sumed to cause damage to the national (2) The identity of the original classi- security. fication authority if other than the person whose name appears as the ap- § 2400.11 Duration of classification. proving or signing official; (a) Information shall be classified as (3) The agency and office of origin; long as required by national security and considerations. When it can be deter- (4) The date or event for declassifica- mined, a specific date or event for de- tion, or the notation ‘‘Originating classification shall be set by the origi- Agency’s Determination Required.’’ nal classification authority at the time (b) Each classified document shall, the information is originally classified. by marking or other means, indicate (b) Automatic declassification deter- which portions are classified, with the minations under predecessor Executive applicable classification level, and Orders shall remain valid unless the which portions are not classified. The

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Director OSTP may, for good cause, request for it under the Freedom of In- grant and revoke waivers of this re- formation Act (5 U.S.C. 552a) or the quirement for specified classes of docu- Privacy Act of 1974 (5 U.S.C. 552), or the ments or information. The Director of mandatory review provisions of Execu- the Information Security Oversight Of- tive Order 12356 (section 3.4) if such fice shall be notified of any waivers. classification meets the requirements (c) Marking designations imple- of this Order and is accomplished per- menting the provisions of Executive sonally and on a document-by-docu- Order 12356, including abbreviations, ment basis by the Director. shall conform to the standards prescribed in Directive No. 1 issued by the Subpart C—Derivative Information Security Oversight Office. Classification (d) Foreign government information shall either retain its original classi- § 2400.14 Use of derivative classifica- fication or be assigned a United States tion. classification that shall ensure a de- (a) Derivative classification is (1) the gree of protection at least equivalent determination that information is in to that required by the entity that fur- substance the same as information cur- nished the information. rently classified, and (2) the applica- (e) Information assigned a level of tion of the same classification mark- classification under predecessor Execu- ings. Persons who only reproduce, ex- tive Orders shall be considered as clas- tract, or summarize classified informa- sified at that level of classification de- tion, or who only apply classification spite the omission of other required markings derived from source material markings. Omitted markings may be or as directed by a classification guide, inserted on a document by the officials need not possess original classification specified in § 2400.18 of this part. authority. If a person who applies derivative classification markings be- § 2400.13 Limitations on classification. lieves that the paraphrasing, restating, (a) In no case shall information be or summarizing of classified informa- classified in order to conceal violations tion has changed the level of or re- of law, inefficiency, or administrative moved the basis for classification, that error; to prevent embarrassment to a person must consult an appropriate of- person, organization, or agency; to re- ficial of the originating agency or of- strain competition; or to prevent or fice of origin who has the authority to delay the release of information that declassify, downgrade or upgrade the does not require protection in the in- information. terest of national security. (b) Persons who apply derivative (b) Basic scientific research informa- classification markings shall: tion not clearly related to the national (1) Observe and respect original clas- security may not be classified. sification decisions; and (c) The Director may reclassify infor- (2) Carry forward to any newly cre- mation previously declassified and dis- ated documents any assigned author- closed if it is determined in writing ized markings. The declassification that (1) the information requires pro- date or event that provides the longest tection in the interest of national secu- period of classification shall be used rity; and (2) the information may rea- for documents classified on the basis of sonably be recovered. These reclassi- multiple sources. fication actions shall be reported promptly to the Director of the Infor- § 2400.15 Classification guides. mation Security Oversight Office. Be- (a) OSTP shall issue and maintain fore reclassifying any information, the classification guides to facilitate the Director shall consider the factors list- proper and uniform derivative classi- ed in § 2001.6 of Directive No. 1, which fication of information. These guides shall be addressed in the report to the shall be used to direct derivative clas- Director of the Information Security sification. Oversight Office. (b) The classification guides shall be (d) Information may be classified or approved, in writing, by the Director or reclassified after OSTP has received a by officials having Top Secret original

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classification authority. Such approval classification guides shall bear all constitutes an original classification markings prescribed in § 2400.12 of this decision. part and Directive No. 1 as are applica- (c) Each classification guide shall ble. Information for these markings specify the information subject to clas- shall be taken from the source docu- sification in sufficient detail to permit ment or instructions in the appropriate its ready and uniform identification classification guide. When markings and categorization and shall set forth are omitted because they may reveal a the classification level and duration in confidential source or relationship not each instance. Additionally, each clas- otherwise evident, as described in sification guide shall prescribe declas- § 2400.12 of this part, the information sification instructions for each ele- may not be used as a basis for deriva- ment of information in terms of (1) a tive classification. period of time, (2) the occurrence of an (b) The authority for classification event, or (3) a notation that the infor- shall be shown as directed in Directive mation shall not be automatically de- No. 1. classified without the approval of OSTP. Subpart D—Declassification and (d) The classification guides shall be Downgrading kept current and shall be fully reviewed at least every two years. The § 2400.17 Policy. Executive Director, OSTP shall main- Declassification of information shall tain a list of all OSTP classification be given emphasis comparable to that guides in current use. accorded classification. Information (e) The Executive Director, OSTP classified pursuant to Executive Order shall receive and maintain the record 12356 and prior orders shall be declas- copy of all approved classification sified or downgraded as soon as na- guides and changes thereto. He will as- tional security considerations permit. sist the originator in determining the Decisions concerning declassification required distribution. shall be based on the loss of sensitivity (f) The Director may, for good cause, of the information with the passage of grant and revoke waivers of the re- time or on the occurrence of an event quirement to prepare classification which permits declassification. When guides for specified classes of docu- information is reviewed for declas- ments or information. The Director of sification pursuant to this regulation, the Information Security Oversight Of- that information shall be declassified fice shall be notified of any waivers. unless the designated declassification The Director’s decision to waive the re- authority determines that the informa- quirement to issue classification tion continues to meet the classifica- guides for specific classes of documents tion requirements prescribed in § 2400.9 or information will be based, at a min- of this part despite the passage of time. imum, on an evaluation of the fol- The Office of Science and Technology lowing factors: Policy officials shall coordinate their (1) The ability to segregate and de- review of classified information with scribe the elements of information; other agencies that have a direct inter- (2) The practicality of producing or est in the subject matter. disseminating the guide because of the nature of the information; § 2400.18 Declassification and down- (3) The anticipated usage of the guide grading authority. as a basis for derivative classification; Information shall be declassified or and downgraded by the official who author- (4) The availability of alternative ized the original classification, if that sources for derivatively classifying the official is still serving the same posi- information in a uniform manner. tion; the originator’s successor; a supervisory official of either; or officials § 2400.16 Derivative classification delegated such authority in writing by markings. the Director, OSTP. The Executive Di- (a) Documents classified derivatively rector, OSTP shall maintain a current on the basis of source documents or listing of persons or positions receiving

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those delegations. If possible, these unless earlier review is requested by listings shall be unclassified. the Archivist. (d) Foreign Government Information. § 2400.19 Declassification by the Direc- Systematic declassification review of tor of the Information Security foreign government information shall Oversight Office. be in accordance with guidelines issued If the Director of the Information Se- by the Director of the Information Se- curity Oversight Office (ISOO) deter- curity Oversight Office. mines that information is classified in (e) Special procedures. The Office of violation of Executive Order 12356, the Science and Technology Policy shall be Director, ISOO may require the infor- bound by the special procedures for mation to be declassified by the agency systematic review of classified that originated the classification. Any cryptologic records and classified such decision by the Director ISOO records pertaining to intelligence ac- may be appealed by the Director, OSTP tivities (including special activities) or to the National Security Council. The intelligence sources or methods issued information shall remain classified, by the Secretary of Defense and the Di- pending a prompt decision on the ap- rector of Central Intelligence, respec- peal. tively.

§ 2400.20 Systematic review for declas- § 2400.21 Mandatory review for declassification. sification. (a) Permanent records. Systematic re- (a) Except as provided in paragraph view is applicable only to those classi- (d) of this section, all information clas- fied records, and presidential papers or sified under Executive Order 12356 or predecessor orders shall be subject to a records that the Archivist of the review for declassification by the Of- United States, acting under the Fed- fice of Science and Technology Policy, eral Records Act, has determined to be if: of sufficient historical or other value (1) The request is made by a United to warrant permanent retention. States citizen or permanent resident (b) Non-permanent records. Non-per- alien, a federal agency, or a State or manent classified records shall be dis- local government; and posed of in accordance with schedules (2) The request is made in writing approved by the Administrator of Gen- and describes the document or material eral Services under the Records Dis- containing the information with suffi- posal Act. These schedules shall pro- cient specificity to enable the Office of vide for the continued retention of Science and Technology Policy to lo- records subject to an ongoing manda- cate it with a reasonable amount of ef- tory review for declassification re- fort. quest. (b) Requests should be addressed to: (c) Office of Science and Technology Executive Director, Office of Science Policy Responsibility. The Director, and Technology Policy, Executive Of- OSTP, shall: fice of the President, Washington, DC (1) Issue guidelines for systematic de- 20506. classification review and, if applicable, (c) If the request does not reasonably for downgrading. These guidelines shall describe the information sought to be developed in consultation with the allow identification of documents con- Archivist and the Director of the Infor- taining such information, the requester mation Security Oversight Office and shall be notified that unless additional be designated to assist the Archivist in information is provided or the request the conduct of systematic reviews; is made more specific, no further ac- (2) Designate experienced personnel tion will be taken. to provide timely assistance to the Ar- (d) Information originated by a Presi- chivist in the systematic review proc- dent, the White House Staff, by com- ess; mittees, commissions, or boards ap- (3) Review and update guidelines for pointed by the President, or others spe- systematic declassification review and cifically providing advice and counsel downgrading at least every five years to a President or acting on behalf of a

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President is exempted from the manda- those declassified portions of that re- tory review provisions of § 2400.24(a) of quested information the constitute a this part. The Archivist of the United coherent segment. States shall have the authority to re- (h) If the information may not be review, downgrade and declassify infor- leased in whole or in part, the re- mation under the control of the Ad- quester shall be given a brief statement ministrator of General Services or the as to the reason for denial, and notice Archivist pursuant to sections 2107, of the right to appeal the determina- 2107 note, or 2203 of title 44, United tion in writing within sixty days of re- States Code. Review procedures devel- ceipt of the denial to the chairperson of oped by the Archivist shall provide for the Office of Science and Technology consultation with agencies having pri- Policy Review Committee. If appealed, mary subject matters interest and the requester shall be informed in writ- shall be consistent with the provisions ing of the appellate determination of applicable laws or lawful agreements within thirty days of receipt of the ap- that pertain to the respective presi- peal. dential papers or records. Any decision (i) When a request is received for in- by the Archivist may be appealed to formation originated by another agen- the Director of the Information Secu- cy, the Executive Director, Office of rity Oversight Office. Agencies with Science and Technology Policy, shall: primary subject matter interest shall (1) Forward the request to such agen- be notified promptly of the Director’s cy for review together with a copy of decision on such appeals and may fur- the document containing the informa- ther appeal to the National Security tion requested, where practicable, and Council. The information shall remain where appropriate, with the Office of classified pending a prompt decision on Science and Technology Policy rec- the appeal. ommendation to withhold or declassify (e) Office of Science and Technology and release any of the information; Policy officials conducting a manda- (2) Notify the requester of the refer- tory review for declassification shall ral unless the agency to which the re- declassify information no longer request is referred objects to such notice quiring protection under Executive on grounds that its association with Order 12356. They shall release this in- the information requires protection; formation unless withholding is other- and wise authorized under applicable law. (3) Request, when appropriate, that (f) Office of Science and Technology the agency notify the Office of Science Policy responses to mandatory review and Technology Policy of its deter- requests shall be governed by the mination. amount of search and review time re- (j) If the request requires the ren- quired to process the request. Normally dering of services for which fees may be the requester shall be informed of the charged under title 5 of the Inde- Office of Science and Technology Pol- pendent Offices Appropriation Act, 31 icy determination within thirty days of U.S.C. 483a, the Executive Director, Of- receipt of the original request (or with- fice of Science and Technology Policy, in thirty days of the receipt of the re- may calculate the anticipated amount quired amplifying information in ac- of fees to be charged. cordance with paragraph (c) of this sec- (1) Fees for the location and repro- tion). In the event that a determina- duction of information that is the sub- tion cannot be made within thirty ject of a mandatory review request days, the requester shall be informed of shall be assessed according to the fol- the additional time needed to process lowing schedule: the request. However, OSTP, shall (i) Search for records. $5.00 per hour make a final determination within one when the search is conducted by a cler- year from the date of receipt of the re- ical employee; $8.00 per hour when the quest except in unusual circumstances. search is conducted by a professional (g) When information cannot be de- employee. No fee shall be assessed for classified in its entirety, OSTP will searches of less than one hour. make a reasonable effort to release, (ii) Reproduction of documents. Docu- consistent with other applicable law, ments will be reproduced at a rate of

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$.25 per page for all copying of four § 2400.23 Prohibition. pages or more. No fee shall be assessed In response to a request for informa- for reproducing documents that are tion under the Freedom of Information three pages or less, or for the first Act, the Privacy Act of 1974, or the three pages of longer documents. mandatory review provisions of Execu- (2) Where it is anticipated that the tive Order 12356 and Directive No. 1, or fees chargeable under this section will this regulation: amount to more than $25, and the re- (a) The Office of Science and Tech- questor has not indicated in advance a nology Policy shall refuse to confirm willingness to pay fees as high as are or deny the existence or non-existence anticipated, the requester shall be of requested information whenever the promptly notified of the amount of the fact of its existence or non-existence is anticipated fee or such portion thereof itself classifiable under Executive as can readily be estimated. In in- Order 12356. stances where the estimated fees will (b) When the Office of Science and greatly exceed $25, an advance deposit Technology Policy receives any re- may be required. Dispatch of such a no- quest for documents in its custody that tice or request shall suspend the run- were classified by another agency, it ning of the period for response by shall refer copies of the request and the OSTP until a reply is received from the requested documents to the originating agency for processing, and may, after requester. consultation with the originating agen- (3) Remittances shall be in the form cy, inform the requester of the referral. either of a personal check or bank In cases which the originating agency draft drawn on a bank in the United determines in writing that a response States, or a postal money order. Re- under paragraph (a) of this section is mittances shall be made to the Treas- required, the Office of Science and ury of the United States and mailed to Technology Policy shall respond to the the Executive Director, Office of requester in accordance with that para- Science and Technology Policy, Execu- graph. tive Office of the President, Wash- ington, DC 20506. § 2400.24 Downgrading. (4) A receipt for fees paid will be (a) When it will serve a useful pur- given only upon request. Refund of fees pose, original classification authorities paid for services actually rendered will may, at the time of original classifica- not be made. tion, specify that downgrading of the (5) If a requester fails to pay within assigned classification will occur on a thirty days for services rendered, fur- specified date or upon the occurrence ther action on any other requests sub- of a stated event. mitted by that requestor shall be sus- (b) Classified information marked for pended. automatic downgrading is downgraded (6) The Executive Director, Office of accordingly without notification to Science and Technology Policy may holders. (c) Classified information not marked waive all or part of any fee provided for for automatic downgrading may be as- in this section when it is deemed to be signed a lower classification designa- in either the interest of the OSTP or tion by the originator or by an official the general public. authorized to declassify the same information. Prompt notice of such down- § 2400.22 Freedom of Information Act and Privacy Act requests. grading shall be provided to known holders of the information. The Office of Science and Technology Policy shall process requests for de- Subpart E—Safeguarding classification that are submitted under the provisions of the Freedom of Infor- § 2400.25 Access. mation Act, as amended, or the Pri- (a) A person is eligible for access to vacy Act of 1974, in accordance with classified information provided that a the provisions of those Acts. determination of trustworthiness has

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been made by agency heads or des- (4) A system of accounting for the ignated officials and provided that such program is established and maintained. access is essential to the accomplishment of lawful and authorized Govern- § 2400.26 Access by historical research- ment purposes. A personnel security ers and former Presidential ap- clearance is an indication that the pointees. trustworthiness decision has been (a) The requirement in Section 4.1(a) made. Procedures shall be established of Executive Order 12356 that access to by the head of each office to prevent classified information may be granted access to classified information before only as is essential to the accomplish- a personnel security clearance has been ment of authorized and lawful Govern- granted. The number of people cleared ment purposes may be waived as pro- and granted access to classified infor- vided in paragraph (b) of this section mation shall be maintained at the min- for persons who: imum number that is consistent with (1) Are engaged in historical research operational requirements and needs. projects, or No one has a right to have access to (2) Previously have occupied policy- classified information solely by virtue of rank or position. The final responsi- making positions to which they were bility for determinating whether an in- appointed by the President. dividual’s official duties require posses- (b) Waivers under paragraph (a) of sion of or access to any element or this section may be granted only if the item of classified information, and Director, Office of Science and Tech- whether the individual has been grant- nology Policy: ed the appropriate security clearance (1) Determines in writing that access by proper authority, rests with the in- is consistent with the interest of na- dividual who has authorized possession, tional security; knowledge, or control of the informa- (2) Takes appropriate steps to protect tion and not with the prospective reclassified information from unauthor- cipient. These principles are equally ized disclosure or compromise, and en- applicable if the prospective recipient sures that the information is safe- is an organizational entity, other Fed- guarded in a manner consistent with eral agencies, contractors, foreign gov- Executive Order 12356; ernments, and others. (3) Limits the access granted to (b) When access to a specific classi- former presidential appointees to items fication category is no longer required that the person originated, reviewed, for the performance of an individual’s signed, or received while serving as a assigned duties, the security clearance presidential appointee; and will be administratively adjusted, (4) Has received a written agreement without prejudice to the individual, to from the researcher or former presi- the classification category, if any, re- dential appointee that his notes can be quired. reviewed by OSTP for a determination (c) The Director, Office of Science that no classified material is contained and Technology Policy may create spe- therein. cial access programs to control access, distribution, and protection of particu- § 2400.27 Storage of classification in- larly sensitive information classified formation. pursuant to Executive Order 12356 or predecessor orders if: Whenever classified information is (1) Normal management and safe- not under the personal control and ob- guarding procedures do not limit ac- servation of an authorized person, it cess sufficiently; will be guarded or stored in a locked (2) The number of persons with access security container approved for the is limited to the minimum necessary storage and protection of the appro- to meet the objective of providing priate level of classified information as extra protection for the information; prescribed in § 2001.43 of Directive No. 1. (3) The special access program is established in writing; and

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§ 2400.28 Dissemination of classified special access programs, and of all Se- information. cret and Confidential documents which Heads of OSTP offices shall establish are marked with special dissemination procedures consistent with this Regu- and reproduction limitations. lation for dissemination of classified (h) The Security Officer will develop material. The originating official may procedures for the accountability and prescribe specific restrictions on dis- control of Secret and Confidential in- semination of classified information formation. These procedures shall re- when necessary. quire all Secret and Confidential mate- (a) Classified information shall not rial originated or received by OSTP to be disseminated outside the executive be controlled. Control shall be accom- branch except under conditions that plished by the ATSCO. ensure that the information will be given protection equivalent to that af- § 2400.30 Reproduction of classified in- forded within the executive branch. formation. (b) Except as provided by directives Documents or portions of documents issued by the President through the and materials that contain Top Secret National Security Council, classified information shall not be reproduced information originating in one agency without the consent of the originator may not be disseminated outside any or higher authority. Any stated prohi- other agency to which it has been made bition against reproduction shall be available without the consent of the strictly observed. Copying of docu- originating agency. For purposes of ments containing classified informa- this Section, the Department of De- tion at any level shall be minimized. fense shall be considered one agency. Specific reproduction equipment shall § 2400.29 Accountability and control. be designated for the reproduction of classified information and rules for re- (a) Each item of Top Secret, Secret, production of classified information and Confidential information is subject shall be posted on or near the des- to control and accountability require- ignated equipment. Notices prohibiting ments. reproduction of classified information (b) The Security Officer will serve as shall be posted on equipment used only Top Secret Control Officer (TSCO) for for the reproduction of unclassified in- the Office of Science and Technology formation. All copies of classified docu- Policy and will be responsible for the ments reproduced for any purpose in- supervision of the Top Secret control cluding those incorporated in a work- program. He/she will be assisted by an ing paper are subject to the same con- Assistant Top Secret Control Officer trols prescribed for the document from (ATSCO) to effect the Controls pre- which the reproduction is made. scribed herein for all Top Secret material. § 2400.31 Destruction of classified in- (c) The TSCO shall receive, transmit, formation. and maintain current access and accountability records for Top Secret in- (a) Classified information no longer formation. The records shall show the needed in current working files or for number and distribution of all Top Se- reference or record purposes shall be cret documents, including any repro- processed for appropriate disposition in duced copies. accordance with the provisions of chap- (d) Top Secret documents and mate- ters 21 and 33 of title 44, U.S.C., which rial will be accounted for by a contin- governs disposition of classified uous chain of receipts. records. Classified information ap- (e) An inventory of Top Secret docu- proved for destruction shall be de- ments shall be made at least annually. stroyed in accordance with procedures (f) Destruction of Top Secret docu- and methods prescribed by the Direc- ments shall be accomplished only by tor, OSTP, as implemented by the Se- the TSCO or the ATSCO. curity Officer. These procedures and (g) Records shall be maintained to methods must provide adequate protec- show the number and distribution of tion to prevent access by unauthorized all classified documents covered by persons and must preclude recognition

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or reconstruction of the classified in- classification authority is not required formation or material. for this purpose. (b) All classified information to be (b) Foreign government information destroyed will be provided to the that was not classified by a foreign en- ATSCO for disposition. Controlled doc- tity but was provided with the expecta- uments will be provided whole so that tion, expressed or implied, that it be accountability records may be cor- held in confidence must be classified rected prior to destruction by the because Executive Order 12356 states a ATSCO. presumption of damage to the national § 2400.32 Transmittal of classified in- security in the event of unauthorized formation. disclosure of such information. The transmittal of classified infor- § 2400.35 Duration of classification. mation outside of the Office of Science and Technology Policy shall be in ac- Foreign government information cordance with procedures of § 2001.44 of shall not be assigned a date or event Directive No. 1. The Security Officer for automatic declassification unless shall be responsible for resolving any specified or agreed to by the foreign en- questions relative to such transmittal. tity.

§ 2400.33 Loss or possible compromise. § 2400.36 Declassification. (a) Any person who has knowledge of Officials shall respect the intent of the loss or possible compromise of clas- this Regulation to protect foreign gov- sified information shall immediately ernment information and confidential report the circumstances to the Secu- foreign sources. rity Officer. The Security Officer shall notify the Director and the agency § 2400.37 Mandatory review. that originated the information as soon as possible so that a damage as- Except as provided in this paragraph, sessment may be conducted and appro- OSTP shall process mandatory review priate measures taken to negate or requests for classified records con- minimize any adverse effect of the taining foreign government informa- compromise. tion in accordance with § 2400.21. The (b) The Security Officer shall initiate agency that initially received or classi- an inquiry to: fied the foreign government informa- (1) Determine cause, tion shall be responsible for making a (2) Place responsibility, and declassification determination after (3) Take corrective measures and ap- consultation with concerned agencies. propriate administrative, disciplinary, If OSTP receives a request for manda- or legal action. tory review and is not the agency that (c) The Security Officer shall keep received or classified the foreign gov- the Director advised on the details of ernment information, it shall refer the the inquiry. request to the appropriate agency for action. Consultation with the foreign Subpart F—Foreign Government originator through appropriate chan- Information nels may be necessary prior to final action on the request. § 2400.34 Classification. (a) Foreign government information § 2400.38 Protection of foreign govern- classified by a foreign government or ment information. international organization of govern- Classified foreign government infor- ments shall retain its original classi- mation shall be protected as is pre- fication designation or be assigned a scribed by this regulation for United United States classification designa- States classified information of a com- tion that will ensure a degree of pro- parable level. tection equivalent to that required by the government or organization that furnished the information. Original

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Subpart G—Security Education § 2400.42 Security Officer. Under the general direction of the Di- § 2400.39 Responsibility and objec- rector, the Special Assistant to the Ex- tives. ecutive Director will serve as the Secu- The OSTP Security Officer shall es- rity Officer and will supervise the ad- tablish a security education program ministration of this Regulation. He/she for OSTP personnel. The program shall will develop programs, in particular a be sufficient to familiarize all OSTP Security Education Program, to insure personnel with the provisions of Execu- effective compliance with and imple- tive Order 12356 and Directive No. 1, mentation of the Information Security and this regulation. It shall be de- Program. Specifically he/she also shall: signed to provide initial, refresher, and (a) Maintain a current listing by title termination briefings to impress upon and name of all persons who have been designated in writing to have original them their individual security respon- Top Secret, Secret, and Confidential sibilities. Classification authority. Listings will be reviewed by the Director on an an- Subpart H—Office of Science and nual basis. Technology Policy Information (b) Maintain the record copy of all Security Program Manage- approved OSTP classification guides. ment (c) Maintain a current listing of OSTP officials designated in writing to § 2400.40 Responsibility. have declassification and downgrading authority. The Director, OSTP is the senior (d) Develop and maintain systematic OSTP official having authority and re- review guidelines. sponsibility to ensure effective and uniform compliance with and imple- § 2400.43 Heads of offices. mentation of Executive Order 12356 and The Head of each unit is responsible its implementing Directive No. 1. As for the administration of this regula- such, the Director, OSTP, shall have tion within his area. These responsibil- primary responsibility for providing ities include: guidance, oversight and approval of (a) Insuring that national security policy and procedures governing the information is properly classified and OSTP Information Security Program. protected; The Director, OSTP, may approve (b) Exercising a continuing records waivers or exceptions to the provisions review to reduce classified holdings of this regulation to the extent such through retirement, destruction, down- action is consistent with Executive grading or declassification; Order 12356 and Directive No. 1. (c) Insuring that reproduction of classified information is kept to the § 2400.41 Office Review Committee. absolute minimum; (d) Issuing appropriate internal secu- The Office of Science and Technology rity instructions and maintaining the Policy Review Committee (hereinafter prescribed control and accountability referred to as the Office Review Com- records on classified information under mittee) is hereby established and will their jurisdiction. be responsible for the continuing review of the administration of this Reg- § 2400.44 Custodians. ulation with respect to the classifica- Custodians of classified material tion and declassification of informa- shall be responsible for providing pro- tion or material originated or held by tection and accountability for such the Office of Science and Technology material at all times and particularly Policy. The Office Review Committee for locking classified material in ap- shall be composed of the Executive Di- proved security equipment whenever it rector who shall serve as chairperson, is not in use or under direct super- the Assistant Director for National Se- vision of authorized persons. curity & Space, and the Security Offi- Custodians shall follow procedures cer. which insure that unauthorized persons

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do not gain access to classified infor- Officer will provide any records and as- mation or material by sight or sound, sistance required to facilitate the re- and classified information shall not be view. discussed with or in the presence of un- (c) The findings and recommenda- authorized persons. tions of the review will be provided to the Director for his determination. § 2400.45 Information Security Pro- gram Review. § 2400.46 Suggestions or complaints. (a) The Director, OSTP, shall require an annual formal review of the OSTP Persons desiring to submit sugges- Information Security Program to en- tions or complaints regarding the Of- sure compliance with the provisions of fice of Science and Technology Policy Executive Order 12356 and Directive No. Information Security Program should 1, and this regulation. do so in writing. This correspondence (b) The review shall be conducted by should be addressed to: Executive Di- a group of three to five persons ap- rector, Office of Science and Tech- pointed by the Director and chaired by nology Policy, Executive Office of the the Executive Director. The Security President, Washington, DC 20506.

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sanctioning systems to insure their ef- the information should not be classi- fectiveness. When questions arise as fied. whether the need to protect information may be outweighed by the public § 2700.13 Duration of original classi- interest in disclosure of the informa- fication. tion, they shall be referred to OMSN (a) Information or material which is pursuant to § 2700.32(b) for a determina- classified after December 1, 1978, shall tion whether the public interest in dis- be marked at the time of classification closure outweighs the damage to na- with the date or event for declassifica- tional security that might reasonably tion or a date for review for declas- be expected from disclosure. sification. This date or event shall be as early as national security permits § 2700.12 Criteria for and level of original classification. and shall be no more than six years after original classification except as (a) General Policy. Documents or provided in paragraph (b) of this sec- other material are to be classified only tion. when protecting the national security (b) Only the President’s Personal requires that the information they con- Representative for Micronesian Status tain be withheld from public disclo- Negotiations may authorize a classi- sure. Information may not be classified to conceal violations of law, ineffi- fication period exceeding six years. ciency, or administrative error, or to Originally classified information that prevent embarrassment to a person, or- is so designated shall be identified with ganization or agency, or to restrain the authority and reason for extension. competition. No material may be clas- This authority shall be used sparingly. sified to limit dissemination, or to pre- In those cases where extension of clas- vent or delay public release, unless its sification is warranted, a declassifica- classification is consistent with E.O. tion date or event, or a date for review 12065. shall be set. This date or event shall be (b) Criteria. To be eligible for classi- early as national security permits and fication, information must meet two shall be no more than twenty years requirements: after original classification except that (1) First, it must deal with one of the for foreign information the date or criteria set forth in section 1–301 of event may be up to thirty years after E.O. 12065; original classification. (2) Second, the President’s Personal Representative for Micronesian Status § 2700.14 Challenges to classification. Negotiations or his delegate who has If holders of classified information original classification authority must believe the information is improperly determine that unauthorized disclosure or unnecessarily classified, or that of the information or material can rea- original classification has been ex- sonably be expected to cause at least tended for too long a period, they identifiable harm to the national secu- should discuss the matter with their rity. immediate superiors or the classifier of (c) Classification designations. Only the information. If these discussions do three designations of classification are not satisfy the concerns of the chal- authorized—‘‘Top Secret,’’ ‘‘Secret,’’ lenger, the matter should be brough to ‘‘Confidential.’’ No other classification the attention of the chairman of the designation is authorized or shall have OMSN Information Security Oversight force. Committee, established pursuant to (d) Unnecessary classification, and § 2700.51. Action on such challenges classification at a level higher than is shall be taken within 30 days from date necessary, shall be avoided. If there is of receipt and the challenger shall be reasonable doubt as to which designa- notified of the results. When requested, tion in section 1–1 of E.O. 12065 is appropriate, or whether information anonymity of the challenger shall be should be classified at all, the less re- preserved. strictive designation should be used, or

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Subpart C—Derivative fication, release of information reason- Classification ably could still be expected to cause at least identifiable damage to the na- § 2700.21 Definition and application. tional security. Derivative classification is the act of assigning a level of classification to in- § 2700.33 Mandatory review for declas- formation which is determined to be sification. the same in substance as information (a) General. All information classified which is currently classified. Thus, de- under the Order or prior orders, except rivative classification may be accom- as provided for in section 3–503 of E.O. plished by any person cleared for ac- 12065 shall be subject to review for de- cess to that level of information, reclassification upon request of a mem- gardless of whether the person has ber of the public, a government em- original classification authority at ployee, or an agency. that level. (b) Receipt. (1) Requests for mandatory review for declassification under § 2700.22 Classification guides. section 3–501 of E.O. 12065 must be in OMSN shall issue classification writing and should be addressed to: Of- guides pursuant to section 2–2 of E.O. fice for Micronesian Status Negotia- 12065. These guides, which shall be used tions, ATTN: Security Officer (Manda- to direct derivative classification, shall tory Review Request), Room 3356, De- identify the information to be pro- partment of the Interior, Washington, tected in specific and uniform terms so that the information involved can be DC 20240. readily identified. The classification (2) The requestor shall be informed of guides shall be approved in writing by the date of receipt of the request at the President’s Personal Representa- OMSN. This date will be the basis for tive for Micronesian Status Negotia- the time limits specified in paragraph tions. Such approval constitutes an (c) of this section. original classification decision. The (3) If the request does not reasonably classification guides shall be kept cur- describe the information sought, the rent and shall be reviewed at least requestor shall be notified that, unless every two years. additional information is provided or the request is made more specific, no Subpart D—Declassification and further action will be taken. Downgrading (4) Subject to paragraph (b)(7) of this section, if the information requested is § 2700.31 Declassification authority. in the custody of and under the exclu- The Director, OMSN, is authorized to sive declassification authority of declassify OMSN originated documents OMSN, OMSN shall determine whether after consultation with the appropriate the information or any reasonably seg- OMSN staff members. regable portion of it no longer requires protection. If so, OMSN shall promptly § 2700.32 Declassification general. make such information available to Declassification of classified infor- the requester, unless withholding it is mation shall be given emphasis com- otherwise warranted under applicable parable to that accorded to classifica- law. If the information may not be re- tion. The determination to declassify leased, in whole or in part, OMSN shall information shall not be made on the give the requester a brief statement of basis of the level of classification as- the reasons, a notice of the right to ap- signed, but on the loss of the sensi- peal the determination to the agency tivity of the information with the pas- review committee, and notice that sage of time, and with due regard for such an appeal must be filed with the the public interest in access to official review committee within 60 days. information. At the time of review, any determination not to declassify shall (5) When OMSN receives a request for be based on a determination that de- information in a document which is in spite the passage of time since classi- its custody, but which was classified by

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another agency, it shall refer the re- (2) If the determination is to with- quest to the appropriate agency for re- hold some or all of the material review, together with a copy of the docu- quested, the requestor may appeal the ment containing the information re- determination. The requestor shall be quested, where practicable. OMSN shall informed that an appeal must be made also notify the requester of the refer- in writing within sixty days of receipt ral, unless the association of the re- of the denial and should be addressed viewing agency with the information to the chairperson of the OMSN Classi- requires protection. The reviewing fication Review Committee established agency shall review a document in co- pursuant to § 2700.52. ordination with any other agency in- (3) No agency in possession of a clas- volved with the classification or having sified document may, in response to a a direct interest in the subject matter. request for the document made under The reviewing agency shall respond di- the Freedom of Information Act (5 rectly to the requester in accordance U.S.C. 552) or under section 3–5 of E.O. with the pertinent procedures de- 12065, refuse to confirm the existence scribed above and, if requested, shall or non-existence of the document, un- notify OMSN of its determination. less the fact of its existence or non-ex- (6) Requests for declassification of istence would itself be classifiable. classified documents originated by (4) The requestor shall be informed of OMSN or another agency but in the the appellate determination within possession and control of the Adminis- thirty days of receipt of the appeal. trator of General Services, pursuant to (5) In considering requests for manda- 44 U.S.C 2107 or 2107 Note, shall be re- tory review, OMSN may decline to referred by the Archivist to the agency of view again any request for material origin for processing and for direct re- which has been recently reviewed and sponse to the requests. The Archivist denied, except insofar as the request will inform requesters of such referrals. constitutes an appeal under paragraph (f) of this section. (7) In the case of requests for docu- (d) Processing of Requests. The proc- ments containing foreign government essing of requests by OMSN shall be as information, OMSN, if it is also the follows: agency which initially received the for- (1) The Security Officer or his des- eign government information, shall de- ignee shall record the request, and ar- termine whether the foreign govern- range for search and review of the doc- ment information in the document uments. The documents will be re- may be declassified and released in ac- viewed for declassification in accord- cordance with agency policies or guide- ance with these regulations or any ap- lines, consulting with other agencies of plicable guidelines. If the documents subject matter interest as necessary. If remain classified and are not to be re- OMSN is not the agency which received leased, in whole or in part, the review- the foreign government information, it ing office will also prepare a letter in- shall refer the request to the latter forming the requester as described in agency, which shall take action on the paragraph (b)(4) of this section. The request. In those cases where available letter to the requester shall be signed agency policies or guidelines do not by the President’s Personal Represent- apply, consultation with the foreign ative for Micronesian Status Negotia- originator through appropriate chan- tions, his Deputy or the Status Liaison nels may be advisable prior to final ac- Officer. The Security Officer or his des- tion on the request. ignee shall record disposition of the (8) If any agency makes a request on case and forward the letter of denial to behalf of a member of the public, the the requester. request shall be considered as a request (2) If any request requires obtaining by that member of the public and han- the views of other agencies, the receiv- dled accordingly. ing office shall arrange coordination of (c) Review. (1) Within sixty days from review with such other agencies. its receipt, OMSN shall inform the re- (3) When all documents involved in questor of the determination of the the request are declassified and re- mandatory review for declassification. leased, the receiving office will send a

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release statement, to the requester, (ii) Reproduction of documents: Doc- and shall inform the requester of any uments will be reproduced at a rate of fees due before releasing documents. $.25 per page for all copying of four (4) In the case of documents of agen- pages or more. No fee shall be assessed cy origin requested by a Presidential for reproducing documents which are Library on behalf of a member of the three pages or less, or for the first public, if there is a partial denial, the three pages of longer documents. letter will advise the requester as de- (2) Where it is anticipated that the scribed in paragraph (b)(4) of this sec- fees chargeable under this section will tion, but the requester will be referred amount to more than $25.00, and the re- to the Archivist for copies of the requestor has not indicated in advance a leased document, with portions willingness to pay fees as high as are excised. The receiving office will trans- anticipated, the requestor shall be mit such documents, with portions promptly notified of the amount of the marked to be excised, to Archives anticipated fee or such portion thereof which will transmit them with por- as can readily be estimated. In in- tions excised to the Presidential Li- stances where the estimated fees will brary for its records and for use in the greatly exceed $25.00, an advance de- case of further similar requests. posit may be required. Dispatch of such a notice or request shall suspend the (5) The Security Officer or his des- running of the period for response by ignee shall also coordinate requests OMSN until a reply is received from from other agencies seeking the views the requestor. of OMSN as to declassification of docu- (3) Remittance shall be in the form ments originated by such other agen- either of a personal check or bank cies but involving information of pri- draft on a bank in the United States, mary subject matter interest to OMSN. or a postal money order. Remittance The Security Officer or his designee shall be made payable to Treasurer of will transmit the documents to the re- the United States and mailed to the ad- viewing individual for a determination dress noted in paragraph (b)(1) of this as to declassification and will coordi- section. nate the reply of OMSN to the request- (4) A receipt for fees paid will be pro- ing agency. vided only upon request. Refund of fees (e) Appeals. (1) The President’s Per- for services actually rendered will not sonal Representative for Micronesian be made. Status Negotiations shall receive ap- (5) OMSN may waive all or part of peals for denial of documents by any fee provided for in this section OMSN. Such appeals shall be addressed when it is deemed to be in either the to President’s Personal Representative interest of OMSN or of the general pub- for Micronesian Status Negotiations, lic. Suite 3356, Interior Department Build- ing, Washington, DC 20240. The appeal § 2700.34 Downgrading authority. must be received in OMSN within 60 The Security Officer, OMSN is au- days of the date of the original denial thorized to downgrade OMSN origi- letter or the final release of docu- nated documents after consultation ments, whichever is later. with the staff member who is charged (2) Appeals shall be decided within 30 with functional responsibility for the days of their receipt. subject matter under question. (f) Fees. (1) Fees for the location and reproduction of information which is Subpart E—Safeguarding the subject of a mandatory review request shall be assessed according to the § 2700.41 General restrictions on ac- following schedule: cess. (i) Search for records: $5.00 per hour (a) Determination of need-to-know. when the search is conducted by a cler- Classified information shall be made ical employee; $8.00 per hour when the available to a person only when the search is conducted by a professional possessor of the classified information employee. No fee shall be assessed for establishes in each instance, except as searches of less than one hour. provided in section 4–3 of E.O. 12065,

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that access is essential to the accom- tion shall be changed as required by plishment of official Government du- ISOO Directive No. 1, section IV F ties or contractual obligations. (5)(a). The combinations shall be (b) Determination of Trustworthiness. A known only to the Security Officer and person is eligible for access to classi- his designees with the appropriate se- fied information only after a showing curity clearance. of trustworthiness as determined by (e) Security Education Program. The the President’s Personal Representa- Security Officer shall establish a pro- tive for Micronesian Status Negotia- gram of briefings to familiarize per- tions based upon appropriate investiga- sonnel with the provisions of E.O. 12065 tions in accordance with applicable and implementing directives. Such standards and criteria. briefings shall be held once per year, or more frequently. Before any new or § 2700.42 Responsibility for safe- newly assigned employee enters on guarding classified information. duty, he shall be given instruction in (a) General Policy. The specific re- sufficient detail in security procedures sponsibility for the maintenance of the and practices to inform him of his re- security of classified information rest sponsibilities arising from his access to with each person having knowledge or classified data. physical custody therof, no matter how (f) Access by Historical Researchers and obtained. The ultimate responsibility Former Presidential Appointees. In keep- for safeguarding classified information ing with provisions 4–301 and 4–302 of rests on each supervisor to the same E.O. 12065, the President’s Personal degree that supervisor is charged with Representative for Micronesian Status functional responsibility. Negotiations shall designate appro- (b) Security and Top Secret Control Of- priate officials to determine, prior to ficers. The Director, OMSN, and the granting access to classified informa- Status Liaison Officer, Saipan, are as- tion, the propriety of such action in signed specific security responsibilities the interest of national security and as Security Officer and Top Secret assurance of the recipient’s trust- Control Officer. worthiness and need-to-know. (c) Handling. All documents bearing the terms ‘‘Top Secret,’’ ‘‘Secret’’ and § 2700.43 Reproduction controls. ‘‘Confidential’’ shall be delivered to the OMSN and SLNO shall maintain Top Secret Control Officer or his des- records to show the number and dis- ignee immediately upon receipt. All tribution of all OMSN originated clas- potential recipients of such documents sified documents. Reproduction of clas- shall be advised of the names of such sified material shall take place only in designees and updated information as accordance with section 4–4 of E.O. necessary. In the event that the Top 12065 and any limitations imposed by Secret Control Officer or his designees the originator. Should copies be made, are not available to receive such docu- they are subject to the same controls ments, they shall be turned over to the as the original document. Records office supervisor and secured, un- showing the number of distribution of opened, in a designated combination copies shall be maintained by the Of- safe located in OMSN or SLNO, as ap- fice Supervisor and the log stored with propriate until the Top Secret Control the original documents. These meas- Officer is available. All materials not ures shall not restrict reproduction for immediately deliverable to the Top Se- the purposes of mandatory review. cret Control Officer shall be delivered at the earliest opportunity. Under no § 2700.44 Administrative sanctions. circumstances shall classified material Officers and employees of the United that cannot be delivered to the Top Se- States Government assigned to OMSN cret Control Officer be stored other shall be subject to appropriate admin- than in the designated safe. istrative sanctions if they knowingly (d) Storage. All classified documents and willingly commit a violation under shall be stored in the designated com- section 5–5 of E.O. 12065. These sanc- bination safe or safes located in OMSN tions may include reprimand, suspen- or SLNO as appropriate. The combina- sion without pay, removal, termination

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of classification authority, or other The chairperson shall also be respon- sanction in accordance with applicable sible for conducting an active oversight law or the applicable regulations of the program to ensure effective implemen- agency from which they are assigned to tation of E.O. 12065. OMSN. § 2700.52 Classified Review Committee. Subpart F—Implementation and The OMSN Classification Review Review Committee shall be chaired by the President’s Personal Representative § 2700.51 Information Security Over- for Micronesian Status Negotiations. sight Committee. The Committee shall decide appeals The OMSN Information Security from denials of declassification re- Oversight Committee shall be chaired quests submitted pursuant to section by the Security Officer, OMSN. The 3–5 of E.O. 12065. The Committee shall Committee shall be responsible for act- consist of the President’s Personal ing on all suggestions and complaints Representative, Department of De- concerning the administration of the fense/Legal Advisor and Political/Eco- OMSN information security program. nomic Advisor.

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completed determining that the indi- formation or material will be con- vidual is trustworthy and that access is trolled by the Staff Security Office and necessary for the performance of offi- certified in writing on an individual cial duties. basis. (1) Security Clearance Procedures. (i) (f) Access to Classified Material. Each The Counsel to the Vice President will: member of the staff who has custody or (A) Be responsible for the processing possession of classified information is of full field investigations for per- responsible for providing the required sonnel assigned to the Vice President’s degree of protection from unauthorized staff. Department of Defense detailees disclosure at all times. are processed by the Defense Investiga- (1) Classified information and mate- tive Service. rial will only be disclosed to an indi- (B) Inform the Staff Security Office vidual after it has been determined of individuals whose full field inves- that the individual possesses the re- tigations have been satisfactorily com- quired clearance and has a valid ‘‘need pleted and approved and of any subse- to know.’’ Persons releasing the infor- quent changes. mation shall be responsible in every (C) Notify the Staff Security Office case for determining the recipient’s eli- as soon as he/she is aware that a staff gibility for access. member is planning to terminate his/ (2) Access to Sensitive Compart- her employment. mented Intelligence Information will (ii) The Staff Security Office will be controlled by the Assistant to the provide newly cleared persons with a Vice President for National Security security orientation briefing covering Affairs. policy and procedures for handling classified information and material. (g) Custody and safekeeping of Classi- After the briefing individuals will sign fied Material. (1) Classified material ad- a Statement of Understanding of Secu- dressed to the Office of the Vice Presi- rity Procedures (Attachment 1). This dent will normally be delivered to and statement will be kept on file by the receipted for by the Staff Security Of- Staff Security Office. fice where it will be entered into the (iii) There is no such thing as an classified material control system. ‘‘Interim Security Clearance’’ for per- (i) Staff members receiving classified sons employed by or detailed to the Of- material from any source by any fice of the Vice President. Under no cir- means will personally deliver such ma- cumstances will uncleared persons be terial to the Staff Security Office for given access to classified material. Ac- appropriate entry into the classified cess to classified material will be de- control system. nied until the individual has had a sat- (ii) Conversely, members of the staff isfactorily completed background in- desiring to transmit classified material vestigation, has received the security will deliver the material to the Staff orientation briefing and signed the Security Office for handling in accord- Statement of Understanding of Secu- ance with paragraph (h)(5) of this sec- rity Procedures. tion. (iv) The Staff Security Office, as part (2) Storage of Classified Material. (i) of an individual’s departure debriefing, Classified material will be stored only will remind them of their continuing in accordance with the provisions of responsibilities to protect classified in- ISOO Directive No. 1, paragraph IV–F– formation to which they have had ac- 1 through 4. cess during the performance of their of- (ii) Filing of unclassified material in ficial duties. After being debriefed, the security containers is prohibited ex- individual will sign a Security Termi- cept where the unclassified material is nation Statement acknowledging his an integral part of a file which con- responsibilities (Attachment 2). tains classified material. If extenu- (2) Satisfactory completion of a ating circumstances necessitate the background investigation does not in use of a security container for storing itself grant an individual access to only unclassified material, the con- classified information. Individual tainer will be marked with a sign stat- clearances for access to classified in- ing ‘‘This container is not used to store

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classified material’’ or ‘‘Do not store with the appropriate classification and classified material in this container.’’ provided the same degree of protection (3) Record of safe locations. The Staff as that given to other documents of an Security Office will assign numbers to equal category of classification. all security containers used to store (4) Communications security. Classified classified material in the Office of the information shall not be discussed over Vice President. A record of safe num- any voice communications device ex- bers, locations and date of last com- cept as authorized over approved secure bination change will be maintained in communications circuits. This restric- the Staff Security Office. tion also applies to electrical trans- (4) Changing of lock combinations. mission of classified material via any Combinations of security containers unsecure circuitry involving teletypes, will be changed by the Staff Security Office or the Secret Service. This serv- DEX equipment or other systems of a ice may be requested by contacting the like nature. Appropriate secure facili- Staff Security Office. Combinations ties for the discussion or transmittal of will be changed in accordance with the classified material may be arranged by provisions of ISOO Directive No. 1, contacting the Staff Security Office. paragraph IV–F–5. (5) Transmittal of Classified Material— (5) Records of combinations. Records of (i) Outside the Office of the Vice Presi- combinations shall be maintained by dent and the White House Complex. The the Staff Security Office. Whenever a Staff Security Office is responsible for combination is changed, the new com- transmitting or transferring all classi- bination and other required informa- fied material outside the Office of the tion will be recorded on GSA Optional Vice President and the White House Form 63. The sealed envelope will then Complex in accordance with the provi- be delivered to the Staff Security Of- sions of ISOO Directive No. 1, para- fice for retention in the vault safe. graphs I, G and H. (6) Custodians. Each container used (ii) Within the Office of the Vice Presi- for storage of classified material with- dent and the White House Complex. in the Office of the Vice President will Transfer or movement of classified ma- have assigned a primary and alternate terial will be accomplished only by custodian. Responsibility for security properly cleared persons handcarrying of these containers shall rest with the material to the recipient. The ma- those persons, and their names shall be affixed on the outside of the top drawer terial shall be carried in an envelope of each container positioned so as to be marked with the appropriate classifica- readily discernible. Optional Form 63 tion. Use of see through messenger enve- shall be used for this purpose. lopes is not authorized. Recipients will (h) Handling of Classified Material—(1) sign a receipt (GSA Optional Form 112) Use of cover sheets. A separate cover for all material classified SECRET and sheet indicating the classification of TOP SECRET. Whenever TOP SECRET the material will be fastened to the top material is transferred, the Staff Secu- page of cover of each CONFIDENTIAL, rity Office will be notified in order to SECRET or TOP SECRET document. maintain accurate accountability of (2) Unattended documents. Classified the material. Classified material will material will be under the direct super- never be delivered to an uncleared pervision of a person with an appropriate son, left in an unoccupied office, or security clearance and a verified need- sent through unclassified mail deliv- to-know at all times when in use. Spe- ery/distribution systems. cial care will be taken to insure that (iii) Staff members requiring the use classified material is not left unse- of classified material at conferences or cured or unattended in an office. meetings held outside the Washington, (3) Working papers. Working papers DC Metropolitan area and who intend are documents, including drafts, photo- to use commercial transportation shall graphs, etc., created to assist in the provide the material to the Staff Secu- formulation and preparation of finished papers. Working papers containing rity Office far enough in advance to as- classified information will be marked sure that the material will be available

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on or before the date needed. This re- will be accomplished only by properly quirement does not apply when uti- cleared persons. lizing government/military transpor- (ii) Reproduction of TOP SECRET tation. In this case, material may be material will be accomplished only by handcarried. The Staff Security Office a member of the Staff Security Office will brief each staff member prior to or a designated representative of that departure concerning security require- office. ments or arrangements needed to safe- (iii) Accountability of reproduced guard the material while away from his classified material will be maintained office. For meetings or conferences by informing the Staff Security Office within the Washington, DC Metropoli- of the reproduction of SECRET and tan area, members may handcarry clas- TOP SECRET material, the number of sified material. Use of classified mate- copies reproduced and their disposi- rial during a conference or meeting re- tion. quires increased awareness and pre- cautionary handling to avoid security (iv) Reproduction machines can re- violations and/or compromises. Staff tain the imagery of material passed members using classified material dur- through them. Therefore, to avoid in- ing a meeting or conference are respon- advertent disclosure of classified infor- sible for ensuring that the material is mation through subsequent use of ma- properly protected at all times, and chines, staff members will always run that personnel present posses appro- machines through four cycles (four priate clearances for the material blank pages) after the last page of the being presented. classified material has been repro- (iv) Visits to foreign countries. Special duced. These pages will be destroyed in precautions must be taken when vis- the same manner as classified mate- iting foreign countries to ensure classi- rial. fied material is protected at all times. (8) Destruction of Classified Material. For all visits to foreign countries a (i) SECRET and TOP SECRET material member of the staff will be appointed will be given to the Staff Security Of- as custodian for all classified material fice for destruction to insure destruc- required for the success of the mission. tion is properly recorded and destroyed This individual will be the holder of a material is removed from the classified diplomatic passport which exempts control system. him from customs inspections. Indi- (ii) CONFIDENTIAL material may be vidual so designated will coordinate destroyed in the holder’s office by tear- with United States embassy personnel ing lengthwise and placing in a ‘‘Burn in the country to be visited for secur- Bag’’ specifically designated for classi- ing of classified material within the fied material. embassy compound or other appro- (iii) Classified waste material will be priate secure area during the course of the visit. separated from other office waste ma- (6) Preparation and marking of Classi- terial and placed in ‘‘Burn Bags.’’ Clas- fied Material. All classified material sified waste material includes working originating within the office of the papers, notes, drafts of classified cor- Vice President will be prepared and respondence, carbon paper, typewriter marked by properly authorized and ribbons and any other material con- cleared personnel in accordance with taining information requiring destruc- ISOO Directive No. 1, paragraphs I, G, tion. ‘‘Burn Bags’’ will be collected and H. A sample letter is attached for daily by a member of the White House your guidance (Attachment 3). Executive Protective Service who will Derivitive information will be prepared then dispose of the bags in a secure fa- and classified in accordance with ISOO cility. Directive No. 1, paragraphs II A (iv) Typewriter ribbons. Classified ma- through C. Questions concerning proce- terial can be reproduced from imprints dures should be directed to the Staff on used typewriter ribbons. Therefore, Security Office. ribbons which are used in the prepara- (7) Reproduction of Classified Material. tion of classified material must be (i) Reproduction of classified material safeguarded accordingly, i.e., they will

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be stored in a safe at the close of busi- passage of time or upon the occurrence ness, destroyed as classified waste of a declassification event. For further when no longer serviceable, etc. guidance, refer to sections 3–102, 3–103 (9) Inventories. The Staff Security Of- and 3–104 of E.O. 12065. fice will conduct inventories of all TOP (d) Systematic review for declassifica- SECRET material charged to the Office tion. Systematic review for declas- of the Vice President at least annually sification will be in accordance with to determine the adequacy of control sections 3–204, 3–401 and 3–503 of E.O. procedures and insure accountability. 12065. (i) Loss or compromise. Any person (e) Mandatory review requests. Re- who has knowledge of loss of possible quests from a member of the public, a compromise of classified information government employee, or an agency, to shall promptly report the cir- declassify and release information will cumstances to the Staff Security Office be acted upon within 60 days provided for appropriate action in accordance the request reasonably identifies the with ISOO Directive No. 1, paragraph information. After review, the informa- IV, H. tion or any reasonably segregable por- (j) Penalties. Any individual breach of tion thereof that no longer requires security may warrant penalties up to protection, shall be declassified and re- and including the separation of the in- leased, except as provided in section 3– dividual from his employment or 503, E.O. 12065, unless withholding is criminal prosecution. otherwise warranted under applicable (k) Special access. Special access au- law. thority is required for release of Sen- (f) Classification guides. The Chief sitive Compartmented Intelligence In- Counsel, National Security Council, formation. The names of personnel has determined that, in view of the cleared for access to this category of limited amount of material originally information are on file in the Staff Se- classified by this office, the prepara- curity Office. tion and publication of classification guides is not required. § 2800.5 Policies. (g) Access to Classified Information by (a) Basic policy. Except as provided in historical researchers and former Presi- the Atomic Energy Act of 1943, as dential appointees. Access may be grant- amended, Executive Order 12065, as im- ed under the provisions of section 4–3 of plemented by ISOO Directive No. 1, E.O. 12065; however, access is permis- provides the only basis for classifying sive and not mandatory. information. It is the policy of this office to make available to the public as § 2800.6 Delegation of classification much information concerning its ac- and declassification authority. tivities as possible consistent with the Pursuant to the provisions of sec- need to protect the national security. tions 1–201 and 3–103 of E.O. 12065 of Accordingly, security classification June 28, 1978, the following officials shall be applied only to protect the na- within the Office of the Vice President, tional security. are designated to originally classify (b) Duration of classification. Classi- and declassify information as ‘‘SE- fication shall not be continued longer CRET’’ and/or ‘‘CONFIDENTIAL’’: than necessary for the protection of (a) Chief of Staff to the Vice Presi- national security. Each decision to dent. classify requires a simultaneous deter- (b) Counsel to the Vice President. mination of the duration such classi- (c) Executive Assistant to the Vice fication must remain in effect. For fur- President. ther guidance, refer to sections 1–401 (d) Assistant to the Vice President and 1–402, E.O. 12065. for National Security Affairs. (c) Declassification. Declassification (e) Assistant to the Vice President of information shall be given emphasis for Issues Development and Domestic comparable to that accorded to classi- Policy. fication. Decisions concerning declas- (f) Additionally, the following indi- sification shall be based on the loss of viduals are designated to declassify the information’s sensitivity with the ‘‘SECRET’’ and/or ‘‘CONFIDENTIAL’’

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information in accordance with section § 2800.7 Designation of chairperson for 3–103 of E.O. 12065: Ad Hoc Committees. (i) Staff Security Officer/Top Secret The Counsel to the Vice President is Control Officer. designated as the responsible official to (ii) Assistant Staff Security Officer/ chair Ad Hoc Committees as necessary Assistant Top Secret Control Officer. to act on all suggestions and complaints with respect to the administration of the information security program.

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ATTACHMENT 1 TO PART 2800—EMPLOYMENT AGREEMENT & INDOCTRINATION STATEMENT

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ATTACHMENT 2 TO PART 2800—SECURITY TERMINATION STATEMENT

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ATTACHMENT 3 TO PART 2800—SAMPLE

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