Historical Research in the Files of the Office of the Secretary of Defense (OSD), 26381-26391 [2014-10341]
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Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules
requirements of section 6 of the
Executive order. This proposed rule
would not have federalism implications
and would not impose substantial direct
compliance costs on state and local
governments or preempt state law
within the meaning of the Executive
order.
Unfunded Mandates Reform Act
Title II of the Unfunded Mandates
Reform Act of 1995 (2 U.S.C. 1531–
1538) (UMRA) establishes requirements
for Federal agencies to assess the effects
of their regulatory actions on state,
local, and tribal governments, and on
the private sector. This proposed rule
would not impose any Federal mandates
on any state, local, or tribal
governments, or on the private sector,
within the meaning of the UMRA.
Catalog of Federal Domestic Assistance
The Catalog of Federal Domestic
Assistance number for Mortgage
Insurance-Homes is 14.117.
List of Subjects in 24 CFR Part 203
Hawaiian natives, Home
improvement, Indians—lands, Loan
programs—housing and community
development, Mortgage insurance,
Reporting and recordkeeping
requirements, Solar energy.
Accordingly, for the reasons
discussed in this preamble, HUD
proposes to amend 24 CFR part 203 as
follows:
1. The authority citation for 24 CFR
part 203 continues to read as follows:
■
Authority: 12 U.S.C. 1709, 1710, 1715b,
1715z–16, 1715u, and 1717z–21; 42 U.S.C.
3535(d).
2. Revise the third sentence of
paragraph (d)(2) and paragraph (h) to
read as follows:
■
§ 203.49 Eligibility of adjustable rate
mortgages.
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(d) * * *
(2) * * * The current index figure
shall be the most recent index figure
available 30 days before the date of each
interest rate adjustment, except that for
forward mortgages originated on or after
[effective date of final rule to be inserted
at final rule stage], 30 days shall mean
45 days.
*
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(h) Disclosures. The mortgagee of an
adjustable rate mortgage shall provide
mortgagors with the disclosures in the
timing, content, and format required by
the regulations implementing the Truth
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Dated: April 17, 2014.
Carol J. Galante,
Assistant Secretary for Housing—Federal
Housing Commissioner.
www.regulations.gov as they are
received without change, including any
personal identifiers or contact
information.
FOR FURTHER INFORMATION CONTACT:
Mr.
Ronald R. McCully, 571–372–0473.
[FR Doc. 2014–10572 Filed 5–7–14; 8:45 am]
SUPPLEMENTARY INFORMATION:
BILLING CODE 4210–67–P
Executive Summary
I. Purpose of the Regulatory Action
DEPARTMENT OF DEFENSE
Office of the Secretary
32 CFR Part 197
[Docket ID: DOD–2013–OS–0108]
RIN 0790–AJ07
Historical Research in the Files of the
Office of the Secretary of Defense
(OSD)
Department of Defense.
Proposed rule.
AGENCY:
ACTION:
This proposed rule updates
and clarifies procedures regarding the
review and accessibility to records and
information in the custody of the
Secretary of Defense and the OSD
Components. The purpose of this rule is
to provide such guidance to former
Cabinet level officials and former
Presidential appointees (FPAs),
including their personnel, aides, and
official researchers.
This rule is part of DoD’s
retrospective plan, completed in August
2011, under Executive Order 13563,
‘‘Improving Regulation and Regulatory
Review.’’ DoD’s full plan and updates
can be accessed at: https://
exchange.regulations.gov/exchange/
topic/eo-13563.
DATES: Comments must be received by
July 7, 2014.
ADDRESSES: You may submit comments,
identified by docket number and/or
Regulatory Information Number (RIN)
and title, by any of the following
methods:
• Federal Rulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• Mail: Federal Docket Management
System Office, 4800 Mark Center Drive,
East Tower, Suite 02G09, Alexandria,
VA 22350–3100.
Instructions: All submissions received
must include the agency name and
docket number or RIN for this Federal
Register document. The general policy
for comments and other submissions
from members of the public is to make
these submissions available for public
viewing on the Internet at https://
SUMMARY:
PART 203—SINGLE FAMILY
MORTGAGE INSURANCE
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in Lending Act (15 U.S.C. 1601 et seq.)
at 12 CFR 1026.20(c) and (d).
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a. The Office of the Secretary of
Defense (OSD) is issuing a proposed
rule that would update Part 197 of Title
32, Code of Federal Regulations. This
proposed rule updates and clarifies
procedures regarding the review and
accessibility to records and information
in the custody of the Secretary of
Defense and the OSD Components. The
purpose of this rule is to provide such
guidance to former Cabinet level
officials and former Presidential
appointees (FPAs), including their
personnel, aides, and official
researchers.
b. In accordance with Title 5 of the
United States Code, ‘‘Government
Organization and Employees,’’ this rule
updates procedures for the programs
that permit authorized personnel to
perform historical research in records
created by or in the custody of Office of
the Secretary of Defense and its
components consistent with federal
regulations.
II. Summary of the Major Provisions of
the Regulatory Action in Question
This proposed rule updates and
clarifies procedures regarding the
review and accessibility to records and
information in the custody of the
Secretary of Defense and the OSD
Components. The purpose of this rule is
to provide such guidance to former
Cabinet level officials and former
Presidential appointees (FPAs),
including their personnel, aides, and
official researchers.
1. Explanation of FOIA Exemptions and
Classification Categories
Explanation of restrictions applicable
to the public’s request for information
within OSD files.
2. Responsibilities
Outlines the responsibilities of
Director of Administration and
Management (D&AM); OSD Records
Administrator, and the OSD
Components.
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Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules
3. Procedures for Historical Researchers
Permanently Assigned Within the
Executive Branch Working on Official
Projects
Updates and outlines procedures for
access to information held within OSD
files for historical research.
classified and unclassified information
requested for research purposes. DoD
information intended for public release
that pertains to military matters,
national security issues, or subjects of
significant concern to the DoD shall be
reviewed for clearance prior to release.
4. Procedures for the Department of
State (DoS) Foreign Relations of the
United States (FRUS) Series
Updates and outlines for official
researchers of the DOS to access
information within OSD Files.
Regulatory Procedures
Executive Order 12866, ‘‘Regulatory
Planning and Review’’ and Executive
Order 13563, ‘‘Improving Regulation
and Regulatory Review’’
5. Procedures for Historical Researchers
Not Permanently Assigned to the
Executive Branch
Updates and outlines procedures for
Non DoD and executive branch
personnel to access information within
OSD files for historical research.
6. Procedures for Document Review for
the FRUS Series
Updates and outlines procedures for
reviewing FRUS information within
OSD files for historical research.
7. Procedures for Copying Documents
Updates and outlines procedures for
copying information within OSD files
for historical research.
8. General Guidelines for Researching
OSD Records
Updates and outlines procedures for
researching information within OSD
files for historical research.
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9. General Guidelines for Researching
OSD Records
Updates and outlines guidelines
applicable to researchers while
reviewing OSD files.
III. Costs and Benefits
Annual yearly cost vary and are
dependent on the number of researchers
requesting access to DoD owned
information, the volume of information
requiring review and/or declassification
and other operational constraints within
a given FY.
Cost: Cost estimates use actual data
for 2012 per hour. Cost is aggregated
based on average rank (military), grade
(civilian) and time in service for
personnel qualified for oversight of
researchers within the WashingtonBaltimore-Northern Virginia, DC-MDVA-WV-PA area.
Military = Rank 05 with 10+ years of
time in service.
Civilian = Grade GS–13, Step 5+ with
minimum 5 years of time in service.
Military = $39.77 per hour.
Civilian = $48.51 per hour.
Benefit: This allows the government
to assert positive control over access to
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Executive Orders 13563 and 12866
direct agencies to assess all costs and
benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distribute impacts, and equity).
Executive Order 13563 emphasizes the
importance of quantifying both costs
and benefits, of reducing costs, of
harmonizing rules, and of promoting
flexibility. This rule has been
designated a ‘‘significant regulatory
action,’’ although not economically
significant, under section 3(f) of
Executive Order 12866. Accordingly,
the rule has been reviewed by the Office
of Management and Budget (OMB).
Unfunded Mandates Reform Act (Sec.
202, Pub. L. 104–4)
This rule does not contain a Federal
mandate that may result in the
expenditure by State, local and tribal
governments, in aggregate, or by the
private sector, of $100 million or more
in any one year.
Public Law 96–354, ‘‘Regulatory
Flexibility Act’’ (5 U.S.C. 601)
This rule is not subject to the
Regulatory Flexibility Act (5 U.S.C. 601)
because it would not, if promulgated,
have a significant economic impact on
a substantial number of small entities.
Public Law 96–511, ‘‘Paperwork
Reduction Act’’ (44 U.S.C. Chapter 35)
This rule does not impose reporting or
recordkeeping requirements under the
Paperwork Reduction Act of 1995.
Executive Order 13132, ‘‘Federalism’’
This rule does not have federalism
implications, as set forth in Executive
Order 13132. This rule does not have
substantial direct effects on:
(1) The States;
(2) The relationship between the
National Government and the States; or
(3) The distribution of power and
responsibilities among the various
levels of Government.
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List of Subjects in 32 CFR Part 197
Historical records, Research.
■ Accordingly, 32 CFR part 197 is
proposed to be revised to read as
follows:
PART 197—HISTORICAL RESEARCH
IN THE FILES OF THE OFFICE OF THE
SECRETARY OF DEFENSE (OSD)
Sec.
197.1 Purpose.
197.2 Applicability.
197.3 Definitions.
197.4 Policy.
197.5 Responsibilities.
197.6 Procedures.
Appendix A to Part 197
Authority: 5 U.S.C. 301, Executive Order
13526, 5 U.S.C. 552b, and Pub. L. 102–138.
§ 197.1
Purpose.
(a) This part, in accordance with the
authority in DoD Directive 5110.4,
‘‘Washington Headquarters Services’’
(available at https://www.dtic.mil/whs/
directives/corres/pdf/511004p.pdf),
implements policy and updates
procedures for the programs that permit
authorized personnel to perform
historical research in records created by
or in the custody of Office of the
Secretary of Defense (OSD) consistent
with Executive Order 13526; DoD
Manual 5230.30, ‘‘DoD Mandatory
Declassification Review (MDR)
Program’’ (available at https://
www.dtic.mil/whs/directives/corres/pdf/
523030m.pdf); 32 CFR part 286; 32 CFR
part 310; DoD Manual 5200.01, ‘‘DoD
Information Security Program’’ Volumes
1–4 (available at https://www.dtic.mil/
whs/directives/corres/pdf/520001_
vol1.pdf, https://www.dtic.mil/whs/
directives/corres/pdf/520001_vol2.pdf,
https://www.dtic.mil/whs/directives/
corres/pdf/520001_vol3.pdf, and https://
www.dtic.mil/whs/directives/corres/pdf/
520001_vol4.pdf); 36 CFR 1230.10 and
36 CFR part 1236; DoD Directive
5230.09, ‘‘Clearance of DoD Information
for Public Release’’ (available at https://
www.dtic.mil/whs/directives/corres/pdf/
523009p.pdf); and 32 CFR 197.5.
(b) Reserved.
§ 197.2
Applicability.
This part applies to:
(a) The Office of the Secretary of
Defense, the Defense Agencies, and the
DoD Field Activities in the National
Capital Region that are serviced by
Washington Headquarters Services
(WHS) (referred to collectively in this
part as the ‘‘WHS-Serviced
Components’’).
(b) All historical researchers as
defined in § 197.3.
(c) Cabinet Level Officials, Former
Presidential Appointees (FPAs) to
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include their personnel, aides and
researchers, seeking access to records
containing information they originated,
reviewed, signed, or received while
serving in an official capacity.
§ 197.3
Definitions.
The following definitions shall apply
to this part:
Access. The availability of or the
permission to consult records, archives,
or manuscripts. The ability and
opportunity to obtain classified,
unclassified, or administratively
controlled information or records.
Electronic records. Records stored in
a form that only a computer can process
and satisfies the definition of a federal
record, also referred to as machinereadable records or automatic data
processing records (including email).
Historical researcher or requestor. A
person approved to conduct research in
OSD files for historical information to
use in a DoD approved project (e.g.,
agency historical office projects, books,
articles, studies, or reports), regardless
of the person’s employment status.
Excluded are Military personnel
assigned to OSD; OSD employees,
contractors, and students conducting
research in response to academic
requirements.
Records (also referred to as federal
records or official records). All books,
papers, maps, photographs, machinereadable materials, or other
documentary materials, regardless of
physical form or characteristics, made
or received by an agency of the U.S.
Government under federal law or in
connection with the transaction of
public business and preserved or
appropriate for preservation by that
agency or its legitimate successor as
evidence of the organization, functions,
policies, decisions, procedures,
operations, or other activities of the U.S.
Government or because of the
informational value of data in them.
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§ 197.4
Policy.
(a) Pursuant to Executive Order
13526, anyone requesting access to
classified material must possess the
requisite security clearance.
(b) Members of the public seeking the
declassification of DoD documents
under the provisions of section 3.5 of
Executive Order 13526 will contact the
appropriate OSD Component as listed in
DoD Manual 5230.30.
(c) Records and information requested
by FPA and approved historical
researchers will be accessed at a facility
under the control of the National
Archives and Records Administration
(NARA), NARA’s Archives II in College
Park, Maryland, a Presidential library,
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or an appropriate U.S. military facility
or a DoD activity.
(d) Access to records and information
will be limited to the specific records
within the scope of the proposed
research request over which OSD has
authority and to any other records for
which the written consent of other
agencies with authority has been
granted.
(e) Access to unclassified OSD
Component records and information
will be permitted consistent with the
restrictions of the exemptions of 5
U.S.C. 552(b) (also known and referred
to in this part as the ‘‘Freedom of
Information Act’’ (FOIA)), 32 CFR part
286, Appendix A of this part, and
consistent with 32 CFR part 310. The
procedures for access to classified
information will be used if the
requested unclassified information is
contained in OSD files whose overall
markings are classified.
(f) Except as otherwise provided in
DoD Manual 5200.01 volume 3, no
person may have access to classified
information unless that person has been
determined to be trustworthy and access
is essential to the accomplishment of a
lawful and authorized purpose.
(g) Persons outside the Executive
Branch who are engaged in approved
historical research projects may be
granted access to classified information,
consistent with the provisions of
Executive Order 13526 and DoD Manual
5200.01 volume 1 provided that the
OSD official with classification
jurisdiction over that information grants
access.
(h) Contractors working for Executive
Branch agencies may be allowed access
to classified OSD Component files
provided the contractors meet all the
required criteria for such access as an
historical researcher including the
appropriate level of personnel security
clearance set forth in paragraphs (a) and
(i) of this section. No copies of OSD
records and information may be
released directly to the contractors. The
Washington Headquarters Services
Records and Declassification Division
(WHS/RDD) will be responsible for
ensuring that the contractor safeguards
the documents and the information is
only used for the project for which it
was requested.
(i) All DoD-employed requesters, to
include DoD contractors, must have
critical nuclear weapons design
information (CNWDI) to access CNWDI
information. All other non DoD and
non-Executive Branch personnel must
have a Department of Energy-issued ‘‘Q’’
clearance to access CNWDI information.
(j) The removal of federal records and
information from OSD custody is not
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26383
authorized; this includes copies and
email according to 36 CFR 1230.10.
Copies of records and information that
are national security classified will
remain under the control of the agency.
(k) Access for FPAs is limited to
records they originated, reviewed,
signed, or received while serving as
Presidential appointees, unless there is
another basis for providing access.
(l) Authorization is required from all
agencies whose classified information
is, or is expected to be, in the requested
files prior to granting approval for
access. Separate authorizations for
access to records and information
maintained in OSD Component office
files or at the federal records centers
will not be required.
§ 197.5
Responsibilities.
(a) The Director of Administration
and Management (DA&M), or designee,
is the approval authority for access to
DoD information in OSD Component
files and in files at the National
Archives, Presidential libraries, and
other similar institutions in accordance
with DoD Directive 5110.4 and DoD
Manual 5230.30.
(b) Under the authority, direction, and
control of the DA&M, the OSD Records
Administrator:
(1) Exercises approval authority for
research access to OSD and WHS
Serviced Components records,
information, and the Historical Research
Program.
(2) Maintains records necessary to
process and monitor each case.
(3) Obtains all required
authorizations.
(4) Obtains, when warranted, the legal
opinion of the General Counsel of the
Department of Defense regarding the
requested access.
(5) Coordinates, with the originator,
on the public release review on
documents selected by the researchers
for use in unclassified projects in
accordance with DoD Directive 5230.09
and DoD Instruction 5230.29, ‘‘Security
and Policy Review of DoD Information
for Public Release’’ (available at https://
www.dtic.mil/whs/directives/corres/pdf/
523029p.pdf).
(6) Coordinates requests with the OSD
Historian.
(7) Provides prospective researchers
the procedures necessary for requesting
access to OSD Component files.
(c) The WHS-serviced Components
heads, when requested:
(1) Determine whether access is for a
lawful and authorized government
purpose or in the interest of national
security.
(2) Determine whether the specific
records requested are within the scope
of the proposed historical research.
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(3) Determine the location of the
requested records.
(4) Provide a point of contact to the
OSD Records Administrator.
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§ 197.6
Procedures.
(a) Procedures for Historical
Researchers Permanently Assigned
Within the Executive Branch Working
on Official Projects. (1) In accordance
with 32 CFR 197.5, the WHS-serviced
Components heads, when requested,
will:
(i) Make a written determination that
the requested access is essential to the
accomplishment of a lawful and
authorized U.S. Government purpose,
stating whether the requested records
can be made available. If disapproved,
cite specific reasons.
(ii) Provide the location of the
requested records, including accession
and box numbers if the material has
been retired to the Washington National
Records Center (WNRC).
(iii) Provide a point of contact for
liaison with the OSD Records
Administrator if any requested records
are located in OSD Component working
files.
(2) The historical researcher or
requestor will:
(i) Submit a request for access to OSD
files to: OSD Records Administrator,
WHS/Records and Declassification
Division, 4800 Mark Center Drive, Suite
02F09–02, Alexandria, VA 22350–3100.
(ii) All requests must be signed by an
appropriate official and must contain:
(A) The name(s) of the researcher(s)
and any assistant(s), level of security
clearance, and the federal agency,
institute, or company to which the
researcher is assigned.
(B) A statement on the purpose of the
project, including whether the final
product is to be classified or
unclassified.
(C) An explicit description of the
information being requested and, if
known, the originating office, so that the
identification and location of the
information may be facilitated.
(D) Appropriate higher authorization
of the request.
(E) Ensure researcher’s security
manager or personnel security office
verifies his or her security clearances in
writing to the OSD Records
Administrator’s Security Manager.
(iii) Maintain the file integrity of the
records being reviewed, ensuring that
no records are removed and that all
folders are replaced in the correct box
in their proper order.
(iv) Make copies of any documents
pertinent to the project, ensuring that
staples are carefully removed and that
the documents are re-stapled before they
are replaced in the folder.
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(v) Submit the completed manuscript
for review prior to public presentation
or publication to: WHS/Chief, Security
Review Division, Office of Security
Review, 1155 Defense Pentagon,
Washington, DC 20301–1155.
(vi) If the requester is an official
historian of a federal agency requiring
access to DoD records at the National
Archives facilities or a Presidential
library, the requested must be addressed
directly to the pertinent facility with an
information copy sent to the OSD
Records Administrator. The historian’s
security clearances must be verified to
the National Archives or the
Presidential library.
(3) The use of computers, laptops,
computer tablets, personal digital
assistants, recorders, or similar devices
listed in § 197.6(f) of this part is
prohibited. Researchers will use lettersized paper (approximately 81⁄2 by 11
inches), writing on only one side of the
page. Each page of notes must pertain to
only one document.
(4) The following applies to all notes
taken during research:
(i) All notes are considered classified
at the level of the document from which
they were taken.
(ii) Indicate at the top of each page of
notes the document:
(A) Originator.
(B) Date.
(C) Subject (if the subject is classified,
indicate the classification).
(D) Folder number or other
identification.
(E) Accession number and box
number in which the document was
found.
(F) Security classification of the
document.
(iii) Number each page of notes
consecutively.
(iv) Leave the last 11⁄2 inches on the
bottom of each page of notes blank for
use by the reviewing agencies.
(v) Ensure the notes are legible, in
English, and in black ink.
(vi) All notes must be given to the
staff at the end of each day. The facility
staff will forward the notes to the OSD
Records Administrator for an official
review and release to the researcher.
(5) The OSD Records Administrator
will:
(i) Process all requests from Executive
Branch employees requesting access to
OSD Component files for official
projects.
(ii) Determine which OSD Component
originated the requested records and, if
necessary, request an access
determination from the OSD Component
and the location of the requested
records, including but not limited to
electronic information systems,
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databases or accession number and box
numbers if the hardcopy records have
been retired offsite.
(iii) Request authorization for access
from other OSD Component as
necessary.
(A) Official historians employed by
federal agencies may have access to the
classified information of any other
agency found in DoD files, as long as
authorization for access has been
obtained from these agencies.
(B) If the requester is not an official
historian, authorization for access must
be obtained from the Central
Intelligence Agency (CIA), National
Security Council (NSC), Department of
State (DOS), and any other non-DoD
agency whose classified information is
expected to be found in the files to be
accessed.
(iv) Make a written determination as
to the researcher’s trustworthiness based
on the researcher having been issued a
security clearance.
(v) Compile all information on the
request for access to classified
information, to include evidence of an
appropriately issued personnel security
clearance, and forward the information
to the DA&M, OSD Component or
designee, who will make the access
determination.
(vi) Notify the researcher of the
authorization and conditions for access
to the requested records or of the denial
of access and the reason(s).
(vii) Ensure that all conditions for
access and release of information for use
in the project are met.
(viii) Make all necessary arrangements
for the researcher to visit the review
location and review the requested
records.
(ix) Provide all requested records and
information under OSD control in
electronic formats consistent with 36
CFR part 1236. For all other
information, a staff member will be
assigned to supervise the researcher’s
copying of pertinent documents at the
assigned facility.
(x) If the records are maintained in the
OSD Component’s working files, arrange
for the material to be converted to
electronic format for the researchers to
review.
(xi) Notify the National Archives,
Presidential library, or military facility
of the authorization and access
conditions of all researchers approved
to research OSD records held in those
facilities.
(b) Procedures for the DOS Foreign
Relations of the United States (FRUS)
series. (1) The DOS historians will:
(i) Submit requests for access to OSD
files. The request should list the names
and security clearances for the
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historians doing the research and an
explicit description, including the
accession and box numbers, of the files
being requested. Submit request to: OSD
Records Administrator, WHS/Records
and Declassification Division, 4800
Mark Center Dr., Suite 02F09–02,
Alexandria, VA 22380–2100.
(ii) Submit to the OSD Records
Administrator requests for access for
members of the Advisory Committee on
Historical Diplomatic Documentation to
documents copied by the DOS
historians for the series or the files
reviewed to obtain the documents.
(iii) Request that the DOS Diplomatic
Security staff verify all security
clearances in writing to the OSD
Records Administrator’s Security
Manager.
(iv) Give all document copies to the
OSD Records Administrator staff
member who is supervising the copying
as they are made.
(v) Submit any OSD documents
desired for use or pages of the
manuscript containing OSD classified
information for declassification review
prior to publication to the Chief,
Security Review Division at: WHS/
Chief, Security Review Division, Office
of Security Review, 1155 Defense
Pentagon, Washington, DC 20301–1155.
(2) The OSD Records Administrator
will:
(i) Determine the location of the
records being requested by the DOS for
the FRUS series according to Title IV of
Public Law 102–138, ‘‘The Foreign
Relations of the United States Historical
Series.’’
(ii) Act as a liaison with the CIA, NSC,
and any other non-OSD agency for
access by DOS historians to records and
information and such non-DoD agency
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classified information expected to be
interfiled with the requested OSD
records.
(iii) Obtain written verification from
the DOS Diplomatic Security staff of all
security clearances, including ‘‘Q’’
clearances.
(iv) Make all necessary arrangements
for the DOS historians to access, review,
and copy documents selected for use in
their research in accordance with
procedures in accordance with
§ 197.6(a) of this part.
(v) Provide a staff member to
supervise document copying in
accordance with the guidance provided
in § 197.6(d) of this part.
(vi) Compile a list of the documents
that were copied by the DOS historians.
(vii) Scan and transfer copies to DOS
in NARA an approved electronic format.
(viii) Submit to the respective agency
a list of CIA and NSC documents copied
and released to the DOS historians.
(ix) Process DOS Historian Office
requests for members of the Advisory
Committee on Historical Diplomatic
Documentation with appropriate
security clearances to have access to
documents copied and used by the DOS
historians to compile the FRUS series
volumes or to the files that were
reviewed to obtain the copied
documents. Make all necessary
arrangements for the Advisory
Committee to review any documents
that are at the WNRC.
(c) Procedures for Historical
Researchers not Permanently Assigned
to the Executive Branch.
(1) The WHS-serviced Components
heads, when required, will:
(i) Recommend to the DA&M, or his
or her designee, approval or disapproval
of requests to access OSD information.
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State whether access to, release, and
clearance of the requested information
is in the interest of national security and
whether the information can be made
available. If disapproval is
recommended, specific reasons should
be cited.
(ii) Provide the location of the
requested information, including but
not limited to the office, component,
information system or accession and
box numbers for any records that have
been retired to the WNRC.
(iii) Provide a point of contact for
liaison with the OSD Records
Administrator if any requested records
are located in OSD Component working
files.
(2) The OSD Records Administrator
will:
(i) Process all requests from nonExecutive Branch researchers for access
to OSD or WHS-serviced Components
files. Certify via the WHS Security
Officer that the requester has the
appropriate clearances.
(ii) Determine which OSD Component
originated the requested records and, as
necessary, obtain written
recommendations for the research to
review the classified information.
(iii) Obtain prior authorization to
review their classified information from
the DOS, CIA, NSC, and any other
agency whose classified information is
expected to be interfiled with OSD
records.
(iv) Obtain agreement from the
researcher(s) and any assistant(s) that
they will comply with conditions
governing access to the classified
information (see Figure 1).
BILLING CODE 5001–06–P
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(v) If the requester is an FPA, submit
a memorandum after completion of the
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WHS, Human Resources Directorate,
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Security Operations Division, requesting
the issuance (including an interim) or
reinstatement of an inactive security
clearance for the FPA and any assistant
and a copy of any signed form letters.
The Security Division will contact the
researcher(s) and any assistant(s) to
obtain the forms required to reinstate or
initiate the personnel security
investigation to obtain a security
clearance. Upon completion of the
adjudication process, notify the OSD
Records Administrator in writing of the
reinstatement, issuance, or denial of a
security clearance.
(vi) Make a written determination as
to the researcher’s trustworthiness based
on his or her having been issued a
security clearance.
(vii) Compile all information on the
request for access to classified
information, to include either evidence
of an appropriately issued or reinstated
personnel security clearance. Forward
the information to the DA&M or
designee, who will make the final
determination on the applicant’s
eligibility for access to classified OSD or
WHS-serviced Component files. If the
determination is favorable, the DA&M or
designee will then execute an
authorization for access, which will be
valid for not more than 2 years.
(viii) Notify the researcher of the
approval or disapproval of the request.
If the request has been approved, the
notification will identify the files
authorized for review and specify that
the authorization:
(A) Is approved for a predetermined
time period.
(B) Is limited to the designated files.
(C) Does not include access to records
and/or information of other federal
agencies, unless such access has been
specifically authorized by those
agencies.
(ix) Make all necessary arrangements
for the researcher to visit the WNRC and
review any requested records that have
been retired there, to include written
authorization, conditions for the access,
and a copy of the security clearance
verification.
(x) If the requested records are at the
WNRC, make all necessary
arrangements for the scanning of
documents.
(xi) If the requested records are
maintained in OSD or WHS-serviced
Component working files, make
arrangements for the researcher to
review the requested information and, if
authorized, copy pertinent documents
in the OSD or WHS-serviced
Component’s office. Provide the OSD
Component with a copy of the written
authorization and conditions under
which the access is permitted.
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(xii) Compile a list of all the
documents requested by the researcher.
(xiii) Coordinate the official review on
all notes taken and documents copied
by the researcher.
(xiv) If the classified information to be
reviewed is on file at the National
Archives, a Presidential library, or other
facility, notify the pertinent facility in
writing of the authorization and
conditions for access.
(3) The researcher will:
(i) Submit a request for access to OSD
Component files to OSD Records
Administrator, WHS/Records and
Declassification Division, 4800 Mark
Center Drive, Suite 02F09–02,
Alexandria VA 22350–3100. The request
must contain:
(A) As explicit a description as
possible of the information being
requested so that identification and
location of the information may be
facilitated.
(B) A statement as to how the
information will be used, including
whether the final project is to be
classified or unclassified.
(C) A statement as to whether the
researcher has a security clearance,
including the level of clearance and the
name of the issuing agency.
(D) The names of any persons who
will be assisting the researcher with the
project. If the assistants have security
clearances, provide the level of
clearance and the name of the issuing
agency.
(E) A signed copy of their agreement
(see Figure) to safeguard the information
and to authorize a review of any notes
and manuscript for a determination that
they contain no classified information.
Each project assistant must also sign a
copy of the letter.
(F) The forms necessary to obtain a
security clearance, if the requester is an
FPA without an active security
clearance. Each project assistant without
an active security clearance will also
need to complete these forms. If the FPA
or assistant have current security
clearances, their personnel security
office must provide verification in
writing to the OSD Records
Administrator’s Security Manager.
(ii) Maintain the integrity of the files
being reviewed, ensuring that no
records are removed and that all folders
are replaced in the correct box in their
proper order.
(iii) If copies are authorized, give all
copies to the custodian of the files at the
end of each day. The custodian will
forward the copies of the documents to
the OSD Records Administrator for a
declassification review and release to
the requester.
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(A) For records at the WNRC, if
authorized, provide the requested
information in an electronic format.
Review will occur only in the presence
of an OSD Records Administrator staff
member.
(B) Ensure that all staples are
carefully removed and that the
documents are re-stapled before the
documents are replaced in the folder.
(C) Submit all classified and
unclassified notes made from the
records to the custodian of the files at
the end of each day of research. The
custodian will transmit the notes to the
OSD Records Administrator for an
official review and release to the
researcher at the completion of
researcher’s project.
(D) Submit the final manuscript to the
OSD Records Administrator for
forwarding to the Chief, Security
Review Division, Office of Security
Review, for a security review and public
release clearance in accordance with
DoD Directive 5230.09 and DoD
5220.22–M, ‘‘National Industrial
Security Program Operating Manual
(NISPOM)’’ (available at https://
www.dtic.mil/whs/directives/corres/pdf/
522022m.pdf) prior to publication,
presentation, or any other public use.
(d) Procedures for Document Review
for the FRUS Series. (1) When
documents are being reviewed, a WHS/
RDD staff member must be present at all
times.
(2) The records maybe reviewed at a
Presidential library, Archives II, College
Park Maryland, WNRC, Suitland,
Maryland, or an appropriate military
facility. All requested information will
remain under the control of the WHS/
RDD staff until a public release review
is completed, and then provided in
electronic formats.
(3) If the requested records have been
reviewed in accordance with the
automatic declassification provisions of
Executive Order 13526, any tabs
removed during the research and
copying must be replaced in accordance
with DoD Manual 5200.01 volume 2.
(4) The number of boxes to be
reviewed will determine which of the
following procedures will apply. The
WHS/RDD staff member will make that
determination at the time the request is
processed. When the historian
completes the review of the boxes, he or
she must contact the WHS/RDD to
establish a final schedule for scanning
the documents. To avoid a possible
delay, a tentative schedule will be
established at the time that the review
schedule is set.
(i) For 24 boxes or fewer, review and
scanning will take place
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simultaneously. Estimated time to
complete scanning is 7 work days.
(ii) For 25 boxes or more, the historian
will review the boxes and mark the
documents that are to be scanned using
WHS/RDD authorized reproduction
tabs.
(iii) If the review occurs at facilities
that OSD does not control ownership of
the document, the documents must be
given to the WHS/RDD staff member for
transmittal for processing.
(5) WHS/RDD will notify the historian
when the documents are ready to be
picked up. All administrative
procedures for classified material
transfers will be followed in accordance
with DoD Manual 5200.01 volume 1 and
DoD 5220.22–M and appropriate receipt
for unclassified information will be
used.
(e) Procedures for Copying
Documents. (1) The records will be
reviewed and copied at a Presidential
library, Archives II, College Park
Maryland, WNRC, Suitland, Maryland,
or an appropriate U.S. military facility.
(2) If the requested records have been
reviewed in accordance with the
automatic declassification provisions of
Executive Order 13526 any tabs
removed during the research and
copying must be replaced in accordance
with DoD Manual 5200.01 volume 2.
(3) The researcher will mark the
documents that he or she wants to copy
using WHS/RDD authorized
reproduction tabs.
(4) Any notes taken during the review
process must be given to the WHS/RDD
staff member present for transmittal to
the WHS/RDD.
(5) All reproduction charges are to the
responsibility of the researcher.
(6) All documents requested will be
copied to an approved electronic format
by WHS/RDD staff after official review.
(i) The researcher will need to bring
paper, staples, staple remover, and
stapler.
(ii) When the researcher completes
the review of the boxes, he or she must
contact the WHS/RDD to establish a
final schedule for scanning the
requested documents.
(iii) When the documents are
scanned, the WHS/RDD will notify the
researcher.
(iv) All questions pertaining to the
review, copying, or transmittal of OSD
documents must be addressed to the
WHS/RDD staff member.
(f) General Guidelines for Researching
DoD Records.
DoD records and information are
unique and often cannot be replaced
should they be lost or damaged. In order
to protect its collections and archives,
the OSD Records Administrator has set
rules that researchers must follow.
(1) Researchers will work in room
assigned. Researchers are not allowed in
restricted areas.
(2) Special care must be taken in
handling all records. Records may not
be leaned on, written on, folded, traced
from, or handled in any way likely to
damage them.
(3) Records should be kept in the
same order in which they are presented.
(4) Items that may not be brought into
these research areas include, but are not
limited to:
(i) Briefcases.
(ii) Cases for equipment (laptop
computers).
(iii) Computers. This includes
laptops, tablet computers, personal
digital assistants, smart phones, and
other similar devices.
(iv) Cellular phones.
(v) Computer peripherals including
handheld document scanners and
digital or analog cameras.
(vi) Containers larger than 9.5″ x 6.25″
(e.g., paper bags, boxes, backpacks,
shopping bags, and sleeping bags).
(vii) Food, drinks (includes bottled
water) and cigarettes, cigars, or pipes.
(viii) Handbags or purses larger than
9.5″ x 6.25″.
(ix) Luggage.
(x) Musical instruments and their
cases.
(xi) Newspapers.
(xii) Outerwear (e.g., raincoats and
overcoats).
(xiii) Pets (exception for service
animals, i.e., any guide dog or signal
dog that is trained to provide a service
to a person with a disability).
(xiv) Scissors or other cutting
implements.
(xv) Televisions and audio or video
equipment.
(xvi) Umbrellas.
(5) Eating, drinking, or smoking is
prohibited.
Appendix A FOIA Exemptions and
Classification Categories
(a) Explanation of FOIA Exemptions and
Classification Categories.
(1) Explanation of FOIA Exemptions.
Exemptions and their explanations are
provided in the Table. See chapter III of 32
CFR part 286 for further information.
TABLE—EXPLANATION OF FOIA EXEMPTIONS
Exemption
(b)(1)
(b)(2)
(b)(3)
(b)(4)
Explanation
..................
..................
..................
..................
(b)(5) ..................
(b)(6) ..................
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(b)(7) ..................
(b)(8) ..................
(b)(9) ..................
Applies to records and information currently and properly classified in the interest of national security.
Applies to records related solely to the internal personnel rules and practices of an agency.
Applies to records and information protected by another law that specifically exempts the information from public release.
Applies to records and information on trade secrets and commercial or financial information obtained from a private source
which would cause substantial competitive harm to the source if disclosed.
Applies to records and information of internal records that are deliberative in nature and are part of the decision making process that contain opinions and recommendations.
Applies to records or information the release of which could reasonably be expected to constitute a clearly unwarranted invasion of the personal privacy of individuals.
Applies to records or information compiled for law enforcement purposes that could: (a) Reasonably be expected to interfere
with law enforcement proceedings; (b) deprive a person of a right to a fair trial or impartial adjudication; (c) reasonably be
expected to constitute an unwarranted invasion of the personal privacy of others; (d) disclose the identity of a confidential
source; (e) disclose investigative techniques and procedures; or (f) reasonably be expected to endanger the life or physical
safety of any individual.
Applies to records and information for the use of any agency responsible for the regulation or supervision of financial institutions.
Applies to records and information containing geological and geophysical information (including maps) concerning wells.
(2) Classification Categories. Information
will not be considered for classification
unless its unauthorized disclosure could
reasonably be expected to cause identifiable
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or describable damage to the national
security in accordance with section 1.2 of
Executive Order 13526, and it pertains to one
or more of the following:
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(i) Military plans, weapons systems, or
operations;
(ii) Foreign government information;
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(iii) Intelligence activities (including covert
action), intelligence sources or methods, or
cryptology;
(iv) Foreign relations or foreign activities of
the United States, including confidential
sources;
(v) Scientific, technological, or economic
matters relating to the national security;
(vi) U.S. Government programs for
safeguarding nuclear materials or facilities;
(vii) Vulnerabilities or capabilities of
systems, installations, infrastructures,
projects, plans, or protection services relating
to the national security; or
(viii) The development, production, or use
of weapons of mass destruction.
Dated: May 1, 2014.
Aaron Siegel,
Alternate OSD Federal Register Liaison
Officer, Department of Defense.
[FR Doc. 2014–10341 Filed 5–7–14; 8:45 am]
BILLING CODE 5001–06–P
(1) Federal eRulemaking Portal:
https://www.regulations.gov.
(2) Fax: 202–493–2251.
(3) Mail: Docket Management Facility
(M–30), U.S. Department of
Transportation, West Building Ground
Floor, Room W12–140, 1200 New Jersey
Avenue SE., Washington, DC 20590–
0001.
(4) Hand delivery: Same as mail
address above, between 9 a.m. and 5
p.m., Monday through Friday, except
Federal holidays. The telephone number
is 202–366–9329.
To avoid duplication, please use only
one of these four methods. See the
‘‘Public Participation and Request for
Comments’’ portion of the
SUPPLEMENTARY INFORMATION section
below for instructions on submitting
comments.
If
you have questions on this notice,
contact Mr. Dan Lawrence, Office of
Vessel and Facility Operating Standards
(CG–OES–2), U.S. Coast Guard
Headquarters, at telephone 202–372–
1382, or by email at james.d.lawrence@
uscg.mil. If you have questions on
viewing or submitting material to the
docket, call Cheryl Collins, Program
Manager, Docket Operations, telephone
202–366–9826.
SUPPLEMENTARY INFORMATION:
FOR FURTHER INFORMATION CONTACT:
DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
33 CFR Parts 140, 142, and 150
46 CFR Part 197
[Docket No. USCG–2014–0014]
Workplace Safety and Health for
Merchant Mariners
Public Participation and Request for
Comments
Coast Guard, DHS.
ACTION: Request for comments on
petition for rulemaking.
AGENCY:
The Coast Guard seeks public
comment on a petition that requests the
Coast Guard to initiate a rulemaking to
address mariner occupational health
and safety. In the attachments to its
petition, which asserts that the Coast
Guard has failed to provide adequate
workplace safety and health measures to
protect limited tonnage merchant
mariners, the National Mariner’s
Association has identified several safety
and occupational health issues that are
not currently addressed under the
jurisdiction of the Coast Guard. The
Coast Guard will consider all comments
received in response to this notice in
determining whether or not to initiate
the requested rulemaking.
DATES: Comments and related material
must either be submitted to our online
docket via https://www.regulations.gov
on or before August 6, 2014, or reach the
Docket Management Facility by that
date.
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SUMMARY:
You may submit comments
identified by docket number USCG–
2014–0014 using any one of the
following methods:
ADDRESSES:
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We encourage you to submit
comments and related material on the
rulemaking petition described below
regarding workplace safety and health
for merchant mariners. All comments
received will be posted, without change,
to https://www.regulations.gov and will
include any personal information you
have provided.
Submitting comments: If you submit a
comment, please include the docket
number for this notice (USCG–2014–
0014) and provide a reason for each
suggestion or recommendation. You
may submit your comments and
material online, or by fax, mail or hand
delivery, but please use only one of
these means. We recommend that you
include your name and a mailing
address, an email address, or a
telephone number in the body of your
document so that we can contact you if
we have questions regarding your
submission.
To submit your comment online, go to
https://www.regulations.gov, and follow
the instructions on that Web site. The
following link will take you directly to
the docket where you may submit your
comment: https://www.regulations.gov/
#!docketDetail;D=USCG-2014-0014. If
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26391
you submit your comments by mail or
hand delivery, submit them in an
unbound format, no larger than 81⁄2 by
11 inches, suitable for copying and
electronic filing. If you submit them by
mail and would like to know that they
reached the Facility, please enclose a
stamped, self-addressed postcard or
envelope. We will consider all
comments and material received during
the comment period.
Viewing the rulemaking petition and
comments: To view the petition and
comments that have been submitted to
the docket, go to https://
www.regulations.gov, and follow the
instructions on that Web site. The
following link will take you directly to
the docket: https://www.regulations.gov/
#!docketDetail;D=USCG-2014-0014. If
you do not have access to the internet,
you may view the docket in person by
visiting the Docket Management Facility
in Room W12–140 on the ground floor
of the Department of Transportation
West Building, 1200 New Jersey Avenue
SE., Washington, DC 20590, between 9
a.m. and 5 p.m., Monday through
Friday, except Federal holidays. We
have an agreement with the Department
of Transportation to use the Docket
Management Facility.
Privacy Act: Anyone can search the
electronic form of comments received
into any of our dockets by the name of
the individual submitting the comment
(or signing the comment, if submitted
on behalf of an association, business,
labor union, etc.). You may review a
Privacy Act, system of records notice
regarding our public dockets in the
January 17, 2008, issue of the Federal
Register (73 FR 3316).
Description of Petition for Rulemaking
In its Petition for Rulemaking dated
November 12, 2013, the National
Mariners Association (NMA) asserts that
the Coast Guard has not provided
adequate workplace safety and health
measures comparable to the workplace
safety and health measures of the
Occupational Safety and Health
Administration (OSHA). The NMA
views it as the Coast Guard’s
responsibility, under the Occupational
Safety and Health Act of 1970, to
provide regulations, comparable to the
workplace safety and health regulations
of OSHA, in order to protect the safety
and health of merchant mariners.
Workplace Safety and Health for
Merchant Mariners Determination
The NMA requests that the Coast
Guard establish adequate workplace
safety and health regulations,
comparable to OSHA workplace safety
and health regulations, in order to
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Agencies
[Federal Register Volume 79, Number 89 (Thursday, May 8, 2014)]
[Proposed Rules]
[Pages 26381-26391]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-10341]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF DEFENSE
Office of the Secretary
32 CFR Part 197
[Docket ID: DOD-2013-OS-0108]
RIN 0790-AJ07
Historical Research in the Files of the Office of the Secretary
of Defense (OSD)
AGENCY: Department of Defense.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: This proposed rule updates and clarifies procedures regarding
the review and accessibility to records and information in the custody
of the Secretary of Defense and the OSD Components. The purpose of this
rule is to provide such guidance to former Cabinet level officials and
former Presidential appointees (FPAs), including their personnel,
aides, and official researchers.
This rule is part of DoD's retrospective plan, completed in August
2011, under Executive Order 13563, ``Improving Regulation and
Regulatory Review.'' DoD's full plan and updates can be accessed at:
https://exchange.regulations.gov/exchange/topic/eo-13563.
DATES: Comments must be received by July 7, 2014.
ADDRESSES: You may submit comments, identified by docket number and/or
Regulatory Information Number (RIN) and title, by any of the following
methods:
Federal Rulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
Mail: Federal Docket Management System Office, 4800 Mark
Center Drive, East Tower, Suite 02G09, Alexandria, VA 22350-3100.
Instructions: All submissions received must include the agency name
and docket number or RIN for this Federal Register document. The
general policy for comments and other submissions from members of the
public is to make these submissions available for public viewing on the
Internet at https://www.regulations.gov as they are received without
change, including any personal identifiers or contact information.
FOR FURTHER INFORMATION CONTACT: Mr. Ronald R. McCully, 571-372-0473.
SUPPLEMENTARY INFORMATION:
Executive Summary
I. Purpose of the Regulatory Action
a. The Office of the Secretary of Defense (OSD) is issuing a
proposed rule that would update Part 197 of Title 32, Code of Federal
Regulations. This proposed rule updates and clarifies procedures
regarding the review and accessibility to records and information in
the custody of the Secretary of Defense and the OSD Components. The
purpose of this rule is to provide such guidance to former Cabinet
level officials and former Presidential appointees (FPAs), including
their personnel, aides, and official researchers.
b. In accordance with Title 5 of the United States Code,
``Government Organization and Employees,'' this rule updates procedures
for the programs that permit authorized personnel to perform historical
research in records created by or in the custody of Office of the
Secretary of Defense and its components consistent with federal
regulations.
II. Summary of the Major Provisions of the Regulatory Action in
Question
This proposed rule updates and clarifies procedures regarding the
review and accessibility to records and information in the custody of
the Secretary of Defense and the OSD Components. The purpose of this
rule is to provide such guidance to former Cabinet level officials and
former Presidential appointees (FPAs), including their personnel,
aides, and official researchers.
1. Explanation of FOIA Exemptions and Classification Categories
Explanation of restrictions applicable to the public's request for
information within OSD files.
2. Responsibilities
Outlines the responsibilities of Director of Administration and
Management (D&AM); OSD Records Administrator, and the OSD Components.
[[Page 26382]]
3. Procedures for Historical Researchers Permanently Assigned Within
the Executive Branch Working on Official Projects
Updates and outlines procedures for access to information held
within OSD files for historical research.
4. Procedures for the Department of State (DoS) Foreign Relations of
the United States (FRUS) Series
Updates and outlines for official researchers of the DOS to access
information within OSD Files.
5. Procedures for Historical Researchers Not Permanently Assigned to
the Executive Branch
Updates and outlines procedures for Non DoD and executive branch
personnel to access information within OSD files for historical
research.
6. Procedures for Document Review for the FRUS Series
Updates and outlines procedures for reviewing FRUS information
within OSD files for historical research.
7. Procedures for Copying Documents
Updates and outlines procedures for copying information within OSD
files for historical research.
8. General Guidelines for Researching OSD Records
Updates and outlines procedures for researching information within
OSD files for historical research.
9. General Guidelines for Researching OSD Records
Updates and outlines guidelines applicable to researchers while
reviewing OSD files.
III. Costs and Benefits
Annual yearly cost vary and are dependent on the number of
researchers requesting access to DoD owned information, the volume of
information requiring review and/or declassification and other
operational constraints within a given FY.
Cost: Cost estimates use actual data for 2012 per hour. Cost is
aggregated based on average rank (military), grade (civilian) and time
in service for personnel qualified for oversight of researchers within
the Washington-Baltimore-Northern Virginia, DC-MD-VA-WV-PA area.
Military = Rank 05 with 10+ years of time in service.
Civilian = Grade GS-13, Step 5+ with minimum 5 years of time in
service.
Military = $39.77 per hour.
Civilian = $48.51 per hour.
Benefit: This allows the government to assert positive control over
access to classified and unclassified information requested for
research purposes. DoD information intended for public release that
pertains to military matters, national security issues, or subjects of
significant concern to the DoD shall be reviewed for clearance prior to
release.
Regulatory Procedures
Executive Order 12866, ``Regulatory Planning and Review'' and Executive
Order 13563, ``Improving Regulation and Regulatory Review''
Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distribute impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility. This rule has been designated a ``significant regulatory
action,'' although not economically significant, under section 3(f) of
Executive Order 12866. Accordingly, the rule has been reviewed by the
Office of Management and Budget (OMB).
Unfunded Mandates Reform Act (Sec. 202, Pub. L. 104-4)
This rule does not contain a Federal mandate that may result in the
expenditure by State, local and tribal governments, in aggregate, or by
the private sector, of $100 million or more in any one year.
Public Law 96-354, ``Regulatory Flexibility Act'' (5 U.S.C. 601)
This rule is not subject to the Regulatory Flexibility Act (5
U.S.C. 601) because it would not, if promulgated, have a significant
economic impact on a substantial number of small entities.
Public Law 96-511, ``Paperwork Reduction Act'' (44 U.S.C. Chapter 35)
This rule does not impose reporting or recordkeeping requirements
under the Paperwork Reduction Act of 1995.
Executive Order 13132, ``Federalism''
This rule does not have federalism implications, as set forth in
Executive Order 13132. This rule does not have substantial direct
effects on:
(1) The States;
(2) The relationship between the National Government and the
States; or
(3) The distribution of power and responsibilities among the
various levels of Government.
List of Subjects in 32 CFR Part 197
Historical records, Research.
0
Accordingly, 32 CFR part 197 is proposed to be revised to read as
follows:
PART 197--HISTORICAL RESEARCH IN THE FILES OF THE OFFICE OF THE
SECRETARY OF DEFENSE (OSD)
Sec.
197.1 Purpose.
197.2 Applicability.
197.3 Definitions.
197.4 Policy.
197.5 Responsibilities.
197.6 Procedures.
Appendix A to Part 197
Authority: 5 U.S.C. 301, Executive Order 13526, 5 U.S.C. 552b,
and Pub. L. 102-138.
Sec. 197.1 Purpose.
(a) This part, in accordance with the authority in DoD Directive
5110.4, ``Washington Headquarters Services'' (available at https://www.dtic.mil/whs/directives/corres/pdf/511004p.pdf), implements policy
and updates procedures for the programs that permit authorized
personnel to perform historical research in records created by or in
the custody of Office of the Secretary of Defense (OSD) consistent with
Executive Order 13526; DoD Manual 5230.30, ``DoD Mandatory
Declassification Review (MDR) Program'' (available at https://www.dtic.mil/whs/directives/corres/pdf/523030m.pdf); 32 CFR part 286;
32 CFR part 310; DoD Manual 5200.01, ``DoD Information Security
Program'' Volumes 1-4 (available at https://www.dtic.mil/whs/directives/corres/pdf/520001_vol1.pdf, https://www.dtic.mil/whs/directives/corres/pdf/520001_vol2.pdf, https://www.dtic.mil/whs/directives/corres/pdf/520001_vol3.pdf, and https://www.dtic.mil/whs/directives/corres/pdf/520001_vol4.pdf); 36 CFR 1230.10 and 36 CFR part 1236; DoD Directive
5230.09, ``Clearance of DoD Information for Public Release'' (available
at https://www.dtic.mil/whs/directives/corres/pdf/523009p.pdf); and 32
CFR 197.5.
(b) Reserved.
Sec. 197.2 Applicability.
This part applies to:
(a) The Office of the Secretary of Defense, the Defense Agencies,
and the DoD Field Activities in the National Capital Region that are
serviced by Washington Headquarters Services (WHS) (referred to
collectively in this part as the ``WHS-Serviced Components'').
(b) All historical researchers as defined in Sec. 197.3.
(c) Cabinet Level Officials, Former Presidential Appointees (FPAs)
to
[[Page 26383]]
include their personnel, aides and researchers, seeking access to
records containing information they originated, reviewed, signed, or
received while serving in an official capacity.
Sec. 197.3 Definitions.
The following definitions shall apply to this part:
Access. The availability of or the permission to consult records,
archives, or manuscripts. The ability and opportunity to obtain
classified, unclassified, or administratively controlled information or
records.
Electronic records. Records stored in a form that only a computer
can process and satisfies the definition of a federal record, also
referred to as machine-readable records or automatic data processing
records (including email).
Historical researcher or requestor. A person approved to conduct
research in OSD files for historical information to use in a DoD
approved project (e.g., agency historical office projects, books,
articles, studies, or reports), regardless of the person's employment
status. Excluded are Military personnel assigned to OSD; OSD employees,
contractors, and students conducting research in response to academic
requirements.
Records (also referred to as federal records or official records).
All books, papers, maps, photographs, machine-readable materials, or
other documentary materials, regardless of physical form or
characteristics, made or received by an agency of the U.S. Government
under federal law or in connection with the transaction of public
business and preserved or appropriate for preservation by that agency
or its legitimate successor as evidence of the organization, functions,
policies, decisions, procedures, operations, or other activities of the
U.S. Government or because of the informational value of data in them.
Sec. 197.4 Policy.
(a) Pursuant to Executive Order 13526, anyone requesting access to
classified material must possess the requisite security clearance.
(b) Members of the public seeking the declassification of DoD
documents under the provisions of section 3.5 of Executive Order 13526
will contact the appropriate OSD Component as listed in DoD Manual
5230.30.
(c) Records and information requested by FPA and approved
historical researchers will be accessed at a facility under the control
of the National Archives and Records Administration (NARA), NARA's
Archives II in College Park, Maryland, a Presidential library, or an
appropriate U.S. military facility or a DoD activity.
(d) Access to records and information will be limited to the
specific records within the scope of the proposed research request over
which OSD has authority and to any other records for which the written
consent of other agencies with authority has been granted.
(e) Access to unclassified OSD Component records and information
will be permitted consistent with the restrictions of the exemptions of
5 U.S.C. 552(b) (also known and referred to in this part as the
``Freedom of Information Act'' (FOIA)), 32 CFR part 286, Appendix A of
this part, and consistent with 32 CFR part 310. The procedures for
access to classified information will be used if the requested
unclassified information is contained in OSD files whose overall
markings are classified.
(f) Except as otherwise provided in DoD Manual 5200.01 volume 3, no
person may have access to classified information unless that person has
been determined to be trustworthy and access is essential to the
accomplishment of a lawful and authorized purpose.
(g) Persons outside the Executive Branch who are engaged in
approved historical research projects may be granted access to
classified information, consistent with the provisions of Executive
Order 13526 and DoD Manual 5200.01 volume 1 provided that the OSD
official with classification jurisdiction over that information grants
access.
(h) Contractors working for Executive Branch agencies may be
allowed access to classified OSD Component files provided the
contractors meet all the required criteria for such access as an
historical researcher including the appropriate level of personnel
security clearance set forth in paragraphs (a) and (i) of this section.
No copies of OSD records and information may be released directly to
the contractors. The Washington Headquarters Services Records and
Declassification Division (WHS/RDD) will be responsible for ensuring
that the contractor safeguards the documents and the information is
only used for the project for which it was requested.
(i) All DoD-employed requesters, to include DoD contractors, must
have critical nuclear weapons design information (CNWDI) to access
CNWDI information. All other non DoD and non-Executive Branch personnel
must have a Department of Energy-issued ``Q'' clearance to access CNWDI
information.
(j) The removal of federal records and information from OSD custody
is not authorized; this includes copies and email according to 36 CFR
1230.10. Copies of records and information that are national security
classified will remain under the control of the agency.
(k) Access for FPAs is limited to records they originated,
reviewed, signed, or received while serving as Presidential appointees,
unless there is another basis for providing access.
(l) Authorization is required from all agencies whose classified
information is, or is expected to be, in the requested files prior to
granting approval for access. Separate authorizations for access to
records and information maintained in OSD Component office files or at
the federal records centers will not be required.
Sec. 197.5 Responsibilities.
(a) The Director of Administration and Management (DA&M), or
designee, is the approval authority for access to DoD information in
OSD Component files and in files at the National Archives, Presidential
libraries, and other similar institutions in accordance with DoD
Directive 5110.4 and DoD Manual 5230.30.
(b) Under the authority, direction, and control of the DA&M, the
OSD Records Administrator:
(1) Exercises approval authority for research access to OSD and WHS
Serviced Components records, information, and the Historical Research
Program.
(2) Maintains records necessary to process and monitor each case.
(3) Obtains all required authorizations.
(4) Obtains, when warranted, the legal opinion of the General
Counsel of the Department of Defense regarding the requested access.
(5) Coordinates, with the originator, on the public release review
on documents selected by the researchers for use in unclassified
projects in accordance with DoD Directive 5230.09 and DoD Instruction
5230.29, ``Security and Policy Review of DoD Information for Public
Release'' (available at https://www.dtic.mil/whs/directives/corres/pdf/523029p.pdf).
(6) Coordinates requests with the OSD Historian.
(7) Provides prospective researchers the procedures necessary for
requesting access to OSD Component files.
(c) The WHS-serviced Components heads, when requested:
(1) Determine whether access is for a lawful and authorized
government purpose or in the interest of national security.
(2) Determine whether the specific records requested are within the
scope of the proposed historical research.
[[Page 26384]]
(3) Determine the location of the requested records.
(4) Provide a point of contact to the OSD Records Administrator.
Sec. 197.6 Procedures.
(a) Procedures for Historical Researchers Permanently Assigned
Within the Executive Branch Working on Official Projects. (1) In
accordance with 32 CFR 197.5, the WHS-serviced Components heads, when
requested, will:
(i) Make a written determination that the requested access is
essential to the accomplishment of a lawful and authorized U.S.
Government purpose, stating whether the requested records can be made
available. If disapproved, cite specific reasons.
(ii) Provide the location of the requested records, including
accession and box numbers if the material has been retired to the
Washington National Records Center (WNRC).
(iii) Provide a point of contact for liaison with the OSD Records
Administrator if any requested records are located in OSD Component
working files.
(2) The historical researcher or requestor will:
(i) Submit a request for access to OSD files to: OSD Records
Administrator, WHS/Records and Declassification Division, 4800 Mark
Center Drive, Suite 02F09-02, Alexandria, VA 22350-3100.
(ii) All requests must be signed by an appropriate official and
must contain:
(A) The name(s) of the researcher(s) and any assistant(s), level of
security clearance, and the federal agency, institute, or company to
which the researcher is assigned.
(B) A statement on the purpose of the project, including whether
the final product is to be classified or unclassified.
(C) An explicit description of the information being requested and,
if known, the originating office, so that the identification and
location of the information may be facilitated.
(D) Appropriate higher authorization of the request.
(E) Ensure researcher's security manager or personnel security
office verifies his or her security clearances in writing to the OSD
Records Administrator's Security Manager.
(iii) Maintain the file integrity of the records being reviewed,
ensuring that no records are removed and that all folders are replaced
in the correct box in their proper order.
(iv) Make copies of any documents pertinent to the project,
ensuring that staples are carefully removed and that the documents are
re-stapled before they are replaced in the folder.
(v) Submit the completed manuscript for review prior to public
presentation or publication to: WHS/Chief, Security Review Division,
Office of Security Review, 1155 Defense Pentagon, Washington, DC 20301-
1155.
(vi) If the requester is an official historian of a federal agency
requiring access to DoD records at the National Archives facilities or
a Presidential library, the requested must be addressed directly to the
pertinent facility with an information copy sent to the OSD Records
Administrator. The historian's security clearances must be verified to
the National Archives or the Presidential library.
(3) The use of computers, laptops, computer tablets, personal
digital assistants, recorders, or similar devices listed in Sec.
197.6(f) of this part is prohibited. Researchers will use letter-sized
paper (approximately 8\1/2\ by 11 inches), writing on only one side of
the page. Each page of notes must pertain to only one document.
(4) The following applies to all notes taken during research:
(i) All notes are considered classified at the level of the
document from which they were taken.
(ii) Indicate at the top of each page of notes the document:
(A) Originator.
(B) Date.
(C) Subject (if the subject is classified, indicate the
classification).
(D) Folder number or other identification.
(E) Accession number and box number in which the document was
found.
(F) Security classification of the document.
(iii) Number each page of notes consecutively.
(iv) Leave the last 1\1/2\ inches on the bottom of each page of
notes blank for use by the reviewing agencies.
(v) Ensure the notes are legible, in English, and in black ink.
(vi) All notes must be given to the staff at the end of each day.
The facility staff will forward the notes to the OSD Records
Administrator for an official review and release to the researcher.
(5) The OSD Records Administrator will:
(i) Process all requests from Executive Branch employees requesting
access to OSD Component files for official projects.
(ii) Determine which OSD Component originated the requested records
and, if necessary, request an access determination from the OSD
Component and the location of the requested records, including but not
limited to electronic information systems, databases or accession
number and box numbers if the hardcopy records have been retired
offsite.
(iii) Request authorization for access from other OSD Component as
necessary.
(A) Official historians employed by federal agencies may have
access to the classified information of any other agency found in DoD
files, as long as authorization for access has been obtained from these
agencies.
(B) If the requester is not an official historian, authorization
for access must be obtained from the Central Intelligence Agency (CIA),
National Security Council (NSC), Department of State (DOS), and any
other non-DoD agency whose classified information is expected to be
found in the files to be accessed.
(iv) Make a written determination as to the researcher's
trustworthiness based on the researcher having been issued a security
clearance.
(v) Compile all information on the request for access to classified
information, to include evidence of an appropriately issued personnel
security clearance, and forward the information to the DA&M, OSD
Component or designee, who will make the access determination.
(vi) Notify the researcher of the authorization and conditions for
access to the requested records or of the denial of access and the
reason(s).
(vii) Ensure that all conditions for access and release of
information for use in the project are met.
(viii) Make all necessary arrangements for the researcher to visit
the review location and review the requested records.
(ix) Provide all requested records and information under OSD
control in electronic formats consistent with 36 CFR part 1236. For all
other information, a staff member will be assigned to supervise the
researcher's copying of pertinent documents at the assigned facility.
(x) If the records are maintained in the OSD Component's working
files, arrange for the material to be converted to electronic format
for the researchers to review.
(xi) Notify the National Archives, Presidential library, or
military facility of the authorization and access conditions of all
researchers approved to research OSD records held in those facilities.
(b) Procedures for the DOS Foreign Relations of the United States
(FRUS) series. (1) The DOS historians will:
(i) Submit requests for access to OSD files. The request should
list the names and security clearances for the
[[Page 26385]]
historians doing the research and an explicit description, including
the accession and box numbers, of the files being requested. Submit
request to: OSD Records Administrator, WHS/Records and Declassification
Division, 4800 Mark Center Dr., Suite 02F09-02, Alexandria, VA 22380-
2100.
(ii) Submit to the OSD Records Administrator requests for access
for members of the Advisory Committee on Historical Diplomatic
Documentation to documents copied by the DOS historians for the series
or the files reviewed to obtain the documents.
(iii) Request that the DOS Diplomatic Security staff verify all
security clearances in writing to the OSD Records Administrator's
Security Manager.
(iv) Give all document copies to the OSD Records Administrator
staff member who is supervising the copying as they are made.
(v) Submit any OSD documents desired for use or pages of the
manuscript containing OSD classified information for declassification
review prior to publication to the Chief, Security Review Division at:
WHS/Chief, Security Review Division, Office of Security Review, 1155
Defense Pentagon, Washington, DC 20301-1155.
(2) The OSD Records Administrator will:
(i) Determine the location of the records being requested by the
DOS for the FRUS series according to Title IV of Public Law 102-138,
``The Foreign Relations of the United States Historical Series.''
(ii) Act as a liaison with the CIA, NSC, and any other non-OSD
agency for access by DOS historians to records and information and such
non-DoD agency classified information expected to be interfiled with
the requested OSD records.
(iii) Obtain written verification from the DOS Diplomatic Security
staff of all security clearances, including ``Q'' clearances.
(iv) Make all necessary arrangements for the DOS historians to
access, review, and copy documents selected for use in their research
in accordance with procedures in accordance with Sec. 197.6(a) of this
part.
(v) Provide a staff member to supervise document copying in
accordance with the guidance provided in Sec. 197.6(d) of this part.
(vi) Compile a list of the documents that were copied by the DOS
historians.
(vii) Scan and transfer copies to DOS in NARA an approved
electronic format.
(viii) Submit to the respective agency a list of CIA and NSC
documents copied and released to the DOS historians.
(ix) Process DOS Historian Office requests for members of the
Advisory Committee on Historical Diplomatic Documentation with
appropriate security clearances to have access to documents copied and
used by the DOS historians to compile the FRUS series volumes or to the
files that were reviewed to obtain the copied documents. Make all
necessary arrangements for the Advisory Committee to review any
documents that are at the WNRC.
(c) Procedures for Historical Researchers not Permanently Assigned
to the Executive Branch.
(1) The WHS-serviced Components heads, when required, will:
(i) Recommend to the DA&M, or his or her designee, approval or
disapproval of requests to access OSD information. State whether access
to, release, and clearance of the requested information is in the
interest of national security and whether the information can be made
available. If disapproval is recommended, specific reasons should be
cited.
(ii) Provide the location of the requested information, including
but not limited to the office, component, information system or
accession and box numbers for any records that have been retired to the
WNRC.
(iii) Provide a point of contact for liaison with the OSD Records
Administrator if any requested records are located in OSD Component
working files.
(2) The OSD Records Administrator will:
(i) Process all requests from non-Executive Branch researchers for
access to OSD or WHS-serviced Components files. Certify via the WHS
Security Officer that the requester has the appropriate clearances.
(ii) Determine which OSD Component originated the requested records
and, as necessary, obtain written recommendations for the research to
review the classified information.
(iii) Obtain prior authorization to review their classified
information from the DOS, CIA, NSC, and any other agency whose
classified information is expected to be interfiled with OSD records.
(iv) Obtain agreement from the researcher(s) and any assistant(s)
that they will comply with conditions governing access to the
classified information (see Figure 1).
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(v) If the requester is an FPA, submit a memorandum after
completion of the actions described in this section to WHS, Human
Resources Directorate,
[[Page 26389]]
Security Operations Division, requesting the issuance (including an
interim) or reinstatement of an inactive security clearance for the FPA
and any assistant and a copy of any signed form letters. The Security
Division will contact the researcher(s) and any assistant(s) to obtain
the forms required to reinstate or initiate the personnel security
investigation to obtain a security clearance. Upon completion of the
adjudication process, notify the OSD Records Administrator in writing
of the reinstatement, issuance, or denial of a security clearance.
(vi) Make a written determination as to the researcher's
trustworthiness based on his or her having been issued a security
clearance.
(vii) Compile all information on the request for access to
classified information, to include either evidence of an appropriately
issued or reinstated personnel security clearance. Forward the
information to the DA&M or designee, who will make the final
determination on the applicant's eligibility for access to classified
OSD or WHS-serviced Component files. If the determination is favorable,
the DA&M or designee will then execute an authorization for access,
which will be valid for not more than 2 years.
(viii) Notify the researcher of the approval or disapproval of the
request. If the request has been approved, the notification will
identify the files authorized for review and specify that the
authorization:
(A) Is approved for a predetermined time period.
(B) Is limited to the designated files.
(C) Does not include access to records and/or information of other
federal agencies, unless such access has been specifically authorized
by those agencies.
(ix) Make all necessary arrangements for the researcher to visit
the WNRC and review any requested records that have been retired there,
to include written authorization, conditions for the access, and a copy
of the security clearance verification.
(x) If the requested records are at the WNRC, make all necessary
arrangements for the scanning of documents.
(xi) If the requested records are maintained in OSD or WHS-serviced
Component working files, make arrangements for the researcher to review
the requested information and, if authorized, copy pertinent documents
in the OSD or WHS-serviced Component's office. Provide the OSD
Component with a copy of the written authorization and conditions under
which the access is permitted.
(xii) Compile a list of all the documents requested by the
researcher.
(xiii) Coordinate the official review on all notes taken and
documents copied by the researcher.
(xiv) If the classified information to be reviewed is on file at
the National Archives, a Presidential library, or other facility,
notify the pertinent facility in writing of the authorization and
conditions for access.
(3) The researcher will:
(i) Submit a request for access to OSD Component files to OSD
Records Administrator, WHS/Records and Declassification Division, 4800
Mark Center Drive, Suite 02F09-02, Alexandria VA 22350-3100. The
request must contain:
(A) As explicit a description as possible of the information being
requested so that identification and location of the information may be
facilitated.
(B) A statement as to how the information will be used, including
whether the final project is to be classified or unclassified.
(C) A statement as to whether the researcher has a security
clearance, including the level of clearance and the name of the issuing
agency.
(D) The names of any persons who will be assisting the researcher
with the project. If the assistants have security clearances, provide
the level of clearance and the name of the issuing agency.
(E) A signed copy of their agreement (see Figure) to safeguard the
information and to authorize a review of any notes and manuscript for a
determination that they contain no classified information. Each project
assistant must also sign a copy of the letter.
(F) The forms necessary to obtain a security clearance, if the
requester is an FPA without an active security clearance. Each project
assistant without an active security clearance will also need to
complete these forms. If the FPA or assistant have current security
clearances, their personnel security office must provide verification
in writing to the OSD Records Administrator's Security Manager.
(ii) Maintain the integrity of the files being reviewed, ensuring
that no records are removed and that all folders are replaced in the
correct box in their proper order.
(iii) If copies are authorized, give all copies to the custodian of
the files at the end of each day. The custodian will forward the copies
of the documents to the OSD Records Administrator for a
declassification review and release to the requester.
(A) For records at the WNRC, if authorized, provide the requested
information in an electronic format. Review will occur only in the
presence of an OSD Records Administrator staff member.
(B) Ensure that all staples are carefully removed and that the
documents are re-stapled before the documents are replaced in the
folder.
(C) Submit all classified and unclassified notes made from the
records to the custodian of the files at the end of each day of
research. The custodian will transmit the notes to the OSD Records
Administrator for an official review and release to the researcher at
the completion of researcher's project.
(D) Submit the final manuscript to the OSD Records Administrator
for forwarding to the Chief, Security Review Division, Office of
Security Review, for a security review and public release clearance in
accordance with DoD Directive 5230.09 and DoD 5220.22-M, ``National
Industrial Security Program Operating Manual (NISPOM)'' (available at
https://www.dtic.mil/whs/directives/corres/pdf/522022m.pdf) prior to
publication, presentation, or any other public use.
(d) Procedures for Document Review for the FRUS Series. (1) When
documents are being reviewed, a WHS/RDD staff member must be present at
all times.
(2) The records maybe reviewed at a Presidential library, Archives
II, College Park Maryland, WNRC, Suitland, Maryland, or an appropriate
military facility. All requested information will remain under the
control of the WHS/RDD staff until a public release review is
completed, and then provided in electronic formats.
(3) If the requested records have been reviewed in accordance with
the automatic declassification provisions of Executive Order 13526, any
tabs removed during the research and copying must be replaced in
accordance with DoD Manual 5200.01 volume 2.
(4) The number of boxes to be reviewed will determine which of the
following procedures will apply. The WHS/RDD staff member will make
that determination at the time the request is processed. When the
historian completes the review of the boxes, he or she must contact the
WHS/RDD to establish a final schedule for scanning the documents. To
avoid a possible delay, a tentative schedule will be established at the
time that the review schedule is set.
(i) For 24 boxes or fewer, review and scanning will take place
[[Page 26390]]
simultaneously. Estimated time to complete scanning is 7 work days.
(ii) For 25 boxes or more, the historian will review the boxes and
mark the documents that are to be scanned using WHS/RDD authorized
reproduction tabs.
(iii) If the review occurs at facilities that OSD does not control
ownership of the document, the documents must be given to the WHS/RDD
staff member for transmittal for processing.
(5) WHS/RDD will notify the historian when the documents are ready
to be picked up. All administrative procedures for classified material
transfers will be followed in accordance with DoD Manual 5200.01 volume
1 and DoD 5220.22-M and appropriate receipt for unclassified
information will be used.
(e) Procedures for Copying Documents. (1) The records will be
reviewed and copied at a Presidential library, Archives II, College
Park Maryland, WNRC, Suitland, Maryland, or an appropriate U.S.
military facility.
(2) If the requested records have been reviewed in accordance with
the automatic declassification provisions of Executive Order 13526 any
tabs removed during the research and copying must be replaced in
accordance with DoD Manual 5200.01 volume 2.
(3) The researcher will mark the documents that he or she wants to
copy using WHS/RDD authorized reproduction tabs.
(4) Any notes taken during the review process must be given to the
WHS/RDD staff member present for transmittal to the WHS/RDD.
(5) All reproduction charges are to the responsibility of the
researcher.
(6) All documents requested will be copied to an approved
electronic format by WHS/RDD staff after official review.
(i) The researcher will need to bring paper, staples, staple
remover, and stapler.
(ii) When the researcher completes the review of the boxes, he or
she must contact the WHS/RDD to establish a final schedule for scanning
the requested documents.
(iii) When the documents are scanned, the WHS/RDD will notify the
researcher.
(iv) All questions pertaining to the review, copying, or
transmittal of OSD documents must be addressed to the WHS/RDD staff
member.
(f) General Guidelines for Researching DoD Records.
DoD records and information are unique and often cannot be replaced
should they be lost or damaged. In order to protect its collections and
archives, the OSD Records Administrator has set rules that researchers
must follow.
(1) Researchers will work in room assigned. Researchers are not
allowed in restricted areas.
(2) Special care must be taken in handling all records. Records may
not be leaned on, written on, folded, traced from, or handled in any
way likely to damage them.
(3) Records should be kept in the same order in which they are
presented.
(4) Items that may not be brought into these research areas
include, but are not limited to:
(i) Briefcases.
(ii) Cases for equipment (laptop computers).
(iii) Computers. This includes laptops, tablet computers, personal
digital assistants, smart phones, and other similar devices.
(iv) Cellular phones.
(v) Computer peripherals including handheld document scanners and
digital or analog cameras.
(vi) Containers larger than 9.5'' x 6.25'' (e.g., paper bags,
boxes, backpacks, shopping bags, and sleeping bags).
(vii) Food, drinks (includes bottled water) and cigarettes, cigars,
or pipes.
(viii) Handbags or purses larger than 9.5'' x 6.25''.
(ix) Luggage.
(x) Musical instruments and their cases.
(xi) Newspapers.
(xii) Outerwear (e.g., raincoats and overcoats).
(xiii) Pets (exception for service animals, i.e., any guide dog or
signal dog that is trained to provide a service to a person with a
disability).
(xiv) Scissors or other cutting implements.
(xv) Televisions and audio or video equipment.
(xvi) Umbrellas.
(5) Eating, drinking, or smoking is prohibited.
Appendix A FOIA Exemptions and Classification Categories
(a) Explanation of FOIA Exemptions and Classification
Categories.
(1) Explanation of FOIA Exemptions. Exemptions and their
explanations are provided in the Table. See chapter III of 32 CFR
part 286 for further information.
Table--Explanation of FOIA Exemptions
------------------------------------------------------------------------
Exemption Explanation
------------------------------------------------------------------------
(b)(1)........................ Applies to records and information
currently and properly classified in
the interest of national security.
(b)(2)........................ Applies to records related solely to the
internal personnel rules and practices
of an agency.
(b)(3)........................ Applies to records and information
protected by another law that
specifically exempts the information
from public release.
(b)(4)........................ Applies to records and information on
trade secrets and commercial or
financial information obtained from a
private source which would cause
substantial competitive harm to the
source if disclosed.
(b)(5)........................ Applies to records and information of
internal records that are deliberative
in nature and are part of the decision
making process that contain opinions
and recommendations.
(b)(6)........................ Applies to records or information the
release of which could reasonably be
expected to constitute a clearly
unwarranted invasion of the personal
privacy of individuals.
(b)(7)........................ Applies to records or information
compiled for law enforcement purposes
that could: (a) Reasonably be expected
to interfere with law enforcement
proceedings; (b) deprive a person of a
right to a fair trial or impartial
adjudication; (c) reasonably be
expected to constitute an unwarranted
invasion of the personal privacy of
others; (d) disclose the identity of a
confidential source; (e) disclose
investigative techniques and
procedures; or (f) reasonably be
expected to endanger the life or
physical safety of any individual.
(b)(8)........................ Applies to records and information for
the use of any agency responsible for
the regulation or supervision of
financial institutions.
(b)(9)........................ Applies to records and information
containing geological and geophysical
information (including maps) concerning
wells.
------------------------------------------------------------------------
(2) Classification Categories. Information will not be
considered for classification unless its unauthorized disclosure
could reasonably be expected to cause identifiable or describable
damage to the national security in accordance with section 1.2 of
Executive Order 13526, and it pertains to one or more of the
following:
(i) Military plans, weapons systems, or operations;
(ii) Foreign government information;
[[Page 26391]]
(iii) Intelligence activities (including covert action),
intelligence sources or methods, or cryptology;
(iv) Foreign relations or foreign activities of the United
States, including confidential sources;
(v) Scientific, technological, or economic matters relating to
the national security;
(vi) U.S. Government programs for safeguarding nuclear materials
or facilities;
(vii) Vulnerabilities or capabilities of systems, installations,
infrastructures, projects, plans, or protection services relating to
the national security; or
(viii) The development, production, or use of weapons of mass
destruction.
Dated: May 1, 2014.
Aaron Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 2014-10341 Filed 5-7-14; 8:45 am]
BILLING CODE 5001-06-P