National Security Information Regulations, 35935-35940 [2014-14879]

Agencies

• DEPARTMENT OF STATE

[Federal Register Volume 79, Number 122 (Wednesday, June 25, 2014)]
[Rules and Regulations]
[Pages 35935-35940]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-14879]


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DEPARTMENT OF STATE

22 CFR Part 9

[Public Notice 8776]
RIN 1400-AC75


National Security Information Regulations

AGENCY: Department of State.

ACTION: Final rule.

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SUMMARY: The Department of State revises its regulations governing the 
classification of national security information that is under the 
control of the Department in order to reflect the provisions of a new 
executive order on national security information, E.O. 13526 and its 
implementing directive in Information Security Oversight Office 
regulations. This revision also reflects consequent changes in the 
Department's procedures since the last revision of the Department's 
regulations on this subject in 2004. These changes include some changes 
in the classification categories, in the rules governing the sharing of 
other-agency classified information, and in granting access to 
classified information to certain former government personnel. This 
regulation does not apply to information classified as Restricted Data 
(RD) or Formerly Restricted Data (FRD). Requirements for classifying 
and declassifying RD and FRD can be found in Department of Energy 
regulations on Nuclear Classification and Declassification, or in a 
Department of State regulation or internal order implementing those 
regulations.

DATES: This final rule is effective on June 25, 2014.

FOR FURTHER INFORMATION CONTACT: Alice Kottmyer, Attorney-Adviser, 
Department of State (L/M), 2201 C Street NW., Washington, DC 20520, or 
at kottmyeram@state.gov.

SUPPLEMENTARY INFORMATION: The executive order governing classification 
of national security information, E.O. 12958, has been superseded by 
E.O. 13526, effective December 29, 2009. In Section 1.4, the new order 
makes some minor changes in classification categories, such as 
eliminating reference to transnational terrorism and adding a qualifier 
to the term ``weapons of mass destruction.'' That section also requires 
that the damage to national security be identifiable and describable. 
These changes are reflected in Section 9.4 of the rule.
    While the basis for classification and the classification levels in 
E.O. 13526 are basically the same as those in predecessor orders, the 
new executive order contains several provisions not present in its 
immediate predecessors, such as the training of classifiers, 
particularly derivative classifiers (not covered in this rule); and, in 
Section 4.1(i)(1), the sharing with another agency, with certain U.S. 
entities, or with foreign governments of classified information that 
was originated by another agency after the effective date of the 
executive order (covered in Section 9.12 of the rule). Section 4.4 of 
the new executive order changes a limitation in E.O. 12958 on access to 
classified information by former government personnel but adds a 
limitation that the positions that they held be senior government 
positions. These changes are included in Section 9.13 of this rule. 
This section is among several from 22 CFR Part 171 pertaining to 
declassification that have been transferred to Part 9 and revised.

Regulatory Analysis

    Administrative Procedure Act. The Department of State is publishing 
this rulemaking as a final rule. 5 U.S.C. 553(b)(B) provides that a 
``general notice of proposed rulemaking'' need not be published in the 
Federal Register ``when the agency for good cause finds (and 
incorporates the finding and a brief statement of reasons therefor in 
the rules issued) that notice and public procedure thereon are 
impracticable, unnecessary, or contrary to the public interest.'' The 
Department of State finds good cause to issue this rule without advance 
notice and public comment because it has determined such procedures are 
unnecessary. As we note above, this rulemaking incorporates into 
existing Department regulations the provisions of Executive Order 
13526. The Executive Order is a directive that must be implemented 
throughout the executive branch without significant modification; 
otherwise, there could be significant confusion among the public, when 
different agencies adopt different classification standards. Because of 
this, the Department determined that soliciting public comment was 
unnecessary.
    In addition, this rulemaking involves matters of internal 
Department management and organization; specifically, the internal 
procedures for the classification and handling of classified national 
security information; therefore, the Department has determined that 
this rulemaking is exempt from notice-and-comment requirements under 5 
U.S.C. 553(a)(2). Finally, the Department has determined that this 
final rule should be effective immediately pursuant to 5 U.S.C. 
553(d)(3). The Department finds ``good cause'' in the need to 
immediately align the Department's national security regulations with 
those of the White House and other agencies, thus eliminating the 
confusion that might be caused by conflicting regulations in such a 
sensitive area.
    Regulatory Flexibility Act. Since the Department is not required to 
publish a general notice of proposed rulemaking for this rulemaking, a 
Regulatory Flexibility Analysis is not required.
    Unfunded Mandates Act of 1995. This rule will not result in the 
expenditure by State, local, and tribal governments, in the aggregate, 
or by the private sector, of $100 million or more in any year and it 
will not significantly or uniquely affect small governments. Therefore, 
no actions were deemed necessary under the provisions of the Unfunded 
Mandates Reform Act of 1995.
    Information Quality Act. The Department intends to disseminate 
information under this rulemaking in compliance with the Information 
Quality Act, Public Law 106-554, and the Department of State 
Information Quality Guidelines, dated October 1, 2002, located at 
https://www.state.gov/misc/13864.htm.
    Congressional Review Act. This rule is not a major rule as defined 
by the Congressional Review Act, 5 U.S.C. 804. This rule will not 
result in an annual effect on the economy of $100 million or more; a 
major increase in costs or prices; or significant adverse effects on 
competition, employment, investment, productivity, innovation, or on 
the ability of United States-based companies to compete with foreign 
based companies in domestic and import markets. The rule is being 
submitted to both Houses of Congress and the Comptroller General. Since 
it is not a major rule, the proposed effective date is the date of 
publication.
    Executive Orders 12866 and 13563. Executive Order 12866 directs 
agencies to assess the costs and benefits of available regulatory 
alternatives and, if

[[Page 35936]]

regulation is necessary, to select regulatory approaches that maximize 
net benefits (including potential economic, environmental, public 
health and safety effects, distributive 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. This rule imposes no additional costs 
on the public or on the Department of State, and provides the benefit 
of providing additional clarity for the public and Department personnel 
with respect to Executive Order 13526 and its effect on Department 
regulations, thus eliminating the confusion that might be caused by 
conflicting regulations in such a sensitive area.
    Executive Order 12988--Civil Justice Reform. The Department has 
reviewed this regulation in light of sections 3(a) and 3(b)(2) of 
Executive Order 12988 to eliminate ambiguity, minimize litigation, 
establish clear legal standards, and reduce burden.
    Executive Order 13563--Periodic Review of Existing Significant 
Regulations. The Department has considered this rule in light of 
Executive Order 13563, dated January 18, 2011, and affirms that this 
regulation is consistent with the guidance therein.
    Executive Orders 12372 and 13132--Federalism. This regulation will 
not have substantial direct effects on the States, on the relationship 
between the national government and the States, or on the distribution 
of power and responsibilities among the various levels of government. 
Therefore, in accordance with section 6 of Executive Order 13132, it is 
determined that this rule does not have sufficient federalism 
implications to require consultations or warrant the preparation of a 
federalism summary impact statement. The regulations implementing 
Executive Order 12372 regarding intergovernmental consultation on 
Federal programs and activities do not apply to this regulation.
    Executive Order 13175--Consultation and Coordination With Indian 
Tribal Governments. The Department has determined that this rulemaking 
will not have tribal implications, will not impose substantial direct 
compliance costs on Indian tribal governments, and will not pre-empt 
tribal law. Accordingly, the requirements of Executive Order 13175 do 
not apply to this rulemaking.
    National Environmental Policy Act. The Department has analyzed this 
regulation for the purpose of the National Environmental Policy Act of 
1969 (42 U.S.C. 4321-4347) and has determined that it will not have any 
effect on the quality of the environment.
    Paperwork Reduction Act. This rule does not impose or revise any 
reporting or record-keeping requirements subject to the Paperwork 
Reduction Act, 44 U.S.C. Chapter 35.

List of Subjects in 22 CFR Part 9

    Administrative practice and procedure, Classified information.


0
For the reasons set forth in the preamble, the Department of State 
revises 22 CFR part 9 to read as follows:

PART 9--SECURITY INFORMATION REGULATIONS

Sec.
9.1 Basis.
9.2 Objective.
9.3 Senior agency official.
9.4 Original classification.
9.5 Original classification authority.
9.6 Derivative classification.
9.7 Identification and marking.
9.8 Classification challenges.
9.9 Declassification and downgrading.
9.10 Mandatory declassification review.
9.11 Systematic declassification review.
9.12 Sharing other-agency classified information.
9.13 Access to classified information by historical researchers and 
certain former government personnel.
9.14 Pre-publication review of writings by former Department 
personnel.
9.15 Assistance to the Historian's Office.
9.16 Safeguarding.

    Authority: E.O. 13526 (75 FR 707, January 5, 2010); Information 
Security Oversight Office Directive 32 CFR Part 2001 (75 FR 37254, 
June 28, 2010).


Sec.  9.1  Basis.

    The regulations in this part, taken together with 32 CFR part 2001 
and Volume 5 of the Department's Foreign Affairs Manual, provide the 
basis for the security classification program of the U.S. Department of 
State (``the Department'') implementing Executive Order 13526 on 
Classified National Security Information (``the Executive Order'' or 
``the Order'').


Sec.  9.2  Objective.

    The objective of the Department's classification program is to 
ensure that national security information is protected from 
unauthorized disclosure, but that it remains classified only to the 
extent and for such a period as is necessary.


Sec.  9.3  Senior agency official.

    The Executive Order requires that each agency that originates or 
handles classified information designate a Senior Agency Official to 
direct and administer its information security program. The 
Department's senior agency official is the Under Secretary of State for 
Management. The Senior Agency Official is assisted in carrying out the 
provisions of the Executive Order and the Department's information 
security program by the Assistant Secretary for Diplomatic Security, 
the Assistant Secretary for Administration, and the Deputy Assistant 
Secretary for Global Information Services.


Sec.  9.4  Original classification.

    (a) Definition. Original classification is the initial 
determination that certain information requires protection against 
unauthorized disclosure in the interest of national security (i.e., 
national defense or foreign relations of the United States), together 
with a designation of the level of classification.
    (b) Classification levels. (1) Top Secret shall be applied to 
information the unauthorized disclosure of which reasonably could be 
expected to cause exceptionally grave damage to the national security 
that the original classification authority is able to identify or 
describe.
    (2) Secret shall be applied to information the unauthorized 
disclosure of which reasonably could be expected to cause serious 
damage to the national security that the original classification 
authority is able to identify or describe.
    (3) Confidential shall be applied to information the unauthorized 
disclosure of which reasonably could be expected to cause damage to the 
national security that the original classification authority is able to 
identify or describe.
    (c) Classification requirements and considerations. (1) Information 
may 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 the Executive Order, and it pertains to one or more of the 
following:
    (i) Military plans, weapons systems, or operations;
    (ii) Foreign government information;
    (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;

[[Page 35937]]

    (vi) United States 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.
    (2) In classifying information, the public's interest in access to 
government information must be balanced against the need to protect 
national security information.
    (3) The unauthorized disclosure of foreign government information 
is presumed to cause damage to national security.
    (d) Classification limitations and prohibitions. (1) In no case 
shall information be classified in order to conceal violations of law, 
inefficiency, or administrative error, or to prevent embarrassment to a 
person, organization, or agency, to restrain competition, or to prevent 
or delay the release of information that does not require protection in 
the interest of the national security.
    (2) A reference to classified documents that does not directly or 
indirectly disclose classified information may not be classified or 
used as a basis for classification.
    (3) Only information owned by, produced by or for, or under the 
control of the U.S. Government may be originally classified.
    (e) Duration of classification. (1) Information shall be classified 
for as long as is required by national security considerations, subject 
to the limitations set forth in section 1.5 of the Executive Order. 
When it can be determined, a specific date or event for 
declassification in less than 10 years shall be set by the original 
classification authority at the time the information is originally 
classified. If a specific date or event for declassification cannot be 
determined, information shall be marked for declassification 10 years 
from the date of the original decision, unless the original 
classification authority determines that the sensitivity of the 
information requires that it be marked for declassification for up to 
25 years from the date of the original decision except for:
    (i) Information that would reveal the identity of a confidential 
human source or a human intelligence source, or key design concepts of 
weapons of mass destruction, in which case the duration of 
classification shall be up to 75 years and shall be designated with the 
markings ``50X1-HUM'' and ``50X2-WMD,'' respectively; and
    (ii) Specific information incorporated into the classification 
guide under section 2.2(e) of the Executive Order relating to 
exemptions from automatic declassification.
    (2) An original classification authority may extend the duration of 
classification up to 25 years from the date of origin of the document, 
change the level of classification, or reclassify specific information 
only when the standards and procedures for classifying information 
under the Executive Order are met.
    (3) No information may remain classified indefinitely. Information 
marked for an indefinite duration of classification under predecessor 
orders, such as ``Originating Agency's Determination Required'' (OADR) 
or classified information that contains incomplete declassification 
instructions or lacks declassification instructions, shall be 
declassified in accordance with Part 3 of the Order.


Sec.  9.5  Original classification authority.

    (a) Authority for original classification of information as Top 
Secret may be exercised by the Secretary and those officials delegated 
this authority in writing by the Secretary. Such authority has been 
delegated to the Deputy Secretaries, the Under Secretaries, the 
Counselor, Assistant Secretaries and equivalents; Chiefs of Mission and 
U.S. representatives to international organizations; and certain other 
officers within the Department and at posts abroad.
    (b) Authority for original classification of information as Secret 
or Confidential may be exercised only by the Secretary, the Senior 
Agency Official, and those officials delegated this authority in 
writing by the Secretary or the Senior Agency Official. Such authority 
has been delegated to Deputy Assistant Secretaries, Principal Officers 
at consulates general and consulates abroad, and certain other officers 
within the Department and at posts abroad. In the absence of the Secret 
or Confidential classification authority, the person designated to act 
for that official may exercise that authority.


Sec.  9.6  Derivative classification.

    (a) Definition. Derivative classification is: the incorporating, 
paraphrasing, restating, or generating in new form information that is 
already classified and the marking of the new material consistent with 
the classification of the source material, or the marking of the 
information in accordance with an authorized classification guide. 
Duplication or reproduction of existing classified information is not 
derivative classification. Persons who apply classification markings 
derived from source material or as directed by a classification guide 
need not possess original classification authority.
    (b) Responsibility. Information classified derivatively from other 
classified information shall be classified and marked in accordance 
with instructions from an authorized classifier or in accordance with 
an authorized classification guide and shall comply with the standards 
set forth in sections 2.1-2.2 of the Executive Order and 32 CFR 
2001.22. The duration of classification of a document classified by a 
derivative classifier using a classification guide shall not exceed 25 
years except for:
    (1) Information that would reveal the identity of a confidential 
human source or a human intelligence source (50X1-HUM) or key design 
concepts of weapons of mass destruction (50X2-WMD), and
    (2) Specific information incorporated into the classification guide 
under section 2.2(e) of the Executive Order relating to exemptions from 
automatic declassification.
    (c) Department of State Classification Guide. The Department of 
State Classification Guide (DSCG) is the primary authority for the 
classification of information in documents created by Department of 
State personnel. The Guide is classified ``Confidential'' and is found 
on the Department of State's classified Web site.


Sec.  9.7  Identification and marking.

    (a) Classified information shall be marked pursuant to the 
standards set forth in section 1.6 of the Executive Order, 32 CFR part 
2001, subpart C, and internal Department guidance in 5 Foreign Affairs 
Manual.
    (b) Foreign government information shall retain its original 
classification markings or be marked and classified at a U.S. 
classification level that provides a degree of protection at least 
equivalent to that required by the entity that furnished the 
information. Foreign government information retaining its original 
classification markings need not be assigned a U.S. classification 
marking provided the responsible agency determines that the foreign 
government markings are adequate to meet the purposes served by U.S. 
classification markings.
    (c) Information assigned a level of classification under 
predecessor executive orders shall be considered as classified at that 
level of classification despite the omission of other required 
markings.

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    (d) Prior to public release, all declassified records shall be 
appropriately marked to reflect their declassification.


Sec.  9.8  Classification challenges.

    (a) Challenges. Authorized holders of information pertaining to the 
Department of State who believe that its classification status is 
improper are expected and encouraged to challenge the classification 
status of the information. Such persons making challenges to the 
classification status of information shall not be subject to 
retribution for such action. Informal, usually oral, challenges are 
encouraged. Formal challenges to classification actions shall be in 
writing to an original classification authority (OCA) with jurisdiction 
over the information and a copy of the challenge shall be sent to the 
Office of Information Programs and Services (IPS) of the Department of 
State, SA-2, 515 22nd St. NW., Washington, DC 20522-8100. The 
Department (either the OCA or IPS) shall provide an initial response in 
writing within 60 calendar days.
    (b) Appeal procedures and time limits. A negative response may be 
appealed to the Department's Appeals Review Panel (ARP) and should be 
sent to: Chairman, Appeals Review Panel, c/o Director, Office of 
Information Programs and Services/Appeals Officer, at the IPS address 
given above. The appeal shall include a copy of the original challenge, 
the response, and any additional information the appellant believes 
would assist the ARP in reaching its decision. The ARP shall respond 
within 90 calendar days of receipt of the appeal. A negative decision 
by the ARP may be appealed to the Interagency Security Classification 
Appeals Panel (ISCAP) referenced in section 5.3 of Executive Order 
13526. If the Department fails to respond to a formal challenge within 
120 calendar days or if the ARP fails to respond to an appeal within 90 
calendar days, the challenge may be sent directly to the ISCAP.
    (c) Pre-publication review materials. The provisions for 
classification challenges do not apply to material required to be 
submitted for pre-publication review, or other administrative action, 
pursuant to a non-disclosure agreement.


Sec.  9.9  Declassification and downgrading.

    (a) Declassification processes. Declassification of classified 
information may occur:
    (1) After review of material in response to a Freedom of 
Information Act (FOIA) request, mandatory declassification review 
request, discovery request, subpoena, classification challenge, or 
other information access or declassification request;
    (2) After review as part of the Department's systematic 
declassification review program;
    (3) As a result of the elapse of the time or the occurrence of the 
event specified at the time of classification;
    (4) By operation of the automatic declassification provisions of 
section 3.3 of the Executive Order with respect to material more than 
25 years old.
    (b) Downgrading. When material classified at the Top Secret level 
is reviewed for declassification and it is determined that 
classification continues to be warranted, a determination shall be made 
whether downgrading to a lower level of classification is appropriate. 
If downgrading is determined to be warranted, the classification level 
of the material shall be changed to the appropriate lower level.
    (c) Authority to downgrade and declassify. (1) Classified 
information may be downgraded or declassified by:
    (i) The official who originally classified the information if that 
official is still serving in the same position and has original 
classification authority;
    (ii) A successor in that capacity if that individual has original 
classification authority;
    (iii) A supervisory official of either if the supervisory official 
has original classification authority;
    (iv) Other Department officials specifically delegated 
declassification authority in writing by the Secretary or the Senior 
Agency Official; or
    (v) The Director of the Information Security Oversight Office 
pursuant to Sec. 3.1(a) of E.O. 13526.
    (2) The Department shall maintain a record of Department officials 
specifically designated as declassification and downgrading 
authorities.
    (d) Declassification in the public interest. Although information 
that continues to meet the classification criteria of the Executive 
Order or a predecessor order normally requires continued protection, in 
some exceptional cases the need to protect information may be 
outweighed by the public interest in disclosure of the information. 
When such a question arises, it shall be referred to the Secretary or 
the Senior Agency Official for decision on whether, as an exercise of 
discretion, the information should be declassified and disclosed. This 
provision does not amplify or modify the substantive criteria or 
procedures for classification or create any substantive or procedural 
right subject to judicial review.
    (e) Public disclosure of declassified information. Declassification 
of information is not, by itself, authorization for its public 
disclosure. Previously classified information that is declassified may 
be exempt from public disclosure under the FOIA, the Privacy Act, or 
various statutory confidentiality provisions. There also may be 
treaties or other international agreements that would preclude public 
disclosure of declassified information.


Sec.  9.10  Mandatory declassification review

    (a) Scope. All information classified under E.O. 13526 or 
predecessor orders shall be subject to mandatory declassification 
review upon request by a member of the public or a U.S. government 
employee or agency with the following exceptions:
    (1) Information originated by the incumbent President or the 
incumbent Vice President; the incumbent President's White House staff 
or the incumbent Vice President's staff; committees, commissions, or 
boards appointed by the incumbent President; other entities within the 
Executive Office of the President that solely advise and assist the 
incumbent President;
    (2) Information that is the subject of pending litigation; and
    (3) Information that has been reviewed for declassification within 
the past two years which need not be reviewed again, but the requester 
shall be given appeal rights.
    (b) Requests. Requests for mandatory declassification review should 
be addressed to the Office of Information Programs and Services, U.S. 
Department of State, SA-2, 515 22nd St. NW., Washington, DC 20522-8100.
    (c) Description of information. In order to be processed, a request 
for mandatory declassification review must describe the document or the 
material containing the information sought with sufficient specificity 
to enable the Department to locate the document or material with a 
reasonable amount of effort. Whenever a request does not sufficiently 
describe the material, the Department shall notify the requester that 
no further action will be taken unless additional description of the 
information sought is provided.
    (d) Refusal to confirm or deny existence of information. The 
Department may refuse to confirm or deny the existence or nonexistence 
of requested information whenever the fact of existence or nonexistence 
is itself classified.

[[Page 35939]]

    (e) Processing. In responding to mandatory declassification review 
requests, the Department shall make a review determination as promptly 
as possible, but in no case more than one year from the date of receipt 
of the request, and notify the requester accordingly. When the 
requested information cannot be declassified in its entirety, the 
Department shall release all meaningful portions that can be 
declassified and that are not exempt from disclosure on other grounds.
    (f) Other agency information. When the Department receives a 
request for information in its possession that was originally 
classified by another agency, it shall refer the request and the 
pertinent information to the other agency unless that agency has agreed 
that the Department may review such information for declassification on 
behalf of that agency. In any case, the Department is responsible for 
responding to the requester with regard to any responsive information, 
including other-agency information, unless a prior arrangement has been 
made with the originating agency.
    (g) Foreign government information. In the case of a request for 
material containing foreign government information, the Department 
shall determine whether the information may be declassified and may, if 
appropriate, consult with the relevant foreign government on that 
issue. If the Department is not the agency that initially received the 
foreign government information, it may consult with the original 
receiving agency.
    (h) Documents or material containing RD or Transclassified Foreign 
Nuclear Information (TFNI). Documents or material containing RD or TFNI 
will be submitted to DOE for review. Documents containing FRD will be 
submitted to DOE or DoD for review.
    (i) Appeals. Any denial of a mandatory declassification review 
request may be appealed to the ARP. A denial by the ARP of a mandatory 
declassification review appeal may be further appealed to the ISCAP. A 
failure of the Department to make a determination on a mandatory 
declassification review request within one year from the date of its 
receipt or to respond to an appeal of a denial by the ARP within 180 
calendar days of its receipt may be appealed directly to the ISCAP.


Sec.  9.11  Systematic declassification review.

    The Director of the Office of Information Programs and Services 
shall be responsible for conducting a program for systematic 
declassification review of historically valuable records that: were 
exempted from the automatic declassification provisions of section 3.3 
of the Executive Order; or will soon become subject to the automatic 
declassification provisions of section 3.3 of the Order. The Director 
shall prioritize such review in accordance with priorities established 
by the National Declassification Center.


Sec.  9.12  Sharing other-agency classified information.

    The long-standing third-agency rule has required prior originating 
agency approval before a receiving agency could further disseminate 
classified information. Under the Executive Order, unless the 
originating agency indicates on the material that prior approval is 
required and provided that the criteria for access under section 4.1(a) 
of the Order are met, a receiving agency may further disseminate 
classified information in documents created subsequent to the effective 
date of the Order to another agency or U.S. entity without consultation 
with the originating agency. ``U.S. entity'' includes cleared state, 
local, tribal, and private sector entities. Similarly, under certain 
circumstances, receiving agencies may pass such classified information 
to foreign governments.


Sec.  9.13  Access to classified information by historical researchers 
and certain former government personnel.

    (a) The restriction in E.O. 13526 and predecessor orders on 
limiting access to classified information to individuals who have a 
need-to-know the information may be waived, under the conditions set 
forth below, for persons who: are engaged in historical research 
projects; have served as President or Vice President; have occupied 
senior policy-making positions in the Department of State or other U.S. 
government agencies to which they were appointed or designated by the 
President or the Vice President. It does not include former Foreign 
Service Officers as a class or persons who merely received assignment 
commissions as Foreign Service Officers, Foreign Service Reserve 
Officers, Foreign Service Staff Officers, and employees.
    (b) Requests by such persons must be submitted in writing to the 
Office of Information Programs and Services at the address set forth 
above and must include a general description of the records sought, the 
time period covered by the records that are the subject of the request, 
and an explanation why access is sought. Requests for access by such 
requesters may be granted if:
    (1) The Secretary or the Senior Agency Official determines in 
writing that access is consistent with the interests of national 
security;
    (2) The requester agrees in writing to safeguard the information 
from unauthorized disclosure or compromise;
    (3) The requester submits a statement in writing authorizing the 
Department to review any notes and manuscripts created as a result of 
access;
    (4) The requester submits a statement in writing that any 
information obtained from review of the records will not be 
disseminated without the express written permission of the Department;
    (c) If a requester uses a research assistant, the requester and the 
research assistant must both submit a statement in writing 
acknowledging that the same access conditions set forth in paragraphs 
(b)(2) through (b)(4) of this section apply to the research assistant. 
Such a research assistant must be working for the applicant and not 
gathering information for publication on his or her own behalf.
    (d) Access granted under this section shall be limited to items the 
official originated, reviewed, signed, or received while serving as a 
Presidential or Vice Presidential appointee or designee or as President 
or Vice President.
    (e) Such requesters may seek declassification and release of 
material to which they have been granted access under this section 
through either the FOIA or the mandatory declassification review 
provisions of E.O. 13526. Such requests shall be processed in the order 
received, along with other FOIA and mandatory declassification review 
requests, and shall be subject to the fees applicable to FOIA requests.


Sec.  9.14  Pre-publication review of writings by former Department 
personnel.

    The Department provides pre-publication review of writings on 
foreign relations topics by former Department personnel, including 
contractors and detailees, who had security clearances to try to ensure 
that former personnel do not violate their agreements on non-disclosure 
of classified national security information in such writings. 
Manuscripts (including articles, speeches, books, etc.) should be sent 
to the Director, Office of Information Programs and Services, 515 22nd 
St. NW., Washington, DC 20522-8100. Questions about pre-publication 
clearance may be sent to Classification@state.gov.


Sec.  9.15  Assistance to the Historian's Office.

    All elements of the Department shall assist the Historian's Office 
in its preparation of the Foreign Relations of

[[Page 35940]]

the United States (FRUS) series such as by providing prompt access to 
and, when possible, declassification of information deemed appropriate 
for inclusion in the FRUS.


Sec.  9.16  Safeguarding.

    Specific controls on the use, processing, storage, reproduction, 
and transmittal of classified information within the Department to 
provide protection for such information and to prevent access by 
unauthorized persons are contained in Volume 12 of the Department's 
Foreign Affairs Manual.

    Dated: May 29, 2014.
 Margaret P. Grafeld,
 Deputy Assistant Secretary, Department of State.
[FR Doc. 2014-14879 Filed 6-24-14; 8:45 am]
BILLING CODE 4710-24-P