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(9) convene and chair interagency meetings to discuss matters pertaining to the program established by this order. Sec. 5.3. Interagency Security Classification Appeals Panel. (a) Establishment and administration. (1) There is established an Interagency Security Classification Appeals Panel. The Departments of State, Defense, and Justice, the Central Intelligence Agency, the National Archives, and the Assistant to the President for National Security Affairs shall each be represented by a senior-level representative who is a fulltime or permanent part-time Federal officer or employee designated to serve as a member of the Panel by the respective agency head. The President shall select the Chair of the Panel from among the Panel members. (2) A vacancy on the Panel shall be filled as quickly as possible as provided in paragraph (a)(1) of this section. (3) The Director of the Information Security Oversight Office shall serve as the Executive Secretary. The staff of the Information Security Oversight Office shall provide program and administrative support for the Panel. (4) The members and staff of the Panel shall be required to meet eligibility for access standards in order to fulfill the Panel's functions. (5) The Panel shall meet at the call of the Chair. The Chair shall schedule meetings as may be necessary for the Panel to fulfill its functions in a timely manner. (6) The Information Security Oversight Office shall include in reports to the President a summary of the.Panel's activities. (b) Functions. The Panel shall: (1) decide on appeals by persons who have filed classification challenges under section 1.8 of this order; (2) approve, deny, or amend agency exemptions from automatic declassification as provided in section 3.3 of this order; and (3) decide on appeals by persons or entities who have filed requests for mandatory declassification review under section 3.5 of this order. (c) Rules and procedures. The Panel shall issue bylaws, which shall be published in the Federal Register. The bylaws shall establish the rules and procedures that the Panel will follow in accepting, considering, and issuing decisions on appeals. The rules and procedures of the Panel shall provide that the Panel will consider appeals only on actions in which: (1) the appellant has exhausted his or her administrative remedies within the responsible agency; (2) there is no current action pending on the issue within the Federal courts; and (3) the information has not been the subject of review by the Federal courts or the Panel within the past 2 years. (d) Agency heads shall cooperate fully with the Panel so that it can fulfill its functions in a timely and fully informed manner. An agency head may appeal a decision of the Panel to the President through the Assistant to the President for National Security Affairs. The Panel shall report to the President through the Assistant to the President for National Security Affairs any instance in which it believes that an agency head is not cooperating fully with the Panel. (e) The Panel is established for the sole purpose of advising and assisting the President in the discharge of his constitutional and discretionary authority to protect the national security of the United States. Panel decisions are committed to the discretion of the Panel, unless changed by the President. (f) Notwithstanding paragraphs (a) through (e) of this section, whenever the Panel reaches a conclusion that information owned or controlled by the Director of Central Intelligence (Director) should be declassified, and the Director notifies the Panel that he objects to its conclusion because he has determined that the information head of the agency or to the senior agency official so that corrective steps, if appropriate, may be taken. (b) Officers and employees of the United States Government, and its contractors, licensees, certificate holders, and grantees shall be subject to appropriate sanctions if they knowingly, willfully, or negligently: (1) disclose to unauthorized persons information properly classified under this order or predecessor orders; (2) classify or continue the classification of information in violation of this order or any implementing directive; (3) create or continue a special access program contrary to the requirements of this order; or (4) contravene any other provision of this order or its implementing directives. (c) Sanctions may include reprimand, suspension without pay, removal, termination of classification authority, loss or denial of access to classified information, or other sanctions in accordance with applicable law and agency regulation. (d) The agency head, senior agency official, or other supervisory official shall, at a minimum, promptly remove the classification authority of any individual who demonstrates reckless disregard or a pattern of error in applying the classification standards of this order. (e) The agency head or senior agency official shall: (1) take appropriate and prompt corrective action when a violation or infraction under paragraph (b) of this section occurs; and (2) notify the Director of the Information Security Oversight Office when a violation under paragraph (b)(1), (2), or (3) of this section occurs.
could reasonably be expected to cause damage to the national security and to reveal (1) the identity of a human intelligence source, or (2) information about the application of an intelligence source or method (including any information that concerns, or is provided as a result of, a relationship with a cooperating intelligence element of a foreign government), the information shall remain classified unless the Director's determination is appealed to the President, and the President reverses the determination. Sec. 5.4. General Responsibilities. Heads of agencies that originate or handle classified information shall: (a) demonstrate personal commitment and commit senior management to the successful implementation of the program established under this order; (b) commit necessary resources to the effective implementation of the program established under this order; (C) ensure that agency records systems are designed and maintained to optimize the safeguarding of classified information, and to facilitate its declassification under the terms of this order when it no longer meets the standards for continued classification; and (d) designate a senior agency official to direct and administer the program, whose responsibilities shall include: (1) overseeing the agency's program established under this order, provided, an agency head may designate a separate official to oversee special access programs authorized under this order. This official shall provide a full accounting of the agency's special access programs at least annually; (2) promulgating implementing regulations, which shall be published in the Federal Register to the extent that they affect members of the public; (3) establishing and maintaining security education and training programs; (4) establishing and maintaining an ongoing self-inspection program, which shall include the periodic review and assessment of the agency's classified product; (5) establishing procedures to prevent unnecessary access to classified information, including procedures that: (A) require that a need for access to classified information is established before initiating administrative clearance procedures; and (B) ensure that the number of persons granted access to classified information is limited to the minimum consistent with operational and security requirements and needs; (6) developing special contingency plans for the safeguarding of classified information used in or near hostile or potentially hostile areas; (7) ensuring that the performance contract or other system used to rate civilian or military personnel performance includes the management of classified information as a critical element or item to be evaluated in the rating of: (A) original classification authorities; (B) security managers or security specialists; and (C) all other personnel whose duties significantly involve the creation or handling of classified information; (8) accounting for the costs associated with the implementation of this order, which shall be reported to the Director of the Information Security Oversight Office for publication; and (9) assigning in a prompt manner agency personnel to respond to any request, appeal, challenge, complaint, or suggestion arising out of this order that pertains to classified information that originated in a component of the agency that no longer exists and for which there is no clear successor in function. Sec. 5.5. Sanctions. (a) If the Director of the Information Security Oversight Office finds that a violation of this order or its implementing directives has occurred, the Director shall make a report to the
PART 6-GENERAL PROVISIONS
Sec. 6.1. Definitions. For purposes of this order: (a) "Access" means the ability or opportunity to gain knowledge of classified information. (b) "Agency” means any "Executive agency,” as defined in 5 U.S.C. 105; any "Military department” as defined in 5 U.S.C. 102; and any other entity within the executive branch that comes into the possession of classified information. (c) “Automated information system” means an assembly of computer hardware, software, or firmware configured to collect, create, communicate, compute, disseminate, process, store, or control data or information. (d) “Automatic declassification” means the declassification of information based solely upon: (1) the occurrence of a specific date or event as determined by the original classification authority; or (2) the expiration of a maximum time frame for duration of classification established under this order. (e) "Classification" means the act or process by which information is determined to be classified information. (f) “Classification guidance” means any instruction or source that prescribes the classification of specific information. (9) “Classification guide” means a documentary form of classification guidance issued by an original classification authoritythat identifies the elements of information regarding a specific subject that must be classified and establishes the level and duration of classification for each such element. (h) "Classified national security information" or "classified information" means information that has been determined pursuant to this order or any predecessor order to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form. (i) "Confidential source” means any individual or organization that has provided, or that may reasonably be expected to provide, information to the United States on matters pertaining to the national (kk) "Special access program" means a program established for a specific class of classified information that imposes safeguarding and access requirements that exceed those normally required for information at the same classification level. (11) "Systematic declassification review" means the review for declassification of classified information contained in records that have been determined by the Archivist to have permanent historical value in accordance with title 44, United States Code. (mm) "Telecommunications” means the preparation, transmission, or communication of information by electronic means. (nn) “Unauthorized disclosure” means a communication or physical transfer of classified information to an unauthorized recipient. (00) "Violation" means: (1) any knowing, willful, or negligent action that could reasonably be expected to result in an unauthorized disclosure of classified information; (2) any knowing, willful, or negligent action to classify or continue the classification of information contrary to the requirements of this order or its implementing directives; or (3) any knowing, willful, or negligent action to create or continue a special access program contrary to the requirements of this order. (pp) “Weapons of mass destruction” means chemical, biological, radiological, and nuclear weapons. Sec. 6.2. General Provisions. (a) Nothing in this order shall supersede any requirement made by or under the Atomic Energy Act of 1954, as amended, or the National Security Act of 1947, as amended. “Restricted Data” and “Formerly Restricted Data” shall be handled, protected, classified, downgraded, and declassified in conformity with the provisions of the Atomic Energy Act of 1954, as amended, and regulations issued under that Act. (b) The Attorney General, upon request by the head of an agency or the Director of the Information Security Oversight Office, shall render an interpretation of this order with respect to any question arising in the course of its administration. (C) Nothing in this order limits the protection afforded any information by other provisions of law, including the Constitution, Freedom of Information Act exemptions, the Privacy Act of 1974, and the National Security Act of 1947, as amended. This order is not intended to and does not create any right or benefit, substantive or procedural, enforceable at law by a party against the United States, its departments, agencies, officers, employees, or agents. The foregoing is in addition to the specific provisos set forth in sections 3.1(b) and 5.3(e) of this order." (d) Executive Order 12356 of April 6, 1982, was revoked as of October 14, 1995. Sec. 6.3. Effective Date. This order is effective immediately, except for section 1.6, which shall become effective 180 days from the date of this order.
security with the expectation that the information or relationship, or both, are to be held in confidence. () "Damage to the national security" means harm to the national defense or foreign relations of the United States from the unauthorized disclosure of information, taking into consideration such aspects of the information as the sensitivity, value, utility, and provenance of that information. (k) “Declassification” means the authorized change in the status of information from classified information to unclassified information. (1) “Declassification authority" means: (1) the official who authorized the original classification, if that official is still serving in the same position; (2) the originator's current successor in function; (3) a supervisory official of either; or (4) officials delegated declassification authority in writing by the agency head or the senior agency official. (m) “Declassification guide” means written instructions issued by a declassification authority that describes the elements of information regarding a specific subject that may be declassified and the elements that must remain classified. (n) "Derivative classification" means the incorporating, paraphrasing, restating, or generating in new form information that is already classified, and marking the newly developed material consistent with the classification markings that apply to the source information. Derivative classification includes the classification of information based on classification guidance. The duplication or reproduction of existing classified information is not derivative classification. (0) "Document” means any recorded information, regardless of the nature of the medium or the method or circumstances of recording. (p) "Downgrading" means a determination by a declassification authority that information classified and safeguarded at a specified level shall be classified and safeguarded at a lower level. (q) "File series" means file units or documents arranged according to a filing system or kept together because they relate to a particular subject or function, result from the same activity, document a specific kind of transaction, take a particular physical form, or have some other relationship arising out of their creation, receipt, or use, such as restrictions on access or use. () "Foreign government information" means: (1) information provided to the United States Government by a foreign government or governments, an international organization of governments, or any element thereof, with the expectation that the information, the source of the information, or both, are to be held in confidence; (2) information produced by the United States Government pursuant to or as a result of a joint arrangement with a foreign government or governments, or an international organization of governments, or any element thereof, requiring that the information, the arrangement, or both, are to be held in confidence; or (3) information received and treated as "foreign government information" under the terms of a predecessor order. (s) "Information" means any knowledge that can be communicated or documentary material, regardless of its physical form or characteristics, that is owned by, produced by or for, or is under the control of the United States Government. "Control" means the authority of the agency that originates information, or its successor in function, to regulate access to the information. (t) “Infraction” means any knowing, willful, or negligent action contrary to the requirements of this order or its implementing directives that does not constitute a "violation,” as defined below. (u) "Integral file block” means a distinct component of a file series, as defined in this section, that should be maintained as a separate unit in order to ensure the integrity of the records. An integral
file block may consist of a set of records covering either a specific topic or a range of time such as presidential administration or a 5-year retirement schedule within a specific file series that is retired from active use as a group. (v) "Integrity" means the state that exists when information is unchanged from its source and has not been accidentally or intentionally modified, altered, or destroyed. (w) "Mandatory declassification review” means the review for declassification of classified information in response to a request for declassification that meets the requirements under section 3.5 of this order. (x) "Multiple sources” means two or more source documents, classification guides, or a combination of both. (y) “National security" means the national defense or foreign relations of the United States. (z) “Need-to-know” means a determination made by an authorized holder of classified information that a prospective recipient requires access to specific classified information in order to perform or assist in a lawful and authorized governmental function. (aa) "Network” means a system of two or more computers that can exchange data or information. (bb) "Original classification" means an initial determination that information requires, in the interest of the national security, protection against unauthorized disclosure. (cc) "Original classification authority" means an individual authorized in writing, either by the President, the Vice President in the performance of executive duties, or by agency heads or other officials designated by the President, to classify information in the first instance. (dd) “Records” means the records of an agency and Presidential papers or Presidential records, as those terms are defined in title 44, United States Code, including those created or maintained by a government contractor, licensee, certificate holder, or grantee that are subject to the sponsoring agency's control under the terms of the contract, license, certificate, or grant. (ee) “Records having permanent historical value” means Presidential papers or Presidential records and the records of an agency that the Archivist has determined should be maintained permanently in accordance with title 44, United States Code. (ff) "Records management” means the planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition in order to achieve adequate and proper documentation of the policies and transactions of the Federal Government and effective and economical management of agency operations. (gg) "Safeguarding” means measures and controls that are prescribed to protect classified information. (hh) "Self-inspection" means the internal review and evaluation of individual agency activities and the agency as a whole with respect to the implementation of the program established under this order and its implementing directives. (ii) "Senior agency official” means the official designated by the agency head under section 5.4(d) of this order to direct and administer the agency's program under which information is classified, safeguarded, and declassified. (i) "Source document” means an existing document that contains classified information that is incorporated, paraphrased, restated, or generated in new form into a new document.
George W. Bush The White House, March 25, 2003. [Filed with the Office of the Federal Register, 9:17 a.m., March 27, 2003] Note: This Executive order was published in the Federal Register on March 28.
RULES FOR ALPHABETIC FILING
1. PERSONAL NAMES.
a. NAMES of individuals are transposed for filing purposes: Last name (surname); Arthur O. Anglin—filed Anglin Arthur O. first name (given name) or initial; middle name or initial. b. PREFIXES on surnames (Bel, Bon, D’, d', de, del, Des, di, du, EI, Ger, L', La, David de Valera-filed de Valera David.
, Le, M’, Mac, Mc, O', St [Saint], Ten, Ter, Van, Vander, Von, Vonder, and others) are considered inseparable parts of the surname and will be filed as though written as one. M’, Mac, and Mc are filed in strict alphabetic sequence. c. HYPHENATED surnames of individuals are filed as one complete surname. Blanche Duff-Gordon-filed Duff-Gordon
Blanche. d. UNDETERMINED surnames. When it is not possible to determine the surnames of individuals, they will be filed as they are written.,Block Thunder.Henry George.
e. MARRIED WOMEN'S names. The legal name will be used and the husband's name, if known, will be cross-referenced. (The legal name consists of the first name, maiden surname, and the husband's surname (Josephine Adams Laurens) or her first name, middle name and the husband's surname (Josephine Mary Laurens]).,Laurens Josephine Mary (Mrs) (Mrs. William A).
Cross-reference:, Laurens William A
Mary. f. ABBREVIATED first names are filed as though they were spelled in full.,Chas. Brown-filed Brown Charles.
g. NICKNAMES followed by recognizable surnames are filed under the surname and the nickname used as the first name. Nicknames with no recognizable surnames are filed as they are written., Red Larson—filed Larson Red. Boston Jimmie.
h. TITLES or degrees of individuals, whether preceding or following the surname, Dr. Charles C. Brown—filed Brown Charles C are placed in parentheses following the name and disregarded in filing (Courtesy ti- (Dr.). tles, Mr., Madam; military titles, Col., Major; professional titles, Dr., Prof.; official titles, Father Pierre-filed Father Pierre.
governor, mayor; titles of respect, Rev., Hon.; foreign titles, Lord; degrees, LL.D., Ph.D). Titles followed by one or more names not recognizable as surnames are filed in order as written.
i. ABBREVIATED DESIGNATIONS, such as Sr., Jr., 2d, 3d, appearing as part of a C. Albert Brown, Jr.—filed Brown C Albert (Jr.). name are disregarded in filing but are shown in parentheses following the name.
2. FIRMS, corporations, companies, associations, institutions, governments, and geographic names.
a. COINED names of firms, including trade names composed of separate letters or A A A Chemical Co.-filed A A A Chemical a single word, are filed as written, except when they embody the full names of individ- Company. uals.
Aunt Jemima's Pancake Flour—filed Aunt
Jemima's Pancake Flour. b. SURNAMES are used for filing when the full name of an individual is embodied Charles Brown
Charles Brown & Company—filed Brown in a firm or organization name; surname first, with the first name or initial immediately Charles (8) Company. following and the balance of the name as written. Rules for personal names apply.
. c. Prefixes on firm and geographic names, such as Co-, D', d', de, des, Di, EI, L', De la Verne Co.-filed De la Verne Company. la, le, 105, Mac, Mc, O', San, Ten, Ter, Van, Von, are considered inseparable parts of Los Angeles, Calif.—filed Los Angeles, Calithe name and will be filed as though written as one word.
fornia. d. HYPHENATED firm names are filed as one complete name.
Ventilating Company. e. COMPOUND names of firms that may be spelled either as one or two words are Inter State Warehousing Co.-filed Inter State filed as one word. This rule must be restricted to a few frequently occurring words, Warehousing Company. such as Inter State; Mid West; South Eastern; South Side; North East.
f. COMPOUND GEOGRAPHIC firm names are filed as written. Abbreviations are Ft. Wayne Paper Co.-filed Fort Wayne Paper filed as though spelled in full.
Coke Company g. ABBREVIATIONS representing names or parts of names of firms, of government Amer. Society for Civic Education—filed Ameragencies, fraternal and similar organizations are filed as though spelled in full.
ican Society (for) Civic Education. E. 59th St. Garage—filed East Fifty Ninth
h. APOSTROPHE S ('s) is not considered in filing, but s apostrophe (s') is consid- Anglin's Beauty Shop—filed Anglin's Beauty ered in filing.
mobile Company. i. ARTICLE, CONJUNCTION, OR PREPOSITION, such as the, and, &, of, for, on, The Calico Cat-filed Calico Cat (The). by, when it is part of a firm name is enclosed in parentheses and disregarded in filing. || Progresso Italo—filed Il Progresso Italo. When ”Ye" is used, it is filed as written. Foreign language articles are not translated and are filed as written.
j. STATE, COUNTY, CITY, TOWN, or a similar word when appearing as the first City Letter Co.—filed City Letter Company. word in the name of a firm, institution, association, etc., and not referring to a govern- County of Wall Surveying Co-filed County (of) ment establishment, is filed as written.
Wall Surveying Company. k. NUMERALS of one or two digits that make up a name or the beginning of a 86 Madison Ave. Realty Co.-filed Eighty-six name are read in hundreds. Consider only the lowest number in captions beginning Madison Avenue Realty Company. with inclusive numbers. Captions beginning with numbers spelled in full or abbre- 1198 Park Ave. Corp.-filed Eleven Hundred viated are filed as though spelled in full. Numbers of two or more words are filed as Ninety-eight Park Avenue Corporation. one word.
92–96 W. 18th St. Corp.-filed Ninety-two (96)
West Eighteen Street Corporation. I. FIRM names beginning with such phrases as Board of, Bureau of, Commission Committee for Economic Developme nt-filed for, which do not refer to any government establishment or function, are filed as writ- Committee (for) Economic Development. ten.
m. STANDARD TERMS, such as Bros., Co., Corp., Ltd., Inc., names of states and Brown Bros.-filed Brown Brothers cities, often abbreviated, affect the filing sequence. When abbreviated they are filed Cie Generale Transatlantique-filed Cie as though spelled in full. In foreign firm names abbreviations of company, brothers, Generale Transatlantique. etc., whether they appear before or after the names are filed as written. They are not translated.
n. CHANGE of firm name due to successorship should be filed under the current Clairo Company formerly Van Ess Products firm name and a permanent cross-reference made under the former name.
Co.-filed Clairo Company (Formerly Van
Ess Products Co.).
pany. 0. MULTIPLE names. Firms doing business under two titles are filed under the Max Jensen doing business as Ace Van more active or important name and a permanent cross-reference is made under the Lines—filed Ace Van Lines. other name. This includes firms "doing business as," written "d/b” or “d/b/a.”
p. PARTNERSHIP AND FIRM names that contain the full names of two or more in- Charles Brown & Henry Jones—filed Brown dividuals are filed by the name of the first individual mentioned.
Charles (& Henry Jones). q. VARIOUS LOCATIONS. The same firm name appearing at various locations is Allied Van Lines, Denver, Colo.—filed Allied filed by name of firm and then by city. Consider the state when there is a duplication Van Lines Denver Colorado. of city names.
Allied Van Lines, Portland, Me.-filed Allied
Van Lines Portland Maine. r. SUBSIDIARIES OR DIVISIONS. Firms having subsidiaries or divisions, may be Truscon Steel Co. Division of Republic Steel filed either by name of the parent organizations or by name of divisions. Whichever is Corp.-filed Republic Steel
Steel Corporation adopted should be followed consistently. Affiliations should be cross-referenced under Truscon Steel Co. Division. either method.
S. BANKS, BOARDS OF TRADE, NEWSPAPERS, etc. Since the names of many Board of Trade Chicago, III. Chicago (III.) banks, boards of trade, chambers of commerce and newspapers are alike, the city is Board of Trade. the identifying word. They are therefore filed by location: city first, the state in parentheses, followed by the name of the bank, board of trade, etc.
t. FEDERAL DEPARTMENT NAMES. Federal government departments and subdivisions thereof are filed by name in the alphabetic name file disregarding the parent organization.
U.S. Coast Guard: Filed Coast Guard (U.S.)
Executive Office of the President: Filed President Executive Office (of The). 3. FRATERNAL or similar organization name, which is part of a larger organized Veterans of Foreign Wars, Portsmouth Post, group, is filed under its name, and the name of the parent organization may be cross- N.H.—filed Portsmouth (N.H.) Post, Vetreferenced.
erans (of) Foreign Wars. 4. INSTITUTION names, hospitals, schools, colleges, churches, hotels, cafes, li- Andrew Carnegie Library-filed Carnegie Anbraries, etc., are filed under the first distinctive word or name in the title. If the title is drew Library composed of the name of an individual, rules for personal names apply.
University of Washington—filed Washington
University (of). 5. SUBDIVISIONS of state, county, municipal or foreign governments, such as de- Water Dept. Fairfax County, Va.—filed Fairfax partments, boards, bureaus, commissions, etc., are entered after the name of the County (Va.) Water (Dept.) state, city, county, or country, and filed as the second or third unit.