The procedures for processing and/or researching for access to OSD Component files are in appendices B, C, and D to this part.
Sec. Appendix A to Part 197--Explanation of Freedom of Information Act
(5 U.S.C. 552) Exemptions
A. Exemptions ------------------------------------------------------------------------
(1)........................... Applies to information that is
currently and properly classified
pursuant to an Executive Order in
the interest of national defense or
foreign policy (See E.O. 12958 and
DoD 5200.01-R) (Sec 1.4.
Classification Categories from E.O.
12958 are provided on the next
page);(b)(2)........................... Applies to information that pertains
solely to the internal rules and
practices of the Agency; this
exemption has two profiles, ``high''
and ``low.'' The ``high'' profile
permits withholding a document
which, if released, would allow
circumvention of an Agency rule,
policy, or statute, thereby impeding
the Agency in the conduct of its
mission. The ``low'' profile permits
withholding if there is no public
interest in the document, and it
would be an administrative burden to
process the request;(b)(3)........................... Applies to information specifically
exempted by a statute establishing
particular criteria for withholding.
The language of the statute must
clearly state that the information
will not be disclosed;(b)(4)........................... Applies to information such as trade
secrets and commercial or financial
information obtained from a company
on a privileged or confidential
basis which, if released, would
result in competitive harm to the
company;(b)(5)........................... Applies to inter- and intra-Agency
memoranda that are deliberative in
nature; this exemption is
appropriate for internal documents
that are part of the decision-making
process, and contain subjective
evaluations, opinions, and
recommendations;(b)(6)........................... Applies to information the release of
which could reasonably be expected
to constitute a clearly unwarranted
invasion of the personal privacy of
individuals; and(b)(7)........................... Applies to records or information
compiled for law enforcement
purposes that could reasonably be
expected to interfere with law
enforcement proceedings; would
deprive a person of a right to a
fair trial or impartial
adjudication; could reasonably be
expected to constitute an
unwarranted invasion of the personal
privacy of others; disclose the
identity of a confidential source;
disclose investigative techniques
and procedures; or could reasonably
be expected to endanger the life or
physical safety of any individual.------------------------------------------------------------------------
See Chapter III of DoD 5400.07-R for further information.
B. Extract From E.O. 12958
Section 1.4. Classification Categories. Information shall not be considered for classification unless it concerns:
(a) Military plans, weapons systems, or operations;
(b) Foreign government information;
(c) Intelligence activities (including special activities), intelligence sources or methods, or cryptology;
(d) Foreign relations or foreign activities of the United States, including confidential sources;
(e) Scientific, technological, or economic matters relating to the national security, which includes defense against transnational terrorism;
(f) United States Government programs for safeguarding nuclear materials or facilities;
(g) Vulnerabilities or capabilities of systems, installations, infrastructures, projects, plans, or protection services relating to the national security, which includes defense against transnational terrorism; or
(h) Weapons of mass destruction.
Sec. Appendix B to Part 197--Procedures for Historical Researchers
Permanently Assigned Within the Executive Branch Working on Official
Projects
1. The Head of each OSD Component, when requested, shall:
a. Make a written determination that the requested access is essential to the accomplishment of a lawful and authorized Government purpose, stating whether the requested records can be made available; if disapproved, cite specific reasons.
b. Provide the location of the requested records, including accession and box numbers if the material has been retired to the WNRC.
c. 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 shall:
a. Process all requests from Executive Branch employees requesting access to OSD Component files for official projects.
b. Determine which OSD Component(s) originated the requested records and, if necessary, request an access determination (paragraph 1.a. of this appendix) from the OSD Component(s) and the location of the requested records, including accession and box numbers if the records are in retired files.
c. Request authorization for access from other Agencies as necessary:
(1) By the terms of the ``Interagency Agreement on Access for Official Agency Historians,'' hereafter referred to as ``the Agreement'', historians employed by a signatory Agency may have access to the classified information of any other Agency signatory to the Agreement found in OSD files. The Central Intelligence Agency (CIA) and National Security Council (NSC) are not signatories to the Agreement. Authorization for access must be obtained from these Agencies, as well as from any other non-signatory Agency whose classified information is expected to be found in the files to be accessed.
(2) If the official historian is employed by an Agency that is not a signatory to the Agreement, authorization for access must be obtained from the CIA, 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.
(3) If the requester is not an official historian, authorization for access must be obtained from the CIA, NSC, DoS, and any other non-DoD Agency whose classified information is expected to be found in the files to be accessed.
(4) Make a written determination as to the researcher's trustworthiness based on the researcher having been issued a security clearance.
(5) 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, or designee, who shall make the final access determination.
(6) Notify the researcher of the authorization and conditions for access to the requested records or of the denial of access and the reason(s).
(7) Ensure all conditions for access and release of information for use in the project are met.
(8) Make all necessary arrangements for the researcher to visit the WNRC and review the requested records if they have been retired there.
(9) Assign a member of his staff to supervise the researcher's copying of pertinent documents at the WNRC. Provide a copier and toner cartridge or appropriate consumable supplies to be used by the researcher to copy the documents.
(10) If the records are maintained in an OSD Component's working files, arrange for the researcher to review the material and make copies of pertinent documents in the OSD Component's office.
(11) Notify the National Archives or Presidential library concerned of the authorization and conditions for access, if the researcher desiring to research material in those facilities is not an official historian or is an official historian employed by an Agency that is not a signatory to the Agreement.
3. The researcher shall:
a. Submit a request for access to OSD files to the OSD Records Administrator, 1155 Defense, Pentagon, Washington, DC 20301-1155.
The request must contain the following information:
(1) The name(s) of the researcher(s) and any assistant(s), level of security clearance, and the office to which the researcher is assigned.
(2) Provide a statement on the purpose of the project, including whether the final product is to be classified or unclassified.
(3) Provide 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.
(4) An appropriate higher authority must sign the request.
b. Ensure his or her security manager or personnel security office verifies his or her security clearances in writing to the Security Manager for the office of the OSD Records Administrator.
c. Submit notes taken during research, as follows:
(1) 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.
(2) Indicate at the top of each page of notes the document's originator, date, subject (if the subject is classified, indicate the classification), folder number or other identification, accession number and box number in which the document was found, and the security classification of the document. All notes are considered classified at the level of the document from which they were taken.
(3) Number each page of notes consecutively.
(4) Leave the last 1\1/2\ inches on the bottom of each page of notes blank for use by the reviewing agencies.
(5) Ensure the notes are legible, in English, and in black ink.
(6) All notes must be given to the facility staff at the end of each day. The facility staff will forward the notes to the OSD Records Administrator for a declassification review and release determination.
d. Maintain the file integrity of the records being reviewed, ensuring no records are removed and all folders are replaced in the correct box in their proper order.
e. Make copies of any documents pertinent to the project, ensuring that staples are carefully removed and that the documents are restapled before they are replaced in the folder. Subparagraph E3.1.3. of this appendix, also applies to the copying of documents. The copying of documents at the WNRC must be accomplished under the supervision of a member of the OSD Records Administrator staff (appendix D to this part).
f. Submit, prior to unclassified presentation or publication, the completed manuscript, along with any copies of documents used and notes taken, to the OSD Records Administrator for onward transmission to the Chief, Security Review, Executive Services Directorate for review.
g. If the requester is an official historian of an Agency signatory to the Agreement, requests for access to the records at the National Archives or a Presidential library should be addressed directly to the pertinent facility with an information copy to the OSD Records Administrator.
(1) The historian's security clearances must be verified to the National Archives or the Presidential library.
(2) Paragraphs 1.c. through 1.f. of this appendix apply to research in files at the National Archives, a Presidential library, or other facility.
(3) All notes and documents must be given to the facility staff for forwarding to the office of the OSD Records Administrator.
Sec. Appendix C to Part 197--Procedures for the Department of State
(DoS) Foreign Relations of the United States (FRUS) Series
1. The OSD Records Administrator shall:
a. Determine the location of the records being requested by the DoS for the FRUS series under Public Law No. 102-138.
b. Request authorization from the CIA, NSC, and any other non-DoD Agency not signatory to the Agreement for the State historians to have access to such non-DoD Agency classified information expected to be interfiled with the requested OSD records.
c. Obtain written verification from the DoS Diplomatic Security staff of all security clearances, including ``Q'' clearances.
d. Make all necessary arrangements for the State historians to access and review OSD files.
e. Make all necessary arrangements for the State historians to copy documents selected for use in their research.
(1) According to appendix F to this part, provide a staff member to supervise the copying and the copier to be used to copy the documents.
(2) Compile a list of the documents that were copied by the DoS.
f. Release all documents copied by the DoS for use in the FRUS still classified.
g. Submit to the respective Agency a list of CIA and NSC documents copied and released to the State historians.
h. Process requests from the DoS Historian's office for members of the Advisory Committee on Historical Diplomatic Documentation, who possess the appropriate security clearances, to have access to documents copied and used by the State historians to compile the FRUS series volumes or to the files that were reviewed to obtain the copied document. Make all necessary arrangements for the Committee to review any documents that are at the WNRC.
2. The DoS Historian shall:
a. Submit requests for access to OSD files to the OSD Records Administrator, 1155 Defense, Pentagon, Washington, DC 20301-1155. The request should list the names and security clearances for the historians doing the research and an explicit description, including the accession and box numbers, of the files being requested.
b. Submit requests for access for members of the Advisory Committee on Historical Diplomatic Documentation to documents copied by the State historians for the series or the files reviewed to obtain the documents to the OSD Records Administrator.
c. Request that the DoS Diplomatic Security staff verify all security clearances in writing to the Security Manager for the office of the OSD Records Administrator.
d. According to appendix F to this part, supply the toner cartridge, paper, and other supplies required to copy the documents.
e. Give all copies of the documents to the member of the office OSD Records Administrator's staff who is supervising the copying as the documents are copied.
f. Submit any DoD documents desired for use or pages of the manuscript containing DoD classified information to the Chief, Security Review, Executive Services Directorate, 1155, Defense, Pentagon, Washington, DC 20301-1155 for a declassification review prior to publication.
Sec. Appendix D to Part 197--Procedures for Historical Researchers Not
Permanently Assigned to the Executive Branch
1. The Head of each OSD Component, when required, shall:
a. Make recommendations to the DA&M;, OSD, or his designee, as to approval or disapproval of requests to OSD files stating whether release 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.
b. Provide the location of the requested information, including the accession and box numbers for any records that have been retired to the WNRC.
c. Provide a point of contact for liaison with the OSD Records Administrator if any requested records are located in Component working files.
2. The OSD Records Administrator shall:
a. Process all requests from non-Executive Branch researchers for access to OSD files. Certify that the requester has the appropriate clearances.
b. 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.
c. Make a determination as to which OSD Component originated the requested records, and as necessary, obtain written recommendations (paragraph 1.a. of this section) for the research to review the classified information.
d. Obtain a copy of the letter in Enclosure 6 of this AI signed by the researcher(s) and any assistant(s).
e. If the requester is a former Presidential appointee (FPA), after completion of the actions described in paragraph 1.b. through 1.b.(4) of this appendix, submit a memorandum to DoD, Human Resources, Security 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 (paragraph 1.b. of this appendix). DoD, Human Resources, Security Division, will contact the researcher(s) and any assistant(s) to obtain the forms required to reinstate or obtain a security clearance and initiate the personnel security investigation. Upon completion of the adjudication process, notify the OSD Records Administrator in writing of the reinstatement, issuance, or denial of a security clearance.
f. Make a written determination as to the researcher's trustworthiness, based on his or her having been issued a security clearance.
g. Compile all information on the request for access to classified information to include either evidence of an appropriately issued or reinstated personnel security clearance and forward the information to the DA&M;, OSD, or his designee, who shall make the final determination on the applicant's eligibility for access to classified OSD files. If the determination is favorable, the DA&M;, OSD, or his designee, shall then execute an authorization for access, which will be valid for not more than 2 years.
h. Notify the researcher of the approval or disapproval of the request. If the request has been approved, the notification shall identify the files authorized for review and shall specify that the authorization:
(1) Is approved for a predetermined time period.
(2) Is limited to the designated files.
(3) Does not include access to records and/or information of other Federal Agencies, unless such access has been specifically authorized by those Agencies.
i. 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.
j. If the requested records are at the WNRC, make all necessary arrangements for the copying of documents; provide a copier and toner cartridge for use in copying documents and a staff member to supervise the copying of pertinent documents by the researcher.
k. If the requested records are maintained in OSD Component working files, make arrangements for the researcher to review the requested information and if authorized, copy pertinent documents in the OSD Component's office. Provide the OSD Component with a copy of the written authorization and conditions under which the access is permitted.
l. Compile a list of all the documents copied by the researcher.
m. Perform a mandatory declassification review on all notes taken and documents copied by the researcher.
n. 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 shall:
a. Submit a request for access to OSD Component files to the OSD Records Administrator, 1155 Defense, Pentagon, Washington, DC 20301-1155. The request must contain the following:
(1) As explicit a description as possible of the information being requested so that identification and location of the information may be facilitated.
(2) A statement as to how the information will be used, including whether the final project is to be classified or unclassified.
(3) State whether the researcher has a security clearance, including the level of clearance and the name of the issuing Agency.
(4) 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.
b. A signed copy of the letter (appendix E to this part) by which the requester agrees 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.
c. If the requester is an FPA, complete the forms necessary (see paragraph 1.b. of this appendix) to obtain a security clearance. Each project assistant will also need to complete the forms necessary to obtain a security clearance. If the FPA or assistant have current security clearances, their personnel security office must provide verification in writing to the Security Manager for the office of the OSD Records Administrator.
d. 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.
e. If copies are authorized, all copies must be given 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.
(1) For records at the WNRC, if authorized, make copies of documents only in the presence of a member of the OSD Records Administrator's staff (appendix G to this part).
(2) As they are copied, all documents must be given to the OSD Records Administrator's staff member supervising the copying.
(3) Ensure all staples are carefully removed and that the documents are restapled before the documents are replaced in the folder. Paragraph 1.c. of this appendix also applies to the copying of documents.
f. Submit all notes (classified and unclassified) made from the records to the OSD Records Administrator for a declassification and release review through the custodian of the files at the end of each day's review as described in paragraphs 1.c.(3) through 1.c.(5) of appendix B to this part.
g. Submit the notes and final manuscript to the OSD Records Administrator for forwarding to the Chief, Security Review, Executive Services Directorate, for a security review and clearance under DoD Directive 5230.09 prior to unclassified publication, presentation, or any other public use. Sec. Appendix E to Part 197--Form Letter--Conditions Governing Access to
Official Records for Historical Research Purposes Date:OSD Records Administrator1155 Defense PentagonWashington, DC 20301-1155 Dear
I understand that the classified information to which I have requested access for historical research purposes is concerned with the national defense or foreign relations of the United States, and the unauthorized disclosure of it could reasonably be expected to cause damage, serious damage, or exceptionally grave damage to the national security depending on whether the information is classified Confidential, Secret, or Top Secret, respectively. If granted access, I therefore agree to the following conditions governing access to the Office of the Secretary of Defense (OSD) files:
1. I will abide by any rules and restrictions promulgated in your letter of authorization, including those of other Agencies whose information is interfiled with that of the OSD.
2. I agree to safeguard the classified information, to which I gain possession or knowledge because of my access, in a manner consistent with Part 4 of Executive Order 12958, ``National Security Information,'' and the applicable provisions of the Department of Defense regulations concerning safeguarding classified information, including DoD 5200.1-R, ``Information Security Program.''
3. I agree not to reveal to any person or Agency any classified information obtained as a result of this access except as authorized in the terms of your authorization letter or a follow-on letter, and I further agree that I shall not use the information for purposes other than those set forth in my request for access.
4. I agree to submit my research notes for security review, to determine if classified information is contained in them, before their removal from the specific area assigned to me for research. I further agree to submit my manuscript for a similar review before its publication or presentation. In each of these reviews, I agree to comply with any decision of the reviewing official in the interests of the security of the United States, including the retention or deletion of any classified parts of such notes and manuscript whenever the Federal Agency concerned deems such retention or deletion necessary.
5. I understand that failure to abide by the conditions in this statement shall constitute sufficient cause for canceling my access to classified information and for denying me any future access, and may subject me to criminal provisions of Federal Law as referred to in item 6.
6. I have been informed that provisions of title 18 of the United States Code impose criminal penalties, under certain circumstances, for the unauthorized disclosure, loss, copying, or destruction of defense information.
THIS STATEMENT IS MADE TO THE UNITED STATES GOVERNMENT TO ENABLE IT TO EXERCISE ITS RESPONSIBILITY FOR THE PROTECTION OF INFORMATION AFFECTING THE NATIONAL SECURITY. I UNDERSTAND THAT ANY MATERIAL FALSE STATEMENT THAT I MAKE KNOWINGLY AND WILFULLY SHALL SUBJECT ME TO THE PENALTIES OF TITLE 18, U.S. CODE, SECTION 1001.Signature: Witness's Signature: Date: Sec. Appendix F to Part 197--Procedures for Copying of Documents for the
Foreign Relations of the United States Series
1. The records will be reviewed and copied at the WNRC, Suitland, Maryland.
2. The requested records have been reviewed under the declassification provisions of E.O. 12958. Part of NARA's government-wide procedures for the review process requires that certain types of documents be tabbed for easy identification. Any tabs removed during the research and copying must be replaced.
3. When documents are being copied, a DoD/WHS/declassification and historical research branch staff member must be present at all times.
4. OSD will supply the copier, but the DoS must supply the toner cartridge, paper, staples, staple remover, stapler, and Post-It Notes. The copier is a Cannon Personal Copier-Model PC 425. It takes one of two cartridges--Cannon E20, which makes 2,000 copies and Cannon E40, which makes 4,000 copies.
5. The number of boxes to be reviewed will determine which of the following two procedures will apply. The Declassification and Historical Research Branch staff 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 Declassification and Historical Research Branch to establish a final schedule for copying the needed documents. To avoid a possible delay, a tentative schedule will be established at the time that the review schedule is set.
a. For a small number of boxes--the review and copying will take place simultaneously.
b. For a large number of boxes--the historian will review the boxes and mark the documents that are to be copied using Post-It Notes or WNRC Reproduction Tabs.
6. The documents must be given to the Declassification and Historical Research Branch staff member for transmittal to the Declassification and Historical Research Branch Office for processing.
7. The Declassification and Historical Research Branch will notify the historian when the documents are ready to be picked-up.
Sec. Appendix G to Part 197--Procedures for Copying Documents
1. The records will be reviewed and copied at the WNRC, Suitland, Maryland.
2. The requested records have been reviewed under the declassification provisions of E.O. 12958. Part of NARA's government-wide procedures for the review process requires that certain types of documents be tabbed for easy identification. Any tabs removed during the research and copying must be replaced.
3. The researcher will mark the documents that he or she wants to copy using Post-It Notes or WNRC Reproduction Tabs.
4. Any notes taken during the review process must be given to the WNRC staff for transmittal to the Declassification Branch.
5. When documents are being copied, a DoD/WHS/declassification and historical research branch staff member must be present at all times. In agreeing to permit the copying of documents from OSD classified files at the WNRC, the WNRC is requiring that the Declassification and Historical Research Branch be held solely responsible for the copying process. The staff member is only there to monitor the copying and ensure that all record management and security procedures are followed.
6. The Declassification and Historical Research Branch will supply the copier and toner cartridge.
7. The researcher will need to bring paper, staples, staple remover, stapler, and Post-It Notes.
8. When the researcher completes the review of the boxes, he or she must contact the Declassification and Historical Research Branch to establish a final schedule for copying the needed documents.
9. The documents must be given to the Declassification and Historical Research Branch staff member for transmittal to the Declassification and Historical Research Branch Office for processing.
10. When the documents are ready to be picked up or mailed, the Declassification and Historical Research Branch will notify the office.
11. All questions pertaining to the review, copying, or transmittal of OSD documents must be addressed to the OSD action officer.
12. The WNRC staff can only answer questions regarding the use of their facility.