Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 26381 

requirements of section 6 of the 

Executive order. This proposed rule 

would not have federalism implications 

and would not impose substantial direct 

compliance costs on state and local 

governments or preempt state law 

within the meaning of the Executive 

order. 

Unfunded Mandates Reform Act 

Title II of the Unfunded Mandates 

Reform Act of 1995 (2 U.S.C. 1531– 

1538) (UMRA) establishes requirements 

for Federal agencies to assess the effects 

of their regulatory actions on state, 

local, and tribal governments, and on 

the private sector. This proposed rule 

would not impose any Federal mandates 

on any state, local, or tribal 

governments, or on the private sector, 

within the meaning of the UMRA. 

Catalog of Federal Domestic Assistance 

The Catalog of Federal Domestic 

Assistance number for Mortgage 

Insurance-Homes is 14.117. 

List of Subjects in 24 CFR Part 203 

Hawaiian natives, Home 

improvement, Indians—lands, Loan 

programs—housing and community 

development, Mortgage insurance, 

Reporting and recordkeeping 

requirements, Solar energy. 

Accordingly, for the reasons 

discussed in this preamble, HUD 

proposes to amend 24 CFR part 203 as 

follows: 

PART 203—SINGLE FAMILY 

MORTGAGE INSURANCE 

■ 1. The authority citation for 24 CFR 

part 203 continues to read as follows: 

Authority: 12 U.S.C. 1709, 1710, 1715b, 

1715z–16, 1715u, and 1717z–21; 42 U.S.C. 

3535(d). 

■ 2. Revise the third sentence of 

paragraph (d)(2) and paragraph (h) to 

read as follows: 

§ 203.49 Eligibility of adjustable rate 

mortgages. 

* * * * * 

(d) * * * 

(2) * * * The current index figure 

shall be the most recent index figure 

available 30 days before the date of each 

interest rate adjustment, except that for 

forward mortgages originated on or after 

[effective date of final rule to be inserted 

at final rule stage], 30 days shall mean 

45 days. 

* * * * * 

(h) Disclosures. The mortgagee of an 

adjustable rate mortgage shall provide 

mortgagors with the disclosures in the 

timing, content, and format required by 

the regulations implementing the Truth 

in Lending Act (15 U.S.C. 1601 et seq.) 

at 12 CFR 1026.20(c) and (d). 

* * * * * 

Dated: April 17, 2014. 

Carol J. Galante, 

Assistant Secretary for Housing—Federal 

Housing Commissioner. 

[FR Doc. 2014–10572 Filed 5–7–14; 8:45 am] 

BILLING CODE 4210–67–P 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

32 CFR Part 197 

[Docket ID: DOD–2013–OS–0108] 

RIN 0790–AJ07 

Historical Research in the Files of the 

Office of the Secretary of Defense 

(OSD) 

AGENCY: Department of Defense. 

ACTION: Proposed rule. 

SUMMARY: This proposed rule updates 

and clarifies procedures regarding the 

review and accessibility to records and 

information in the custody of the 

Secretary of Defense and the OSD 

Components. The purpose of this rule is 

to provide such guidance to former 

Cabinet level officials and former 

Presidential appointees (FPAs), 

including their personnel, aides, and 

official researchers. 

This rule is part of DoD’s 

retrospective plan, completed in August 

2011, under Executive Order 13563, 

‘‘Improving Regulation and Regulatory 

Review.’’ DoD’s full plan and updates 

can be accessed at: http://

exchange.regulations.gov/exchange/

topic/eo-13563. 

DATES: Comments must be received by 

July 7, 2014. 

ADDRESSES: You may submit comments, 

identified by docket number and/or 

Regulatory Information Number (RIN) 

and title, by any of the following 

methods: 

• Federal Rulemaking Portal: http://

www.regulations.gov. Follow the 

instructions for submitting comments. 

• Mail: Federal Docket Management 

System Office, 4800 Mark Center Drive, 

East Tower, Suite 02G09, Alexandria, 

VA 22350–3100. 

Instructions: All submissions received 

must include the agency name and 

docket number or RIN for this Federal 

Register document. The general policy 

for comments and other submissions 

from members of the public is to make 

these submissions available for public 

viewing on the Internet at http://

www.regulations.gov as they are 

received without change, including any 

personal identifiers or contact 

information. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Ronald R. McCully, 571–372–0473. 

SUPPLEMENTARY INFORMATION: 

Executive Summary 

I. Purpose of the Regulatory Action 

a. The Office of the Secretary of 

Defense (OSD) is issuing a proposed 

rule that would update Part 197 of Title 

32, Code of Federal Regulations. This 

proposed rule updates and clarifies 

procedures regarding the review and 

accessibility to records and information 

in the custody of the Secretary of 

Defense and the OSD Components. The 

purpose of this rule is to provide such 

guidance to former Cabinet level 

officials and former Presidential 

appointees (FPAs), including their 

personnel, aides, and official 

researchers. 

b. In accordance with Title 5 of the 

United States Code, ‘‘Government 

Organization and Employees,’’ this rule 

updates procedures for the programs 

that permit authorized personnel to 

perform historical research in records 

created by or in the custody of Office of 

the Secretary of Defense and its 

components consistent with federal 

regulations. 

II. Summary of the Major Provisions of 

the Regulatory Action in Question 

This proposed rule updates and 

clarifies procedures regarding the 

review and accessibility to records and 

information in the custody of the 

Secretary of Defense and the OSD 

Components. The purpose of this rule is 

to provide such guidance to former 

Cabinet level officials and former 

Presidential appointees (FPAs), 

including their personnel, aides, and 

official researchers. 

1. Explanation of FOIA Exemptions and 

Classification Categories 

Explanation of restrictions applicable 

to the public’s request for information 

within OSD files. 

2. Responsibilities 

Outlines the responsibilities of 

Director of Administration and 

Management (D&AM); OSD Records 

Administrator, and the OSD 

Components. 


tkelley on DSK3SPTVN1PROD with PROPOSALS
26382 Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 

3. Procedures for Historical Researchers 

Permanently Assigned Within the 

Executive Branch Working on Official 

Projects 

Updates and outlines procedures for 

access to information held within OSD 

files for historical research. 

4. Procedures for the Department of 

State (DoS) Foreign Relations of the 

United States (FRUS) Series 

Updates and outlines for official 

researchers of the DOS to access 

information within OSD Files. 

5. Procedures for Historical Researchers 

Not Permanently Assigned to the 

Executive Branch 

Updates and outlines procedures for 

Non DoD and executive branch 

personnel to access information within 

OSD files for historical research. 

6. Procedures for Document Review for 

the FRUS Series 

Updates and outlines procedures for 

reviewing FRUS information within 

OSD files for historical research. 

7. Procedures for Copying Documents 

Updates and outlines procedures for 

copying information within OSD files 

for historical research. 

8. General Guidelines for Researching 

OSD Records 

Updates and outlines procedures for 

researching information within OSD 

files for historical research. 

9. General Guidelines for Researching 

OSD Records 

Updates and outlines guidelines 

applicable to researchers while 

reviewing OSD files. 

III. Costs and Benefits 

Annual yearly cost vary and are 

dependent on the number of researchers 

requesting access to DoD owned 

information, the volume of information 

requiring review and/or declassification 

and other operational constraints within 

a given FY. 

Cost: Cost estimates use actual data 

for 2012 per hour. Cost is aggregated 

based on average rank (military), grade 

(civilian) and time in service for 

personnel qualified for oversight of 

researchers within the WashingtonBaltimore-Northern Virginia, DC-MDVA-WV-PA area. 

Military = Rank 05 with 10+ years of 

time in service. 

Civilian = Grade GS–13, Step 5+ with 

minimum 5 years of time in service. 

Military = $39.77 per hour. 

Civilian = $48.51 per hour. 

Benefit: This allows the government 

to assert positive control over access to 

classified and unclassified information 

requested for research purposes. DoD 

information intended for public release 

that pertains to military matters, 

national security issues, or subjects of 

significant concern to the DoD shall be 

reviewed for clearance prior to release. 

Regulatory Procedures 

Executive Order 12866, ‘‘Regulatory 

Planning and Review’’ and Executive 

Order 13563, ‘‘Improving Regulation 

and Regulatory Review’’ 

Executive Orders 13563 and 12866 

direct agencies to assess all costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distribute impacts, and equity). 

Executive Order 13563 emphasizes the 

importance of quantifying both costs 

and benefits, of reducing costs, of 

harmonizing rules, and of promoting 

flexibility. This rule has been 

designated a ‘‘significant regulatory 

action,’’ although not economically 

significant, under section 3(f) of 

Executive Order 12866. Accordingly, 

the rule has been reviewed by the Office 

of Management and Budget (OMB). 

Unfunded Mandates Reform Act (Sec. 

202, Pub. L. 104–4) 

This rule does not contain a Federal 

mandate that may result in the 

expenditure by State, local and tribal 

governments, in aggregate, or by the 

private sector, of $100 million or more 

in any one year. 

Public Law 96–354, ‘‘Regulatory 

Flexibility Act’’ (5 U.S.C. 601) 

This rule is not subject to the 

Regulatory Flexibility Act (5 U.S.C. 601) 

because it would not, if promulgated, 

have a significant economic impact on 

a substantial number of small entities. 

Public Law 96–511, ‘‘Paperwork 

Reduction Act’’ (44 U.S.C. Chapter 35) 

This rule does not impose reporting or 

recordkeeping requirements under the 

Paperwork Reduction Act of 1995. 

Executive Order 13132, ‘‘Federalism’’ 

This rule does not have federalism 

implications, as set forth in Executive 

Order 13132. This rule does not have 

substantial direct effects on: 

(1) The States; 

(2) The relationship between the 

National Government and the States; or 

(3) The distribution of power and 

responsibilities among the various 

levels of Government. 

List of Subjects in 32 CFR Part 197 

Historical records, Research. 

■ Accordingly, 32 CFR part 197 is 

proposed to be revised to read as 

follows: 

PART 197—HISTORICAL RESEARCH 

IN THE FILES OF THE OFFICE OF THE 

SECRETARY OF DEFENSE (OSD) 

Sec. 

197.1 Purpose. 

197.2 Applicability. 

197.3 Definitions. 

197.4 Policy. 

197.5 Responsibilities. 

197.6 Procedures. 

Appendix A to Part 197 

Authority: 5 U.S.C. 301, Executive Order 

13526, 5 U.S.C. 552b, and Pub. L. 102–138. 

§ 197.1 Purpose. 

(a) This part, in accordance with the 

authority in DoD Directive 5110.4, 

‘‘Washington Headquarters Services’’ 

(available at http://www.dtic.mil/whs/

directives/corres/pdf/511004p.pdf), 

implements policy and updates 

procedures for the programs that permit 

authorized personnel to perform 

historical research in records created by 

or in the custody of Office of the 

Secretary of Defense (OSD) consistent 

with Executive Order 13526; DoD 

Manual 5230.30, ‘‘DoD Mandatory 

Declassification Review (MDR) 

Program’’ (available at http://

www.dtic.mil/whs/directives/corres/pdf/

523030m.pdf); 32 CFR part 286; 32 CFR 

part 310; DoD Manual 5200.01, ‘‘DoD 

Information Security Program’’ Volumes 

1–4 (available at http://www.dtic.mil/

whs/directives/corres/pdf/520001_

vol1.pdf, http://www.dtic.mil/whs/

directives/corres/pdf/520001_vol2.pdf, 

http://www.dtic.mil/whs/directives/

corres/pdf/520001_vol3.pdf, and http://

www.dtic.mil/whs/directives/corres/pdf/

520001_vol4.pdf); 36 CFR 1230.10 and 

36 CFR part 1236; DoD Directive 

5230.09, ‘‘Clearance of DoD Information 

for Public Release’’ (available at http:// 

www.dtic.mil/whs/directives/corres/pdf/

523009p.pdf); and 32 CFR 197.5. 

(b) Reserved. 

§ 197.2 Applicability. 

This part applies to: 

(a) The Office of the Secretary of 

Defense, the Defense Agencies, and the 

DoD Field Activities in the National 

Capital Region that are serviced by 

Washington Headquarters Services 

(WHS) (referred to collectively in this 

part as the ‘‘WHS-Serviced 

Components’’). 

(b) All historical researchers as 

defined in § 197.3. 

(c) Cabinet Level Officials, Former 

Presidential Appointees (FPAs) to 


tkelley on DSK3SPTVN1PROD with PROPOSALS
Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 26383 

include their personnel, aides and 

researchers, seeking access to records 

containing information they originated, 

reviewed, signed, or received while 

serving in an official capacity. 

§ 197.3 Definitions. 

The following definitions shall apply 

to this part: 

Access. The availability of or the 

permission to consult records, archives, 

or manuscripts. The ability and 

opportunity to obtain classified, 

unclassified, or administratively 

controlled information or records. 

Electronic records. Records stored in 

a form that only a computer can process 

and satisfies the definition of a federal 

record, also referred to as machinereadable records or automatic data 

processing records (including email). 

Historical researcher or requestor. A 

person approved to conduct research in 

OSD files for historical information to 

use in a DoD approved project (e.g., 

agency historical office projects, books, 

articles, studies, or reports), regardless 

of the person’s employment status. 

Excluded are Military personnel 

assigned to OSD; OSD employees, 

contractors, and students conducting 

research in response to academic 

requirements. 

Records (also referred to as federal 

records or official records). All books, 

papers, maps, photographs, machinereadable materials, or other 

documentary materials, regardless of 

physical form or characteristics, made 

or received by an agency of the U.S. 

Government under federal law or in 

connection with the transaction of 

public business and preserved or 

appropriate for preservation by that 

agency or its legitimate successor as 

evidence of the organization, functions, 

policies, decisions, procedures, 

operations, or other activities of the U.S. 

Government or because of the 

informational value of data in them. 

§ 197.4 Policy. 

(a) Pursuant to Executive Order 

13526, anyone requesting access to 

classified material must possess the 

requisite security clearance. 

(b) Members of the public seeking the 

declassification of DoD documents 

under the provisions of section 3.5 of 

Executive Order 13526 will contact the 

appropriate OSD Component as listed in 

DoD Manual 5230.30. 

(c) Records and information requested 

by FPA and approved historical 

researchers will be accessed at a facility 

under the control of the National 

Archives and Records Administration 

(NARA), NARA’s Archives II in College 

Park, Maryland, a Presidential library, 

or an appropriate U.S. military facility 

or a DoD activity. 

(d) Access to records and information 

will be limited to the specific records 

within the scope of the proposed 

research request over which OSD has 

authority and to any other records for 

which the written consent of other 

agencies with authority has been 

granted. 

(e) Access to unclassified OSD 

Component records and information 

will be permitted consistent with the 

restrictions of the exemptions of 5 

U.S.C. 552(b) (also known and referred 

to in this part as the ‘‘Freedom of 

Information Act’’ (FOIA)), 32 CFR part 

286, Appendix A of this part, and 

consistent with 32 CFR part 310. The 

procedures for access to classified 

information will be used if the 

requested unclassified information is 

contained in OSD files whose overall 

markings are classified. 

(f) Except as otherwise provided in 

DoD Manual 5200.01 volume 3, no 

person may have access to classified 

information unless that person has been 

determined to be trustworthy and access 

is essential to the accomplishment of a 

lawful and authorized purpose. 

(g) Persons outside the Executive 

Branch who are engaged in approved 

historical research projects may be 

granted access to classified information, 

consistent with the provisions of 

Executive Order 13526 and DoD Manual 

5200.01 volume 1 provided that the 

OSD official with classification 

jurisdiction over that information grants 

access. 

(h) Contractors working for Executive 

Branch agencies may be allowed access 

to classified OSD Component files 

provided the contractors meet all the 

required criteria for such access as an 

historical researcher including the 

appropriate level of personnel security 

clearance set forth in paragraphs (a) and 

(i) of this section. No copies of OSD 

records and information may be 

released directly to the contractors. The 

Washington Headquarters Services 

Records and Declassification Division 

(WHS/RDD) will be responsible for 

ensuring that the contractor safeguards 

the documents and the information is 

only used for the project for which it 

was requested. 

(i) All DoD-employed requesters, to 

include DoD contractors, must have 

critical nuclear weapons design 

information (CNWDI) to access CNWDI 

information. All other non DoD and 

non-Executive Branch personnel must 

have a Department of Energy-issued ‘‘Q’’ 

clearance to access CNWDI information. 

(j) The removal of federal records and 

information from OSD custody is not 

authorized; this includes copies and 

email according to 36 CFR 1230.10. 

Copies of records and information that 

are national security classified will 

remain under the control of the agency. 

(k) Access for FPAs is limited to 

records they originated, reviewed, 

signed, or received while serving as 

Presidential appointees, unless there is 

another basis for providing access. 

(l) Authorization is required from all 

agencies whose classified information 

is, or is expected to be, in the requested 

files prior to granting approval for 

access. Separate authorizations for 

access to records and information 

maintained in OSD Component office 

files or at the federal records centers 

will not be required. 

§ 197.5 Responsibilities. 

(a) The Director of Administration 

and Management (DA&M), or designee, 

is the approval authority for access to 

DoD information in OSD Component 

files and in files at the National 

Archives, Presidential libraries, and 

other similar institutions in accordance 

with DoD Directive 5110.4 and DoD 

Manual 5230.30. 

(b) Under the authority, direction, and 

control of the DA&M, the OSD Records 

Administrator: 

(1) Exercises approval authority for 

research access to OSD and WHS 

Serviced Components records, 

information, and the Historical Research 

Program. 

(2) Maintains records necessary to 

process and monitor each case. 

(3) Obtains all required 

authorizations. 

(4) Obtains, when warranted, the legal 

opinion of the General Counsel of the 

Department of Defense regarding the 

requested access. 

(5) Coordinates, with the originator, 

on the public release review on 

documents selected by the researchers 

for use in unclassified projects in 

accordance with DoD Directive 5230.09 

and DoD Instruction 5230.29, ‘‘Security 

and Policy Review of DoD Information 

for Public Release’’ (available at http:// 

www.dtic.mil/whs/directives/corres/pdf/

523029p.pdf). 

(6) Coordinates requests with the OSD 

Historian. 

(7) Provides prospective researchers 

the procedures necessary for requesting 

access to OSD Component files. 

(c) The WHS-serviced Components 

heads, when requested: 

(1) Determine whether access is for a 

lawful and authorized government 

purpose or in the interest of national 

security. 

(2) Determine whether the specific 

records requested are within the scope 

of the proposed historical research. 


tkelley on DSK3SPTVN1PROD with PROPOSALS
26384 Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 

(3) Determine the location of the 

requested records. 

(4) Provide a point of contact to the 

OSD Records Administrator. 

§ 197.6 Procedures. 

(a) Procedures for Historical 

Researchers Permanently Assigned 

Within the Executive Branch Working 

on Official Projects. (1) In accordance 

with 32 CFR 197.5, the WHS-serviced 

Components heads, when requested, 

will: 

(i) Make a written determination that 

the requested access is essential to the 

accomplishment of a lawful and 

authorized U.S. Government purpose, 

stating whether the requested records 

can be made available. If disapproved, 

cite specific reasons. 

(ii) Provide the location of the 

requested records, including accession 

and box numbers if the material has 

been retired to the Washington National 

Records Center (WNRC). 

(iii) Provide a point of contact for 

liaison with the OSD Records 

Administrator if any requested records 

are located in OSD Component working 

files. 

(2) The historical researcher or 

requestor will: 

(i) Submit a request for access to OSD 

files to: OSD Records Administrator, 

WHS/Records and Declassification 

Division, 4800 Mark Center Drive, Suite 

02F09–02, Alexandria, VA 22350–3100. 

(ii) All requests must be signed by an 

appropriate official and must contain: 

(A) The name(s) of the researcher(s) 

and any assistant(s), level of security 

clearance, and the federal agency, 

institute, or company to which the 

researcher is assigned. 

(B) A statement on the purpose of the 

project, including whether the final 

product is to be classified or 

unclassified. 

(C) An explicit description of the 

information being requested and, if 

known, the originating office, so that the 

identification and location of the 

information may be facilitated. 

(D) Appropriate higher authorization 

of the request. 

(E) Ensure researcher’s security 

manager or personnel security office 

verifies his or her security clearances in 

writing to the OSD Records 

Administrator’s Security Manager. 

(iii) Maintain the file integrity of the 

records being reviewed, ensuring that 

no records are removed and that all 

folders are replaced in the correct box 

in their proper order. 

(iv) Make copies of any documents 

pertinent to the project, ensuring that 

staples are carefully removed and that 

the documents are re-stapled before they 

are replaced in the folder. 

(v) Submit the completed manuscript 

for review prior to public presentation 

or publication to: WHS/Chief, Security 

Review Division, Office of Security 

Review, 1155 Defense Pentagon, 

Washington, DC 20301–1155. 

(vi) If the requester is an official 

historian of a federal agency requiring 

access to DoD records at the National 

Archives facilities or a Presidential 

library, the requested must be addressed 

directly to the pertinent facility with an 

information copy sent to the OSD 

Records Administrator. The historian’s 

security clearances must be verified to 

the National Archives or the 

Presidential library. 

(3) The use of computers, laptops, 

computer tablets, personal digital 

assistants, recorders, or similar devices 

listed in § 197.6(f) of this part is 

prohibited. Researchers will use lettersized paper (approximately 81⁄2 by 11 

inches), writing on only one side of the 

page. Each page of notes must pertain to 

only one document. 

(4) The following applies to all notes 

taken during research: 

(i) All notes are considered classified 

at the level of the document from which 

they were taken. 

(ii) Indicate at the top of each page of 

notes the document: 

(A) Originator. 

(B) Date. 

(C) Subject (if the subject is classified, 

indicate the classification). 

(D) Folder number or other 

identification. 

(E) Accession number and box 

number in which the document was 

found. 

(F) Security classification of the 

document. 

(iii) Number each page of notes 

consecutively. 

(iv) Leave the last 11⁄2 inches on the 

bottom of each page of notes blank for 

use by the reviewing agencies. 

(v) Ensure the notes are legible, in 

English, and in black ink. 

(vi) All notes must be given to the 

staff at the end of each day. The facility 

staff will forward the notes to the OSD 

Records Administrator for an official 

review and release to the researcher. 

(5) The OSD Records Administrator 

will: 

(i) Process all requests from Executive 

Branch employees requesting access to 

OSD Component files for official 

projects. 

(ii) Determine which OSD Component 

originated the requested records and, if 

necessary, request an access 

determination from the OSD Component 

and the location of the requested 

records, including but not limited to 

electronic information systems, 

databases or accession number and box 

numbers if the hardcopy records have 

been retired offsite. 

(iii) Request authorization for access 

from other OSD Component as 

necessary. 

(A) Official historians employed by 

federal agencies may have access to the 

classified information of any other 

agency found in DoD files, as long as 

authorization for access has been 

obtained from these agencies. 

(B) If the requester is not an official 

historian, authorization for access must 

be obtained from the Central 

Intelligence Agency (CIA), National 

Security Council (NSC), Department of 

State (DOS), and any other non-DoD 

agency whose classified information is 

expected to be found in the files to be 

accessed. 

(iv) Make a written determination as 

to the researcher’s trustworthiness based 

on the researcher having been issued a 

security clearance. 

(v) Compile all information on the 

request for access to classified 

information, to include evidence of an 

appropriately issued personnel security 

clearance, and forward the information 

to the DA&M, OSD Component or 

designee, who will make the access 

determination. 

(vi) Notify the researcher of the 

authorization and conditions for access 

to the requested records or of the denial 

of access and the reason(s). 

(vii) Ensure that all conditions for 

access and release of information for use 

in the project are met. 

(viii) Make all necessary arrangements 

for the researcher to visit the review 

location and review the requested 

records. 

(ix) Provide all requested records and 

information under OSD control in 

electronic formats consistent with 36 

CFR part 1236. For all other 

information, a staff member will be 

assigned to supervise the researcher’s 

copying of pertinent documents at the 

assigned facility. 

(x) If the records are maintained in the 

OSD Component’s working files, arrange 

for the material to be converted to 

electronic format for the researchers to 

review. 

(xi) Notify the National Archives, 

Presidential library, or military facility 

of the authorization and access 

conditions of all researchers approved 

to research OSD records held in those 

facilities. 

(b) Procedures for the DOS Foreign 

Relations of the United States (FRUS) 

series. (1) The DOS historians will: 

(i) Submit requests for access to OSD 

files. The request should list the names 

and security clearances for the 


tkelley on DSK3SPTVN1PROD with PROPOSALS
Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 26385 

historians doing the research and an 

explicit description, including the 

accession and box numbers, of the files 

being requested. Submit request to: OSD 

Records Administrator, WHS/Records 

and Declassification Division, 4800 

Mark Center Dr., Suite 02F09–02, 

Alexandria, VA 22380–2100. 

(ii) Submit to the OSD Records 

Administrator requests for access for 

members of the Advisory Committee on 

Historical Diplomatic Documentation to 

documents copied by the DOS 

historians for the series or the files 

reviewed to obtain the documents. 

(iii) Request that the DOS Diplomatic 

Security staff verify all security 

clearances in writing to the OSD 

Records Administrator’s Security 

Manager. 

(iv) Give all document copies to the 

OSD Records Administrator staff 

member who is supervising the copying 

as they are made. 

(v) Submit any OSD documents 

desired for use or pages of the 

manuscript containing OSD classified 

information for declassification review 

prior to publication to the Chief, 

Security Review Division at: WHS/

Chief, Security Review Division, Office 

of Security Review, 1155 Defense 

Pentagon, Washington, DC 20301–1155. 

(2) The OSD Records Administrator 

will: 

(i) Determine the location of the 

records being requested by the DOS for 

the FRUS series according to Title IV of 

Public Law 102–138, ‘‘The Foreign 

Relations of the United States Historical 

Series.’’ 

(ii) Act as a liaison with the CIA, NSC, 

and any other non-OSD agency for 

access by DOS historians to records and 

information and such non-DoD agency 

classified information expected to be 

interfiled with the requested OSD 

records. 

(iii) Obtain written verification from 

the DOS Diplomatic Security staff of all 

security clearances, including ‘‘Q’’ 

clearances. 

(iv) Make all necessary arrangements 

for the DOS historians to access, review, 

and copy documents selected for use in 

their research in accordance with 

procedures in accordance with 

§ 197.6(a) of this part. 

(v) Provide a staff member to 

supervise document copying in 

accordance with the guidance provided 

in § 197.6(d) of this part. 

(vi) Compile a list of the documents 

that were copied by the DOS historians. 

(vii) Scan and transfer copies to DOS 

in NARA an approved electronic format. 

(viii) Submit to the respective agency 

a list of CIA and NSC documents copied 

and released to the DOS historians. 

(ix) Process DOS Historian Office 

requests for members of the Advisory 

Committee on Historical Diplomatic 

Documentation with appropriate 

security clearances to have access to 

documents copied and used by the DOS 

historians to compile the FRUS series 

volumes or to the files that were 

reviewed to obtain the copied 

documents. Make all necessary 

arrangements for the Advisory 

Committee to review any documents 

that are at the WNRC. 

(c) Procedures for Historical 

Researchers not Permanently Assigned 

to the Executive Branch. 

(1) The WHS-serviced Components 

heads, when required, will: 

(i) Recommend to the DA&M, or his 

or her designee, approval or disapproval 

of requests to access OSD information. 

State whether access to, release, and 

clearance of the requested information 

is in the interest of national security and 

whether the information can be made 

available. If disapproval is 

recommended, specific reasons should 

be cited. 

(ii) Provide the location of the 

requested information, including but 

not limited to the office, component, 

information system or accession and 

box numbers for any records that have 

been retired to the WNRC. 

(iii) Provide a point of contact for 

liaison with the OSD Records 

Administrator if any requested records 

are located in OSD Component working 

files. 

(2) The OSD Records Administrator 

will: 

(i) Process all requests from nonExecutive Branch researchers for access 

to OSD or WHS-serviced Components 

files. Certify via the WHS Security 

Officer that the requester has the 

appropriate clearances. 

(ii) Determine which OSD Component 

originated the requested records and, as 

necessary, obtain written 

recommendations for the research to 

review the classified information. 

(iii) Obtain prior authorization to 

review their classified information from 

the DOS, CIA, NSC, and any other 

agency whose classified information is 

expected to be interfiled with OSD 

records. 

(iv) Obtain agreement from the 

researcher(s) and any assistant(s) that 

they will comply with conditions 

governing access to the classified 

information (see Figure 1). 

BILLING CODE 5001–06–P 


tkelley on DSK3SPTVN1PROD with PROPOSALS
26386 Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 


tkelley on DSK3SPTVN1PROD with PROPOSALSEP08MY14.002</GPH>
Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 26387 


tkelley on DSK3SPTVN1PROD with PROPOSALSEP08MY14.003</GPH>
26388 Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 

BILLING CODE 5001–06–C (v) If the requester is an FPA, submit 

a memorandum after completion of the 

actions described in this section to 

WHS, Human Resources Directorate, 


tkelley on DSK3SPTVN1PROD with PROPOSALSEP08MY14.004</GPH>
Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 26389 

Security Operations Division, requesting 

the issuance (including an interim) or 

reinstatement of an inactive security 

clearance for the FPA and any assistant 

and a copy of any signed form letters. 

The Security Division will contact the 

researcher(s) and any assistant(s) to 

obtain the forms required to reinstate or 

initiate the personnel security 

investigation to obtain a security 

clearance. Upon completion of the 

adjudication process, notify the OSD 

Records Administrator in writing of the 

reinstatement, issuance, or denial of a 

security clearance. 

(vi) Make a written determination as 

to the researcher’s trustworthiness based 

on his or her having been issued a 

security clearance. 

(vii) Compile all information on the 

request for access to classified 

information, to include either evidence 

of an appropriately issued or reinstated 

personnel security clearance. Forward 

the information to the DA&M or 

designee, who will make the final 

determination on the applicant’s 

eligibility for access to classified OSD or 

WHS-serviced Component files. If the 

determination is favorable, the DA&M or 

designee will then execute an 

authorization for access, which will be 

valid for not more than 2 years. 

(viii) Notify the researcher of the 

approval or disapproval of the request. 

If the request has been approved, the 

notification will identify the files 

authorized for review and specify that 

the authorization: 

(A) Is approved for a predetermined 

time period. 

(B) Is limited to the designated files. 

(C) Does not include access to records 

and/or information of other federal 

agencies, unless such access has been 

specifically authorized by those 

agencies. 

(ix) Make all necessary arrangements 

for the researcher to visit the WNRC and 

review any requested records that have 

been retired there, to include written 

authorization, conditions for the access, 

and a copy of the security clearance 

verification. 

(x) If the requested records are at the 

WNRC, make all necessary 

arrangements for the scanning of 

documents. 

(xi) If the requested records are 

maintained in OSD or WHS-serviced 

Component working files, make 

arrangements for the researcher to 

review the requested information and, if 

authorized, copy pertinent documents 

in the OSD or WHS-serviced 

Component’s office. Provide the OSD 

Component with a copy of the written 

authorization and conditions under 

which the access is permitted. 

(xii) Compile a list of all the 

documents requested by the researcher. 

(xiii) Coordinate the official review on 

all notes taken and documents copied 

by the researcher. 

(xiv) If the classified information to be 

reviewed is on file at the National 

Archives, a Presidential library, or other 

facility, notify the pertinent facility in 

writing of the authorization and 

conditions for access. 

(3) The researcher will: 

(i) Submit a request for access to OSD 

Component files to OSD Records 

Administrator, WHS/Records and 

Declassification Division, 4800 Mark 

Center Drive, Suite 02F09–02, 

Alexandria VA 22350–3100. The request 

must contain: 

(A) As explicit a description as 

possible of the information being 

requested so that identification and 

location of the information may be 

facilitated. 

(B) A statement as to how the 

information will be used, including 

whether the final project is to be 

classified or unclassified. 

(C) A statement as to whether the 

researcher has a security clearance, 

including the level of clearance and the 

name of the issuing agency. 

(D) The names of any persons who 

will be assisting the researcher with the 

project. If the assistants have security 

clearances, provide the level of 

clearance and the name of the issuing 

agency. 

(E) A signed copy of their agreement 

(see Figure) to safeguard the information 

and to authorize a review of any notes 

and manuscript for a determination that 

they contain no classified information. 

Each project assistant must also sign a 

copy of the letter. 

(F) The forms necessary to obtain a 

security clearance, if the requester is an 

FPA without an active security 

clearance. Each project assistant without 

an active security clearance will also 

need to complete these forms. If the FPA 

or assistant have current security 

clearances, their personnel security 

office must provide verification in 

writing to the OSD Records 

Administrator’s Security Manager. 

(ii) Maintain the integrity of the files 

being reviewed, ensuring that no 

records are removed and that all folders 

are replaced in the correct box in their 

proper order. 

(iii) If copies are authorized, give all 

copies to the custodian of the files at the 

end of each day. The custodian will 

forward the copies of the documents to 

the OSD Records Administrator for a 

declassification review and release to 

the requester. 

(A) For records at the WNRC, if 

authorized, provide the requested 

information in an electronic format. 

Review will occur only in the presence 

of an OSD Records Administrator staff 

member. 

(B) Ensure that all staples are 

carefully removed and that the 

documents are re-stapled before the 

documents are replaced in the folder. 

(C) Submit all classified and 

unclassified notes made from the 

records to the custodian of the files at 

the end of each day of research. The 

custodian will transmit the notes to the 

OSD Records Administrator for an 

official review and release to the 

researcher at the completion of 

researcher’s project. 

(D) Submit the final manuscript to the 

OSD Records Administrator for 

forwarding to the Chief, Security 

Review Division, Office of Security 

Review, for a security review and public 

release clearance in accordance with 

DoD Directive 5230.09 and DoD 

5220.22–M, ‘‘National Industrial 

Security Program Operating Manual 

(NISPOM)’’ (available at http://

www.dtic.mil/whs/directives/corres/pdf/

522022m.pdf) prior to publication, 

presentation, or any other public use. 

(d) Procedures for Document Review 

for the FRUS Series. (1) When 

documents are being reviewed, a WHS/ 

RDD staff member must be present at all 

times. 

(2) The records maybe reviewed at a 

Presidential library, Archives II, College 

Park Maryland, WNRC, Suitland, 

Maryland, or an appropriate military 

facility. All requested information will 

remain under the control of the WHS/ 

RDD staff until a public release review 

is completed, and then provided in 

electronic formats. 

(3) If the requested records have been 

reviewed in accordance with the 

automatic declassification provisions of 

Executive Order 13526, any tabs 

removed during the research and 

copying must be replaced in accordance 

with DoD Manual 5200.01 volume 2. 

(4) The number of boxes to be 

reviewed will determine which of the 

following procedures will apply. The 

WHS/RDD staff member will make that 

determination at the time the request is 

processed. When the historian 

completes the review of the boxes, he or 

she must contact the WHS/RDD to 

establish a final schedule for scanning 

the documents. To avoid a possible 

delay, a tentative schedule will be 

established at the time that the review 

schedule is set. 

(i) For 24 boxes or fewer, review and 

scanning will take place 


tkelley on DSK3SPTVN1PROD with PROPOSALS
26390 Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 

simultaneously. Estimated time to 

complete scanning is 7 work days. 

(ii) For 25 boxes or more, the historian 

will review the boxes and mark the 

documents that are to be scanned using 

WHS/RDD authorized reproduction 

tabs. 

(iii) If the review occurs at facilities 

that OSD does not control ownership of 

the document, the documents must be 

given to the WHS/RDD staff member for 

transmittal for processing. 

(5) WHS/RDD will notify the historian 

when the documents are ready to be 

picked up. All administrative 

procedures for classified material 

transfers will be followed in accordance 

with DoD Manual 5200.01 volume 1 and 

DoD 5220.22–M and appropriate receipt 

for unclassified information will be 

used. 

(e) Procedures for Copying 

Documents. (1) The records will be 

reviewed and copied at a Presidential 

library, Archives II, College Park 

Maryland, WNRC, Suitland, Maryland, 

or an appropriate U.S. military facility. 

(2) If the requested records have been 

reviewed in accordance with the 

automatic declassification provisions of 

Executive Order 13526 any tabs 

removed during the research and 

copying must be replaced in accordance 

with DoD Manual 5200.01 volume 2. 

(3) The researcher will mark the 

documents that he or she wants to copy 

using WHS/RDD authorized 

reproduction tabs. 

(4) Any notes taken during the review 

process must be given to the WHS/RDD 

staff member present for transmittal to 

the WHS/RDD. 

(5) All reproduction charges are to the 

responsibility of the researcher. 

(6) All documents requested will be 

copied to an approved electronic format 

by WHS/RDD staff after official review. 

(i) The researcher will need to bring 

paper, staples, staple remover, and 

stapler. 

(ii) When the researcher completes 

the review of the boxes, he or she must 

contact the WHS/RDD to establish a 

final schedule for scanning the 

requested documents. 

(iii) When the documents are 

scanned, the WHS/RDD will notify the 

researcher. 

(iv) All questions pertaining to the 

review, copying, or transmittal of OSD 

documents must be addressed to the 

WHS/RDD staff member. 

(f) General Guidelines for Researching 

DoD Records. 

DoD records and information are 

unique and often cannot be replaced 

should they be lost or damaged. In order 

to protect its collections and archives, 

the OSD Records Administrator has set 

rules that researchers must follow. 

(1) Researchers will work in room 

assigned. Researchers are not allowed in 

restricted areas. 

(2) Special care must be taken in 

handling all records. Records may not 

be leaned on, written on, folded, traced 

from, or handled in any way likely to 

damage them. 

(3) Records should be kept in the 

same order in which they are presented. 

(4) Items that may not be brought into 

these research areas include, but are not 

limited to: 

(i) Briefcases. 

(ii) Cases for equipment (laptop 

computers). 

(iii) Computers. This includes 

laptops, tablet computers, personal 

digital assistants, smart phones, and 

other similar devices. 

(iv) Cellular phones. 

(v) Computer peripherals including 

handheld document scanners and 

digital or analog cameras. 

(vi) Containers larger than 9.5′′ x 6.25′′ 

(e.g., paper bags, boxes, backpacks, 

shopping bags, and sleeping bags). 

(vii) Food, drinks (includes bottled 

water) and cigarettes, cigars, or pipes. 

(viii) Handbags or purses larger than 

9.5′′ x 6.25′′. 

(ix) Luggage. 

(x) Musical instruments and their 

cases. 

(xi) Newspapers. 

(xii) Outerwear (e.g., raincoats and 

overcoats). 

(xiii) Pets (exception for service 

animals, i.e., any guide dog or signal 

dog that is trained to provide a service 

to a person with a disability). 

(xiv) Scissors or other cutting 

implements. 

(xv) Televisions and audio or video 

equipment. 

(xvi) Umbrellas. 

(5) Eating, drinking, or smoking is 

prohibited. 

Appendix A FOIA Exemptions and 

Classification Categories 

(a) Explanation of FOIA Exemptions and 

Classification Categories. 

(1) Explanation of FOIA Exemptions. 

Exemptions and their explanations are 

provided in the Table. See chapter III of 32 

CFR part 286 for further information. 

TABLE—EXPLANATION OF FOIA EXEMPTIONS

Exemption Explanation 

(b)(1) .................. Applies to records and information currently and properly classified in the interest of national security. 

(b)(2) .................. Applies to records related solely to the internal personnel rules and practices of an agency. 

(b)(3) .................. Applies to records and information protected by another law that specifically exempts the information from public release. 

(b)(4) .................. Applies to records and information on trade secrets and commercial or financial information obtained from a private source 

which would cause substantial competitive harm to the source if disclosed. 

(b)(5) .................. Applies to records and information of internal records that are deliberative in nature and are part of the decision making process that contain opinions and recommendations. 

(b)(6) .................. Applies to records or information the release of which could reasonably be expected to constitute a clearly unwarranted invasion of the personal privacy of individuals. 

(b)(7) .................. Applies to records or information compiled for law enforcement purposes that could: (a) Reasonably be expected to interfere 

with law enforcement proceedings; (b) deprive a person of a right to a fair trial or impartial adjudication; (c) reasonably be 

expected to constitute an unwarranted invasion of the personal privacy of others; (d) disclose the identity of a confidential 

source; (e) disclose investigative techniques and procedures; or (f) reasonably be expected to endanger the life or physical 

safety of any individual. 

(b)(8) .................. Applies to records and information for the use of any agency responsible for the regulation or supervision of financial institutions. 

(b)(9) .................. Applies to records and information containing geological and geophysical information (including maps) concerning wells. 

(2) Classification Categories. Information 

will not be considered for classification 

unless its unauthorized disclosure could 

reasonably be expected to cause identifiable 

or describable damage to the national 

security in accordance with section 1.2 of 

Executive Order 13526, and it pertains to one 

or more of the following: 

(i) Military plans, weapons systems, or 

operations; 

(ii) Foreign government information; 


tkelley on DSK3SPTVN1PROD with PROPOSALS
Federal Register / Vol. 79, No. 89 / Thursday, May 8, 2014 / Proposed Rules 26391 

(iii) Intelligence activities (including covert 

action), intelligence sources or methods, or 

cryptology; 

(iv) Foreign relations or foreign activities of 

the United States, including confidential 

sources; 

(v) Scientific, technological, or economic 

matters relating to the national security; 

(vi) U.S. Government programs for 

safeguarding nuclear materials or facilities; 

(vii) Vulnerabilities or capabilities of 

systems, installations, infrastructures, 

projects, plans, or protection services relating 

to the national security; or 

(viii) The development, production, or use 

of weapons of mass destruction. 

Dated: May 1, 2014. 

Aaron Siegel, 

Alternate OSD Federal Register Liaison 

Officer, Department of Defense. 

[FR Doc. 2014–10341 Filed 5–7–14; 8:45 am] 

BILLING CODE 5001–06–P 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Parts 140, 142, and 150 

46 CFR Part 197 

[Docket No. USCG–2014–0014] 

Workplace Safety and Health for 

Merchant Mariners 

AGENCY: Coast Guard, DHS. 

ACTION: Request for comments on 

petition for rulemaking. 

SUMMARY: The Coast Guard seeks public 

comment on a petition that requests the 

Coast Guard to initiate a rulemaking to 

address mariner occupational health 

and safety. In the attachments to its 

petition, which asserts that the Coast 

Guard has failed to provide adequate 

workplace safety and health measures to 

protect limited tonnage merchant 

mariners, the National Mariner’s 

Association has identified several safety 

and occupational health issues that are 

not currently addressed under the 

jurisdiction of the Coast Guard. The 

Coast Guard will consider all comments 

received in response to this notice in 

determining whether or not to initiate 

the requested rulemaking. 

DATES: Comments and related material 

must either be submitted to our online 

docket via http://www.regulations.gov 

on or before August 6, 2014, or reach the 

Docket Management Facility by that 

date. 

ADDRESSES: You may submit comments 

identified by docket number USCG– 

2014–0014 using any one of the 

following methods: 

(1) Federal eRulemaking Portal: 

http://www.regulations.gov. 

(2) Fax: 202–493–2251. 

(3) Mail: Docket Management Facility 

(M–30), U.S. Department of 

Transportation, West Building Ground 

Floor, Room W12–140, 1200 New Jersey 

Avenue SE., Washington, DC 20590– 

0001. 

(4) Hand delivery: Same as mail 

address above, between 9 a.m. and 5 

p.m., Monday through Friday, except 

Federal holidays. The telephone number 

is 202–366–9329. 

To avoid duplication, please use only 

one of these four methods. See the 

‘‘Public Participation and Request for 

Comments’’ portion of the 

SUPPLEMENTARY INFORMATION section 

below for instructions on submitting 

comments. 

FOR FURTHER INFORMATION CONTACT: If 

you have questions on this notice, 

contact Mr. Dan Lawrence, Office of 

Vessel and Facility Operating Standards 

(CG–OES–2), U.S. Coast Guard 

Headquarters, at telephone 202–372– 

1382, or by email at james.d.lawrence@

uscg.mil. If you have questions on 

viewing or submitting material to the 

docket, call Cheryl Collins, Program 

Manager, Docket Operations, telephone 

202–366–9826. 

SUPPLEMENTARY INFORMATION: 

Public Participation and Request for 

Comments 

We encourage you to submit 

comments and related material on the 

rulemaking petition described below 

regarding workplace safety and health 

for merchant mariners. All comments 

received will be posted, without change, 

to http://www.regulations.gov and will 

include any personal information you 

have provided. 

Submitting comments: If you submit a 

comment, please include the docket 

number for this notice (USCG–2014– 

0014) and provide a reason for each 

suggestion or recommendation. You 

may submit your comments and 

material online, or by fax, mail or hand 

delivery, but please use only one of 

these means. We recommend that you 

include your name and a mailing 

address, an email address, or a 

telephone number in the body of your 

document so that we can contact you if 

we have questions regarding your 

submission. 

To submit your comment online, go to 

http://www.regulations.gov, and follow 

the instructions on that Web site. The 

following link will take you directly to 

the docket where you may submit your 

comment: http://www.regulations.gov/

#!docketDetail;D=USCG-2014-0014. If 

you submit your comments by mail or 

hand delivery, submit them in an 

unbound format, no larger than 81⁄2 by 

11 inches, suitable for copying and 

electronic filing. If you submit them by 

mail and would like to know that they 

reached the Facility, please enclose a 

stamped, self-addressed postcard or 

envelope. We will consider all 

comments and material received during 

the comment period. 

Viewing the rulemaking petition and 

comments: To view the petition and 

comments that have been submitted to 

the docket, go to http://

www.regulations.gov, and follow the 

instructions on that Web site. The 

following link will take you directly to 

the docket: http://www.regulations.gov/

#!docketDetail;D=USCG-2014-0014. If 

you do not have access to the internet, 

you may view the docket in person by 

visiting the Docket Management Facility 

in Room W12–140 on the ground floor 

of the Department of Transportation 

West Building, 1200 New Jersey Avenue 

SE., Washington, DC 20590, between 9 

a.m. and 5 p.m., Monday through 

Friday, except Federal holidays. We 

have an agreement with the Department 

of Transportation to use the Docket 

Management Facility. 

Privacy Act: Anyone can search the 

electronic form of comments received 

into any of our dockets by the name of 

the individual submitting the comment 

(or signing the comment, if submitted 

on behalf of an association, business, 

labor union, etc.). You may review a 

Privacy Act, system of records notice 

regarding our public dockets in the 

January 17, 2008, issue of the Federal 

Register (73 FR 3316). 

Description of Petition for Rulemaking 

In its Petition for Rulemaking dated 

November 12, 2013, the National 

Mariners Association (NMA) asserts that 

the Coast Guard has not provided 

adequate workplace safety and health 

measures comparable to the workplace 

safety and health measures of the 

Occupational Safety and Health 

Administration (OSHA). The NMA 

views it as the Coast Guard’s 

responsibility, under the Occupational 

Safety and Health Act of 1970, to 

provide regulations, comparable to the 

workplace safety and health regulations 

of OSHA, in order to protect the safety 

and health of merchant mariners. 

Workplace Safety and Health for 

Merchant Mariners Determination 

The NMA requests that the Coast 

Guard establish adequate workplace 

safety and health regulations, 

comparable to OSHA workplace safety 

and health regulations, in order to 


tkelley on DSK3SPTVN1PROD with PROPOSALS