8952 Federal Register / Vol. 72, No. 39 / Wednesday, February 28, 2007 / Proposed Rules 

1Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 

2Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 

3Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 

4Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

32 CFR Part 197 

[DoD–2006–OS–0023] 

RIN 0790–AI12 

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 would 

identify and update the policies and 

procedures for the programs that permit 

U.S. citizens to perform historical 

research in records created by or in the 

custody of the Office of the Secretary of 

Defense. Historical Research in the Files 

of the Office of the Secretary of Defense 

(OSD) updates the policies and 

procedures for the programs that permit 

U.S. citizens to perform historical 

research in records created by or in the 

custody of the OSD. 

DATES: Consideration will be given to all 

comments received by April 30, 2007. 

ADDRESSES: You may submit comments, 

identified by docket number and or RIN 

number and title, by any of the 

following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

• Mail: Federal Docket Management 

System Office, 1160 Defense Pentagon, 

Washington, DC 20301–1160. 

Instructions: All submissions received 

must include the agency name and 

docket number or Regulatory 

Information Number (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. 

Robert Storer, 703–696–2197. 

SUPPLEMENTARY INFORMATION: Anyone 

accessing classified material must 

possess the requisite security clearance. 

Information requested by historical 

researchers shall be accessed at a DoD 

activity or facility under the control of 

the National Archives and Records 

Administration (NARA). 

Access to records by historical 

researchers shall be limited to the 

specific records within the scope of the 

proposed historical research over which 

the Department of Defense has 

classification authority. Access shall 

also be limited to any other records for 

which the written consent of other 

Agencies that have classification 

authority over information contained in 

or revealed by the records has been 

obtained. 

Access to unclassified OSD 

Component files by historical 

researchers shall be permitted 

consistent with the restrictions of the 

exemptions of the Freedom of 

Information Act. The procedures for 

access to classified information shall be 

used if the requested unclassified 

information is contained in OSD files 

whose overall markings are classified 

Public Law 96–511, ‘‘Paperwork 

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

It has been certified that this rule does 

impose reporting or recordkeeping 

requirements under the Paperwork 

Reduction Act of 1995. 

List of Subjects in 32 CFR Part 197 

Administrative practice and 

procedure. 

Accordingly, 32 CFR Chapter 1, 

subchapter M is proposed to be 

amended by adding part 197 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 and scope. 

197.3 Definition. 

197.4 Policy. 

197.5 Responsibilities. 

197.6 Procedures. 

Appendix A to part 197—Explanation of 

Freedom of Information Act (5 U.S.C. 

552) exemptions. 

Appendix B to part 197—Procedures for 

historical researchers permanently 

assigned within the executive branch 

working on official projects. 

Appendix C to part 197—Procedures for the 

Department of State (DOS) foreign 

relations of the United States (FRUS) 

series. 

Appendix D to part 197—Procedures for 

historical researchers not permanently 

assigned to the executive branch. 

Appendix E to part 197—Form letter—

conditions governing access to official 

records for historical research purposes. 

Appendix G to part 197—Procedures for 

copying documents. 

Authority: 10 U.S.C. 301. 

§ 197.1 Purpose. 

This part identifies and updates the 

policies and procedures for the 

programs that permit U.S. citizens to 

perform historical research in records 

created by or in the custody of the OSD 

consistent with Executive Order 12958, 

DoD 5200.01–R,1 DoD 5400.07–R,2 DoD 

Directive 5400.11,3 the Interagency 

Agreement on Access for Official 

Agency Historians, and DoD Directive 

5230.09.4

§ 197.2 Applicability and scope. 

This part applies to: 

(a) The Office of the Secretary of 

Defense and organizations for which the 

Washington Headquarters Services 

provides administrative support 

(hereafter referred to collectively as the 

‘‘OSD Components’’). 

(b) All historical researchers. 

(c) Former OSD Presidential 

Appointees seeking access to records 

containing information they originated, 

reviewed, signed, or received while 

serving in an official capacity. 

§ 197.3 Definition. 

Historical researcher or researcher. A 

person desiring to conduct research in 

OSD files for historical information to 

use in any project (e.g. agency historical 

office projects, books, articles, studies, 

or reports) regardless of the person’s 

employment status. 

§ 197.4 Policy. 

It is DoD policy, pursuant to E.O. 

12958, that: 

(a) Anyone accessing classified 

material must possess the requisite 

security clearance. 

(b) Information requested by historical 

researchers shall be accessed at a DoD 

activity or facility under the control of 

the National Archives and Records 

Administration (NARA). Usually such 

access will occur at either the 

Washington National Records Center 

(WNRC) in Suitland, Maryland, or 

NARA’s Archives II in College Park, 

Maryland. 

(c) Access to records by historical 

researchers shall be limited to the 

specific records within the scope of the 

proposed historical research over which 

the Department of Defense has 

classification authority. Access shall 

also be limited to any other records for 

which the written consent of other 

Agencies that have classification 

authority over information contained in 

or revealed by the records has been 

obtained. 

(d) Access to unclassified OSD 

Component files by historical 


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researchers shall be permitted 

consistent with the restrictions of the 

exemptions of the Freedom of 

Information Act that are contained in 

E.O. 12958 and explained in the 

appendix B to this part (5 U.S.C. 552). 

The procedures for access to classified 

information shall be used if the 

requested unclassified information is 

contained in OSD files whose overall 

markings are classified. 

(e) Under E.O. 12958, or its successor, 

persons permanently assigned within 

the Executive Branch may be authorized 

access to classified information for 

official projects under DoD 

classification authority, provided such 

access is essential to the 

accomplishment of a lawful and 

authorized Government purpose and a 

written determination of the 

trustworthiness of the persons has been 

made. 

(f) Under E.O. 12958 and paragraph 

C6.2.2. of DoD 5200.01–R, persons not 

permanently assigned within the 

Executive Branch who are engaged in 

historical research projects or persons 

permanently assigned within the 

Executive Branch engaged in personal, 

i.e. unofficial projects, may be 

authorized access to classified 

information under DoD classification 

authority. The authorization shall be 

based on a written determination of the 

researcher’s trustworthiness, on the 

proposed access being in the interests of 

national security, and on the researcher 

signing a copy of the letter (appendix E 

to this part) by which he or she agrees 

to safeguard the information and to 

authorize a review of any notes and 

manuscript for a determination that they 

contain no classified information. 

(g) Access for former Presidential 

appointees is limited to records they 

originated, reviewed, signed, or received 

while serving as Presidential 

appointees. 

(h) Contractors working for Executive 

Branch Agencies may be allowed access 

to classified OSD Component files. No 

copies of still classified documents will 

be released directly to a contractor. All 

copies of classified documents needed 

for a classified project will be forwarded 

to the office of the Contracting 

Government Agency responsible for 

monitoring the project. The monitoring 

office will be responsible for ensuring 

that the contractor safeguards the 

documents. The information is only 

used for the project for which it was 

requested, and that the contractor 

returns the documents upon completion 

of the final project. All copies of 

documents needed for an unclassified 

project will undergo a mandatory 

declassification review before the copies 

are released to the contractor to use in 

the project. 

(i) The records maintained in OSD 

Component office files and at the WNRC 

cannot be segregated, requiring that 

authorization be received from all 

agencies whose classified information is 

or is expected to be in the requested 

files for access to be permitted. 

(j) All researchers must hold security 

clearances at the classification level of 

the requested information. In addition, 

all DoD employed requesters, to include 

DoD contractors, must have Critical 

Nuclear Weapons Design Information 

(CNWDI) access and all other Executive 

Branch and non-Executive Branch 

requesters must have a Department of 

Energy issued ‘‘Q’’ clearance to access 

CNWDI information. 

§ 197.5 Responsibilities. 

(a) The Director of Administration 

and Management, Office of the Secretary 

of Defense, (DA&M, OSD), or designee 

shall, according to the Deputy Secretary 

of Defense Memorandum dated August 

25, 1993, be the approval authority for 

access to DoD classified information in 

OSD Component files and in files at the 

National Archives, Presidential 

libraries, and other similar institutions. 

(b) The Heads of the OSD 

Components, when requested, shall: 

(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. 

(3) Determine the location of the 

requested records. 

(4) Provide a point of contact to the 

OSD Records Administrator. 

(c) The OSD Records Administrator 

shall: 

(1) Exercise overall management of 

the Historical Research Program. 

(2) Maintain records necessary to 

process and monitor each case. 

(3) Obtain all required authorizations. 

(4) Obtain, when warranted, the legal 

opinion of the General Counsel of the 

Department of Defense regarding the 

requested access. 

(5) Perform a mandatory 

declassification review on documents 

selected by the researchers for use in 

unclassified projects. 

(6) Provide to prospective researchers 

the procedures necessary for requesting 

access to OSD Component files. 

(d) The Researcher shall provide any 

information and complete all forms 

necessary to process a request for 

access. 

§ 197.6 Procedures. 

The procedures for processing and/or 

researching for access to OSD 

Component files are in appendices B, C, 

and D to this part. 

Appendix A to Part 197—Explanation 

of Freedom of Information Act (5 U.S.C. 

552) Exemptions 

A. Exemptions 

Exemption Explanation 

(b)(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 


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Exemption Explanation 

(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. 

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 nonsignatory 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 

81⁄2 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 11⁄2 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). 


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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. 

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. 

g. 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. 

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: 


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(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. 

Appendix E to Part 197—Form Letter—

Conditions Governing Access to Official 

Records for Historical Research 

Purposes 

Date: 

OSD Records Administrator 

1155 Defense Pentagon 

Washington, 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: 

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 PostIt 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 pickedup. 

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 


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Federal Register / Vol. 72, No. 39 / Wednesday, February 28, 2007 / Proposed Rules 8957 

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 records 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. 

Dated: February 15, 2007. 

L.M. Bynum, 

Alternate OSD Federal Register Liaison 

Officer, DoD. 

[FR Doc. E7–3021 Filed 2–27–07; 8:45 am] 

BILLING CODE 5001–06–P 

DEPARTMENT OF TRANSPORTATION 

Federal Motor Carrier Safety 

Administration 

49 CFR Parts 350, 385, 395, and 396 

[DOT Docket No. FMCSA–2004–18940] 

RIN 2126–AA89 

Electronic On-Board Recorders 

(EOBRs) for Documenting Hours of 

Service; Listening Session 

AGENCY: Federal Motor Carrier Safety 

Administration (FMCSA), DOT. 

ACTION: Notice of public listening 

session. 

SUMMARY: The FMCSA announces a 

public listening session to obtain 

feedback from interested parties on the 

Agency’s January 18, 2007, notice of 

proposed rulemaking (NPRM) to 

establish new performance standards for 

EOBRs, require the use of these devices 

by certain motor carriers, and to provide 

incentives for the voluntary use of such 

devices by the industry. The listening 

session will provide all interested 

parties with an opportunity to share 

their views on the Agency’s EOBR 

rulemaking. All oral comments will be 

transcribed and placed in the public 

docket identified at the beginning of this 

notice. 

DATES: The listening session will be 

held on March 12, 2007, from 9:30 a.m. 

to 4:30 p.m. Individuals who wish to 

make a formal presentation should 

contact Ms. Deborah Freund at 202–

366–4009 or e-mail her at 

deborah.freund@dot.gov no later than 5 

p.m., e.t., March 8, 2007. 

ADDRESSES: The meeting will be held in 

Room 2230, Nassif Building, DOT 

Headquarters, 400 Seventh Street, SW., 

Washington, DC 20590. You may also 

submit comments to the DOT Docket 

Management System (DMS), referencing 

Docket Number FMCSA–2004–18940, 

using any of the following methods: 

• Web site: http://dms.dot.gov. 

Follow the instructions for submitting 

comments on the DOT electronic docket 

site. 

• Fax: 1–202–493–2251. 

• Mail: Docket Management Facility; 

U.S. Department of Transportation, 400 

Seventh Street, SW., Nassif Building, 

Room PL–401, Washington, DC 20590–

0001. 

• Hand Delivery: Room PL–401 on 

the plaza level of the Nassif Building, 

400 Seventh Street, SW., Washington, 

DC, between 9 a.m. and 5 p.m., e.t., 

Monday through Friday, except Federal 

holidays. 

• Federal eRulemaking Portal: Go to 

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

online instructions for submitting 

comments. 

Instructions: All submissions must 

include the Agency name and docket 

number or Regulatory Identification 

Number (RIN 2126–AA89) for this 

rulemaking. Note that all comments 

received will be posted without change 

to http://dms.dot.gov including any 

personal information provided. For 

additional information on submitting 

comments, see the Supplemental 

Information section of this document. 

Docket: For access to the docket to 

read background documents or 

comments received, go to http:// 

dms.dot.gov at any time or to Room PL–

401 on the plaza level of the Nassif 

Building, 400 Seventh Street, SW., 

Washington, DC, between 9 a.m. and 5 

p.m., e.t., Monday through Friday, 

except Federal holidays. 

Privacy Act: Anyone is able to search 

the electronic form of all 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 DOT’s complete Privacy Act 

Statement in the Federal Register 

published on April 11, 2000 (Volume 

65, Number 70; Pages 19477–78) or you 

may visit http://dms.dot.gov. 

FOR FURTHER INFORMATION CONTACT: Ms 

Deborah M. Freund, Senior 

Transportation Specialist, Vehicle and 

Roadside Operations Division, FMCSA, 

(202) 366–4009, 400 Seventh Street, 

SW., Washington, DC 20590. Office 

hours are from 7:45 a.m. to 4:15 p.m., 

e.t., Monday through Friday, except 

Federal holidays. 

Information on Services for 

Individuals with Disabilities: For 

information on facilities or services for 

individuals with disabilities or to 

request special assistance at the 

meeting, contact Deborah Freund at 

202–366–4009. 

SUPPLEMENTARY INFORMATION: 

Background 

On January 18, 2007 (72 FR 2340), 

FMCSA published an NPRM to amend 

the Federal Motor Carrier Safety 

Regulations (FMCSRs) to incorporate 

new performance standards for 

electronic on-board recorders (EOBRs) 

installed in commercial motor vehicles 

(CMVs) manufactured on or after the 

date 2 years following the effective date 

of the final rule. On-board hours-ofservice recording devices meeting 

FMCSA’s current requirements and 

voluntarily installed in CMVs 

manufactured before the 

implementation date of a final rule may 

continue to be used for the remainder of 

the service life of those CMVs. 

Under the proposal, motor carriers 

that have demonstrated a history of 

serious noncompliance with the hoursof-service (HOS) rules would be subject 

to mandatory installation of EOBRs 

meeting the new performance standards. 

If FMCSA determined, based on HOS 

records reviewed during each of two 

compliance reviews conducted within a 

2-year period, that a motor carrier had 

a 10 percent or greater violation rate 

(‘‘pattern violation’’) for any regulation 

in proposed Appendix C to part 385, 

FMCSA would issue the carrier an 

EOBR remedial directive. The motor 


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