Federal Register / Vol. 62, No. 84 / Thursday, May 1, 1997 / Rules and Regulations 23661

request, authorize a onetime deviation

from paragraph (c)(1) of this section for

a voyage, or part of a voyage, if the

proposed deviation provides a level of

safety equivalent to or beyond that

provided by the required procedure.

The deviation request must be made

well in advance to allow the requesting

vessel and the Vessel Traffic Center

(VTC) sufficient time to assess the safety

of the proposed deviation. Discussions

between the requesting vessel and the

VTC should include, but are not limited

to, information on the vessel handling

characteristics, traffic density, radar

contacts, and environmental conditions.

(3) In an emergency, the master, pilot,

or person directing the movement of the

vessel may deviate from paragraph (c)(1)

of this section to the extent necessary to

avoid endangering persons, property, or

the environment, and shall report the

deviation to the VTC as soon as

possible.

Dated: April 14, 1997.

J. David Spade,

Rear Admiral, U.S. Coast Guard Commander,

13th Coast Guard District.

[FR Doc. 97–11210 Filed 4–30–97; 8:45 am]

BILLING CODE 4910–14–M

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

49 CFR Parts 1 and 8

[Docket No. OST–96–1427]

RIN: 2105–AC51

Classified Information

AGENCY: Office of the Secretary, DOT

ACTION: Final rule.

SUMMARY: DOT revises its regulations

regarding classification and

declassification of, and access to,

classified information, and delegates to

the Assistant Secretary for

Administration authority to ensure

compliance within DOT with the

regulations and the underlying

Executive Orders. This action is taken in

response to the President’s Regulatory

Reinvention Initiative and in order to

implement recent Executive Orders.

DATES: This rule takes effect June 2,

1997.

FOR FURTHER INFORMATION CONTACT:

Robert I. Ross, Office of the General

Counsel, C–10, Department of

Transportation, Washington, DC 20590,

telephone (202) 366–9156, FAX (202)

366–9170.

SUPPLEMENTARY INFORMATION: In 1995,

the President of the United States issued

two Executive Orders making

substantial revisions to the rules under

which agencies of the Executive Branch,

such as DOT, manage information that

requires special treatment in the interest

of national security. Briefly stated,

Executive Order 12958 of April 17,

1995, Classified National Security

Information, requires that less

information be classified; and Executive

Order 12968 of August 2, 1995, Access

to Classified Information, requires

agencies to provide administrative

review of decisions to deny access to

classified information. This amendment

seeks to implement both Orders. To

foster uniform administration within

DOT, authority to ensure compliance is

being delegated to the Assistant

Secretary for Administration.

Public comment was invited (61 FR

3886; July 1, 1996), but none was

received. The proposal is being

promulgated without substantive

change.

Analysis of regulatory impacts. This

amendment is not a ‘‘significant

regulatory action’’ within the meaning

of Executive Order 12866. It is also not

significant within the definition in

DOT’s Regulatory Policies and

Procedures, 49 FR 11034 (1979), in part

because it does not involve any change

in important Departmental policies.

Because the economic impact should be

minimal, further regulatory evaluation

is not necessary. Moreover, I certify that

this amendment will not have a

significant economic impact on a

substantial number of small entities.

This amendment does not

significantly affect the environment, and

therefore an environmental impact

statement is not required under the

National Environmental Policy Act of

1969. It has also been reviewed under

Executive Order 12612, Federalism, and

it has been determined that it does not

have sufficient implications for

federalism to warrant preparation of a

Federalism Assessment.

Finally, the amendment does not

contain any collection of information

requirements, requiring review under

the Paperwork Reduction Act of 1980.

List of Subjects

49 CFR Part 1

Authority delegations (government

agencies), Organization and functions

(government agencies), Transportation

Department.

49 CFR Part 8

Classified information. In accordance

with the above, DOT amends 49 CFR, as

follows:

PART 1 [AMENDED]

1. The authority citation for Part 1

continues to read as follows:

Authority: 49 U.S.C. 322.

2. In § 1.59, a new paragraph (e) is

added to read as follows:

§ 1.59 Delegations to the Assistant

Secretary for Administration.

* * * * *

(e) * * *

(9) Ensure Department-wide

compliance with Executive Orders

10450, 12829, 12958, 12968, and related

regulations and issuances.

* * * * *

3. Part 8 is revised, to read as follows:

PART 8—CLASSIFIED INFORMATION:

CLASSIFICATION/

DECLASSIFICATION/ACCESS

Subpart A—General

Sec.

8.1 Scope.

8.3 Applicability.

8.5 Definitions.

8.7 Spheres of responsibility.

Subpart B—Classification/Declassification

of Information

8.9 Information Security Review

Committee.

8.11 Authority to classify information.

8.13 Authority to downgrade or declassify.

8.15 Mandatory review for classification.

8.17 Classification challenges.

8.19 Procedures for submitting and

processing requests for classification

reviews.

8.21 Burden of proof.

8.23 Classified information transferred to

the Department of Transportation.

Subpart C—Access to Information

8.25 Personnel Security Review Board.

8.27 Public availability of declassified

information.

8.29 Access by historical researchers and

former Presidential appointees.

8.31 Industrial security.

Authority: E. O. 10450, 3 CFR, 1949–1953

Comp., p. 936; E. O. 12829, 3 CFR, 1993

Comp., p. 570; E. O. 12958, 3 CFR, 1995

Comp., p. 333; E. O. 12968, 3 CFR, 1995

Comp., p. 391.

Subpart A—General

§ 8.1 Scope.

This part sets forth procedures for the

classification, declassification, and

availability of information that must be

protected in the interest of national

security, in implementation of

Executive Order 12958 of April 17,

1995, ‘‘Classified National Security

Information;’’ and for the review of

decisions to revoke, or not to issue,

national security information

clearances, or to deny access to
23662 Federal Register / Vol. 62, No. 84 / Thursday, May 1, 1997 / Rules and Regulations

classified information, under Executive

Order 12968 of August 2, 1995, ‘‘Access

to National Security Information’’.

§ 8.3 Applicability.

This part applies to all elements of the

Department of Transportation.

§ 8.5 Definitions.

As used in this part:

Classification means the act or

process by which information is

determined to be classified information.

Classification levels means the

following three levels at which

information may be classified:

(a) Top secret. Information that

requires the highest degree of

protection, and the unauthorized

disclosure of which could reasonably be

expected to cause exceptionally grave

damage to the national security that the

original classification authority is able

to identify or describe.

(b) Secret. Information that requires a

substantial degree of protection, and the

unauthorized disclosure of which could

reasonably be expected to cause serious

damage to the national security that the

original classification authority is able

to identify or describe.

(c) Confidential. Information that

requires protection and the

unauthorized disclosure of which could

reasonably be expected to cause damage

to the national security that the original

classification authority is able to

identify or describe.

Classified information or ‘‘classified

national security information’’ means

information that has been determined

under Executive Order 12958, or any

predecessor or successor order, to

require protection against unauthorized

disclosure, and is marked to indicate its

classified status when in documentary

form.

Clearance means that an individual is

eligible, under the standards of

Executive Orders 10450 and 12968 and

appropriate DOT regulations, for access

to classified information.

Damage to the national security

means harm to the national defense or

foreign relations of the United States

from the unauthorized disclosure of

information, to include the sensitivity,

value, and utility of that information.

Declassification means the authorized

change in the status of information from

classified information to unclassified

information.

Downgrading means a determination

by a declassification authority that

information classified and safeguarded

at a specific level shall be classified and

safeguarded at a lower level.

Information means any knowledge

that can be communicated, or

documentary material, regardless of its

physical form or characteristics, that is

owned by, produced by or for, or is

under the control of the United States

Government. ‘‘Control’’ means the

authority of the agency that originates

information, or its successor in function,

to regulate access to the information.

Mandatory declassification review

means the review for declassification of

classified information in response to a

request for declassification that qualifies

under Section 3.6 of Executive Order

12958.

Original classification means an

initial determination that information

requires, in the interest of national

security, protection against

unauthorized disclosure.

Original classification authority

means an individual authorized in

writing, either by the President or by

agency heads or other officials

designated by the President, to classify

information in the first instance.

§ 8.7 Spheres of responsibility.

(a) Pursuant to Section 5.6(c) of

Executive Order 12958, and to section

6.1 of Executive Order 12968, the

Assistant Secretary for Administration

is hereby designated as the senior

agency official of the Department of

Transportation with assigned

responsibilities to assure effective

compliance with and implementation of

Executive Order 12958, Executive Order

12968, Office of Management and

Budget Directives, the regulations in

this part, and related issuances.

(b) In the discharge of these

responsibilities, the Assistant Secretary

for Administration will be assisted by

the Director of Security and

Administrative Management, who, in

addition to other actions directed by

this part, will evaluate the overall

application of and adherence to the

security policies and requirements

prescribed in this part and who will

report his/her findings and

recommendations to the Assistant

Secretary for Administration, heads of

Departmental elements, and, as

appropriate, to the Secretary.

(c) Secretarial Officers and heads of

Departmental elements will assure that

the provisions in this part are effectively

administered, that adequate personnel

and funding are provided for this

purpose, and that corrective actions that

may be warranted are taken promptly.

Subpart B—Classification/

Declassification of Information

§ 8.9 Information Security Review

Committee.

(a) There is hereby established a

Department of Transportation

Information Security Review

Committee, which will have authority

to:

(1) Act on all suggestions and

complaints not otherwise resolved with

respect to the Department’s

administration of Executive Order

12958 and implementing directives,

including those regarding

overclassification, failure to declassify,

or delay in declassifying;

(2) Act on appeals of requests for

classification reviews, and appeals of

requests for records under 5 U.S.C. 552

(Freedom of Information Act) when the

initial, and proposed final, denials are

based on continued classification of the

record; and

(3) Recommend to the Secretary,

when necessary, appropriate

administrative action to correct abuse or

violation of any provision of Executive

Order 12598 and implementing

directives.

(b) The Information Security Review

Committee will be composed of the

Assistant Secretary for Administration,

who will serve as Chair; the General

Counsel; and the Director of Security

and Administrative Management. When

matters affecting a particular

Departmental agency are at issue, the

Associate Administrator for

Administration for that agency, or the

Chief of Staff for the U.S. Coast Guard,

as the case may be, will participate as

an ad hoc member, together with the

Chief Counsel of that agency. Any

regular member may designate a

representative with full power to serve

in his/her place.

(c) In carrying out its responsibilities

to review decisions to revoke or not to

issue clearances, or to deny access to

classified information, the Committee

will establish whatever procedures it

deems fit.

§ 8.11 Authority to classify information.

(a) Executive Order 12958 confers

upon the Secretary of Transportation the

authority to originally classify

information as SECRET or

CONFIDENTIAL with further

authorization to delegate this authority.

(b) The following delegations of

authority originally to classify

information as ‘‘Secret’’ or

‘‘Confidential’’, which may not be

redelegated, are hereby made:

(1) Office of the Secretary of

Transportation. The Deputy Secretary;

Assistant Secretary for Administration;

Director of Intelligence and Security;

Director of Security and Administrative

Management.

(2) United States Coast Guard.

Commandant; Chief, Office of Law

Enforcement and Defense Operations.
Federal Register / Vol. 62, No. 84 / Thursday, May 1, 1997 / Rules and Regulations 23663

(3) Federal Aviation Administration.

Administrator; Assistant Administrator

for Civil Aviation Security.

(4) Maritime Administration.

Administrator.

(c) Although the delegations of

authority set out in paragraph (b) of this

section are expressed in terms of

positions, the authority is personal and

is invested only in the individual

occupying the position. The authority

may not be exercised ‘‘by direction of’’

a designated official. The formal

appointment or assignment of an

individual to one of the identified

positions or a designation in writing to

act in the absence of one of these

officials, however, conveys the authority

originally to classify information as

‘‘SECRET’’.

(d) Previous delegations and

redelegations of authority within the

Department of Transportation originally

to classify information are hereby

rescinded.

§ 8.13 Authority to downgrade or

declassify.

Information originally classified by

the Department may be specifically

downgraded or declassified by either

the official authorizing the original

classification, if that official is still

serving in the same position, the

originator’s current successor in

function, a supervisory official of either,

officials delegated declassification

authority in writing by the Secretary, or

by the Departmental Information

Security Review Committee.

§ 8.15 Mandatory review for classification.

(a) All information classified by the

Department of Transportation under

Executive Order 12958 or predecessor

orders shall be subject to a review for

declassification if:

(1) the request for review describes

the information with sufficient

specificity to enable its location with a

reasonable amount of effort; and

(2) the information has not been

reviewed for declassification within the

prior two years. If the information has

been reviewed within the prior two

years, or the information is the subject

of pending litigation, the requestor will

be informed of this fact, and of the

Department’s decision not to declassify

the information and of his/her right to

appeal the Department’s decision not to

declassify the information to the

Interagency Security Classification

Appeals Panel.

(b) All information reviewed for

declassification because of a mandatory

review will be declassified if it does not

meet the standards for classification in

Executive Order 12958. The information

will then be released unless

withholding is otherwise authorized

and warranted under applicable law.

§ 8.17 Classification challenges.

(a) Authorized holders of information

classified by the Department of

Transportation who, in good faith,

believe that its classification status is

improper are encouraged and expected

to challenge the classification status of

the information before the Departmental

Information Security Review

Committee.

(1) No individual will be subject to

retribution for bringing such a

challenge; and

(2) Each individual whose challenge

is denied will be advised that he/she

may appeal to the Interagency Security

Classification Appeals Panel established

by section 5.4 of Executive Order 12958.

(b) This classification challenge

provision is not intended to prevent an

authorized holder of information

classified by the Department of

Transportation from informally

questioning the classification status of

particular information. Such

information inquiries should be

encouraged as means to resolve

classification concerns and reduce the

administrative burden of formal

challenges.

§ 8.19 Procedures for submitting and

processing requests for classification

reviews.

(a) The Director of Security and

Administrative Management is hereby

designated as the official to whom a

member of the public or another

department or agency should submit a

request for a classification review of

classified information produced by or

under the primary cognizance of the

Department. Elements of the

Department that receive a request

directly will immediately notify the

Director.

(b) If the request for classification

review involves material produced by or

under the cognizance of the U.S. Coast

Guard or the Federal Aviation

Administration, the Director will

forward the request to the headquarters

security staff of the element concerned

for action. If the request involves

material produced by other

Departmental elements, the Director

will serve as the office acting on the

request.

(c) The office acting on the request

will:

(1) Immediately acknowledge receipt

of the request and provide a copy of the

correspondence to the Director. If a fee

for search of records is involved

pursuant to 49 CFR Part 7, the requester

will be so notified;

(2) Conduct a security review, which

will include consultation with the office

that produced the material and with

source authorities when the

classification, or exemption of material

from automatic declassification, was

based upon determinations by an

original classifying authority; and

(3) Assure that the requester is

notified of the determination within 30

calendar days or given an explanation as

to why further time is necessary, and

provide a copy of the notification to the

Director.

(d) If the determination reached is

that continued classification is required,

the notification to the requester will

include, whenever possible, a brief

statement as to why the requested

material cannot be declassified. The

notification will also advise the

requester of the right to appeal the

determination to the Departmental

Information Security Review

Committee. A requester who wishes to

appeal a classification review decision,

or who has not been notified of a

decision after 60 calendar days, may

submit an appeal to the Departmental

Information Security Review

Committee.

(e) If the determination reached is that

continued classification is not required,

the information will be declassified and

the material remarked accordingly. The

office acting on the request will then

refer the request to the office originating

the material or higher authority to

determine if it is otherwise

withholdable from public release under

the Freedom of Information Act (5

U.S.C. 552) and the Department’s

implementing regulations (49 CFR Part

7).

(1) If the material is available under

the Freedom of Information Act, the

requester will be advised that the

material has been declassified and is

available. If the request involves the

furnishing of copies and a fee is to be

collected, the requester will be so

advised pursuant to 49 CFR Part 7,

Departmental regulations implementing

the Freedom of Information Act.

(2) If the material is not available

under the Freedom of Information Act,

the requester will be advised that the

material has been declassified but that

the record is unavailable pursuant to the

Freedom of Information Act, and that

the provisions concerning procedures

for reconsidering decisions not to

disclose records, contained in 49 CFR

Part 7, apply.

(f) Upon receipt of an appeal from a

classification review determination

based upon continued classification, the

Departmental Information Security

Review Committee will acknowledge
23664 Federal Register / Vol. 62, No. 84 / Thursday, May 1, 1997 / Rules and Regulations

receipt immediately and act on the

matter within 30 calendar days. With

respect to information originally

classified by or under the primary

cognizance of the Department, the

Committee, acting for the Secretary, has

authority to overrule previous

determinations in whole or in part

when, in its judgment, continued

protection in the interest of national

security is no longer required. When the

classification of the material produced

in the Department is based upon a

classification determination made by

another department or agency, the

Committee will immediately consult

with its counterpart committee for that

department or agency.

(1) If it is determined that the material

produced in the Department requires

continued classification, the requester

will be so notified and advised of the

right to appeal the decision to the

Interagency Classification Review

Committee.

(2) If it is determined that the material

no longer requires classification, it will

be declassified and remarked. The

Committee will refer the request to the

General Counsel, or to the head of the

Departmental agency concerned, as the

case may be, to determine if the material

is otherwise withholdable from the

public under the Freedom of

Information Act (5 U.S.C. 552) and

Departmental regulations, (49 CFR Part

7), and paragraphs (f)(1) and (2) of this

section will be followed. A copy of the

response to the requester will be

provided to the Committee.

(g) Requests for a classification review

of material more than 25 years old will

be referred directly to the Archivist of

the United States and the requester will

be notified of the referral. In this event,

the provisions of this section apply.

(h) Whenever a request is insufficient

in the description of the record sought,

the requester will be asked to limit his

request to records that are reasonably

obtainable. If, in spite of these steps, the

requester does not describe the records

with sufficient particularity, or the

record requested cannot be obtained

with a reasonable amount of effort, the

requester will be notified of the reasons

why the request is denied and of his/her

right to appeal the determination to the

Departmental Information Security

Review Committee.

§ 8.21 Burden of proof.

For the purpose of determinations to

be made under §§ 8.13, 8.15, and 8.17,

the burden of proof is on the originating

Departmental agency to show that

continued classification is warranted.

§ 8.23 Classified information transferred to

the Department of Transportation.

(a) Classified information officially

transferred to the Department in

conjunction with a transfer of function,

and not merely for storage purposes,

will be considered to have been

originated by the Department.

(b) Classified information in the

custody of the Department originated by

a department or agency that has ceased

to exist and for whom there is no

successor agency will be deemed to

have been originated by the Department.

This information may be declassified or

downgraded by the Department after

consultation with any other agency that

has an interest in the subject matter of

the information. Such agency will be

allowed 30 calendar days in which to

express an objection, if it so desires,

before action is taken. A difference of

opinion that cannot be resolved will be

referred to the Departmental

Information Security Review

Committee, which will consult with its

counterpart committee for the other

agency.

(c) Classified information transferred

to the National Archives and Records

Administration (NARA) will be

declassified or downgraded by the

Archivist of the United States in

accordance with Executive Order 12958,

Departmental classification guides, and

any existing procedural agreement

between NARA and the Department.

The Department will take all reasonable

steps to declassify information

contained in records determined to have

permanent historical value before they

are accessioned in NARA.

(d) To the extent practicable, the

Department will adopt a system of

records management that will facilitate

the public release of documents at the

time such documents are declassified

under the provisions of this part for

automatic declassification. To the

maximum extent possible without

destroying the integrity of the

Department’s files, all such material will

be segregated or set aside for public

release upon request. The Department

will cooperate with the Archivist in

efforts to establish a Government-wide

database of information that has been

declassified.

Subpart C—Access to Information

§ 8.25 Personnel Security Review Board.

(a) There is hereby established a

Department of Transportation Personnel

Security Review Board, which will, on

behalf of the Secretary of Transportation

(except in any case in which the

Secretary personally makes the

decision), make the administratively

final decision on an appeal arising in

any part of the Department from:

(1) A decision not to grant access to

classified information;

(2) A decision to revoke access to

classified information; or

(3) A decision under § 8.29 to deny

access to classified information.

(b) The Personnel Security Review

Board will be composed of:

(1) two persons appointed by the

Assistant Secretary for Administration:

one from the Office of Personnel and

Training, and one, familiar with

personnel security adjudication, from

the Office of Security and

Administrative Management, who will

serve as Chair;

(2) one person appointed by the

General Counsel, who, in addition to

serving as a member of the Board, will

provide to the Board whatever legal

services it may require; and

(3) one person appointed by each of

the Commandant of the Coast Guard and

the Federal Aviation Administrator.

(4) Any member may designate a

representative, meeting the same criteria

as the member, with full power to serve

in his/her place.

(c) In carrying out its responsibilities

to review final decisions to revoke or

deny access to classified information,

the Board will establish whatever

procedures it deems fit.

§ 8.27 Public availability of declassified

information.

(a) It is a fundamental policy of the

Department to make information

available to the public to the maximum

extent permitted by law. Information

that is declassified for any reason loses

its status as material protected in the

interest of national security.

Accordingly, declassified information

will be handled in every respect on the

same basis as all other unclassified

information. Declassified information is

subject to the Departmental public

information policies and procedures,

with particular reference to the Freedom

of Information Act (5 U.S.C. 552) and

implementing Departmental regulations

(49 CFR Part 7).

(b) In furtherance of this policy, all

classified material produced after June

1, 1972 that is of sufficient historical or

other value to warrant preservation as

permanent records in accordance with

appropriate records administrative

standards, and that becomes

declassified, will be systematically

reviewed prior to the end of each

calendar year for the purpose of making

the material publicly available. To the

maximum extent possible without

destroying the integrity of the

Department’s files, all such material will
Federal Register / Vol. 62, No. 84 / Thursday, May 1, 1997 / Rules and Regulations 23665

be segregated or set aside for public

release upon request.

§ 8.29 Access by historical researchers

and former Presidential appointees.

(a) Historical researchers. (1) Persons

outside the executive branch who are

engaged in historical research projects

may have access to classified

information provided that:

(i) Access to the information is clearly

consistent with the interests of national

security; and

(ii) The person to be granted access is

trustworthy.

(2) The provisions of this paragraph

apply only to persons who are

conducting historical research as private

individuals or under private

sponsorship and do not apply to

research conducted under Government

contract or sponsorship. The provisions

are applicable only to situations where

the classified information concerned, or

any part of it, was originated by the

Department or its contractors, or where

the information, if originated elsewhere,

is in the sole custody of the Department.

Any person requesting access to

material originated in another agency or

to information under the exclusive

jurisdiction of the National Archives

and Records Administration (NARA)

will be referred to the other agency or

to NARA, as appropriate.

(3) When a request for access to

classified information for historical

research is received, it will be referred

to the appropriate local security office.

That office will obtain from the

applicant completed Standard Form 86,

Questionnaire for National Security

Positions, in triplicate, and Standard

Form 87, Fingerprint Chart; a statement

in detail to justify access, including

identification of the kind of information

desired and the organization or

organizations, if any, sponsoring the

research; and a written statement

(signed, dated, and witnessed) with

respect to the following:

(i) That the applicant will abide by

regulations of the Department:

(A) To safeguard classified

information; and

(B) To protect information that has

been determined to be proprietary or

privileged and is therefore not eligible

for public dissemination.

(ii) That the applicant understands

that any classified information that the

applicant receives affects the security of

the United States.

(iii) That the applicant acknowledges

an obligation to safeguard classified

information or privileged information of

which the applicant gains possession or

knowledge as a result of the applicant’s

access to files of the Department.

(iv) That the applicant agrees not to

reveal to any person or agency any

classified information or privileged

information obtained as a result of the

applicant’s access except as specifically

authorized in writing by the

Department, and further agrees that the

applicant shall not use the information

for purposes other than those set forth

in the applicant’s application.

(v) That the applicant agrees to

authorize a review of the applicant’s

notes and manuscript for the sole

purpose of determining that no

classified information or material is

contained therein.

(vi) That the applicant understands

that failure to abide by conditions of

this statement will constitute sufficient

cause for canceling the applicant’s

access to classified information and for

denying the applicant any future access,

and may subject the applicant to

criminal provisions of Federal law as

referred to in this statement.

(vii) That the applicant is aware and

fully understands that title 18, United

States Code, Crimes and Criminal

Procedures, and the Internal Security

Act of 1950, as amended, title 50,

United States Code, prescribe, under

certain circumstances, criminal

penalties for the unauthorized

disclosure of information respecting the

national security, and for loss,

destruction, or compromise of such

information.

(viii) That this statement is made to

the U.S. Government to enable it to

exercise its responsibilities for the

protection of information affecting the

national security.

(ix) That the applicant understands

that any material false statement that the

applicant makes knowingly and

willfully will subject the applicant to

the penalties of 18 U.S.C. 1001.

(4) The security office will process the

forms in the same manner as specified

for a preappointment national agency

check for a critical-sensitive position.

Upon receipt of the completed national

agency check, the security office, if

warranted, may determine that access

by the applicant to the information will

be clearly consistent with the interests

of national security and the person to be

granted access is trustworthy. If deemed

necessary, before making its

determination, the office may conduct

or request further investigation. Before

access is denied in any case, the matter

will be referred through channels to the

Director of Security and Administrative

Management for review and submission

to the Personnel Security Review Board

for final review.

(5) If access to TOP SECRET or

intelligence or communications security

information is involved a special

background investigation is required.

However, this investigation will not be

requested until the matter has been

referred through channels to the

Director of Security and Administrative

Management for determination as to

adequacy of the justification and the

consent of other agencies as required.

(6) When it is indicated that an

applicant’s research may extend to

material originating in the records of

another agency, approval must be

obtained from the other agency prior to

the grant of access.

(7) Approvals for access will be valid

for the duration of the current research

project but no longer than 2 years from

the date of issuance, unless renewed. If

a subsequent request for similar access

is made by the individual within one

year from the date of completion of the

current project, access may again be

granted without obtaining a new

National Agency Check. If more than

one year has elapsed, a new National

Agency Check must be obtained. The

local security office will promptly

advise its headquarters security staff of

all approvals of access granted under

the provisions of this section.

(8) An applicant may be given access

only to that classified information that

is directly pertinent to the applicant’s

approved project. The applicant may

review files or records containing

classified information only in offices

under the control of the Department.

Procedures must be established to

identify classified material to which the

applicant is given access. The applicant

must be briefed on local procedures

established to prevent unauthorized

access to the classified material while in

the applicant’s custody, for the return of

the material for secure storage at the end

of the daily working period, and for the

control of the applicant’s notes until

they have been reviewed. In addition to

the security review of the applicant’s

manuscript, the manuscript must be

reviewed by appropriate offices to

assure that it is technically accurate

insofar as material obtained from the

Department is concerned, and is

consistent with the Department’s public

release policies.

(b) Former Presidential appointees.

Persons who previously occupied

policymaking positions to which they

were appointed by the President may be

granted access to classified information

or material that they originated,

reviewed, signed, or received, while in

public office, provided that:

(1) It is determined that such access

is clearly consistent with the interests of

national security; and
23666 Federal Register / Vol. 62, No. 84 / Thursday, May 1, 1997 / Rules and Regulations

(2) The person agrees to safeguard the

information, to authorize a review of the

person’s notes to assure that classified

information is not contained therein,

and that the classified information will

not be further disseminated or

published.

§ 8.31 Industrial security.

(a) Background. The National

Industrial Security Program was

established by Executive Order 12829 of

January 6, 1993 for the protection of

information classified pursuant to

Executive Order 12356 of April 2, 1982,

National Security Information, or its

predecessor or successor orders, and the

Atomic Energy Act of 1954, as amended.

The Secretary of Defense serves as the

Executive Agent for inspecting and

monitoring contractors, licensees,

grantees, and certificate holders that

require or will require access to, or that

store or will store, classified

information, and for determining the

eligibility for access to classified

information of contractors, licensees,

certificate holders, and grantees, and

their respective employees.

(b) Implementing regulations. The

Secretary of Transportation has entered

into agreement for the Secretary of

Defense to render industrial security

services for the Department of

Transportation. Regulations prescribed

by the Secretary of Defense to fulfill the

provisions of Executive Order 12829

have been extended to protect release of

classified information for which the

Secretary of Transportation is

responsible. Specifically, this regulation

is DOD 5220.22–M, National Industrial

Security Program Operating Manual.

This regulation is effective within the

Department of Transportation, which

functions as a User Agency as

prescribed in the regulation.

Appropriate security staffs, project

personnel, and contracting officers

assure that actions required by the

regulation are taken.

Issued in Washington, DC, on March 24,

1997.

Rodney E. Slater,

Secretary of Transportation.

[FR Doc. 97–9787 Filed 4–30–97; 8:45 am]

BILLING CODE 4910–62–P

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

49 CFR Part 10

RIN 2105–AC57

Maintenance of and Access to Records

Pertaining to Individuals

AGENCY: Office of the Secretary, DOT.

ACTION: Final rule.

SUMMARY: DOT revises its regulations in

implementing the Privacy Act, 5 U.S.C.

552a. This revision updates

organizational changes since the last

revision and streamlines the regulations

in order to make the regulations more

useful.

DATES: This rule is effective June 30,

1997.

FOR FURTHER INFORMATION CONTACT:

Dorothy A. Chambers, Office of the

General Counsel, C–12, Department of

Transportation, Washington, DC 20590,

telephone (202) 366–4542, FAX (202)

366–7152.

SUPPLEMENTARY INFORMATION: The

President instituted a Regulatory

Review initiative, for the reinvention of

regulations by eliminating duplicate,

redundant or unnecessary language and

revising regulations to meet the need of

users. In response to this initiative, we

reviewed Part 10 and proposed to revise

this section to update and streamline

information on maintenance and access

to records pertaining to individuals. The

main revision is to remove from the

Code of Federal Regulations Appendices

B through J to this part and remove

references to the appendices throughout

the Part. These appendices contain

information that is available through the

Notice of Records Systems published by

the Federal Register, National Archives

and Records Administration, which

describes the systems of records

maintained by all Federal agencies,

including the Department and its

components. Therefore, it is

unnecessary to repeat this information

in the regulations. Several other

housekeeping corrections were also

made. Public comment was invited (61

FR 29522; June 11, 1996), but none was

received. Upon review, we have decided

to issue the proposal without change,

except to reflect that the Inspector

General has the same authority under

this part as does any Administrator; and

that the Surface Transportation Board

(STB), a successor to the Interstate

Commerce Commission within DOT, is

not covered by these Privacy Act

regulations, but, rather, by its own,

except to the extent that any system of

records notice provides otherwise. That

is, if the STB is included in a DOT

system of records, then these regulations

apply to that system, including STB’s

participation in it.

Analysis of Regulatory Impacts.

This amendment is not a ‘‘significant

regulatory action’’ within the meaning

of Executive Order 12866. It is also not

significant within the definition in

DOT’s Regulatory Policies and

Procedures, 49 FR 11034 (1979), in part

because it does not involve any change

in important Departmental policies.

Because the economic impact should be

minimal, further regulatory evaluation

is not necessary.

Under the Regulatory Flexibility Act,

the only group of persons who will be

directly affected by this amendment are

those members of the public who are the

subjects of any of our Privacy Act

systems of records. These qualify as

small entities and will have burdens

lessened by this amendment, as the

effect of the amendment will be to make

our Privacy Act regulations easier to

understand; however, it is not likely

that any such burden reduction will be

large nor that it will be convertible into

economic equivalents. Hence, I certify

that this amendment will not have a

significant economic impact on a

substantial number of small entities.

This amendment does not

significantly affect the environment, and

therefore an environmental impact

statement is not required under the

National Environmental Policy Act of

1969. It has also been reviewed under

Executive Order 12612, Federalism, and

it has been determined that it does not

have sufficient implications for

federalism to warrant preparation of a

Federalism Assessment.

Finally, the amendment does not

contain any collection of information

requirements, requiring review under

the Paperwork Reduction Act, as

amended.

List of Subjects in 49 CFR Part 10

Privacy.

In accordance with the above, DOT

amends 49 CFR Part 10 as follows:

PART 10—[AMENDED]

1. The authority citation for Part 10

continues to read as follows:

Authority: 5 U.S.C. 552a; 49 U.S.C. 322.

§ 10.1 [Amended]

2. Section 10.1 is amended by

deleting paragraphs (b), (c), and (d), and

by removing the paragraph designation

‘‘(a)’’ from the remaining text.