1、74 49 CFR Subtitle A (10110 Edition) Pt. 8 or National Audio-Visual Center, Na-tional Archives and Records Adminis-tration, Capital Heights, MD 207433701. PART 8CLASSIFIED INFORMA-TION: CLASSIFICATION/DECLAS-SIFICATION/ACCESS Subpart AGeneral Sec. 8.1 Scope. 8.3 Applicability. 8.5 Definitions. 8.7 S
2、pheres of responsibility. Subpart BClassification/Declassification of Information 8.9 Information Security Review Com-mittee. 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 f
3、or submitting and proc-essing requests for classification reviews. 8.21 Burden of proof. 8.23 Classified information transferred to the Department of Transportation. Subpart CAccess to Information 8.25 Personnel Security Review Board. 8.27 Public availability of declassified infor-mation. 8.29 Acces
4、s by historical researchers and former Presidential appointees. 8.31 Industrial security. AUTHORITY: E. O. 10450, 3 CFR, 19491953 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. SOURCE: 62 FR 23661, May 1, 1997, u
5、nless otherwise noted. Subpart AGeneral 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 Execu-tive Order 12958 of April 17, 1995, Clas-sified Nationa
6、l Security Information; and for the review of decisions to re-voke, or not to issue, national security information clearances, or to deny ac-cess to classified information, under Executive Order 12968 of August 2, 1995, Access to National Security Informa-tion. 8.3 Applicability. This part applies t
7、o all elements of the Department of Transportation. 8.5 Definitions. As used in this part: Classification means the act or proc-ess by which information is determined to be classified information. Classification levels means the fol-lowing three levels at which informa-tion may be classified: (a) To
8、p secret. Information that re-quires 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 iden-tify or describe. (b) Secret. Informati
9、on that requires a substantial degree of protection, and the unauthorized disclosure of which could reasonably be expected to cause serious damage to the national secu-rity that the original classification au-thority is able to identify or describe. (c) Confidential. Information that re-quires prote
10、ction and the unauthorized disclosure of which could reasonably be expected to cause damage to the na-tional security that the original classi-fication authority is able to identify or describe. Classified information or classified national security information means information that has been determ
11、ined under Executive Order 12958, or any predecessor or successor order, to re-quire protection against unauthorized disclosure, and is marked to indicate its classified status when in documen-tary form. Clearance means that an individual is eligible, under the standards of Execu-tive Orders 10450 a
12、nd 12968 and appro-priate 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 inform
13、ation. Declassification means the authorized change in the status of information VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00084 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without l
14、icense from IHS-,-,-75 Office of the Secretary of Transportation 8.9 from classified information to unclassi-fied information. Downgrading means a determination by a declassification authority that in-formation classified and safeguarded at a specific level shall be classified and safeguarded at a l
15、ower level. Information means any knowledge that can be communicated, or docu-mentary 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 au-thority of the agency that originate
16、s information, or its successor in func-tion, to regulate access to the informa-tion. 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 cl
17、assification means an initial determination that information re-quires, in the interest of national secu-rity, protection against unauthorized disclosure. Original classification authority means an individual authorized in writing, ei-ther by the President or by agency heads or other officials desig
18、nated by the President, to classify information in the first instance. 8.7 Spheres of responsibility. (a) Pursuant to Section 5.6(c) of Ex-ecutive Order 12958, and to section 6.1 of Executive Order 12968, the Assistant Secretary for Administration is hereby designated as the senior agency official o
19、f the Department of Transportation with assigned responsibilities to assure effective compliance with and imple-mentation of Executive Order 12958, Executive Order 12968, Office of Man-agement and Budget Directives, the regulations in this part, and related issuances. (b) In the discharge of these r
20、espon-sibilities, the Assistant Secretary for Administration will be assisted by the Director of Security and Administra-tive 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 prescrib
21、ed in this part and who will report his/her findings and recommendations to the Assistant Secretary for Administration, heads of Departmental elements, and, as appro-priate, to the Secretary. (c) Secretarial Officers and heads of Departmental elements will assure that the provisions in this part are
22、 ef-fectively administered, that adequate personnel and funding are provided for this purpose, and that corrective ac-tions that may be warranted are taken promptly. Subpart BClassification/ Declassification of Information 8.9 Information Security Review Committee. (a) There is hereby established a
23、De-partment of Transportation Informa-tion Security Review Committee, which will have authority to: (1) Act on all suggestions and com-plaints not otherwise resolved with re-spect to the Departments administra-tion of Executive Order 12958 and im-plementing directives, including those regarding over
24、classification, 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
25、record; and (3) Recommend to the Secretary, when necessary, appropriate adminis-trative action to correct abuse or vio-lation of any provision of Executive Order 12598 and implementing direc-tives. (b) The Information Security Review Committee will be composed of the As-sistant Secretary for Adminis
26、tration, 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 Adminis-tration for that agency, or the Chief of Staff for the U.S. Coast Guard, as
27、 the case may be, will participate as an ad hoc member, together with the Chief Counsel of that agency. Any regular VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00085 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproductio
28、n or networking permitted without license from IHS-,-,-76 49 CFR Subtitle A (10110 Edition) 8.11 member may designate a representa-tive 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 c
29、lassified information, the Committee will establish whatever procedures it deems fit. 8.11 Authority to classify informa-tion. (a) Executive Order 12958 confers upon the Secretary of Transportation the authority to originally classify in-formation as SECRET or CONFIDEN-TIAL with further authorizatio
30、n to delegate this authority. (b) The following delegations of au-thority originally to classify informa-tion as Secret or Confidential, which may not be redelegated, are hereby made: (1) Office of the Secretary of Transpor-tation. The Deputy Secretary; Assist-ant Secretary for Administration; Di-re
31、ctor of Intelligence and Security; Di-rector of Security and Administrative Management. (2) United States Coast Guard. Com-mandant; Chief, Office of Law Enforce-ment and Defense Operations. (3) Federal Aviation Administration. Administrator; Assistant Adminis-trator for Civil Aviation Security. (4)
32、Maritime Administration. Adminis-trator. (c) Although the delegations of au-thority set out in paragraph (b) of this section are expressed in terms of posi-tions, the authority is personal and is invested only in the individual occu-pying the position. The authority may not be exercised by direction
33、 of a designated official. The formal ap-pointment or assignment of an indi-vidual 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 origi-nally to classify information as SE-CRET. (d) Previous delegations a
34、nd redele-gations of authority within the Depart-ment of Transportation originally to classify information are hereby re-scinded. 8.13 Authority to downgrade or de-classify. Information originally classified by the Department may be specifically downgraded or declassified by either the official auth
35、orizing the original classification, if that official is still serving in the same position, the origi-nators current successor in function, a supervisory official of either, officials delegated declassification authority in writing by the Secretary, or by the De-partmental Information Security Re-v
36、iew Committee. 8.15 Mandatory review for classifica-tion. (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 sp
37、eci-ficity to enable its location with a rea-sonable amount of effort; and (2) The information has not been re-viewed 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 request
38、or will be informed of this fact, and of the De-partments decision not to declassify the information and of his/her right to appeal the Departments decision not to declassify the information to the Interagency Security Classification Appeals Panel. (b) All information reviewed for de-classification
39、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 with-holding is otherwise authorized and warranted under applicable law. 8.17 Classification challenges. (a) Authorized holde
40、rs of information classified by the Department of Trans-portation who, in good faith, believe that its classification status is im-proper are encouraged and expected to challenge the classification status of the information before the Depart-mental Information Security Review Committee. VerDate Mar2
41、010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00086 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-77 Office of the Secretary of Transportation 8.19 (1) No individual will
42、be subject to retribution for bringing such a chal-lenge; and (2) Each individual whose challenge is denied will be advised that he/she may appeal to the Interagency Secu-rity Classification Appeals Panel es-tablished by section 5.4 of Executive Order 12958. (b) This classification challenge pro-vis
43、ion is not intended to prevent an au-thorized holder of information classi-fied by the Department of Transpor-tation from informally questioning the classification status of particular in-formation. Such information inquiries should be encouraged as means to re-solve classification concerns and re-d
44、uce the administrative burden of for-mal challenges. 8.19 Procedures for submitting and processing requests for classifica-tion reviews. (a) The Director of Security and Ad-ministrative Management is hereby designated as the official to whom a member of the public or another de-partment or agency sh
45、ould submit a re-quest for a classification review of classified information produced by or under the primary cognizance of the Department. Elements of the Depart-ment that receive a request directly will immediately notify the Director. (b) If the request for classification re-view involves materia
46、l produced by or under the cognizance of the U.S. Coast Guard or the Federal Aviation Admin-istration, the Director will forward the request to the headquarters security staff of the element concerned for ac-tion. If the request involves material produced by other Departmental ele-ments, the Directo
47、r 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 pursu-ant to 49 CFR Part 7, the requester will be so no
48、tified; (2) Conduct a security review, which will include consultation with the of-fice that produced the material and with source authorities when the clas-sification, or exemption of material from automatic declassification, was based upon determinations by an origi-nal classifying authority; and
49、(3) Assure that the requester is noti-fied of the determination within 30 cal-endar 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 re-quired, the notification to the re-quester will include, whenever possible, a brief statement as to why the re-quested material cannot be declas-sified. Th
