EXECUTIVE ORDER NATIONAL SECURITY INFORMATION
Document Type:
Collection:
Document Number (FOIA) /ESDN (CREST):
CIA-RDP85B00552R001000070049-2
Release Decision:
RIFPUB
Original Classification:
K
Document Page Count:
35
Document Creation Date:
December 20, 2016
Document Release Date:
November 14, 2007
Sequence Number:
49
Case Number:
Content Type:
REGULATION
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Body:
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NATIONAL SECURITY INFORMATION
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PART 1.
1-1.
1-2.
1-3.
1-4.
1-5.
1-6.
PART 2.
2-1.
2-2.
PART 3.
3-1.
3=2.
3-3.
3-4.,
PART 4.
4-1.
4-2.
4-3.
PART 5.
5-1.
5-2.
5-3.
5-4.
PART 6.
6-1.
6-2.
PREAMBLE
ORIGINAL CLASSIFICATION
Classification Levels
Classification Authority
Classification Categories
Duration of Classification
Identification and Markings
Limitation on Classification
DERIVATIVE CLASSIFICATION
Use of Derivative Classification
Classification Guides
DECLASSIFICATION AND DOWNGRADING
Declassification Authority
Transferred Information
Systematic Review for Declassification
Mandatory Review for Declassification
SAFEGUARDING
General Restrictions on Access
Special Access Programs
Access by Historical Researchers and Former
Presidential Appointees
IMPLEMENTATION AND REVIEW
Policy Direction
Information Security Oversight Office
General Responsibilities
Sanction
GENERAL PROVISIONS
Definitions
General
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The interests of the United States and its citizens require
that certain information concerning our national defense and foreign
relations be protected against unauthorized disclosure. It also is
essential that the public be informed about the activities of its
Government. This Order prescribes a uniform information security
system for classifying, -declassifying, and safeguarding national
security information. It also establishes a monitoring system to
ensure its effectiveness. Nothing in this Order shall limit the
protection afforded any information by other provisions of law.
PART 1
ORIGINAL CLASSIFICATION
Classification Levels.
1-101. National security information that requires
protection against unauthorized disclosure (hereinafter
"classified information") shall be classified at one of the
following three levels:
(a) "Top Secret" shall be applied to information, the
unauthorized disclosure of which reasonably could be
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expected to cause grave damage to the national
security.
(b) "Secret" shall be applied to information, the
unauthorized disclosure of which reasonably could be
expected to cause serious damage to the national
security.
(c) "Confidential" shall be applied to information, the
unauthorized disclosure of which reasonably could be
expected to cause damage to the national security..
1-102. Except as otherwise provided by statute, no other
terms shall be used to identify classified information.
1-103. If there is reasonable doubt about the need to
classify information or which classification level is
appropriate, the information shall be considered classified
and shall be safeguarded as required for the higher level of
classification under the provisions of this Order pending a
final determination by an original classification authority.
1-2. Classification Authority.
1-201. Top Secret. The authority to classify information
originally as Top Secret may be exercised only by:
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(a) the President;
(b) agency heads and officials designated by the
President in the Federal Register; and
(c) officials delegated this authority under Section
1-202. Secret. The authority to classify information
originally as Secret may be exercised only by:
(a) agency heads and officials designated by the
President in the Federal Register;
(b) officials with original Top Secret classification
authority; and
(c) officials delegated such authority pursuant to
1-203. Confidential. The authority to classify information
originally as Confidential may be exercised only by:
(a) agency heads and officials designated by the
President in the Federal Register;
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(b) officials with original Top Secret or Secret
classification 'authority; and
(c) officials delegated such authority pursuant to
Section 1-204.
1-204. Delegation of Original Classification Authority.
(a) Delegations of original classification authority shall
be limited to the minimum required to administer this
Order. Agency heads are responsible for ensuring that
designated subordinate officials have a demonstrable
and continuing need to exercise this authority.
(b) Original Top Secret classification authority may be
delegated only by the President; an agency head or
official designated pursuant to Section 1-201(b); and the
senior official designated under Section 5-301(a),
provided that official has been delegated original Top
Secret classification authority by the agency head.
(c) Original Secret classification authority may be
delegated only by the President; an agency head or
official designated pursuant to Sections 1-201(b) and
1-202(a); an official with original Top Secret
classification authority; and the senior official
designated under Section 5-301(a), provided that official
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has been delegated original Secret classification
authority by the agency head.
(d) Original Confidential classification authority may
be delegated only by the President; an agency head or
official designated pursuant to Sections 1-201(b),
1-202(a), and 1-203(a); an official with original Top
Secret classification authority; and the senior official
designated under Section 5-301(a), provided that official,
has been delegated original Secret or Confidential
classification authority by the agency head.
(e) Each delegation of original classification authority
shall be in writing. It shall identify the authority by
name or position title. Delegated classification
authority includes the authority to classify information
at the level granted and lower levels of classification.
1-205. Exceptional Cases. When an employee, contractor,
licensee, or grantee of an agency that does not have
original-classification authority originates information
believed by that person to require classification, the
information shall be protected in a manner consistent with
this Order and its implementing directives. The
information shall be transmitted promptly as provided
under this Order or its implementing directives to the
agency that has appropriate subject matter interest and
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classification authority with respect to this information.
That agency shall decide within thirty (30) days whether to
classify this information. If it is not clear which agency
has classification responsibility for this information, it
shall be sent to the Director of the Information Security
Oversight Office. The Director shall consult with the
agency determined to have primary subject matter interest
in this information before making a classification
determination.
1-3. Classification Categories.
it concerns:
(a) military plans, weapons, or operations;
(b) the vulnerabilities or capabilities of systems,
installations, projects, or plans relating to the national
security;
(c) foreign government information;
(d) intelligence activities (including special activities),
or intelligence sources or methods;
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(e) foreign relations or foreign activities of the United
States;
(f) scientific, technological, or economic matters
relating to the national security;
(g) United States Government programs for
safeguarding nuclear materials or facilities;
(h) cryptolbgy;
(i) a confidential source; or
(j) other categories of information that are related to
the national security and that require protection against
unauthorized disclosure as determined by the President-
or by agency heads or other officials who have been
delegated original classification authority by the
President. Any determination made under this
subsection shall be reported promptly to the Director of
the Information Security Oversight Office.
1-302. Information that, either by itself or in the
context of other information, is determined to concern one
or more of the categories in Section 1-301 shall be
classified when an original classification authority also
determines that its unauthorized disclosure reasonably
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could be expected to cause damage to the national
security.
1-303. Unauthorized disclosure of foreign government
information, the identity of a confidential foreign source,
or information relating to intelligence sources or methods
is presumed to cause damage to the national security.,
1-304. Information classified in accordance with Section
1-3 shall not be declassified automatically as a result of
any unofficial publication or inadvertent or unauthorized
disclosure in the United States or abroad of identical or
similar information.
1-4. Duration of Classification.
1-401. Information shall be classified for as long as
required by national security considerations. When it can
be determined, a specific date or event for declassification
shall be set by the original classification authority at the
time the information is originally classified. -
1-402. Automatic declassification determinations under
predecessor orders shall remain valid unless the
classification is extended by an authorized official of the
originating agency. These extensions may be by individual
documents or categories of information. The agency shall
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be responsible for notifying holders of the information of
1-403. Information classified under predecessor orders and
marked for declassification review shall remain classified
until reviewed for declassification under the provisions of
this Order.
1-5. Identification and Markings.
1-501. At the time of original classification, the following
shall be shown on the face of all classified documents, or
clearly associated with other forms of classified
information in a manner appropriate to the medium
involved:
(a) the identity of the original classification authority
if other than the person whose name appears as the
approving or signing official (unless this information
itself would reveal a confidential source or relationship
not otherwise evident in the document or information);
(b) the agency and office of origin (unless this
information itself would reveal a confidential source or
relationship not otherwise evident in the document or
information);
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(c) the date or event for declassification, or the
notation "Originating Agency's Determination"; and
(d) one of the three classification levels defined in
1-502. Each copy of a classified document that is
transmitted outside the originating agency shall, by
marking or other means, indicate which portions are
classified, with the applicable classification level, and
which portions are not classified. Agency heads may, for
good cause, grant and revoke waivers of this requirement
for specified classes of documents or information. The
Director of the ISOO shall be notified of any waivers.
1-503. Marking designations implementing the provisions
of. this Order, including abbreviations, shall conform to the
standards prescribed in implementing directives issued by
the Information Security Oversight Office.
1-504. Foreign government information shall either retain
its original classification or be assigned a United States
classification that shall ensure a degree of protection at
least equivalent to that required by the entity that
furnished the information.
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1-6. Limitations on Classification.
1-601. Classification shall be determined solely on the
basis of national security considerations. In no case shall
information be classified in order to conceal violations of
law, inefficiency, or administrative error; to prevent
embarrassment to a person, organization, or agency; to
restrain competition; or to prevent or delay the release of
information that does not require protection in the interest
of national security.
1-602. The President or an agency head or official
designated under Sections 1-201(b), 1-202(a) or 1-203(a)
may re-classify information previously declassified and
disclosed if it is determined in writing that (a) the
information requires protection in the interest of national
security; and (b) the information may reasonably be
recovered.
1-603. Information may be classified after an agency has
received a request for it under the Freedom of Information
Act (5 U.S.C. 552) or the Privacy Act of 1974 (5 U.S.C.
552a), or the Mandatory Review provisions of this Order
(Section 3-4) if such classification meets.the requirements
of this Order and is accomplished personally and on a
document-by-document basis by the agency head, the
deputy agency head, the senior agency official designated
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under Section 5-301(a), or an official with original Top
Secret classification authority.
PART 2
DERIVATIVE CLASSIFICATION
2-1. Use of Derivative Classification.
2-101. Derivative classification is (1) the determination
that information is in substance the same as information
currently classified, and (2) the application of the same
classification markings. Persons who only reproduce,
extract, or summarize classified information, or who only
apply classification markings derived from source material
or as directed by a classification guide, need not possess
original classification authority.
2-102. Persons who apply derivative classification
markings shall:
(a) observe and respect original classification decisions;
(b) carry forward to any newly created documents any
assigned authorized markings. The declassification date
or event that provides the longest period of
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classification shall be used for documents classified on
the basis of multiple sources.
2-2. Classification Guides.
2-201. Agencies with original classification authority shall
prepare classification guides to facilitate the proper and
uniform derivative classification of information.
2-202. Each guide shall be approved personally and in
writing by an official who:
(a) has program or supervisory responsibility over the
information or is the senior agency official designated
under Section 5-301(a); and
(b) is authorized to classify information originally at
the highest level of classification prescribed in. the
guide.
2-203. Agency heads may, for good cause, grant and
revoke waivers of the requirement to prepare
classification guides for specified classes of documents or
information. The Director of the Information Security
Oversight Office shall be notified of any wvaivers.
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PART 3
DECLASSIFICATION AND DOWNGRADING
3-1. Declassification Authority.
3-101. Information shall, be declassified or downgraded as
soon as national security considerations permit. Agencies
shall coordinate their review of classified information with
other agencies that have a direct interest in the subject
matter. Information that continues to meet the
classification requirements prescribed by Section 1-3
despite the passage of time will continue to be protected
in accordance with this Order.
3-102. Information shall be declassified or downgraded by
the official who authorized the original classification, if
that official is still serving in the same position; the
originator's successor; a supervisory official of either; or
officials delegated such authority in writing by the agency
head or the senior agency official designated pursuant to
Section 5-301(a).
3-103. If the Director of the Information Security
Oversight Office determines that information is classified
in violation of this Order, the Director may require the
information to be declassified by the agency that
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originated the classification. Any such decision by the
Director may be appealed to the National Security
Council. The information shall remain classified until the
appeal is decided.
3-104. The provisions of this section shall apply to
agencies that, under the terms of this Order, do not have
original classification authority, but that had such
authority under predecessor orders.
3-2. Transferred Information.
3-201. In the case of classified information transferred in
conjunction with a transfer of functions, and not merely
for storage purposes, the receiving agency shall be deemed
to be the originating agency for purposes of this Order.
3-202. In the case of classified information that is not
officially transferred as described in Section 3-201, but
that originated in an agency that has ceased to exist and
for which there is no successor agency, each agency in
possession of such information shall be deemed to be the
originating agency for purposes of this Order. Such
information maybe declassified or downgraded by the
agency in possession after consultation with any other
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agency that has an interest in the subject matter of the
information.
3-203. Classified information transferred to the General
Services Administration for accession into the Archives of
the United States shall be declassified or downgraded by
the Archivist of the United States in accordance with this
Order, the directives of the Information Security Oversight
Office, and the agency guidelines.
3-3. Systematic Review for Declassification
3-301. The Archivist of the United States shall, consistent
with procedures prescribed in the Information Security
Oversight Office's directives implementing this Order,
systematically review for declassification (a) classified
records accessioned into the National Archives of the
United States, and (b) classified presidential papers or
records in the Archivist's possession and control Such
information shall be reviewed by the Archivist for
declassification in accordance with systematic review
guidelines that shall be provided by agency heads who
originated the information, or in the case of foreign
government information, by the Director of the
Information Security Oversight Office in consultation with
interested agency heads. The Secretary of Defense may
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establish special procedures for systematic review for
declassification of classified cryptologic information, and
the Director of Central Intelligence may establish special
procedures for systematic review for declassification of
classified information pertaining to intelligence activities,
(including special activities), or intelligence sources and
methods, after consultation with affected agencies.
3-302. Agency heads may conduct internal systematic
review programs for classified information originated by
their agencies contained in permanently valuable records
that have not been accessioned into the National Archives
of the United States.
3-4. Mandatory Review for Declassification.
3-401. Except as provided in Section 3-402, all
information classified under this Order or predecessor
orders shall be subject to a review for declassification by
the originating agency, if;
(a) the request is made by a United States citizen or
permanent resident alien, a federal.agency, or a State
or local government; and
(b) the request describes the document or material
containing the information with sufficient specificity to
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enable the agency to locate it with a reasonable amount
3-402. Information originated by a President, the White
House Staff, by committees, commissions, or boards
appointed by the President, or others specifically providing
advice and counsel to a President or acting on behalf of a
President,- including-such -information(in the possession and
eontrolrof the Administrator of General Services pursuant,
to sections 2107, 2107 note, or 2203 of title 44 U.S.C is
exempted from the provisions of section 3-401. The
Archivist of the United States shall have authority to
review and declassify such information. Review
procedures developed by the Archivist shall provide for
consultation with agencies having primary subject matter
interest and shall be consistent with the provisions of
applicable laws or lawful agreements that pertain to the
respective presidential papers or records. Any decision by
the Archivist may be appealed to the Director of the
Information Security Oversight Office. Agencies with
primary subject matter interest shall be notified promptly
of the Director's decision on such appeals and may further
appeal to the National Security Council through the
process set forth in section 3-103.
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3-403. Agencies conducting a mandatory review for
declassification shall declassify information no longer
requiring protection under this Order. They shall release
this information unless withholding is otherwise authorized
under applicable law.
3-404. Agency heads shall develop procedures to process
requests for the mandatory review of classified
information. These procedures shall apply to information
classified under this or predecessor orders. They shall also
provide a means for administratively appealing a denial of
a mandatory review request. The Secretary of Defense
shall develop special procedures for the review of
cryptologic information, and the Director of Central
Intelligence shall develop special procedures for the review
of information pertaining to intelligence activities
(including special activities), or intelligence sources or
methods, after consultation with affected agencies. The
Archivist shall develop special procedures for the review
of information accessioned into the National Archives of
the United States.
3-405. In response to a request for information under the
Freedom of Information Act, the Privacy Act of 1974, or
the Mandatory Review provisions of this Order:
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(a) An agency shall refuse to confirm or deny the
existence or non-existence of requested information
whenever the fact of its existence or non-existence is
itself classifiable under this Order.
(b) When an agency receives any request for documents
in its custody that were classified by another agency, it
shall refer copies of the request and the requested
documents to the originating agency for processing, and
may, after consultation with the originating agency,
inform the requester of the referral. In cases in which
the origiting agency determines in writing that a
m
response under Section 3-405(a) is required, the
referring agency shall respond to the requester in
accordance with that Section.
PART 4
SAFEGUARDING
4-1. General Restrictions on Access.
4-101. A person is eligible for access to classified
information provided that a formal determination of
trustworthiness has been made by agency heads or
designated senior officials and provided that such access is
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essential to the accomplishment of authorized and lawful
Government purposes.
4-102. Controls shall be established by each agency to
ensure that classified information is used, processed,
stored, reproduced, transmitted, and destroyed only under
conditions that will provide adequate protection and
prevent access by unauthorized persons.
4-103. Classified information shall not be disseminated
outside the executive branch except under conditions that
ensure that the information will be given protection
equivalent to that afforded within the executive branch.
4-104. Except as provided by directives issued by the
President through the National Security Council, classified
information originating in one agency may ndt be
disseminated outside any other agency to which it has been
made available without the consent of the originating
agency.
4-2. Special Access Programs.
4-201. Agency heads designated pursuant to Section 1-201
may create special access programs to control access,
distribution, and protection of particularly sensitive
information classified pursuant to this Order or
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predecessor orders. Such programs may be created or
continued only at the written direction of these agency
heads. For special access programs pertaining to
intelligence activities (including special activities), or
intelligence sources or methods, this function will be
exercised by the Director of Central Intelligence. For
special access programs pertaining to cryptology, this
function will be exercised by the Secretary of Defense.
4-202. Each agency head shall establish and maintain a
system of accounting for special access programs. The
Director of the Information Security Oversight Office shall
have non-delegable access to all such accountings.
Appointees.
4-301. The requirement in Section 4-101 that access to
classified information may be granted only as is essential
to the accomplishment of authorized and lawful
Government purposes may be waived as provided in Section
4-302 for persons who:
(a) are engaged in historical research projects, or
(b) previously have occupied policy-making positions to
which they were appointed by the President.
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4-302. Waivers under Section 4-301 may be granted only if
the originating agency:
(a) determines in writing that access is consistent with
the interest of national security;
(b) takes appropriate steps to protect classified
information from unauthorized disclosure or
compromise, and ensures that the information is
safeguarded in a manner consistent with this Order; and
(c) limits the access granted to former presidential
appointees to items that the person originated,
reviewed, signed, or received while serving as a
presidential appointee.
PART S
IMPLEMENTATION AND REVIEW
5-1. Policy Direction.
5-101. The National Security Council shall provide overall
policy direction for the information security program.
5-102. The Administrator of General Services shall be
responsible for implementing and monitoring the program
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established pursuant to this Order. The Administrator
shall delegate the implementation and monitorship
functions of this program to the Director of the
Information Security Oversight Office.
5-2. Information Security Oversight Office.
5-201. The Information Security Oversight Office shall
have a full-time Director appointed by the Administrator
of General Services subject to approval by the President.
The Director shall have the authority to appoint a staff for
the Office.
(a) develop, in consultation with the agencies, and
promulgate, subject to the approval of the' National
Security Council, directives for the implementation of
this Order which shall be binding on the agencies;
(b) oversee agency actions to ensure compliance with
this Order and implementing directives;
(c) review all agency implementing regulations and
agency guidelines for systematic declassification
review. The Director shall require any regulation or
guideline to be changed if it is not consistent with this
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Order or implementing directives. Any such decision by
the Director may be appealed to the National Security
Council. The agency regulation or guideline shall
remain in effect until the appeal is decided;
(d) have the authority to conduct on-site reviews of the
information security program of each agency that
generates or handles classified information and to
require of each agency those reports, information, and
other cooperation that may be necessary to fulfill the
Director's. responsibilities. If these reports, inspections,
or access to specific categories of classified
information would pose an exceptional national security
risk, the affected agency head or the senior official
designated under Section 5-301(a) may deny access. The
Director may appeal denials to the National Security
Council. The denial of access shall remain in effect
until the appeal is decided;
(e) review requests for original classification authority
from agencies or officials not granted original
classification authority and, if deemed appropriate,
recommend presidential approval;
(f) consider and take action on complaints and
suggestions from persons within or outside the
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Government with respect to the administration of the
information security program;
(g) have the authority to prescribe, after consultation
with affected agencies, standard forms which will
promote the implementation of the information security
program;
(h) exercise case-by-case classification authority in
accordance with Section 1-205;
(i) report annually to the President through the
National Security Council on the implementation of this
Order; and
(j) have the authority to convene and chair interagency
meetings to discuss matters pertaining to the
information security program:
5-3. General Responsibilities.
5-301. Agencies that originate or handle classified
(a) Designate a senior agency official to direct and
administer its information security program, which shall
include an active oversight and security education
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program to ensure effective implementation of this
Order;
(b) promulgate implementing regulations. Any
unclassified regulations that establish agency
information security policy shall be published or
incorporated by reference in the Federal Register to the
extent that these regulations affect members of the
public; and
(c) establish procedures to prevent unnecessary access
to classified information, including procedures that (a)
require that a demonstrable need for access to
classified information is established before initiating
administrative clearance procedures, and (b) ensure that
the number of persons granted access to classified
information is limited to the minimum number that is
consistent with operational and security requirements
and needs.
5-4. Sanctions.
5-401. If the Director of the Information Security
Oversight Office finds that a violation of this Order or its
implementing directives may have occurred, the Director
shall make a report to the head of the agency or to the
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senior official designated under Section 5-301(a) so that
corrective steps, if appropriate, may be taken.
5-402. Officers and employees of the United States
Government shall be subject to appropriate sanctions if
they:
(a) knowingly, willfully, or negligently disclose to
unauthorized persons information properly classified
under this Order or predecessor orders;
(b) knowingly and willfully classify or continue the
classification of information in violation of this Order
or, any implementing directive; or
(c) knowingly and willfully violate any other provision
of this Order or implementing directive.
5-403. Sanctions may include reprimand, suspension
without pay, removal, termination of classification
authority, or other sanction in accordance with applicable
law and agency regulation.
5-404. Each agency head or the senior official designated
under Section 5-301(a) shall ensure that appropriate and
prompt corrective action is taken whenever a violation
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under Section 5-402 occurs. Either shall ensure that the
Director of the Information Security Oversight Office is
promptly notified whenever a violation under Section
5-402(a) or (b) occurs.
6-1. Definitions.
6-101. "Agency" has the meaning provided at 5 U.S.C,
552(e).
6-102. "Information" means any information or material,
regardless of its physical form or characteristics, that is
owned by, produced by, produced for, or is under the
control of the United States Government.
6-103. "Classified information" means information that
has been determined pursuant to this Order or any
predecessor order to require protection against
unauthorized disclosure and that is so designated.
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6-104. "Foreign government information" means:
(a) Information provided by a foreign government or
governments, an international organization of
governments, or any element thereof with the
expectation, expressed or implied, that the information,
the source of the information, or both, are to be held in
confidence; or
(b) any information produced by the United States
pursuant to or as a result of a joint arrangement, with a
foreign government or organization of governments,
requiring that the information, the arrangement, or both
be held in confidence.
6-105. "National security" means the national defense
and/or foreign relations of the United States.
6-106. "Confidential source" means any individual or
organization which has provided, or which may reasonably
be expected to provide, information to the United States
on matters pertaining to the national security with the
expectation, expressed or implied, that the information or
relationship, or both, be held in confidence. It also means
information that if disclosed, could reasonably be expected
to reveal a confidential source, thereby placing the life or
safety of an individual in jeopardy.
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6-107. "Original Classification" means an initial
determination that information requires, in the interest of
national security, a specific degree-of protection against
unauthorized disclosure, together with a classification
designation signifying the level of protection required.
6-2. General
6-201. Nothing in this Order shall supersede any
requirement made by or under the Atomic Energy Act of
1954, as amended. "Restricted Data" and "Formerly
Restricted Data" shall be handled, protected, classified,
downgraded, and declassified in conformity with the
provisions of the Atomic Energy Act of 1954, as amended,
and regulations issued under that Act.
6-202. The Attorney General, upon request by the head of
an agency or the Director of the Information Security
Oversight Office, shall personally or through authorized
representatives of the Department of Justice render an
interpretation of this Order with respect to any question
arising in the course of its administration.
6-203. Executive Order No. 12065 of June 28, 1978; the
accompanying presidential Order of June 28, 1978;
Information Security Oversight Office Implementing
Directive No. 1 of October 2, 1978; and Section 5-209 of
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Executive Order No. 12148 of July 20, 1979, are revoked as
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6-204. This Order shall become effective
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