(5) Exercise stringent controls on the reproduction of Top Secret documents.

(6) Change classification when directed by appropriate authority.

(7) Destroy or arrange for the destruction of Top Secret documents.

(8) Retire or arrange for the retirement of Top Secret documents.

(3) Maintain liaison with the Office of Security or regional security officer on all matters relating to the accountability for the safeguarding of Top Secret documents.

& 9.61

Security briefing of employees.

(a) New employees. All new U.S.-citizen employees must be afforded indepth security briefings concerning Executive Order 11652 and National Security Council Directives. Each employee is provided with a copy of the security regulations or told where these regulations are available. Each new employee is also required to read and sign JF-4, Security Acknowledgement, at the time of initial security briefing. In addition, it is the responsibility of the post concerned to insure that all newly assigned or newly employed U.S.-citizen personnel are given security briefings.

(b) Terminating personnel. Personnel at all levels of employment and without exception, when terminating employment or contemplated separation for 60 days or more, are given security briefing concerning their continued responsibility to safeguard classified information. The briefing includes information pertinent to laws and regulations concerned with the protection and disclosure of classified information and the execution of JF3, Separation Statement.

order and, where a violation of criminal statutes may be involved, to refer any such case promptly to the Department of Justice.

(a) Reports of violation: Guards and other persons specifically designated are responsible for making inspections during and after working hours to ensure that these regulations for safeguarding classified material are being properly observed. Their official duties authorize their entry into any unprotected office at any time. In addition, each employee must inform the appropriate security officer orally or in writing of any improper observance or poor security practice which comes to the employee's attention in order that remedial action may be taken.

(b) (1) Guards and employees specifically designated for security functions (excluding the closing hours security check, when subsequent inspection will be conducted) must submit JF-11, Notice of a Security Violation, identifying apparent violations to the next higher level in the chain of security operations. Reports of security violations are prepared on JF-12, Record of Violation, and should include, at a minimum, the information required to respond to the instructions printed on the reverse side.

(2) If any violation of the security regulations results in the loss, theft, or unauthorized viewing of cryptographic material or the transmission of an unencrypted classified telegram by an exposed communication channel, a report must also be made immediately by telegram to the Office of Communications, Department of State. (See § 9.44 for reporting missing or compromised material.) It is mandatory that the JF-12 be unclassified. If material is considered compromised, or if for other reasons a classified report is advisable, the report should be submitted in a separate memorandum and be referred to in the JF-12.

(c) Violations by employees of other agencies. Violations are reported and processed for employees of other Federal agencies in the same manner as above.

(d) Evaluation of security violations. (1) All reports of infractions of the security regulations will be evalu

ated initially by the post or unit security officer (except communications security violations) to determine whether or not a violation may have occurred. If a violation has occurred, appropriate remarks will be included on the JF-12, Record of Violation, and it will be forwarded to the Office of Security through the unit security officer or the regional security officer. While the presumption of responsibility for a violation will be guided by the principle of primary and individual responsibility as defined in § 9.2 (a) and (b), supervisors may be held responsible for failure to provide effective organizational security procedures, particularly when other than normal conditions cause the interruption of routine security procedures or controls that are not normally the sole responsibility of any individual. Substantive conflicting disclaimer or statement of mitigation in section 2 of the JF-12 must be resolved or responded to by the investigating officer before the form is forwarded for adjudication.

(2) Violation reports in all cases will be made a matter of record pending final adjudication and, at posts, a copy of the report will be placed in the employee's personnel file. If, after adjudication, it is determined that a security violation should not be charged to the employee, the Office of Security will so notify the employee and instruct the unit, post, or regional security officers concerned to amend their records accordingly, after the foregoing period. The Office of Security will determine whether first violations should be submitted with recommendations to the responsible personnel office. All subsequent violations will be forwarded with recommendations for appropriate action to the personnel office unless 2 years have elapsed or in AID and USIA, unless 1 year has elapsed. The Office of Security may, in its discretion, treat a subsequent violation as a first violation.

§ 9.63 Disciplinary action for security violations.

(a) For State and AID. After an affirmative adjudication of a violation one of the following actions may be

without pay for 1 day.

The above progression of penalties is normally followed for a succession of violations that result from unintentional errors of omission. Where particularly serious violations result from errors of commission, more severe penalties may be recommended, including more than 1 day's suspension without pay, reassignment to a nonsensitive position, or dismissal.

(2) Report of a first violation is filed in the employee's permanent security file, but is not forwarded for inclusion in the employee's permanent personnel file unless it is to be considered along with a subsequent violation for disciplinary action of a letter of reprimand or greater penalty. Reports of violation that result in disciplinary action greater than a letter of warning are forwarded for inclusion in the em ployee's permanent personnel file as well as the security file. The Office of

§ 9.65 Applicable criminal laws.

Penalties of fine and imprisonment are established by statute for the unauthorized disclosure, dissemination, communication, furnishing, transmission, or other unlawful release of classified information, and for making false or fraudulent statements to an agency of the Government.

APPENDIX A-DEFINITIONS

The following definitions are applicable to this part:

Access. The ability and opportunity to obtain knowledge of classified or administratively controlled information.

Administrative Control Designation. The label "Limited Official Use" is used to safeguard certain privileged and other nonclassified information from indiscriminate disclosure.

Airgram. A message form used by State and AID for written communications on matters of policy, economic, and political reporting and other subjects requiring multiple distribution. An airgram is not encrypted. (See also Field Message.)

Chief of Mission. The principal diplomatic representative of the United States in charge of a U.S. mission, who is an ambassador, minister, minister resident, charge d'affaires, commissioner, or diplomatic agent. Reporting directly to the Secretary of State, the Chief of Mission directs all programs and operations of the entire U.S. mission within the country to which accredited, including those of other U.S. agencies except the military commands.

Classification. The determination that official information requires, in the interest of national security, a specific degree of pro

tection against unauthorized disclosure, coupled with the designation of the appropriate category: Top Secret, Secret, or Confidential.

Classified Information. Official information which has been determined to require, in the interest of national security, protection against unauthorized disclosure and to which the appropriate category, Top Secret, Secret, or Confidential has been applied.

Code Room. The designated area in which cryptographic operations are conducted. Communications Security (COMSEC). Measures designated to protect information during electrical transmission or associated processing.

Communications Security (COMSEC) Material. All material associated with the security of telecommunications. Term used to cover both cryptographic and noncryptographic items.

Compromise. Loss of security enabling unauthorized access to classified or administratively controlled information. Affected material is not automatically declassified. Possible Compromise means unauthorized access physically possible but it cannot be established that an unauthorized person took advantage of the opportunity. Considered Compromise means circumstances indicate a strong likelihood that unauthorized access was attained. Countermeasures or special precautions may be appropriate to minimize effects of the security loss.

Courier. A U.S.-citizen employee of the Department of State whose chief function is to transport diplomatic pouches across international frontiers between the Department and posts and between posts.

Cryptographic material. All COMSEC material bearing the marking "Crypto" or otherwise designated as incorporating cryptographic information.

Declassification. The determination that particular classified information no longer requires protection against unauthorized disclosure in the interest of national security. Such determination shall be by specific action or automatically after the lapse of a requisite period of time or the occurrence of a specified event. If such determination is by specific action, the material shall be so marked with the new designation.

Decontrol. The authorized removal of an assigned administrative control designation. Department. The term also includes any agency or other Government unit and their contractors, unless the text indicates otherwise.

Document. Any recorded information regardless of its physical form or characteristics, including, but not limited to, the following:

(a) Written material, whether handwritten, printed, or typed.

(b) Painted, drawn, or engraved material.

(c) Sound or voice recordings.

(d) Printed photographs and exposed or printed film, still or motion picture.

(e) Reproductions of the foregoing, by whatever process reproduced.

Downgrading. The determination that particular classified information requires a lesser degree of protection against unauthorized disclosure than currently provided. Such determination shall be by specific action or automatically after lapse of the requisite period of time or the occurrence of a specified event. If such determination is by specific action, the material shall be so marked with the new designation.

Field Message. A nonencrypted, multiple copy message from a USIS post abroad to USIA headquarters, Washington, D.C. (See also Airgram.)

Formerly Restricted Data. Information removed from the Restricted Data category upon determinatior. jointly by the Atomic Energy Commission and Department of Defense that such information relates primarily to the military utilization of atomic weapons and that such information can be adequately safeguarded as classified defense information subject to the restrictions on transmission to other countries and regional defense organizations that apply to Restricted Data.

Information. Knowledge which can communicated by any means.

be

Material. Any document, product, substance, equipment, supplies, or apparatus. National Security. Refers to national defense or foreign relations matters of the United States.

Nonrecord Material. Extra and/or duplicate copies that are only of temporary value, including shorthand notes, used carbon paper, preliminary drafts, and other material of similar nature.

Office of Security. The offices which have been designated in State, AID, and USIA to administer their respective security programs.

Official Information. Information which is owned, produced, or subject to the control of the U.S. Government.

Original Classifier. An authorized individual in the executive branch who initially determines that particular official information requires a specific degree of protection against unauthorized disclosure in the interest of national security and applies the appropriate category, Top Secret, Secret, or Confidential.

Paraphrasing. A restatement of text in different phraseology without alteration of its meaning.

Post Security Officer. A U.S.-citizen employee of the Foreign Service who is a nonprofessional security officer designated to perform security functions.

Pouch Message. A nonencrypted, multiple copy message from headquarters to a USIS post.

Principal Officer. As defined by the Foreign Service Act of 1946, as amended, "the officer in charge of an embassy, legation, or other diplomatic mission or a consulate general, consulate, or vice consulate of the United States." Principal officers, other than chiefs of mission, are responsible for the effective organization, operation, and supervision of programs within their jurisdiction at subordinate post. (See also Chief of Mission.)

Product and Substance. Any item of material (other than a document) in all stages of development, processing, or construction and including elements, ingredients, components, accessories, fixtures, dies, models, and mockups associated with such items.

Record Material. All books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics, made or received by the U.S. Government in connection with the transaction of public business and preserved or appropriated by any agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, or other activities of any agency of the Government, or because of the informational data contained therein.

Regional Security Officer. The officer who has been designated to administer the security program for a specific area or post.

Restricted Area. A specifically designated and posted area in which classified or administratively controlled information or material is located or in which sensitive functions are performed, access to which is controlled and to which only authorized personnel are admitted.

Restricted Data. All data (information) concerning: (1) Design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but not to include data declassified or removed from the Restricted Data category pursuant to section 142 of the Atomic Energy Act. (See section 11w, Atomic Energy Act of 1954, as amended; 42 U.S.C. 2014(y)).

Security Classification Categories. Refers to Top Secret, Secret, and Confidential designations on classified information or material as defined in section 1 of Executive Order 11652.

Sensitive Intelligence Information.-Such intelligence information, the unauthorized disclosure of which could lead to counteraction: (a) Jeopardizing the continued productivity of intelligence sources or methods which provide intelligence vital to the national security, or (b) offsetting the value of intelligence vital to the national security.

Telegram.-Any document recording information or for transmission by telegraphic, telephone, cable, radio, or other electrical Ineans. An airgram or field message is not transmitted by electrical means.

Unit Security Officer.-A U.S.-citizen employee who is nonprofessional security officer designated within a specific or homogeneous working unit to assist the Office of Security in carrying out functions prescribed in these regulations.

Upgrading.-The determination and designation that particular classified information or material falls within a higher security classification category, in the interests of national security, than currently provided.

U.S. AID Director.-The senior officer in charge of the AID program in designated countries.

U.S.I.A. Field Establishment, Head of.The senior U.S.I.A. officer at a post, or at an installation or activity located outside Washington, D.C.

§ 9a.2 General policy.

(a) The United States has entered into the Agreement on an International Energy Program of November 18, 1974, which created the International Energy Agency (IEA). This program is a substantial factor in the conduct of our foreign relations and an important element of our national security. The effectiveness of the Agreement depends significantly upon the provision and exchange of information and material by participants in advisory bodies created by the IEA. Confidentiality is essential to assure the free and open discussion necessary to accomplish the tasks assigned to those bodies.

(b) These regulations establish procedures for the classification, declassification, storage, access, and dissemination of certain information related to the International Energy Program. § 9a.3 Scope.

These regulations apply to all information and material classified by the United States under the provisions of E.O. 11932, dated August 4, 1976 entitled "Classification of Certain Information and Material Obtained From Advisory Bodies Created To Implement The International Energy Program."

§ 9a.4 Classification.

(a) Section 1 of E.O. 11932, August 4, 1976 directs that information and material obtained pursuant to the International Energy Program and which requires protection against unauthorized disclosure in the interest of the national defense or foreign relations of the United States shall be classified prusuant to Executive Order 11652.

(b) Information and material, including transcripts, records, and communications, in the possession of the United States Government which has been obtained pursuant to (1) Section 252(c)(3), (d)(2) or (e)(3) of the Energy Policy and Conservation Act (89 Stat. 871, 42 U.S.C. 6272(c)(3), (d)(2), (e)(3)), or (2) The Voluntary Agreement and Program Relating to the International Energy Program (40 FR 16041, April 8, 1975), or (3) the Voluntary Agreement and Plan of Action to Implement the