46 C.F.R. Subpart F—Information Security Program
Title 46 - Shipping
(a) Access means the ability or opportunity to gain knowledge of classified information. (b) Classification means the act or process by which information is determined to be classified information. (c) Classification guide means a documentary form of instruction or source that prescribes the classification of specific information issued by an original classification authority that identifies the elements of information regarding a specific subject that must be classified and establishes the level and duration of classification for each such element. (d) Classified national security information (hereafter “classified information”) means information that has been determined pursuant to Executive Order 12958 or any predecessor order in force to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form. (e) Commission means the Federal Maritime Commission. (f) Declassification means the authorized change in the status of information from classified information to unclassified information. (g) Derivative classification means the incorporating, paraphrasing, restating or generating in new form information that is already classified, and marking the newly developed material consistent with the classification markings that apply to the source information. Derivative classification includes the classification of information based on classification guidance. The duplication or reproduction of existing classified information is not derivative classification. (h) Downgrading means a determination by a declassification authority that information classified and safeguarded at a specified level shall be classified and safeguarded at a lower level. (i) Foreign government information means: (1) Information provided to the United States Government by a foreign government or governments, an international organization of governments, or any element thereof, with the expectation that the information, the source of the information, or both, are to be held in confidence; (2) Information produced by the United States pursuant to or as a result of a joint arrangement with a foreign government or governments, or an international organization of governments, or any element thereof, requiring that the information, the arrangement, or both, are to be held in confidence; or (3) information received and treated as “Foreign Government Information” under the terms of Executive Order 12958 or any predecessor order. (j) Mandatory declassification review means the review for declassification of classified information in response to a request for declassification that meets the requirements under section 3.6 of Executive Order 12958. (k) Multiple sources means two or more source documents, classification guides, or a combination of both. (l) National security means the national defense or foreign relations of the United States. (m) Need to know means a determination made by an authorized holder of classified information that a prospective recipient requires access to specific classified information in order to perform or assist in a lawful and authorized governmental function. (n) Original classification means an initial determination that information requires, in the interest of national security, protection against unauthorized disclosure. (o) 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. (p) Self-inspection means the internal review and evaluation of individual Commission activities and the Commission as a whole with respect to the implementation of the program established under Executive Order 12958 and its implementing directives. (q) Senior agency official (“security officer”) means the official designated by the Chairman under section 5.6 of Executive Order 12958 to direct and administer the Commission's program under which classified information is safeguarded. (r) Source document means an existing document that contains classified information that is incorporated, paraphrased, restated, or generated in new form into a new document. (s) Unauthorized disclosure means a communication or physical transfer of classified information to an unauthorized recipient. [64 FR 23547, May 3, 1999] The Chairman of the Commission shall designate a senior agency official to be the Security Officer for the Commission, who shall be responsible for directing, administering and reporting on the Commission's information security program, which includes oversight (self-inspection) and security information programs to ensure effective implementation of Executive Orders 12958 and 12968, and 32 CFR part 2001. [64 FR 23547, May 3, 1999] An Oversight Committee is established, under the chairmanship of the Security Officer with the following responsibilities: (a) Establish a Commission security education program to familiarize all personnel who have or may have access to classified information with the provisions of Executive Order 12958 and directives of the Information Security Oversight Office. The program shall include initial, refresher, and termination briefings; (b) Establish controls to ensure that classified information is used, processed, stored, reproduced, and transmitted only under conditions that will provide adequate protection and prevent access by unauthorized persons; (c) Act on all suggestions and complaints concerning the Commission's information security program; (d) Recommend appropriate administrative action to correct abuse or violations of any provision of Executive Order 12958; and (e) Consider and decide other questions concerning classification and declassification that may be brought before it. [49 FR 44401, Nov. 6, 1984, as amended at 64 FR 23548, May 3, 1999] (a) No Commission Member or employee has the authority to originally classify information. (b) If a Commission Member or employee develops information that appears to require classification, or receives any foreign government information as defined in section 1.1(d) of Executive Order 12958, the Member or employee shall immediately notify the Security Officer and appropriately protect the information. (c) If the Security Officer believes the information warrants classification, it shall be sent to the appropriate agency with original classification authority over the subject matter, or to the Information Security Oversight Office, for review and a classification determination. (d) If there is reasonable doubt about the need to classify information, it shall be safeguarded as if it were classified pending a determination by an original classification authority. If there is reasonable doubt about the appropriate level of classification, it shall be safeguarded at the higher level of classification pending a determination by an original classification authority. [49 FR 44401, Nov. 6, 1984, as amended at 64 FR 23548, May 3, 1999] (a) In accordance with Part 2 of Executive Order 12958 and directives of the Information Security Oversight Office, the incorporation, paraphrasing, restating or generation in new form of information that is already classified, and the marking of newly developed material consistent with the classification markings that apply to the source information, is derivative classification. (1) Derivative classification includes the classification of information based on classification guidance. (2) The duplication or reproduction of existing classified information is not derivative classification. (b) Members or employees applying derivative classification markings shall: (1) Observe and respect original classification decisions; and (2) Carry forward to any newly created documents the pertinent classification markings. (3) For information derivatively classified based on multiple sources, the Member or employee shall carry forward: (i) The date or event for declassification that corresponds to the longest period of classification among the sources; and (ii) A listing of these sources on or attached to the official file or record copy. (c) Documents classified derivatively shall bear all markings prescribed by 32 CFR 2001.20 through 2001.23 and shall otherwise conform to the requirements of 32 CFR 2001.20 through 2001.23. [64 FR 23548, May 3, 1999] (a) The Commission exercises declassification and downgrading authority in accordance with section 3.1 of Executive Order 12958, only over that information originally classified by the Commission under previous Executive orders. Declassification and downgrading authority may be exercised by the Commission Chairman and the Commission Security Officer, and such others as the Chairman may designate. Commission personnel may not declassify information originally classified by other agencies. (b) The Commission does not now have original classification authority nor does it have in its possession any documents that it originally classified when it had such authority. The Commission has authorized the Archivist of the United States to automatically declassify information originally classified by the Commission and under its exclusive and final declassification jurisdiction at the end of 20 years from the date of original classification. [49 FR 44401, Nov. 6, 1984, as amended at 64 FR 23548, May 3, 1999] (a) Information originally classified by the Commission but which has not been automatically declassified shall be subject to a review for declassification by the Commission, if: (1) A declassification request is made; and (2) A request describes the documents or material containing the information with sufficient specificity to enable the Commission to locate it with a reasonable amount of effort. Requests with insufficient description of the material will be returned to the requester for further information. (b) Requests for mandatory declassification reviews of documents originally classified by the Commission shall be in writing, and shall be sent to the Security Officer, Federal Maritime Commission, Washington, DC 20573. (c) If the request requires the provision of services by the Commission, fair and equitable fees may be charged pursuant to 31 U.S.C. 9701. (d) Requests for mandatory declassification reviews shall be acknowledged by the Commission within 15 days of the date of receipt of such requests. (e) If the information was originally classified by the Commission, the Commission Security Officer shall forward the request to the Chairman of the Commission for a determination of declassification. If the information was originated by another agency, the Commission Security Officer shall refer the review and the pertinent records to the originating agency. The final determination will be issued within 180 days of the receipt of the request. (f) If the document was derivatively classified by the Commission or originally classified by another agency, the request, the document, and a recommendation for action shall be forwarded to the agency with the original classification authority. The Commission may, after consultation with the originating agency, inform the requester of the referral. (g) If a document is declassified in its entirety, it may be released to the requester, unless withholding is otherwise warranted under applicable law. If a document or any part of it is not declassified, the Security Officer shall furnish the declassified portions to the requester unless withholding is otherwise warranted under applicable law, along with a brief statement concerning the reasons for the denial of the remainder, and the right to appeal that decision to the Commission within 60 days. (h) If a declassification determination cannot be made within 45 days, the requester shall be advised that additional time is needed to process the request. Final determination shall be made within one year from the date of receipt unless there are unusual circumstances. (i) In response to a request for information under the Freedom of Information Act, the Privacy Act of 1974, or the mandatory review provisions of Executive Order 12958, the Commission 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 Executive Order 12958. (j) When a request has been submitted both under mandatory review and the Freedom of Information Act (FOIA), the requester must elect one process or the other. If the requester fails to so elect, the request will be treated as a FOIA request unless the requested materials are subject only to mandatory review. [49 FR 44401, Nov. 6, 1984, as amended at 64 FR 23548, May 3, 1999] (a) Within 60 days after the receipt of denial of a request for mandatory declassification review, the requester may submit an appeal in writing to the Commission through the Secretary, Federal Maritime Commission, Washington, DC 20573. The appeal shall: (1) Identify the document in the same manner in which it was identified in the original request; (2) Indicate the dates of the request and denial, and the expressed basis for the denial; and (3) State briefly why the document should be declassified. (b) The Commission shall rule on the appeal within 30 days of receiving it. If additional time is required to make a determination, the Commission shall notify the requester of the additional time needed and provide the requester with the reason for the extension. The Commission shall notify the requester in writing of the final determination and the reasons for any denial. (c) In accordance with section 5.4 of Executive Order 12598 and 32 CFR 2001.54, within 60 days of such issuance, the requester may appeal a final determination of the Commission under paragraph (b) of this section to the Interagency Security Classification Appeals Panel. The appeal should be addressed to, Executive Secretary, Interagency Security Classification Appeals Panel, Attn: Classification Challenge Appeals, c/o Information Security Oversight Office, National Archives and Records Administration, 7th and Pennsylvania Avenue, N.W., Room 5W, Washington DC 20408. [49 FR 44401, Nov. 6, 1984, as amended at 64 FR 23548, May 3, 1999] (a) All classified information shall be afforded a level of protection against unauthorized disclosure commensurate with its level of classification. (b) Whenever classified material is removed from a storage facility, such material shall not be left unattended and shall be protected by attaching an appropriate classified document cover sheet to each classified document. (c) Classified information being transmitted from one Commission office to another shall be protected with a classified document cover sheet and hand delivered by an appropriately cleared person to another appropriately cleared person. (d) Classified information shall be made available to a recipient only when the authorized holder of the classified information has determined that: (1) The prospective recipient has a valid security clearance at least commensurate with the level of classification of the information; and (2) The prospective recipient requires access to the information in order to perform or assist in a lawful and authorized governmental function. (e) The requirement in paragraph (d)(2) of this section, that access to classified information may be granted only to individuals who have a need-to-know the information, may be waived for persons who: (1) Are engaged in historical research projects, or (2) Previously have occupied policy-making positions to which they were appointed by the President. (f) Waivers under paragraph (e) of this section may be granted when the Commission Security Officer: (1) Determines in writing that access is consistent with the interest of national security; (2) Takes appropriate steps to protect classified information from unauthorized disclosure or compromise, and ensures that the information is properly safeguarded; and (3) Limits the access granted to former presidential appointees to items that the person originated, reviewed, signed, or received while serving as a presidential appointee. (g) Persons seeking access to classified information in accordance with paragraphs (e) and (f) of this section must agree in writing: (1) To be subject to a national security check; (2) To protect the classified information in accordance with the provisions of Executive Order 12958; and (3) Not to publish or otherwise reveal to unauthorized persons any classified information. (h) Except as authorized by the originating agency, or otherwise provided for by directives issued by the President, the Commission shall not disclose information originally classified by another agency. (i) Only appropriately cleared personnel may receive, transmit, and maintain current access and accountability records for classified material. (j) Each office which has custody of classified material shall maintain: (1) A classified document register or log containing a listing of all classified holdings, and (2) A classified document destruction register or log containing the title and date of all classified documents that have been destroyed. (k) An inventory of all documents classified higher than confidential shall be made at least annually and whenever there is a change in classified document custodians. The Commission Security Officer shall be notified, in writing, of the results of each inventory. (l) Reproduced copies of classified documents are subject to the same accountability and controls as the original documents. (m) Combinations to dial-type locks shall be changed only by persons having an appropriate security clearance, and shall be changed whenever such equipment is placed in use; whenever a person knowing the combination no longer requires access to the combination; whenever a combination has been subject to possible compromise; whenever the equipment is taken out of service; and at least once each year. Records of combinations shall be classified no lower than the highest level of classified information to be stored in the security equipment concerned. One copy of the record of each combination shall be provided to the Commission Security Officer. (n) Individuals charged with the custody of classified information shall conduct the necessary inspections within their areas to insure adherence to procedural safeguards prescribed to protect classified information. The Commission Security Officer shall conduct periodic inspections to determine if the procedural safeguards prescribed in this subpart are in effect at all times. (o) Whenever classified material is to be transmitted outside the Commission, the custodian of the classified material shall contact the Commission Security Officer for preparation and receipting instructions. If the material is to be hand carried, the Security Officer shall ensure that the person who will carry the material has the appropriate security clearance, is knowledgeable of safeguarding requirements, and is briefed, if appropriate, concerning restrictions with respect to carrying classified material on commercial carriers. (p) Any person having access to and possession of classified information is responsible for protecting it from persons not authorized access to it, to include securing it in approved equipment or facilities, whenever it is not under the direct supervision of authorized persons. (q) Employees of the Commission shall be subject to appropriate sanctions, which may include reprimand, suspension without pay, removal, termination of classification authority, loss or denial of access to classified information, or other sanctions in accordance with applicable law and agency regulation, if they: (1) Knowingly, willfully, or negligently disclose to unauthorized persons information properly classified under Executive Order 12958 or predecessor orders in force; (2) Knowingly and willfully classify or continue the classification of information in violation of Executive Order 12958 or any implementing directive; or (3) Knowingly and willfully violate any other provision of Executive Order 12958 or implementing directive. (r) Any person who discovers or believes that a classified document is lost or compromised shall immediately report the circumstances to his or her supervisor and the Commission Security Officer, who shall conduct an immediate inquiry into the matter. (s) Questions with respect to the Commission Information Security Program, particularly those concerning the classification, declassification, downgrading, and safeguarding of classified information, shall be directed to the Commission Security Officer. [49 FR 44401, Nov. 6, 1984; 49 FR 47395, Dec. 4, 1984, as amended at 64 FR 23548, May 3, 1999]
Title 46: Shipping
PART 503—PUBLIC INFORMATION
Subpart F—Information Security Program
§ 503.51 Definitions.
§ 503.52 Senior agency official.
§ 503.53 Oversight Committee.
§ 503.54 Original classification.
§ 503.55 Derivative classification.
§ 503.56 General declassification and downgrading policy.
§ 503.57 Mandatory review for declassification.
§ 503.58 Appeals of denials of mandatory declassification review requests.
§ 503.59 Safeguarding classified information.
