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Information Security Oversight Office
National Archives and Records Administration
700 Pennsylvania Avenue, NW
Washington, DC 20408

2001年9月17日

总统
白宫
华盛顿特区20500

Dear Mr. President:

我们很高兴向总统提交信息安全监督办公室（ISOO）2000 2000年报告。

Year five of implementation ofExecutive Order 12958, "Classified National Security Information," shows mixed results in the security classification program in the executive branch during FY 2000. Declassification activity within the executive branch continued to add significantly to the unprecedented number of pages declassified. However, classification activity within the executive branch increased dramatically as the change from paper to an electronic environment continues to render old sampling systems obsolete. Other areas of the security classification program noted modest increases, i.e., original classification authorities and security cost estimates.

In the declassification program, agencies of the executive branch reported declassifying almost 75 million pages of records having permanent historical value. Combined with figures reported in the first four years of the Order's implementation, the executive branch has declassified almost 795 million pages of records since October 1995. This is an extraordinary accomplishment, particularly given the increasing obstacles that the agencies must face to declassify records. The hundreds of millions of pages declassified under this Order will provide researchers and historians with information that will help write our nation's history for years to come.

In recent years ISOO has raised concerns about the data collected by the agencies regarding their security classification programs, particularly increases in classification activity. The FY 2000 data for derivative classification activity showed a dramatic increase from FY 1999. The increase is not a result of new programs. We believe the primary factor responsible for this dramatic increase is the rapidly expanding electronic environment. Today, information once exchanged in millions of secure telephone conversations that clearly were not counted as classification decisions is now being relayed through secure e-mail which is electronically tabulated and counted as classification decisions. The impact of the electronic environment is clearly reflected in the data reported by the agencies to ISOO and points to a need to review data collection methods and to formulate a new baseline from which to analyze the data. ISOO has embarked on such a project with a goal towards developing standard guidelines for the sampling methods and the calculation of a new baseline.

分类和解密活动是安全分类程序的主要组成部分。当我们在分类中看到诸如我们看到的指标时，需要重新检查有关这些指标的政策。通过机构间的努力，ISOO将开始此过程，着眼于改善安全分类程序。请放心，Isoo的工作人员以及负责实施安全分类计划的整个行政部门和行业的其他成千上万的人，期待与您共同努力，以优化绩效。

Summary of FY 2000 Program Activity

The following Report to the President is the fifth report under E.O. 12958, which went into effect in October 1995. The following data highlight ISOO's findings.

分类

解密

YEAR FIVE

Implementation of the Automatic
解密Provision of
Executive Order 12958 --

“分类国家安全信息”

1.背景

Executive Order 12958, "Classified National Security Information,"issued on April 17, 1995, and effective on October 14, 1995, marked a significant departure from the secrecy policies of the past. The first order to revise the security classification system since the end of the Cold War, E.O. 12958 included major changes which have already resulted in a dramatic increase in the amount of information being declassified. Fiscal Year 2000 marked the fifth year in which the policies of the Order have been in effect.

第3.4节的解密规定包含新安全分类系统中最深远的改革。本节标题为“自动解密”，要求自动解密25年历史的最有价值的信息。过去，这些较旧的分类记录无限期地分类。在E.O.12958年，这些相同的记录，包括在过去50年中创建的约16.27亿页，自2000年4月17日的订单发行日期以来，自动解密了五年。行政命令13142, issued on November 19, 1999, amended E.O. 12958, to extend the date of the imposition of the automatic declassification provision until October 14, 2001. For two groups of records, those that contain information classified by more than one agency and those that almost invariably contain information pertaining to intelligence sources and methods, E.O. 13142 extended the date of imposition of the automatic declassification provision an additional eighteen months, until April 17, 2003.

为了使信息归类超过25年，代理商负责人必须能够证明：（1）特定信息属于自动解密的豁免范围狭窄。然后，该决定由高级官员的机构间小组进行外部审查；（2）由代理商负责人确定并经总统批准的特定文件系列，几乎总是包含豁免信息。1999年3月9日，有10个机构被授予了特定的“文件系列豁免”，这些系列均收到了几乎总是属于一个或多个豁免类别的信息。有关更多信息，请参阅Isoo的FY 1998 Report to the Presidenton ISOO's home page at www.nara.gov.

In effect, E.O. 12958 reverses the resource burden. Unlike prior systems, in which agencies had to expend resources in order to declassify older information, under E.O. 12958, agencies must expend the resources necessary to demonstrate why older, historical information needs to remain classified.

2. PAGES DECLASSIFlED

收集的数据信息安全sight Office (ISOO) for this report reveal that in Fiscal Year 2000, the agencies of the executive branch continued to declassify historically valuable documents in numbers unprecedented before the issuance of Executive Order 12958. In FY 2000, executive branch agencies declassified almost 75 million pages of permanently valuable historical records. Although this represents a reduction of approximately 41 percent from the number of pages declassified in FY 1999, it exceeds the yearly average under prior executive orders by six-fold. Agencies continued to do significant declassification even with the legislation [Section 3161of Public Law 105-261, entitled "Protection Against Inadvertent Release of Restricted Data and Formerly Restricted Data."] that requires the re-review of those records that have previously been declassified before they are made available to the public. The purpose of this legislation is to make certain that the declassified records do not inadvertently contain information classified under the terms of the Atomic Energy Act, called "Restricted Data" and "Formerly Restricted Data." Records classified under the Atomic Energy Act are not subject to E.O. 12958 or its declassification provisions.

虽然2000财年在2000财年中解密的页面数量比1999财年解释的页数减少了约41％，但所达到的产品仍然很了不起。它发生在另一年，国家档案和记录管理局（NARA）进一步降低了其解密产品，这是由上述立法提出的，这些产品将资源远离NARA的新解密审查而大幅转移。奈良先前占解密的页面数量的50％以上。正如本报告的“解密”部分中更详细地解释的那样，该立法要求按页面解密审查和重新评估已经解密的文件，以便搜索根据《原子能法》归类的信息。国防部由海军和陆军部门领导，在2000财年划分了超过5100万页的永久有价值的记录。虽然从1999财年起减少了2800万页，但国防部的总数占已撤销页面的总数的69％。在2000财年。鉴于当前的记录宇宙减少了自动解密的范围，以及限制了专门用于系统审查的资源的各种立法规定，行政部门的2000财年总数仍然非常出色。

在E.O.的头五年中12958年实际上是行政部门的机构，已将约7.95亿页的永久性历史记录分解。在签署命令后，在1995财年，但在其生效日期之前，将额外的6900万页永久有价值的历史记录被解释。自从Isoo于1978年底成立并开始收集和分析1980财年的数据以来，它报道了永久有价值的历史记录的解密，总计约10.5亿页。在总计8.64亿页（8600％）中，已被解释为大部分，这在很大程度上是由于E.O.的自动解密规定。12958或其即将生效的日期。

3. LOOKING AHEAD

机构间安全分类上诉面板

AUTHORITY

FUNCTIONS

成员

行政秘书

SUPPORT STAFF

Summary of Activity

The机构间安全上诉小组（ISCAP）was created under E.O. 12958 to perform the critical functions noted above. The ISCAP, comprised of senior level representatives appointed by the Secretaries of State and Defense, the Attorney General, the Director of Central Intelligence, the Archivist of the United States, and the Assistant to the President for National Security Affairs, began meeting in May 1996. The President designates its Chair, the Director of ISOO serves as its Executive Secretary, and ISOO provides its staff support.

解密Guidance Under Section 3.4(d); ISCAP Approves CIA and DIA Guides

也许E.O.给分类系统带来了最重大的变化。12958年，历史上有价值的记录不再是无限期的分类。为了使信息保持在25年以上，机构负责人必须证明：（1）由代理商负责人确定并经总统批准的特定文件系列，几乎总是包含属于一个或多个狭窄豁免的信息；（2）由代理商负责人确定并获得ISCAP批准的特定信息，属于自动解密的一个或多个狭窄豁免。

协助机构负责人speci豁免fic information under Section 3.4(d) of E.O. 12958, ISOO's Government-wide implementing directive (32 CFR Part 2001) provides for the submission of declassification guides to the ISCAP for approval. On May 18, 2000, the ISCAP approved the DIA's declassification guide, the first declassification guide approved by the ISCAP. The CIA's declassification guide was approved by the ISCAP on May 17, 2001. Prior to their approval, the CIA and DIA declassification guides were revised at the request of the ISCAP to meet its concerns. The approval of these two guides is of particular importance as they come from within the intelligence community. Moreover, each of these guides provides firm parameters for the future declassification review of all exempted information. Both CIA and DIA are to be commended for their commitment to the declassification provisions of the Order.

Although agencies are not required to submit such guides until 180 days prior to automatic declassification, Army, DOE, JCS, Navy, NIMA, NRO, OSD, and State have already submitted declassification guides for the ISCAP's approval. The ISCAP expects a number of these declassification guides to be approved in the near future and looks forward to the submission of additional guides from other agencies.

Decalssification Appeals Under Section 3.6

迄今为止，ISCAP的大部分努力都集中在强制性解密审查上诉上。ISCAP从1996年5月至2001年6月查看其决策案例的整体案例，已决定寻求对244个文件解密的上诉，这些文件在完成机构处理后完全或部分分类。其中，ISCAP在其投票的80％的文件中解释了信息（94个文件全部，39％；部分100个文件，部分41％）。ISCAP已投票通过50个文件（20％）完全确认该机构的分类行动。

The ISCAP's decisions to date illustrate how faithful application of the declassification standards for 25-year-old information results in access to historically valuable records. Several examples of portions of the documents declassified by the ISCAP during the past year are reproduced on the following pages. [not included here]

A database of decisions rendered by the ISCAP is available from ISOO in electronic form. The database is maintained in Microsoft Access 97. Documents declassified by the ISCAP are made available through the entity that has custody of them, usually a NARA presidential library.

Additional information about the ISCAP, including its bylaws and communiques, can be found at the ISOO web site. For additional assistance, please contact the ISCAP Staff at ISOO.

Security Classification: What Does it Cost?

安全分类计划现在正处于政府和行业报告成本的第六年。国会于1994年首次要求执行分支机构的安全分类成本估算。此外，ISOO是通过第12958号行政命令向总统报告这些成本的任务。第12829号行政命令“国家工业安全计划”还要求Isoo收集和报告行业或承包商成本。

直到最近几年,securi成本ty classification program were deemed non-quantifiable, intertwined with other somewhat amorphous overhead expenses. While many of the program's costs remain ambiguous, ISOO continues to monitor the methodology used to collect the cost estimate data. Requiring agencies to provide exact responses to the cost collection efforts would be cost prohibitive. Consequently, ISOO relies on sampling. The measurements of costs of the security classification system will be estimates. Nevertheless, by maintaining stability in methodology, ISOO should gain over time a good indication of the total cost burden and its upward and downward trends.

GOVERNMENT

根据执行分支工作组开发的共同定义，按类别收集了下面的数据。类别在下面定义。

Personnel Security:一系列互锁和相互支持的计划要素，最初建立政府或承包商雇员的资格，并确保适合继续访问机密信息。

物理安全：That portion of security concerned with physical measures designed to safeguard and protect classified facilities and information, domestic or foreign.

Information Security:Includes three sub-categories:

Professional Education, Training and Awareness:安全培训和意识计划的建立，维护，指导，支持和评估；培训计划的认证和批准；培训记录的开发，管理和维护；培训人员执行与职责相关的任务；在分配与机密信息有关的安全责任之前，人员的资格和/或认证。

安全管理和计划：Development and implementation of plans, procedures and actions to accomplish policy requirements, develop budget and resource requirements, oversee organizational activities and respond to management requests related to classified information.

Unique Items:这些部门或特定于机构的活动在任何主要类别中均未报告，但仍具有重要意义，需要包括在内。

安全分类总成本估计within Government for FY 2000 is $4,270,120,244. This figure represents estimates provided by 35 executive branch agencies including the Department of Defense, whose estimate incorporates the National Foreign Intelligence Program. It does not include, however, the cost estimates of the CIA, which that agency has classified.

Because of expressed interest in the declassification programs established under Executive Order 12958, ISOO also requested agencies to identify that portion of their cost estimates in the category of information security/classification management that was attributable to their declassification programs. For FY 2000, the agencies reported declassification cost estimates of $230,903,374, or 5.4 percent of their total cost estimates.

行业

A joint Department of Defense and industry group developed a cost collection methodology for those costs associated with the use and protection of classified information within industry. Because industry accounts for its costs differently than Government, cost estimate data are not provided by category. Rather a sampling method was applied that included volunteer companies from four different categories of facilities. The category of facility is based on the complexity of security requirements that a particular company must meet in order to hold a classified contract with a government agency.

The 2000 cost estimate totals for industry pertain to the twelve month accounting period for the most recently completed fiscal year of each company that was part of the industry sample. For most of the companies included in the sample December 31, 2000, was the end of their fiscal year. The estimate of total security costs for 2000 within industry was $958,543,000.

The Government cost estimate shows a 14 percent increase above the cost estimate reported for FY 1999. Industry, on the other hand, reported a 22 percent decrease in its cost estimate. The total cost estimate for Government and industry for 2000 is $5.2 billion, $200,000,000 more than the total cost estimate for Government and industry in 1999.

The increase in cost estimates for Government does not appear to result from any new programs. The following categories showed increases from FY 1999: Personnel Security (5%); Professional Education Training and Awareness (23%); Information Security, specifically, Information Technology (27%); and Unique Items (38%). Decreases occurred in the following categories: Physical Security (33%); Security Management Oversight and Planning ((6%); and in the subcategories of Information Security, Classification Management (2%) and Declassification (1%).

With respect to the decrease in contractor costs, this year's estimate appears to be the middle ground for industry. The wide variations between the years 1996, 1997, and 1998 are not reflected in the 1999 estimate of $1.2 billion nor are they in the 2000 estimate of $958 million, a 22 percent decrease from last year. The current estimate was based on sampling from a larger pool of companies as was last year's. This year 80 percent more companies participated in the collection than in 1998; last year almost 86 percent more participated than in 1998. Again, the larger sample tends to suggest greater accuracy. It appears the Department of Defense, the Executive Agent for the National Industrial Security Program, was correct in its assumption that a larger mix of small and large companies reporting data would provide a better sample. ISOO expects that future estimates will continue to include this larger mix of small and large companies, which appears to yield the most realistic data reported to date in what remains an evolving process.

分类

In recent years ISOO has raised concerns about the data collected by the agencies regarding their security classification programs, particularly increases in classification activity. As Government transitions its work and communication methods to an increasingly electronic environment, the techniques used by the agencies to collect data related to the paper environment are becoming ineffective, and possibly obsolete. Today, information once exchanged in millions of secure telephone conversations that clearly were not counted as classification decisions, is now being relayed through secure e-mail which is electronically tabulated and counted as classification decisions. Letters addressed to single addressees can now be copied to hundreds of others with the click of a button. ISOO has witnessed wide variances in increases in classification activity over the past four years; we have tried to extrapolate data to accommodate the issues and concerns the electronic environment has posed, because reported classification decisions were markedly increasing in an environment in which actual classified programs were static or even decreasing. However, the data for FY 2000 have raised even more concerns that extrapolation cannot accommodate and ISOO questions the value of reporting the data. Consequently, we have changed the reporting method in this section of theReport to the President for Fiscal Year 2000to address the concerns that the FY 2000 data raise. Because Derivative classification activity increased so dramatically, the Derivative and Combined parts of this section will provide some explanation and possible means to address the collection of classification activity data in an electronic environment. Original Classification Authorities and Activity will be similar to prior years' reporting.

Original Classifiers

Original classification authorities (OCAs), also called original classifiers, are those individuals designated in writing, either by the President or by selected agency heads, to classify information in the first instance. Under Executive Order 12958, only original classifiers determine what information, if disclosed without authority, could reasonably be expected to cause damage to the national security. Original classifiers must also be able to identify or describe the damage.

在2000财政年度，整个行政部门的原始分类器数量为4,130，比上一年增加了284。今年数字的增加是国务院报道的异常情况的结果，该部门将在后面进行讨论。如果提取了国家数字，OCA的数量代表减少65。ISOO认为，该机构负责对原始分类机构代表团的仔细审查和重新发行的重新发行，则仍然是对这一减少的最大贡献因素。在Isoo认为，一些机构已经达到了原始分类当局数量的水平，这些机构似乎合理地执行了任务。然而，一些具有可比分类活动的较大机构，但更多的OCA可以减少OCA的数量，而不会通过增加使用分类指南对操作产生负面影响。

Last year ISOO commented on the consolidation and reorganization of several agencies as a potential factor in reducing OCAs. These organizational changes included the emergence of the Defense Threat Reduction Agency from a consolidation of the Defense Special Weapons Agency, the On-Site Inspection Agency and several components of the Office of the Secretary of Defense, and the transfer of the functions of the United States Arms Control and Disarmament Agency and the United States Information Agency to the Department of State. This year DTRA reported 9 additional OCAs, which is not an alarming number, and might simply reflect continued evolution within the agency. The more unusual and notable figure is the 30 percent increase in State's OCAs, an increase totaling 534. According to State, its figure reflects the first exact count in years of the total number of OCAs located in the Department of State, the US Mission to the UN and at posts abroad, and includes the integration of the United States Arms Control and Disarmament Agency and the United States Information Agency; in recent years the figure was an extrapolation. ISOO continues to believe that State can reduce the number of its OCAs and continues to prod State to do so. Further, State's development of classification and declassification guides would clearly reduce the need for as many original classifiers.

In fiscal year 2000, agencies a 6 percent increase in the number of original classifiers for the Top Secret level and a 10 percent increase for the Secret classification level. OCAs declined 17 percent at the Confidential level. The Department of Stat's increase was the largest and most troubling. State increased OCAs at the Top Secret level by 40 and at the Secret level by 494 for the reasons stated above. Overall, State increased its number of OCAs by 30 percent. The Department of Defense increased OCAs at the Top Secret level by 17, decreased OCAs at the Secret level by 37, and increased OCAs at the Confidential level by 4. Overall, DOD reduced its number of OCAs by 1 percent. ISOO commends NRC and Treasury for significantly reducing its total number of OCAs by 36 and 29 percent, respectively.

原始分类

原始分类is an initial determination by an authorized classifier that information requires extraordinary protection, because unauthorized disclosure of the information could reasonably be expected to cause damage to the national security. The process of original classification ordinarily includes both the determination of the need to protect the information and the placement of markings to identify the information as classified. By definition, original classification precedes all other aspects of the security classification system, e.g., derivative classification, safeguarding and declassification. Therefore, ISOO often refers to the number of original classification actions as the most important figure that it reports.

For fiscal year 2000, agencies reported a total of 220,926 original classification decisions. This figure represents an increase of 30 percent over the number of original classification decisions reported in fiscal year 1999, essentially all of which is attributable to increases reported by the Department of State. By classification level, Top Secret increased by 79 percent, Secret decreased by 15 percent and Confidential increased by 169 percent. A review of original classification activity under E.O. 12958 does not show a steady trend. During fiscal year 1997, the second full year of implementation of the Order, original classification activity increased by 51 percent, while fiscal year 1998 saw a decrease of 14 percent and fiscal year 1999 an increase of 24 percent. The increase for fiscal year 2000 reflects a change in how certain agencies are collecting the data and may also be a function of the requirement to review and issue classification guides.

三个机构 - 国防部，正义和国家 - 现在占所有原始分类决策的96％。国防部报告总共有49,505个原始分类决策，比上一年减少了44％。目前尚不清楚这是DOD的新分类指南还是减少是否代表需要DOD操作的独特事件下降的结果。

在连续第四年，司法也报告了增加。今年的4％增长显着低于去年的29％。州增加了394％。这种急剧增长可能部分是由于上述状态变化的结果，即报告程序的变化和范围，以及将ACDA和USIA纳入部门的结果。尽管承认这些变化可能会严重影响州的数字，但Isoo继续认为安全分类指南将有助于减少州原始分类决策和当局的数量。国家的原始分类器和原始分类的数据强烈表明需要增加内部和外部监督。

Several agencies with smaller security classification programs reported marked decreases in the number of original classification decisions. In particular, ISOO commends CEA, PFIAB, Treasury, USTR, and NSC, which reported decreases of 100 percent, 79 percent, 39 percent, 38 percent, and 25 percent respectively.

As part of the original classification process, the classifiers must determine a time frame for the protection of the information. This is commonly called the "duration" of classification. Executive Order 12958 creates three possible outcomes at the time of original classification. First, if applicable to the duration of the information's national security sensitivity, information should be marked for declassification upon a specific date or event. For example, a classifier could determine that the information's sensitivity will lapse upon the completion of a particular project. The event would be noted on the face of the document, and when the project had been completed, the information would automatically be declassified. Second, if the original classification authority could not determine an earlier specific date or event for declassification, information should ordinarily be marked for declassification 10 years from the date of the original decision. Third, if the specific information falls within one or more of eight categories, the classifier may exempt it from declassification at 10 years. In almost all instances, this will result in the information being subject to automatic declassification at 25 years. The indefinite duration marking used under Executive Order 12356, "Originating Agency's Determination Required" or "OADR," was eliminated with the issuance of E.O. 12958.

During fiscal year 2000, classifiers chose declassification upon a specific date or event less than 10 years, or upon the 10-year date for 129,386 (59%) original classification decisions. On the remaining 91,540 (41%) original classification decisions, original classifiers elected to apply an exemption from 10-year declassification. The 59 percent noted for the 10-year or less category is the highest percentage reported by the agencies under this Order. ISOO hopes that the originating agencies continue this very positive trend. The long-term effect of assigning a specific date, event or 10 year date suggests that more information will be declassified earlier, without the need for costlier reviews in the future.

Derivative and Combined

Derivative classification is the act of incorporating, paraphrasing, restating, or generating in a new form classified source information. Information may be classified in two ways: (a) through the use of a source document, usually correspondence or publications generated by an original classification authority; or (b) through the use of a classification guide. A classification guide is a set of instructions issued by an original classification authority. It pertains to a particular subject and describes the elements of information about that subject that must be classified, and the level and duration of classification. Only executive branch or Government contractor employees with the appropriate security clearance, who are required by their work to restate classified source information, may classify derivatively.

Combined classification is the sum of both original and derivative classification activities. While original classification represents the smaller portion of combined (2%), it precedes all other aspects of the security classification system and is the more important aspect of combined classification. Original classification decisions are the root of every derivative classification action. Historically, derivative actions have outnumbered original decisions, varying in the last four years anywhere from 40 to 54 derivative actions to one original decision. During fiscal year 2000 this ratio changed dramatically and is discussed in more detail below.

2000财年2000财政年度有关行政部门内衍生物分类活动的数据表明，从1999财政年度开始，这一增长幅度很高，这是如此之高，ISOO质疑报告数据的价值，因为它似乎是如此巨大且与前几年中报道的数据相当。。数据显示，衍生品分类增长了186％ - 从1999财年的近800万行动到2000财年的近2300万行动。两个最大的分类机构占了增长：国防部和中央情报局。Isoo坚信，增加不是新计划的结果。我们认识到导致这种衍生化分类活动这种急剧增加的主要因素是迅速发展的电子环境。缺乏代理商使用的通用抽样方法来收集数据，并且缺乏对描述所收集数据的定义的共同理解和应用，这使过程更加复杂。这些合并的因素清楚地表明，需要重新计算用于分析的基线数字以说明电子环境的含义。这些数据的收集将由一种常见且明确定义的采样方法控制。[Interim guideance on this topic as developed will be posted on our home page.]

随着政府越来越依赖on electronic methods to do business and communicate, the techniques used by the agencies to collect data about the security classification program do not take into account the impact of the electronic environment on the data being collected. Today, information once exchanged in secure telephone conversations is now being relayed through secure e-mail. Letters addressed to a single addressee can now be copied to hundreds of others with the click of a button. We know that some agencies can now tabulate all classification actions electronically. What they have not been able to do yet is differentiate in that tabulation each classification decision in the context of the definition provided in the instructions of the data collection form, the Standard Form 311, Agency Security Classification Management Program Data (SF 311).[A classification decision, original or derivative, is a finished product for dissemination or retention, regardless of the media.]For example, if the secure telephone conversations now replaced by secure e-mails were considered in the context of the SF 311 definition of a classification decision, it is likely that many of the e-mails would not be included in the collection.

The methods used by agencies to collect data on their security classification programs, as mandated by Executive Order 12958 and prior Orders, vary by agency. As noted above, some agencies have the ability to collect actual data on how many classification decisions, whether original or derivative, their classifiers make in a particular fiscal year. Other agencies, because they are so large and diverse in mission and location, use a sampling method to collect classification data. Each agency that uses a sampling method has had that method approved by ISOO.

Generally, the methods involve randomly selecting one-week time periods in each quarter of a fiscal year and requiring classifiers to count the number of decisions made during those weeks. Then those figures are multiplied by a factor, for example 13 (52 weeks divided by 4 weeks equals 13), to arrive at a total for each of the classification categories listed in the data collection form, the SF 311. While the methods used by the agencies appeared to have worked well, those same agencies were not satisfied with the results and looked for better ways to collect the data.

To assist agencies in this endeavor, ISOO has also embarked on a project to develop guidance for sampling methods to be used in data collections for agency security classification programs. CIA has already revamped its sampling method, taking into account the electronic environment, and applied it to the fiscal year 2000 collection. We believe that CIA's FY 2000 data are probably the most valid to date. Additional years of data will help to either support or disclaim this point. In any event, the work that CIA has done will serve as an excellent beginning to developing a guideline for use across the executive branch and will help in establishing a new baseline against which future data collections can be compared.

A common understanding and application of definitions of the data being collected are important aspects of any sampling method. ISOO has found that, while definitions for various terms appear both in E.O. 12958 and in the instructions to the SF 311, agencies do not interpret the definitions in the same way. For example, one agency's understanding of an original classification decision is that a memo or letter could contain several original decisions. Therefore, a letter or memo would not count as one original classification decision, but would count for as many decisions as are contained in the memo or letter. As part of developing the guideline, ISOO will need to address how to reconcile the differences in the understandings and applications of the various terms used in collecting data concerning agency security classification programs, particularly in the context of the electronic environment.

电子环境提出了许多有关其中包含的分类信息的特征的问题。isoo注意到电子环境过去为安全分类程序构成的问题Reports to the President。具体来说，我们的1999年财政年度报告说,“ISOO相信大大增加use of automated information systems, and advancements in technology will continue to affect how information is created, collected, analyzed, and disseminated, thus affecting the tabulation of derivative classification activity." Clearly, this point is vividly illustrated in the derivative classification data reported by the agencies for fiscal year 2000. In its guidance development project concerning sampling methods, ISOO will try to answer questions like: When does the classified information contained in these systems become accountable and countable? Are the e-mail message and any attachments each considered separately as an individual action or classification decision? How should the baseline be measured to accommodate electronic classification decisions in addition to paper? Answers to these questions and others will help to provide a clearer view of the Government's classification activity in an electronic environment. Until the guideline and new baseline are developed, ISOO expects to provide interim guidance to the agencies to help mitigate some of the disparities in the data being reported.

解密

During fiscal year 2000, declassification activity within the executive branch declined for the second year in a row. Nevertheless, declassification under this Order continued to exceed the average under prior executive orders by tenfold. Instituting two declassification programs under E.O. 12958: (1) "Automatic Declassification," Section 3.4 of E.O. 12958; and (2) "Systematic Declassification Review," Section 3.5 of the Order, has very clearly driven the increase in declassification activity. The "Automatic Declassification" program began in mid-October 1995 with the effective date of Executive Order 12958. Under the "Automatic Declassification" program, information appraised as having permanent historical value is automatically declassified once it reaches 25 years of age unless an agency head has determined that it falls within a narrow exemption that permits continued classification. Fiscal year 1996 was the first full year of implementation for this program.

从1972年开始，“对解密的系统审查”是该计划，该计划在记录达到特定年龄之后为解密的目的而审查了分类的永久有价值的记录。在E.O.12356年，奈良是对其机密持有的系统审查所需的唯一机构。现在E.O.12958要求所有启动分类信息的机构来建立和执行系统的解密审查计划，这与自动解密的潜在发作一起进行。实际上，系统审查已成为自动解密程序的附属物。ISOO收集了有关解密的数据，这些数据无法区分这两个程序，因为它们现在是如此相互关联。

During FY 2000, the executive branch declassified almost 75 million pages of permanently valuable historical records. Although this figure represents a 42 percent decrease from that reported for FY 1999, it is important to note that it represents an increase of 62 million declassified pages when compared to the average yearly declassification activity reported under prior executive orders. The declassification of so many pages is remarkable in light of the many obstacles faced by executive branch agencies.

ISOO estimates that agencies have completed work on approximately 68 percent of the pages subject to automatic declassification, either by declassifying or exempting them. Those records remaining to be reviewed (an estimated 526 million pages) tend to be the later (1975 and earlier) and more complex and sensitive bodies of records. Such records require more time to review and process. The "low-hanging fruit," those records that are the oldest and least sensitive, such as operational records of Army components created during World War II, have almost all "been picked." Agencies reviewed these types of records in their backlog first; now the more difficult records have come to the forefront for review. Consequently, a decrease, such as we have seen in fiscal years 1999 and 2000, should be considered as an inherent part of the declassification process.

However, other factors outside the process affect declassification activity. For example, as reported in ISOO's1999年财政年度报告to the President, legislation enacted in FY 1999, addressing the protection of Restricted Data and Formerly Restricted Data, required agencies to shift resources away from the automatic and systematic declassification programs to meet the requirements of the legislation. This legislation and other special topical searches mandated by other legislative initiatives such as theNazi War Crimes Disclosure Act of 1998and theJapanese Imperial Government Disclosure Act of 2000, again affected NARA's declassification program.

NARA's pages declassified in FY 2000 decreased by 57 percent from FY 1999. In past years NARA has been the lead agency in the number of pages declassified. NARA cites the same reasons for the decrease in FY 2000 as was cited in FY 1999, namely: (1) NARA reviewers began the re-review of previously declassified records to determine, as required by legislation, whether these records inadvertently contained Restricted Data or Formerly Restricted Data under the Atomic Energy Act; (2) many NARA staff members who previously worked on declassification were assigned to assist in the massive transfer of permanently valuable records from the Washington National Records Center to the National Archives in College Park; and (3) those NARA staff members who continued to do declassification review were required by the legislation pertaining to Restricted Data and Formerly Restricted Data to review everything on a page-by-page basis; in the past as much as 85 percent of NARA's declassification actions involved sampling methods. In addition to these reasons, NARA notes another factor that has affected their declassification activity, reviewing intelligence records related to theNazi War Crimes Disclosure Act of 1998and theJapanese Imperial Government Disclosure Act of 2000。These records, according to NARA, are "more difficult to review and take longer to process than average."

在那五年t Executive Order 12958 has been in effect, over 795 million pages have been declassified. Compared to the total of pages declassified under two prior executive orders (E.O. 12065 and E.O. 12356) over the course of 15 years, 257 million pages, the executive branch in the past five years has more than tripled the number of pages declassified. For the 20 years during which ISOO has been collecting data, declassification activity within the executive branch resulted in over 1 billion pages declassified.

For the second year in a row DOD led the executive branch in the number of total pages declassified in FY 2000, accounting for more than 69 percent of the total. Although DOD was the lead agency, it reported a decrease in its total pages declassified of 35 percent. AID (95%), NARA (57%), NASA (40%), DOE (29%), and State (29%) also experienced significant decreases. Some agencies reported remarkable increases in their declassification activity in FY 2000 as compared to FY 1999: Treasury (9,721%), Justice (96%), CIA (72%), and NSC (31%). ISOO commends these all of these agencies, whatever their outcomes in FY 2000, and encourages them to sustain their efforts.

Mandatory Review

Under Executive Order 12958, the mandatory review process permits individuals or agencies to require an agency to review specified national security information for purposes of seeking its declassification. Requests must be in writing and describe the information with sufficient detail to permit the agency to retrieve it with a reasonable amount of effort. Mandatory review remains popular with some researchers as a less contentious alternative to Freedom of Information Act (FOIA) requests. It is also used to seek the declassification of presidential papers or records, which are not subject to the FOIA. Also, some researchers are now choosing mandatory review over FOIA in order to retain the right of appeal to the ISCAP (see above).

During FY 2000 agencies processed 3,039 cases totaling 94,950 pages. The number of pages processed increased by 5 percent from the previous year. Both the number of pages and the percentage of pages declassified in whole or in part increased, from 84,141 pages and 93 percent to 90,485 pages and 95 percent. The percentage of pages declassified in whole or in part has remained high under Executive Order 12958, with this year's rate being the highest of the last five years. While outside factors, such as legislation, have had an impact on how many mandatory declassification review requests can be processed by the agencies, ISOO believes that mandatory review remains a very successful means for declassifying information.

在2000财政年度,92年上诉机构处理comprised 2,841 pages. Of these, 53 percent of the pages were granted in whole or in part. The rate is 39 percent lower than last year. The lower rate of declassification suggests three things: (1) Less information remains classified following the initial mandatory review; (2) more recent records are being requested; and (3) agencies are retaining the classification because the sensitivity of the information continues to meet the criteria under the Order. The lower rate further suggests that the ISCAP may expect to see an increase in appeals from denied requesters.

Security Training Aids

行政命令12958年主要带来了许多变化ciples, practices, and procedures. Security education remains more critical than ever. Familiarizing those who have access to classified information with the requirements of the classification system is a major undertaking for security professionals in both Government and industry. ISOO continues to explore ways to coordinate the dissemination of as many security education tools as possible or to develop them within the context of budgetary considerations. For now, ISOO has available a marking pamphlet to serve as a general guide for use by both original and derivative classifiers. We have also revised our popular标准表格（SF）312简报手册by including the Executive Order 12958, reprinting new legislation that is pertinent to individuals signing the SF 312, updating the "Questions and Answers" segment and including a copy of the updated SF 312 form (edition date 1/00). ISOO has also launched a主页在国家档案和记录管理网站下。

标记小册子

This booklet is a general, illustrated guide on how to mark classified documents in accordance with the requirements of Executive Order 12958 and its implementing directives. Authorized original and derivative classifiers as well as administrative personnel who prepare classified documents can rely on this booklet whenever there is a question about the marking of a classified document.

SF 312简报手册

This booklet remains popular with agency and industry security managers who provide briefings on the SF 312 "Classified Information Nondisclosure Agreement." It includes the complete text of all the laws and regulations that must be available if requested by someone signing the SF 312, including the text of Executive Order 12958, a copy of the SF 312 and updated answers to the most frequently asked questions about the nondisclosure agreement. The revised SF 312 Booklet includes the latest version of the SF 312 form (edition date 1/00) and the text of new legislation that is pertinent to individuals signing the SF 312.

THE SF 312 VIDEO

This 13-minute video provides an entertaining but informative approach to answering most of the questions that employees raise about the purpose of the nondisclosure agreement and their obligations under it. It provides an excellent base for an employee briefing on the SF 312.

EXECUTIVE ORDER 12958 AND IMPLEMENTING DIRECTIVE PACKET

This packet is a three-hole punched, shrink-wrapped document that includes Executive Order 12958, its implementing directives, the President's Original Classification Authority designations, and amendments. Tabs identify each of these items. They are printed in a very clear and a very easy to read format. This is one of the most "user friendly" versions of the Order and its related documents.

对于这些培训辅助工具的副本，请联系Isoo：

Source: ISOO Hardcopy. HTML byFAS。



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