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Summary

On September 19, 2013, we issued our report entitled DOT Not Fully Complying with Requirements of the Reducing Over-Classification Act.  Our objectives were to (1) determine whether DOT has implemented effective policies and procedures for classification of information that comply with Federal policy and regulations, and (2) identify any practices that may lead to continuous misclassification of information. We found that not all DOT classification related policies and procedures are effective or comply with Federal requirements, including the National Archives and Records Administration’s Information Security Oversight Office’s (ISOO) regulation. Specifically, the Office of the Secretary of Transportation (OST) did not conduct comprehensive self-inspections of spaces dedicated to storage of classified documents; the Department’s classified documents were not all correctly marked;  OST’s reports to ISOO are not accurate; and FAA’s Order on Safeguarding Classified National Security Information needs to be updated to comply with ISOO requirements. We could not conclude whether there are practices that led to continuous misclassification because the necessary security clearances are pending. We worked with the Department to request the necessary clearance and access. The Department has processed our request and forwarded it to the responsible agency. We are awaiting the response from this agency. Within two months of receiving this response, if favorable, we will complete our review of supporting documentation to determine if there are practices that contribute to continuous misclassification.  We made four recommendations to DOT and one recommendation to FAA. DOT and FAA officials concurred with all recommendations.