DEPARTMENT OF DEFENSE
WASHINGTON HEADQUARTERS SERVICES
1155 DEFENSE PENTAGON
WASHINGTON, DC 20301-1155
April 1, 1987
ADMINISTRATIVE INSTRUCTION NO. 26
SUBJECT: INFORMATION SECURITY SUPPLEMENT TO DoD 5200.1-R
References: (a) Administrative Instruction No. 26,
"OSD Information Security Suppliment to DoD 5200.1-R,"
April 29, 1983 (hereby canceled)
(b) Administrative Instruction No. 25, "OSD Automated
Information System Security," November 15, 1985 (hereby
canceled)
(c) Administrative Instruction No. 61, "Door Locks,
Combination Locks, Access Control Devices, and Security
Containers," April 20, 1984 (hereby canceled)
(d) Administrative Instruction No. 69, "Security Compromises
and Violations," November 3, 1983 (hereby canceled)
(e) Administrative Instruction No. 84, "OSD Technical
Surveillance Countermeasures (TSCM) Program," July 18,
1983 (hereby canceled)
(f) through (bbbb), see section C1.1., enclosure 1
1. REISSUANCE AND PURPOSE
This Instruction:
1.1. Reissues and consolidates reference (a) with references
(b) through (e) into a single document.
1.2. Establishes uniform compliance by supplementing
DoD 5200.1-R and related DoD security issuances.
2. APPLICABILITY AND SCOPE
2.1. This Instruction applies to all organizations
of the Office of the Secretary of Defense (OSD) and
other organizations supported administratively by Washington
Headquarters Services (WHS) (hereafter referred to collectively
as "OSD Components"). It does not apply to the Organization
of the Joint Chiefs of Staff (OJCS).
2.2. This Instruction applies to all personnel employed
by, assigned to, or attached for duty to OSD Components
and to all OSD Component contractors and consultants.
2.3. The text of DoD 5200.1-R is printed in regular
type and the supplementary Instruction text is printed
in an all-capitalization type. Further supplementation
of this Instruction may be issued by OSD Components.
3. RESPONSIBILITIES
3.1. The Director, Washington Headquarters Services
(WHS), shall provide security services for OSD Components.
3.2. The Heads of OSD Components shall ensure that
all employees within their organization read and comply
with this Instruction.
3.3. The Director, Physical Security Division (PSD),
shall:
3.3.1. Manage the Information Security Program.
3.3.2. Submit reports to the Director, WHS, and to
the Head of the OSD Component concerned on Information
Security Program matters.
3.3.3. Provide advice, assistance, guidance, and training
support to OSD Components on the Information Security
Program.
3.3.4. Accredit automated information systems.
3.4. Security Managers shall implement Security Procedures
and Information Security Programs.
3.5. Employees shall comply with this Instruction and
keep their security managers informed of security matters.
5. EFFECTIVE DATE
This Instruction is effective immediately.
Enclosures - 1
E1. Department of Defense Information Security Program
Regulation with Instructions
CONTENTS
CHAPTER 1. GENERAL PROVISIONS
Section 1. REFERENCES, CONTINUED
Sub-section
1-100.
References, continued
19
Section 2. PURPOSE AND APPLICABILITY
1-200.
Purpose
23
1-201.
Applicability
23
1-202.
Nongovernment Operations
24
1-203.
Combat Operations
24
1-204.
Atomic Energy Material
24
1-205.
Sensitive Compartmented and Communications Security
Information
24
1-206.
Automatic Data Processing Systems
25
1-207.
SUGGESTIONS FOR CHANGES
25
Section 3. DEFINITIONS
1-300.
Access
25
1-301.
Applicable Associated Markings
25
1-302.
Carve-Out
25
1-303.
Classification Authority
25
1-304.
Classification Guide
25
1-305.
Classified Information
26
1-306.
Classifier
26
1-307.
Communications Security (COMSEC)
26
1-308.
Compromise
26
1-309.
Confidential Source
26
1-310.
Continental United States (CONUS)
26
1-311.
Controlled Cryptographic Item (CCI)
26
1-312.
Critical Nuclear Weapon Design Information
27
1-313.
Custodian
27
1-314.
Declassification
27
1-315.
Declassification Event
27
1-316.
Derivative Classification
27
1-317.
Document
27
1-318.
DoD Component
27
1-319.
Downgrade
27
1-320.
Foreign Government Information
27
1-321.
Formerly Restricted Data
28
1-322.
Information
28
1-323.
Information Security
28
1-324.
Intelligence Activity
28
1-325.
Material
28
1-326.
National Security
28
1-327.
Need-to-know
28
1-328.
Original Classification
28
1-329.
Regrade
29
1-330.
Restricted Data
29
1-331.
Security Clearance
29
1-332.
Sensitive Compartmented Information
29
1-333.
Special Access Program
29
1-334.
Special Activity
29
1-335.
Unauthorized Disclosure
29
1-336.
United States and Its Territories, Possessions, Administrative,
and Commonwealth Areas
30
1-337.
Upgrade
30
1-338.
FOR OFFICIAL USE ONLY
30
1-339.
VIDEO TAPE
30
1-340.
VIDEOTAPE
30
1-341.
VIDEOCASSETTE
30
1-342.
VIOLATION
30
Section 4. POLICIES
1-400.
Classification
30
1-401.
Declassification
31
1-402.
Safeguarding
31
Section 5. SECURITY CLASSIFICATION DESIGNATIONS
1-500.
General
31
1-501.
Top Secret
32
1-502.
Secret
32
1-503.
Confidential
32
Section 6. AUTHORITY TO CLASSIFY, DOWNGRADE, AND DECLASSIFY
1-600.
Original Classification Authority
32
1-601.
Derivative Classification Responsibility
32
1-602.
Record and Report Requirements
35
1-603.
Declassification and Downgrading Authority
36
CHAPTER 2. CLASSIFICATION
Section 1. CLASSIFICATION RESPONSIBILITIES
2-100.
Accountability of Classifiers
39
2-101.
Classification Approval
39
2-102.
Classification Planning
39
2-103.
Challenges to Classification
40
2-104.
OSD CLASSIFICATION CHALLENGE PROCEDURES
40
Section 2. CLASSIFICATION PRINCIPLES, CRITERIA, AND
CONSIDERATIONS
2-200.
Reasoned Judgment
42
2-201.
Identification of Specific Information
42
2-202.
Specific Classifying Criteria
42
2-203.
Presumption of Damage
43
2-204.
Limitations on Classification
43
2-205.
Classifying Scientific Research Data
44
2-206.
Classifying Documents
44
2-207.
Classifying Material Other Than Documents
45
2-208.
State of the Art and Intelligence
45
2-209.
Effect of Open Publication
45
2-210.
Reevaluation of Classification Because of Compromise
45
2-211.
Compilation of Information
46
2-212.
Extracts of Information
47
Section 3. DURATION OF ORIGINAL CLASSIFICATION
2-300.
General
47
2-301.
Duration of Classification
47
2-302.
Subsequent Extension of Duration of Classification
47
Section 4. CLASSIFICATION GUIDES
2-400.
General
48
2-401.
Multi-Service Interest
49
2-402.
Research, Development, Test, and Evaluation
49
2-403.
Project Phases
49
2-404.
Review of Classification Guides
49
2-405.
Distribution of Classification Guides
50
2-406.
Index of Security Classification Guides
50
Section 5. RESOLUTION OF CONFLICTS
2-500.
General
51
2-501.
Procedures
51
2-502.
Final Decision
51
2-503.
Timing
51
Section 6. OBTAINING CLASSIFICATION EVALUATIONS
2-600.
Procedures
51
Section 7. INFORMATION DEVELOPED BY PRIVATE SOURCES
2-700.
General
52
2-701.
Patent Secrecy Act
52
2-702.
Independent Research and Development
53
2-703.
Other Private Information
54
Section 8. REGRADING
2-800.
Raising to a Higher Level of Classification
54
2-801.
Classification of Information Previously Determined
to be Unclassified
54
2-802.
Notification
55
2-803.
Downgrading
55
Section 9. INDUSTRIAL OPERATIONS
2-900.
Classification in Industrial Operations
55
2-901.
Contract Security Classification Specification
55
CHAPTER 3. DECLASSIFICATION AND DOWNGRADING
Section 1. GENERAL PROVISIONS
3-100.
Policy
56
3-101.
Responsibility of Officials
56
3-102.
Declassification Coordination
56
3-103.
Declassification by the Director of the ISOO
56
Section 2. SYSTEMATIC REVIEW
3-200.
Assistance to the Archivist of the United States
56
3-201.
Systematic Review Guidelines
57
3-202.
Systematic Review Procedures
57
3-203.
Systematic Review of Classified Cryptologic Information
58
3-204.
Systematic Review of Intelligence Information
58
Section 3. MANDATORY DECLASSIFICATION REVIEW
3-300.
Information Covered
58
3-301.
Presidential Information
58
3-302.
Crypologic Information
58
3-303.
Submission of Requests for Mandatory Declassification
Review
58
3-304.
Requirements for Processing
59
3-305.
Foreign Government Information
60
3-306.
Prohibition
60
3-307.
Restricted Data and Formerly Restricted Data
61
Section 4. DECLASSIFICATION OF TRANSFERRED DOCUMENTS
OR MATERIAL
3-400.
Material Officially Transferred
61
3-401.
Material Not Officially Transferred
61
3-402.
Transfer for Storage or Retirement
61
Section 5. DOWNGRADING
3-500.
Automatic Downgrading
62
3-501.
Downgrading Upon Reconsideration
62
Section 6. MISCELLANEOUS
3-600.
Notification of Changes in Declassification
62
3-601.
Foreign Relations Series
62
3-602.
Reproduction for Declassification Review
62
SECTION 7. SECURITY REVIEW AND PUBLIC RELEASE
3-700.
GENERAL
63
3-701.
PUBLIC RELEASE OF INFORMATION
64
3-702.
PUBLIC RELEASE OF CONTRACT INFORMATION
64
CHAPTER 4. MARKING
Section 1. GENERAL PROVISIONS
4-100.
Designation
65
4-101.
Purpose of Designation
65
4-102.
Exceptions
65
4-103.
Documents or Other Material in General
65
4-104.
Identification of Classification Authority
67
4-105.
Wholly Unclassified Material
68
Section 2. SPECIFIC MARKINGS ON DOCUMENTS
4-200.
Overall and Page Marking
68
4-201.
Marking Components
69
4-202.
Portion Marking
69
4-203.
Compilations
71
4-204.
Subjects and Titles of Documents
71
4-205.
File, Folder, or Group of Documents
71
4-206.
Transmittal Documents
72
4-207.
Electronically Transmitted Messages
72
4-208.
Translations
73
Section 3. MARKINGS ON SPECIAL CATEGORIES OF MATERIAL
4-300.
General Provisions
73
4-301.
Charts, Maps, and Drawings
73
4-302.
Photographs, Films, and Recordings
73
4-303.
Decks of ADP Punched Cards
75
4-304.
Removable ADP and Word Processing Storage Media
75
4-305.
Documents Produced by ADP Equipment
76
4-306.
Material for Training Purposes
76
4-307.
Miscellaneous Material
76
4-308.
Special Access Program Documents and Material
77
4-309.
Secure Telecommunications and Information Handling Equipment
77
4-310.
Associated Markings
77
Section 4. CLASSIFICATION AUTHORITY, DURATION, AND
CHANGE IN CLASSIFICATION MARKINGS
4-400.
Declassification and Regrading Marking Procedures
77
4-401.
Applying Derivative Declassification Dates
77
4-402.
Commonly Used Markings
78
4-403.
Upgrading
80
4-404.
Limited Use of Posted Notice for Large Quantities of
Material
80
Section 5. ADDITIONAL WARNING NOTICES
4-500.
General Provisions
81
4-501.
Restricted Data
81
4-502.
Formerly Restricted Data
81
4-503.
Intelligence Sources or Methods Information
82
4-504.
COMSEC Material
82
4-505.
Dissemination and Reproduction Notice
82
4-506.
Other Notations
82
Section 6. REMARKING OLD MATERIAL
4-600.
General
83
4-601.
Earlier Declassification and Extension of Classification
83
CHAPTER 5. SAFEKEEPING AND STORAGE
Section 1. STORAGE AND STORAGE EQUIPMENT
5-100.
General Policy
84
5-101.
Standards for Storage Equipment
84
5-102.
Storage of Classified Information
84
5-103.
Procurement and Phase-In of New Storage Equipment
86
5-104.
Designations and Combinations
87
5-105.
Repair of Damaged Security Containers
90
5-106.
PROCEDURES FOR OPENING, CLOSING, AND CHECKING SECURITY
CONTAINERS
91
Section 2. CUSTODIAL PRECAUTIONS
5-200.
Responsibilities of Custodians
95
5-201.
Care During Working Hours
96
5-202.
End-of-Day Security Checks
97
5-203.
Emergency Planning
99
5-204.
Telecommunications Conversations
104
5-205.
Security of Meetings and Conferences
104
5-206.
Safeguarding of U.S. Classified Information Located
in Foreign Countries
107
Section 3. ACTIVITY ENTRY AND EXIT INSPECTION PROGRAM
5-300.
Policy
109
5-301.
Inspection Frequency
111
5-302.
Inspection Procedures and Identification
111
SECTION 4. PHYSICAL SECURITY OF OSD OFFICES
5-400.
POLICY
112
5-401.
KEY CONTROL OFFICER
113
5-402.
HOLDERS OF OSD KEYS
113
5-403.
INSTALLATION OF DOOR LOCKS AND ACCESS CONTROL DEVICES
AND ISSUANCE OF DUPLICATE KEYS
114
5-404.
EMERGENCIES
114
SECTION 5.
5-500.
POLICY
117
5-501.
ESTABLISHMENT
117
5-502.
ADMINISTRATION
119
5-503.
OPENING AND CLOSING ALARMED AREAS
121
5-504.
EXTENDING THE HOURS OF A ZONE
123
5-505.
RESPONSE TO AN ALARM
123
5-506.
TESTING THE ALARM SYSTEM
123
5-507.
ALARM SYSTEM INQUIRES AND MAINTENANCE REQUESTS
124
5-508.
STOPPING INTRUSION DETECTION SYSTEM SERVICE
124
5-509.
INSTRUCTIONS FOR COMPLETING AFHQ FORM 91
124
5-510.
PROCEDURAL VIOLATIONS
126
SECTION 6. SECURITY OF CLASSIFIED VIDIO TAPE
5-600.
POLICY
129
5-601.
PRODUCTION
129
5-602.
USE
130
5-603.
SECURITY OF EQUIPMENT
130
5-604.
MARKINGS
130
5-605.
ERASURE AND RECORDING OVER
131
5-606.
DECLASSIFICATION
132
5-607.
DESTRUCTION
132
CHAPTER 6.
Section 1. COMPROMISE OF CLASSIFIED INFORMATION
6-100.
Policy
133
6-101.
Cryptographic and Sensitive Compartmented Information
133
6-102.
Responsibility of Discoverer
133
6-103.
Preliminary Inquiry
134
6-104.
Investigation
135
6-105.
Responsibility of Authority Ordering Investigation
137
6-106.
Responsibility of Originator
138
6-107.
System of Control of Damage Assessments
138
6-108.
Compromises Involving More Than One Agency
138
6-109.
Espionage and Deliberate Compromise
139
6-110.
Unauthorized Absentees
139
6-111.
UNAUTHORIZED DISCLOSURE OF CLASSIFIED INFORMATION TO
THE PUBLIC
139
CHAPTER 7. ACCESS, DISSEMINATION, AND ACCOUNTABILITY
Section 1. ACCESS
7-100.
Policy
143
7-101.
Access by Persons Outside the Executive Branch
144
7-102.
Access by Foreign Nationals, Foreign Governments, and
International Organizations
147
7-103.
Other Situations
148
7-104.
Access Required by Other Executive Branch Investigative
and Law Enforcement Agents
148
7-105.
Access by Visitors
148
Section 2. DISSEMINATION
7-200.
Policy
149
7-201.
Restraints on Special Access Requirements
150
7-202.
Information Originating in a Non-DoD Department or Agency
150
7-203.
Foreign Intelligence Information
150
7-204.
Restricted Data and Formerly Restricted Data
150
7-205.
NATO Information
150
7-206.
COMSEC Information
150
7-207.
Dissemination of Top Secret Information
150
7-208.
Dissemination of Secret and Confidential Information
151
7-209.
Code Words, Nicknames, and Exercise Terms
151
7-210.
Scientific and Technical Meetings
151
Section 3. ACCOUNTABILITY AND CONTROL
7-300.
Top Secret Information
151
7-301.
Secret Information
154
7-302.
Confidential Information
154
7-303.
Receipt of Classified Material
154
7-304.
Working Papers
154
7-305.
Restraint on Reproduction
156
CHAPTER 8. TRANSMISSION
Section 1. METHODS OF TRANSMISSION OR TRANSPORTATION
8-100.
Policy
158
8-101.
Top Secret Information
158
8-102.
Secret Information
159
8-103.
Confidential Information
161
8-104.
Transmission of Classified Information to Foreign Governments
162
8-105.
Consignor-Consignee Responsibility for Shipment of Bulky
Material
166
8-106.
Transmission of COMSEC Information
167
8-107.
Transmission of Restricted Data
167
Section 2. PREPARATION OF MATERIAL FOR TRANSMISSION,
SHIPMENT, OR CONVEYANCE
8-200.
Envelopes or Containers
167
8-201.
Addressing
168
8-202.
Receipt Systems
172
8-203.
Exceptions
173
8-204.
TRACER SYSTEM
174
Section 3. RESTRICTIONS, PROCEDURES, AND AUTHORIZATION
FOR ESCORT OR HAND-CARRYING OF CLASSIFIED INFORMATION
8-300.
General Restrictions
174
8-301.
Restrictions on Hand-carrying Classified Information
Aboard Commercial Passenger Aircraft
175
8-302.
Procedures for Hand-carrying Classified Information
Aboard Commercial Passenger Aircraft
176
8-303.
Authority to Approve Escort or Hand-carry of Classified
Information Aboard Commercial Passenger Aircraft
179
CHAPTER 9. DISPOSAL AND DESTRUCTION
9-100.
Policy
183
9-101.
Methods of Destruction
183
9-102.
Destruction Procedures
183
9-103.
Records of Destruction
184
9-104.
Classified Waste
185
9-105.
Classified Document Retention
185
9-106.
DESTRUCTION PROCEDURES
185
CHAPTER 10. SECURITY EDUCATION
10-100.
Responsibility and Objectives
187
10-101.
Scope and Principles
187
10-102.
Initial Briefings
189
10-103.
Refresher Briefings
189
10-104.
Foreign Travel Briefings
190
10-105.
Termination Briefings
190
CHAPTER 11. FOREIGN GOVERNMENT INFORMATION
Section 1. CLASSIFICATION
11-100.
Classification
192
11-101.
Duration of Classification
192
Section 2. DECLASSIFICATION
11-200.
Policy
192
11-201.
Systematic Review
193
11-202.
Mandatory Review
193
Section 3. MARKING
11-300.
Equivalent U.S. Classification Designations
193
11-301.
Marking NATO Documents
193
11-302.
Marking Other Foreign Government Documents
193
11-303.
Marking of DoD Classification Determinations
194
11-304.
Marking of Foreign Government Information in DoD Documents
194
Section 4. PROTECTIVE MEASURES
11-400.
NATO Classified Information
195
11-401.
Other Foreign Government Information
195
CHAPTER 12. SPECIAL ACCESS PROGRAMS
12-100.
Policy
197
12-101.
Establishment of Special Access Programs
197
12-102.
Review of Special Access Programs
198
12-103.
Control and Administration
198
12-104.
Codewords and Nicknames
199
12-105.
Reporting of Special Access Programs
199
12-106.
Accounting for Special Access Programs
200
12-107.
Limitations on Access
200
12-108.
"Carve-Out" Contracts
200
12-109.
Oversight Reviews
202
CHAPTER 13. PROGRAM MANAGEMENT
Section 1. EXECUTIVE BRANCH OVERSIGHT AND POLICY DIRECTION
13-100.
National Security Council
203
13-101.
Administrator of General Services
203
13-102.
Information Security Oversight Office
203
Section 2. DEPARTMENT OF DEFENSE
13-200.
Management Responsibility
204
Section 3. DoD COMPONENTS
13-300.
General
205
13-301.
Military Departments
205
13-302.
Other Components
205
13-303.
Program Monitorship
205
13-304.
Field Program Management
205
Section 4. INFORMATION REQUIREMENTS
13-400.
Information Requirements
207
Section 5. DEFENSE INFORMATION SECURITY COMMITTEE
13-500.
Purpose
207
13-501.
Direction and Membership
207
CHAPTER 14. ADMINISTRATIVE SANCTIONS
14-100.
Individual Responsibility
209
14-101.
Violations Subject to Sanctions
209
14-102.
Corrective Action
211
14-103.
Administrative Discrepancies
212
14-104.
Reporting Violations
212
CHAPTER 15. FOR OFFICIAL USE ONLY INFORMATION
Section 1. GENERAL PROVISIONS
15-100.
BASIC POLICY
214
15-101.
LIMITATIONS AND RESTRICTIONS
214
Section 2. MARKING
15-200.
RESPONSIBILITY
215
15-201.
DOCUMENTS
215
15-202.
TRANSMITTAL LETTERS, ENDORSEMENTS, ETC.
215
15-203.
PARAGRAPHS
215
15-204.
WORKING PAPERS
216
15-205.
MATERIAL OTHER THAN DOCUMENTS
216
15-206.
DOCUMENTS OR MATERIAL TRANSMITTED OUTSIDE OF THE DEPARTMENT
OF DEFENSE
216
Section 3. DISSEMINATION AND TRANSMISSION
15-300.
GENERAL
216
15-301.
PUBLIC RELEASE
216
15-302.
RELEASE TO CONGRESS AND GAO
216
15-303.
RELEASE WITHIN THE DEPARTMENT OF DEFENSE
217
15-304.
RELEASE TO OTHER FEDERAL DEPARTMENTS AND AGENCIES
217
15-305.
TRANSMISSION
217
15-306.
MAIL
217
15-307.
RECEIPTS
218
Section 4. SAFEGUARDING
15-401.
RESPONSIBILITY
218
15-402.
SAFEGUARDING DURING USE
218
15-403.
STORAGE
218
Section 5. DISPOSITION AND DESTRUCTION
15-500.
TERMINATION, DISPOSAL, AND UNAUTHORIZATION DISCLOSURES
218
15-501.
DISPOSAL
219
15-502.
UNAUTHORIZED DISCLOSURE
219
CHAPTER 16. SENSITIVE COMPARTMENTED INFORMATION FACILITIES
(SCIF)
Section 1.
16-100.
SCIF ESTABLISHMENT
220
16-101.
SCIF ADMINISTRATION
221
Section 2. TECHNICAL SURVEILLANCE COUNTERMEASURES
16-200.
POLICY
222
16-201.
APPLICABILITY
223
16-202.
PROCEDURES
223
16-203.
DoD CLASSIFIED PRESENTATIONS AT CONGRESSIONAL ACTIVITIES
224
CHAPTER 17. AUTOMATED INFORMATION SYSTEM SECURITY
Section 1. POLICY STATEMENT
17-100.
POLICY
226
Section 2. ESTABLISHMENT
17-200.
ACCREDITATION
226
Section 3. ADMINISTRATION
17-300.
ADMINISTRATION RESPONSIBILITIES
228
17-301.
CLASSIFICATION LEVEL
228
17-302.
MARKING
229
17-303.
SAFEGUARDING THE INFORMATION
230
17-304.
DISPOSAL
231
17-305.
AUDIT TRAIL
233
CHAPTER 18. TEMPEST
18-100.
BACKGROUND
234
18-101.
POLICY
234
18-102.
PROCEDURES
234
APPENDICES
Appendix 1.
Equivalent Foreign and International Pact Organization
Security Classifications
236
Appendix 2.
General Accounting Office Officials Authorized to Certify
Security Clearances
241
Appendix 3.
Instructions Governing Use of Code Words, Nicknames,
and Exercise Terms
243
Appendix 4.
Federal Aviation Administration Air Transportation Security
Field Offices
249
Appendix 5.
Transportation Plan
250
Appendix 6.
FOREIGN TRAVEL SECURITY BRIEFING
252
Appendix 7.
CROSS-REFERENCE INDEX
257
C1. DEPARTMENT OF DEFENSE INFORMATION SECURITY PROGRAM
REGULATION
CHAPTER 1
GENERAL PROVISIONS
C1.1. Section 1. REFERENCES, CONTINUED
1-100. References, continued.
(f) DoD Directive 5200.1, "DoD Information Security
Program," June 7, 1982
(g) Executive Order (E.O.) 12356, "National Security
Information," April 2, 1982
(h) Information Security Oversight Office (ISOO) Directive
No. 1, "National Security Information," June 23, 1982
(i) DoD Directive 5220.22, "Department of Defense Industrial
Security Program," December 8, 1980
(j) DoD 5220.22-R, "Industrial Security Regulation,"
December 1985 (or current edition)
(k) DoD 5220.22-M, "Industrial Security Manual for
Safeguarding Classified Information," December 1985
(or current edition)
(l) Public Law 83-703, "Atomic Energy Act of August
30, 1954," as amended
(m) DoD Directive 5200.28, "Security Requirements for
Automatic Data Processing (ADP) Systems," December 18,
1972
(n) DoD 5200.28-M, "ADP Security Manual: Techniques
and Procedures for Implementing, Deactivating, Testing,
and Evaluating Secure Resource Sharing ADP Systems,"
January 1973
(o) E.O. 12333, "United States Intelligence Activities,"
December 4, 1981
(p) DoD Directive 5400.7, "DoD Freedom of Information
Act Program," March 24, 1980
(q) Sections 181-188 of title 35, United States Code,
"The Patent Secrecy Act of 1952"
(r) DoD Directive 5400.11, "Department of Defense Privacy
Program," June 9, 1982
(s) DoD 5200.1-H, "Writing Security Classification
Guidance Handbook," October 1980
(t) DoD 5200.1-I, "DoD Index of Security Classification
Guides" 1
(u) DoD Directive 5535.2, "Delegations of Authority
to Secretaries of the Military Departments - Inventions
and Patents," October 16, 1980
(v) DoD Directive 5200.30, "Guidelines for Systematic
Review of 20-Year Old Classified Information in Permanently
Valuable DoD Records," March 21, 1983
(w) Section 483a of title 31, United States Code, (Title
5, Independent Offices Appropriation Act)
(x) DoD Instruction 7230.7, "User Charges," June 12,
1979
(y) DoD Directive 7920.1, "Life-Cycle Management of
Automated Information Systems (AIS)," October 17, 1978
(z) DoD Instruction 5230.22, "Control of Dissemination
of Intelligence Information," April 1, 1982
(aa) National COMSEC Instruction 4005, "Safeguarding
and Control of COMSEC Material," October 12, 1979
(bb) National Communications Security Committee (NCSC)
Policy Directive 6, January 16, 1981
(cc) DoD Directive C-5200.5, "Communications Security
(COMSEC) (U)," October 6, 1981
(dd) DoD Directive 5210.2, "Access to and Dissemination
of Restricted Data," January 12, 1978
(ee) DoD Directive 5100.55, "United States Security
Authority for North Atlantic Treaty Organization Affairs,"
April 21, 1982
(ff) Joint Army-Navy-Air Force Publications (JANAP)
#119 and #299
(gg) DoD Directive 5240.6, "Counterintelligence Awareness
and Briefing Program," February 26, 1986
(hh) E.O. 12065, "National Security Information," June
28, 1978
(ii) DoD Directive 5210.56, "Use of Force by Personnel
Engaged in Law Enforcement and Security Duties," May
10, 1969
(jj) DoD Directive 5030.47, "National Supply System,"
May 27, 1971
(kk) Memorandum by the Secretary, Joint Chiefs of Staff
(SM) 701-76, Volume II, "Peacetime Reconnaissance and
Certain Sensitive Operations," July 23, 1976
(ll) DoD Directive 3224.3, "Physical Security Equipment:
Assignment of Responsibility for Research, Engineering,
Procurement, Installation, and Maintenance," December
1, 1976
(mm) National COMSEC Instruction 4009, "Protected Distribution
Systems," December 30, 1981
(nn) DoD Directive 5200.12, "Policy on the Conduct
of Meetings Involving Access to Classified Information,"
September 24, 1984
(oo) DoD Instruction 5240.4, "Reporting of Counterintelligence
and Criminal Violations," July 28, 1983
(pp) DoD Directive 5210.50, "Unauthorized Disclosure
of Classified Information to the Public," October 18,
1982
(qq) DoD 5200.2-R, "DoD Personnel Security Program,"
December 1979
(rr) DoD Directive 5400.4, "Provision of Information
to Congress," January 30, 1978
(ss) DoD Directive 7650.1, "General Accounting Office
Comprehensive Audits," July 9, 1958
(tt) DoD Directive 5230.11, "Disclosure of Classified
Military Information to Foreign Governments and International
Organizations," December 31, 1984
(uu) Section 403 of title 50, United States Code, "National
Security Act"
(vv) DoD Directive 4540.1, "Use of Airspace for United
States Military Aircraft and Firings Over the High Seas,"
January 13, 1981
(ww) DoD Directive 5210.41, "Security Criteria and
Standards for Protecting Nuclear Weapons," September
12, 1978
(xx) DoD Instruction 1000.13, "Identification Cards
for Members of the Uniformed Services, Their Dependents,
and Other Eligible Personnel," July 16, 1979
(yy) Public Law 76-443, "Espionage Act," March 28,
1940
(zz) Section 801 et seq. of title 10, United States
Code, "Uniform Code of Military Justice"
(aaa) Allied Communication Publication (ACP) #110
(bbb) DoD Directive 5230.24, "Distribution Statements
on Technical Documents," November 20, 1984
(ccc) DoD 5200.1-PH-1, "Classified Information Nondisclosure
Agreement (SF 189)," July 1985
(ddd) DoD 5200.1-PH, "A Guide to Marking Classified
Documents," November 1982
(eee) DoD Directive C-5230.23, "Intelligence Disclosure
Policy," November 18, 1983
(fff) DoD Instruction 5230.20, "Control of Foreign
Representatives," June 25, 1984
(ggg) DoD TS-5105-21-M-2, "SCI Security Manual Communications
Intelligence Policy," July 1985
(hhh) DoD C-5105.21-M-1, "SCI Security Manual Administrative
Security," January 1985
(iii) DoD TS-5105.21-M-3, "SCI Security Manual TK Policy,"
November 1985
(jjj) National COMSEC Instruction 4003, "Classification
Guidelines for COMSEC Information," December 1, 1978
(kkk) National COMSEC Instruction 4006, "Reporting
COMSEC Insecurities," October 20, 1983
(lll) National Telecommunications and Information Systems
Security Instruction 4001, "Controlled Cryptographic
Items," March 25, 1985
(mmm) National COMSEC Instruction 4008, "Safeguarding
COMSEC Facilities," March 4, 1983
(nnn) DoD Directive 5405.2, "Release of Official Information
in Litigation and Testimony by DoD Personnel as Witnesses,"
July 23, 1985
(ooo) DoD DIRECTIVE 5122.5, "ASSISTANT SECRETARY OF
DEFENSE (PUBLIC AFFAIRS)," JUNE 15, 1982
(ppp) DoD DIRECTIVE 5230.9, "CLEARANCE OF DoD INFORMATION
FOR PUBLIC RELEASE," APRIL 2, 1982
(qqq) DIA MANUAL 50-3, "PHYSICAL SECURITY STANDARDS
FOR SENSITIVE COMPARTMENTED INFORMATION FACILITIES,"
MAY 2, 1980
(rrr) ADMINISTRATIVE INSTRUCTION NO- 15, "OSD RECORDS
MANAGEMENT PROGRAM," APRIL 28, 1981
(sss) ADMINISTRATIVE INSTRUCTION NO- 23, "PERSONNEL
SECURITY PROGRAM AND CIVILIAN PERSONNEL SUITABILITY
PROGRAM," FEBRUARY 25, 1986
(ttt) ARMY REGULATION 27-10, "MILITARY JUSTICE," June
1, 1984
(uuu) AIR FORCE REGULATION 35-32, "UNFAVORABLE INFORMATION
FILES, CONTROL ROSTERS, ADMINISTRATIVE REPRIMANDS, AND
ADMONITIONS," February 12, 1982
(vvv) THE NAVY AND MARINE CORPS, "JUDGE ADVOCATE MANUAL
5800.78," July 17, 1984
(www) DIA MANUAL 50-1, "SENSITIVE COMPARTMENTED INFORMATION
(SCI) SECURITY MANAGEMENT," SEPTEMBER 10, 1984
(xxx) "THE UNIFORM CODE OF MILITARY JUSTICE"
(yyy) DoD 5400.7-R, "DoD FREEDOM OF INFORMATION ACT
PROGRAM," DECEMBER 1980
(zzz) SECTION 552 OF TITLE 5, UNITED STATES CODE, "THE
FREEDOM OF INFORMATION ACT"
(aaaa) DoD DIRECTIVE 5230.24, "DISTRIBUTION STATEMENTS
ON TECHNICAL DOCUMENTS," NOVEMBER 20, 1984
(bbbb) DoD Directive 5240.5, "DoD Technical Surveillance
Countermeasures (TSCM) Survey Program," May 24, 1984
1 Published on an annual basis.
C1.2. Section 2. PURPOSE AND APPLICABILITY
1-200. Purpose. Information of the Department of
Defense relating to national security shall be protected
against unauthorized disclosure as long as required
by national security considerations. This Regulation
establishes a system for classification, downgrading
and declassification of information; sets forth policies
and procedures to safeguard such information; and provides
for oversight and administrative sanctions for violations.
1-201. Applicability. This Regulation governs the
DoD Information Security Program and takes precedence
over all DoD Component regulations that implement that
Program. Under DoD Directive 5200.1, E.O. 12356, and
ISOO Directive No. 1 (references (f), (g), and (h)),
it establishes, for the Department of Defense, uniform
policies, standards, criteria, and procedures for the
security classification, downgrading, declassification,
and safeguarding of information that is owned by, produced
for or by, or under the control of the Department of
Defense or its Components.
1-202. Nongovernment Operations. Except as otherwise
provided herein, the provisions of this Regulation that
are relevant to operations of nongovernment personnel
entrusted with classified information shall be made
applicable thereto by contracts or other legally binding
instruments. (See DoD Directive 5220.22, DoD 5220.22-R,
and DoD 5220.22-M, references (i), (j) and (k)).
1-203. Combat Operations. The provisions of this
Regulation relating to accountability, dissemination,
transmission, or safeguarding of classified information
may be modified by military commanders but only to the
extent necessary to meet local conditions in connection
with combat or combat-related operations. Classified
information should be introduced into forward combat
areas or zones or areas of potential hostile activity
only when essential to accomplish the military mission.
1-204. Atomic Energy Material. Nothing in this Regulation
supersedes any requirement related to "Restricted Data"
in the Atomic Energy Act of August 30, 1954, as amended
(reference (l)), or the regulations of the Department
of Energy under that Act. "Restricted Data" and material
designated as "Formerly Restricted Data," shall be handled,
protected, classified, downgraded, and declassified
to conform with reference (l) and the regulations issued
pursuant thereto.
1-205. Sensitive Compartmented and Communications Security
Information
1-205.1. Sensitive Compartmented Information (SCI)
and Communications Security (COMSEC) Information shall
be handled and controlled in accordance with applicable
national directives and DoD Directives and Instructions.
Other classified information, while in established
SCI or COMSEC areas, may be handled in the same manner
as SCI or COMSEC information. Classification principles
and procedures, markings, downgrading, and declassification
actions prescribed in this Regulation apply to SCI and
COMSEC information. (See also paragraph 13-200.3.).
1-205.2. Pursuant to DoD Directive 5200.1 (reference
(f)), the Director, National Security Agency/Chief,
Central Security Service may prescribe special rules
and procedures for the handling, reporting of loss,
storage, and access to classified communications security
devices, equipments, and materials in mobile, hand-held
or transportable systems, or that are used in conjunction
with commercial telephone systems, or in similar circumstances
where operational demands preclude the application of
standard safeguards. These special rules may include
procedures for safeguarding such devices and materials,
and penalties for the negligent loss of Government property.
1-206. Automatic Data Processing Systems. This Regulation
applies to protection of classified information processed,
stored or used in, or communicated, displayed or disseminated
by an automatic data processing (ADP) system. Additional
security policy, responsibilities, and requirements
applicable specifically to ADP systems are contained
in DoD Directive 5200.28 and DoD 5200.28-M, references
(m) and (n).
1-207. SUGGESTIONS FOR CHANGES. USERS OF THIS INSTRUCTION
ARE ENCOURAGED TO SUBMIT SUGGESTIONS FOR IMPROVING OF
THIS INSTRUCTION TO THE PHYSICAL SECURITY DIVISION (PSD),
WHS COMMENTS SHOULD INDICATE THE SPECIFIC PAGE(S), PARAGRAPH(S)
AND LINE(S) OF THE TEXT TO BE CHANGED. RATIONALE SHALL
ACCOMPANY EACH RECOMMENDED CHANGE.
C1.3 Section 3. DEFINITIONS
1-300. Access. The ability and opportunity to obtain
knowledge of classified information.
1-301. Applicable Associated Markings. The markings,
other than classification markings, and warning notices
listed or referred to in subsection 4-103.
1-302. Carve-Out. A classified contract issued in
connection with an approved Special Access Program in
which the Defense Investigative Service has been relieved
of inspection responsibility in whole or in part under
the Defense Industrial Security Program.
1-303. Classification Authority. The authority vested
in an official of the Department of Defense to make
an initial determination that information requires protection
against unauthorized disclosure in the interest of national
security.
1-304. Classification Guide. A document issued by
an authorized original classifier that prescribes the
level of classification and appropriate declassification
instructions for specified information to be classified
derivatively. For purposes of this Regulation, this
term does not include DD Form 254, "Contract Security
Classification Specification."
1-305. Classified Information. Information or material
that is:
1-305.1. Owned by, produced for or by, or under the
control of the U.S. Government; and
1-305.2. Determined under E. O. 12356 (reference (g))
or prior orders and this Regulation to require protection
against unauthorized disclosure; and
1-305.3. So designated.
1-306. Classifier. An individual who makes a classification
determination and applies a security classification
to information or material. A classifier may be an
original classification authority or a person who derivatively
assigns a security classification based on a properly
classified source or a classification guide.
1-307. Communications Security (COMSEC). The protection
resulting from all measures designed to deny unauthorized
persons information of value which might be derived
from the possession and study of telecommunications
and to ensure the authenticity of such communications.
COMSEC includes cryptosecurity, emission security,
transmission security, and physical security of COSMEC
material and information.
1-308. Compromise. The disclosure of classified information
to persons not authorized access thereto.
1-309. Confidential Source. Any individual or organization
that has provided, or that 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.
1-310. Continental United States (CONUS). United
States territory, including adjacent territorial waters,
located within the North American continent between
Canada and Mexico.
1-311. Controlled Cryptographic Item (CCI). A secure
telecommunications or information handling equipment
ancillary device, or associated cryptographic component,
which is unclassified but controlled. (Note: Equipments
and components so designated bear the designator "Controlled
Cryptographic Item" or "CCI.")
1-312. Critical Nuclear Weapon Design Information.
That Top Secret Restricted Data or Secret Restricted
Data revealing the theory of operation or design of
the components of a thermo-nuclear or implosion-type
fission bomb, warhead, demolition munition or test device.
Specifically excluded is information concerning arming,
fuzing, and firing systems; limited life components;
and total contained quantities of fissionable, fusionable,
and high explosive materials by type. Among these
excluded items are the components that DoD personnel
set, maintain, operate, test, or replace.
1-313. Custodian. An individual who has possession
of or is otherwise charged with the responsibility for
safeguarding or accounting for classified information.
1-314. Declassification. The determination that classified
information no longer requires, in the interest of national
security, any degree of protection against unauthorized
disclosure, together with a removal or cancellation
of the classification designation.
1-315. Declassification Event. An event that eliminates
the need for continued classification of information.
1-316. Derivative Classification. A determination
that information is in substance the same as information
currently classified, and the application of the classification
markings.
1-317. Document. Any recorded information regardless
of its physical form or characteristics, including,
without limitation, written or printed matter, data
processing cards and tapes, maps, charts, paintings,
drawings, engravings, sketches, working notes and papers,
or reproductions by any means or process, and sound,
voice, magnetic or electronic recordings in any form.
1-318. DoD Component. The Office of the Secretary
of Defense (OSD), the Military Departments, the Organization
of the Joint Chiefs of Staff (OJCS), the Unified and
Specified Commands, and the Defense Agencies.
1-319. Downgrade. A determination that classified
information requires, in the interest of national security,
a lower degree of protection against unauthorized disclosure
than currently provided, together with a changing of
the classification designation to reflect such lower
degree of protection.
1-320. Foreign Government Information. Information
that is:
1-320.1. Provided to the United States 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
1-320.2. 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.
1-321. Formerly Restricted Data. Information removed
from the Restricted Data category upon a joint determination
by the Department of Energy (or antecedent Agencies)
and the Department of Defense that such information
relates primarily to the military utilization of atomic
weapons and that such information can be safeguarded
adequately as classified defense information. For
purposes of foreign dissemination, however, such information
is treated in the same manner as Restricted Data.
1-322. Information. Knowledge that can be communicated
by any means.
1-323. Information Security. The result of any system
of policies and procedures for identifying, controlling,
and protecting from unauthorized disclosure, information
whose protection is authorized by executive order or
statute.
1-324. Intelligence Activity. An activity that an
Agency within the Intelligence Community is authorized
to conduct under E.O. 12333 (reference (o)).
1-325. Material. Any product or substance on, or
in which, information is embodied.
1-326. National Security. The national defense and
foreign relations of the United States.
1-327. Need-to-know. A determination made by a possessor
of classified information that a prospective recipient,
in the interest of national security, has a requirement
for access to, or knowledge, or possession of the classified
information in order to accomplish lawful and authorized
Government purposes.
1-328. Original Classification. An initial determination
that information requires, in the interest of national
security, protection against unauthorized disclosure,
together with a classification designation signifying
the level of protection required.
1-329. Regrade. A determination that classified information
requires a different degree of protection against unauthorized
disclosure than currently provided, together with a
change of classification designation that reflects such
different degree of protection.
1-330. Restricted Data. All data concerning:
1-330.1. Design, manufacture or utilization of atomic
weapons;
1-330.2. The production of special nuclear material;
or
1-330.3. The use of special nuclear material in the
production of energy, but shall not include data declassified
or removed from the Restricted Data category under Section
142 of reference (l). (See also reference 11y, "Atomic
Energy Act of 1954," as amended, and "Formerly Restricted
Data," subsection 1-321.)
1-331. Security Clearance. A determination that a
person is eligible under the standards of DoD 5200.2-R
(reference (qq)) for access to classified information.
1-332. Sensitive Compartmented Information. Information
and material that requires special controls for restricted
handling within compartmented intelligence systems and
for which compartmentation is established.
1-333. Special Access Program. Any program imposing
need-to-know or access controls beyond those normally
required for access to Confidential, Secret, or Top
Secret information. Such a program includes, but is
not limited to, special clearance, adjudication, or
investigative requirements; special designation of officials
authorized to determine need-to-know; or special lists
of persons determined to have a need-to-know.
1-334. Special Activity. An activity, or functions
in support of such activity, conducted in support of
national foreign policy objectives abroad that is planned
and executed so that the role of the U.S. Government
is neither apparent nor acknowledged publicly; but that
is not intended to influence U.S. political processes,
public opinion, policies, or media, and does not include
diplomatic activities or the collection and production
of intelligence or related support functions.
1-335. Unauthorized Disclosure. A communication or
physical transfer of classified information to an unauthorized
recipient.
1-336. United States and Its Territories, Possessions,
Administrative, and Commonwealth Areas. The 50 States;
the District of Columbia; the Commonwealth of Puerto
Rico; the Territories of Guam, American Samoa, and the
Virgin Islands; the Trust Territory of the Pacific Islands;
and the Possessions, Midway and Wake Islands.
1-337. Upgrade. A determination that certain classified
information requires, in the interest of national security,
a higher degree of protection against un authorized
disclosure than currently provided, together with a
changing of the classification-designation to reflect
such higher degree.
1-338. FOR OFFICIAL USE ONLY (FOUO). INFORMATION
THAT HAS NOT BEEN GIVEN A SECURITY CLASSIFICATION UNDER
THE CRITERIA OF AN EXECUTIVE ORDER, BUT THAT MAY BE
WITHHELD FROM THE PUBLIC FOR ONE OR MORE OF THE REASONS
CITED IN FREEDOM OF INFORMATION ACT EXEMPTIONS 2 THROUGH
9 (REFERENCE (P)) SHALL BE CONSIDERED AS BEING FOUO.
FOUO IS NOT AUTHORIZED AS A WEAK FORM OF CLASSIFICATION
TO PROTECT U.S. NATIONAL SECURITY INTERESTS.
1-339. VIDEO TAPE (TWO WORDS). A MAGNETIC TAPE USED
FOR THE ELECTRONIC RECORDING AND PLAYBACK OF MATERIAL
FOR TELEVISION APPLICATION.
1-340. VIDEOTAPE (ONE WORD). VIDEO TAPE ON AN OPEN
REEL.
1-341. VIDEOCASSETTE. VIDEO TAPE ON REELS IN A SEALED
CONTAINER THAT IS USED IN A RECORD OR PLAYBACK MODE
WITHOUT REMOVAL FROM THAT CONTAINER.
1-342. VIOLATION. A SECURITY VIOLATION IS CONSTITUTED
BY ANY FAILURE TO SAFEGUARD CLASSIFIED INFORMATION OR
ANY FAILURE, WITTING OR UNWITTING, TO COMPLY WITH THIS
INSTRUCTION.
C1.4. Section 4. POLICIES
1-400. Classification
1-400.1. Basic Policy. Except as provided in the
Atomic Energy Act of 1954, as amended (reference (l)),
E.O. 12356 (reference (g)),as implemented by the ISOO
Directive No. 1 (reference (h)), and this Regulation,
provides the only basis for classifying information.
It is the policy of the Department of Defense to make
available to the public as much information concerning
its activities as possible consistent with the need
to protect the national security. Accordingly, security
classification shall be applied only to protect the
national security.
1-400.2. Resolution of Doubts. Unnecessary classification
and higher than necessary classification should be avoided.
If there is reasonable doubt about the need to classify
information, it shall be safeguarded as if it were classified
"Confidential" pending a determination by an original
classification authority, who shall make this determination
within 30 days. 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,
who shall make this determination within 30 days.
Upon a classification determination, markings shall
be applied in accordance with Chapter 4.
1-400.3. Duration. Information shall be classified
as long as required by national security considerations.
Each decision to classify requires a simultaneous
determination of the duration such classification must
remain in force or that the duration of classification
cannot be determined.
1-401. Declassification. Decisions concerning declassification
shall be based on the loss of the information's sensitivity
with the passage of time or upon the occurrence of a
declassification event.
1-402. Safeguarding. Information classified under
this Regulation shall be afforded the level of protection
against unauthorized disclosure commensurate with the
level of classification assigned under the varying conditions
that may arise in connection with its use, dissemination,
storage, movement or transmission, and destruction.
C1.5. Section 5. SECURITY CLASSIFICATION DESIGNATIONS
1-500. General. Information or material that requires
protection against unauthorized disclosure in the interest
of national security shall be classified in one of three
designations, namely: "Top Secret," "Secret," or "Confidential."
The markings "For Official Use Only," and "Limited
Official Use," shall not be used to identify classified
information. Moreover, no other term such as "Sensitive,"
"Conference," or
"Agency," shall be used in conjunction with the authorized
classification designations to identify classified information.
SEE CHAPTER 15, BELOW, FOR POLICY ON THE USE OF THE
MARKING "FOR OFFICIAL USE ONLY."
1-501. Top Secret. "Top Secret" shall be applied
only to information or material the unauthorized disclosure
of which reasonably could be expected to cause exceptionally
grave damage to the national security. Examples of
exceptionally grave damage include armed hostilities
against the United States or its allies; disruption
of foreign relations vitally affecting the national
security; the compromise of vital national defense plans
or complex cryptologic and communications intelligence
systems; the revelation of sensitive intelligence operations;
and the disclosure of scientific or technological developments
vital to national security.
1-502. Secret. "Secret" shall be applied only to
information or material the unauthorized disclosure
of which reasonably could be expected to cause serious
damage to the national security. Examples of serious
damage include disruption of foreign relations significantly
affecting the national security; significant impairment
of a program or policy directly related to the national
security; revelation of significant military plans or
intelligence operations; compromise of significant military
plans or intelligence operations; and compromise of
significant scientific or technological developments
relating to national security.
1-503. Confidential. "Confidential" shall be applied
only to information or material the unauthorized disclosure
of which reasonably could be expected to cause damage
to the national security. Examples of damage include
the compromise of information that indicates strength
of ground, air, and naval forces in the United States
and overseas areas; disclosure of technical information
used for training, maintenance, and inspection of classified
munitions of war; revelation of performance characteristics,
test data, design, and production data on munitions
of war.
C1.6. Section 6. AUTHORITY TO CLASSIFY, DOWNGRADE,
AND DECLASSIFY
1-600. Original Classification Authority
1-600.1. Control. Authority for original classification
of information as Top Secret, Secret, or Confidential
may be exercised only by the Secretary of Defense, the
Secretaries of the Military Departments, and by officials
to whom such authority is specifically delegated in
accordance with and subject to the restrictions of this
section of the Regulation. In the absence of an original
classification authority, the person designated to act
in his or her absence may exercise the classifier's
authority.
1-600.2. Delegation of Classification Authority.
Original classification authority shall not be delegated
to 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. Delegations of original
classification authority shall be limited to the minimum
number required for efficient administration and to
those officials whose duties involve the origination
and evaluation of information warranting classification
at the level stated in the delegation.
1-600.2.1. Top Secret. Only the Secretary of Defense,
the Secretaries of the Military Departments, and the
senior official designated by each under Section 5.3(a)
of E.O. 12356 (reference (g)), provided that official
has original Top Secret classification authority, may
delegate original Top Secret classification authority.
Such delegation may only be made to officials who
are determined to have a demonstrable and continuing
need to exercise such authority.
1-600.2.2. Secret and Confidential. Only the Secretary
of Defense, the Secretaries of the Military Departments,
the senior official designated by each under Section
5.3(a) of reference (g), and officials with original
Top Secret classification authority, may delegate original
Secret and Confidential classification authority to
officials whom they determine respectively to have a
demonstrable and continuing need to exercise such authority.
1-600.2.3. Each delegation of original classification
authority shall be in writing and shall specify the
title of the position held by the recipient.
1-600.3. Requests for Classification Authority
1-600.3.1. A request for the delegation of original
classification authority shall be made only when there
is a demonstrable and continuing need to exercise such
authority and the following conditions exist:
1-600.3.1.1. The normal course of operations or missions
of the organization results in the origination of information
warranting classification;
1-600.3.1.2. There is a substantial degree of local
autonomy in operations or missions as distinguished
from dependence upon a higher level of command or supervision
for relatively detailed guidance;
1-600.3.1.3. There is adequate knowledge by the originating
level to make sound classification determinations as
distinguished from having to seek such knowledge from
a higher level of command or supervision; and
1-600.3.1.4. There is a valid reason why already designated
classification authorities in the originator's chain
of command or supervision have not issued or cannot
issue classification guidance to meet the originator's
normal needs.
1-600.3.2. Each request for a delegation of original
classification authority shall:
1-600.3.2.1. Identify the title of the position held
by the nominee and the nominee's organization;
1-600.3.2.2. Contain a description of the circumstances,
consistent with 1-600.3.2.1., above, that justify the
delegation of such authority; and
1-600.3.2.3. Be submitted through established channels
to the Secretary of Defense, the Secretary of the Military
Department concerned, the senior official designated
by each under Section 5.3(a) of E.O. 12356 (reference
(g)), or the appropriate Top Secret classification authority.
(See subsection 1-602.)
1-600.4. Training Requirements for Original Classification
Authorities. Heads of DoD Component shall establish
procedures to ensure that all original classification
authorities in their Component, to include themselves,
are indoctrinated in the fundamentals of security classification,
limitations on their authority to classify information,
and their responsibilities as such. This indoctrination
shall be a prerequisite to the exercise of such authority
and shall be a matter of record that is subject to audit.
Heads of DoD Components shall ensure this indoctrination
is given to all present original classification authorities
within 12 months of the effective date of this Regulation.
A VIDEO TAPE, PREPARED BY THE DEPUTY UNDER SECRETARY
OF DEFENSE (POLICY) (DUSD(P)), SHALL BE REVIEWED BY
EACH ORIGINAL CLASSIFICATION AUTHORITY.
1-601. Derivative Classification Responsibility.
Derivative application of classification markings is
a responsibility of those who incorporate, paraphrase,
restate, or generate in new form, information that is
already classified, or those who apply markings in accordance
with guidance from an original classification authority.
Persons who apply derivative classifications should
take care to determine whether their paraphrasing, restating,
or summarizing of classified information has removed
all or part of the basis for classification. Persons
who apply such derivative classification markings shall:
1-601.1. Respect original classification decisions;
1-601.2. Verify the information's current level of
classification as far as practicable before applying
the markings; and
1-601.3. Carry forward to any newly created documents
the assigned dates or events for declassification and
any additional authorized markings.
1-602. Record and Report Requirements
1-602.1. Records of designations of original classification
authority shall be maintained as follows:
1-602.1.1. Top Secret Authorities. A current listing
by title and organization of officials designated to
exercise original Top Secret classification authority
shall be maintained by:
1-602.1.1.1. The Office of the Deputy Under Secretary
of Defense (Policy) (ODUSD(P)) for the Office of the
Secretary of Defense; the Organization of the Joint
Chiefs of Staff; the headquarters of each Unified Command
and the headquarters of subordinate Joint Commands;
and the Defense Agencies.
1-602.1.1.2. The Offices of the Secretaries of the
Military Departments for the officials of their respective
Departments, including Specified Commands but excluding
officials from their respective Departments who are
serving in headquarters elements of Unified Commands
and headquarters of Joint Commands subordinate thereto.
1-602.1.2. Secret and Confidential Authorities. A
current listing by title and organization of officials
designated to exercise original Secret and Confidential
classification authority shall be maintained by:
1-602.1.2.1. The ODUSD(P) for the Office of the Secretary
of Defense.
1-602.1.2.2. The offices of the Secretaries of the
Military Departments for the officials of their respective
Departments, including Specified Commands but excluding
officials from their respective Departments who are
serving in headquarters elements of Unified Commands
and headquarters elements of Joint Commands subordinate
thereto.
1-602.1.2.3. The Director, Joint Staff, for the OJCS.
1-602.1.2.4. The Commanders-in-Chief of the Unified
Commands, for their respective headquarters and the
headquarters of subordinate Joint Commands.
1-602.1.2.5. The Directors of the Defense Agencies,
for their respective agencies.
1-602.1.3. If the listing of titles of positions and
organizations prescribed in subparagraphs 1-602.1.1.
and 1-602.1.2., above, discloses intelligence or other
information that either qualifies for security classification
protection or otherwise qualifies to be withheld from
public release under statute, some other means may be
recommended by the DoD Component by which original classification
authorities can be readily identified. Such recommendations
shall be submitted to ODUSD(P) for approval.
1-602.1.4. The listings prescribed in subparagraphs
1-602.1.1. and 1-602.1.2., above, shall be reviewed
at least annually by the senior official designated
in or pursuant to paragraph 13-200.1., or subsections
13-301. or 13-302. or designee to ensure that officials
so listed have demonstrated a continuing need to exercise
original classification authority.
1-602.2. The DoD Components that maintain listings
of designated original classification authorities shall,
upon request, submit copies of such listings to ODUSD(P).
1-603. Declassification and Downgrading Authority
1-603.1. Authority to declassify and downgrade information
classified under provisions of this Regulation shall
be exercised as follows:
1-603.1.1. By the Secretary of Defense and the Secretaries
of the Military Departments, with respect to all information
over which their respective Departments exercise final
classification jurisdiction;
1-603.1.2. By the official who authorized the original
classification, if that official is still serving in
the same position, by a successor, or by a supervisory
official of either; and
1-603.1.3. By other officials designated for the purpose
in accordance with paragraph 1-603.2., below.
1-603.1.4. WITHIN OSD COMPONENTS, DECLASSIFICATION
AND DOWNGRADING AUTHORITY SHALL BE EXERCISED BY THE
FOLLOWING:
1-603.1.4.1. OFFICIAL IDENTIFIED ON THE "CLASSIFIED
BY" LINE OF A DOCUMENT OR OFFICIAL'S SUCCESSOR.
1-603.1.4.2. OSD ORIGINAL CLASSIFICATION AUTHORITY
FOR THE OSD COMPONENT THAT HAS ASSUMED FUNCTIONAL INTEREST,
WHEN SUCH INTEREST FOR THE INFORMATION HAS CHANGED.
1-603.1.4.3. OSD PRINCIPAL STAFF ASSISTANTS MAY DESIGNATE,
BY TITLE OF POSITION, SUBORDINATE OFFICIALS TO EXERCISE
GENERAL DECLASSIFICATION
1-603.1.4.4. THE ASSISTANT SECRETARY OF DEFENSE (PUBLIC
AFFAIRS) (ASD(PA)) HAS DECLASSIFICATION AUTHORITY SPECIFICALLY
DELEGATED IN DoD DIRECTIVE 5122.5, (REFERENCE (ooo)).
1-603.1.5. IN CASES OF DOCUMENTS CONTAINING INFORMATION
CLASSIFIED BY OR UNDER THE FUNCTIONAL RESPONSIBILITY
OF MORE THAN ONE OSD COMPONENT, DECLASSIFICATION AND
DOWNGRADING AUTHORITY CONTINUES TO RESIDE IN THE OFFICIALS
DESIGNATED IN PARAGRAPH 1-603.1.4., ABOVE. DECLASSIFICATION
OR DOWNGRADING SHALL NOT BE TAKEN WITHOUT PRIOR COORDINATION
WITH OTHER OSD COMPONENTS.
1-603.1.6. DOCUMENTS ORIGINATED AND CLASSIFIED BY OTHER
THEN OSD COMPONENTS SHALL NOT BE DECLASSIFIED BY AN
OSD COMPONENT WITHOUT PRIOR WRITTEN PERMISSION OF THE
ORIGINATING OFFICE OR AGENCY.
1-603.2. The Secretary of Defense, the Secretaries
of the Military Departments, the Chairman of the Joint
Chiefs of Staff, the Directors of the Defense Agencies
or their senior officials designated under subsection
13-301. or 13-302. may designate additional officials
at the lowest practicable echelons of command and supervision
to exercise declassification and downgrading authority
over classified information in their functional areas
of interest. Records of officials so designated shall
be maintained in the same manner as prescribed in paragraph
1-602.1.1. for records of designations of original classification
authority.
C2. CHAPTER 2
CLASSIFICATION
C2.1. Section 1. CLASSIFICATION RESPONSIBILITIES
2-100. Accountability of Classifiers
2-100.1. Classifiers are accountable for the propriety
of the classifications they assign, whether by exercise
of original classification authority or by derivative
classification.
2-100.2. An official who classifies a document or other
material and is identified thereon as the classifier
is and continues to be an accountable classifier even
though the document or material is approved or signed
at a higher level in the same organization. (See subsection
4-104.)
2-101. Classification Approval
2-101.1. When an official signs or approves a document
or other material already marked to reflect a particular
level of classification, he or she shall review the
information contained therein to determine if the classification
markings are appropriate. If, in his or her judgment,
the classification markings are not supportable, he
or she shall, at that time, cause such markings to be
removed or changed as appropriate to reflect accurately
the classification of the information involved.
2-101.2. A higher level official through or to whom
a document or other material passes for signature or
approval becomes jointly responsible with the accountable
classifier for the classification assigned. Such official
has discretion to decide whether a subordinate who has
classification authority shall be identified as the
accountable classifier when he or she has exercised
that authority.
2-102. Classification Planning
2-102.1. Advance classification planning is an essential
part of the development of any plan, operation, program,
research and development project, or procurement action
that involves classified information. Classification
must be considered from the outset to assure adequate
protection for the information and for the activity
itself, and to eliminate impediments to the execution
or implementation of the plan, operations order, program,
project or procurement action.
2-102.2. The official charged with developing any plan,
program or project in which classification is a factor,
shall include under an identifiable title or heading,
classification guidance covering the information involved.
The guidance shall conform to the requirements contained
in section C.2.4. of this Chapter.
2-103. Challenges to Classification. If holders of
classified information have substantial reason to believe
that the information is classified improperly or unnecessarily,
they shall communicate that belief to their security
manager (subsection 13-304.) or the classifier of the
information to bring about any necessary correction.
2-103.1. Each DoD Component shall establish procedures
whereby holders of classified information may challenge
the decision of the classifier.
2-103.2. Challenges to classification made under this
subsection shall include sufficient description of the
information being challenged to permit identification
of the information and its classifier with reasonable
effort. Challenges to classification shall also include
the reason or reasons why the challenger believes that
the information is classified improperly or unnecessarily.
2-103.3. Challenges received under this subsection
shall be acted upon within 30 days of receipt. The
challenger shall be notified of any changes made as
a result of the challenge or the reasons why no change
is made.
2-103.4. Pending final determination of a challenge
to classification, the information or document in question
shall be safeguarded as required for the level of classification
initially assigned.
2-103.5. The fact that an employee or military member
of the Department of Defense has issued a challenge
to classification shall not in any way result in or
serve as a basis for adverse personnel action.
2-103.6. The provisions of this paragraph do not apply
to or affect declassification review actions undertaken
under the mandatory review requirements of section C3.3.,
Chapter 3 of this Regulation or under the provisions
of DoD Directive 5400.7 (reference (p)).
2-104. OSD CLASSIFICATION CHALLENGE PROCEDURES
2-104.1. THE PREFERRED METHOD OF CONDUCTING CLASSIFICATION
CHALLENGE ACTIONS IS FOR THE CHALLENGER AND CLASSIFIER
TO DISCUSS THE MATTER TOGETHER INFORMALLY. THAT METHOD
EDUCATES BOTH PARTIES AND ENSURES OSD COMPLIANCE WITH
THIS INSTRUCTION WITHOUT FORMAL PROCEDURES.
2-104.2. IF A HOLDER OF OSD CLASSIFIED INFORMATION
DESIRES TO PROCEED WITH A FORMAL AND WRITTEN CHALLENGE,
HE OR SHE SHALL ADDRESS THE CHALLENGE TO THE PSD.
THE CHALLENGE SHALL CONTAIN THE INFORMATION REQUIRED
BY PARAGRAPH 2-103.2., ABOVE. IF THE CHALLENGER DESIRES
TO HAVE HIS OR HER ANONYMITY PRESERVED FROM THE CLASSIFIER,
A STATEMENT TO THAT EFFECT SHALL BE INCLUDED IN THE
CHALLENGE.
2-104.3. PSD SHALL FORWARD THE CHALLENGE THROUGH THE
OSD COMPONENT SECURITY MANAGER TO THE CLASSIFIER, PRESERVING
THE ANONYMITY OF THE CHALLENGER IF REQUESTED.
2-104.4. UPON RECEIPT OF A CHALLENGE, THE CLASSIFIER
SHALL DO THE FOLLOWING:
2-104.4.1. REVIEW THE CHALLENGED INFORMATION AND DETERMINE
EITHER:
2-104.4.1.1. THAT THE CHALLENGE IS VALID.
2-104.4.1.2. THAT THE CHALLENGE IS NOT VALID AND THE
INFORMATION IS CLASSIFIED PROPERLY UNDER THIS INSTRUCTION.
2-104.4.2. IF THE CHALLENGE IS VALID:
2-104.4.2.1. DECLASSIFY, UPGRADE, DOWNGRADE, OR REDUCE
THE DURATION OF CLASSIFICATION OF THE CHALLENGED INFORMATION.
2-104.4.2.2. NOTIFY ALL HOLDERS OF THE INFORMATION
OF THE CHANGES.
2-104.4.2.3. NOTIFY PSD OF THE CHANGES MADE AS A RESULT
OF THE CHALLENGE.
2-104.4.3. IF THE CLASSIFIER DETERMINES THE CHALLENGE
IS NOT VALID, PSD SHALL BE NOTIFIED IN WRITING. THE
RESPONSE SHALL INCLUDE THE CLASSIFIER'S RATIONALE FOR
DENYING THE CHALLENGE.
2-104.5. THE PSD SHALL NOTIFY THE CHALLENGER OF THE
RESULTS OF THE CHALLENGE.
C2.2. Section 2. CLASSIFICATION PRINCIPLES, CRITERIA,
AND CONSIDERATIONS
2-200. Reasoned Judgment. Reasoned judgment shall
be exercised in making classification decisions. A
positive basis must exist for classification. Both
advantages and disadvantages of classification must
be weighed. If, after consideration of the provisions
of this section, there is reasonable doubt, the provisions
of paragraph 1-400.2. apply.
2-201. Identification of Specific Information. Before
a classification determination is made, each item of
information that may require protection shall be identified.
This requires identification of that specific information
that comprises the basis for a particular national advantage
or advantages that, if the information were compromised,
would or could be damaged, minimized, or lost, thereby
adversely affecting national security.
2-202. Specific Classifying Criteria. A determination
to classify shall be made only by an original classification
authority when, first, the information is within categories
2-202.1. through 2-202.10., below; and second, the unauthorized
disclosure of the information, either by itself or in
the context of other information, reasonably could be
expected to cause damage to the national security.
The determination involved in the first step is separate
and distinct from that in the second. Except as provided
in subsection 2-203., the fact that the information
falls under one or more of the criteria shall not mean
that the information automatically meets the damage
criteria. Information shall be considered for classification
if it concerns:
2-202.1. Military plans, weapons, or operations;
2-202.2. Vulnerabilities or capabilities of systems,
installations, projects, or plans relating to the national
security;
2-202.3. Foreign government information;
2-202.4. Intelligence activities including special
activities, or intelligence sources or methods;
2-202.5. Foreign relations or foreign activities of
the United States;
2-202.6. Scientific, technological, or economic matters
relating to the national security;
2-202.7. U.S. Government programs for safeguarding
nuclear materials or facilities;
2-202.8. Cryptology;
2-202.9. A confidential source; or
2-202.10. Other categories of information that are
related to national security and that require protection
against unauthorized disclosure as determined by the
Secretary of Defense or Secretaries of the Military
Departments. Recommendations concerning the need to
designate additional categories of information that
may be considered for classification shall be forwarded
through channels to the appropriate Secretary for determination.
Each such determination shall be reported promptly
to the Director of Security Plans and Programs, ODUSD(P),
for promulgation in an Appendix to this Regulation and
reporting to the Director, ISOO.
2-203. Presumption of Damage. Unauthorized disclosure
of foreign government information (see subsection 11-100.),
the identity of a confidential foreign source, or intelligence
sources or methods is presumed to cause damage to the
national security.
2-204. Limitations on Classification
2-204.1. Classification may not be used to conceal
violations of law, inefficiency, or administrative error,
to prevent embarrassment to a person, organization or
Agency, or to restrain competition.
2-204.2. Basic scientific research information not
clearly related to national security may not be classified.
(See also subsection 2-205.)
2-204.3. A product of nongovernment research and development
that does not incorporate or reveal classified information
to which the producer or developer was given prior access
may not be classified until and unless the Government
acquires a proprietary interest in the product. This
prohibition does not affect the provisions of the Patent
Secrecy Act of 1952 (reference (q)). (See section
C2.7., this Chapter.)
2-204.4. References to classified documents that do
not reveal classified information may not be classified
or used as a basis for classification.
2-204.5. Classification may not be used to limit dissemination
of information that is not classifiable under the provisions
of E.O. 12356 (reference (g)) or this Regulation or
to prevent or delay public release of such information.
2-204.6. Information may be classified or reclassified
after receiving a request for it under the Freedom of
Information Act (reference (p)), the Privacy Act (reference
(r)), or the mandatory review provisions of this Regulation
(section C3.3., Chapter 3) if such classification is
consistent with this Regulation and is accomplished
personally and on a document-by-document basis, except
as provided in paragraph 2-204.7., below, by the Secretary
or Deputy Secretary of Defense, by the Secretaries or
Under Secretaries of the Military Departments, by the
senior official designated by each Secretary under Section
5.3(a) of reference (g), or by an official with original
Top Secret classification authority. (See subsection
2-801.)
2-204.7. The Secretary of Defense and the Secretaries
of the Military Departments may reclassify information
previously declassified and disclosed, and they may
classify unclassified information that has been disclosed,
if they determine in writing that the information requires
protection in the interest of national security and
the information may reasonably be recovered. (See
subsection 2-801.) Any such reclassification or classification
shall be reported to the DUSD(P) for subsequent reporting
to the Director, ISOO.
2-205. Classifying Scientific Research Data. Ordinarily,
except for information that meets the definition of
Restricted Data, basic scientific research or its results
shall not be classified. However, classification would
be appropriate if the information concerns an unusually
significant scientific breakthrough and there is sound
reason to believe that it is not known or within the
state-of-the-art of other nations, and it supplies the
United States with an advantage directly related to
national security.
2-206. Classifying Documents. Each document and portion
thereof shall be classified on the basis of the information
it contains or reveals. The fact that a document makes
reference to a classified document is not a basis for
classification unless the reference citation, standing
alone, reveals classified information. (See paragraph
2-204.4.) The overall classification of a document
or group of physically connected documents shall be
at least as high as that of the most highly classified
component. The subject or title of a classified document
normally should be unclassified. When the information
revealed by a subject or title warrants classification,
an unclassified short title should be added for reference
purposes.
2-207. Classifying Material Other Than Documents
2-207.1. Items of equipment or other physical objects
shall be classified only when classified information
may be derived from them by visual observation of their
internal or external appearance or structure, or by
their operation, test, application, or use. The overall
classification assigned to end items of equipment or
objects shall be at least as high as the highest classification
of any of its integrated parts.
2-207.2. If mere knowledge of the existence of the
item of equipment or object would compromise or nullify
its national security advantage, its existence would
warrant classification.
2-208. State-of-the-Art and Intelligence. Classification
requires consideration of the information available
from intelligence sources concerning the extent to which
the same or similar information is known or is available
to others. It is also important to consider whether
it is known, publicly or internationally, that the United
States has the information or even is interested in
the subject matter. The state-of-the-art in other
nations may often be a vital consideration.
2-209. Effect of Open Publication. Classified information
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. Appearance in the public domain
of information currently classified or being considered
for classification does not preclude initial or continued
classification. However, such disclosures require
immediate determination of the degree of damage to the
national security and reevaluation of the information
to determine whether the publication has so compromised
the information that downgrading or declassification
is warranted. (See also Chapter 6.) Similar consideration
must be given to related items of information in all
programs, projects, or items incorporating or pertaining
to the compromised items of information. Holders should
continue classification until advised to the contrary
by a competent Government authority.
2-210. Reevaluation of Classification Because of Compromise.
Classified information, and information related thereto,
that has been lost or possibly compromised, shall be
reevaluated and acted upon as follows:
2-210.1. The original classifying authority, upon learning
that a loss or possible compromise of specific classified
information has occurred, shall prepare a written damage
assessment and:
2-210.1.1. Reevaluate the information involved and
determine whether:
2-210.1.1.1. Its classification should be continued
without change;
2-210.1.1.2. The specific information, or parts thereof,
should be modified to minimize or nullify the effects
of the reported compromise and the classification retained;
2-210.1.1.3. Declassification, downgrading, or upgrading
is warranted; and
2-210.1.1.4. Countermeasures are appropriate and feasible
to negate or minimize the effect of the compromise.
2-210.1.2. Give prompt notice to all holders of such
information when the determination is within categories
2-210.1.1.2., 2-210.1.1.3., or 2-210.1.1.4. of subparagraph
2-210.1.1., above.
2-210.2. Upon learning that a compromise or probable
compromise has occurred, any official having original
classification jurisdiction over related information
shall reevaluate the related information and determine
whether one of the courses of action enumerated in subparagraph
2-2210.1.1., above, should be taken or, instead, whether
upgrading of the related information is warranted.
When such a determination is within categories 2-210.1.1.2.,
2-210.1.1.3., or 2-210.1.1.4. of subparagraph 2-210.1.1.,
above, or that upgrading of the related items is warranted,
prompt notice of the determination shall be given to
all holders of the related information. (See Chapter
6.)
2-211. Compilation of Information. Certain information
that would otherwise be unclassified may require classification
when combined or associated with other unclassified
information. However, a compilation of unclassified
items of information should normally not be classified.
In unusual circumstances, classification may be required
if the combination of unclassified items of information
provides an added factor that warrants classification
under subsection 2-202. Classification on this basis
shall be fully supported by a written explanation that
will be provided with the material so classified. (See
also subsection 4-203.)
2-212. Extracts of Information. Information extracted
from a classified source shall be derivatively classified
or not classified in accordance with the classification
markings shown in the source. The overall and internal
markings of the source should supply adequate classification
guidance. If internal markings or classification guidance
are not found in the source, and no reference is made
to an and available classification guide, the extracted
information shall be classified according either to
the overall marking of the source, or guidance obtained
from the classifier of the source material.
C2.3. Section 3. DURATION OF ORIGINAL CLASSIFICATION
2-300. General. When a determination is made by an
official with authority to classify originally information
as Top Secret, Secret, or Confidential, such official
must also determine how long the classification shall
remain in effect.
2-301. Duration of Classification
2-301.1. Information shall be classified as long as
required by national security considerations.
2-301.2. 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 classified originally. Such dates or events shall
be consistent with national security. Any event specified
for declassification shall be an event certain to occur.
2-301.3. Original classification authorities may not
be able to predetermine a date or event for automatic
declassification in which case they shall provide for
the indefinite duration of classification (see Chapter
4 for the marking "Originating Agency's Determination
Required").
2-301.4. Information classified under predecessor orders
and marked for declassification review shall remain
classified until reviewed for declassification under
the provisions of this Regulation (also see paragraph
4-600.2.).
2-302. Subsequent Extension of Duration of Classification.
The duration of classification specified at the time
of original classification may be extended only by officials
with requisite original classification authority and
only if all known holders of the information can be
notified of such action before the date or event previously
set for declassification. Any decision to continue
classification of information designated for automatic
declassification under E.O. 12065 (reference (hh)) or
predecessor orders, other than on a document-by-document
basis, shall be reported to the DUSD(P) who shall, in
turn, report to the Director, ISOO.
C2.4. Section 4. CLASSIFICATION GUIDES
2-400. General
2-400.1. A classification guide shall be issued for
each classified system, program, plan, or project as
soon as practicable before the initial funding or implementation
of the system, program, plan or project. Successive
operating echelons shall prescribe more detailed supplemental
guides that are considered essential to assure accurate
and consistent classification. In preparing classification
guides, originators should review DoD 5200.1-H (reference
(s)).
2-400.2. Classification guides shall:
2-400.2.1. Identify the information elements to be
protected, using categorization to the extent necessary
to ensure that the information involved can be identified
readily and uniformly;
2-400.2.2. State which of the classification designations
(that is, Top Secret, Secret, or Confidential) applies
to each element or category of information;
2-400.2.3. 4-2400.2.3.State declassification instructions
for each element or category of information in terms
of a period of time, the occurrence of an event, or
a notation that the information shall not be declassified
automatically without approval of the originating Agency;
and
2-400.2.4. State any special public release procedures
and foreign disclosure considerations.
2-400.3. Each classification guide shall be approved
personally and in writing by an official who:
2-400.3.1. Has program or supervisory responsibility
over the information or is the senior Agency official
designated by the Secretary of Defense or Secretaries
of the Military Departments in accordance with Section
5.3(a) of E.O. 12356 (reference (g)); and
2-400.3.2. Is authorized to classify information originally
at the highest level of classification prescribed in
the guide.
2-400.4. THE OSD COMPONENT OFFICIAL HAVING PRIMARY
FUNCTIONAL AND MANAGEMENT RESPONSIBILITY FOR SYSTEMS,
PROGRAMS, PROJECTS, OR PLANS SHALL DEVELOP AND ISSUE
A SECURITY CLASSIFICATION GUIDE.
2-401. Multi-Service Interest. For each classified
system, program, project, plan, or item involving more
than one DoD Component, a classification guide shall
be issued by the:
2-401.1. Element in the Office of the Secretary of
Defense that assumes or is expressly designated to exercise
overall cognizance over it; or
2-401.2. DoD Component that is expressly designated
to serve as the executive or administrative agent for
the particular effort. When there is doubt which Component
has cognizance of the information involved, the matter
shall be referred to the DUSD(P) for resolution.
2-402. Research, Development, Test, and Evaluation.
A program security classification guide shall be developed
for each system and equipment development program that
involves research, development, test, and evaluation
(RDT&E) of classified technical information. For each
such program covered by an approved Decision Coordinating
Paper (DCP) or Program Objective Memorandum (POM), initial
basic classification guidance applicable to technical
characteristics of the system or equipment shall be
developed and submitted with the proposed DCP or POM
to the Under Secretary of Defense for Research and Engineering
for approval. A detailed classification guide shall
be developed and issued as near in time as possible
to the approval of the DCP or POM.
2-403. Project Phases. Whenever possible, classification
guides shall cover specifically each phase of transition,
that is, RDT&E, procurement, production, Service use,
and obsolescence, with changes in assigned classifications
to reflect the changing sensitivity of the information
involved.
2-404. Review of Classification Guides
2-404.1. Classification guides shall be reviewed by
the originator for currency and accuracy not less than
once every 2 years. Changes shall be issued promptly.
If no changes are made, the originator shall so annotate
the record copy and show the date of the review.
2-404.2. Classification guides issued before August
1, 1982, that are in current use must be updated to
meet the requirements of paragraph 2-400.2. Such updating
shall be accomplished by the next biennial review.
Converting previous declassification determinations
directed by classification guides shall be accomplished
in accordance with the following:
2-404.2.1. Automatic declassification dates or events
remain in force unless changed by competent authority
in accordance with subsection 2-302.
2-404.2.2. Dates for declassification review shall
be changed to automatic declassification dates or provide
for the indefinite duration of classification.
2-405. Distribution of Classification Guides
2-405.1. A copy of each approved classification guide
and changes thereto other than those covering SCI shall
be sent to the Director of Freedom of Information and
Security Review, Office of the Assistant Secretary of
Defense (Public Affairs), and to the Director of Security
Plans and Programs, ODUSD(P). A copy of each approved
classification guide covering SCI shall be submitted
to and maintained by the Senior Intelligence Officer
who has security cognizance over the issuing activity.
2-405.2. Two copies of each approved classification
guide and its changes shall be sent by the originator
to the Administrator, Defense Technical Information
Center (DTIC), Defense Logistics Agency, unless such
guide is classified Top Secret, or covers SCI, or is
determined by the approval authority of the guide to
be too sensitive for automatic secondary distribution
to DoD Components. Each classification guide forwarded
to DTIC must bear distribution statement B, C, D, E,
F, or X from DoD Directive 5230.24 (reference (bbb))
on its front cover or first page if there is no cover.
2-406. Index of Security Classification Guides
2-406.1. All security classification guides, except
as provided in subparagraph 2-406.2., below, issued
under this Regulation shall be listed in DoD 5200.1-1
(reference (t)), on the basis of information provided
on DD Form 2024, "DoD Security Classification Guide
Data Elements." The originator of each guide shall
execute DD Form 2024 when the guide is approved, changed,
revised, reissued, or canceled, and when its biennial
review is accomplished. The original copy of each
executed DD Form 2024 shall be forwarded to the Director
of Security Plans and Programs, ODUSD(P) who will maintain
the Index. Report Control Symbol DD-POL(B&AR)1418
applies to this information collection system.
2-406.2. Any classification guide that because of classification
considerations is not listed in accordance with paragraph
2-406.1., above, shall be reported by the originator
to the Director of Security Plans and Programs, ODUSD(P).
The report shall include the title of the guide, its
date, the classification of the guide, and identification
of the originating activity. A separate classified
list of such guides will be maintained. Report Control
Symbol DD-POL(B&AR)1418 applies to this information
collection system.
C2.5. Section 5. RESOLUTION OF CONFLICTS
2-500. General. When two or more offices, headquarters,
or activities disagree concerning a classification,
declassification, or regrading action, the disagreement
must be resolved promptly.
2-501. Procedures. If agreement cannot be reached
by informal consultation, the matter shall be referred
for decision to the lowest superior common to the disagreeing
parties. If agreement cannot be reached at the major
command (or equivalent) level, the matter shall be referred
for decision to the headquarters office having overall
classification management responsibilities for the Component.
That office shall also be advised of any disagreement
at any echelon if prompt resolution is not likely to
occur.
2-502. Final Decision. Disagreements between DoD
Component headquarters, if not resolved promptly, shall
be referred for final resolution to the ODUSD(P).
2-503. Timing. Action under this section at each
level of consideration shall be completed within 30
days. Failure to reach a decision within 30 days shall
be cause for referral to the next level for consideration.
C2.6. Section 6. OBTAINING CLASSIFICATION EVALUATIONS
2-600. Procedures. If a person not authorized to
classify originates or develops information that he
or she believes should be safeguarded, he or she shall:
2-600.1. Safeguard the information in the manner prescribed
for the intended classification (see paragraph 1-400.2.);
2-600.2. Mark the information (or cover sheet) with
the intended classification designation prescribed in
section C1.5., Chapter 1;
2-600.3. Transmit the information under appropriate
safeguards to an appropriate classification authority
for evaluation. The transmittal shall state that the
information is tentatively marked to protect it in transit.
If such authority is not readily identifiable, the
information should be forwarded to a head quarters activity
of a DoD Component, to the headquarters office having
overall classification management responsibilities for
a DoD Component, or to the DUSD(P). A determination
whether to classify the information shall be made within
30 days of receipt;
2-600.4. Upon decision by the classifying authority,
the tentative marking shall be removed. If a classification
is assigned, appropriate markings shall be applied;
but
2-600.5. In an emergency requiring immediate communication
of the information, after taking the action prescribed
by paragraphs 2-600.1. and 2-600.2., above, transmit
the information and then proceed in accordance with
paragraph 2-600.3., above.
C2.7. Section 7. INFORMATION DEVELOPED BY PRIVATE
SOURCES
2-700. General. There are some circumstances in which
information not meeting the definition in subsection
1-305. may warrant protection in the interest of national
security.
2-701. Patent Secrecy Act. The Patent Secrecy Act
of 1952 (reference (q)) provides that the Secretary
of Defense, among others, may determine that disclosure
of an invention by granting of a patent would be detrimental
to national security. See DoD Directive 5535.2 (reference
(u)). A patent application on which a secrecy order
has been imposed shall be handled as follows within
the Department of Defense:
2-701.1. If the patent application contains information
that warrants classification, it shall be assigned a
classification and be marked and safeguarded accordingly.
2-701.2. If the patent application does not contain
information that warrants classification, the following
procedures shall be followed:
2-701.2.1. A cover sheet (or cover letter for transmittal)
shall be placed on the application with substantially
the following language:
"The attached material contains information on which
secrecy orders have been issued by the U.S. Patent Office
after determination that disclosure would be detrimental
to national security (Patent Secrecy Act of 1952, 35
U.S.C. 181-188). Its transmission or revelation in
any manner to an unauthorized person is prohibited by
law. Handle as though classified CONFIDENTIAL (or
such other classification as would have been assigned
had the patent application been within the definition
provided in subsection 1-305.)."
2-701.2.2. The information shall be withheld from public
release; its dissemination within the Department of
Defense shall be controlled; the applicant shall be
instructed not to disclose it to any unauthorized person;
and the patent application (or other document incorporating
the protected information) shall be safeguarded in the
manner prescribed for equivalent classified material.
2-701.3. If filing of a patent application with a foreign
government is approved under provisions of the Patent
Secrecy Act of 1952 (reference (q)) and agreements on
interchange of patent information for defense purposes,
the copies of the patent application prepared for foreign
registration (but only those copies) shall be marked
at the bottom of each page as follows:
"Withheld under the Patent Secrecy Act of 1952 (35 U.S.C.
181-188)."
"Handle as CONFIDENTIAL (or such other level as has
been determined)."
2-702. Independent Research and Development
2-702.1. Information in a document or material that
is a product of Government-sponsored independent research
and development conducted without access to classified
information may not be classified unless the Government
first acquires a proprietary interest in such product.
2-702.2. If no prior access was given but the person
or company conducting the independent research or development
believes that protection may be warranted in the interest
of national security, the person or company should safeguard
the information in accordance with subsection 2-600.
and submit it to an appropriate DoD element for evaluation.
The DoD element receiving such a request for evaluation
shall make or obtain a determination whether a classification
would be assigned if it were Government information.
If the determination is negative, the originator shall
be advised that the information is unclassified. If
the determination is affirmative, the DoD element shall
make or obtain a determination whether a proprietary
interest in the research and development will be acquired.
If so, the information shall be assigned proper classification.
If not, the originator shall be informed that there
is no basis for classification and the tentative classification
shall be canceled.
2-703. Other Private Information. The procedure specified
in subsection 2-600. shall apply in any case not specified
in subsection 2-702., such as an unsolicited contract
bid, in which private information is submitted to a
DoD element for a determination of classification.
C2.8. Section 8. REGRADING
2-800. Raising to a Higher Level of Classification.
The upgrading of classified information to a higher
level than previously determined by officials with appropriate
classification authority and jurisdiction over the subject
matter is permitted only when all known holders of the
information:
2-800.1. Can be notified promptly of such action; and
2-800.2. Are authorized access to the higher level
of classification, or the information can be retrieved
from those not authorized access to information at the
contemplated higher level of classification.
2-801. Classification of Information Previously Determined
to be Unclassified. Unclassified information, once
communicated as such, may be classified only when the
classifying authority:
2-801.1. Makes the determination required for upgrading
in subsection 2-800.;
2-801.2. Determines that control of the information
has not been lost by such communication and can still
be prevented from being lost; and
2-801.3. In the case of information released to secondary
distribution centers, such as the DTIC, determines that
no secondary distribution has been made and can still
be prevented (see also paragraphs 2-204.6. and 2-204.7.).
2-802. Notification. All known holders of information
that has been upgraded shall be notified promptly of
the upgrading action.
2-803. Downgrading. When it will serve a useful purpose,
original classification authorities may, at the time
of original classification, specify that downgrading
of the assigned classification will occur on a specified
date or upon the occurrence of a stated event.
C2.9. Section 9. INDUSTRIAL OPERATIONS
2-900. Classification in Industrial Operations. Classification
of information in private industrial operations shall
be based only on guidance furnished by the Government.
Industrial management may not make original classification
determinations and shall implement the classification
decisions of the U.S. Government contracting authority.
2-901. Contract Security Classification Specification.
DD Form 254, "Contract Security Classification Specification,"
shall be used to convey contractual security classification
guidance to industrial management. DD Forms 254 shall
be changed by the originator to reflect changes in classification
guidance and reviewed for currency and accuracy not
less than once every 2 years. Changes shall conform
with this Regulation and DoD 5220.22-R and DoD 5220.22-M
(references (j) and (k) and shall be provided to all
holders of the DD Form 254 as soon as possible. When
no changes are made as a result of the biennial review,
the originator shall so notify all holders of the DD
Form 254 in writing.
C3. CHAPTER 3
DECLASSIFICATION AND DOWNGRADING
C3.1. Section 1. GENERAL PROVISIONS
3-100. Policy. Information classified under E.O.
12356 (reference (g)) and prior orders shall be declassified
or downgraded as soon as national security considerations
permit. Decisions concerning declassification shall
be based on the loss of sensitivity of the information
with the passage of time or on the occurrence of an
event that permits declassification. Information that
continues to meet the classification requirements of
subsection 2-202. despite the passage of time will continue
to be protected in accordance with this Regulation.
3-101. Responsibility of Officials. Officials authorized
under subsection 1-603. to declassify or downgrade information
that is under the final classification jurisdiction
of the Department of Defense shall take such action
in accordance with this Chapter.
3-102. Declassification Coordination. DoD Component
declassification review of classified information shall
be coordinated with any other DoD or non-DoD office,
Component, or Agency that has a direct interest in the
subject matter.
3-103. Declassification by the Director of the ISOO.
If the Director of the ISOO determines that information
is classified in violation of reference (b), the Director
may require the activity that originally classified
the information to declassify it. Any such decision
by the Director may be appealed through the Director
of Security Plans and Programs, ODUSD(P), to the National
Security Council (NSC). The information shall remain
classified pending a prompt decision on the appeal.
C3.2. Section 2. SYSTEMATIC REVIEW
3-200. Assistance to the Archivist of the United States.
The Secretary of Defense and the Secretaries of the
Military Departments shall designate experienced personnel
to assist the Archivist of the United States in the
systematic review of classified information. Such
personnel shall:
3-200.1. Provide guidance and assistance to National
Archives and Records Administration (NARA) employees
in identifying and separating documents and specific
categories of information within documents that are
deemed to require continued classification; and
3-200.2. Refer doubtful cases to the DoD Component
having classification jurisdiction over the information
or material for resolution.
3-201. Systematic Review Guidelines. The Director
of Security Plans and Programs, ODUSD(P), in coordination
with DoD Components, shall review, evaluate, and recommend
revisions of DoD Directive 5200.30 (reference (v)) at
least every 5 years.
3-202. Systematic Review Procedures
3-202.1. Except as noted in this subsection, classified
information transferred to the NARA that is permanently
valuable will be reviewed systematically for declassification
by the Archivist of the United States with the assistance
of the DoD personnel designated for that purpose under
subsection 3-200. as it becomes 30 years old. Information
concerning intelligence (including special activities),
sources, or methods created after 1945, and information
concerning cryptology created after 1945, accessioned
into the NARA will be reviewed systematically as it
becomes 50 years old. Such information shall be downgraded
or declassified by the Archivist of the United States
under E.O. 12356, the directives of the ISOO, and
reference (v).
3-202.2. All DoD classified information that is permanently
valuable and in the possession or control of DoD Components,
including that held in Federal Records Centers or other
storage areas, may be reviewed systematically for declassification
by the DoD Component exercising control of such information.
Systematic declassification review conducted by DoD
Components and personnel designated under subsection
3-200. shall proceed as follows:
3-202.2.1. Information over which the Department of
Defense exercises exclusive or final original classification
authority and that under reference (v), the responsible
reviewer determines is to be declassified, shall be
marked accordingly.
3-202.2.2. Information over which the Department of
Defense exercises exclusive or final original classification
authority that, after review, is determined to warrant
continued protection shall remain classified as long
as required by national security considerations.
3-202.3. Classified information over which the Department
of Defense does not exercise exclusive or final original
classification authority encountered during DoD systematic
review may not be declassified unless specifically authorized
by the Agency having classification jurisdiction over
it.
3-203. Systematic Review of Classified Cryptologic
Information. Notwithstanding any other provision of
this Regulation, systematic review and declassification
of classified cryptologic information shall be conducted
in accordance with special procedures developed in consultation
with affected Agencies by the Director, National Security
Agency/Chief, Central Security Service, and approved
by the Secretary of Defense under E.O. 12356 and DoD
Directive 5200.30 (references (g) and (v)).
3-204. Systematic Review of Intelligence Information.
Systematic review for declassification of classified
information pertaining to intelligence activities (including
special activities), or intelligence sources or methods
shall be in accordance with special procedures to be
established by the Director of Central Intelligence
after consultation with affected Agencies.
C3.3. Section 3. MANDATORY DECLASSIFICATION REVIEW
3-300. Information Covered. Upon request by a U.S.
citizen or permanent resident alien, a Federal Agency,
or a State or local government to declassify and release
such information, any classified information (except
as provided in subsection 3-301.) shall be subject to
review by the originating or responsible DoD Component
for declassification in accordance with this section.
3-301. Presidential Information. Information originated
by a President, the White House staff, 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 is exempt from the provisions
of this section.
3-302. Cryptologic Information. Requests for the
declassification review of cryptologic information shall
be processed in accordance with the provisions of DoD
Directive 5200.30 (reference (v)).
3-303. Submission of Requests for Mandatory Declassification
Review. Requests for mandatory review of DoD classified
information shall be submitted as follows:
3-303.1. Requests shall be in writing and reasonably
describe the information sought with sufficient particularity
to enable the Component to identify documents containing
that information, and be reasonable in scope; for example,
the request does not involve such a large number or
variety of documents as to leave uncertain the identity
of the particular information sought.
3-303.2. Requests shall be submitted to the Office
of the Assistant Secretary of Defense (Public Affairs)
(ASD(PA)) (entry point for OSD records), the Military
Department, or other Component most concerned with the
subject matter that is designated under DoD Directive
5400.7 (reference (p)) to receive requests for records
under the Freedom of Information Act. These offices
are identified in appropriate Parts of Title 32 of the
Code of Federal Regulations for each DoD Component.
3-304. Requirements for Processing. Unless otherwise
directed by the ASD(PA), requests for mandatory review
shall be processed as follows:
3-304.1. The designated office shall acknowledge receipt
of the request. When a request does not satisfy the
conditions of paragraph 3-303.1., the requester shall
be notified that unless additional information is provided
or the scope of the request narrowed, no further action
will be undertaken.
3-304.2. DoD Component action upon the initial request
shall be completed within 60 days (45 working days).
If no determination has been made within 60 days (45
working days) of receipt of the request, the requester
shall be notified of his right to appeal and of the
procedures for making such an appeal.
3-304.3. The designated office shall determine whether,
under the declassification provisions of this Regulation,
the requested information may be declassified, and,
if so, make such information available to the requester,
unless withholding is otherwise warranted under applicable
law. If the information may not be released in whole
or in part, the requester shall be given a brief statement
as to the reasons for denial, notice of the right to
appeal the determination within 60 days (45 working
days) to a designated appellate authority (including
name, title, and address of such authority), and the
procedures for such an appeal.
3-304.4. When a request is received for information
classified by another DoD Component or an Agency outside
the Department of Defense, the designated office shall:
3-304.4.1. Forward the request to such DoD Component
or outside Agency for review together with a copy of
the document containing the information requested, when
practicable and when appropriate, with its recommendation
to withhold any of the information;
3-304.4.2. Notify the requester of the referral unless
the DoD Component or outside Agency to which the request
is referred objects to such notice on grounds that its
association with the information requires protection;
and
3-304.4.3. Request, when appropriate, that the DoD
Component or outside Agency notify the referring office
of its determination.
3-304.5. If the request requires the rendering of services
for which fees may be charged under Title 5 of the Independent
Offices Appropriation Act (reference (w)) in accordance
with DoD Instruction 7230.7 (reference (x)), the DoD
Component may calculate the anticipated amount of fees
to be charged and ascertain the requester's willingness
to pay the allowable charges as a precondition to taking
further action upon the request.
3-304.6. A requester may appeal to the Head of a DoD
Component or designee whenever that DoD Component has
not acted on an initial request within 60 days or the
requester has been notified that requested information
may not be released in whole or in part. Within 30
days after receipt, an appellate authority shall determine
whether continued classification of the requested information
is required in whole or in part, notify the requester
of its determination, and make available to the requester
any information determined to be releasable. If continued
classification is required under this Regulation, the
requester shall be notified of the reasons therefore.
If so requested, an appellate authority shall communicate
its determination to any referring DoD Component or
outside Agency.
3-304.7. The ASD(PA) shall act as appellate authority
for all appeals regarding OSD, OJCS, and Unified Command
records.
3-305. Foreign Government Information. Requests for
mandatory review for the declassification of foreign
government information shall be processed and acted
upon under the provisions of this, section subject to
subsection 11-202.
3-306. Prohibition. No DoD Component in possession
of a document shall in response to a request under the
Freedom of Information Act or this section refuse to
confirm the existence or nonexistence of the document,
unless the fact of its existence or nonexistence would
itself be classifiable under this Regulation.
3-307. Restricted Data and Formerly Restricted Data.
Any proposed action on a request, including requests
from Presidential libraries, for DoD classified documents
that are marked "Restricted Data" or "Formerly Restricted
Data" must be coordinated with the Department of Energy.
C3.4. Section 4. DECLASSIFICATION OF TRANSFERRED
DOCUMENTS OR MATERIAL
3-400. Material Officially Transferred. In the case
of classified information or material transferred under
statute, E.O., or Directive from one Department or Agency
or DoD Component to another in conjunction with a transfer
of functions, as distinguished from transfers merely
for purposes of storage, the receiving Department, Agency,
or DoD Component shall be deemed to be the original
classifying authority over such material for purposes
of downgrading and declassification.
3-401. Material Not Officially Transferred. When
a DoD Component has in its possession classified information
or material originated in an Agency outside the Department
of Defense that has ceased to exist and such information
or material has not been transferred to another Department
or Agency within the meaning of subsection 3-400., or
when it is impossible to identify the originating Agency,
the DoD Component shall be deemed to be the originating
Agency for the purpose of declassifying or downgrading
such information or material. If it appears probable
that another Department, Agency, or DoD Component may
have a substantial interest in the classification of
such information, the DoD Component deemed to be the
originating Agency shall notify such other Department,
Agency, or DoD Component of the nature of the information
or material and any intention to downgrade or declassify
it. Until 60 days after notification, the DoD Component
shall not declassify or downgrade such information or
material without consulting the other Department, Agency,
or DoD Component. During this period, the other Department,
Agency, or DoD Component may express objections to downgrading
or declassifying such information or material.
3-402. Transfer for Storage or Retirement. Whenever
practicable, classified documents shall be reviewed
for downgrading or declassification before they are
forwarded to a Records Center for storage or to the
NARA for permanent preservation. Any downgrading or
declassification determination shall be indicated on
each document by markings as required by Chapter 4.
C3.5. Section 5. DOWNGRADING
3-500. Automatic Downgrading. Classified information
marked for automatic downgrading in accordance with
this or prior regulations or E.Os. is downgraded accordingly
without notification to holders.
3-501. Downgrading Upon Reconsideration. Classified
information not marked for automatic downgrading may
be assigned a lower classification designation by the
originator or by an official authorized to declassify
the same information (see subsection 1-603.). Prompt
notice of such downgrading shall be provided to known
holders of the information.
C3.6. Section 6. MISCELLANEOUS
3-600. Notification of Changes in Declassification.
When classified material has been properly marked
with specific dates or events for declassification,
it is not necessary to issue notices of declassification
to any holders. However, when declassification action
is taken earlier than originally scheduled, or the duration
of classification is extended, the authority making
such changes shall ensure prompt notification of all
holders to whom the information was originally transmitted.
The notification shall specify the marking action
to be taken, the authority therefore, and the effective
date. Upon receipt of notification, recipients shall
effect the proper changes and shall notify holders to
whom they have transmitted the classified information.
See subsections 4-400. and 4-404. for markings and
the use of posted notices.
3-601. Foreign Relations Series. In order to permit
the State Department editors of Foreign Relations of
the United States to meet their mandated goal of publishing
20 years after the event, DoD Components shall assist
the editors in the Department of State by easing access
to appropriate classified materials in their custody
and by expediting declassification review of items from
their files selected for possible publication.
3-602. Reproduction for Declassification Review.
The provisions of subsection 7-305. shall not restrict
the reproduction of documents for the purpose of facilitating
declassification review under the provisions of this
Chapter or the Freedom of Information Act, as amended
(DoD Directive 5400.7, reference (p)). After review
for
declassification, however, those reproduced documents
that remain classified must be destroyed in accordance
with Chapter 9.
C3.7. Section 7. SECURITY REVIEW AND PUBLIC RELEASE
3-700. GENERAL
3-700.1. THE SECTION IMPLEMENTS DoD DIRECTIVE 5230.9,
REFERENCE (PPP), FOR SECURITY REVIEW AND CLEARANCE OF
DoD AND OSD INFORMATION FOR PUBLIC RELEASE.
3-700.2. DoD AND OSD POLICY IS FOR THE AMERICAN PEOPLE
TO BE PROVIDED WITH MAXIMUM INFORMATION, LIMITED ONLY
BY RESTRICTIONS NECESSARY TO SAFEGUARD INFORMATION REQUIRING
PROTECTION IN THE INTERESTS OF U.S. NATIONAL SECURITY
OR RESTRICTIONS ON RELEASE ESTABLISHED BY LAW.
3-700.3. INFORMATION IN ANY FORM ON PLANS, POLICIES,
OR OPERATION OF THE DEPARTMENT OF DEFENSE, OSD, OR U.S.
GOVERNMENT PROPOSED FOR PUBLICATION OR FOR RELEASE TO
THE PUBLIC SHALL BE REVIEWED AND CLEARED BY THE OFFICE
OF THE ASSISTANT SECRETARY OF DEFENSE (PUBLIC AFFAIRS)
OASD(PA) BEFORE IT MEETS ANY OF THE CRITERIA LISTED
IN SUBPARAGRAPHS 3-700.3.1. THROUGH 3-700.3.5., BELOW.
CASES OF DOUBT SHALL BE RESOLVED IN FAVOR OF SUBMISSION.
3-700.3.1. INFORMATION OF U.S. NATIONAL INTEREST.
3-700.3.2. INFORMATION ON SECURITY OF PERSONNEL AND
PROPERTY.
3-700.3.3. INFORMATION ON U.S. OR FOREIGN NUCLEAR WEAPONS
AND TECHNOLOGY OR U.S. CHEMICAL OR BIOLOGICAL WARFARE
ACTIVITIES.
3-700.3.4. INFORMATION ON SUBJECTS OF POTENTIAL CONTROVERSY
AMONG U.S. MILITARY SERVICES.
3-700.3.5. OTHER INFORMATION SPECIFICALLY DESIGNATED
FROM TIME TO TIME BY OASD(PA).
3-701. PUBLIC RELEASE OF INFORMATION. OSD PERSONNEL
WILL NOT MAKE A COMMITMENT TO FURNISH A MANUSCRIPT TO
ANY NON-DoD PUBLICATION OR ORGANIZATION UNTIL THE MANUSCRIPT
HAS BEEN CLEARED BY OR UNTIL APPROVAL FOR THE COMMITMENT
HAS BEEN OBTAINED FROM THE OFFICE OF THE ASSISTANT SECRETARY
OF DEFENSE (PUBLIC AFFAIRS).
3-702. PUBLIC RELEASE OF CONTRACT INFORMATION. OSD
COMPONENTS RESPONSIBLE FOR BEGINNING OR RENEWING CONTRACTUAL
AGREEMENTS, OR FOR EXERCISING OPERATIONAL CONTROL OVER
CONTRACTS ADMINISTERED BY OTHER DoD ORGANIZATIONS, SHALL
ENSURE THAT AN APPLICABLE SECURITY CLAUSE IS INCLUDED
IN THE CONTRACT. THIS CLAUSE SHALL REQUIRE THE CONTRACTOR
TO SUBMIT ANY ARTICLES OR PAPERS, RELATED TO THE CONTRACT,
WHICH ARE PROPOSED FOR PUBLIC RELEASE THROUGH THE RESPONSIBLE
OSD COMPONENT FOR APPROVAL AND SUBSEQUENT DoD CLEARANCE.
C4. CHAPTER 4
MARKING
C4.1. Section 1. GENERAL PROVISIONS
4-100. Designation. Subject to the exceptions in
subsection 4-102., information determined to require
classification protection under this Regulation shall
be so designated. Designation by means other than
physical marking may be used but shall be followed by
physical marking as soon as possible.
4-101. Purpose of Designation. Designation by physical
marking, notation, or other means serves to warn the
holder about the classification of the information involved;
to indicate the degree of protection against unauthorized
disclosure that is required for that particular level
of classification; and to facilitate downgrading and
declassification actions.
4-102. Exceptions
4-102.1. No article that has appeared, in whole or
in part, in newspapers, magazines or elsewhere in the
public domain, or any copy thereof, that is being reviewed
and evaluated to compare its content with classified
information that is being safeguarded in the Department
of Defense by security classification, may be marked
with any security classification, control or other kind
of restrictive marking. The results of the review
and evaluation, if classified, shall be separate from
the article in question.
4-102.2. Classified documents and material shall be
marked in accordance with subsection 4-103. unless the
markings themselves would reveal a confidential source
or relationship not otherwise evident in the document,
material, or information.
4-102.3. The marking requirements of subparagraphs
4-103.1.4. and 4-103.2.4. do not apply to documents
or other material that contain, in whole or in part,
Restricted Data or Formerly Restricted Data information.
Such documents or other material or portions thereof
shall not be declassified without approval of the Department
of Energy with respect to Restricted Data or Formerly
Restricted Data Information, and with respect to any
other national security information contained therein,
the approval of the originating Agency.
4-103. Documents or Other Material in General
4-103.1. At the time of original classification, the
following shall be shown on the face of all originally
classified documents (see subsection 4-402.) or clearly
associated with other forms of classified information
in a manner appropriate to the medium involved:
4-103.1.1. The identity of the original classification
authority by position title, unless he or she is the
signer or approver of the document;
4-103.1.2. The Agency and office of origin;
4-103.1.3. The overall classification of the document
(see subsection 1-500.);
4-103.1.4. The date or event for automatic declassification
or the notation "Originating Agency's Determination
Required" or "OADR"; and, if applicable,
4-103.1.5. Any downgrading action to be taken and the
date or event thereof.
4-103.2. At the time of derivative classification,
the following shall be shown on the face of all derivatively
classified documents (see subsection 4-402.) or clearly
associated with other forms of classified information
in a manner appropriate to the medium involved:
4-103.2.1. The source of classification, that is, a
source document or classification guide. If classification
is derived from more than one source, the phrase "Multiple
Sources" will be shown and the identification of each
source will be maintained with the file or record copy
of the document;
4-103.2.2. The Agency and office of origin of the derivatively
classified document;
4-103.2.3. The overall classification of the document
(see subsection 1-500.);
4-103.2.4. The date or event for declassification or
the notation "Originating Agency's Determination Required"
or "OADR," carried forward from the classification source.
If the classification is derived from multiple sources,
either the most remote date or event for declassification
marked on the sources or if required by any source,
the notation "Originating Agency's Determination Required"
or "OADR" shall be shown (also see subsection 4-401.);
and, if applicable,
4-103.2.5. Any downgrading action to be taken and the
date or event thereof.
4-103.3. In addition to the foregoing, classified documents
shall be marked as prescribed in section C4.2. of this
Chapter, Chapter 6, if the document contains foreign
government information, and with any applicable special
notation listed in section C4.5. of this Chapter.
Such notations shall be carried forward from source
documents to derivatively classified documents when
appropriate. (DoD 5200.1-PH (reference (ddd)) provides
illustrated guidance on the application of classification
and associated markings to documents prepared by the
Department of Defense).
4-103.4. Material other than paper documents shall
show the required information on the material itself
or if that is not practical, in related or accompanying
documentation (see subsection 4-300.).
4-104. Identification of Classification Authority
4-104.1. Identification of a classification authority
shall be shown on the "Classified by" line prescribed
under subsection 4-402. and shall be sufficient, standing
alone, to identify a particular official, source document
or classification guide.
4-104.1.1. If all information in a document or material
is classified as an act of original classification,
the classification authority who made the determination
shall be identified on the "Classified by" line, unless
the classifier is also the signer or approver of the
document (see subsection 4-402.).
THE IDENTITY OF THE ORIGINAL CLASSIFICATION AUTHORITY
SHALL BE SHOWN, BY POSITION TITLE, REGARDLESS OF WHETHER
THE OFFICIAL IS THE SIGNER OR APPROVER TO THE DOCUMENT.
4-104.1.2. If the classification of all information
in a document or material is derived from a single source
(for example, a source document or classification guide),
the "Classified by" line shall identify the source document
or classification guide, including its date when necessary
to insure positive identification (see subsection 4-402.).
4-104.1.3. If the classification of information contained
in a document or material is derived from more than
one original classification authority, or an original
classification authority and another source, or from
more than one source document, classification guide,
or combination thereof, the "Classified by" line shall
be marked "Multiple Sources" and identification of all
such authorities and sources shall be maintained with
the file or record copy of the document (see subsection
4-402.).
4-104.1.4. If an official with requisite classification
authority has been designated by the head of an activity
to approve security classifications assigned to all
information leaving the activity, the title of that
designated official shall be shown on the "Classified
by" line. The designated official shall maintain records
adequate to support derivative classification actions
(see subsection 4-402.).
4-104.2. Guidance concerning the identification of
the classification authority on electronically transmitted
messages is contained in subsection 4-207.
4-104.3. Guidance concerning the identification of
the classification authority on DoD documents that contain
only foreign or NATO classified information is contained
in paragraph 11-304.3.
4-105. Wholly Unclassified Material. Normally, unclassified
material shall not be marked or stamped "Unclassified"
unless it is essential to convey to a recipient of such
material that it has been examined with a view to imposing
a security classification and that it has been determined
that it does not require classification. However,
the marking "Unclassified" may be applied to formerly
classified material (see subsection 4-400.).
THIS PROVISION APPLIES ONLY TO DOCUMENTS AND MATERIAL
THAT ARE NOT CLASSIFIED IN THEIR ENTIRETY. IT DOES
NOT AFFECT THE PAGE MARKING, COMPONENT MARKING, OR PORTION
MARKING REQUIREMENTS FOR CLASSIFIED DOCUMENTS.
C4.2. Section 2. SPECIFIC MARKINGS ON DOCUMENTS
4-200. Overall and Page Marking. Except as otherwise
specified for working papers (see subsection 7-304.),
the overall classification of a document, whether or
not permanently bound, or any copy or reproduction thereof,
shall be conspicuously marked, stamped or affixed permanently
at the top and bottom on the outside of the front cover
(if any), on the title page (if any), on the first page,
and on the outside of the back cover (if any). Each
interior page, except those that are blank, shall be
marked top and bottom according to its content, to include,
"Unclassified" when no classified information is contained
on such a page. Alternatively, the overall classification
of the document may be conspicuously marked or stamped
at the top and bottom of each interior page when such
marking is necessary to achieve production efficiency
and the particular information to which classification
is assigned is otherwise sufficiently identified consistent
with the intent of subsection 4-202. In any case,
the classification marking of a page shall not supplant
the classification marking of portions (subsection 4-202.)
of the page marked with lower levels of classification.
EXCEPT AS PROVIDED IN PARAGRAPH 4-207.2. AND SUBSECTION
4-305., BELOW, CLASSIFICATION MARKINGS SHALL BE IN LETTERS
LARGER THAT THOSE ON THE REST OF THE PAGE. WHERE EXCEPTIONALLY
LARGE LETTERS ARE USED IN THE BODY OF THE PAGE (E.G.,
COVERS OF DOCUMENTS OR GRAPHIC), IT MAY NOT BE PRACTICAL
TO USE LARGER LETTERS. IN SUCH INSTANCES, THE MARKINGS
MUST BE APPLIED SO THAT THEY IMMEDIATELY ARE NOTICEABLE.
PARTICULAR CARE MUST BE TAKEN WHEN REPRODUCING CLASSIFIED
DOCUMENTS TO ENSURE THAT CLASSIFICATION AND ASSOCIATED
MARKINGS ARE DISTINCT AND CONSPICUOUS ON THE REPRODUCED
COPIES. TO FACILITATE REPRODUCIBILITY, SUCH MARKINGS
SHOULD BE APPLIED IN BLACK OR IN OTHER DARK INK.
4-201. Marking Components. The major components of
some complex documents are likely to be used separately.
In such instances, each major component shall be marked
as a separate document in accordance with section C4.1.
of this Chapter. Examples include each annex, appendix,
or similar component of a plan, program, or operations
order; attachments and appendices to a memorandum or
letter; and each major part of a report. If an entire
major component is unclassified, the first page of the
component may be marked at the top and bottom with the
designation "UNCLASSIFIED" and a statement included,
such as, "All portions of this (annex, appendix, etc.)
are UNCLASSIFIED." When this method of marking is
used, no further markings are required on the unclassified
major component.
4-202. Portion Marking
4-202.1. Each section, part, paragraph, or similar
portion of a classified document shall be marked to
show the level of classification of the information
contained in or revealed by it, or that it is unclassified.
Portions of documents shall be marked in a manner
that eliminates doubt as to which of its portions contains
or reveals classified information. Classification
levels of portions of a document, except as provided
in subsection 4-204.,shall be shown by the appropriate
classification symbol placed immediately following the
portion's letter or number, or in the absence of letters
or numbers, immediately before the beginning of the
portion. In marking sections, parts, paragraphs, or
similar portions, the parenthetical symbols "(TS)" for
Top Secret, "(S)" for Secret, "(C)" for Confidential,
and "(U)" for unclassified, shall be used. When appropriate,
the symbols "RD" for Restricted Data and "FRD" for Formerly
Restricted Data shall be added, for example, "(S-RD)"
or "(C-FRD)." In addition, portions that contain Critical
Nuclear Weapon Design Information (CNWDI) will be marked
"(N)" following the classification, for example, "(S-RD)(N)."
4-202.2. Portion marking of DoD documents containing
foreign government information shall be in accordance
with subsection 11-304.
4-202.3. Illustrations, photographs, figures, graphs,
drawings, charts and similar portions of classified
documents will be clearly marked to show their classification
or unclassified status. Such markings shall not be
abbreviated and shall be prominent and placed within
or contiguous to the portion. Captions of such portions
shall be marked on the basis of their content alone
by placing the symbol "(TS)," "(S)," "(C)," or "(U)"
immediately preceding the caption.
4-202.4. If, in an exceptional situation, parenthetical
portion marking is determined to be impracticable, the
document shall contain a statement sufficient to identify
the information that is classified and the level of
such classification. Thus, for example, each portion
of a classified document need not be marked separately
if all portions are classified at the same level, provided
a statement to that effect is included in the document.
In the case of classified compilations, the explanations
required by subsection 4-203. meet this requirement.
4-202.5. When elements of information in one portion
require different classifications, but segregation into
separate portions would destroy continuity or context,
the highest classification required for any item shall
be applied to that portion or paragraph.
4-202.6. Waivers of the foregoing portion marking requirements
may be granted for good cause. Any request by a DoD
Component senior official (see subsections 13-301.and
13-302.) for a waiver of portion marking requirements
shall be submitted to the DUSD(P) and include the following:
4-202.6.1. Identification of the information or class
of documents for which such waiver is sought;
4-202.6.2. Detailed explanation of why the waiver should
be granted;
4-202.6.3. The Component's judgment of the anticipated
dissemination of the information or class of documents
for which the waiver is sought; and
4-202.6.4. The extent to which such information subject
to the waiver may be a basis for derivative classification.
Waivers shall be granted only upon a written determination
by the DUSD(P) as the designee of the Secretary of Defense,
that there will be minimal circulation of the specified
documents or information, and minimal potential usage
of these documents or information as a source for derivative
classification determinations; or there is some other
basis to conclude that the benefits of portion marking
are clearly outweighed by the increased administrative
burdens. The granting and revocation of portion marking
waivers shall be reported to the Director of the ISOO
by the DUSD(P).
4-203. Compilations
4-203.1. Documents. When classification is required
to protect a compilation of unclassified information
pursuant to subsection 2-211., the overall classification
assigned to such documents shall be placed conspicuously
at the top and bottom of each page and on the outside
of the front and back covers, if any, and an explanation
of the basis for the assigned classification shall be
included on the document or in its text.
4-203.2. Portions of Documents. If a classified document
contains particular portions that are unclassified when
standing alone, but classified information will be revealed
when they are combined or associated, those portions
shall be marked as unclassified, the page shall be marked
with the highest classification of any information on
or revealed by the page, and an explanation shall be
added to the page, or to the document, to explain the
classification of the combination or association to
the holder. This method of marking also may be used
if classified portions on a page, or within a document,
will reveal information of a higher classification when
they are combined or associated than when they are standing
alone.
4-204. Subjects and Titles of Documents. Subjects
or titles of classified documents shall be marked with
the appropriate symbol, "(TS)," "(S)," "(C)," or "(U)"
placed immediately following and to the right of the
item. When applicable, other appropriate symbols,
for example, "(RD)" or "(FRD)," shall be added. (Subjects
or titles of documents should be unclassified, if possible.)
4-205. File, Folder, or Group of Documents. When
a file, folder, or group of classified documents is
removed from secure storage it shall be marked conspicuously
with the highest classification of any classified document
included therein or shall have an appropriate classified
document cover sheet affixed.
4-206. Transmittal Documents. A transmittal document,
including endorsements and comments when such endorsements
and comments are added to the basic communication, shall
carry on its face a prominent notation of the highest
classification of the information transmitted by it,
and a legend showing the classification, if any, of
the transmittal document, endorsement, or comment standing
alone. For example, an unclassified document that
transmits as an attachment a classified document shall
bear a notation substantially as follows: "UNCLASSIFIED
WHEN SEPARATED FROM CLASSIFIED ENCLOSURE." (See also
paragraph 4-500.1.)
4-207. Electronically Transmitted Messages
4-207.1. The copy of a classified message (for example,
DD Form 173, "Joint Messageform") approved for electronic
transmission and maintained as the record copy shall
be marked as required by subsection 4-103. for other
documents. Additionally, copies not electronically
transmitted (such as, mail and courier copies) shall
be marked as required by subsection 4-103.
4-207.2. The first item of information in the text
of a classified electronically transmitted message shall
be its overall classification. Paper copies of classified
electronically transmitted messages shall be marked
at the top and bottom with the assigned classification.
Portions shall be marked as prescribed herein for
paper copies of documents. When such messages are
printed by an automated system, classification markings
may be applied by that system, provided that page markings
so applied are clearly distinguishable on the face of
the document from the printed text.
4-207.3. The originator of a classified electronically
transmitted message shall be considered the accountable
classifier under subsection 2-100. The highest level
official identified on the message as the sender or,
in the absence of such identification, the head of the
organization originating the message, is deemed to be
the classifier of the message. Thus, a "Classified
by" line is not required on such messages. The originator
is responsible for maintaining adequate records as required
by paragraph 4-103.2. to show the source of an assigned
derivative classification.
4-207.4. The last line of text of a classified electronically
transmitted message shall show the date or event for
downgrading, if appropriate, and the date or event for
automatic declassification or "Originating Agency's
Determination Required," by abbreviated markings from
subsection 4-402. The foregoing is not required for
messages that contain information identified as Restricted
Data or Formerly Restricted Data.
4-207.5. Any document, the classification of which
is based solely upon the classification of the content
of a classified electronically transmitted message,
shall cite the message on the "Classified by" line of
the newly created document.
4-208. Translations. Translations of U.S. classified
information into a language other than English shall
be marked to show the United States as the country of
origin, with the appropriate U.S. classification markings
and the foreign language equivalent thereof (see Appendix
1).
C4.3. Section 3. MARKINGS ON SPECIAL CATEGORIES OF
MATERIAL
4-300. General Provisions. Security classification
and applicable associated markings (see subsections
4-103. and 4-310.) assigned by the classifier shall
be conspicuously stamped, printed, written, painted,
or affixed by means of a tag, sticker, decal, or similar
device, on classified material other than paper copies
of documents, and on containers of such material, if
possible. If marking the material or container is
not practicable, written notification of the security
classification and applicable associated markings shall
be furnished to recipients. The following procedures
for marking various kinds of material containing classified
information are not all inclusive and may be varied
to accommodate the physical characteristics of the material
containing the classified information and to accommodate
organizational and operational requirements.
4-301. Charts, Maps, and Drawings. Charts, maps,
and drawings shall bear the appropriate classification
marking for the legend, title, or scale blocks in a
manner that differentiates between the overall classification
of the document and the classification of the legend
or title itself. The higher of these markings shall
be inscribed at the top and bottom of each such document.
When folding or rolling charts, maps, or drawings
would cover the classification markings, additional
markings shall be applied that are clearly visible when
the document is folded or rolled. Applicable associated
markings shall be included in or near the legend, title,
or scale blocks.
4-302. Photographs, Films, and Recordings. Photographs,
films (including negatives), recordings, and their containers
shall be marked to assure that a recipient or viewer
will know that classified information of a specified
level of classification is involved.
4-302.1. Photographs. Negatives and positives shall
be marked, whenever practicable, with the appropriate
classification designation and applicable associated
markings. Roll negatives or positives may be so marked
at the beginning and end of each strip. Negatives
and positives shall be kept in containers bearing conspicuous
classification markings. All prints and reproductions
shall be conspicuously marked with the appropriate classification
designation and applicable associated markings on the
face side of the print if possible. When such markings
cannot be applied to the face side, they may be stamped
on the reverse side or affixed by pressure tape label,
stapled strip, or other comparable means. (NOTE:
When self-processing film or paper is used to photograph
or reproduce classified information, all parts of the
last exposure shall be removed from the camera and destroyed
as classified waste, or the camera shall be protected
as classified.)
4-302.2. Transparencies and Slides. Applicable classification
markings shall be shown clearly in the image area of
each transparency or slide, if possible. In the case
of a 35mm or a similar size transparency or slide where
the classification markings are not conspicuous unless
projected on a screen, for example, the classification
markings also shall be marked on its border, holder,
or frame. Duplicate classification markings in image
areas and on borders, holders, or frames are required
if there is any doubt that the image area markings are
not conspicuous enough to be seen when the transparencies
or slides are not being projected. Other applicable
associated markings shall be shown in the image area,
or on the border, holder, or frame, or in accompanying
documentation. It is not necessary that each transparency
or slide of a set of transparencies or slides bear applicable
associated markings when the set is controlled as a
single document. In such cases, the first transparency
or slide shall bear the applicable associated markings.
4-302.3. Motion Picture Films and Video Tapes. Classified
motion picture films and video tapes shall be marked
at the beginning and end by titles bearing the appropriate
classification makings. Applicable associated markings
shall be included at the beginning of such films or
tapes. All such markings shall be visible when projected.
Reels and cassettes shall be marked with the appropriate
classification and kept in containers bearing conspicuous
classification and applicable associated markings.
4-302.4. Recordings. Sound, magnetic, or electronic
recordings shall contain at the beginning and end a
clear statement of the assigned classification that
will provide adequate assurance that any listener or
viewer will know that classified information of a specified
level is involved. Recordings shall be kept in containers
or on reels that bear conspicuous classification and
applicable associated markings.
4-302.5. Microforms. Microforms are images, usually
produced photographically on transparent or opaque materials,
in sizes too small to be read by the unaided eye.
Accordingly, the assigned security classification and
abbreviated applicable associated markings shall be
conspicuously marked on the microform medium or its
container, so as to be readable by the unaided eye.
These markings shall also be included on the image
so that when the image is enlarged and displayed or
printed, the markings will be conspicuous and readable.
Such marking will be accomplished as appropriate for
the particular microform involved. For example, roll
film microforms (or roll microfilm employing 16, 35,
70, or 105mm films) may generally be marked as provided
for roll motion picture film in paragraph 4-302.3. and
decks of "aperture cards" may be marked as provided
in subsection 4-303. for decks of automatic data processing
punched cards. Whenever possible, microfiche, microfilm
strips, and microform chips shall be marked in accordance
with this paragraph.
4-303. Decks of ADP Punched Cards. When a deck of
classified ADP punched cards is handled and controlled
as a single document, only the first and last card require
classification markings. An additional card shall
be added (or the job control card modified) to identify
the contents of the deck and the highest classification
therein. Such additional card shall include applicable
associated markings. Cards removed for separate processing
or use and not immediately returned to the deck shall
be protected to prevent compromise of any classified
information contained therein, and for this purpose
shall be marked individually as prescribed in subsection
4-200.
4-304. Removable ADP and Word Processing Storage Media
4-304.1. External. Removable information storage
media and devices, used with ADP systems and typewriters
or word processing systems, shall bear external markings
clearly indicating the classification of the information
and applicable associated markings. Included are media
and devices that store information recorded in analog
or digital form and that are generally mounted or removed
by the users or operators. Examples include magnetic
tape reels, cartridges, and cassettes; removable disks,
disk cartridges, disk packs and diskettes; paper tape
reels; and magnetic cards.
4-304.2. Internal. ADP systems and word processing
systems employing such media shall provide for internal
classification marking to assure that classified information
contained therein that is reproduced or generated, will
bear applicable classification and associated markings.
An exception may be made by the DoD Component head,
or designee, for the purpose of exempting existing word
processing systems when the internal classification
and applicable associated markings cannot be implemented
without extensive system modification, provided procedures
are established to ensure that users and recipients
of the media, or the information therein, are clearly
advised of the applicable classification and associated
markings. For ADP systems, exceptions may be authorized
by the DoD Component Designated Approving Authority
or Authorities, designated under DoD Directive 5200.28
(reference (m)). For purposes of these exemption provisions,
"existing systems" means word processing and ADP systems
already acquired, or, in the case of associated automated
information systems, those for which the life-cycle
management process has already progressed beyond the
"definition/design" phase as set forth in DoD Directive
7920.1 (reference (y)). Requirements for the security
of non-removable ADP storage media and clearance or
declassification procedures for various ADP storage
media are contained in DoD 5200.28-M (reference (n)).
4-305. Documents Produced bv ADP Equipment. The first
page, and the front and back covers, if any, of documents
produced by ADP equipment shall be marked as prescribed
in subsection 4-200. Interior pages also shall be
marked as prescribed in subsection 4-200. except that
the classification markings of interior pages of fan-folded
printouts may be applied by the ADP equipment. When
the application of associated markings prescribed by
subsection 4-103. by the ADP equipment is not consistent
with economical and efficient use of such equipment,
such markings may be applied to a document produced
by ADP equipment by superimposing upon the first page
of such document a "Notice of Declassification Instructions
and Other Associated Markings." Such notice shall
include the date or event for declassification or the
notation "Originating Agency's Determination Required"
or "OADR" and all other such applicable markings.
If individual pages of a document produced by ADP equipment
are removed or reproduced for distribution to other
users, each such page or group of pages shall be marked
as prescribed in subsection 4-103. or by superimposing
upon each such page or group of pages, a copy of any
"Notice of Declassification Instructions and Other Associated
Markings" applicable to such page or group of pages.
4-306. Material for Training Purposes. In using unclassified
documents or material to simulate classified documents
or material for training purposes, such documents or
material shall be marked clearly to indicate the actual
unclassified status of the information, for example,
"(insert classification designation) for training, otherwise
unclassified" or "UNCLASSIFIED SAMPLE."
4-307. Miscellaneous Material. Documents and material
such as rejected copy, typewriter ribbons, carbons,
and similar items developed in connection with the handling,
processing, production, and of use classified information
shall be handled in a manner that assures adequate protection
of the classified information involved and destruction
at the earliest practicable time (see section C5.2.,Chapter
5). Unless a requirement exists to retain this material
or documents for a specific purpose, there is no need
to mark, stamp, or otherwise indicate that the information
is classified.
4-308. Special Access Program Documents and Material.
Additional markings as prescribed in Directives, Regulations
and Instructions relating to an approved Special Access
Program shall be applied to documents and material containing
information subject to the special access program.
Such additional markings shall not serve as the sole
basis for continuing classification of the documents
or material to which the markings have been applied.
When appropriate, such markings shall be excised to
ease timely declassification, downgrading, or removal
of the information from special control procedures.
4-309. Secure Telecommunications and Information Handling
Equipment. Applicable classification or Controlled
Cryptographic Item (CCI) markings shall be applied to
secure telecommunications and information handling equipment
or associated cryptographic components. Safeguarding
and control procedures for classified and CCI equipment
and for safeguarding COMSEC facilities are contained
in references (aa), (bb),(cc), (jjj), (kkk), (lll),
and (mmm).
4-310. Associated Markings. Other applicable associated
markings required for documents by subsection 4-103.
shall be accomplished as prescribed in this section
or in any other appropriate manner.
C4.4. Section 4. CLASSIFICATION AUTHORITY, DURATION,
AND CHANGE IN CLASSIFICATION MARKINGS
4-400. Declassification and Regrading Marking Procedures.
When classified information is downgraded or declassified
in accordance with the assigned downgrading or declassification
markings, such markings shall be a sufficient notation
of the authority for such action. Whenever classified
information is downgraded or declassified earlier than
originally scheduled, or upgraded, the material shall
be marked promptly and conspicuously to indicate the
change, the authority for the action, the date of the
action and the identity of the person taking the action.
In addition, except for upgrading (see subsection
4-403.), prior classification markings shall be canceled,
if practicable, but in any event those on the cover
(if any) and first page shall be canceled, and the new
classification markings, if any, shall be substituted.
4-401. Applying Derivative Declassification Dates
4-401.1. New material that derives its classification
from information classified on or after August 1, 1982,
shall be marked with the declassification date, event,
or the notation "Originating Agency's Determination
Required" or "OADR" assigned to the source information.
4-401.2. New material that derives its classification
from information classified prior to August 1, 1982,
shall be treated as follows:
4-401.2.1. If the source material bears a declassification
date or event, that date or event shall be carried forward
to the new material;
4-401.2.2. If the source material bears no declassification
date or event, or bears an indeterminate date or event
such as "Upon Notification by Originator," "Cannot Be
Determined," or "Impossible to Determine," or is marked
for declassification review, the new material shall
be marked with the notation "Originating Agency's Determination
Required" or "OADR"; or
4-401.2.3. If the source material is foreign government
information bearing no date or event for declassification
or is marked for declassification review, the new material
shall be marked with the notation "Originating Agency's
Determination Required" or "OADR."
4-401.3. New material that derives its classification
from a classification guide issued prior to August 1,
1982, that has not been updated to conform with this
Regulation shall be treated as follows:
4-401.3.1. If the guide specifies a declassification
date or event, that date or event shall be applied to
the new material; or
4-401.3.2. If the guide specifies a declassification
review date, the notation "Originating Agency's Determination
Required" or "OADR" shall be applied to the new material.
4-402. Commonly Used Markings. Each classified document
is marked on its face with one or more of the following
markings:
4-402.1. Original Classification. The following markings
are used in original classification (paragraph 4-103.1.):
Classified by______________________(See Note
1)
Declassify on______________________(See Note
2)
Message Abbreviation:
DECL_____________________________(See Note
3)
4-402.2. Derivative Classification. The following
markings are used in derivative classification (paragraph
4-103.2.):
Classified by______________________(See Note
4)
Declassify on______________________(See Note
5)
Message Abbreviation:
DECL_____________________________(See Note
3)
4-402.3. Downgrading. The following marking is used
to specify a downgrading (paragraphs 4-103.1. and 4-103.2.):
Downgrade to___________on_____________(See
Note 6)
Message Abbreviation:
DNG/___/_____________________________(See
Note 7)
4-402.4. There is no requirement for adding declassification
instructions on documents with Restricted Data or Formerly
Restricted Data markings (see paragraph 4-102.3., and
subsections 4-501. and 4-502.). Except for electronically
transmitted messages, only a completed "Classified by"
line is added to documents so marked.
4-402.5. Electronically transmitted message do not
require a "classified by" line (see paragraph 4-207.3.).
4-402.6. DoD 5200.1-PH (reference (ddd)) provides additional
marking guidance.
Note 1: Insert identification (position title) of
the original classification authority. This line may
be omitted if the original classification authority
is also the signer or approver of the document.
Note 2: Insert the specific date, an event certain
to occur, or the notation "Originating Agency's Determination
Required" or "OADR."
Note 3: Insert day, month, and year for declassification;
for example, "6 Jun 90," an event certain to occur,
or "OADR."
Note 4: Insert identity of the single security classification
guide, source document, or other authority for the classification.
If more than one such source is applicable, insert
the phrase "Multiple Sources."
Note 5: Insert the specific date or event for declassification
or the notation "Originating Agency's Determination
Required" or "OADR." When multiple sources are used,
either the most remote date or event for declassification
marked on the sources or, if present on any source,
the notation "Originating Agency's Determination Required"
or "OADR" is applied to the new document.
Note 6: Insert Secret or Confidential and specific
date or event; for example, "Downgrade to CONFIDENTIAL
on 6 July 1988."
Note 7: Insert "S" or "C" to indicate the downgraded
classification and specific date or event; for example,
"DNG/C/6 Jun 87."
4-403. Upgrading. When material is upgraded it shall
be promptly and conspicuously marked as prescribed in
subsection 4-400. except that in all such cases the
old classification markings shall be canceled and new
markings substituted.
4-404. Limited Use of Posted Notice for Large Quantities
of Material
4-404.1. When the volume of material is such that prompt
remarking of each classified item cannot be accomplished
without unduly interfering with operations, the custodian
may attach downgrading and declassification notices
to the storage unit instead of the remarking required
by subsection 4-400. Each notice shall specify the
authority for the downgrading or declassification action,
the date of the action, and the storage unit to which
it applies.
4-404.2. When individual documents or materials are
permanently withdrawn from storage units, they shall
be remarked promptly as prescribed by subsection 4-400.
However, when documents or materials subject to a
downgrading or declassification notice are withdrawn
from one storage unit solely for transfer to another,
or a storage unit containing such documents or materials
is transferred from one place to another, the transfer
may be made without remarking if the notice is attached
to or remains with each shipment.
C4.5. Section 5. ADDITIONAL WARNING NOTICES
4-500. General Provisions
4-500.1. In addition to the marking requirements prescribed
in subsection 4-103., the warning notices prescribed
in this section shall be displayed prominently on classified
documents or materials, when applicable. In the case
of documents, these warning notices shall be marked
conspicuously on the outside of the front cover, or
on the first page if there is no front cover. Transmittal
documents, including those that are unclassified (subsection
4-206.), also shall bear these additional warning notices,
when applicable. In addition, abbreviated forms of
the notices set forth in subsections 4-501., 4-502.,
and 4-503. shall be included in portion markings, as
applicable. Further, the warning notice in subsection
4-503.,in its short form, shall be included at least
once on interior pages, as applicable.
4-500.2. When display of warning notices on other materials
is not possible, their applicability to the information
shall be included in the written notification of the
assigned classification.
4-501. Restricted Data. Classified documents or material
containing Restricted Data as defined in the Atomic
Energy Act of 1954, as amended (reference (l)), shall
be marked as follows:
"RESTRICTED DATA"
"This material contains Restricted Data as defined
in the Atomic Energy Act of 1954. Unauthorized disclosure
subject to administrative and criminal sanctions."
4-502. Formerly Restricted Data. Classified documents
or material containing Formerly Restricted Data, as
defined in Section 142.d, Atomic Energy Act of 1954,
as amended (reference (l)), but no Restricted Data,
shall be marked as follows:
"FORMERLY RESTRICTED DATA"
"Unauthorized disclosure subject to administrative and
criminal sanctions. Handle as Restricted Data in foreign
dissemination (Section 144.b, Atomic Energy Act, 1954.)"
4-503. Intelligence Sources or Methods Information
4-503.1. Documents that contain information relating
to intelligence sources or methods shall include the
following marking unless otherwise proscribed by DoD
Instruction 5230.22 (reference (z)):
"WARNING NOTICE--Intelligence Sources
or Methods Involved"
4-503.2. Existing stamps or preprinted labels containing
the caveat "Warning Notice--Intelligence Sources and
Methods Involved" may be used on documents created on
or after the effective date of this Regulation until
replacement is required. Any replacement or additional
stamps or labels purchased after the effective date
of this Regulation shall conform to the wording of paragraph
4-503.1., above.
4-504. COMSEC Material. Before release to contractors,
COMSEC documents will indicate on the title page, or
first page if no title page exists, the following notation:
"COMSEC Material Access by Contractor
Personnel Restricted to U.S. Citizens Holding Final
Government Clearance."
This notation shall be placed on COMSEC documents or
material when originated and when release to contractors
can be anticipated. Other COMSEC documents or material
shall be marked in accordance with National COMSEC Instruction
(NACSI) 4003 (reference (eee)). Foreign dissemination
of COMSEC information is governed by NCSC Policy Directive
6 (reference (bb)).
4-505. Dissemination and Reproduction Notice. Classified
information that the DoD originator has determined to
be subject to special dissemination or reproduction
limitations shall include, as applicable, a statement
or statements on its cover sheet, first page, or in
the text, substantially as follows:
"Reproduction requires approval
of originator or higher DoD authority."
"Further dissemination only as
directed by (insert appropriate office or official)
or higher DoD authority."
4-506. Other Notations. Other notations of restrictions
on reproduction, dissemination or extraction of classified
information may be used as authorized by DoD Directive
C-5200.5, DoD Instruction 5230.22, DoD Directive 5210.2,
DoD Directive 5100.55, DoD Directive 5200.30, Joint
Army-Navy-Air Force Publication 119, DoD Directive 5230.24,
and NACSI 4003 (references (cc), (z), (dd), (ee), (v),
(ff), (bbb), and (jjj) respectively).
C4.6. Section 6. REMARKING OLD MATERIAL
4-600. General
4-600.1. Documents and material classified under E.O.
12065 (reference (hh)) and predecessor E.Os. that are
marked for automatic downgrading or automatic declassification
on a specific date or event shall be downgraded and
declassified pursuant to such markings. Declassification
instructions on such documents or material need not
be restated to conform with subsection 4-202. (See
also subsection 4-400.). Information extracted from
these documents or material for use in new documents
or material shall be marked for declassification on
the date specified in accordance with paragraph 4-103.2.
4-600.2. Documents and material classified under reference
(hh) and predecessor E.Os. that are not marked for automatic
downgrading or automatic declassification on a specific
date or event shall not be downgraded or declassified
without authorization of the originator. Declassification
instructions on such documents or material need not
be restated to conform with subsection 4-202. Information
extracted from these documents or material for use in
new documents or material shall be marked for declassification
upon the determination of the originator, that is, the
"Declassify on" line shall be completed with the notation
"Originating Agency's Determination Required" or "OADR"
in accordance with paragraph 4-103.2.
4-601. Earlier Declassification and Extension of Classification.
Nothing in this section shall be construed to preclude
declassification under Chapter 3 or subsequent extension
of classification under subsection 2-302.
C5. CHAPTER 5
SAFEKEEPING AND STORAGE
C5.1. Section 1. STORAGE AND STORAGE EQUIPMENT
5-100. General Policy. Classified information shall
be stored only under conditions adequate to prevent
unauthorized persons from gaining access. The requirements
specified in this Regulation represent the minimum acceptable
security standards. DoD policy concerning the use
of force for the protection of property or information
is specified in DoD Directive 5210.56 (reference (ii)).
ITEMS ONLY HAVING MONETARY VALUE (SUCH AS CASH, PRECIOUS
METALS, JEWELRY, NARCOTICS, ETC.) SHALL NOT BE STORED
IN SECURITY CONTAINERS OR SECURE FACILITIES THAT ARE
DESIGNATED FOR STORAGE OF CLASSIFIED INFORMATION.
5-101. Standards for Storage Equipment. The GSA establishes
and publishes minimum standards, specifications, and
supply schedules for containers, vault doors, alarm
systems, and associated security devices suitable for
the storage and protection of classified information.
Heads of DoD Components may establish additional controls
to prevent unauthorized access. Security filing cabinets
conforming to Federal specifications bear a Test Certification
Label on the locking drawer, attesting to the security
capabilities of the container and lock. (On some older
cabinets the label was affixed on the inside of the
locked drawer compartment). Cabinets manufactured
after February 1962 indicate "General Services Administration
Approved Security Container" on the outside of the top
drawer.
5-102. Storage of Classified Information. Classified
information that is not under the personal control and
observation of an authorized person, will be guarded
or stored in a locked security container as prescribed
below:
5-102.1. Top Secret. Top Secret information shall
be stored in:
5-102.1.1. A safe-type steel file container having
a built-in, three-position, dial-type combination lock
approved by the GSA or a Class A vault or vault type
room that meets the standards established by the Head
of the DoD Component concerned. When located in buildings,
structural enclosures, or other areas not under U.S.
Government control, the storage container, vault, or
vault-type room must be protected by an alarm system
or guarded during nonoperating hours.
5-102.1.2. An alarmed area, provided such facilities
are adjudged by the local responsible official to afford
protection equal to or better than that prescribed in
5-102.1.1., above. When an alarmed area is used for
the storage of Top Secret material, the physical barrier
must be adequate to prevent:
5-102.1.2.1. Surreptitious removal of the material;
and
5-102.1.2.2. Observation that would result in the compromise
of the material. The physical barrier must be such
that forcible attack will give evidence of attempted
entry into the area. The alarm system must provide
immediate notice to a security force of attempted entry.
Under field conditions, the field commander will prescribe
the measures deemed adequate to meet the storage standards
contained in 5-102.1.1. and 5-102.1.2., above.
5-102.2. Secret and Confidential. Secret and Confidential
information shall be stored in the manner prescribed
for Top Secret; or in a Class B vault, or a vault-type
room, strong room, or secure storage room that meets
the standards prescribed by the Head of the DoD Component;
or, until phased out, in a steel filing cabinet having
a built-in, three-position, dial-type combination lock;
or, as a last resort, an existing steel filing cabinet
equipped with a steel lock bar, provided it is secured
by a GSA-approved changeable combination padlock.
In this latter instance, the keeper or keepers and staples
must be secured to the cabinet by welding, rivets, or
peened bolts and DoD Components must prescribe supplementary
controls to prevent unauthorized access.
5-102.3. Specialized Security Equipment
5-102.3.1. Field Safe and One-drawer Container. One-drawer
field safes, and GSA-approved security containers are
used primarily for storage of classified information
in the field and in transportable assemblages. Such
containers must be securely fastened or guarded to prevent
their theft.
5-102.3.2. Map and Plan File. A GSA-approved map
and plan file has been developed for storage of odd-sized
items such as computer cards, maps, and charts.
5-102.4. Other Storage Requirements. Storage areas
for bulky material containing classified information,
other than Top Secret, shall have access openings secured
by GSA-approved changeable combination padlocks (Federal
specification FF-Pl10 series) or key-operated padlocks
with high security cylinders (exposed
shackle, military specification P-43951 series, or shrouded
shackle, military specification P-43607 series).
5-102.4.1. When combination padlocks are used, the
provisions of subsection 5-104., apply.
5-102.4.2. When key-operated high security padlocks
are used, keys shall be controlled as classified information
with classification equal to that of the information
being protected and:
5-102.4.2.1. A key and lock custodian shall be appointed
to ensure proper custody and handling of keys and locks;
5-102.4.2.2. A key and lock control register shall
be maintained to identify keys for each lock and their
current location and custody;
5-102.4.2.3. Keys and locks shall be audited each month;
5-102.4.2.4. Keys shall be inventoried with each change
of custodian;
5-102.4.2.5. Keys shall not be removed from the premises;
5-102.4.2.6. Keys and spare locks shall be protected
in a secure container;
5-102.4.2.7. Locks shall be changed or rotated at least
annually, and shall be replaced upon loss or compromise
of their keys; and
5-102.4.2.8. Master keying is prohibited.
5-103. Procurement and Phase-In of New Storage Equipment
5-103.1. Preliminary Survey. DoD activities shall
not procure new storage equipment until:
5-103.1.1. A current survey has been made of on-hand
security storage equipment and classified records; and
5-103.1.2. Based upon the survey, it has been determined
that it is not feasible to use available equipment or
to retire, return, declassify or destroy enough records
on hand to make the needed security storage space available.
5-103.2. Purchase of New Storage Equipment. New security
storage equipment shall be procured from those items
listed on the GSA Federal Supply Schedule. Exceptions
may be made by Heads of DoD Components, with notification
to the DUSD(P).
5-103.3. Nothing in this Chapter shall be construed
to modify existing Federal Supply Class Management Assignments
made under DoD Directive 5030.47 (reference (ii)).
5-104. Designations and Combinations
5-104.1. Numbering and Designating Storage Facilities.
There shall be no external mark as to the level of
classified information authorized to be stored therein.
For identification purposes each vault or container
shall bear externally an assigned number or symbol.
5-104.1.1. EACH OSD SECURITY CONTAINER AND SECURE FACILITY
ENTRANCE SHALL BE AFFIXED WITH AN OSD IDENTIFICATION
STICKER. STICKERS ARE ASSIGNED SOLELY BY THE PHYSICAL
SECURITY DIVISION. THE STICKER WILL BE ATTACHED IN
THE UPPER LEFT HAND CORNER OF THE TOP DRAWER OR THE
CONTAINER FRAME. FOR SECURE FACILITIES, TIHE NUMBER
WILL BE PLACED ON THE ENTRANCE DOOR ABOVE THE COMBINATION
LOCK DIAL.
5-104.1.2. A RECORD OF THE OSD IDENTIFICATION STICKER
NUMBER SHALL BE MAINTAINED ON STANDARD FORM 700.
5-104.2. Combinations to Containers
5-104.2.1. Changing. Combinations to security containers
shall be changed only by individuals having that responsibility
and an appropriate security clearance. Combinations
shall be changed:
5-104.2.1.1. When placed in use;
5-104.2.1.2. Whenever an individual knowing the combination
no longer requires access;
5-104.2.1.3. When the combination has been subject
to possible compromise;
5-104.2.1.4. At least annually; or
5-104.2.1.5. When taken out of service. Built-in
combination locks shall be reset to the standard combination
50-25-50; combination padlocks shall be reset to the
standard combination 10-20-30.
5-104.2.1.5.1. SECURITY CONTAINERS SHALL NOT BE REMOVED
UNDER ANY CIRCUMSTANCES FROM ANY OFFICE OR SECURE FACILITY
UNTIL A PSD REPRESENTATIVE COMPLETELY HAS INSPECTED
THE CONTAINER FOR CLASSIFIED MATERIALS. A SECURITY
CONTAINER INTENDED FOR TURN-IN IS OF PARTICULAR CONCERN.
5-104.2.1.5.2. WHEN THE COMBINATION IS RESET, THE COMBINATION
SHALL BE MARKED ON A TAG AND FASTENED SECURELY TO THE
CONTROL DRAWER OF THE CONTAINER.
5-104.2.1.6. REQUESTS FOR CHANGING COMBINATIONS OR
REPAIRING CONTAINERS SHALL BE ACCOMPLISHED TELEPHONICALLY
BETWEEN 0700 AND 1630 HOURS, MONDAY THROUGH FRIDAY,
EXCEPT HOLIDAYS, ON 697-0519.
5-104.2.1.7. WHEN CHANGING A COMBINATION, THE SECURITY
CONTAINER CUSTODIAN SHALL SELECT THE COMBINATION NUMBERS.
THE LOCKSMITH SHALL NOT SET NUMBERS THAT VIOLATE GOOD
SECURITY PRACTICES. THE USE OF BIRTH DATES, ANNIVERSARY
DATES, TELEPHONE NUMBERS, OR NUMBERS IN SERIES OR PROGRESSION
ARE PROHIBITED. IDENTICAL COMBINATIONS SHALL NOT BE
PLACED ON MORE THAN ONE SECURITY CONTAINER WITHIN THE
SAME OSD COMPONENT.
5-104.2.2. Classifying Combinations. The combination
of a vault or container used for the storage of classified
information shall be assigned a security classification
equal to the highest category of the classified information
authorized to be stored therein.
5-104.2.3. Recording Storage Facility Data. A record
shall be maintained for each vault, secure room, or
container used for storing classified information, showing
location of the container, the names, home addresses,
and home telephone numbers of the individuals having
knowledge of the combination. Standard Form 700, "Security
Container Information," shall be used for this purpose.
(Use of this Standard Form is required when existing
supplies of similar purpose forms are exhausted or by
September 30, 1986, whichever occurs earlier.)
5-104.2.3.1. BLOCKS 2 THROUGH 10, PARTS 1 AND 2, STANDARD
FORM (SF) 700 SHALL BE COMPLETED BY THE OSD COMPONENT.
THE OSD IDENTIFICATION STICKER NUMBER SHALL BE INCLUDED
IN BLOCK 5 OF PARTS 1 AND 2, AND AT THE TOP OF COPY
2A.
5-104.2.3.2. PART 1, SF 700 SHALL BE POSTED ON THE
INSIDE OF THE SECURITY CONTAINER DRAWER CONTAINING THE
COMBINATION LOCK.
5-104.2.3.3. PARTS 2 AND 2A OF COMPLETED SF 700 SHALL
BE CLASSIFIED AT THE HIGHEST LEVEL OF CLASSIFICATION
OF THE INFORMATION AUTHORIZED FOR STORAGE IN THE SECURITY
CONTAINER.
5-104.2.3.4. PART 2A, SF 700 SHALL BE COMPLETED, DETACHED
AND INSERTED IN THE ENVELOPE (PART 2). THE NUMBER
OF PERSONS HAVING KNOWLEDGE OF SECURITY COMBINATIONS
SHALL BE LIMITED TO THOSE NECESSARY FOR OPERATIONAL
EFFICIENCY AND SHOULD NOT EXCEED THREE. AT LEAST TWO
PERSONS WHO ARE RESPONSIBLE FOR THE CONTENTS OF EACH
CONTAINER SHALL BE LISTED ON THE SF 700. AFTER SEALING
THE ENVELOPE FLAP, ONE OF THE RESPONSIBLE OFFICIALS
SHALL AFFIX HIS OR HER SIGNATURE ACROSS THE EDGE OF
THE FLAP, OVER WHICH A STRIP OF CLEAR PLASTIC TAPE SHALL
BE PLACED. AT LEAST ONE OF THE NAMED INDIVIDUALS SHALL
BE CONTACTED IF THE SECURITY CONTAINER TO WHICH THE
FORM PERTAINS IS FOUND OPEN AND UNATTENDED.
5-104.2.3.5. THE SEALED SF 700 SHALL BE HAND-CARRIED
TO THE PSD LOCKSHOP, ROOM 1C255 PENTAGON, IMMEDIATELY
AFTER CHANGE OF COMBINATION. PSD IS RESPONSIBLE FOR
ENSURING THAT CURRENT SF 700 ENVELOPES ARE STORED PROPERLY.
5-104.2.3.6. ONCE A COMBINATION ENVELOPE HAS BEEN REMOVED
FROM STORAGE WITHIN THE PSD LOCKSHOP, A NEW SF 700 SHALL
BE PREPARED AND RETURNED TO PSD LOCKSHOP AS DESCRIBED
IN PARAGRAPHS 5-104.2.3.1. through 5-104.2.3.5., ABOVE.
5-104.2.4. Dissemination. Access to the combination
of a vault or container used for the storage of classified
information shall be granted only to those individuals
who are authorized access to the classified information
stored therein.
IN EMERGENCIES, COMBINATIONS ARE AVAILABLE TO OSD OFFICIALS
IDENTIFIED IN BLOCK 10, SF 700, WHEN THEY PRESENT VALID
PHOTOGRAPHIC IDENTIFICATION. CALL ON EXTENSION 70519
TO OBTAIN THE ENVELOPE. WRITTEN OR TELEPHONIC AUTHORIZATION
FROM RESPONSIBLE OFFICIALS FOR THIRD PARTIES TO GAIN
ACCESS TO COMBINATION ENVELOPES IS PROHIBITED.
5-104.3. Electrically Actuated Locks. Electrically
actuated locks (for example, cipher and magnetic strip
card locks) do not afford the required degree of protection
of classified information and may not be used as a substitute
for the locks prescribed in subsection 5-102.
5-105. Repair of Damaged Security Containers. Neutralization
of lock-outs or repair of any damage that affects the
integrity of a security container approved for storage
of classified information shall be accomplished only
by authorized persons who are cleared or continuously
escorted while so engaged.
5-105.1. A GSA-approved security container is considered
to have been restored to its original state of security
integrity if:
5-105.1.1. All damaged or altered parts (for example,
locking drawer, and drawer head) are replaced; or
5-105.1.2. When a container has been drilled immediately
adjacent to or through the dial ring to neutralize a
lock-out, the replacement lock is equal to the original
equipment, and the drilled hole is repaired with a tapered,
hardened tool-steel pin, or a steel dowel, drill bit,
or bearing with a diameter slightly larger than the
hole and of such length that when driven into the hole
there shall remain at each end of the rod a shallow
recess not less than 1/8 inch nor more than 3/16 inch
deep to permit the acceptance of substantial welds,
and the rod is welded both on the inside and outside
surfaces. The outside of the drawer head shall then
be puttied, sanded, and repainted in such a way that
no visible evidence of the hole or its repair remains
on the outer surface after replacement of the damaged
parts (for example, new lock).
5-105.2. GSA-approved containers that have been drilled
in a location or repaired in a manner other than as
described in paragraph 5-105.1., above, will not be
considered to have been restored to their original state
of security integrity. The Test Certification Label
on the inside of the locking drawer and the "General
Services Administration Approved Security Container"
label, if any, on the outside of the top drawer shall
be removed from such containers.
5-105.3. If damage to a GSA-approved security container
is repaired with welds, rivets, or bolts that cannot
be removed and replaced without leaving evidence of
entry, the cabinet is limited thereafter to the storage
of Secret and Confidential material.
5-105.4. If the damage is repaired using methods other
than those permitted in paragraphs 5-105.1. and 5-105.3.,
above, use of the container will be limited to unclassified
material and a notice to this effect will be permanently
marked on the front of the container.
5-106. PROCEDURES FOR OPENING, CLOSING, AND CHECKING
SECURITY CONTAINERS
5-106.1. SF 702, "SECURITY CONTAINER CHECK SHEET" AND
REVERSIBLE "OPEN-CLOSED" OR "OPEN-LOCKED" SIGNS SHALL
BE AFFIXED TO EACH SECURITY CONTAINER.
5-106.2. THE PERSON UNLOCKING A SECURITY CONTAINER
SHALL COMPLETE THE "OPENED BY" COLUMN OF THE SF 702
AND TURN THE REVERSIBLE SIGN TO "OPEN."
5-106.3. THE PERSON RESPONSIBLE FOR CLOSING A SECURITY
CONTAINER SHALL:
5-106.3.1. CLOSE ALL DRAWERS, CLOSING THE COMBINATION
DRAWER LAST.
5-106.3.2. AFTER CLOSING THE COMBINATION DRAWER, ENGAGE
THE LOCKING MECHANISM.
5-106.3.3. TURN GENTLY THE COMBINATION DIAL AT LEAST
FOUR COMPLETE TURNS IN ONE DIRECTION.
5-106.3.4. ATTEMPT TO OPEN ALL DRAWERS, TO INCLUDE
DEPRESSING THE THUMB LEVER ON ALL DRAWERS.
5-106.3.5. COMPLETE THE "LOCKED BY" COLUMN OF SF 702
AND TURN THE REVERSIBLE SIGN TO "CLOSED" OR "LOCKED."
5-106.3.6. IF A PARTICULAR SECURITY CONTAINER WAS NOT
OPENED DURING A DUTY DAY, THE PERSON CHARGED WITH CLOSING
THE SECURITY CONTAINER SHALL COMPLETE THE STEPS IN SUBPARAGRAPHS
5-106.3.3. AND 5-106.3.4., ABOVE, WRITE "NOT OPENED"
IN THE "OPENED BY" COLUMN, AND COMPLETE THE "CLOSED
BY" COLUMN. EACH SECURITY CONTAINER MUST BE CHECKED
AT THE END OF EACH DUTY DAY, REGARDLESS OF WHETHER THE
CONTAINER WAS OPENED ON THAT DAY.
5-106.4. A PERSON OTHER THAN THE PERSON LOCKING THE
SECURITY CONTAINER SHALL DOUBLE CHECK IT TO ENSURE THAT
THE SECURITY CONTAINER IS LOCKED. THE INDIVIDUAL CONDUCTING
THE DOUBLE CHECK SHALL:
5-106.4.1. TURN GENTLY THE COMBINATION DIAL AT LEAST
FOUR COMPLETE TURNS IN ONE DIRECTION.
5-106.4.2. ATTEMPT TO OPEN EACH DRAWER TO INCLUDE DEPRESSING
THE THUMB LEVER ON ALL DRAWERS.
5-106.4.3. COMPLETE THE "CHECKED BY" COLUMN OF SF 702.
5-106.5. IF, AT ANY TIME, A SECURITY CONTAINER MUST
BE LEFT UNATTENDED, IT SHALL BE LOCKED AND DOUBLE CHECKED.
AS AN EXCEPTION TO THIS, A DOUBLE CHECK IS NOT REQUIRED
IN CASE OF FIRE, BOMB THREAT, OR OTHER SIMILAR EMERGENCY.
5-106.6. DURING NON-DUTY HOURS, THE PERSON LOCKING
A SECURITY CONTAINER SHALL MAKE ALL REASONABLE ATTEMPTS
TO OBTAIN THE ASSISTANCE OF A SECOND PERSON TO DOUBLE
CHECK THE SECURITY CONTAINER. IF SUCH ASSISTANCE IS
NOT AVAILABLE, THE PERSON LOCKING THE CONTAINER SHALL
WAIT 1 TO 2 MINUTES AND THEN SHALL PERFORM THE DOUBLE
CHECK PROCEDURES.
5-106.7. SF 702 FORMS SHALL BE DESTROYED THE DAY FOLLOWING
THE LAST ENTRY ON THE FORM EXCEPT FOR THOSE FORMS THAT
MAY BE INVOLVED IN AN INVESTIGATION.
FIGURE 1. SF 700, "Security Container Information"
FIGURE 2. SF 702, "Security Container Check Sheet"
C5.2. Section 2. CUSTODIAL PRECAUTIONS
5-200. Responsibilities of Custodians
5-200.1. Custodians of classified information shall
be responsible for providing protection and accountability
for such information at all times and for locking classified
information in appropriate security equipment whenever
it is not in use or under direct supervision of authorized
persons. Custodians shall follow procedures that ensure
that unauthorized persons do not gain access to classified
information.
5-200.2. Only the Head of a DoD Component, or single
designee at the headquarters and major command levels,
may authorize removal of classified information from
designated working areas in off-duty hours, for work
at home or otherwise, provided that a GSA-approved security
container is furnished and appropriate regulations otherwise
provide for the maximum protection possible under the
circumstances. (See also section C7.3., Chapter 7.)
Any such arrangements approved before the effective
date of this Regulation shall be reevaluated and, if
continued approval is warranted, compliance with this
paragraph is necessary.
5-200.2.1. INDIVIDUALS SHALL NOT BE AUTHORIZED UNDER
ANY CIRCUMSTANCES TO STORE CLASSIFIED INFORMATION, IN
CONTRAVENTION OF PARAGRAPH 5-102., I.E., IN RESIDENCES
WITHOUT THE PRIOR APPROVAL OF THE DEPUTY ASSISTANT SECRETARY
OF DEFENSE (ADMINISTRATION).
5-200.2.2. THE FOLLOWING REQUIREMENTS APPLY:
5-200.2.2.1. THE REQUEST SHALL BE A MEMORANDUM, SIGNED
BY AN OSD PRINCIPAL STAFF ASSISTANT, STATING THE LOCATION
AND JUSTIFICATION FOR THE PROPOSED STORAGE AREA.
5-200.2.2.2. ONLY AN APPROVED SECURITY CONTAINER, PROPERLY
REGISTERED WITH THE PSD, WHS, SHALL BE INSTALLED AT
THE LOCATION.
5-200.2.2.3. SIGNATURE ACCOUNTABILITY SHALL BE MAINTAINED
FOR INFORMATION REMOVED. RECONCILIATION OF MATERIAL
IS REQUIRED WHEN THE INFORMATION IS RETURNED.
5-200.2.2.4. PROCEDURES SHALL BE ESTABLISHED TO ENSURE
THE RETURN OF CLASSIFIED MATERIALS IN THE EVENT OF EMERGENCIES
SUCH AS DEATH, HOSPITALIZATION, OR ABSENCE FROM DUTY
FOR MORE THAN 30 DAYS.
5-200.2.2.5. PSD SHALL MAINTAIN THE RECORDS OF INDIVIDUALS
SO AUTHORIZED.
5-200.2.2.6. OSD COMPONENT SECURITY MANAGER FOR THESE
OFFICIALS SHALL EVALUATE THE NEED FOR THE ARRANGEMENTS
ANNUALLY OR UPON CHANGE OF POSITION OCCUPANCY.
5-200.3. CLASSIFIED INFORMATION IS U.S. GOVERNMENT
PROPERTY AND UNDER NO CIRCUMSTANCES DOES IT BECOME THE
PERSONAL PROPERTY OF ANY INDIVIDUAL.
5-201. Care During Working Hours. DoD personnel shall
take precaution to prevent unauthorized access to classified
information.
5-201.1. Classified documents removed from storage
shall be kept under constant surveillance and face down
or covered when not in use. Cover sheets shall be
Standard Forms 703, 704, and 705 for, respectively,
Top Secret, Secret, and Confidential documents. (Use
of these Standard Forms is required when existing supplies
of similar purpose forms are exhausted or by September
30, 1986, whichever occurs earlier.)
5-201.2. Preliminary drafts, carbon sheets, plates,
stencils, stenographic notes, worksheets, typewriter
ribbons, and other items containing classified information
shall be either destroyed immediately after they have
served their purpose; or shall be given the same classification
and secure handling as the classified information they
contain.
5-201.3. Destruction of typewriter ribbons from which
classified information can be obtained shall be accomplished
in the manner prescribed for classified working papers
of the same classification. After the upper and lower
sections have been cycled through and overprinted five
times in all ribbon or typing positions, fabric ribbons
may be treated as unclassified regardless of their classified
use thereafter. Carbon and plastic typewriter ribbons
and carbon paper that have been used in the production
of classified information shall be destroyed in the
manner prescribed for working papers of the same classification
after initial usage. However, any ribbon in a typewriter
that uses technology that enables the ribbon to be struck
several times in the same area before it moves to the
next position may be treated as unclassified.
5-201.4. ACCESS TO ALL OSD COMPONENT OFFICES SHALL
BE CONTROLLED AT ALL TIMES BY EMPLOYEES OR ELECTRO-MECHANICAL
DEVICES. WHEN EMPLOYEES MUST LEAVE THEIR DESKS, IT
IS THEIR RESPONSIBILITY TO ARRANGE FOR REPLACEMENTS.
5-201.5. ALL VISITORS, MESSENGERS, AND COURIERS SHALL
BE IDENTIFIED, THEIR BUSINESS STATED, NEED TO KNOW,
AND SECURITY CLEARANCE(S) VERIFIED BEFORE BEING PERMITTED
ACCESS TO CLASSIFIED INFORMATION OR DISCUSSIONS. IDENTIFICATION
SHALL BE BY PERSONAL RECOGNITION OR BY PRESENTATION
OF CURRENT PHOTOGRAPHIC IDENTIFICATION OR CREDENTIALS.
5-201.6. UNCLEARED VISITORS (INCLUDING CLEANING, MAINTENANCE,
AND TELEPHONE PERSONNEL) SHALL BE UNDER CONTINUOUS ESCORT
OR SURVEILLANCE. WHEN UNCLEARED VISITORS ARE PRESENT,
A FACILITY REPRESENTATIVE SHALL COVER OR TURN FACE DOWN
SENSITIVE MATERIALS AND CAUSE SENSITIVE DISCUSSIONS
TO CEASE FOR THE DURATION OF THE VISIT.
5-201.7. UNSECURED AND UNATTENDED CLASSIFIED MATERIAL
SHALL BE TURNED OVER TO THE DISCOVERER'S SECURITY MANAGER
WHO SHALL NOTIFY PSD OF THE INCIDENT. UNSECURED AND
UNATTENDED CLASSIFIED MATERIAL SHALL BE INITIALED AND
DATED IN INK BY THE DISCOVERER AND SUBSEQUENT CUSTODIANS
FOR POSSIBLE FUTURE IDENTIFICATION UNTIL THE CASE IS
CLOSED.
5-202. End-of-Day Security Checks. Heads of activities
that process or store classified information shall establish
a system of security checks at the close of each working
day to ensure that the area is secure; Standard Form
701, "Activity Security Checklist" shall be used to
record such checks. An integral part of the security
check system shall be the securing of all vaults, secure
rooms, and containers used for the storage of classified
material; Standard Form 702, "Security Container Check
Sheet" shall be used to record such actions. In addition,
Standard Forms 701 and 702 shall be annotated to reflect
after-hours, weekend, and holiday activity. (Use of
these Standard Forms is required when existing supplies
of similar purpose forms are exhausted or by September
30, 1986, whichever occurs earlier.)
5-202.1. AT THE CLOSE OF EACH WORKING DAY, ALL PERSONNEL
SHALL:
5-202.1.1. INSPECT THEIR IMMEDIATE WORK AREAS FOR CLASSIFIED
MATERIAL, PAYING PARTICULAR ATTENTION TO THE CONTENTS
OF DESKS, IN AND OUT TRAYS, AND WASTE CONTAINERS.
5-202.1.2. SURVEY THE GENERAL WORK AREA TO ENSURE THAT
NO CLASSIFIED MATERIAL REMAINS UNSECURED.
5-202.1.3. PLACE CLASSIFIED NOTES, CARBON PAPER, ROUGH
DRAFTS, AND SIMILAR CLASSIFIED PAPERS IN BAGS AND STORE
IN PROPER SECURITY CONTAINERS.
5-202.1.4. REMOVE AND SECURE TYPEWRITER RIBBONS OR
PORTIONS OF TYPEWRITER RIBBONS THAT HAVE BEEN USED TO
PREPARE CLASSIFIED MATERIAL. THIS PROVISION DOES NOT
APPLY WHEN USING IBM TECH III, BLUE, AND SPERRY REMINGTON
BEAUTYRITE III TYPEWRITER RIBBONS. MINIATURE MEMORY
STORAGE (DISKS) UNITS SHALL BE REMOVED FROM TYPEWRITERS
AND WORD PROCESSORS SO EQUIPPED, AND SECURED.
5-202.1.5. RETURN CLASSIFIED DOCUMENTS, CORRESPONDENCE,
OR RELATED CLASSIFIED INFORMATION TO PROPER SECURITY
CONTAINERS.
5-202.1.6. SECURE SECURITY CONTAINERS WHEN THEIR CONTENTS
ARE NO LONGER NEEDED FOR THE DAY AND COMPLETE SF 701,
TO INCLUDE DOUBLECHECKER'S INITIALS.
5-202.2. AT LEAST ONE INDIVIDUAL SHALL BE PESIGNATED
ON A ROTATING OR PERMANENT BASIS TO BE RESPONSIBLE FOR
DOUBLECHECKING EACH OSD COMPONENT TO ENSURE THAT CLASSIFIED
MATERIALS AND SECURITY EQUIPMENT HAVE BEEN SECURED PROPERLY
BEFORE LEAVING THE WORK AREA. SF 701 SHALL BE PLACED
ON THE INSIDE OF THE ROOM AT THE PRIMARY EXIT AND COMPLETED
BY THE AREA DOUBLECHECKER DAILY. WHEN THE OFFICE IS
OCCUPIED AFTER DUTY HOURS, THE LAST PERSON LEAVING THE
OFFICE SHALL ASSUME RESPONSIBILITY FOR DOUBLECHECKING
AND SECURING THE OFFICE AREA.
5-202.3. WHEN NOTIFIED THAT A SECURITY CONTAINER OR
ROOM HAS BEEN LEFT UNATTENDED, THE COMPONENT SECURITY
MANAGER AND THE PSD SHALL BE NOTIFIED. THOSE RESPONSIBLE
FOR THE CONTAINER OR THE ROOM SHALL BE REQUIRED TO CHECK
THE CONTENTS OF THE CONTAINER OR ROOM FOR INDICATIONS
OF REMOVAL OF MATERIALS. THE COMBINATION TO THE SECURITY
CONTAINER OR ROOM SHALL BE CHANGED IMMEDIATELY, IN ACCORDANCE
WITH SUBPARAGRAPH 5-104.2.1.3., ABOVE.
5-202.4. THE DIRECTOR, PSD, SHALL INSURE THAT END-OF-DAY
SECURITY CHECKS ARE PERFORMED BY CONDUCTING AFTER DUTY
HOURS SECURITY INSPECTIONS. ALL VIOLATIONS DISCOVERED
DURING THESE INSPECTIONS SHALL BE REPORTED DIRECTLY
TO THE DIRECTOR, PSD. AS A MINIMUM THE FOLLOWING SHALL
BE INSPECTED:
5-202.4.1. DESK TOPS, CONTENTS OF ALL DESKS FOUND UNLOCKED,
IN AND OUT TRAYS, TYPEWRITERS, AND WASTE CONTAINERS.
5-202.4.2. THE GENERAL WORK AREA TO ENSURE THAT NO
CLASSIFIED MATERIAL HAS BEEN LEFT UNSECURED.
5-202.4.3. ALL SECURITY CONTAINERS TO ENSURE THAT THEY
ARE LOCKED AND THAT SF 702, "SECURITY CONTAINER CONTAINER
CHECK SHEET," IS BEING INITIALED AND COUNTERINITIALED.
5-202.4.4. CHECK SF 701, "ACTIVITY SECURITY CHECKLIST,"
FOR INITIALS.
5-203. Emergency Planning
5-203.1. Plans shall be developed for the protection,
removal, or destruction of classified material in case
of fire, natural disaster, civil disturbance, terrorist
activities, or enemy action. Such plans shall establish
detailed procedures and responsibilities for the protection
of classified material to ensure that the material does
not come into the possession of unauthorized persons.
These plans shall include the treatment of classified
information located in foreign countries.
5-203.2. These emergency planning procedures do not
apply to material related to COMSEC. Planning for
the emergency protection including emergency destruction
under no-notice conditions of classified COMSEC material
shall be developed in accordance with the requirements
of NSA KAG I-D (reference (gg)).
5-203.3. Emergency plans shall provide for the protection
of classified material in a manner that will minimize
the risk of injury or loss of life to personnel. In
the case of fire or natural disaster, the immediate
placement of authorized personnel around the affected
area, pre-instructed and trained to prevent the removal
of classified material by unauthorized personnel, is
an acceptable means of protecting classified material
and reducing casualty risk. Such plans shall provide
for emergency destruction to preclude capture of classified
material when determined to be required. This determination
shall be based on an overall commonsense evaluation
of the following factors:
5-203.3.1. Level and sensitivity of classified material
held by the activity;
5-203.3.2. Proximity of land-based commands to hostile
or potentially hostile forces or to communist-controlled
countries;
5-203.3.3. Flight schedules or ship deployments in
the proximity of hostile or potentially hostile forces
or near communist-controlled countries;
5-203.3.4. Size and armament of land-based commands
and ships;
5-203.3.5. Sensitivity of operational assignment; and
5-203.3.6. Potential for aggressive action of hostile
forces.
5-203.4. When preparing emergency destruction plans,
consideration shall be given to the following:
5-203.4.1. Reduction of the amount of classified material
held by a command as the initial step toward planning
for emergency destruction;
5-203.4.2. Storage of less frequently used classified
material at more secure commands in the same geographical
area (if available);
5-203.4.3. Transfer of as much retained classified
material to microforms as possible, thereby reducing
the bulk that needs to be evacuated or destroyed;
5-203.4.4. Emphasis on the priorities for destruction,
designation of personnel responsible for destruction,
and the designation of places and methods of destruction.
Additionally, if any destruction site or any particular
piece of destruction equipment is to be used by more
than one activity or entity, the order or priority for
use of the site or equipment must be clearly delineated;
5-203.4.5. Identification of the individual who is
authorized to make the final determination when emergency
destruction is to begin and the means by which this
determination is to be communicated to all subordinate
elements maintaining classified information;
5-203.4.6. Authorization for the senior individual
present in an assigned space containing classified material
to deviate from established plans when circumstances
warrant; and
5-203.4.7. Emphasis on the importance of beginning
destruction sufficiently early to preclude loss of material.
The effect of premature destruction is considered
inconsequential when measured against the possibility
of compromise.
5-203.5. The emergency plan shall require that classified
material holdings be assigned a priority for emergency
evacuation or destruction. Priorities should be based
upon the potential effect on national security should
such holdings fall into hostile hands, in accordance
with the following general guidelines:
5-203.5.1. Priority One. Exceptionally grave damage
(Top Secret material);
5-203.5.2. Priority Two. Serious damage (Secret material);
and
5-203.5.3. Priority Three. Damage (Confidential material).
5-203.6. If, as determined by appropriate threat analysis,
Priority One material cannot otherwise be afforded a
reasonable degree of protection from hostile elements
in a no-notice emergency situation, provisions shall
be made for installation of Anticompromise Emergency
Destruct (ACED) equipment to ensure timely initiation
and positive destruction of such material2 in accordance
with the following standard: "With due regard for
personnel and structural safety, the ACED system shall
reach a stage in destruction sequences at which positive
destruction is irreversible within 60 minutes at shore
installations, 30 minutes in ships, and 3 minutes in
aircraft following activation of the ACED system."3
5-203.7. An ACED requirement is presumed to exist and
provisions shall be made for an ACED system to protect
Priority One material in the following environments:
5-203.7.1. Shore-based activities located in or within
50 miles of potentially hostile countries, or located
within or adjacent to countries with unstable governments;
5-203.7.2. Reconnaissance aircraft, both manned and
unmanned, that operate within JCS-designated reconnaissance
reporting areas (see Memorandum by the Secretary, Joint
Chiefs of Staff (SM) 701-76, Volume II, "Peacetime Reconnaissance
and Certain Sensitive Operations" (reference (kk));4
5-203.7.3. Naval surface noncombatant vessels operating
in hostile areas when not accompanied by a combatant
vessel;
5-203.7.4. Naval subsurface vessels operating in hostile
areas; and
5-203.7.5. U.S. Navy Special Project ships (Military
Sealift Command-operated) operating in hostile areas.
5-203.8. Except in the most extraordinary circumstances,
ACED is not applicable to commands and activities located
within the United States. Should there be reason to
believe that an ACED requirement exists in environments
other than in those listed in paragraph 5-203.7., above,
a threat and vulnerability study should be prepared
and submitted to the head of the DoD Component concerned
or his designee for approval. The threat and vulnerability
study should include, at a minimum, the following data,
classified if appropriate:
2 Technological limitations, particularly as to personnel
and structural safety, place constraints on the amount
of material that can be accommodated in buildings, ships,
and aircraft by current ACED systems; therefore, only
Priority One material reasonably can be so protected
at this time. Nevertheless, after processing Priority
One material in an emergency situation involving possible
loss to hostile forces, it is imperative that Priority
Two material and then Priority Three material be destroyed
insofar as is possible by whatever means available.
3 The time frames indicated above are those for the
initiation of irreversible destruction, not necessarily
for the completion of such destruction.
4 SM 701-76 is available on a strict need-to-know basis
from the Chief, Documents Division, Joint Secretariat,
OJCS.
5-203.8.1. Volume and type of Priority One material
held by the activity, that is, paper products, microforms,
magnetic tape, and circuit boards;
5-203.8.2. A statement certifying that the amount of
Priority One material held by the activity has been
reduced to the lowest possible level;
5-203.8.3. An estimate of the time, beyond the time
frames cited above, required to initiate irreversible
destruction of Priority One material held by the activity,
and the methods by which destruction of that material
would be attempted in the absence of an ACED system;
5-203.8.4. Size and composition of the activity;
5-203.8.5. Location of the activity and the degree
of control it, or other United States authority, exercises
over security; and
5-203.8.6. Proximity to potentially hostile forces
and potential for aggressive action by such forces.
5-203.9. When a requirement is believed to exist for
ACED equipment not in the GSA or DoD inventories, the
potential requirement shall be submitted to the DUSD(P)
for validation n accordance with subsection 5.2. of
DoD Directive 3224.3 (reference (ll)).5
5-203.10. In determining the method of destruction
of other than Priority One material, any method specified
for routine destruction or any other means that will
ensure positive destruction of the material may be used.
Ideally, any destruction method should provide for
early attainment of a point at which the destruction
process is irreversible. Additionally, classified
material may be jettisoned at sea to prevent its easy
capture. It should be recognized that such disposal
may not prevent recovery of the material. Where none
of the methods previously mentioned can be employed,
the use of other means, such as dousing the classified
material with a flammable liquid and igniting it, or
putting to use the facility garbage grinders, sewage
treatment plants, and boilers should be considered.
5 Information on ACED systems may be obtained from
the Office of the Chief of Naval Operations (OP-09N),
Navy Department, Washington, DC 20350.
5-203.11. Under emergency destruction conditions, destruction
equipment may be operated at maximum capacity and without
regard to pollution, preventive maintenance, and other
constraints that might otherwise be observed.
5-203.12. Commands and activities that are required
to maintain an ACED system pursuant to paragraph 5-203.7.,
above, shall conduct drills periodically to ensure that
responsible personnel are familiar with the emergency
plan. Such drills should be used to evaluate the anticipated
effectiveness of the plan and the prescribed equipment
and should be the basis for improvements in planning
and equipment use. Actual destruction should not be
initiated during drills.
5-204. Telecommunications Conversations. Classified
information shall not be discussed in telephone conversations
except as authorized over approved secure communications
circuits, that is, cryptographically protected circuits
or protected distribution systems installed in accordance
with National COMSEC Instruction 4009 (reference (mm)).
CLASSIFIED INFORMATION SHALL NOT BE DISCUSSED ON UNSECURED,
STANDARD COMMERCIAL TELEPHONES. THE USE OF CODES OR
ATTEMPT TO TALK AROUND CLASSIFIED SUBJECTS IS PROHIBITED.
5-205. Security of Meetings and Conferences. Security
requirements and procedures governing disclosure of
classified information at conferences, symposia, conventions,
and similar meetings, and those governing the sponsorship
and attendance of U.S. and foreign personnel at such
meetings, are set forth in DoD Directive 5200.12, DoD
Instruction 5230.20, DoD 5220.22-R, and DoD 5220.22-M
(references (nn), (fff), (j), and (k)), respectively).
5-205.1. GENERAL. CLASSIFIED MEETINGS SHALL BE CONDUCTED
TO BEST SERVE THE INTEREST OF U.S. NATIONAL SECURITY.
SECURITY SAFEGUARDS AND PROCEDURES SHALL BE ESTABLISHED
TO CONTROL ACCESS AND PREVENT COMPROMISE OF CLASSIFIED
INFORMATION PRESENTED DURING SUCH MEETINGS.
5-205.2. MEETINGS DISCLOSING CLASSIFIED INFORMATION
5-205.2.1. SUCH MEETINGS SHALL BE SPONSORED BY AN OSD
COMPONENT HAVING SIGNIFICANT INTEREST IN THE SUBJECT
MATTER. WITHIN THE OSD, A PRINCIPAL STAFF ASSISTANT,
A PRINCIPAL DEPUTY UNDER OR ASSISTANT SECRETARY OF DEFENSE,
OR A HIGHER-LEVEL
OFFICIAL MAY SPONSOR SUCH A MEETING AFTER DETERMINING,
THE FOLLOWING:
5-205.2.1.1. THE CLASSIFIED SESSIONS OF THE MEETING
ARE IN THE BEST INTERESTS OF U.S. NATIONAL SECURITY.
5-205.2.1.2. THE USE OF CONVENTIONAL CHANNELS FOR DISSEMINATION
OF CLASSIFIED SCIENTIFIC AND TECHNICAL INFORMATION DOES
NOT ACCOMPLISH THE PURPOSE OF THE MEETING.
5-205.2.1.3. ADEQUATE SECURITY MEASURES AND ACCESS
PROCEDURES HAVE BEEN DEVELOPED AND SHALL BE IMPLEMENTED.
5-205.2.1.4. THE LOCATION SELECTED FOR THE CLASSIFIED
SESSIONS OF THE MEETING ENSURES PROPER CONTROL AND DISSEMINATION
OF CLASSIFIED INFORMATION, AND ADEQUATE FACILITIES ARE
AVAILABLE FOR SECURE STORAGE AND PROTECTION.
5-205.2.2. OSD COMPONENTS ACCEPTING SPONSORSHIP OF
A CLASSIFIED MEETING SHALL APPOINT A SECURITY MANAGER
WHO SHALL ENSURE COMPLIANCE WITH APPLICABLE SECURITY
DIRECTIVES, AND THAT:
5-205.2.2.1. THE MEETING SITE IS PROPER FOR THE LEVEL
OF CLASSIFICATION INVOLVED.
5-205.2.2.2. ADEQUATE STORAGE FACILITIES ARE AVAILABLE,
WHEN REQUIRED.
5-205.2.2.3. ACCESS TO CLASSIFIED SESSIONS OF THE CONFERENCE
ARE LIMITED TO PERSONS WHOSE CLEARANCE AND NEED TO KNOW
HAVE BEEN ESTABLISHED POSITIVELY, AS FOLLOWS:
5-205.2.2.3.1. MILITARY AND CIVILIAN PERSONNEL: A
WRITTEN VISIT REQUEST OR SECURITY CLEARANCE CERTIFICATION
FURNISHED IN ADVANCE THAT CONTAINS FULL NAME OF THE
ATTENDEE, SOCIAL SECURITY NUMBER, DATE AND PLACE OF
BIRTH, CITIZENSHIP, SECURITY CLEARANCE LEVEL AND DATE
GRANTED, AND SECURITY MANAGER'S CERTIFICATION.
5-205.2.2.3.2. CONTRACTOR PERSONNEL: IN ADDITION
TO THE INFORMATION IN PARAGRAPHS 5-205.1. THROUGH 5-205.2.2.6.,
ABOVE, EACH CONTRACTOR VISIT REQUEST FURNISHED IN ADVANCE,
ALSO SHALL CONTAIN CONTRACT NUMBER, PROJECT OR PROGRAM
PERTAINING TO THE SUBJECT MATTER OF THE CLASSIFIED MEETING,
LEVEL OF CLASSIFIED ACCESS AUTHORIZED UNDER CONTRACT,
PURPOSE AND/OR JUSTIFICATION FOR ATTENDANCE AT CLASSIFIED
CONFERENCE, AND GOVERNMENT CONTRACTING OFFICER'S CERTIFICATION
OF THE INDIVIDUAL'S NEED TO ATTEND THE CONFERENCE.
5-205.2.2.3.3. FOREIGN PERSONNEL: THE OSD COMPONENT
SPONSORING THE CONFERENCE SHALL REQUEST APPROVAL FROM
DEFENSE INTELLIGENCE AGENCY (DIA) FOR THE DISCLOSURE
OF CLASSIFIED INFORMATION AND THE COUNTRIES OF THE FOREIGN
NATIONALS WHOSE PRESENCE IS ANTICIPATED. ONLY FOREIGN
NATIONALS APPROVED BY DIA SHALL BE ALLOWED TO ATTEND
SUCH CONFERENCES.
5-205.2.2.4. THE NAMES OF ALL CLEARED AND/OR CERTIFIED
PERSONNEL HAVING A NEED TO KNOW SHALL BE PLACED ON AN
ACCESS ROSTER.
5-205.2.2.5. PHOTOGRAPHIC IDENTIFICATION SHALL BE REQUIRED
OF ALL ATTENDEES WHOSE IDENTITY IS NOT ESTABLISHED BY
PERSONAL RECOGNITION.
5-205.2.2.6. AUTHORIZATION TO RELEASE CLASSIFIED INFORMATION
BY DOD PERSONNEL TO U.S. AUDIENCES MUST BE OBTAINED
FROM THE ORIGINATOR, AND CONTRACTOR PERSONNEL MUST COMPLY
WITH DOD 5220.22-M, PARAGRAPH 9.E., (REFERENCE (K)).
5-205.2.2.7. ALL ANNOUNCEMENTS AND INVITATIONS SHALL
BE REVIEWED FOR ACCURACY AND FOR ENSURING THAT THEY
ARE UNCLASSIFIED.
5-205.2.2.8. LOGS OF ALL CLASSIFIED MATERIAL DISTRIBUTED
DURING THE MEETING SHALL BE PREPARED AND AN ACCURATE
INVENTORY MADE OF THEIR COLLECTION AT THE CONCLUSION
OF THE MEETING. ANY DISCREPANCY IN THESE INVENTORIES
SHALL BE REPORTED TO THE CONVENING OSD COMPONENT'S SECURITY
MANAGER FOR ACTION IMMEDIATELY UPON DISCOVERY.
5-205.2.2.9. A RECEIPT, IF REQUIRED BY THE ORIGINATOR,
SHALL BE OBTAINED FOR CLASSIFIED MATERIAL DISTRIBUTED
AT MEETINGS THAT IS TO BE RETAINED BY PARTICIPANTS.
RECEIPTS ALWAYS ARE REQUIRED FOR MATERIAL CLASSIFIED
SECRET AND ABOVE. SECRETARY OF DEFENSE (SD) FORM 120,
"RECEIPT FOR CLASSIFIED MATERIAL" SHALL BE USED FOR
THIS PURPOSE. APPLICABLE WRAPPING FOR ANY SUCH MATERIAL
SHALL BE PROVIDED.
5-205.2.2.10. THE MEETING AREA SHALL BE INSPECTED BY
REPRESENTATIVES OF THE CONVENING OFFICIAL AT THE CONCLUSION
OF THE MEETING TO ENSURE THAT NO CLASSIFIED MATERIAL
OR NOTES HAVE BEEN LEFT BY ATTENDEES.
5-205.2.2.11. PARTICIPANTS MAKING THEIR OWN NOTES SHALL
BE ADVISED OF CLASSIFICATION LEVEL OF THE DISCUSSION
AND OF THE CLASSIFIED NATURE OF SUCH NOTES AND CAUTIONED
TO STORE THE NOTES PROPERLY ON DEPARTURE. ALL CLASSIFIED
MATERIAL SHALL BE PROPERLY WRAPPED AND PARTICIPANTS
HAVE PROPER COURIER AUTHORITY. PARTICIPANTS SHALL
BE PROHIBITED FROM INTRODUCING INTO THE SECURE FACILITY
ANY ELECTRONIC OR OPTICAL DEVICE CAPABLE OF RECORDING
ACTIVITIES OR MATERIALS WITHIN THE FACILITY.
5-205.2.2.12. THE LOSS OR COMPROMISE OF ANY CLASSIFIED
INFORMATION AT THE MEETING SHALL BE REPORTED PROMPTLY
TO ODUSD(P).
5-206. Safeguarding of U.S. Classified Information
Located in Foreign Countries. Except for classified
information that has been authorized for release to
a foreign government or international organization pursuant
to DoD Directive 5230.11 (reference (tt)), and is under
the security control of such government or organization,
the retention of U.S. classified material in foreign
countries may be authorized only when that material
is necessary to satisfy specific U.S. Government requirements.
This includes classified material temporarily transferred
into a foreign country via U.S. Government personnel
authorized to escort or handcarry such material pursuant
to Chapter 8, section C8.3., as applicable. Whether
permanently or temporarily retained, the classified
materials shall be stored under U.S. Government control
as follows:
5-206.1. At a U.S. military installation, or a location
where the United States enjoys extraterritorial status,
such as an embassy or consulate.
5-206.2. At a U.S. Government activity located in a
building used exclusively by U.S. Government tenants,
provided the building is under 24-hour control by U.S.
Government personnel.
5-206.3. At a U.S. Government activity located in a
building not used exclusively by U.S. Government tenants
nor under host government control, provided the classified
material is stored in security containers approved by
the GSA and is placed under 24-hour control by U.S.
Government personnel.
5-206.4. At a U.S. Government activity located in a
building not used exclusively by U.S. Government tenants
but which is under host government control, provided
the classified material is stored in GSA-approved security
containers which are further secured in a locked room
or area to which only U.S. personnel have access.
5-206.5. When host government and U.S. personnel are
co-located, U.S. classified material that has not been
authorized for release to the host government pursuant
to DoD Directive 5230.11 (reference (tt)), shall, to
the extent possible, be segregated from releasable classified
material to facilitate physical control and prevent
inadvertent compromise. However, U.S. classified material
that is releasable to the host country need not be subject
to the 24-hour U.S. control requirement provided the
host government exercises its own control measures over
the pertinent areas or containers during non-duty hours.
5-206.6. Foreign nationals shall be escorted while
in areas where non-releasable U.S. classified material
is handled or stored. However, when required by operational
necessity, foreign nationals may be permitted, during
duty hours, unescorted entry to such areas provided
the non-releasable information is properly stored or
is under the direct personal supervision and control
of cleared U.S. personnel who can prevent unauthorized
access.
FIGURE 3. SF 701, "Activity Security Check List"
C5.3. Section 3. ACTIVITY ENTRY AND EXIT INSPECTION
PROGRAM
5-300. Policy
5-300.1. Commanders and heads of activities shall establish
and maintain an inspection program to deter and detect
unauthorized introduction or removal of classified material
from DoD-owned or -leased installations and facilities.
This program does not replace existing programs for
facility and installation security and law enforcement
inspection requirements.
5-300.2. The inspection program shall be implemented
in a manner that does not interfere unduly with the
performance of assigned missions.
5-300.3. The inspection program shall be implemented
in a manner that does not significantly disrupt the
ingress and egress of persons who are employees of,
or visitors to, defense installations and facilities.
5-300.4. Inspections carried out under this program
shall be limited to the extent feasible to areas where
classified work is being performed, and cover only persons
employed within, or visiting, such areas.
5-300.5. Inspections carried out under this program
shall be performed at a sufficient frequency to provide
a credible deterrent to those who would be inclined
to remove classified materials without authority from
the installation or facility in question.
5-300.6. The method and frequency of such inspections
at a given installation or facility is at the discretion
of the commander or head of the installation or facility,
or other designated official. Such inspections shall
conform to the procedures set forth below.
5-300.7. THE HEADS OF OSD COMPONENTS MAY IMPLEMENT
AN INSPECTION PROGRAM FOR THEIR AREAS. OSD COMPONENTS
HOUSED OUTSIDE THE PENTAGON SHALL INSTITUTE THIS PROGRAM.
ALL INDIVIDUALS, REGARDLESS OF POSITION OR RANK, ARE
SUBJECT TO THIS POLICY.
5-300.7.1. A MEMORANDUM SIGNED BY THE HEAD OF THE OSD
COMPONENT, AUTHORIZING THE PROGRAM, SHALL BE SENT TO
THE DIRECTOR, PSD, FOR APPROVAL.
5-300.7.2. A DETAILED OUTLINE OF THE INSPECTION PROCEDURES
SHALL ACCOMPANY THE AUTHORIZING MEMORANDUM. IT SHALL
INCLUDE, AS A MINIMUM, THE FOLLOWING:
5-300.7.2.1. THE EXIT AND/OR ENTRY LOCATION.
5-300.7.2.2. WHO IS TO BE SEARCHED.
5-300.7.2.3. WHAT TO LOOK FOR (CLASSIFIED DOCUMENTS
AND/OR ITEMS).
5-300.7.2.4. WHAT IS TO BE SEARCHED (BRIEFCASES, HANDBAGS,
PACKAGES, OR SIMILAR CONTAINERS).
5-300.7.2.5. PROCEDURES TO BE FOLLOWED IN THE EVENT
CLASSIFIED MATERIAL IS FOUND.
5-300.7.2.6. WHEN AND HOW OFTEN INSPECTIONS SHALL BE
CONDUCTED.
5-300.7.3. PERSONNEL, WHO SHALL BE INVOLVED IN CONDUCTING
THE SEARCHES, SHALL BE TRAINED IN THEIR RESPONSIBILITIES
AS OUTLINED IN THE WRITTEN INSPECTION PROGRAM.
5-300.7.4. AN AFTER ACTION REPORT SHALL BE SUBMITTED
WITHIN 5 WORKING DAYS AFTER THE INSPECTION TO THE DIRECTOR,
PSD. ALL VIOLATIONS AND UNUSUAL OCCURRENCES SHALL
BE INCLUDED IN THE REPORT.
5-301. Inspection Frequency
5-301.1. Inspections may be periodic, that is, at irregular
intervals.
5-301.2. Inspections may be accomplished at one or
more designated entry/exit points; they need not be
carried out at all entry/exit points at the same time.
5-301.3. Inspections may be done on a random basis
using any standard that may be appropriate, for example,
every third person; every tenth person; every hundredth
person, at the entry/exit point(s) designated.
5-301.4. Inspections at a particular entry/exit point(s)
may be limited as appropriate to various periods of
time, for example, one week, one day, or one hour.
5-301.5. Inspections shall be conducted at all entry/exit
points after normal duty hours, including weekends and
holidays, on a continuous basis, if practicable.
5-302. Inspection Procedures and Identification
5-302.1. Inspections shall be limited to that which
is necessary to determine whether classified material
is contained in briefcases, shoulder or handbags, luggage,
athletic bags, packages, or other similar containers
being removed from or taken into the premises. Inspections
shall not be done of wallets, change purses, clothing,
cosmetics cases, or other objects of an unusually personal
nature.
5-302.2. DoD Components shall provide employees who
have a legitimate need to remove classified material
from the installation or activity with written or printed
authorizations to pass through designated entry/exit
points. (See paragraph 8-300.6.) This may include:
5-302.2.1. The authorization statements prescribed
in Chapter 8, section C8.3.
5-302.2.2. If authorized in Component instructions,
wallet-size cards which describe in general terms the
purpose(s) for authorizing the employee to remove classified
material from the facility (for example, use at meetings
or transmission to authorized recipients).
5-302.2.3. Inspectors are to ensure that personnel
are not removing classified material without authorization.
Where inspectors determine that individuals do not
appear to have appropriate authorization to remove classified
material, they shall request such individual to obtain
appropriate authorization before exiting the premises.
If, due to the circumstances, this is not feasible,
the inspector should attempt to verify by telephone
the authority of the individual in question to remove
the classified material with the employing office.
When such verification cannot be obtained, and if removal
cannot be prevented, the inspector shall advise the
employing office and appropriate security office as
soon as feasible that classified material was removed
by the named individual at a particular time and without
apparent authorization.
5-302.2.4. If the employing office determines that
classified material was removed by one of its employees
without authority, it shall request an investigation
of the circumstances of the removal by appropriate investigative
authorities. Where such investigation confirms a violation
of security procedures, other than espionage or deliberate
compromise, for which subsection 6-109. applies, appropriate
administrative, disciplinary, or legal action shall
be taken.
C5.4. Section 4. PHYSICAL SECURITY OF OSD OFFICES
5-400. POLICY. OFFICES AND OTIHER SPACES (LESS ALARMED
AREAS) SHALL BE SECURED PHYSICALLY AGAINST UNAUTHORIZED
ENTRY THROUGH THE USE OF KEY-OPERATED, HIGH SECURITY
DOOR CYLINDERS OR OTHER PSD AUTHORIZED ACCESS DEVICES.
ALL LOCK WORK FOR OSD COMPONENTS, EXCEPT THAT FOR
DESK AND FILE CABINET KEY LOCKS, SHALL BE ACCOMPLISHED
BY OR UNDER THE
SUPERVISION OF THE PSD, WASHINGTON HEADQUARTERS SERVICES
(WHS), INCLUDING THE ISSUANCE OF KEYS.
5-401. KEY CONTROL OFFICER
5-401.1. HEADS OF OSD COMPONENTS SHALL, DESIGNATE,
IN WRITING, A PRIMARY AND ALTERNATE KEY CONTROL OFFICER
BY SUBMITTING A DEPARTMENT OF DEFENSE (DD) FORM 577,
"SIGNATURE CARD," FOR EACH DESIGNEE TO THE PSD, WHS
(SEE FIGURE 4, BELOW).
5-401.2. KEY CONTROL OFFICER SHALL:
5-401.2.1. PROCESS REQUESTS FOR DOOR KEYS AND SPECIAL
LOCKS USING DD FORM 2251, "REQUEST FOR DOOR KEYS AND
SPECIAL LOCKS."
5-401.2.2. REPORT ANY LOSS OR COMPROMISE OF KEYS IN
WRITING TO THE PSD, WHS, AND REQUEST THAT THE KEY LOCK
BE CHANGED. A LOCK SHALL BE CONSIDERED COMPROMISED
IF THE KEY CONTROL OFFICER MAY NOT ACCOUNT FOR THE KEYS
OR IF UNAUTHORIZED DUPLICATE KEYS HAVE BEEN MADE FOR
A LOCK.
5-402. HOLDERS OF OSD KEYS. EMPLOYEES SHALL:
5-402.1. RECEIPT FOR AND MAINTAIN CONTROL OF ALL ASSIGNED
KEYS.
5-402.2. RETURN ASSIGNED KEYS TO THE PSD, WHS, ROOM
3C345, BEFORE REASSIGNMENT OR TERMINATION OF EMPLOYMENT
AS PART OF THE CLEARING PROCESS.
5-402.3. PROVIDE WRITTEN REPORT TO THE KEY CONTROL
OFFICER ON THE CIRCUMSTANCES SURROUNDING LOST OR COMPROMISED
KEYS.
5-402.4. OBTAIN A KEY FROM THE KEY CONTROL OFFICER
OR ANOTHER EMPLOYEE BEFORE REPORTING FOR DUTY WHEN REQUIRED
TO WORK OTHER THAN NORMAL DUTY HOURS AND WHEN NOT IN
POSSESSION OF A KEY.
5-402.5. REPORT IMMEDIATELY TO THE PSD, WHS, ALL MALFUNCTIONING
COMBINATION LOCKS, KEY LOCKS, OR ACCESS CONTROL DEVICES.
5-403. INSTALLATION OF DOOR LOCKS AND ACCESS CONTROL
DEVICES AND ISSUANCE OF DUPLICATE KEYS
5-403.1. REQUESTS FOR INSTALLATION OF DOOR LOCKS AND
ACCESS CONTROL DEVICES AND FOR DUPLICATE KEYS SHALL
BE SUBMITTED ON DD FORM 2251 (SEE FIGURE 5, BELOW).
5-403.1.1. THE REQUESTOR SHALL COMPLETE LINES 1 THROUGH
6 OF THAT FORM.
5-403.1.2. IF MORE THAN ONE KEY IS REQUESTED, THE NAMES
OF THE EMPLOYEES FOR WHOM ADDITIONAL KEYS ARE REQUIRED
SHALL BE LISTED IN LINE 6.
5-403.1.3. LINE 5A SHALL BE COMPLETED BY ENTERING THE
ACRONYM OF THE OSD COMPONENT CONCERNED, SUCH AS USDP;
USDR&E; ASD(C); ASD(A&L); DUSD(P); GC; WHS(B&F), AND
WHS(C&D).
5-403.1.4. LINES 5B, 5C, AND 5D SHALL BE DISREGARDED.
5-403.1.5. LINES 7A AND 7B SHALL BE COMPLETED BY THE
KEY CONTROL OFFICER.
5-403.2. A MAXIMUM OF ONE KEY PER OFFICE OCCUPANT OR
SIX KEYS, WHICHEVER IS LESS, SHALL BE ISSUED FOR ANY
ONE DOOR LOCK. EXCEPTIONS TO THIS POLICY SHALL BE
JUSTIFIED IN WRITING, THROUGH THE COMPONENT KEY CONTROL
OFFICER. FINAL APPROVAL REMAINS WITH THE DIRECTOR,
PSD, WHS. ASSIGNMENT OF ADDITIONAL EMPLOYEES TO AN
OFFICE DOES NOT CONSTITUTE A VALID JUSTIFICATION FOR
ADDITIONAL KEYS.
5-403.3. THE KEY CONTROL OFFICER SHALL FORWARD THE
COMPLETED REQUEST TO PSD FOR APPROVAL. DISAPPROVED
REQUESTS SHALL BE RETURNED WITH APPLICABLE ANNOTATION.
5-404. EMERGENCIES. EMERGENCY REQUESTS FOR COMBINATION
CHANGES OR REPAIR OF ACCESS CONTROL DEVICES, SECURITY
CONTAINERS, AND LOCKS AFTER NORMAL DUTY HOURS AND ON
SATURDAYS, SUNDAYS, AND HOLIDAYS SHALL BE TELEPHONED
TO (202) 695-5052. THIS PROCEDURE APPLIES TO OBTAINING
EMERGENCY ACCESS TO AREAS EQUIPPED WITH KEY LOCKS.
A SITUATION IN WHICH AN EMPLOYEE SCHEDULED TO WORK
DURING OTHER THAN NORMAL DUTY HOURS FORGETS HIS OR HER
KEY IS NOT CONSIDERED AN EMERGENCY.
FIGURE 4. DD Form 577, "Signature Card"
FIGURE 5. DD Form 2251, "Request for Door Keys and
Special Locks"
C5.5. Section 5. INTRUSION DETECTION (ALARM) SYSTEMS
5-500. POLICY. THE INSTALLATION OF ALARM EQUIPMENT
FOR DETECTING AN UNAUTHORIZED OR FORCED ENTRY SHALL
BE KEPT TO A MINIMUM CONSISTENT WITH THE OPERATIONAL
REQUIREMENTS OF THE OSD COMPONENT CONCERNED. ALARM
EQUIPMENT SHALL BE USED TO PROTECT AREAS OR OFFICES
UNDER ONE OF THE FOLLOWING CONDITIONS:
5-500.1. WHEN THE BULK OR VOLUME OF CLASSIFIED MATERIAL
MAKE IT IMPRACTICAL TO STORE CLASSIFIED MATERIAL IN
SECURITY CONTAINERS. THIS IS FOR CENTRAL REPOSITORIES
ONLY AND REFERS TO OPEN OR SHELF STORAGE.
5-500.2. WHEN DIA MANUAL 50-3 (REFERENCE QQQ) REQUIRES
PROTECTION BY AN ALARM SYSTEM.
5-501. ESTABLISHMENT
5-501.1. A REQUEST TO ESTABLISH AN ALARMED AREA FOR
THE OPEN STORAGE OF TOP SECRET, SECRET, OR CONFIDENTIAL
MATERIAL SHALL BE SIGNED BY THE OSD COMPONENT HEAD.
THE FOLLOWING INFORMATION SHALL BE INCLUDED IN THE
REQUEST:
5-501.1.1. FULL JUSTIFICATION FOR THE ALARMED AREA
FOR STORAGE TO INCLUDE ESTIMATED VOLUME AND TYPE OF
MATERIAL.
5-501.1.2. CLASSIFICATION LEVEL OF MATERIAL TO BE STORED
IN THE AREA.
5-501.1.3. A DETAILED SKETCH OR FLOOR PLAN OF AREA,
INCLUDING LOCATION, SIZE, CONFIGURATION OF WALLS, AND
INTERNAL PHYSICAL ARRANGEMENTS OF THE OFFICES.
5-501.1.4. THE NAME, ROOM, AND TELEPHONE NUMBER OF
THE PROJECT OFFICER ASSIGNED TO ESTABLISH THE ALARMED
AREA.
5-501.2. THE OSD COMPONENT SECURITY MANAGER SHALL FORWARD
THE REQUEST THROUGH THE OSD RECORDS ADMINISTRATOR, RECORDS
MANAGEMENT DIVISION, CORRESPONDENCE AND DIRECTIVES (C&D),
WHS, FOR PERMISSION TO USE SHELF FILES IN ACCORDANCE
WITH PARAGRAPH 3.3.4., AI NO. 15 (REFERENCE RRR) TO
THE PSD. SENSITIVE COMPARTMENTED INFORMATION FACILITIES
(SCIF) DO NOT REQUIRE THIS PERMISSION.
5-501.3. THE DIRECTOR, PSD, SHALL COORDINATE AND APPROVE
ALL MATTERS IN ESTABLISHING AN ALARMED AREA AND SHALL:
5-501.3.1. REVIEW ALL REQUESTS AND CONDUCT NECESSARY
SURVEYS.
5-501.3.2. PROVIDE THE PROJECT OFFICER THE CONSTRUCTION
AND REQUISITION REQUIREMENTS.
5-501.3.3. DESIGNATE PSD EMPLOYEE AS THE CONTRACTING
OFFICER'S TECHNICAL REPRESENTATIVE (COTR) WHO SHALL
OBTAIN APPLICABLE EQUIPMENT.
5-501.3.4. COORDINATE WITH THE DEPARTMENT OF THE AIR
FORCE SECURITY OFFICE OR THE CIVILIAN MONITORING AGENCY,
AS APPLICABLE, ON ALL MATTERS FOR ALARM EQUIPMENT MONITORING.
5-501.3.5. MONITOR THE INSTALLATION OF ALARM DEVICES,
ENSURE THAT ALL EQUIPMENT CONSIGNED HAS BEEN INSTALLED
AND IS OPERABLE, AND THAT PERIODIC INSPECTIONS ARE CONDUCTED
TO TEST THE EQUIPMENT AND THE SYSTEMS.
5-501.3.6. MAINTAIN A RECORD OF ALL ALARMED AREAS TO
MONITOR THE ACCOUNTING OF FUNDS FOR PLANNING AND STATISTICAL
PURPOSES.
5-501.4. THE PROJECT OFFICER SHALL:
5-501.4.1. COORDINATE THE CONSTRUCTION AND REQUISITION
REQUIREMENTS.
5-501.4.2. PROVIDE NECESSARY SECURITY OR PRECAUTIONARY
MEASURES TO PREVENT COMPROMISE OF CLASSIFIED INFORMATION
DURING ANY PHASE OF THE INSTALLATION AND MAINTENANCE
WORK IN THEIR AREAS.
5-501.4.3. NOTIFY PSD BY TELEPHONE (695-5052) UPON
COMPLETION.
5-502. ADMINISTRATION
5-502.1. THE OCCUPANTS SHALL:
5-502.1.1. FOLLOW PROCEDURES FOR OPENING AND CLOSING
AN ALARMED AREA AND SECURE THE AREA WHENEVER AN ALARMED
AREA IS TO BE LEFT UNATTENDED AT OTHER THAN ESTABLISHED
SECURITY HOURS.
5-502.1.2. TEST THE ALARM SYSTEM PERIODICALLY AND REPORT
PROMPTLY ALL MALFUNCTIONS TO PSD.
5-502.1.3. COORDINATE WITH PSD BEFORE BEGINNING CONSTRUCTION
WORK THAT AFFECTS THE OPERATION OF ALARM EQUIPMENT INSTALLED
IN THE AREA.
5-502.2. EACH COMPONENT SECURITY MANAGER AND ALTERNATE
SHALL SIGN A DD FORM 577, "SIGNATURE CARD." SEE FIGURE
6, BELOW. PSD SHALL SIGN IN THE THE BLOCK MARKED "SIGNATURE
OF COMMANDING OFFICER." THIS APPOINTMENT DOES NOT
INCLUDE THE AUTHORITY TO PLACE A ZONE IN SERVICE OR
REMOVE IT FROM SERVICE. ONLY THOSE INDIVIDUALS WITH
A CURRENT DD FORM 577 MAY SIGN AFHQ 91, "ALARMED AREA
ACCESS LIST" (AAAL).
5-502.3. A COMPLETED AFHQ FORM 91, "ALARMED AREA ACCESS
LIST," (AAAL) SHALL BE FURNISHED TO HQ USAF SECURITY
FORCE.
5-502.3.1. ONLY THE NAMES OF THOSE PERSONS ASSIGNED
TO THE ZONE WHO FREQUENTLY HAVE A NEED TO MAKE TEMPORARY
CHANGES TO THE DUTY HOURS AND WHO ARE ABLE TO RESPOND
TO THE ZONE DURING NONDUTY HOURS IF THERE IS AN EMERGENCY
SHALL BE LISTED ON THE AAAL. A TOTAL OF 18 PERSONS
PER ZONE SHALL BE ASSIGNED. ONLY THE ORIGINAL AFHQ
FORM 91 SHALL BE ACCEPTED FOR PROCESSING; A MACHINE
COPY SHALL NOT BE ACCEPTED.
5-502.3.2. A NEW AAAL IS REQUIRED FOR ADDING OR DELETING
A PERSON'S NAME FROM THE AAAL, CHANGING THE DUTY HOURS,
OR CHANGING THE CODEWORD. TELEPHONE CHANGES SHALL
NOT BE ACCEPTED. SEE SUBSECTION 5-508. FOR INSTRUCTIONS
ON COMPLETING THE AAAL.
5-502.3.3. TO ADD A PERSON'S NAME TO THE AAAL, ALL
THE REQUIRED INFORMATION EXCEPT THE PASSCARD NUMBER
MUST BE ADDED TO THE NEW AAAL. IF THE PERSON WHOSE
NAME WAS ADDED ALREADY HAS A VALID PASSCARD FROM ANOTHER
AREA, THE NUMBER IS PLACED IN THE SPACE PROVIDED AND
THE NAME IS ASTERISKED.
5-502.3.4. TO DELETE A PERSON'S NAME FROM THE AAAL,
THE INDIVIDUAL'S PASSCARD AND THE NEW AAAL SHALL BE
HAND-CARRIED TO DET 1, 1100SPS, ROOM 4D882, THE PENTAGON.
THE CODEWORD IS CHANGED ON THE AAAL WHEN A PERSON'S
NAME IS REMOVED FROM THE LIST OR AUTOMATICALLY ONCE
A YEAR, WHICHEVER COMES FIRST.
5-502.3.5. AFHQ FORM 91 MAY BE OBTAINED FROM USAF COUNTER
SERVICES, ROOM 4A1008C.
5-502.4. DET 1, 11OOSPS SHALL ISSUE EACH PERSON WHO
IS AUTHORIZED TO MAKE TEMPORARY CHANGES TO THE ZONE
DUTY HOURS AN AFHQ FORM 93, "PASSCARD." IT IS A WALLET-SIZED,
LAMINATED CARD BEARING A FIVE-DIGIT CONTROL NUMBER.
THE CARD IDENTIFIES THE BEARER TO SECURITY PERSCNNEL
WHEN THE ZONE IS OPENED OR CLOSED AFTER THE ESTABLISHED
HOURS AND WHEN OCCUPANTS WISH TEMPORARILY TO EXTEND
THEIR HOURS OF OPERATION. THE FOLLOWING RULES APPLY
TO EACH HOLDER OF A PASS CARD:
5-502.4.1. THE PASS CARD IS A SENSITIVE, OFFICIAL DOCUMENT
AND MAY NOT BE EXPOSED TO PUBLIC VIEW OR ATTACHED TO
THE DOD BUILDING PASS OR BADGES.
5-502.4.2. THE PASS CARD AND NUMBER SHALL BE USED ONLY
BY THE PERSON TO WHOM IT IS ISSUED.
5-502.4.3. THE LOSS OR THEFT OF PASS CARDS MUST BE
REPORTED IMMEDIATELY TO AIR FORCE SECURITY 697-8291.
5-503. OPENING AND CLOSING ALARMED AREAS
5-503.1. OPENING PROCEDURES
5-503.1.1. EACH ALARMED AREA SHALL BE PERMITTED ONE
UNCHALLENGED OPENING AND CLOSING DURING LISTED DUTY
HOURS, AS INDICATED ON THE AAAL. AFTER THE DOOR IS
UNLOCKED AND THE AREA ENTERED, THE CONTROL SWITCH IMMEDIATELY
SHALL BE TURNED FROM THE "ON" TO THE "OFF" POSITION.
5-503.1.2. IF THE AREA IS TO BE ENTERED BEFORE THE
ESTABLISHED HOURS OR AFTER THE ONE UNCHALLENGED OPENING,
AIR FORCE SECURITY SHALL BE CONTACTED BY TELEPHONE (697-8291)
FOR IDENTIFICATION. THE INDIVIDUAL MUST PROVIDE THE
FOLLOWING:
5-503.1.2.1. YOUR PASS CARD NUMBER AND THE NUMBER OF
THE ZONE YOU WANT TO ENTER.
5-503.1.2.2. THE PERIOD OF TIME YOU SHALL REMAIN IN
THE ZONE. IF YOU OPEN EARLY FOR A NORMAL DUTY DAY
AND REMAIN IN THE ZONE UNTIL NORAML DUTY HOURS BEGIN,
THIS INFORMATION IS NOT NEEDED. IN ALL OTHER CASES,
AN ESTIMATED DEPARTURE TIME IS REQUIRED.
5-503.1.2.3. AFTER ESTABLISHING YOUR SCHEDULE, THE
OPERATOR ASKS YOU THE CODEWORD FOR THE ZONE.
5-503.1.3. AFTER THE OPERATOR ACKNOWLEDGES THE CODEWORD
AND CLEARS YOU TO PROCEED, YOU MAY ENTER THE ZONE.
IF YOU DON'T KNOW, OR YOU FORGET THE CODEWORD OR PASS
THE WRONG CODEWORD, YOUR ENTRY TO THE ZONE SHALL BE
DENIED. YOU MUST THEN REPORT TO DET 1, 1100SPS, ROOM
4D882, FOR IDENTIFICATION. YOU SHALL BE PERMITTED
TO ENTER THE ZONE ONLY AFTER YOU PROVIDE POSITIVE IDENTIFICATION.
5-503.1.4. DURING NONDUTY HOURS, ANY ENTRY TO A SECURED
ZONE WITHOUT PRIOR CLEARANCE IS A PROCEDURAL VIOLATION.
5-503.2. CLOSING PROCEDURES
5-503.2.1. THE AREA SHALL BE SECURED BY CLOSING ALL
OPENINGS TO THE ZONE AND ENSURING THAT ALL INTERCONNECTING
DOORS ARE CLOSED AND EMERGENCY EXITS ARE LOCKED. IF
THE ALARM SYSTEM IS EQUIPPED WITH SMALL RED LIGHTS,
PUSH THE SWITCH TO "RESET" POSITION UNTIL THE RED LIGHTS
ARE EXTINGUISHED AND THEN TO "LATCH" POSITION.
5-503.2.2. OPEN THE ENTRANCE DOOR AND TURN THE CONTROL
SWITCH FROM THE "OFF" TO THE "ON" POSITION. EXIT THE
AREA AND SECURE THE COMBINATION LOCK BY TURNING THE
DIAL TO "O," DISENGAGING THE BUTTERFLY, IF APPLICABLE,
AND TURNING THE DIAL AT LEAST FOUR COMPLETE REVOLUTIONS
IN ONE DIRECTION. ON NEWER COMBINATION LOCKS NOT EQUIPPED
WITH A BUTTERFLY, THE DIAL SHALL BE ROTATED AT LEAST
FIVE TURNS IN A COUNTERCLOCKWISE DIRECTION.
5-503.2.3. IF THE DOOR IS EQUIPPED WITH AN ELECTRONIC
CYPHER OR MECHANICAL (PUSH BUTTON) SIMPLEX ACCESS CONTROL
DEVICE, OPERATE THE CYPHER SYSTEM TO VERIFY THAT THE
LOCK IS SECURE AND THE DOOR DOES NOT OPEN.
5-503.2.4. ON SUCCESSFUL CLOSING, A BUZZER SHALL SOUND
FOR APPROXIMATELY 1 SECOND. AN OCCASIONAL DELAY OF
UP TO 2 1/2 MINUTES FOR THE BUZZER TO SOUND DUE TO POWER
RECHARGING IS NOT UNUSUAL. THE ALARMED AREA SHALL
NOT BE ABANDONED UNDER ANY CIRCUMSTANCES, UNTIL EITHER
THE BUZZER HAS SOUNDED OR, IN AREAS SO EQUIPPED, THE
RINGBACK LIGHT ILLUMINATES. WHENEVER THERE IS NO AUDIO
OR VISUAL VERIFICATION SIGNAL, AIR FORCE SECURITY MUST
BE CONTACTED FOR INSTRUCTIONS.
5-503.2.5. IF IT IS NECESSARY FOR ALL PERSONS TO EVACUATE
AN ALARMED FACILITY FOR ANY REASON, REGARDLESS OF HOW
BRIEFLY, THE ALARM SYSTEM AND THE COMBINATION LOCK SHALL
BE ACTIVATED BY THE LAST INDIVIDUAL DEPARTING THE AREA.
IF RE-ENTRY TO THE AREA IS REQUIRED, THE PROCEDURES
FOR EARLY OPENING MUST BE FOLLOWED.
5-504. EXTENDING THE HOURS OF A ZONE. IF A ZONE MUST
REMAIN OPEN BEYOND THE SCHEDULED DUTY HOURS, A PERSON
WHOSE NAME IS ON THE AAAL MUST CALL AND TELL DET 1,
1100SPS, EXTENSION 78291, THAT THE ZONE WILL BE CLOSED
LATE. THE CALL SHALL BE MADE AS SOON AS YOU KNOWN
SOMEONE MUST STAY LATE AND NOT UNTIL THE END OF THE
DAY.
5-504.1. YOUR ZONE NUMBER, THE NEW CLOSING TIME DESIRED
(IN INTERVALS OF 15 MINUTES), PASSCARD NUMBER, AND THE
CODEWORD SHALL BE GIVEN TO THE COMPUTER OPERATOR.
THE NEW SCHEDULE IS PLACED INTO THE COMPUTER.
5-504.2. IF THE ZONE SHALL NOT BE CLOSED BY THE EXTENDED
TIME, DET 1, 1100SPS, SHALL BE CALLED AGAIN, FOLLOWING
THE SAME PROCEDURE.
5-504.3. FAILURE TO CLOSE A ZONE BY THE SCHEDULED TIME
IS A PROCEDURAL VIOLATION.
5-505. RESPONSE TO AN ALARM
5-505.1. WHEN AN ALARM IS SET OFF DURING "SECURITY
HOURS," THE HQ USAF SECURITY FORCE PERSONNEL RESPOND
TO INVESTIGATE THE CAUSE OF THE ALARM.
5-505.2. IF DAMAGE TO THE ALARMED AREA IS DISCOVERED
OR IF THE ALARM DOES NOT RESET, THE COMPUTER OPERATOR
SHALL CALL EACH PERSON (IN ORDER LISTED ON THE AAAL)
UNTIL SOMEONE IS CONTACTED.
5-505.3. THE PERSON CONTACTED EITHER MUST COME TO THE
ALARMED AREA IMMEDIATELY, OR CONTACT ANOTHER PERSON
(WHO IS ON THE AAAL) TO RESPOND SO EMERGENCY REPAIRS
MAY BE MADE AND ALARM PROTECTION RESTORED. DET 1,
1100SPS, PERSONNEL GUARD THE ZONE UNTIL THE RESPONDING
PERSON ARRIVES.
5-506. TESTING THE ALARM SYSTEM. OCCUPANTS SHALL
CONDUCT A MONTHLY FUNCTIONAL PERFORMANCE TEST OF ALL
ALARM COMPONENTS AND RECORD THE RESULTS ON THE ALARM
TEST LOG MOUNTED ON THE CONTROL UNIT. FAILURE TO PERFORM
THE MONTHLY TEST SHALL BE RECORDED AS A PROCEDURAL VIOLATION.
A PERSON SHALL MONITOR THE METER ON THE CONTROL UNIT,
WHICH IS LOCATED NEAR THE ENTRANCE DOOR, FOR AN INDICATION
OF AN ALARM. IT IS NOT NECESSARY TO ACTIVATE THE SYSTEM
TO ACCOMPLISH THIS TEST. IT IS RECOMMENDED THAT THE
TESTS BE CONDUCTED IN THE MORNING SO MALFUNCTIONS DISCOVERED
DURING THE TEST MAY BE CORRECTED BEFORE CLOSE OF BUSINESS.
THE FOLLOWING PROCEDURES SHALL BE FOLLOWED:
5-506.1. EACH MOTION DETECTION SENSOR SHALL BE TESTED
BY WALKING THROUGH THE AREA AT THE RATE OF ONE STEP
PER SECOND FOR 4 SECONDS.
5-506.2. DOORS SHALL BE TESTED BY OPENING THE DOOR
APPROXIMATELY 4 INCHES.
5-506.3. THE ALARM TEST LOG, AF FORM 2530, SHALL BE
INITIALED, DATED, AND ANNOTATED WHETHER THE SYSTEM IS
OPERATIONAL. SEE FIGURE 7, BELOW. MALFUNCTIONS SHALL
BE REPORTED AS MAINTENANCE REQUESTS. THE COMPLETED
FORMS SHALL BE FORWARDED TO PSD WITHIN 30 DAYS AT THE
END OF THE CALENDAR YEAR.
5-507. ALARM SYSTEM INQUIRES AND MAINTENANCE REQUESTS.
FROM 0730 TO 1630 HOURS, MONDAY THROUGH FRIDAY EXCEPT
HOLIDAYS, DET 1, 1100SPSSPOR, EXTENSION 78291, SHALL
BE CONTACTED FOR ALARM SYSTEM INQUIRIES AND MAINTENANCE
REQUESTS. THE ALARM COMPUTER OPERATOR MAY BE CALLED
AT EXTENSION 78291 AT ANY TIME. THE COMPUTER OPERATOR
COMPLETES A SERVICE RECORD TO REPORT ANY ALARM MALFUNCTION
FOR REPAIR.
5-508. STOPPING INTRUSION DETECTION SYSTEM SERVICE.
THE OSD COMPONENT SECURITY MANAGER SHAIL SUBMIT A
WRITTEN REQUEST TO PSD TO DISCONTINUE A ZONE.
5-509. INSTRUCTIONS FOR COMPLETING AFHQ FORM 91.
AFHQ FORM 91 IS FOR OFFICIAL USE ONLY WHEN FILLED IN.
SEE FIGURE 8, BELOW. THE INDIVIDUAL'S SOCIAL SECURITY
NUMBER AND HOME PHONE NUMEER ARE PROTECTED ACCORDING
TO THE PRIVACY ACT. THESE INSTRUCTIONS PROVIDE GUIDANCE
FOR COMPLETING THE FORM:
5-509.1. DATE PREPARED. TYPE THE DATE THE FORM IS
PREPARED.
5-509.2. PAGE OF PAGES. COMPLETE THIS ITEM ON ALL
PAGES.
5-509.3. PASSCARD NUMBER. TYPE THE PASS CARD NUMBER
ASSIGNED TO EACH AUTHORIZED INDIVIDUAL. IF AN INDIVIDUAL
IS BEING ADDED, LEAVE PASS CARD COLUMN BLANK.
5-509.4. LAST NAME-FIRST NAME-MIDDLE INITIAL. TYPE
THE LAST NAME, FIRST NAME, AND MIDDLE INITIAL OF THOSE
INDIVIDUALS AUTHORIZED TO MAKE TEMPORARY CHANGES TO
THE ZONE HOURS AND WHO MAY RESPOND TO THE ZONE IN CASE
OF AN EMERGENCY. LIST THE NAMES IN THE ORDER THAT
DET 1, 1100SPS, IS TO CONTACT THE INDIVIDUALS.
5-509.5. GRADE. TYPE THE MILITARY RANK OR CIVILIAN
GRADE FOR EACH INDIVIDUAL.
5-509.6. SOCIAL SECURITY NUMBER. TYPE THE SOCIAL
SECURITY NUMBER FOR EACH INDIVIDUAL.
5-509.7. DUTY PHONE. TYPE THE OFFICE TELEPHONE NUMBER
FOR EACH INDIVIDUAL.
5-509.8. HOME PHONE. TYPE THE HOME TELEPHONE NUMBER
FOR EACH INDIVIDUAL TO INCLUDE THE AREA CODE IF THE
NUMBER IS A LONG DISTANCE CALL FROM THE PENTAGON.
5-509.9. MAILING ADDRESS. TYPE THE OSD COMPONENT.
5-509.10. AUTHENTICATING OFFICIAL. ENSURE THE OSD
COMPONENT SECURITY MANAGER OR ALTERNATE SIGN EACH PAGE
OF THE FORM. THE SIGNATURES SHALL BE COMPARED WITH
THOSE ON DD FORM 577.
5-509.11. ZONE NUMBER. TYPE THE ASSIGNED ZONE NUMBER
USING ALL DASHES IN THE ZONE NUMBER.
5-509.12. ROOM NUMBER. TYPE THE ROOM NUMBER THAT
IS ON THE DOOR OF THE MAIN ENTRY TO THE ZONE. IF THIS
ZONE IS AN INNER ROOM WITH A SUITE. IF YOU CHANGE
ENTRY DOOR NUMBERS, CHANGE THE AAAL.
5-509.13. PHONE NUMBER. TYPE THE TELEPHONE NUMBER
OF THE SECURITY MANAGER.
5-509.14. CODEWORD. TYPE ONE CODEWORD THAT IS NOT
MORE THAN TWELVE LETTERS IN LENGTH. CHANGE THIS WORD
EITHER WHEN A PERSON'S NAME IS DELETED FROM THE LIST
OR ANNUALLY, WHICHEVER COMES FIRST. COMPLETE THIS
ITEM ON EACH PAGE OF THE AAAL.
5-509.15. DUTY HOURS. INDICATE THE PERIOD WHEN THE
ZONE SHALL BE OPENED AND SECURED ON NORMAL DUTY DAYS
(MONDAY THROUGH FRIDAY). MAXIMALLY TO ACTUAL HOURS
WHEN DUTY IS PERFORMED IN THE ZONE TO ELIMINATE IRREGULAR
OPENINGS AND CLOSINGS AND TO PREVENT PROCEDURAL VIOLATIONS.
IF THE ZONE IS NOT OPENED ON SATURDAYS, SUNDAYS, OR
HOLIDAYS, LEAVE THESE LINES BLANK.
5-510. PROCEDURAL VIOLATIONS. DET 1, 1100SPS SHALL
INFORM THE PSD OF ANY PROCEDURAL VIOLATIONS. WHEN
A ZONE OBTAINS FIVE VIOLATIONS DURING THE CALENDAR YEAR,
THE DIRECTOR, PSD, SHALL INITIATE AN INVESTIGATION.
THE OSD COMPONENT SECURITY MANAGER SHALL:
5-510.1. CONDUCT AN INQUIRY INTO THE CIRCUMSTANCES
OF EACH OF THE FIVE VIOLATIONS.
5-510.2. SUBMIT A WRITTEN REPORT OF THE INQUIRY TO
PSD WITHIN 20 DAYS OF THE DATE OF NOTIFICAITON.
5-510.3. IMPOSE CORRECTIVE ACTIONS TO PREVENT ADDITIONAL
VIOLATIONS.
FIGURE 6. DD Form 577, "Signature Card"
FIGURE 7. Alarm System Test Record
FIGURE 8. AFHQ Form 91, "Alarmed Area Access List"
C5.6. Section 6. SECURITY OF CLASSIFIED VIDEO TAPE
5-600. POLICY. CLASSIFIED VIDEO TAPE SHALL BE AFFORDED
THE SAME MEASURES OF PROTECTION FROM UNAUTHORIZED DISCLOSURE
AS REQUIRED FOR OTHER MEDIA CONTAINING CLASSIFIED INFORMATION
OF THE SAME LEVEL.
5-601. PRODUCTION. CLASSIFIED VIDEO TAPES SHALL BE
PRODUCED ONLY IN AREAS THAT HAVE BEEN APPROVED FOR THE
HANDLING AND DISCUSSION OF AT LEAST THE LEVEL OF CLASSIFIED
INFORMATION INVOLVED IN THE PRODUCTION. AS AN EXCEPTION
TO THIS, TOTALLY UNCLASSIFIED SEGMENTS OF A CLASSIFIED
VIDEO TAPE MAY BE FILMED OUTSIDE OF A SECURE AREA.
EDITING AND COMBINING SUCH SEGMENTS WITH CLASSIFIED
SEGMENTS OF THE PRODUCTION SHALL BE DONE IN A SECURE
AREA.
5-601.1. ALL PERSONNEL ASSOCIATED WITH PRODUCING CLASSIFIED
SEGMENTS OF A CLASSIFIED VIDEO TAPE INCLUDING CAST,
CREW, TECHNICAL ADVISORS, OBSERVERS, AND ALL OTHERS
MUST BE CLEARED FOR ACCESS TO CLASSIFIED INFORMATION
OF AT LEAST THE LEVEL INVOLVED.
5-601.2. OUTTAKES, FILM CUTTINGS, AND OTHER SIMILAR
TEMPORARY MATERIALS ASSOCIATED WITH THE PRODUCTION OF
A CLASSIFIED VIDEO TAPE SHALL BE PROTECTED UNTIL DESTROYED
AS CLASSIFIED WASTE.
5-601.3. SHOOTING SCRIPTS AND OTHER PRODUCTION PAPERS
CONTAINING CLASSIFIED INFORMATION SHALL BE MARKED, SAFEGUARDED,
AND DESTROYED IN ACCORDANCE WITH THIS INSTRUCTION.
5-602. USE. CLASSIFIED VIDEO TAPES SHALL BE PLAYED
IN AREAS AND UNDER CONDITIONS THAT PROVIDE A LEVEL OF
SECURITY AT LEAST EQUAL TO THE CLASSIFICATION OF THE
VIDEO TAPE.
5-602.1. THE INDIVIDUAL(S) PRESENTING AND/OR OPERATING
THE VIDEO EQUIPMENT ARE RESPONSIBLE FOR ENSURING THAT
ALL PERSONNEL WITHIN VIEWING OR HEARING RANGE OF THE
PROGRAM IN PROGRESS HAVE THE PROPER SECURITY CLEARANCE
AND NEED TO KNOW. IF ADDITIONAL INDIVIDUALS COME WITHIN
HEARING OR VIEWING RANGE, THE PROGRAM SHALL BE TURNED
OFF UNTIL THE CLEARANCE AND NEED TO KNOW OF THE ADDITIONAL
INDIVIDUALS HAVE BEEN ESTABLISHED OR UNTIL THEY HAVE
LEFT THE AREA.
5-602.2. TELEPHONES SHALL NOT BE USED DURING THE PLAYBACK
OF A CLASSIFIED VIDEO TAPE. IF THE TELEPHONE IS USED,
THE PLAYBACK SHALL BE STOPPED (I.E., DO NOT JUST TURN
THE VOLUME DOWN).
5-603. SECURITY OF EQUIPMENT. VIDEO RECORDING OR
PLAYBACK EQUIPMENT, INCLUDING PURCHASED, LOANED, OR
OTHERWISE ACQUIRED EQUIPMENT SHALL NOT BE USED FOR RECORDING
OR PLAYING BACK CLASSIFIED VIDEO TAPE UNLESS PSD HAS
CLEARED THAT PARTICULAR EQUIPMENT AS MEETING NACSIM
5100A CRITERIA.
5-604. MARKINGS
5-604.1. CLASSIFIED VIDEO TAPES SHALL BE MARKED AS
PRESCRIBED BY PARAGRAPH 4-302.3., ABOVE, TO INCLUDE
ANY NECESSARY CAVEATS OR DISSEMINATION CONTROL MARKINGS.
5-604.2. VIDEO TAPE REELS, VIDEOCASSETTES, AND VIDEOCASSETTE
BOXES SHALL BE MARKED TO SHOW THE TITLE, CLASSIFICATION,
CAVEATS, AND CONTROL MARKINGS APPLICABLE TO THE VIDEO
TAPE THEY CONTAIN. FOR TOP SECRET INFORMATION "COPY
OF COPIES" SHALL BE SHOWN. THE VIDEOTAPE REEL OR VIDEOCASSETTE
SHALL BEAR THE DOWNGRADING (IF APPLICABLE) MARKINGS.
5-605. ERASURE AND RECORDING OVER
5-605.1. ERASURE OF A VIDEO TAPE SHALL BE ACCOMPLISHED
BY RUNNING THE TAPE THROUGH A RECORDING DEVICE WITH
THE DEVICE IN THE RECORD MODE AND WITH THE VIDEO AND
AUDIO INPUTS DISCONNECTED. THE ENTIRE LENGTH OF THE
VIDEO TAPE SHALL BE RUN THROUGH, REGARDLESS OF ANY ASSUMPTION
THAT ONLY A PORTION OF THE TAPE CONTAINS CLASSIFIED
INFORMATION. ERASING OR RECORDING OVER A VIDEO TAPE
DOES NOT PROVIDE ENSURANCE THAT PREVIOUSLY RECORDED
INFORMATION IS NOT TECHNICALLY RECOVERABLE. ERASED
TAPES SHALL CONTINUE TO BE PROTECTED IN THE MANNER REQUIRED
FOR THE CLASSIFICATION LEVEL OF PREVIOUSLY RECORDED
INFORMATION UNTIL THEY ARE DESTROYED IN ACCORDANCE WITH
SUBSECTION 5-607., BELOW.
5-605.1.1. VIDEOTAPE REELS, VIDEO CASSETTES AND REEL
AND/OR CASSETTE BOXES CONTAINING ERASED TAPE SHALL BE
MARKED AS FOLLOWS: "ERASED ON (DATE). CONTAINS PREVIOUSLY
RECORDED (CLASSIFICATION AND/OR CAVEAT CONTROL MARKING)
MATERIAL."
5-605.1.2. FOR ACCOUNTABLE MATERIAL, LOGS OR REGISTERS
SHALL BE ANNOTATED "ERASED ON (DATE)." THESE RECORDS
SHALL BE MAINTAINED AS ACTIVE RECORDS UNTIL THE TAPE
IS RECORDED OVER, TRANSFERRED OR DESTROYED. AT THE
TIME OF SUCH AN EVENT, THE RECORD OF ACCOUNTABILITY
SHALL BE ANNOTATED WITH THE CHANGE STATUS OF THE TAPE
AND PLACED IN THE INACTIVE FILE.
5-605.2. ERASED VIDEO TAPES MAY BE USED FOR THE RECORDING
OF NEW MATERIAL OF THE SAME OR HIGHER CLASSIFICATION
AS THE ERASED MATERIAL. THE "ERASED ON (DATE)....."
MARKING SHALL BE REMOVED AND THE REEL, CASSETTE, AND
BOX MARKED IN ACCORDANCE WITH PARAGRAPH 5-604., ABOVE.
5-606. DECLASSIFICATION. VIDEO TAPES MAY BE REGRADED
OR DECLASSIFIED BASED UPON A LOSS OF SENSITIVITY OF
THE INFORMATION, AS PROVIDED FOR IN CHAPTER 3 OF THIS
INSTRUCTION. IF A VIDEO TAPE IS REGRADED OR DECLASSIFIED,
THE NOTIFICATION ACTIONS REQUIRED BY SUBSECTION 3-600.
AND THE REMARKING ACTIONS REQUIRED BY SUBSECTION 4-400.
SHALL BE TAKEN. IN DETERMINING WHETHER A PARTICULAR
VIDEO TAPE MAY BE DECLASSIFIED, CONSIDERATION MUST BE
GIVEN TO PREVIOUSLY RECORDED INFORMATION (IF ANY) AND
TO THE INFORMATION CURRENTLY RECORDED ON THE TAPE.
5-607. DESTRUCTION. VIDEO TAPE HAS A USABLE LIFE
OF APPROXIMATELY 2000 TOTAL RECORDING AND/OR PLAYBACK
RUNS. TO KEEP COSTS DOWN, PHYSICAL DESTRUCTION OF
VIDEO TAPES SHOULD OCCUR ONLY WHEN THE TAPE IS UNSERVICEABLE
DUE TO DAMAGE, WEAR, OR DUE TO EMERGENCY DESTRUCTION
SITUATIONS. DESTRUCTION OF DAMAGED TAPES AND OUTTAKES
SHALL BE ACCOMPLISHED BY REMOVING THE VIDEO TAPE FROM
THE REEL OR CASSETTE AND PLACING THE TAPE INTO A BURN
BAG (VIDEO TAPE SHOULD BE MIXED WITH OTHER CLASSIFIED
WASTE). THE BURN BAG IS DISPOSED WITH BURN BAGS CONTAINING
CONVENTIONAL CLASSIFIED WASTE. ONCE THE REEL OR CASSETTE
IS DIVESTED OF ALL LABELS AND/OR MARKINGS INDICATION
PREVIOUS USE OR CLASSIFICATION THEY MAY BE DISPOSED
OF AS UNCLASSIFIED TRASH.
C6. CHAPTER 6
COMPROMISE OF CLASSIFIED INFORMATION
6-100. Policy. Compromise of classified information
presents a threat to the national security. Once a
compromise is known to have occurred, the seriousness
of damage to U.S. interests must be determined and appropriate
measures taken to negate or minimize the adverse effect
of such compromise. When possible, action also should
be taken to regain custody of the documents or material
that were compromised. In all cases, however, appropriate
action must be taken to identify the source and reason
for the compromise and remedial action taken to ensure
further compromises do not occur. The provisions of
DoD Instruction 5240.4 and DoD Directive 5210.50 (references
(oo) and (pp)) apply to compromises covered by this
Chapter.
6-101. Cryptographic and Sensitive Compartmented Information
6-101.1. The procedures for handling compromises of
cryptographic information are set forth in NACSI 4006
(reference (kkk)) and implementing instructions.
6-101.2. The procedures for handling compromises of
SCI information are set forth in DoD TS-5105.21-M-2
(reference (ggg)) and DoD C-5105.21-M-1 (reference (hhh)).
6-101.3. REPORTS OF SUSPECTED OR COMPROMISED CRYPTOGRAPHIC
AND SENSITIVE COMPARTMENTED INFORMATION SHALL BE COORDINATED
WITH THE DIRECTOR, PSD.
6-102. Responsibility of Discoverer
6-102.1. Any person who has knowledge of the loss or
possible compromise of classified information shall
immediately report such fact to the security manager
of the person's activity (see subsection 13-304.) or
to the commanding officer or head of the activity in
the security manager's absence.
6-102.2. Any person who discovers classified information
out of proper control shall take custody of such information
and safeguard it in an appropriate manner, and shall
notify immediately an appropriate security authority.
6-102.3. HEADS OF OSD COMPONENTS SHALL REPORT TO PSD,
WHS, COMPROMISES OR VIOLATIONS DISCOVERED WITHIN THEIR
OFFICES AND IN THE MEDIA THAT INVOLVE CLASSIFIED INFORMATION
OR PROJECTS FOR WHICH THEY HAVE PRIMARY RESPONSIBILITY.
FAILURE TO REPORT THE POSSIBLE COMPROMISE OF VIOLATION
SHALL BE CONSIDERED A VIOLATION OF SECURITY.
6-102.4. THE DISCOVERER OF AN ACTUAL OR POSSIBLE COMPROMISE
OR VIOLATION SHALL:
6-102.4.1. REPORT THE INCIDENT IMMEDIATELY TO THE SECURITY
MANAGER OF THE OSD COMPONENT CONCERNED OR TO PSD.
6-102.4.2. PLACE HIS OR HER INITIALS, THE DATE, AND
THE TIME OF DISCOVERY ON THE PAGE OF THE UNSECURED CLASSIFIED
MATERIAL AND SUBMIT IT TO PSD.
6-103. Preliminary Inquiry. The immediate commander,
supervisor, security manager, or other authority shall
initiate a preliminary inquiry to determine the circumstances
surrounding the loss or possible compromise of classified
information. The preliminary inquiry shall establish
one of the following:
6-103.1. That a loss or compromise of classified information
did not occur;
6-103.2. That a loss or compromise of classified information
did occur but the compromise reasonably could not be
expected to cause damage to the national security.
If, in such instances, the official finds no indication
of significant security weakness, the report of preliminary
inquiry will be sufficient to resolve the incident and,
when appropriate, support the administrative sanctions
under subsection 14-101.; or
6-103.3. That the loss or compromise of classified
information did occur and that the compromise reasonably
could be expected to cause damage to the national security
or that the probability of damage to the national security
cannot be discounted. Upon this determination, the
responsible official shall:
6-103.3.1. Report the circumstances of the compromise
to an appropriate authority as specified in DoD Component
instructions;
6-103.3.2. If the responsible official is the originator,
take the action prescribed in subsection 6-106.; and
6-103.3.3. If the responsible official is not the originator,
notify the originator of the known details of the compromise,
including identification of the classified information.
If the originator is unknown, notification will be
sent to the office specified in DoD Component instructions.
6-103.4. THE DIRECTOR, PSD, SHALL:
6-103.4.1. CONDUCT A PRELIMINARY INQUIRY TO DETERMINE
WHETHER A COMPROMISE OR VIOLATION DID OCCUR.
6-103.4.2. DIRECT THAT AN INVESTIGATION OF A COMPROMISE
OR VIOLATION BE CONDUCTED.
6-104. Investigation. If it is determined that further
investigation is warranted, such investigation will
include the following:
6-104.1. Identification of the source, date, and circumstances
of the compromise.
6-104.2. Complete description and classification of
each item of classified information compromised;
6-104.3. A thorough search for the classified information;
6-104.4. Identification of any person or procedure
responsible for the compromise. Any person so identified
shall be apprised of the nature and circumstances of
the compromise and be provided an opportunity to reply
to the violation charged. If such person does not
choose to make a statement, this fact shall be included
in the report of investigation;
6-104.5. An analysis and statement of the known or
probable damage to the national security that has resulted
or may result (see subsection 2-210.), and the cause
of the loss or compromise; or a statement that compromise
did not occur or that there is minimal risk of damage
to the national security;
6-104.6. An assessment of the possible advantage to
foreign powers resulting from the compromise; and
6-104.7. A compilation of the data in paragraphs 6-104.1.
through 6-104.6., above, in a report to the authority
ordering the investigation to include an assessment
of appropriate corrective, administrative, disciplinary,
or legal actions. (Also see subsection 14-104.).
6-104.8. THE DIRECTOR, PSD, SHALL INITIATE AN INVESTIGATION
BY TRANSMITTING A MEMORANDUM AND ATTACHED VIOLATION
REPORT TO THE SECURITY MANAGER OF THE OSD COMPONENT
CONCERNED.
6-104.9. HEADS OF OSD COMPONENTS SHALL:
6-104.9.1. APPOINT AN INVESTIGATING OFFICER TO CONDUCT
AN INVESTIGATION INTO THE CIRCUMSTANCES OF THE VIOLATION.
6-104.9.2. SUBMIT THE COMPLETED REPORT OF INVESTIGATION
TO PSD WITHIN 20 DAYS OF THE DATE OF THE MEMORANDUM
STARTING THE INVESTIGATION.
6-104.9.3. IMPOSE ADMINISTRATIVE SANCTIONS AS PRESCRIBED
IN THE REPORT OF INVESTIGATION.
6-104.9.4. NOTIFY THE ORIGINATOR OF THE CLASSIFIED
MATERIAL THAT IT WAS COMPROMISED OR VIOLATED.
6-104.10. THE INVESTIGATING OFFICER SHALL:
6-104.10.1. FIX RESPONSIBILITY FOR THE COMPROMISE OR
VIOLATION AND IDENTIFY THE RESPONSIBLE PERSON OR PERSONS.
RESPONSIBILITY FOR A COMPROMISE OR A VIOLATION ALWAYS
SHALL BE PLACED WITH A PERSON RATHER THAN WITH A POSITION
OR OFFICE. WHEN RESPONSIBILITY MAY NOT BE PLACED WITH
A SPECIFIC PERSON, THE IMMEDIATE SUPERVISOR OF THE OFFICE
WHERE THE INCIDENT OCCURRED SHALL BE HELD RESPONSIBLE
FOR THE VIOLATION.
6-104.10.2. OBTAIN A STATEMENT FROM THE PERSON OR PERSONS
RESPONSIBLE FOR THE COMPROMISE OR VIOLATION. IF THE
PERSON CHOOSES NOT TO MAKE A STATEMENT, THIS FACT SHALL
BE INCLUDED IN THE INVESTIGATION REPORT.
6-104.10.3. RECOMMEND THE APPLICABLE ADMINISTRATIVE
SANCTION AS PRESCRIBED IN CHAPTER 14, BELOW.
6-104.10.4. IF THE ORIGINATOR, EVALUATE THE COMPROMISED
OR VIOLATED INFORMATION AND DETERMINE WHETHER THE SPECIFIC
INFORMATION, OR PARTS THEREOF, SHALL BE MODIFIED, DECLASSIFIED,
OR DOWNGRADED. IF NOT THE ORIGINATOR, THE INVESTIGATING
OFFICER SHALL OBTAIN A WRITTEN DETERMINATION OF CLASSIFICATION
FROM THE ORIGINATOR.
6-104.10.5. PREPARE A REPORT OF INVESTIGATION USING
THE FORMAT IN FIGURE 9, BELOW.
6-105. Responsibility of Authority Ordering Investigation
6-105.1. The report of investigation shall be reviewed
to ensure compliance with this Regulation and instructions
issued by DoD Components.
THE DIRECTOR, PSD, SHALL:
6-105.1.1. REVIEW THE REPORT OF INVESTIGATION TO ENSURE
COMPLIANCE WITH THIS INSTRUCTION AND SUFFICIENCY OF
CORRECTIVE ACTION AND ADMINISTRATIVE SANCTIONS.
6-105.1.2. MAINTAIN A RECORD OF COMPROMISES OR VIOLATIONS
BY THE PERSON AND OSD COMPONENT CONCERNED, CONSISTING
OF THE TYPE, CLASSIFICATION, SUMMARY OF KNOWN FACTS
AND CIRCUMSTANCES, IDENTIFICATION OF PERSON OR PERSONS
INVOLVED, AND SANCTION ADMINISTERED. THIS RECORD SHALL
BE MAINTAINED FOR 2 YEARS AFTER REASSIGNMENT OR TERMINATION
OF THE VIOLATOR'S EMPLOYMENT.
6-105.1.3. MAINTAIN THE REPORTS OF INVESTIGATION OF
A COMPROMISE OR VIOLATION FOR 2 YEARS FROM THE DATE
OF THE REPORT.
6-105.2. The recommendations contained in the report
of investigation shall be reviewed to determine sufficiency
of remedial, administrative, disciplinary, or legal
action proposed and, if adequate, the report of investigation
shall be forwarded with recommendations through supervisory
channels. See subsections 14-101. and 14-102.
6-105.3. Whenever an action is contemplated against
any person believed responsible for the compromise of
classified information, damage assessments shall be
coordinated with the legal counsel of the DoD Component
where the individual responsible is assigned or employed.
Whenever a violation of criminal law appears to have
occurred and a criminal prosecution is contemplated,
the DoD Component responsible for the damage assessment
shall apprise the General Counsel, Department of Defense.
See subsection 14-104.
THE DIRECTOR, PSD, IN COORDINATION WITH THE CHIEF, PERSONNEL
SECURITY DIVISION, DIRECTORATE FOR PERSONNEL AND SECURITY,
WHS, SHALL INFORM THE DIRECTOR OF INFORMATION SECURITY,
ODUSD(P), OF A COMPROMISE OR VIOLATION THAT MEETS THE
CRITERIA CONTAINED IN PARAGRAPHS 14-104.1. THROUGH 14-104.3.,
BELOW.
6-106. Responsibility of Originator. The originator
or an official higher in the originator's supervisory
chain shall, upon receipt of notification of loss or
probable compromise of classified information, take
action as prescribed in subsection 2-210.
6-107. System of Control of Damage Assessments. Each
DoD Component shall establish a system of controls and
internal procedures to ensure that damage assessments
are conducted when required and that records are maintained
in a manner that facilitates their retrieval and use
within the Component.
6-108. Compromises Involving More Than One Agency
6-108.1. Whenever a compromise involves the classified
information or interests of more than one DoD Component
or other Agency, each such activity undertaking a damage
assessment shall advise the others of the circumstances
and findings that affect their information and interests.
Whenever a damage assessment incorporating the product
of two or more DoD Components or other Agencies is needed,
the affected activities shall agree upon the assignment
of responsibility for the assessment.
6-108.2. Whenever a compromise of U.S. classified information
is the result of actions taken by foreign nationals,
by foreign government officials, or by U.S. nationals
employed by international organizations, the activity
performing the damage assessment shall ensure, through
appropriate intergovernmental liaison channels, that
information pertinent to the assessment is obtained.
Whenever more than one activity is responsible for
the assessment, those activities shall coordinate the
request prior to transmittal through appropriate channels.
6-109. Espionage and Deliberate Compromise. Cases
of espionage and deliberate unauthorized disclosure
of classified information to the public shall be reported
in accordance with DoD Instruction 5240.4 and DoD Directive
5210.50 (references (oo) and (pp)) and implementing
issuances.
THE DIRECTOR, PSD, SHALL IN COORDINATION WITH CHIEF,
PERSONNEL SECURITY DIVISION, DIRECTORATE FOR PERSONNEL
AND SECURITY, WHS, SUBMIT A REPORT IN ACCORDANCE WITH
DOD DIRECTIVE 5210.50 (REFERENCE (PP)) AND DOD INSTRUCTION
5240.4 (REFERENCE (OO)) WHEN THE COMPROMISE OR VIOLATION
CONSTITUTES A VIOLATION OF THE CRIMINAL STATUTES OR
FEDERAL CRIMINAL LAWS.
6-110. Unauthorized Absentees. When an individual
who has had access to classified information is on unauthorized
absence, an inquiry as appropriate under the circumstances,
to include consideration of the length of absence and
the degree of sensitivity of the classified information
involved, shall be conducted to detect if there are
any indications of activities, behavior, or associations
that may be inimical to the interest of national security.
When such indications are detected, a report shall
be made to the DoD Component counterintelligence organization.
6-111. UNAUTHORIZED DISCLOSURE OF CLASSIFIED INFORMATION
TO THE PUBLIC
6-111.1. PERSONNEL SHALL REPORT INCIDENTS OF UNAUTHORIZED
APPEARANCES OF CLASSIFIED INFORMATION IN THE PUBLIC
MEDIA AND UNAUTHORIZED DISCLOSURES OF CLASSIFIED INFORMATION
TO A PERSON LIKELY TO RELEASE THE CLASSIFIED INFORMATION
TO THE PUBLIC, WHETHER OR NOT THE INFORMATION IS ACTUALLY
DISCLOSED TO THE PUBLIC, TO PSD. THIS APPLIES TO SUCH
SUSPECTED INCIDENTS.
6-111.2. THE DIRECTOR, PSD, SHALL:
6-111.2.1. EVALUATE REPORTS OF INCIDENTS IN CONSULTATION
WITH THE ASD(PA) AND OFFICIALS HAVING PRIMARY SECURITY
CLASSIFICATION JURISDICTION OVER THE INFORMATION CONCERNED;
6-111.2.2. IN CONSULTATION WITH CHIEF, PERSONNEL SECURITY
DIVISION, DIRECTORATE FOR PERSONNEL AND SECURITY, DETERMINE
WHETHER AN INVESTIGATION OF THE INCIDENT WOULD BE IN
THE INTEREST OF NATIONAL SECURITY; AND
6-111.2.3. REFER THE INCIDENT, WITH A RECOMMEDED COURSE
OF ACTION, TO THE DIRECTOR, WHS.
FIGURE 9. Report of Investigation Format
C7. CHAPTER 7
ACCESS, DISSEMINATION, AND ACCOUNTABILITY
C7.1. Section 1. ACCESS
7-100. Policy
7-100.1. Except as otherwise provided for in subsection
7-101., no person may have access to classified information
unless that person has been determined to be trustworthy
and unless access is essential to the accomplishment
of lawful and authorized Government purposes, that is,
the person has the appropriate security clearance and
a need-to-know. Further, cleared personnel may not
have access until they have been given an initial security
briefing (see subsection 10-102.). Procedures shall
be established by the head of each DoD Component to
prevent unnecessary access to classified information.
There shall be a demonstrable need for access to classified
information before a request for a personnel security
clearance can be initiated. The number of people cleared
and granted access to classified information shall be
maintained at the minimum number that is consistent
with operational requirements and needs. No one has
a right to have access to classified information solely
by virtue of rank or position. The final responsibility
for determining whether an individual's official duties
require possession of or access to any element or item
of classified information, and whether the individual
has been granted the appropriate security clearance
by proper authority, rests upon the individual who has
authorized possession, knowledge, or control of the
information and not upon the prospective recipient.
These principles are equally applicable if the prospective
recipient is a DoD Component, including commands and
activities, other Federal Agencies, DoD contractors,
foreign governments, and others.
7-100.2. Because of the extreme importance to the national
security of Top Secret information and information controlled
within approved Special Access Programs, employees shall
not be permitted to work alone in areas where such information
is in use or stored and accessible by those employees.
This general policy is an extra safeguarding measure
for the nation's most vital classified information and
it is not intended to cast doubt on the integrity of
DoD employees. The policy does not apply in those
situations where one employee with access is left alone
for brief periods during normal duty hours. When compelling
operational requirements indicate the need, DoD Component
heads may waive this requirement in specific, limited
cases. This waiver authority may be delegated to the
senior official (subsections 13-301. and 13-302.) of
the DoD Component who may redelegate the authority but
only if so authorized by the Head of the DoD Component.
(Any waiver should include provisions for periodically
ensuring the health and welfare of individuals left
alone in vaults or secure areas).
7-101. Access by Persons Outside the Executive Branch.
Classified information may be made available to individuals
or Agencies outside the Executive Branch provided that
such information is necessary for performance of a function
from which the Government will derive a benefit or advantage,
and that such release is not prohibited by the originating
Department or Agency. Heads of DoD Components shall
designate appropriate officials to determine, before
the release of classified information, the propriety
of such action in the interest of national security
and assurance of the recipient's trustworthiness and
need-to-know.
7-101.1. Congress. Access to classified information
or material by Congress, its committees, members, and
staff representatives shall be in accordance with DoD
Directive 5400.4 (reference (rr)). Any DoD employee
testifying before a congressional committee in executive
session in relation to a classified matter shall obtain
the assurance of the committee that individuals present
have a security clearance commensurate with the highest
classification of the information that may be discussed.
Members of Congress, by virtue of their elected positions,
are not investigated or cleared by the Department of
Defense.
7-101.1.1. NATIONAL SECURITY INFORMATION REQUESTED
BY CONGRESSIONAL COMMITTEE OR A PROFESSIONAL STAFF MEMBER
MAY BE FURNISHED WHEN NEEDED IN THE PERFORMANCE OF OFFICIAL
COMMITTEE FUNCTIONS. ALL REQUESTS FOR MATERIAL FROM
OSD COMPONENTS SHALL BE MADE THROUGH THE OFFICE OF THE
ASSISTANT SECRETARY OF DEFENSE, LEGISLATIVE AFFAIRS.
CLASSIFIED INFORMATION ORIGINATED IN AN AGENCY OTHER
THAN OSD, BUT IN CUSTODY OF OSD STAFF, SHALL NOT BE
RELEASED WITHOUT THE CONSENT OF THE ORIGINATING AGENCY.
ALL MATERIAL FURNISHED MUST BEAR CORRECT CLASSIFICATION;
I.E., DOWNGRADING OR DECLASSIFICATION MARKINGS. RECEIPTS
SHALL BE OBTAINED.
7-101.1.2. A PERSON PRESENTING ORAL TESTIMONY SHALL
ADVISE THE CONGRESSIONAL COMMITTEE OF THE CLASSIFICATION
AND THE NEED FOR PROTECTING THE NATIONAL SECURITY INFORMATION.
IF DEFENSE INFORMATION REQUESTED BY THE COMMITTEE
IS UNKNOWN TO A WITNESS AND THE WITNESS MUST FURNISH
IT LATER IN WRITING, THE MATERIAL MUST BEAR THE CORRECT
CLASSIFICATION AND DECLASSIFICATION MARKINGS. RECEIPTS
SHALL BE OBTAINED.
7-101.1.3. CLASSIFIED INFORMATION REQUESTED BY CONGRESSIONAL
COMMITTEE THROUGH A MEMBER OF THE COMMITTEE OR PROFESSIONAL
STAFF MEMBER MAY BE FURNISHED WHEN NEEDED IN THE PERFORMANCE
OF OFFICIAL COMMITTEE FUNCTIONS. CLASSIFIED SECURITY
INFORMATION ORIGINATED IN AN AGENCY OTHER THAN OSD,
BUT IN THE CUSTODY OF THE OSD, SHALL NOT BE RELEASED
WITHOUT THE CONSENT OF THE ORIGINATING AGENCY. ALL
MATERIAL FURNISHED MUST BEAR CORRECT CLASSIFICATION
AND DECLASSIFICATION MARKINGS. RECEIPTS SHALL BE OBTAINED.
7-101.2. Government Printing Office (GPO). Documents
and material of all classifications may be processed
by the GPO, which protects the information in accordance
with the DoD/GPO Security Agreement of February 20,
1981.
7-101.3. Representatives of the General Accounting
Office (GAO). Representatives of the GAO may be granted
access to classified information originated by and in
possession of the Department of Defense when such information
is relevant to the performance of the statutory responsibilities
of that office, as set forth in DoD Directive 7650.1
(reference (ss)). Officials of the GAO, as designated
in Appendix 2, are authorized to certify security clearances,
and the basis therefor. Certifications will be made
by these officials pursuant to arrangements with the
DoD Component concerned. Personal recognition or presentation
of official GAO credential cards are acceptable for
identification purposes.
7-101.4. Industrial, Educational, and Commercial Entities
7-101.4.1. Bidders, contractors, grantees, educational,
scientific or industrial organizations may have access
to classified information only when such access is essential
to a function that is necessary in the interest of the
national security, and the recipients are cleared in
accordance with DoD 5220.22-R (reference (j)).
7-101.4.2. Contractor employees whose duties do not
require access to classified information are not eligible
for personnel security clearance and cannot be investigated
under the DISP. In exceptional situations, when a
military command is vulnerable to sabotage and its mission
is of critical importance to national security, National
Agency Checks may be conducted on such individuals with
the approval of the DUSD(P).
7-101.5. Historical Researchers. Persons outside
the Executive Branch who are engaged in historical research
projects may be authorized access to classified information
provided that an authorized official within the DoD
Component with classification jurisdiction over the
information:
7-101.5.1. Makes a written determination that such
access is clearly consistent with the interests of national
security in view of the intended use of the material
to which access is granted by certifying that the requester
has been found to be trustworthy pursuant to paragraph
7-100.1.;
7-101.5.2. Limits such access to specific categories
of information over which that DoD Component has classification
jurisdiction and to any other category of information
for which the researcher obtains the written consent
of a DoD Component or non-DoD Department or Agency that
has classification jurisdiction over information contained
in or revealed by documents within the scope of the
proposed historical research;
7-101.5.3. Maintains custody of the classified material
at a DoD installation or activity or authorizes access
to documents in the custody of the NARS;
7-101.5.4. Obtains the researcher's agreement to safeguard
the information and to submit any notes and manuscript
for review by all DoD Components or non-DoD Departments
or Agencies with classification jurisdiction for a determination
that no classified information is contained therein
by execution of a statement entitled, "Conditions Governing
Access to Official Records for Historical Research Purposes";
and
7-101.5.5. Issues an authorization for access valid
for not more than 2 years from the date of issuance
that may be renewed under regulations of the issuing
DoD Component.
7-101.5.6. REQUESTS FOR ACCESS TO OSD CLASSIFIED INFORMATION
BY HISTORICAL RESEARCHERS SHALL BE SUBMITTED TO THE
RECORDS MANAGEMENT DIVISION, DIRECTORATE FOR CORRESPONDENCE
AND DIRECTIVES, WHS. SUCH REQUESTS SHALL BE APPROVED
OR DISAPPROVED BY THE DEPUTY ASSISTANT SECRETARY OF
DEFENSE (ADMINISTRATION) WHO SHALL MAKE THE DETERMINATION
WHETHER SUCH ACCESS CLEARLY IS CONSISTENT WITH THE INTEREST
OF NATIONAL SECURITY. OASD(PA) SHALL
ACCOMPLISH THE FINAL SECURITY REVIEW OF ANY MANUSCRIPT
PROPOSED FOR PUBLICATION.
7-101.6. Former Presidential Appointees. Persons
who previously occupied policy making positions to which
they were appointed by the President may not remove
classified information upon departure from office as
all such material must remain under the security control
of the U.S. Goverriment. Such persons may be authorized
access to classified information that they originated,
received, reviewed, signed, or that was addressed to
them while serving as such an appointee, provided that
an authorized official within the DoD Component with
classification jurisdiction for such information:
7-101.6.1. Makes a written determination that such
access is clearly consistent with the interests of national
security in view of the intended use of the material
to which access is granted and by certifying that the
requester has been found to be trustworthy pursuant
to paragraph 7-100.1.;
7-101.6.2. Limits such access to specific categories
of information over which that DoD Component has classification
jurisdiction and to any other category of information
for which the former appointee obtains the written consent
of a DoD Component or non-DoD Department or Agency that
has classification jurisdiction over information contained
in or revealed by documents with the scope of the proposed
access;
7-101.6.3. Retains custody of the classified material
at a DoD installation or activity or authorizes access
to documents in the custody of the National Archives
and Records Service; and
7-101.6.4. Obtains the former presidential appointee's
agreement to safeguard the information and to submit
any notes and manuscript for review by all DoD Components
or non-DoD Departments or Agencies with classification
jurisdiction for a determination that no classified
information is contained therein.
7-101.7. Judicial Proceedings. DoD Directive 5405.2
(reference (nnn)) governs the release of classified
information in litigation.
7-102. Access by Foreign Nationals, Foreign Governments,
and International Organizations
7-102.1. Classified information may be released to
foreign nationals, foreign governments, and international
organizations only when authorized under the provisions
of the National Disclosure Policy and DoD Directive
5230.11 (reference (tt)); and
7-102.2. Access to COMSEC information by foreign persons
and activities shall be in accordance with policy issuances
of the National Telecommunications and Information Systems
Security Committee (NTISSC).
7-103. Other Situations. When necessary in the interests
of national security, Heads of DoD Components, or their
single designee, may authorize access by persons outside
the Federal Government, other than those enumerated
in subsections 7-101. and 7-102.,to classified information
upon determining that the recipient is trustworthy for
the purpose of accomplishing a national security objective;
and that the recipient can and will safeguard the information
from unauthorized disclosure.
7-104. Access Required by Other Executive Branch Investigative
and Law Enforcement Agents
7-104.1. Normally, investigative agents of other Departments
or Agencies may obtain access to DoD information through
established liaison or investigative channels.
7-104.2. When the urgency or delicacy of a Federal
Bureau of Investigation (FBI), Drug Enforcement Administration
(DEA), or Secret Service investigation precludes use
of established liaison or investigative channels, FBI,
DEA, or Secret Service agents may obtain access to DoD
information as required. However, this information
shall be protected as required by its classification.
Before any public release of the information so obtained
the approval of the head of the activity or higher authority
shall be obtained.
7-105. Access by Visitors. Procedures shall be established
to control access to classified information by visitors.
(DoD Instruction 5230.20 (reference (fff)) provides
further guidance regarding foreign visitors.)
7-105.1. Except when a continuing, frequent working
relationship is established, through which current security
clearance and need-to-know are determined, DoD personnel
visiting other activities of the Department of Defense,
its contractors, and other Agencies shall provide advance
notification of the pending visit that establishes the
visitor's security clearance and the purpose of the
visit. Visit requests shall be signed by an official
other than the visitor who is in a position to verify
the visitor's security clearance.
7-105.2. Visit requests normally should include the
following:
7-105.2.1. Full name, date and place of birth, social
security number, and rank or grade of visitor;
7-105.2.2. Security clearance of the visitor;
7-105.2.3. Employing activity of the visitor;
7-105.2.4. Name and address of activity to be visited;
7-105.2.5. Date and duration of proposed visit;
7-105.2.6. Purpose of visit in sufficient detail to
establish need-to-know; and
7-105.2.7. Names of persons to be contacted.
7-105.3. Visit requests may remain valid for not more
than 1 year.
7-105.4. EACH OSD COMPONENT SECURITY MANAGER SHALL
INSTITUTE A FILE SYSTEM FOR VISIT REQUESTS FOR PERSONNEL
VISITING THE NATIONAL CAPITAL REGION. THE VISIT REQUEST
SHALL BE SENT TO THE OFFICE OF THE OSD COMPONENT THAT
SHALL SEE THE VISITOR(S).
7-105.5. OSD PERSONNEL VISITING OTHER ACTIVITIES OF
THE DEPARTMENT OF DEFENSE, ITS CONTRACTORS, AND OTHER
AGENCIES, SHALL COMPLY WITH THE REQUIREMENTS OF THIS
INSTRUCTION AND ADMINISTRATIVE INSTRUCTION NO. 23 (REFERENCE
(SSS)).
C7.2. Section 2. DISSEMINATION
7-200. Policy. DoD Components shall establish procedures
consistent with this Instruction for the dissemination
of classified material. The originating official or
activity may prescribe specific restrictions on dissemination
of classified information when necessary. (See subsection
4-505.)
7-201. Restraints on Special Access Requirements.
Special requirements with respect to access, distribution,
and protection of classified information shall require
prior approval in accordance with Chapter 12.
7-202. Information Originating in-a Non-DoD Department
or Agency. Except under rules established by the Secretary
of Defense, or as provided by Section 102 of the National
Security Act (reference (uu)), classified information
originating in a Department or Agency other than Department
of Defense shall not be disseminated outside the Department
of Defense without the consent of the originating Department
or Agency.
7-203. Foreign Intelligence Information. Dissemination
of foreign intelligence information shall be in accordance
with the provisions of DoD Instruction 5230.22 (reference
(z)) and DoD Directive C-5230.23 (reference (eee)).
7-204. Restricted Data and Formerly Restricted Data.
Information bearing the warning notices prescribed
in subsection 4-501. and 4-502. shall not be disseminated
outside authorized channels without the consent of the
originator. Access to and dissemination of Restricted
Data by DoD personnel shall be subject to DoD Directive
5210.2 (reference (dd)).
7-205. NATO Information. Classified information originated
by NATO shall be safeguarded in accordance with DoD
Directive 5100.55 (reference (ee)).
7-206. COMSEC Information. COMSEC information shall
be disseminated in accordance with NACSI 4005 (reference
(aa)) and implementing instructions.
7-207. Dissemination of Top Secret Information
7-207.1. Top Secret information, originated within
the Department of Defense, may not be disseminated outside
the Department of Defense without the consent of the
originating DoD Component, or higher authority.
7-207.2. Top Secret information, whenever segregable
from classified portions bearing lower classifications,
shall be distributed separately.
7-207.3. Standing distribution requirements for Top
Secret information and materials, such as distribution
lists, shall be reviewed at least annually to verify
the recipients' need-to-know.
7-207.4. THE OSD COMPONENT TOP SECRET CONTROL OFFICER
SHALL COORDINATE THE DISSEMINATION OF EACH DOCUMENT
WITHIN OSD OFFICES.
7-208. Dissemination of Secret and Confidential Information
7-208.1. Secret and Confidential information, originated
within the Department of Defense, may be disseminated
within the Executive Branch, unless prohibited by the
originator. (See subsection 4-505.)
7-208.2. Standing distribution requirements for Secret
and Confidential information and materials, such as
distribution lists, shall be reviewed at least annually
to verify the recipients' need-to-know.
7-209. Code Words, Nicknames, and Exercise Terms.
The use of code words, nicknames, and exercise terms
is subject to the provisions of Chapter 12 and Appendix
3.
7-210. Scientific and Technical Meetings. Use of
classified information in scientific and technical meetings
is subject to the provisions of DoD Directive 5200.12
(reference (nn)).
C7.3. Section 3. ACCOUNTABILITY AND CONTROL
7-300. Top Secret Information. DoD activities shall
establish the following procedures:
7-300.1. Control Officers. Top Secret Control Officers
(TSCOs) and alternates shall be designated within offices
to be responsible for receiving, dispatching, and maintaining
accountability registers of Top Secret documents.
Such individuals shall be selected on the basis of experience
and reliability, and shall have Top Secret security
clearances. TSCOs need not be appointed in those instances
where there is no likelihood of processing Top Secret
documentation.
7-300.1.1. THE HEAD OF THE OSD COMPONENT SHALL APPOINT
A PRIMARY TOP SECRET CONTROL OFFICER (TSCO) FOR THE
OSD COMPONENT AND AN ALTERNATE FOR THE PRIMARY ON SD
FORM 507, "TOP SECRET CONTROL OFFICER DESIGNATION FORM."
THE ORIGINAL COPY SHALL BE FURNISHED TO PSD.
7-300.1.2. THE TSCO CUSTODIAN MAY BE APPOINTED FOR
EACH ELEMENT OR OFFICE WITHIN OSD COMPONENTS TO APPROPRIATELY
CONTROL DOCUMENTS. THE ORIGINAL COPY SHALL BE FURNISHED
TO THE OSD COMPONENT, TSCO.
7-300.2. Accountability
7-300.2.1. Top Secret Registers. Top Secret accountability
registers shall be maintained by each office originating
or receiving Top Secret information. Such registers
shall be retained for 2 years and shall, as a minimum,
reflect the following:
7-300.2.1.1. Sufficient information to identify adequately
the Top Secret document or material to include the title
or appropriate short title, date of the document, and
identification of the originator;
7-300.2.1.2. The date the document or material was
received;
7-300.2.1.3. The number of copies received or later
reproduced; and
7-300.2.1.4. The disposition of the Top Secret document
or material and all copies of such documents or material.
7-300.2.2. Serialization and Copy Numbering. Top
Secret documents and material shall be numbered serially.
In addition, each Top Secret document shall be marked
to indicate its copy number, for example, copy -1- of
-2- copies.
7-300.2.3. Disclosure Records. Each Top Secret document
or item of material shall have appended to it a Top
Secret disclosure record. The name and title of all
individuals, including stenographic and clerical personnel
to whom information in such documents and materials
has been disclosed, and the date of such disclosure,
shall be recorded thereon. Disclosures to individuals
who may have had access to containers in which Top Secret
information is stored, or who regularly handle a large
volume of such information need not be so recorded.
Such individuals, when identified on a roster, are
deemed to have had access to such information. Disclosure
records shall be retained for 2 years after the documents
or materials are transferred, downgraded, or destroyed.
A TOP SECRET INFORMATION COVER SHEET (SD FORM 194)
SHALL BE ATTACHED AND REMAIN WITH THE TOP SECRET MATERIAL
OTHER THAN NATIONAL SECURITY COUNCIL (NSC) INFORMATION.
SD FORM 194 SHALL BE UPDATED WHEN AN INDIVIDUAL GAINS
ACCESS TO THE DOCUMENTS AND SHALL INCLUDE THE DATES
OF SUCH ACCESS. THE PROPER NSC COVER SHEET OF THE
DD FORM 2275 SERIES SHALL BE USED WITH NSC INFORMATION.
7-300.3. Inventories. All Top Secret documents and
material shall be inventoried at least once annually.
The inventory shall reconcile the Top Secret accountability
register with the documents or material on hand. At
such time, each document or material shall be examined
for completeness. DoD Component senior officials (subsections
13-301. and 13-302.) may authorize the annual inventory
of Top Secret documents and material in repositories,
libraries, or activities that store large volumes of
Top Secret documents or material to be limited to documents
and material to which access has been granted within
the past year, and 10 percent of the remaining inventory.
If a storage system contains large volumes of information
and security measures are adequate to prevent access
by unauthorized persons, a request for waiver of the
annual inventory requirement accompanied by full justification
may be submitted to the DUSD(P).
THE OSD COMPONENT TSCO SHALL FORWARD THE COMPLETED ANNUAL
INVENTORY CERTIFICATE TO PSD NO LATER THAN JULY 30 OF
EACH YEAR. THIS ANNUAL CERTIFICATE SHALL LIST ANY
DOCUMENT THAT MIGHT NOT BE LOCATED.
7-300.4. Retention. Top Secret information shall
be retained only to the extent necessary to satisfy
current requirements. Custodians shall destroy nonrecord
copies of Top Secret documents when no longer needed.
Record copies of documents that cannot be destroyed
shall be reevaluated and, when appropriate, downgraded,
declassified, or retired to designated records centers.
7-300.5. Receipts. Top Secret documents and material
will be accounted for by a continuous chain of receipts.
Receipts shall be maintained for 2 years.
RECEIPT FOR CLASSIFIED MATERIAL (SD FORM 120) IS THE
ONLY FORM APPROVED FOR TRANSMITTING OR TRANSFERRING
CLASSIFIED ACCOUNTABLE MATERIALS BY OSD COMPONENTS.
(SEE FIGURE 10, BELOW.) A SUPPLEMENTAL RECEIPT,
SUCH AS SD FORM 396, "CLASSIFIED DOCUMENT RECORD AND
RECEIPT," MAY BE USED WITH THE SD FORM 120 WHEN TRANSMISSION
INVOLVES MULTIPLE DOCUMENTS.
7-301. Secret Information. Administrative procedures
shall be established by each DoD Component for controlling
Secret information and material originated or received
by an activity; distributed or routed to a sub-element
of such activity; and disposed of by the activity by
transfer of custody or destruction. The control system
for Secret information must be determined by a practical
balance of security and operating efficiency and must
meet the following minimum requirements:
7-301.1. It must provide a means to ensure that Secret
material sent outside a major subordinate element (the
activity) of the DoD Component concerned has been delivered
to the intended recipient. Such delivery may be presumed
where the material is sent electronically over secure
voice or data circuits. Ensuring physical delivery
may be accomplished by use of a receipt as provided
in paragraph 8-202.2. or through hand-to-hand transfer
when the receiving party acknowledges responsibility
for the Secret material.
7-301.2. It must provide a record of receipt and dispatch
of Secret material by each major subordinate element.
The dispatch record requirement may be satisfied when
the distribution of Secret material is evident from
addressees or distribution lists for classified documentation.
Records of receipt and dispatch are required regardless
of the means used to ensure delivery of the material
(see paragraph 7-301.1., above).
7-301.3. Records of receipt and dispatch for Secret
material shall be retained for a minimum of 2 years.
7-302. Confidential Information. Administrative controls
shall be established to protect Confidential information
received, originated, transmitted, or stored by an activity.
7-303. Receipt of Classified Material. Procedures
shall be developed within DoD activities to protect
incoming mail, bulk shipments, and items delivered by
messenger until a determination is made whether classified
information is contained therein. Screening points
shall be established to limit access to classified information
to cleared personnel.
7-304. Working Papers
7-304.1. Working papers are documents and material
accumulated or created in the preparation of finished
documents and material. Working papers containing
classified information shall be:
7-304.1.1. Dated when created;
7-304.1.2. Marked with the highest classification of
any information contained therein;
7-304.1.3. Protected in accordance with the assigned
classification;
7-304.1.4. Destroyed when no longer needed; and
7-304.1.5. Accounted for, controlled, and marked in
the manner prescribed for a finished document of the
same classification when:
7-304.1.5.1. Released by the originator outside the
activity or transmitted electrically or through message
center channels within the activity;
7-304.1.5.2. Retained more than 90 days from date of
origin;
7-304.1.5.3. Filed permanently; or
7-304.1.5.4. Top Secret information is contained therein.
7-304.2. Heads of DoD Components, or their single designees,
may approve waivers of accountability, control, and
marking requirements for working papers containing Top
Secret information for activities within their Components
on a case-by-case basis provided a determination is
made that:
7-304.2.1. The conditions set forth in subparagraphs
7-304.1.5.1., 7-304.1.5.2., or 7-304.1.5.3., above,
will remain in effect;
7-304.2.2. The activity seeking a waiver routinely
handles large volumes of Top Secret working papers and
compliance with prescribed accountability, control,
and marking requirements would have an adverse affect
on the activity's mission or operations; and
7-304.2.3. Access to areas where Top Secret working
papers are handled is restricted to personnel who have
an appropriate level of clearance, and other safeguarding
measures are adequate to preclude the possibility of
unauthorized disclosure.
7-304.3. In all cases in which a waiver is granted
under 7-304.2., above, the DUSD(P) shall be notified.
7-305. Restraint on Reproduction. Except for the
controlled initial distribution of information processed
or received electrically or as provided by subsections
1-205. and 3-602., portions of documents and materials
that contain Top Secret information shall not be reproduced
without the consent of the originator or higher authority.
Any stated prohibition against reproduction shall
be observed strictly. (See subsection 4-505.) To
the extent possible, DoD Components shall establish
classified reproduction facilities where only designated
personnel can reproduce classified materials and institute
key control systems for reproduction areas. Also,
when possible, two people shall be involved in the reproduction
process to help assure positive control and safeguarding
of all copies. The following additional measures apply
to reproduction equipment and to the reproduction of
classified information:
7-305.1. Copying of documents containing classified
information shall be minimized;
7-305.2. Officials authorized to approve the reproduction
of Top Secret and Secret information shall be designated
by position title and shall review the need for reproduction
of classified documents and material with a view toward
minimizing reproduction.
7-305.3. Specific reproduction equipment shall be designated
for the reproduction of classified information. Rules
for reproduction of classified information shall be
posted on or near the designated equipment;
7-305.4. Notices prohibiting reproduction of classified
information shall be posted on equipment used only for
the reproduction of unclassified information;
7-305.5. DoD Components shall ensure that equipment
used for reproduction of classified information does
not leave latent images in the equipment or on other
material;
7-305.6. All copies of classified documents reproduced
for any purpose including those incorporated in a working
paper are subject to the same controls prescribed for
the document from which the reproduction is made; and
7-305.7. Records shall be maintained for 2 years to
show the number and distribution of reproduced copies
of all Top Secret documents, of all classified documents
covered by special access programs distributed outside
the originating Agency, and of all Secret and Confidential
documents that are marked with special dissemination
and reproduction limitations. (See subsection 4-505.)
FIGURE 10. SD Form 120, "Receipt for Classified Material"
C8. CHAPTER 8
TRANSMISSION
C8.1. Section 1. METHODS OF TRANSMISSION OR TRANSPORTATION
8-100. Policy. Classified information may be transmitted
or transported only as specified in this Chapter.
8-101. Top Secret Information. Transmission of Top
Secret information shall be effected only by:
8-101.1. The Armed Forces Courier Service (ARFCOS);
8-101.2. Authorized DoD Component Courier Services;
8-101.3. If appropriate, the Department of State Courier
System;
8-101.4. Cleared and designated U.S. Military personnel
and Government civilian employees traveling on a conveyance
owned, controlled, or chartered by the U.S. Government
or DoD contractors;
8-101.5. Cleared and designated U.S. Military personnel
and Government civilian employees by surface transportation;
8-101.6. Cleared and designated U.S. Military personnel
and Government civilian employees on scheduled commercial
passenger aircraft within and between the United States,
its Territories, and Canada, when approved in accordance
with paragraph 8-303.1.
8-101.7. Cleared and designated U.S. Military personnel
and Government civilian employees on scheduled commercial
passenger aircraft on flights outside the United States,
its territories, and Canada, when approved in accordance
with paragraph 8-303.2.
8-101.8. Cleared and designated DoD contractor employees
within and between the United States and its Territories
provided that the transmission has been authorized in
writing by the appropriate contracting officer or his
designated representative, and the designated employees
have been briefed on their responsibilities as couriers
or escorts for the protection of Top Secret material.
Complete guidance for Top Secret transmission is specified
in DoD 5220.22-R and DoD 5220.22-M (references (j)and
(k)).
8-101.9. A cryptographic system authorized by the Director,
NSA, or via a protected distribution system designed
and installed to meet the standards included in the
National COMSEC and Emanations Security (EMSEC) Issuance
System.
8-101.10. DESIGNATION OF OSD PERSONNEL FOR TRANSMITTING
OR ESCORTING TOP SECRET INFORMATION SHALL BE MADE BY
THE OSD COMPONENT SECURITY MANAGER BASED ON THE DESIGNATED
INDIVIDUAL'S POSSESSION OF A FINAL TOP SECRET SECURITY
CLEARANCE; KNOWLEDGE OF PERTINENT SECURITY INSTRUCTIONS;
AND THE MATURITY, JUDGMENT, AND RELIABILITY OF THE DESIGNATED
INDIVIDUAL.
8-102. Secret Information. Transmission of Secret
information may be effected by:
8-102.1. Any of the means approved for the transmission
of Top Secret information except that Secret information
may be introduced into the ARFCOS only when the control
of such information cannot be otherwise maintained in
U.S. custody. This restriction does not apply to SCI
and COMSEC information;
8-102.2. Appropriately cleared contractor employees
within and between the United States and its Territories
provided that:
8-102.2.1. The designated employees have been briefed
in their responsibilities as couriers or escorts for
protecting Secret information;
8-102.2.2. The classified information remains under
the constant custody and protection of the contractor
personnel at all times; and
8-102.2.3. The transmission otherwise meets the requirements
specified in DoD 5220.22-R and DoD 5220.22-M (references
(j)and (k)). In other areas, appropriately cleared
DoD contractor employees may transmit classified material
only as prescribed by references (j)and (k)).
8-102.3. U.S. Postal Service registered mail within
and between the United States and its Territories;
8-102.4. U.S. Postal Service registered mail through
Army, Navy, or Air Force Postal Service facilities outside
the United States and its Territories, provided that
the information does not at any time pass out of U.S.
citizen control and does not pass through a foreign
postal system or any foreign inspection;
8-102.5. U.S. Postal Service and Canadian registered
mail with registered mail receipt between U.S. Government
and Canadian Government installations in the United
States and Canada;
8-102.6. Carriers authorized to transport Secret information
by way of a Protective Security Service (PSS) under
the DoD Industrial Security Program. This method is
authorized only within the U.S. boundaries and only
when the size, bulk, weight, and nature of the shipment,
or escort considerations make the use of other methods
impractical. Routings for these shipments will be
obtained from the Military Traffic Management Command
(MTMC);
8-102.7. The following carriers under appropriate escort:
Government and Government contract vehicles including
aircraft, ships of the U.S. Navy, civil service-operated
U.S. Naval ships, and ships of U.S. registry. Appropriately
cleared operators of vehicles, officers of ships or
pilots of aircraft who are U.S. citizens may be designated
as escorts provided the control of the carrier is maintained
on a 24-hour basis. The escort shall protect the shipment
at all times, through personal observation or authorized
storage to prevent inspection, tampering, pilferage,
or unauthorized access. However, observation of the
shipment is not required during the period it is stored
in an aircraft or ship in connection with flight or
sea transit, provided the shipment is loaded into a
compartment that is not accessible to any unauthorized
persons or in a specialized secure, safe-like container
that is:
8-102.7.1. Constructed of solid building material that
provides a substantial resistance to forced entry;
8-102.7.2. Constructed in a manner that precludes surreptitious
entry through disassembly or other means, and that attempts
at surreptitious entry would be readily discernible
through physical evidence of tampering; and
8-102.7.3. Secured by a numbered cable seal lock affixed
to a substantial metal hasp in a manner that precludes
surreptitious removal and provides substantial resistance
to forced entry.
8-102.8. Use of specialized containers aboard aircraft
requires that:
8-102.8.1. Appropriately cleared personnel maintain
observation of the material as it is being loaded aboard
the aircraft and that observation of the aircraft continues
until it is airborne;
8-102.8.2. Observation by appropriately cleared personnel
is maintained at the destination as the material is
being off-loaded and at any intermediate stops. Observation
will be continuous until custody of the material is
assumed by appropriately cleared personnel.
8-103. Confidential Information. Transmission of
Confidential information may be effected by:
8-103.1. Means approved for the transmission of Secret
information. However, U.S. Postal Service registered
mail shall be used for Confidential only as indicated
in paragraph 8-103.2., below;
8-103.2. U.S. Postal Service registered mail for:
8-103.2.1. Confidential information of NATO;
8-103.2.2. Other Confidential material to and from
FPO or APO addressees located outside the United States
and its Territories;
8-103.2.3. Other addressees when the originator is
uncertain that their location is within U.S. boundaries.
Use of return postal receipts on a case-by-case basis
is authorized.
8-103.3. U.S. Postal Service first class mail between
DoD Component locations anywhere in the United States
and its Territories. However, the outer envelope or
wrappers of such Confidential material shall be endorsed
"POSTMASTER: Address Correction Requested/Do Not Forward."
Certified or, if appropriate, registered mail shall
be used for material directed to DoD contractors and
to non-DoD Agencies of the Executive Branch. U.S.
Postal Service Express Mail Service may be used between
DoD Component locations, between DoD contractors, and
between DoD Components and DoD contractors.
8-103.4. Within U.S. boundaries, commercial carriers
that provide a Constant Surveillance Service (CSS).
Information concerning commercial carriers that provide
CSS may be obtained from the MTMC.
8-103.5. In the custody of commanders or masters of
ships of U.S. registry who are U.S. citizens. Confidential
information shipped on ships of U.S. registry may not
pass out of U.S. Government control. The commanders
or masters must give and receive classified information
receipts and agree to:
8-103.5.1. Deny access to the Confidential material
by unauthorized persons, including customs inspectors,
with the understanding that Confidential cargo that
would be subject to customs inspection will not be unloaded;
and
8-103.5.2. Maintain control of the cargo until a receipt
is obtained from an authorized representative of the
consignee.
8-103.6. Such alternative or additional methods of
transmission as the Head of any DoD Component may establish
by rule or regulation, provided those methods afford
at least an equal degree of security.
8-104. Transmission of Classified Material to Foreign
Governments. After a determination by designated officials
pursuant to DoD Directive 5230.11 (reference tt)) that
classified information or material may be released to
a foreign government, the material shall be transferred
between authorized representatives of each government
in compliance with the provisions of this Chapter.
To assure compliance, each contract, agreement, or
other arrangement that involves the release of classified
material to foreign entities shall either contain transmission
instructions or require that a separate transportation
plan be approved by the appropriate DoD security and
transportation officials prior to release of the material.
(See DoD TS-5105.21-M-3 (reference (iii)) for guidance
regarding SCI.)
8-104.1. Classified material to be released directly
to a foreign government representative shall be delivered
or transmitted only to a person who has been designated
in writing by the recipient government as its officer,
agent, or employee (hereafter referred to as the designated
representative). Foreign governments may designate
a freight forwarder as their agent. This written designation
shall contain assurances that such person has a security
clearance at the appropriate level and that the person
will assume full security responsibility for the material
on behalf of the foreign government. The recipient
will be required to execute a receipt for the material,
regardless of the level of classification.
8-104.2. Classified material that is suitable for transfer
by courier or postal service, and which cannot be transferred
directly to a foreign government's designated representative
as specified in paragraph 8-104.1., above, shall be
transmitted by one of the methods specified in subsection
8-101., 8-102., or 8-103. for the designated classification
level to:
8-104.2.1. An embassy, consulate, or other official
agency of the recipient government having extraterritorial
status in the United States, or to
8-104.2.2. A U.S. Embassy or a U.S. Military organization
in the recipient country or in a third-party country,
if applicable, for delivery to a designated representative
of the intended recipient government. In either case,
the assurance in paragraph 8-104.2.1., above, and a
receipt, must be obtained.
8-104.2.3. The shipment of classified material as freight
via truck, rail, aircraft, or ship shall be in compliance
with the following:
8-104.2.3.1. Shipments Resulting from Foreign Military
Sales (FMS): DoD officials authorized to approve a
FMS transaction that involves the delivery of U.S. classified
material to a foreign purchaser shall, at the outset
of negotiation or consideration of proposal, consult
with DoD transportation authorities (Military Traffic
Management Command, Military Sealift Command, Military
Airlift Command, or other, as appropriate) to determine
whether secure shipment from the CONUS point of origin
to the ultimate foreign destination is feasible. Normally,
the United States will use the Defense Transportation
System (DTS) to deliver classified material to the recipient
government. If, in the course of FMS case processing,
the foreign purchaser proposes to take delivery and
custody of the classified material in the United States
and use it own facilities and transportation for onward
shipment to its territory, the foreign purchaser or
its designated representative shall be required to submit
a transportation plan for DoD review and approval.
This plan, as a minimum, shall specify the storage
facilities, delivery and transfer points, carriers,
couriers or escorts, and methods of handling to be used
from the CONUS point of origin to the final destination
and return shipment when applicable. (See Appendix
5.) Security officials of the DoD Component that initiates
the FMS transaction shall evaluate the transportation
plan to determine whether the plan adequately ensures
protection of the highest level of classified material
involved. Unless the DoD Component initiating the
FMS transaction approves the transportation plan as
submitted, or it is modified to meet U.S. security standards,
shipment by other than DTS shall not be permitted.
Transmission instructions or the requirement for an
approved transportation plan shall be incorporated into
the security requirements of the United States Department
of Defense Offer and Acceptance (DD Form 1513).
8-104.2.3.2. Shipments Resulting from Direct Commercial
Sales: Classified shipments resulting from direct
commercial sales must comply with the same security
standards that apply to FMS shipments. Defense contractors,
therefore, will consult, as appropriate, with the purchasing
government, the DIS Regional Security Office, and the
owning Military Department prior to consummation of
a commercial contract that will result in the shipment
of classified material to obtain approval of the transportation
plan.
8-104.2.3.3. Delivery within the United States, Its
Territories, or Possessions: Delivery of classified
material to a foreign government at a point within the
United States, its territories, or its possessions,
shall be made only to a person identified in writing
by the recipient government as its designated representative
as specified in paragraph 8-104.2.3.1., above. The
only authorized delivery points are:
8-104.2.3.3.1. An embassy, consulate, or other official
agency under the control of the recipient government.
8-104.2.3.3.2. Point of origin. When a designated
representative of the recipient government accepts delivery
of classified U.S. material at the point of origin (for
example, a manufacturing facility or depot), the DoD
official who transfers custody shall obtain a receipt
for the classified material and assure that the recipient
is cognizant of secure means of onward movement of the
classified material to its final destination, consistent
with the approved transportation plan.
8-104.2.3.3.3. Military or commercial ports of embarkation
(POE) that are recognized points of departure from the
United States, its territories, or possessions, for
onloading aboard a ship, aircraft, or other carrier
authorized under subparagraph 8-104.2.3.5., below.
In these cases, the transportation plan shall provide
for U.S.-controlled secure shipment to the CONUS transshipment
point and the identification of a secure storage facility,
Government or commerical, at or in proximity to the
POE. A DoD official authorized to transfer custody
is to supervise or observe the onloading of FMS material
being transported via the DTS and other onloading wherein
physical and security custody of the material has yet
to be transferred formally to the foreign recipient.
In the event that transfer of physical and security
custody cannot be accomplished promptly, the DoD official
shall ensure that the classified material is either
returned to a secure storage facility of the U.S. shipper
(Government or contractor); or segregated and placed
under constant surveillance of a duly cleared U.S. security
force at the POE; or held in the secure storage facility
(Government or commerical) designated in the transportation
plan.
8-104.2.3.3.4. Freight forwarder facility that is identified
by the recipient government as its designated representative
and that is cleared in accordance with subparagraph
8-104.2.3.6., below, to the level of the classified
material to be received. In these cases, a person
identified as a designated representative must be present
to accept delivery of the classified material and receipt
for it, to include full acceptance of security responsiblity.
8-104.2.3.4. Delivery Outside the United States, Its
Territories, or Possessions:
8-104.2.3.4.1. Delivery within the recipient country.
Classified U.S. material to be delivered to a foreign
government within the recipient country shall be delivered
on arrival in the recipient country to a U.S. Government
representative who shall arrange for its transfer to
a designated representative of the recipient government.
If the shipment is escorted by a U.S. Government official
authorized to accomplish the transfer of custody, the
material may be delivered directly to the recipient
government's designated representative upon arrival.
8-104.2.3.4.2. Delivery Within a Third Country. Classified
material to be delivered to a foreign government representative
within a third country shall be delivered to an Agency
or installation of the United States, or of the recipient
government, that has extraterritorial status or otherwise
is exempt from the jurisdiction of the third country.
Unless the material is accompanied by a U.S. Government
official authorized to accomplish the transfer of custody,
a U.S. Government official shall be designated locally
to receive the shipment upon arrival and be vested with
authority to effect delivery to the intended recipient
government's designated representative.
8-104.2.3.5. Overseas Carriers: Overseas shipments
of U.S. classified material shall be made only via ships,
aircraft, or other carriers that are:
8-104.2.3.5.1. Owned or chartered by the U.S. Government
or under U.S. registry;
8-104.2.3.5.2. Owned or chartered by or under the registry
of the recipient government; or
8-104.2.3.5.3. Otherwise expressly authorized by the
Head of the DoD Component having classification jurisdiction
over the material involved.
Overseas shipments of classified material shall be escorted,
prepared for shipment, packaged, and stored onboard
as prescribed elsewhere in this Chapter and in DoD 5220.22-R
and DoD 5220.22-M (references (j) and (k)).
8-104.2.3.6. Freight Forwarders: Only freight forwarders
that have been granted an appropriate security clearance
by the Department of Defense or the recipient government
are eligible to receive, process, and store U.S. classified
material authorized for release to foreign governments.
However, a freight forwarder that does not have access
to or custody of the classified material need not be
cleared.
8-105. Consignor-Consignee Responsibility for Shipment
of Bulky Material . The consignor of a bulk shipment
shall:
8-105.1. Normally, select a carrier that will provide
a single line service from the point of origin to destination,
when such a service is available;
8-105.2. Ship packages weighing less than 200 pounds
in closed vehicles only;
8-105.3. Notify the consignee, and military transshipping
activities, of the nature of the shipment (including
level of classification), the means of shipment, the
number of seals, if used, and the anticipated time and
date of arrival by separate communication at least 24
hours in advance of arrival of the shipment. Advise
the first military transshipping activity that, in the
event the material does not move on the conveyance originally
anticipated, the transshipping activity should so advise
the consignee with information of firm transshipping
date and estimated time of arrival. Upon receipt of
the advance notice of a shipment of classified material,
consignees and transshipping activities shall take appropriate
steps to receive the classfied shipment and to protect
it upon arrival.
8-105.4. Annotate the bills of lading to require the
carrier to notify the consignor immediately by the fastest
means if the shipment is unduly delayed enroute. Such
annotations shall not under any circumstances disclose
the classified nature of the commodity. When seals
are used, annotate substantially as follows:
DO NOT BREAK SEALS EXCEPT IN EMERGENCY OR ON AUTHORITY
OF CONSIGNOR OR CONSIGNEE. IF BROKEN, EXPEDIENTLY
APPLY CARRIER'S SEALS AND IMMEDIATELY NOTIFY CONSIGNOR
AND CONSIGNEE.
8-105.5. Require the consignee to advise the consignor
of any shipment not received more than 48 hours after
the estimated time of arrival furnished by the consignor
or transshipping activity. Upon receipt of such notice,
the consignor shall immediately trace the shipment.
If there is evidence that the classified material
was subjected to compromise, the procedures set forth
in Chapter 6 of this Regulation for reporting compromises
shall apply.
8-106. Transmission of COMSEC Information. COMSEC
information shall be transmitted in accordance with
National COMSEC Instruction 4005 (reference (aa)).
8-107. Transmission of Restricted Data. Restricted
Data shall be transmitted in the same manner as other
information of the same security classification. The
transporting and handling of nuclear weapons or nuclear
components shall be in accordance with DoD Directives
4540.1 and 5210.41 (references (vv) and (ww)) and applicable
DoD Component directives and regulations.
C8.2. Section 2. PREPARATION OF MATERIAL FOR TRANSMISSION,
SHIPMENT, OR CONVEYANCE
8-200. Envelopes or Containers
8-200.1. Whenever classified information is transmitted,
it shall be enclosed in two opaque sealed envelopes
or similar wrappings when size permits, except as provided
below.
8-200.2. Whenever classified material is transmitted
of a size not suitable for transmission in accordance
with paragraph 8-200.1., above, it shall be enclosed
in two opaque sealed containers, such as boxes or heavy
wrappings.
8-200.2.1. If the classified information is an internal
component of a packageable item of equipment, the outside
shell or body may be considered as the inner enclosure
provided it does not reveal classified information.
8-200.2.2. If the classified material is an inaccessible
internal component of a bulky item of equipment that
is not reasonably packageable, the outside or body of
the item may be considered to be a sufficient enclosure
provided the shell or body does not reveal classified
information.
8-200.2.3. If the classified material is an item or
equipment that is not reasonably packageable and the
shell or body is classified, it shall be concealed with
an opaque covering that will hide all classified features.
8-200.2.4. Specialized shipping containers, including
closed cargo transporters, may be used instead of the
above packaging requirements. In such cases, the container
may be considered the outer wrapping or cover.
8-200.2.5. MAGNETIC TAPE REELS WITH BINDERS, CASSETTE
CASES FOR VIDEO AND OTHER MAGNETIC TAPES, FLOPPY DISK
JACKETS, DISK PACK COVERS, AND SIMILAR COVERS FOR MAGNETIC
RECORDING MAY BE USED AS THE INNER ENCLOSURE. LABELS
SHALL BE AFFIXED AND MARKINGS SHALL BE IN ACCORDANCE
WITH PARAGRAPH 8-201.3., BELOW.
8-200.3. Material used for packaging shall be of such
strength and durability as to provide security protection
while in transit, prevent items from breaking out of
the container, and to facilitate the detection of any
tampering with the container. The wrappings shall
conceal all classified characteristics.
8-200.4. Closed and locked vehicles, compartments,
or cars shall be used for shipments of classified information
except when another method is authorized by the consignor.
Alternative methods authorized by the consignor must
provide security equivalent to or better than the methods
specified herein. In all instances, individual packages
weighing less than 200 pounds gross shall be shipped
only in a closed vehicle.
8-200.5. To minimize the possibility of compromise
of classified material caused by improper or inadequate
packaging thereof, responsible officials shall ensure
that proper wrappings are used for mailable bulky packages.
Responsible officials shall require the inspection
of bulky packages to determine whether the material
is suitable for mailing or whether it should be transmitted
by other approved means.
8-200.6. When classified material is hand-carried outside
an activity, a locked briefcase may serve as the outer
wrapper. In such cases, the addressing requirements
of paragraph 8-201.4. do not apply; however, the requirements
of paragraph 8-201.3. are applicable.
8-200.7. A LOCKED BRIEFCASE SHALL NOT BE USED AS AN
OUTER WRAPPER WHEN CLASSIFIED MATERIAL IS HAND-CARRIED
ABOARD ANY AIRLINE FLIGHTS.
8-201. Addressing
8-201.1. Classified information shall be addressed
to an official Government activity or DoD contractor
with a facility clearance and not to an individual.
This is not intended, however, to prevent use of office
code numbers or such phrases in the address as "Attention:
Research Department," or similar aids in expediting
internal routing, in addition to the organization address.
8-201.2. Classified written information shall be folded
or packed in such a manner that the text will not be
in direct contact with the inner envelope or container.
A receipt form shall be attached to or enclosed in
the inner envelope or container for all Secret and Top
Secret information; Confidential information will require
a receipt only if the originator deems it necessary.
The mailing of written materials of different classifications
in a single package should be avoided. However, when
written materials of different classifications are transmitted
in one package, they shall be wrapped in a single inner
envelope or container. A receipt listing all classified
information for which a receipt is requested shall be
attached or enclosed. The inner envelope or container
shall be marked with the highest classification of the
contents.
8-201.3. The inner envelope or container shall show
the address of the receiving activity, classification,
including, where appropriate, the "Restricted Data"
marking, and any applicable special instructions.
It shall be carefully sealed to minimize the possibility
of access without leaving evidence of tampering.
THE ADDRESS OF THE SENDER SHALL BE SHOWN ON THE INNER
ENVELOPE OR CONTAINER.
8-201.4. An outer or single envelope or container shall
show the complete and correct address and the return
address of the sender.
8-201.5. An outer cover or single envelope or container
shall not bear a classification marking, a listing of
the contents divulging classified information, or any
other unusual data or marks that might invite special
attention to the fact that the contents are classified.
8-201.6. Care must be taken to ensure that classified
information intended only for U.S. elements of international
staffs or other organizations is addressed specifically
to those elements.
8-201.7. PREPARATION OF MATERIAL FOR INTRODUCTION INTO
THE STATE DEPARTMENT DIPLOMATIC POUCH SYSTEM (SDDPS).
8-201.7.1. MATERIAL DISPATCHED TO AN AMERICAN ADDRESSEE
IN A FOREIGN COUNTRY REQUIRES TWO ENVELOPES. EXAMPLES
ARE DEFENSE ATTACHES AND U.S. EMBASSIES, CONSULATES,
AND MISSIONS.
8-201.7.1.1. OUTER WRAPPER. THE OUTER ENVELOPE OR
WRAPPER SHALL BE ADDRESSED "VIA STATE DEPARTMENT POUCH."
OSD COMPONENTS MAY DELIVER PROPERLY WRAPPED AND RECEIPTED
MATERIAL FOR SDDPS TO THE CLASSIFIED CONTROL BRANCH,
CORRESPONDENCE CONTROL DIVISION, WHS (ROOM 3A924), FOR
TRANSMITTAL TO THE STATE DEPARTMENT.
8-201.7.1.2. INNER WRAPPER. ALL INNER WRAPPERS SHALL
BE ADDRESSED AND SHALL CONTAIN PROPER CLASSIFICATION
MARKINGS, INCLUDING CAVEATS, TO INDICATE CONTENTS.
THE SD FORM 120 SERIAL NUMBER SHALL BE ENTERED TO THE
LEFT AND BELOW THE ADDRESS ELEMENT OF BOTH THE INNER
AND OUTER WRAPPERS. THE PACKAGE MUST BE ADDRESSED
DIRECTLY TO THE INTENDED RECIPIENT, WITH THE PINK COPY
AND ONLY YELLOW CARD COPY OF SD FORM 120 STAMPED, SIGNED,
AND RETURNED PROMPTLY TO ROOM 3A948, PENTAGON. THE
CARD AND PINK COPIES OF THE RECEIPT ARE ATTACHED DIRECTLY
TO THE MATERIAL. THE GREEN COPY OF THE RECEIPT SHALL
BE ANNOTATED TO INDICATE THE METHOD OF TRANSMISSION
SUCH AS ARFCOS, U.S. REGISTERED MAIL NUMBER, OR HAND-CARRY
NOTATION AND THEN FILED IN THE OSD COMPONENT RECEIPT
SUSPENSE FILE.
8-201.7.1.3. A PROPERLY COMPLETED OPTIONAL FORM 120,
"DIPLOMATIC POUCH MAIL REGISTRATION," SHALL BE PREPARED
AND AFFIXED TO THE INNER ENVELOPE. THE SENDING OSD
COMPONENT COMPLETES BOTH THE LONG AND SHORT PORTION
OF THE OPTIONAL FORM 120, LESS THE SIGNATURE BLOCK.
THE LONG PORTION IS PAPER CLIPPED OR STAPLED TO THE
OUTER ENVELOPE AND THE SHORT PORTION PERMANENTLY AFFIXED
TO THE INNER ENVELOPE.
8-201.7.2. MATERIAL DISPATCHED TO MEMBERS OF FOREIGN
GOVERNMENTS REQUIRES THREE ENVELOPES OR WRAPPERS, ADDRESSED
AND ANNOTATED AS FOLLOWS:
8-201.7.2.1. ENVELOPE OR WRAPPER NUMBER ONE: THE
INNERMOST PACKAGE WRAPPER SHALL BE ADDRESSED DIRECTLY
TO THE INTENDED RECIPIENT AND SHALL BEAR THE SAME CLASSIFICATION
MARKINGS AND CAVEATS AS THE CONTENTS. THE SD FORM
120 SERIAL NUMBER SHALL BE MARKED ON THE LEFT AND BELOW
THE ADDRESS ELEMENT OF THE WRAPPER. THE YELLOW CARD
AND PINK COPIES OF
THE RECEIPT ARE ATTACHED DIRECTLY TO THE MATERIAL WITHIN
THE WRAPPER.
8-201.7.2.2. ENVELOPE OR WRAPPER NUMBER TWO. THIS
WRAPPER IS ADDRESSED TO THE AMBASSADOR, AMERICAN EMBASSY,
CITY, AND COUNTRY. THE SAME CLASSIFICATION MARKINGS
AND CAVEATS AS WRAPPER ONE ARE INCLUDED ON WRAPPER TWO.
THE SD FORM 120 SERIAL NUMBER IS ADDED TO THE LOWER
LEFT QUADRANT OF THIS WRAPPER. THE SHORT PORTION OF
A PROPERLY COMPLETED OPTIONAL FORM 120 IS AFFIXED PERMANENTLY
TO THIS ENVELOPE.
8-201.7.2.3. ENVELOPE OR WRAPPER THREE. THE OUTER
WRAPPER SHALL BE ADDRESSED TO THE: SUPERINTENDENT,
POUCH ROOM DEPARTMENT OF STATE WASHINGTON, DC 20521
ABSOLUTELY NO CLASSIFICATION MARKINGS SHALL BE PLACED
ON THIS ENVELOPE. THE LONG PORTION OF OPTIONAL FORM
20 AND THE GREEN COPY OF SD FORM 120 ARE ATTACHED TO
THIS WRAPPER.
8-201.8. ALL CLASSIFIED MATERIAL TRANSMITTED THROUGH
ARFCOS, U.S. POSTAL SERVICE, OR PENTAGON-RECORDED MAIL
SHALL BE WRAPPED IN TWO ENVELOPES.
8-201.8.1. ENVELOPES OR PACKAGES TRANSMITTED THROUGH
ARFCOS SHALL BE MARKED CLEARLY "VIA ARMED FORCES COURIER
SERVICE" IN THE UPPER RIGHT QUADRANT OF THE OUTER WRAPPER;
ONLY DRAFT PAPER ENVELOPES AND WRAPPING SHALL BE USED
FOR TRANSMISSION OF MATERIAL. WHITE ENVELOPES SHALL
NOT BE ACCEPTED. ENVELOPES OR ADDRESS LABELS THAT
HAVE POSTAGE AND FEES INDICIA SHALL NOT BE USED ON MATERIAL
TRANSMITTED VIA ARFCOS.
8-201.8.2. THE SD FORM 120 SERIAL NUMBER SHALL BE TYPED
OR PRINTED IN THE LOWER LEFT QUADRANT OF THE ENVELOPE,
ADDRESS LABEL, OR PACKAGE.
8-201.8.3. THE USE OF PLASTIC, CLOTH, CELLOPHANE, OR
SYNTHETIC TAPE TO SEAL THE OUTER ENVELOPE OR WRAPPER
IS PROHIBITED. DRAFT PAPER TAPE SHALL BE APPLIED TO
PACKAGES.
8-202. Receipt Systems
8-202.1. Top Secret information shall be transmitted
under a chain of receipts covering each individual who
gets custody.
8-202.2. Secret information shall be covered by a receipt
when transmitted to a foreign government (including
foreign government embassies located in the United States)
and when transmitted between major subordinate elements
of DoD Components and other authorized addressees except
that a receipt is not required when there is a hand-to-hand
transfer between U.S. personnel and the recipient acknowledges
responsibility for the Secret information.
8-202.3. Receipts for Confidential information are
not required except when the information is transmitted
to a foreign government (including foreign government
embassies located in the United States) or upon request.
8-202.4. Receipts shall be provided by the transmitter
of the material and the forms shall be attached to the
inner cover.
8-202.4.1. Postcard receipt forms may be used.
8-202.4.2. Receipt forms shall be unclassified and
contain only such information as is necessary to identify
the material being transmitted.
8-202.4.3. Receipts shall be retained for at least
2 years.
8-202.5. In those instances where a fly-leaf (page
check) form is used with classified publications, the
postcard receipt will not be required.
8-202.6. THE CUSTODIAN'S WHITE AND COURIER'S GREEN
COPIES OF SD FORM 120 SHALL BE ANNOTATED "SEALED ENVELOPE"
OR "SEALED PACKAGE," DEPENDING IF THE MATERIAL IS AN
ENVELOPE OR A PACKAGE. THE SD FORM 120 SHALL BE ATTACHED
TO THE OUTER ENVELOPE OR WRAPPER.
8-202.7. THE RECIPIENT'S PINK AND THE OSD COMPONENT'S
CARD COPIES OF SD FORM 120 SHALL BE INCLUDED IN THE
INNER ENVELOPE OR WRAPPER WITH THE CLASSIFIED MATERIAL.
8-202.8. RECEIPTS FOR CLASSIFIED INFORMATION SHALL
NOT CONTAIN ANY CLASSIFIED INFORMATION.
8-203. Exceptions. Exceptions may be authorized to
the requirements contained in this Chapter by the Head
of the Component concerned or designee, provided the
exception affords equal protection and accountability
to that provided above. Proposed exceptions that do
not meet these minimum standards shall be submitted
to the DUSD(P) for approval.
8-203.1. WITHIN BUILDINGS, TRANSMISSION OF CLASSIFIED
DOCUMENTS AND MATERIAL DOES NOT REQUIRE THE USE OF SEALED
ENVELOPES. IF THE FACE OF THE CLASSIFIED DOCUMENT
OR MATERIAL CONTAINS CLASSIFIED INFORMATION, THE APPLICABLE
COVER SHEET SHALL BE AFFIXED.
8-203.2. BETWEEN BUILDINGS WITHIN THE NATIONAL CAPITAL
REGION, A SINGLE ENVELOPE, BRIEFCASE, OR SIMILAR OPAQUE
WRAPPING MAY BE USED AS AN OUTER WRAPPING TO HANDCARRY
CLASSIFIED DOCUMENTS OR MATERIAL. THIS OUTER COVER
SHALL NOT DISPLAY ANY MARKING THAT SHOULD INDICATE THAT
CLASSIFIED INFORMATION IS BEING CARRIED. A COVER SHEET,
ENVELOPE MARKED WITH THE CLASSIFICATION OF THE INFORMATION,
OR SIMILAR COVERING SHALL SERVE AS THE INNER ENVELOPE.
THIS INNER COVERING SHALL NOT DISPLAY CLASSIFIED INFORMATION.
8-203.2.1. THE PERSON CARRYING THE CLASSIFIED INFORMATION
WILL MAINTAIN IT UNDER PHYSICAL CONTROL AT ALL TIMES
UNTIL IT IS RETURNED TO A SECURE AREA OR PROPERLY DELIVERED
TO THE INTENDED RECIPIENT.
8-203.2.2. PACKAGES CONTAINING CLASSIFIED MATERIAL
THAT ARE REMOVED FROM THE PENTAGON MUST BE ACCOMPANIED
BY A PROPERLY AUTHENTICATED PROPERTY PASS, OPTIONAL
FORM 7. THE FOLLOWING CAVEAT SHALL BE TYPED IN ITEM
4: "CONTENTS CLASSIFIED NOT SUBJECT TO INSPECTION.
CONFIRMATION MAY BE OBTAINED BY CALLING _______________________."
8-203.2.3. NOTWITHSTANDING THE ABOVE EXCEPTIONS, IF
THE PERSON CARRYING THE INFORMATION HAS NO OFFICIAL
REQUIREMENT FOR ACCESS TO ITS CONTENTS. IT SHALL BE
ENCLOSED IN A SEALED INNER ENVELOPE OR WRAPPING. THE
PERSON CARRYING THE INFORMATION MUST HAVE A SECURITY
CLEARANCE AT LEAST AS HIGH AS THE INFORMATION.
8-204. TRACER SYSTEM
8-204.1. EACH OFFICE OR ACTIVITY THAT DISPATCHES CLASSIFIED
MATERIAL REQUIRING A RECEIPT SHALL ESTABLISH AN INTERNAL
SUSPENSE FOR RECEIVING THE RETURN RECEIPT.
8-204.2. THE ORIGINATING OSD COMPONENT SHALL INITIATE
TRACER ACTION BY TELEPHONE OR IN WRITING. THE FIRST
AND SECOND TRACERS SHALL BE ADDRESSED TO THE ADDRESSEE
OF THE MATERIAL. IF THE ADDRESSEE CLAIMS THAT THE
MATERIAL WAS NOT RECEIVED OR IF THE SECOND TRACER IS
NOT ACKNOWLEDGED, THE SECURITY MANAGER OF THE OSD COMPONENT
IMMEDIATELY SHALL NOTIFY THE CORRESPONDENCE CONTROL
DIVISION AND REQUEST INVESTIGATIVE ACTION. UPON COMPLETION
OF INVESTIGATION, THE CORRESPONDENCE CONTROL DIVISION
SHALL FORWARD THE RESULTS THEREOF TO THE ORIGINATING
OSD COMPONENT FOR PROPER ACTION.
8-204.3. THE FOLLOWING TIME LIMITS SHALL BE OBSERVED:
8-204.3.1. THE FIRST TRACER ACTION TIME LIMIT SHALL
BE 15 DAYS AFTER THE DATE THE MATERIAL WAS DISPATCHED
FOR U.S.-ADDRESSED MAIL AND 30 DAYS AFTER THE DATE THE
MATERIAL WAS DISPATCHED FOR OVERSEAS-ADDRESSED MAIL.
8-204.3.2. THE SECOND TRACER ACTION TIME LIMIT SHALL
BE 30 DAYS AFTER THE DATE THE MATERIAL WAS DISPATCHED
FOR U.S.-ADDRESSED MAIL AND 45 DAYS AFTER THE DATE THE
MATERIAL WAS DISPATCHED FOR OVERSEAS-ADDRESSED MAIL.
C8.3. Section 3. RESTRICTIONS, PROCEDURES, AND AUTHORIZATION
FOR ESCORT OR HAND-CARRYING OF CLASSIFIED INFORMATION
8-300. General Restrictions. Appropriately cleared
personnel may be authorized to escort or hand-carry
classified material between their duty station and an
activity to be visited subject to the following conditions:
8-300.1. The storage provisions of Section C8.1. and
subsection 5-206. of Chapter 5 of this Regulation shall
apply at all stops enroute to the destination, unless
the information is retained in the personal possession
and under constant surveillance of the individual at
all times. The hand-carrying of classified information
on trips that involve an overnight stop is not permissible
without advance arrangements for proper overnight storage
in a U.S. Government facility or, if in the United States,
a cleared contractor's facility that has the requisite
storage capability.
8-300.2. Classified material shall not be read, studied,
displayed, or used in any manner in public conveyances
or places.
8-300.3. When classified material is carried in a private,
public, or Government conveyance, it shall not be placed
in any detachable storage compartment such as automobile
trailers, luggage racks, aircraft travel pods, or drop
tanks nor, under any circumstances, left unattended.
8-300.4. Responsible officials shall provide a written
statement to all individuals escorting or carrying classified
material aboard commercial passenger aircraft authorizing
such transmission. This authorization statement may
be included in official travel orders and should ordinarily
permit the individual to pass through passenger control
points without the need for subjecting the classified
material to inspection. Specific procedures for carrying
classified documents aboard commercial aircraft are
contained in subsection 8-302.
8-300.5. Each activity shall list all classified information
carried or escorted by traveling personnel. All classified
information shall be accounted for.
8-300.6. Individuals authorized to hand-carry or escort
classified material shall be fully informed of the provisions
of this Chapter, and shall sign a statement to that
effect prior to the issuance of written authorization
or identification media. This statement shall be retained
for a minimum of 2 years; it need not be executed on
each occasion that the individual is authorized to transport
classified information provided a signed statement is
on file.
8-301. Restrictions on Hand-carrying Classified Information
Aboard Commercial Passenger Aircraft. Classified information
shall not be hand-carried aboard commercial passenger
aircraft unless:
8-301.1. There is neither time nor means available
to move the information in the time required to accomplish
operational objectives or contract requirements.
8-301.2. The hand-carry has been authorized by an appropriate
official in accordance with subsection 8-303.
8-301.3. In the case of the hand-carry of classified
information across international borders, arrangements
have been made to ensure that such information will
not be opened by customs, border, postal, or other inspectors,
either U.S. or foreign.
8-301.4. The hand-carry is accomplished aboard a U.S.
carrier. Foreign carriers will be utilized only when
no U.S. carrier is available and then the approving
official must ensure that the information will remain
in the custody and physical control of the U.S. escort
at all times.
8-301.5. HAND-CARRYING SHALL NOT BE DONE EXCEPT IN
TIME-CRITICAL OR EMERGENCY SITUATIONS AND UNTIL ALL
OTHER, MORE SECURE, METHODS OF TRANSMISSION HAVE BEEN
CONSIDERED AND DETERMINED TO BE IMPRACTICAL AND WHERE
THE MATERIAL IS NOT AVAILABLE OR MAY NOT BE OBTAINED
PROMPTLY AT THE TRAVELER'S DESTINATION. PARAGRAPHS
8-101., 8-102., AND 8-103., ABOVE, PRESCRIBE THE PREFERRED
METHODS OF TRANSMITTING CLASSIFIED MATERIAL. IT IS
PROHIBITED SPECIFICALLY TO DELAY PREPARING CLASSIFIED
INFORMATION FOR TRANSMITTAL OR TO NEGLECT USING ONE
OF THE PREFERRED METHODS OF TRANSMITTAL TO CREATE AN
ARTIFICIAL TIME-CRITICAL SITUATION WHEREIN HAND-CARRYING
ABOARD COMMERCIAL AIRCRAFT BECOMES NECESSARY.
8-302. Procedures for Hand-carrying Classified Information
Aboard Commercial Passenger Aircraft
8-302.1. Basic requirements.
8-302.1.1. Advance and continued coordination by the
DoD activity and contractor officials shall be made
with departure airline and terminal officials and, when
possible, with intermediate transfer terminals to develop
mutually satisfactory arrangements within the terms
of this issuance and Federal Aviation Administration
(FAA) guidance. Specifically, a determination should
be made beforehand whether documentation described in
paragraph 8-302.4., below, will be required. Local
FAA Security Officers can be of assistance in making
this determination. To aid coordination and planning,
a listing of FAA field offices is at Appendix 4.
8-302.1.2. The individual designated as courier shall
be in possession of either DD Form 2, "Armed (or Uniformed)
Services Identification Card" (any color), or other
DoD or contractor picture identification card and written
authorization to carry classified information.
8-302.2. Procedures for carrying classified information
in envelopes. Persons carrying classified information
should process through the airline ticketing and boarding
procedure the same as all other passengers except for
the following:
8-302.2.1. The classified information being carried
shall contain no metal bindings and shall be contained
in sealed envelopes. Should such envelopes be contained
in a briefcase or other carry-on luggage, the briefcase
or luggage shall be routinely offered for opening for
inspection for weapons. The screening officials may
check envelopes by X-ray machine, flexing, feel, and
weight, without opening the envelopes themselves.
8-302.2.2. Opening or reading of the classified document
by the screening official is not permitted.
8-302.3. Procedures for transporting classified information
in packages. Classified information in sealed or packaged
containers shall be processed as follows:
8-302.3.1. The Government or contractor official who
has authorized the transport of the classified information
shall notify the appropriate air carrier in advance.
8-302.3.2. The passenger carrying the information shall
report to the affected airline ticket counter before
boarding, present his documentation, and the package
or cartons to be exempt from screening. The airline
representative will review the documentation and description
of the containers to be exempt.
8-302.3.3. If satisfied with the identification of
the passenger and his documentation, the official will
provide the passenger with an escort to the screening
station and authorize the screening personnel to exempt
the container from physical or other type inspection.
8-302.3.4. If the airline official is not satisfied
with the identification of the passenger or the authenticity
of his documentation, the passenger will not be permitted
to board, and not be subject to further screening for
boarding purposes.
8-302.3.5. The actual loading and unloading of the
information will be under the supervision of a representative
of the air carrier; however, appropriately cleared personnel
shall accompany the material and keep it under surveillance
during loading and unloading operations. In addition,
appropriately cleared personnel must be available to
conduct surveillance at any intermediate stops where
the cargo compartment is to be opened.
8-302.3.6. DoD Components and contractor officials
shall establish and maintain appropriate liaison with
local FAA officials, airline representatives and airport
terminal administrative and security officials. Prior
notification is emphasized to ensure that the airline
representative can make timely arrangements for courier
screening.
8-302.4. Documentation.
8-302.4.1. When authorized to carry sealed envelopes
or containers containing classified information, both
Government and contractor personnel shall present an
identification card carrying a photograph, descriptive
data, and signature of the individual. (If the identification
card does not contain date of birth, height, weight,
and signature, these items must be included in the written
authorization.)
8-302.4.1.1. DoD personnel shall present an official
identification issued by U.S. Government Agency.
8-302.4.1.2. Contractor personnel shall present identification
issued by the contractor or the U.S. Government. Contractors'
identification cards shall carry the name of the employing
contractor, or otherwise be marked to denote "contractor."
8-302.4.1.3. The courier shall have the original of
the authorization letter. A reproduced copy is not
acceptable; however, the traveler shall have sufficient
authenticated copies to provide a copy to each airline
involved. The letter shall be prepared on letterhead
stationary of the Agency or contractor authorizing the
carrying of classified material. In addition, the
letter shall:
8-302.4.1.3.1. Give the full name of the individual
and his employing Agency or company;
8-302.4.1.3.2. Describe the type of identification
the individual will present (for example, Naval Research
Laboratory Identification Card, No. 1234; ABC Corporation
Identification Card No. 1234);
8-302.4.1.3.3. Describe the material being carried
(for example, three sealed packages, 9" x 8" x 24,"
addressee and addressor);
8-302.4.1.3.4. Identify the point of departure, destination,
and known transfer points;
8-302.4.1.3.5. Carry a date of issue and an expiration
date;
8-302.4.1.3.6. Carry the name, title, and signature
of the official issuing the letter. Each package or
carton to be exempt shall be signed on its face by the
official who signed the letter; and
8-302.4.1.3.7. Carry the name of the Government Agency
designated to confirm the letter of authorization, and
its telephone number. The telephone number of the
Agency designated shall be an official U.S. Government
number.
8-302.4.2. Information relating to the issuance of
DoD identification cards is contained in DoD Instruction
1000.13 (reference (xx)). The green, gray, and red
DD Forms 2 and other DoD and contractor picture ID card
are acceptable to FAA.
8-302.4.3. The Director, DIS, shall establish standards
for the issuance of identification cards when required
by contractor employees selected as couriers or whose
duties will involve hand-carrying of classified material.
8-303. Authority to Approve Escort or Hand-carry of
Classified Information Aboard Commercial Passenger Aircraft
8-303.1. Within the United States, its Territories,
and Canada.
8-303.1.1. DoD Component officials who have been authorized
to approve travel orders and designate couriers may
approve the escort or hand-carry of classified information
within the United States, its Territories, and Canada.
8-303.1.2. The Director, DIS, may authorize contractor
personnel to hand-carry classified material in emergency
or time-sensitive situations subject to adherence with
the procedures and limitations specified in this section.
8-303.1.3. OSD COMPONENT SECURITY MANAGER SHALL AUTHORIZE
ESCORT OR HAND CARRYING OF CLASSIFIED MATERIAL WITHIN
THE UNITED STATES, ITS TERRITORIES AND POSSESSIONS;
AND CANADA.
8-303.2. Outside the United States, its Territories,
and Canada. The Head of a DoD Component, or single
designee at the headquarters or major command level,
may authorize the escort or hand-carrying of classified
information outside the area encompassed by the boundaries
of United States, its Territories, and Canada upon certification
by the requestor that:
8-303.2.1. The material is not present at the destination;
8-303.2.2. The material is needed urgently for a specified
official purpose; and
8-303.2.3. There is a specified reason that the material
could not be transmitted by other approved means to
the destination in sufficient time for the stated purpose.
8-303.2.4. THE DIRECTOR, PSD, HAS SOLE AUTHORITY TO
PERMIT THE ESCORT OR HAND-CARRYING OF CLASSIFIED INFORMATION
OUTSIDE THE UNITED STATES, ITS TERRITORIES, AND CANADA.
8-303.2.5. THE DIRECTOR, CORRESPONDENCE AND DIRECTIVES,
IS AUTHORIZED TO PROVIDE COURIER SUPPORT FOR THE SECRETARY
OF DEFENSE AND DEPUTY SECRETARY OF DEFENSE VISITS TO
FOREIGN COUNTRIES. DESIGNATED COURIERS SHALL READ
AND COMPLY WITH APPENDIX 6, BELOW.
8-303.2.6. THE REQUESTING OFFICIAL SHALL:
8-303.2.6.1. PREPARE AND SIGN A MEMORANDUM REQUESTING
APPROVAL FOR HAND-CARRYING CLASSIFIED MATERIAL AS OUTLINED
IN FIGURE 11, BELOW. ONLY THE ORIGINAL SIGNATURE OF
THE COURIER SHALL BE ACCEPTED FOR APPROVAL.
8-303.2.6.2. PREPARE A LETTER OF AUTHORIZATION AS OUTLINED
IN FIGURE 12, BELOW. THE EXPIRATION DATE OF THE LETTER
OF AUTHORIZATION SHALL NOT EXCEED 3 DAYS BEYOND THE
DATE THE TRAVEL IS COMPLETED: RECURRING OR "BLANKET"
LETTERS OF AUTHORIZATION ARE PROHIBITED.
8-303.2.6.3. THE MEMORANDUM AND AUTHORIZATION LETTER
SHALL BE SUBMITTED TO PSD FOR APPROVAL AS FAR IN ADVANCE
OF THE DEPARTURE DATE AS POSSIBLE.
FIGURE 11.
FIGURE 12.
C9. CHAPTER 9
DISPOSAL AND DESTRUCTION
9-100. Policy. Documentary record information originated
or received by a DoD Component in connection with the
transaction of public business, and preserved as evidence
of the organization, functions, policies, operations,
decisions, procedures, or other activities of any U.S.
Government Department or Agency or because of the informational
value of the data contained therein, may be disposed
of or destroyed only in accordance with DoD Component
record management regulations. Nonrecord classified
information, and other material of similar temporary
nature, shall be destroyed when no longer needed under
procedures established by the Head of the cognizant
DoD Component. These procedures shall incorporate,
means of verifying the destruction of classified information
and material and be consistent with the following requirements.
9-101. Methods of Destruction. Classified documents
and material shall be destroyed by burning or, with
the approval of the cognizant DoD Component head or
designee, by melting, chemical decomposition, pulping,
pulverizing, cross-cut shredding, or mutilation sufficient
to preclude recognition or reconstruction of the classified
information. (Strip shredders purchased prior to the
effective date of this Regulation may continue to be
used but only in circumstances where reconstruction
of the residue is precluded. Shredding significant
amounts of unclassified material together with classified
material normally will meet this requirement.)
9-102. Destruction Procedures
9-102.1. Procedures shall be instituted that ensure
all classified information intended for destruction
actually is destroyed. Destruction records and imposition
of a two-person rule, that is, having two cleared persons
involved in the entire destruction process, will satisfy
this requirement for Top Secret information. Imposition
of a two-person rule, without destruction records, will
satisfy this requirement for Secret information, as
will use of destruction records without imposition of
the two-person rule. Only one cleared person needs
to be involved in the destruction process for Confidential
information.
9-102.2. When burn bags are used for the collection
of classified material that is to be destroyed at central
destruction facilities, such bags shall be controlled
in a manner designed to minimize the possibility of
their unauthorized removal and the unauthorized removal
of their classified contents prior to actual destruction.
When filled, burn bags shall be sealed in a manner
that will facilitate the detection of any tampering
with the bag.
9-102.3. Procedures to ensure that all classified information
intended for destruction actually is destroyed, other
than those in paragraphs 9-102.1. and 9-102.2., above,
shall be submitted to the DoD Component's senior offical
(subsections 13-301. and 13-302.) for approval.
9-103. Records of Destruction
9-103.1. Records of destruction are required for Top
Secret information. The record shall be dated and
signed at the time of destruction by two persons cleared
for access to Top Secret information. However, in
the case of Top Secret information placed in burn bags
for central disposal, the destruction record may be
signed by the officials when the information is so placed
and the bags are sealed. Top Secret burn bags shall
be numbered serially and a record kept of all subsequent
handling of the bags until they are destroyed. This
record may be in lieu of actual burn bag receipts and
shall be maintained for a minimum of 2 years.
9-103.1.1. TOP SECRET DOCUMENTS, ENCLOSURES, AND ATTACHMENTS
SHALL BE RECORDED INDIVIDUALLY AND IDENTIFIED ON SD
FORM 188, "REQUEST FOR AND CERTIFICATION OF CLASSIFIED
MATERIAL."
9-103.1.2. SD FORM 188 SHALL BE SERIAL NUMBERED IN
CALENDAR YEAR SERIES. WHEN SEVERAL PAGES ARE PREPARED
AT ONE TIME, ONLY THE LAST PAGE NEEDS TO BE SIGNED BY
THE OFFICIALS CONCERNED WITH DESTRUCTION. ALL PRECEDING
PAGES SHALL BE INITIALED BY THE OFFICIALS. THE REMARK
"NOTHING FOLLOWS" SHALL BE ENTERED ON THE FIRST LINE
FOLLOWING THE LAST ENTRY ON THE CERTIFICATE.
9-103.1.3. COMPLETION OF THE "SIGNATURE OF CUSTODIAN"
BLOCK OF SD FORM 188 SHALL BE ACCOMPLISHED BY THE PERSON
PLACING THE TOP SECRET DOCUMENT IN THE BURN BAG. THE
"SIGNATURE OF DESTROYING OFFICER(S)" BLOCK SHALL BE
ACCOMPLISHED BY THE PERSON SEALING THE BURN BAG.
9-103.2. Records of destruction of Secret and Confidential
information are not required except for NATO Secret
and some limited categories of specially controlled
Secret information. When records of destruction are
used for Secret information, only one cleared person
has to sign such records. (DoD Directive 5100.55 (reference
(ee)) provides guidance on the destruction of NATO classified
material.)
9-103.3. Records of destruction shall be maintained
for 2 years.
9-104. Classified Waste. Waste material, such as
handwritten notes, carbon paper, typewriter ribbons,
and working papers that contains classified information
must be protected to prevent unauthorized disclosure
of the information. Classified waste shall be destroyed
when no longer needed by a method described in subsection
9-101. Destruction records are not required.
9-105. Classified Document Retention
9-105.1. Classified documents that are not permanently
valuable records of the Government shall not be retained
more than 5 years from the date of origin, unless such
retention is authorized by and in accordance with DoD
Component record disposition schedules.
9-105.2. Throughout the Department of Defense, the
head of each activity shall establish at least one clean-out
day each year where a portion of the work performed
in every office with classified information stored is
devoted to the destruction of unneeded classified holdings.
THE HEAD OF THE OSD COMPONENTS SHALL DETERMINE THE SPECIFIC
DATE(S) FOR ANNUAL REVIEWS OF CLASSIFIED DOCUMENTS.
ALL CLASSIFIED FILES MUST BE REVIEWED BY THE END OF
THE CALENDAR YEAR.
9-106. DESTRUCTION PROCEDURES
9-106.1. PREPRINTED RED AND WHITE STRIPED BAG SHALL
BE USED FOR THE PACKAGING OF CLASSIFIED MATERIAL FOR
DESTRUCTION. IF THESE BAGS ARE UNAVAILABLE, PLAIN
BROWN BAGS SHALL BE MARKED WITH BOLD RED STRIPES AND
USED AS A SUBSTITUTE. THESE BAGS SHALL NOT BE USED
TO PACKAGE CLASSIFIED MATERIAL NOT INTENDED FOR DELIVERY
TO A DESTRUCTION FACILITY OR TO CARRY PERSONAL ITEMS.
9-106.2. WHEN PLACED IN USE, THE BAG SHALL BE MARKED
WITH THE ROOM NUMBER AND TELEPHONE NUMBER OF THE OSD
COMPONENT. IF THE BAG CONTAINS TOP SECRET MATERIAL,
THE BAG SHALL BE MARKED WITH A SERIAL NUMBER.
9-106.3. CLASSIFIED WASTE MATERIAL SHALL BE PLACED
IN A BAG. THE CONTENTS OF THE BAG SHALL NOT EXCEED
10 POUNDS OR THREE-FOURTHS OF THE BAG'S CONTENT. WASTE
MATERIALS SUCH AS UNCLASSIFIED PAPERS, DISCARDED FOOD
AND BEVERAGE CONTAINERS, GLASS, METAL, NEWSPAPERS, MAGAZINES,
OR SIMILAR ITEMS SHALL NOT BE PLACED IN THE BURN BAGS.
9-106.4. THE FILLED BAG SHALL BE SEALED WITH I INCH
MASKING TAPE OR THE OPEN END FOLDED AT LEAST ONCE AND
STAPLED EVERY 2 INCHES.
9-106.5. PERSONNEL SHALL COMPLETE THE DESTRUCTION CERTIFICATE
AS DESCRIBED IN PARAGRAPH 9-103.1., ABOVE. THE BURN
BAGS SHALL BE DELIVERED TO DESIGNATED COLLECTION POINTS
AT SPECIFIED TIMES. FOR INFORMATION ON THE COLLECTION
POINTS OR SPECIFIED TIMES, TELEPHONE THE PENTAGON DESTRUCTION
FACILITY AT 695-1828.
C10. CHAPTER 10
SECURITY EDUCATION
10-100. Responsibility and Objectives. Heads of
DoD Components shall establish security education programs
for their personnel. Such programs shall stress the
objectives of improving the protection of information
that requires it. They shall also place emphasis on
the balance between the need to release the maximum
information appropriate under the Freedom of Information
Act (DoD Directive 5400.7, reference (p)) and the interest
of the Government in protecting the national security.
10-101. Scope and Principles. The security education
program shall include all personnel authorized or expected
to be authorized access to classified information.
Each DoD Component shall design its program to fit
the requirements of different groups of personnel.
Care must be exercised to assure that the program does
not evolve into a perfunctory compliance with formal
requirements without achieving the real goals of the
program. The program shall, as a minimum, be designed
to:
10-101.1. Advise personnel of the adverse effects to
the national security that could result from unauthorized
disclosure and of their personal, moral, and legal responsibility
to protect classified information within their knowledge,
possession, or control;
10-101.2. Indoctrinate personnel in the principles,
criteria, and procedures for the classification, downgrading,
declassification, marking, control and accountability,
storage, destruction, and transmission of classified
information and material, as prescribed in this Regulation,
and alert them to the strict prohibitions against improper
use and abuse of the classification system;
10-101.3. Familiarize personnel with procedures for
challenging classification decisions believed to be
improper;
10-101.4. Familiarize personnel with the security requirements
of their particular assignment;
10-101.5. Inform personnel of the techniques employed
by foreign intelligence activities in attempting to
obtain classified information, and their responsibility
to report such attempts;
10-101.6. Advise personnel of the penalties for engaging
in espionage activities;
10-101.7. Advise personnel of the strict prohibition
against discussing classified information over an unsecure
telephone or in any other manner that permits interception
by unauthorized persons;
10-101.8. Inform personnel of the penalties for violation
or disregard of the provisions of this Regulation (see
paragraph 14-101.2.);
10-101.9. Instruct personnel that individuals having
knowledge, possession, or control of classified information
must determine, before disseminating such information,
that the prospective recipient has been cleared for
access by competent authority; needs the information
in order to perform his or her official duties; and
can properly protect (or store) the information.
10-101.10. INFORM NEWLY ASSIGNED PERSONNEL, INCLUDING
CONSULTANTS AND EXPERTS, AS TO THE PROPER PROCEDURES
FOR THE PROTECTION OF CLASSIFIED MATERIALS AND INFORMATION
DURING OFFICE ORIENTATIONS. NEWLY ASSIGNED PERSONS
MAY NOT BE MADE SOLELY RESPONSIBLE FOR SECURING CLASSIFIED
MATERIALS OR OFFICES UNTIL THEY HAVE COMPLETED SECURITY
ORIENTATIONS AND TRAINING DESIGNED TO FAMILIARIZE THEM
WITH PROPER STORAGE AND OFFICE CLOSING PROCEDURES.
GENERAL KNOWLEDGE OF THE TOTAL CONTENT OF THIS REGULATION
MAY BE ACCOMPLISHED BEST BY INDIVIDUAL STUDY REINFORCED
BY DISCUSSION WITH THE OSD COMPONENT SECURITY MANAGER
ON SPECIFIC POLICY AND PROCEDURES RELATED TO THE INDIVIDUAL'S
ASSIGNMENT.
10-101.11. ADVISE PERSONNEL OF THE REQUIREMENTS TO
REPORT SUCH MATTERS AS:
10-101.11.1. PHYSICAL SECURITY DEFICIENCIES.
10-101.11.2. POSSIBLE LOSS OR COMPROMISE OF CLASSIFIED
MATERIAL.
10-101.11.3. INFORMATION THAT MIGHT REFLECT ADVERSELY
ON THE TRUSTWORTHINESS OF AN INDIVIDUAL WHO HAS ACCESS
TO CLASSIFIED INFORMATION.
10-101.11.3.1. INFORM PERSONNEL OF THE PROPER METHODS
AND CHANNELS FOR REPORTING MATTERS OF SECURITY INTEREST.
10-102. Initial Briefings. DoD personnel granted
a security clearance (see subsection 7-100.) shall not
be permitted to have access to classified information
until they have received an initial security briefing
and have signed Standard Form 189, "Classified Information
Nondisclosure Agreement." DoD 5200.1-PH-1 (reference
(ccc)) provides a sample briefing and additional information
regarding Standard Form 189. Cleared personnel employed
prior to the effective date of this Regulation must
sign Standard Form 189 as soon as practicable but not
later than February 28, 1990.
10-102.1. THE OSD COMPONENT OR ALTERNATE(S) SECURITY
MANAGERS SHALL PROVIDE THE INITIAL SECURITY BRIEFINGS
TO PERMANENT AND TEMPORARY ASSIGNED PERSONNEL. THE
INITIAL SECURITY BRIEFING AND CLASSIFIED INFORMATION
NONDISCLOSURE AGREEMENT BRIEFING BOOKLET SHALL BE USED
TO SATISFY THE REQUIREMENT. HOWEVER, THE INDOCTRINATION
SPECIFICALLY MUST ADDRESS THE SECURITY ASPECTS OF THE
ASSIGNMENT AND TAKE INTO ACCOUNT THE EXPERIENCE LEVEL
OF THE PERSON TO DETERMINE THEIR KNOWLEDGE OF THE REQUIREMENTS
FOR SAFEGUARDING CLASSIFIED INFORMATION.
10-102.2. OSD COMPONENT SECURITY MANAGERS MAY OBTAIN
THE BRIEFING BOOKLET FROM PSD.
10-102.3. THE STANDARD FORM 189 SHALL BE SIGNED AND
FORWARDED TO PERSONNEL SECURITY DIVISION, DIRECTORATE
OF PERSONNEL AND SECURITY, WHS.
10-103. Refresher Briefings. Programs shall be established
to provide, at a minimum, annual security training for
personnel having continued access to classified information.
The elements outlined in subsection 10-101. shall
be tailored to fit the needs of experienced personnel.
10-103.1. THE OSD COMPONENT OR ALTERNATES(S) SECURITY
MANAGERS SHALL PROVIDE THE REFRESHER SECURITY BRIEFING
FOR ALL PERSONNEL EACH CALENDAR YEAR. ATTENDANCE IS
MANDATORY. MATERIALS SUCH AS VIDEO TAPE RECORDINGS,
SECURITY POSTERS, HANDOUTS, AND OTHER RELATED INSTRUCTIONAL
MATERIAL MAY BE OBTAINED FROM PSD.
10-103.2. A WRITTEN REPORT SHALL BE SUBMITTED TO PSD
GIVING THE NAMES OF THE INDIVIDUALS WHO ATTENDED THE
TRAINING AND THE MATERIAL AND/OR TOPICS COVERED.
10-104. Foreign Travel Briefings
10-104.1. Personnel who have had access to classified
information shall be given a foreign travel briefing,
before travel, to alert them to their possible exploitation
under the following conditions:
10-104.1.1. Travel to or through Communist-controlled
countries; and
10-104.1.2. Attendance at international scientific,
technical, engineering or other professional meetings
in the United States or in any country outside the United
States where it can be anticipated that representatives
of Communist-controlled countries will participate or
be in attendance. (See also DoD Directive 5240.6 (reference
(gg)).)
10-104.2. Individuals who travel frequently, or attend
or host meetings of foreign visitors as described in
10-104.1.2., above, need not be briefed for each occasion,
but shall be provided a thorough briefing at least once
every 6 months and a general reminder of security responsibilities
before each such activity.
10-104.3. ALL MILITARY AND CIVILIAN PERSONNEL ASSIGNED
TO OSD, HAVING ACCESS TO CLASSIFIED MATERIAL, SHALL
RECEIVE A FOREIGN TRAVEL BRIEFING FROM PERSONNEL SECURITY
DIVISION, DIRECTORATE OF PERSONNEL AND SECURITY, WHS.
10-105. Termination Briefings
10-105.1. Upon termination of employment, administrative
withdrawal of security clearance, or contemplated absence
from duty or employment for 60 days or more, DoD military
personnel and civilian employees shall be given a termination
briefing, return all classified material, and execute
a Security Termination Statement. This statement shall
include:
10-105.1.1. An acknowledgment that the individual has
read the appropriate provisions of the Espionage Act
(reference (yy)), other criminal statutes, DoD regulations
applicable to the safeguarding of classified information
to which the individual has had access, and understands
the implications thereof;
10-105.1.2. A declaration that the individual no longer
has any documents or material containing classified
information in his or her possession;
10-105.1.3. An acknowledgement that the individual
will not communicate or transmit classified information
to any unauthorized person or Agency; and
10-105.1.4. An acknowledgement that the individual
will report without delay to the FBI or the DoD Component
concerned any attempt by any unauthorized person to
solicit classified information.
10-105.2. When an individual refuses to execute a Security
Termination Statement, that fact shall be reported immediately
to the security manager of the cognizant organization
concerned. In any such case, the individual involved
shall be debriefed orally. The fact of a refusal to
sign a Security Termination Statement shall be reported
to the Director, Defense Investigative Service who shall
ensure that it is recorded in the Defense Central Index
of Investigations.
10-105.3. The security termination statement shall
be retained by the DoD Component that authorized the
individual access to classified information for the
period specified in the Component's record retention
schedules, but for a minimum of 2 years after the individual
is given a termination briefing.
10-105.4. ALL MILITARY AND CIVILIAN PERSONNEL ASSIGNED
TO OSD SHALL RECEIVE A TERMINATION BRIEFING FROM PERSONNEL
SECURITY DIVISION, DIRECTORATE OF PERSONNEL AND SECURITY,
WHS.
C11. CHAPTER 11
FOREIGN GOVERNMENT INFORMATION
C11.1. Section 1. CLASSIFICATION
11-100. Classification
11-100.1. Foreign government information classified
by a foreign government or international organization
of governments all retain its original classification
designation or be assigned a U.S. classification designation
that will ensure a degree of protection equivalent to
that required by the Government or organization that
furnished the information. Original classification
authority is not required for this purpose.
11-100.2. Foreign government information that was not
classified by a foreign entity but was provided with
the expectation, expressed or implied, that the information,
the source of the information, or both, are to be held
in confidence must be classified by an original classification
authority. The two-step procedure for classification
prescribed in subsection 2-202. does not apply to the
classification of such foreign government information
because E.O. 12356 (reference (g)) states a presumption
of damage to the national security in the event of unauthorized
disclosure of such information. Therefore, foreign
government information shall be classified at least
Confidential, but higher whenever the damage criteria
of subsections 1-501. or 1-502. are determined to be
met.
11-101. Duration of Classification
11-101.1. Foreign government information shall not
be assigned a date or event for automatic declassification
unless specified or agreed to by the foreign entity.
11-101.2. Foreign government information classified
by the Department of Defense under this or previous
Regulations shall be protected for an indefinite period
(see subsection 11-304.).
C11.2. Section 2. DECLASSIFICATION
11-200. Policy. In considering the possibility of
declassification of foreign government information,
officials shall respect the intent of this Regulation
to protect foreign government information and confidential
foreign sources.
11-201. Systematic Review. When documents containing
foreign government information are encountered during
the systematic review process they shall be referred
to the originating Agency for a declassification determination.
Consultation with the foreign originator through appropriate
channels may be necessary before final action can be
taken.
11-202. Mandatory Review. Requests for mandatory
review for declassification of foreign government information
shall be processed and acted upon in accordance with
the provisions of section C3.3. of Chapter 3, except
that foreign government information will be declassified
only in accordance with the guidelines developed for
such purpose and after necessary consultation with other
DoD Components or Government Agencies with subject matter
interest. When these guidelines cannot be applied
to the foreign government information requested, or
in the absence of such guidelines, consultation with
the foreign originator through appropriate channels
normally should be effected prior to final action taken
on the request. When the responsible DoD Component
is knowledgeable of the foreign originator's view toward
declassification or continued classification of the
types of information requested, consultation with the
foreign originator may not be necessary.
C11.3. Section 3. MARKING
11-300. Equivalent U.S. Classification Designations.
Except for the foreign security classification designation
RESTRICTED, foreign classification designations, including
those of international organizations of governments,
that is, NATO, generally parallel U.S. classification
designations. A table of equivalents is contained
in Appendix 1.
11-301. Marking NATO Documents. Classified documents
originated by NATO, if not already marked with the appropriate
classification in English, shall be so marked. Markings
required under subsection 4-402. shall not be placed
on documents originated by NATO. Documents originated
by NATO that are marked RESTRICTED shall be marked with
the following additional notation: "To be safeguarded
in accordance with USSAN Instruction 1-69" (see DoD
Directive 5100.55 (reference (ee))).
11-302. Marking Other Foreign Government Documents
11-302.1. If the security classification designation
of foreign government documents is shown in English,
no other classification marking shall be applied.
If the foreign classification designation is not shown
in English, the equivalent overall U.S. classification
designation (see Appendix 1) shall be marked conspicuously
on the document. When foreign government documents
are marked with a classification designation having
no U.S. equivalent, as in the last column of Appendix
1, such documents shall be marked in accordance with
paragraph 11-302.2., below.
11-302.2. Certain foreign governments use a fourth
classification designation as shown in the last column
of Appendix 1. Such designations equate to the foreign
classification RESTRICTED. If foreign government documents
are marked with any of the classification designations
listed in the last column of Appendix 1, no other classification
marking shall be applied. In all such cases, the notation,
"This classified material is to be safeguarded in accordance
with DoD 5200.1-R or DoD 5220.22-M," shall be shown
on the face of the document.
11-302.3. Other marking requirements prescribed by
this Regulation for U.S. classified documents are not
applicable to documents of foreign governments or international
organizations of governments.
11-303. Marking of DoD Classification Determinations.
Foreign documents containing foreign government information
not classified by the foreign government but provided
to the Department of Defense in confidence shall be
classified as prescribed in paragraph 11-100.2. and
marked with the appropriate U.S. classification.
11-304. Marking of Foreign Government Information in
DoD Documents
11-304.1. Except where such markings would reveal that
information is foreign government information when that
fact must be concealed, or reveal a confidential source
or relationship not otherwise evident in the document
or information, foreign government information incorporated
in DoD documents shall be identified in a manner that
ensures that such information is not declassified prematurely
or made accessible to nationals of a third country without
consent of the originator. This requirement may be
satisfied by marking the face of the document "FOREIGN
GOVERNMENT INFORMATION," or with another marking that
otherwise indicates that the information is foreign
government information, and by including the appropriate
identification in the portion or paragraph classification
markings, for example, (NS) or (U.K.-C). All other
markings prescribed by subsection 4-103. are applicable
to these documents. In addition, DoD classified documents
that contain extracts of NATO classified information
shall bear a marking
substantially as follows on the cover or first page:
"THIS DOCUMENT CONTAINS NATO CLASSIFIED INFORMATION."
11-304.2. When foreign RESTRICTED or NATO RESTRICTED
information is included in an otherwise unclassified
DoD document, the DoD document shall be marked CONFIDENTIAL.
All requirements of subsection 4-103. apply to such
documents. Portion markings on such a document include,
for example, "(U)," "(NR)," and "(FRG-R)." In addition,
the appropriate caveat from paragraph 11-304.1., above,
shall be included on the face of the document.
11-304.3. The "Classified by" line of DoD documents
containing only foreign government information normally
shall be completed with the identity of the foreign
government or international organization involved, for
example, "Classified by Government of Australia," or
"Classified by NATO," provided that other requirements
of subsection 4-104. do not pertain to such documents.
11-304.4. The "Declassify on" line of DoD documents
containing foreign government information normally shall
be completed with the notation, "Originating Agency's
Determination Required," or "OADR" (see subsections
4-600. and 11-101.).
C11.4. Section 4. PROTECTIVE MEASURES
11-400. NATO Classified Information. NATO classified
information shall be safeguarded in accordance with
the provisions of DoD Directive 5100.55 (reference (ee)).
QUESTIONS CONCERNING THE RELEASABILITY OF INFORMATION
TO NATO SHOULD BE REFERRED TO THE DIRECTORATE FOR INFORMATION
SECURITY (ODUSD/P), ROOM 3C260, TELEPHONE 695-2686.
INFORMATION ON ANY OTHER PART OF THE PROGRAM MAY BE
OBTAINED FROM THE OSD SUB-REGISTRY, ROOM 3A948, TELEPHONE
697-9287.
11-401. Other Foreign Government Information
11-401.1. Classified foreign government information
other than NATO information shall be protected as is
prescribed by this Regulation for U.S. classified information
of a comparable classification.
11-401.2. Foreign government information, unless it
is NATO information, that is marked under paragraphs
11-302.2. or 11-304.2. shall be protected as U.S. CONFIDENTIAL,
except that such information may be stored in locked
filing cabinets, desks, or other similar closed spaces
that will prevent access by unauthorized persons.
C12. CHAPTER 12
SPECIAL ACCESS PROGRAMS
12-100. Policy. It is the policy of the Department
of Defense to use the security classification categories
and the applicable sections of E.O. 12356 (reference
(g)) and its implementing ISOO Directive (reference
(h)), to limit access to classified information on a
"need-to-know" basis to personnel who have been determined
to be trustworthy. It is further policy to apply the
"need-to-know" principle in the regular system so that
there will be no need to resort to formal Special Access
Programs. In this context, Special Access Programs
may be created or continued only on a specific showing
that:
12-100.1. Normal management and safeguarding procedures
are not sufficient to limit "need-to-know" or access;
and
12-100.2. The number of persons who will need access
will be reasonably small and commensurate with the objective
of providing extra protection for the information involved.
12-101. Establishment of Special Access Programs
12-101.1. Procedures for the establishment of Special
Access Programs involving NATO classified information
are based on international treaty requirements (see
DoD Directive 5100.55 (reference (ee)).
12-101.2. The policies and procedures for access to
and dissemination of Restricted Data and Critical Nuclear
Weapon Design Information are contained in DoD Directive
5210.2 (reference (dd)).
12-101.3. Special Access Programs for foreign intelligence
information under the cognizance of the Director of
Central Intelligence, or those of the National Telecommunications
and Information Systems Security Committee originate
outside the Department of Defense. However, coordination
with the DUSD(P) and the Component's central point of
contact is necessary before the establishment or implementation
of any such Programs by any DoD Component. The information
required by paragraph 12-105.1. will be provided.
12-101.4. Excluding those Programs specified in paragraphs
12-101.1., 12-101.2., and 12-101.3., above, Special
Access Programs shall be established within the Military
Departments by:
12-101.4.1. Submitting to the Secretary of the Department
the information required under paragraph 12-105.1.;
12-101.4.2. Obtaining written approval from the Secretary
of the Department;
12-101.4.3. Providing to the DUSD(P) a copy of the
approval; and
12-101.4.4. Maintaining the information and rationale
upon which approval was granted within the Military
Department's central office.
12-101.5. Special Access Programs, other than those
specified in paragraphs 12-101.1., 12-101.2., and 12-101.3.,
above, that are desired to be established in any DoD
Component other than the Military Departments shall
be submitted with the information referred to in paragraph
12-105.1. to the DUSD(P) for approval.
12-102. Review of Special Access Programs
12-102.1. Excluding those Programs specified in paragraphs
12-101.1., 12-101.2., or 12-101.3., each Special Access
Program shall be reviewed annually by the DoD Component
responsible for establishment of the Program. To accommodate
such reviews, DoD Components shall institute procedures
to ensure the conduct of annual security inspections
and regularly scheduled audits by security, contract
administration, and audit organizations.
12-102.2. Special Access Programs, excluding those
specified in paragraphs 12-101.1., 12-101.2., or 12-101.3.,
or those required by treaty or international agreement,
shall terminate automatically every 5 years unless reestablished
in accordance with the procedures contained in subsection
12-101.
12-103. Control and Administration
12-103.1. Each DoD Component shall appoint an official
to act as a single point of contact for information
concerning the establishment and security administration
of all Special Access Programs established by or existing
in the Component. Such official shall report to the
DUSD(P):
12-103.1.1. The establishment of a Special Access Program
as required by paragraph 12-101.4.3.; and
12-103.1.2. Changes in Program status as required by
paragraphs 12-105.2. or 12-105.3.
12-103.2. Officials serving as single points of contact,
as well as members of their respective staffs and other
persons providing support to Special Access Programs
who require access to multiple sets of particularly
sensitive information, shall be subject to a counterintelligence-scope
polygraph examination periodically but not less than
once every 5 years. Additionally, such testing will
be subject to the limitations imposed by Congress.
The program for each DoD Component, as well as requests
for waiver, shall be submitted for approval by the DUSD(P).
12-104. Codewords and Nicknames. Excluding those
Programs specified in paragraphs 12-101.1., 12-101.2.,
or 12-101.3., each Special Access Program will be assigned
a codeword, a nickname, or both. Codewords and nicknames
for Special Access Programs shall be allocated solely
by the DUSD(P) through the official appointed under
subsection 12-103. DoD Components may request codewords
and nicknames individually or in block. If codewords
or nicknames are obtained in block, however, the issuing
Component shall promptly notify the DUSD(P) upon activation
and assignment.
12-105. Reporting of Special Access Programs
12-105.1. Report of Establishment. Reports to the
Secretary of the Military Department or the DUSD(P)
required under subsection 12-101. for Special Access
Programs shall include:
12-105.1.1. The responsible Department, Agency, or
DoD Component, including office identification;
12-105.1.2. The codeword and/or nickname of the Program;
12-105.1.3. The relationship, if any, to other Special
Access Programs in the Department of Defense or other
Government Agencies;
12-105.1.4. The rationale for establishing the Special
Access Program including the reason why normal management
and safeguarding procedures for classified information
are inadequate;
12-105.1.5. The estimated number of persons granted
special access in the responsible DoD Component; other
DoD Components; other Government Agencies; contractors;
and the total of such personnel;
12-105.1.6. A summary statement pertaining to the Program
security requirements with particular emphasis upon
those personnel security requirements governing access
to Program information;
12-105.1.7. The date of Program establishment;
12-105.1.8. The estimated number and approximate dollar
value, if known, of carve-out contracts that will be
or are required to support the Program; and
12-105.1.9. The DoD Component official who is the point
of contact (last name, first name, middle initial; position
or title; mailing address; and telephone number).
12-105.2. Annual Reports. Annual reports to the DUSD(P)
shall be submitted not later than January 31 of each
year, showing the changes in information provided under
paragraph 12-105.1., above, as well as the date of last
review. Annual reports shall reflect actual rather
than estimated numbers of carve-out contracts and persons
granted access and shall summarize the results of the
inspections and audits required by paragraph 12-102.1.
The effective date of information in the annual report
shall be December 31.
12-105.3. Termination Reports. The DUSD(P) shall
be notified immediately upon termination of a Special
Access Program.
12-106. Accounting for Special Access Programs. The
DUSD(P) shall maintain a listing of approved Special
Access Programs.
12-107. Limitations on Access. Access to data reported
under this Chapter shall be limited to the DUSD(P) and
the minimum number of properly indoctrinated staff necessary
to perform the functions assigned the DUSD(P) herein.
Access may not be granted to any other person for
any purpose without the approval of the DoD Components
sponsoring the Special Access Programs concerned.
12-108. "Carve-Out" Contracts
12-108.1. The Secretaries of the Military Departments
and the DUSD(P), or their designees, shall ensure that,
in those Special Access Programs involving contractors,
special access controls are made applicable by legally
binding instruments.
12-108.2. To the extent necessary for DIS to execute
its security responsibilities with respect to Special
Access Programs under its security cognizance, DIS personnel
shall have access to all information relating to the
administration of these Programs.
12-108.3. Excluding those Programs specified in paragraph
12-101.3., the use of "carve-out" contracts that relieve
the DIS from inspection responsibility under the Defense
Industrial Security Program is prohibited unless:
12-108.3.1. Such contract supports a Special Access
Program approved and administered under subsection 12-101.;
12-108.3.2. Mere knowledge of the existence of a contract
or of its affiliation with the Special Access Program
is classified information; and
12-108.3.3. Carve-out status is approved for each contract
by the Secretary of a Military Department, the Director,
NSA, the DUSD(P), or their designees.
12-108.4. Approval to establish a "carve-out" contract
must be requested from the Secretary of a Military Department,
or designee(s), the Director, NSA, or designee(s), or
in the case of other DoD Components, from the DUSD(P).
Approved "carve-out" contracts shall be assured the
support necessary for the requisite protection of the
classified information involved. The support shall
be specified through a system of controls that shall
provide for:
12-108.4.1. A written security plan;
12-108.4.2. Professional security personnel at the
sponsoring DoD Component performing security inspections
at each contractor's facility which shall be conducted,
at a minimum, with the frequency prescribed by paragraph
4-103 of DoD 5220.22-R (reference (i));
12-108.4.3. "Carve-out" contracting procedures;
12-108.4.4. A central office of record; and
12-108.4.5. An official to be the single point of contact
for security control and administration. DoD Components
other than the Military Departments and NSA shall submit
such appropriate rationale and security plan along with
requests for approval to the DUSD(P).
12-108.4.6. An annual inventory of carve-out contracts
shall be conducted by each DoD Component that participates
in Special Access Programs.
12-108.4.7. This subsection relates back to the date
of execution for each contract to which carve-out contracting
techniques are applied. The carve-out status of any
contract expires upon termination of the Special Access
Program which it supports.
12-109. Oversight Reviews
12-109.1. The DUSD(P) shall conduct oversight reviews,
as required, to determine compliance with this Chapter.
12-109.2. Pursuant to statutory authority, the Inspector
General, Department of Defense, shall conduct oversight
of Special Access Programs.
C13. CHAPTER 13
PROGRAM MANAGEMENT
C13.1. Section 1. EXECUTIVE BRANCH OVERSIGHT AND
POLICY DIRECTION
13-100. National Security Council. Pursuant to the
provisions of E.O. 12356 (reference (g)), the NSC shall
provide overall policy direction for the Information
Security Program.
13-101. Administrator of General Services. The Administrator
of General Services is responsible for implementing
and monitoring the Information Security Program established
under reference (g). In accordance with reference
(g), the Administrator delegates the implementation
and monitorship functions of the Program to the Director
of the ISOO.
13-102. Information Security Oversight Office
13-102.1. Composition. The ISOO has a full-time director
appointed by the Administrator of General Services with
approval of the President. The Director has the authority
to appoint a staff for the office.
13-102.2. Functions. The Director of the ISOO is
charged with the following principal functions that
pertain to the Department of Defense:
13-102.2.1. Oversee DoD actions to ensure compliance
with reference (g) and implementing directives, for
example, the ISOO Directive No.1 (reference (h)) and
this Regulation;
13-102.2.2. Consider and take action on complaints
and suggestions from persons within or outside the Government
with respect to the administration of the Information
Security Program;
13-102.2.3. Report annually to the President through
the NSC on the implementation of reference (g);
13-102.2.4. Review this Regulation and DoD guidelines
for systematic declassification review; and
13-102.2.5. Conduct on-site reviews of the Information
Security Program of each DoD Component that generates
or handles classified information.
13-103. Information Requests. The Director of the
ISOO is authorized to request information or material
concerning the Department of Defense, as needed by the
ISOO in carrying out its functions.
13-104. Coordination. Heads of DoD Components shall
ensure that any significant requirements levied directly
on the Component by the ISOO are brought to the attention
of the Director of Security Plans and Programs, ODUSD(P).
C13.2. Section 2. DEPARTMENT OF DEFENSE
13-200. Management Responsibility
13-200.1. The DUSD(P) is the senior DoD official having
DoD-wide authority and responsibility to ensure effective
and uniform compliance with and implementation of E.O.
12356 and its implementing ISOO Directive No. 1 (references
(g) and (h)). As such, the DUSD(P) shall have primary
responsibility for providing guidance, oversight and
approval of policy and procedures governing the DoD
Information Security Program. The DUSD(P) or his designee
may approve waivers or exceptions to the provisions
of this Regulation to the extent such action is consistent
with references (g) and (h).
REQUEST FOR WAIVERS SHALL BE PREPARED FOR THE SIGNATURE
OF THE DIRECTOR, WHS, AND ADDRESSED TO DUSD(P). BEFORE
SUBMISSION FOR SIGNATURE, THE REQUEST SHALL BE COORDINATED
WITH DIRECTOR, PSD.
13-200.2. The Heads of DoD Components may approve waivers
to the provisions of this Regulation only as specifically
provided for herein.
REQUESTS TO THE DIRECTOR, WHS, FOR WAIVERS SHALL BE
SIGNED BY THE HEAD OF THE OSD COMPONENT CONCERNED AND
ROUTED THROUGH THE DIRECTOR, PSD.
13-200.3. The Director, NSA/Chief, Central Security
Service, under DoD Directive 5200.1 (reference (f)),
is authorized to impose special requirements with respect
to the marking, reproduction, distribution, accounting,
and protection of and access to classified cryptologic
information. In this regard, the Director, NSA, may
approve waivers or exceptions to these special requirements.
Except as provided in subsection 1-205., the authority
to lower any COMSEC security standards rests with the
Secretary of Defense. Requests for approval of such
waivers or exceptions to established COMSEC security
standards which, if adopted, will have the effect of
lowering such standards, shall be submitted to the DUSD(P)
for approval by the Secretary of Defense.
C13.3. Section 3. DoD COMPONENTS
13-300. General. The Head of each DoD Component shall
establish and maintain an Information Security Program
designed to ensure compliance with the provisions of
this Regulation throughout the Component.
13-301. Military Departments. In accordance with
DoD Directive 5200.1 (reference (f)), the Secretary
of each Military Department shall designate a senior
official who shall be responsible for complying with
and implementing this Regulation within the Department.
13-302. Other Components. In accordance with DoD
Directive 5200.1 (reference (f)), the Head of each other
DoD Component shall designate a senior official who
shall be responsible for complying with and implementing
this Regulation within their respective Component.
13-302.1. THE DIRECTOR, WHS, IS THE SENIOR OFFICIAL
RESPONSIBLE FOR THE INFORMATION SECURITY PROGRAM WITHIN
OSD COMPONENTS. THE OFFICIAL RESPONSIBLE FOR THE DAY
TO DAY IMPLEMENTATION OF THE INFORMATION SECURITY PROGRAM
WITHIN OSD COMPONENTS IS THE DIRECTOR, PSD.
13-303. Program Monitorship. The senior officials
designated under subsections 13-301. and 13-302. are
responsible within their respective jurisdictions for
monitoring, inspecting with or without prior announcement,
and reporting on the status of administration of the
DoD Information Security Program at all levels of activity
under their cognizance.
13-304. Field Program Management
13-304.1. Throughout the Department of Defense, the
head of each activity shall appoint, in writing, an
official to serve as security manager for the activity.
This official shall be responsible for the administration
of an effective Information Security Program in that
activity with particular emphasis on security education
and training, assigment of proper classifications, downgrading
and declassification, safeguarding, and monitorship,
to include sampling classified documents for the purpose
of Assuring compliance with this Regulation.
13-304.1.1. IMPLEMENT THE SECURITY PROCEDURES AND INFORMATION
SECURITY PROGRAM.
13-304.1.2. DESIGNATE, IN WRITING, PRIMARY AND ALTERNATE
OFFICIALS WHO ARE TO SERVE AS SECURITY MANAGERS WITHIN
THEIR RESPECTIVE COMPONENT AND PROVIDE A COPY OF THESE
DESIGNATIONS TO THE DIRECTOR, PSD.
13-304.1.3. ENSURE THE SECURITY MANAGER IS EXPERIENCED
IN WORKING WITH CLASSIFIED MATERIAL.
13-304.1.4. ASSIST THE SECURITY MANAGER IN COMPLYING
WITH THIS INSTRUCTION.
13-304.2. Activity heads shall ensure that officials
appointed as security managers either possess, or obtain
within a reasonable time after appointment, knowledge
of and training in the Information Security Program
commensurate with the needs of their positions. The
Director of Security Plans and Programs, ODUSD(P) shall,
with the assistance of the Director, Defense Security
Institute, develop minimum standards for training of
activity security managers. Such training should result
in appropriate certifications to be recorded in the
personnel files of the individuals involved.
13-304.3. Activity heads shall ensure that officials
appointed as security managers are authorized direct
and ready access to the appointing official on matters
concerning the Information Security Program. They
also shall provide sufficient resources of time, staff,
and funds to permit accomplishment of the security manager's
responsibilities, to include meaningful oversight of
the Information Security Program at all levels of the
activity.
13-304.3.1. ADVISE AND REPRESENT THE HEAD OF THE OSD
COMPONENT ON MATTERS RELATED TO THIS INSTRUCTION.
13-304.3.2. ESTABLISH, IMPLEMENT, AND MAINTAIN AN EFFECTIVE
SECURITY EDUCATION PROGRAM.
13-304.3.3. ESTABLISH PROCEDURES FOR ENSURING THAT
ALL PERSONS HANDLING CLASSIFIED MATERIAL ARE CLEARED
PROPERLY AND HAVE A NEED TO KNOW.
13-304.3.4. ENSURE THAT RESPONSIBLE OFFICIALS CREATE,
REVIEW, AND UPDATE WHEN REQUIRED, CLASSIFICATION GUIDES
FOR CLASSIFIED PLANS, PROGRAMS, AND PROJECTS.
13-304.3.5. ENSURE, IN COORDINATION WITH RECORDS MANAGEMENT
PERSONNEL, THE REVIEW AND CONTINUAL REDUCTION OF CLASSIFIED
INFORMATION WITH THE OSD COMPONENT BY DECLASSIFICATION,
DESTRUCTION, OR RETIREMENT. RECORDS MANAGEMENT PERSONNEL
SHALL OVERSEE THE OSD COMPONENT ANNUAL CLEAN-OUT DAYS.
C13.4. Section 4. INFORMATION REQUIREMENTS
13-400. Information Requirements. DoD Components
shall submit on a fiscal year basis a consolidated report
concerning the Information Security Program of the Component
on SF 311, "Agency Information Security Program Data,"
to reach the ODUSD(P) by October 20 of each year.
SF 311 shall be completed in accordance with the instructions
thereon and augmenting instructions issued by the ODUSD(P).
The ODUSD(P) shall submit the DoD report (SF 311)
to the ISOO by October 31 of each year. Interagency
Report Control Number 0230-GSA-AN applies to this information
collection system as well as to that contained in subsection
1-602.
C13.5. Section 5. DEFENSE INFORMATION SECURITY COMMITTEE
13-500. Purpose. The Defense Information Security
Committee (DISC) is established to advise and assist
the DUSD(P) and the Director, Security Plans and Programs,
ODUSD(P) in the formulation of DoD Information Security
Program policy and procedures.
13-501. Direction and Membership. The DISC shall
meet at the call of the DUSD(P) or the Director, Security
Plans and Programs. It is comprised of the DUSD(P)
as Chairman; the Director, Security Plans and Programs,
as Vice Chairman; and the senior officials (designated
in accordance with section 5.3.1., DoD Directive 5200.1,
reference (f)) (or their representatives) responsible
for directing and administering the Information Security
Program of the OJCS, the Departments of the Army, Navy,
and Air Force, the Defense Intelligence Agency, the
Defense Nuclear Agency, the National Security Agency,
and the Defense Investigative Service. Other DoD Components
may be invited to attend meetings of particular interest
to them.
C14. CHAPTER 14
ADMINISTRATIVE SANCTIONS
14-100. Individual Responsibility. All personnel,
civilian or military, of the Department of Defense are
responsible individually for complying with the provisions
of this Regulation.
14-101. Violations Subject to Sanctions
14-101.1. DoD Military and civilian personnel are subject
to administrative sanctions if they:
14-101.1.1. Knowingly and willfully classify or continue
the classification of information in violation of E.O.
12356 (reference (g)), any implementing issuances, or
this Regulation;
14-101.1.2. Knowingly, willfully, or negligently disclose
to unauthorized persons information properly classified
under reference (g) or prior orders; or
14-101.1.3. Knowingly and willfully violate any other
provision of reference (g), any implementing issuances
or this Regulation.
14-101.2. Sanctions include but are not limited to
a warning notice, reprimand, termination of classification
authority, suspension without pay, forfeiture of pay,
removal or discharge, and will be imposed upon any person,
regardless of office or level of employment, who is
responsible for a violation specified under this paragraph
as determined appropriate under applicable law and DoD
Regulations. Nothing in this Regulation prohibits
or limits action under the Uniform Code of Military
Justice (reference (zz)) based upon violations of that
Code.
14-101.3. THE SANCTIONS IN RESPONSE TO COMPROMISES
OR VIOLATIONS OF CLASSIFIED INFORMATION SHALL BE AS
FOLLOWS:
14-101.3.1. NONPUNITIVE MEASURES
14-101.3.1.1. CIVILIAN PERSONNEL
14-101.3.1.1.1. FIRST SANCTION. WRITTEN ADMONITION
BY THE SUPERVISOR OR HIGHER AUTHORITY AND AN ORAL ADMONITION
OF THE CONSEQUENCES OF FURTHER VIOLATIONS. BEFORE
GIVING THE ADMONISHMENT, THE SUPERVISOR SHALL ENSURE
THAT HE OR SHE IS IN POSSESSION OF ALL FACTS, SHALL
AFFORD THE PERSON AN OPPORTUNITY TO REBUT THE FACTS,
AND SHALL ENSURE THAT THE HEAD OF THE OSD COMPONENT
CONCERNED HAS APPROVED THE ADMONITION. A COPY OF THE
ADMONISHMENT SHALL BE PROVIDED TO THE DIRECTOR, PSD.
14-101.3.1.1.2. SECOND SANCTION. LETTER OF REPRIMAND
BY THE HEAD OF THE OSD COMPONENT CONCERNED. A COPY
OF THE PROPOSED LETTER SHALL BE PROVIDED TO THE PERSON
SO THAT HE OR SHE MAY REPLY TO THE MERITS AND ACCURACY
OF ITS CONTENT. THE LETTER AND REPLY SHALL BE REVIEWED
BY THE HEAD OF THE OSD COMPONENT, WHO THEN SHALL NOTIFY
THE PERSON WHETHER THE LETTER HAS BEEN APPROVED OR DISAPPROVED.
A COPY OF THIS LETTER SHALL BE PLACED IN THE PERSON'S
PERSONNEL FILE FOR A PERIOD OF 90 DAYS.
14-101.3.1.2. MILITARY PERSONNEL. ARMY REGULATION
27-10, "MILITARY JUSTICE," AND AIR FORCE REGULATION
35-32, "UNFAVORABLE INFORMATION FILES, CONTROL ROSTERS,
ADMINISTRATIVE REPRIMANDS AND ADMONITIONS," (REFERENCES
(TTT) and (UUU)), RECOGNIZE LETTERS OF ADMONITION AND
REPRIMAND. THE NAVY AND MARINE CORPS "JUDGE ADVOCATE
GENERAL MANUAL" (REFERENCE (VVV)) REQUIRES THAT LETTERS
OF CENSURE BE CHARACTERIZED AS LETTERS OF CAUTION OR
INSTRUCTION AS OPPOSED TO LETTERS OF ADMONITION OR REPRIMAND.
14-101.3.1.2.1. FIRST SANCTION. THE SAME AS THAT
FOR CIVILIAN PERSONNEL.
14-101.3.1.2.2. SECOND SANCTION. THE SAME AS TRAT
FOR CIVILIAN PERSONNEL, EXCEPT THAT THE LETTER SHALL
BE PLACED IN THE PERSON'S PERSONNEL SECURITY FILE.
14-101.3.2. PUNITIVE MEASURES
14-101.3.2.1. CIVILIAN PERSONNEL
14-101.3.2.1.1. THIRD SANCTION. SUSPENSION WITHOUT
PAY FOR NOT LESS THAN 1 DAY AND NOT MORE THAN 5 DAYS.
14-101.3.2.1.2. FOURTH SANCTION. SUSPENSION WITHOUT
PAY FOR NOT LESS THAN 2 WEEKS AND CONSIDERATION OF THE
REVOCATION OF THE PERSON'S SECURITY CLEARANCE, OR TERMINATION
OF EMPLOYMENT OR AFFILIATION.
14-101.3.2.2. MILITARY PERSONNEL
14-101.3.2.2.1. THIRD SANCTION. REFERRAL OF THE VIOLATION
TO THE PERSON'S PARENT MILITARY SERVICE FOR DISCIPLINARY
ACTION.
14-101.3.2.2.2. FOURTH SANCTION. REASSIGNMENT OF
THE PERSON TO HIS OR HER PARENT MILITARY SERVICE.
14-101.4. OSD PERSONNEL DETAILED TO ANOTHER GOVERNMENT
AGENCY. OSD CIVILIAN AND MILITARY PERSONNEL DETAILED
TO ANOTHER GOVERNMENT AGENCY SHALL BE SUBJECT TO THE
SECURITY REGULATIONS OF THAT AGENCY. THE HEAD OF THE
AGENCY SHALL BE REQUESTED TO PROVIDE THE DIRECTOR, WHS,
WITH A REPORT ON THE VIOLATION AND ANY RECOMMENDATION
DEEMED PROPER.
14-101.5. PERSONNEL DETAILED FROM ANOTHER AGENCY TO
AN OSD COMPONENT. PERSONNEL DETAILED FROM ANOTHER
GOVERNMENT AGENCY SHALL BE SUBJECT TO THE ADMINISTRATIVE
SANCTIONS OF THIS INSTRUCTION. THE DIRECTOR, PSD,
SHALL NOTIFY THE DIRECTOR, WHS, FOR PROPER ACTION.
14-101.6. DISMISSAL. ANY PERSON'S BREACH OF SECURITY
REGULATIONS MAY BE SERIOUS ENOUGH TO WARRANT GREATER
SANCTIONS THAN THE MINIMUM SANCTIONS PRESCRIBED IN THIS
ENCLOSURE UP TO AND INCLUDING THE SEPARATION OF A PERSON
FROM EMPLOYMENT, POSSIBLE CRIMINAL PROSECUTION, OR ACTION
UNDER THE UNIFORM CODE OF MILITARY JUSTICE (REFERENCE
(XXX)).
14-102. Corrective Action. The Secretary of Defense,
the Secretaries of the Military Departments, and the
Heads of other DoD Components shall ensure that appropriate
and prompt corrective action is taken whenever a violation
under paragraph 14-101.1. occurs or repeated administrative
discrepancies or repeated disregard of requirements
of this Regulation occur (see subsection 14-103.).
Commanders and supervisors, in consultation with appropriate
legal counsel, shall utilize all appropriate criminal,
civil, and administrative enforcement remedies against
employees who violate the law and security requirements
as set forth in this Regulation and other pertinent
DoD issuances.
14-103. Administrative Discrepancies. Repeated administrative
discrepancies in the marking and handling of classified
information and material such as failure to show classification
authority; failure to apply internal classification
markings; failure to adhere to the requirements of this
Regulation that pertain to dissemination, storage, accountability,
and destruction, and that are determined not to constitute
a violation under paragraph 14-101.1. may be grounds
for adverse administrative action including warning,
admonition, reprimand or termination of classification
authority as determined appropriate under applicable
policies and procedures.
14-104. Reporting Violations
14-101.1. Whenever a violation under paragraph 14-101.1.2.
occurs, the Director of Counterintelligence and Investigative
Programs, ODUSD(P) shall be informed of the date and
general nature of the occurrence including the relevant
parts of this Regulation, the sanctions imposed, and
the corrective action taken. Whenever a violation
under subparagraph 14-101.1.1. or 14-101.1.3. occurs,
the Director of Security Plans and Programs, ODUSD(P)
shall be provided the same information. Notification
of such violations shall be furnished to the Director
of the ISOO in accordance with Section 5.4(d) of E.O.
12356 (reference (g)) by the ODUSD(P).
14-101.2. Any action resulting in unauthorized disclosure
of properly classified information that constitutes
a violation of the criminal statutes and evidence reflected
in classified information of possible violations of
Federal criminal law by a DoD employee and of possible
violations by any other person of those Federal criminal
laws specified in guidelines adopted by the Attorney
General shall be the subject of a report processed in
accordance with DoD Directive 5210.50 (reference (pp))
and DoD Instruction 5240.4 (reference (oo)).
14-101.3. Any action reported under paragraph 14-101.2.,
above, shall be reported to the Attorney General by
the General Counsel, Department of Defense.
14-101.4. Reports shall be made to appropriate counterintelligence,
investigative, and personnel security authorities concerning
any employee who is known to have been responsible for
repeated security violations over a period of a year,
for appropriate evaluation, including readjudication
of the employee's security clearance.
C15. CHAPTER 15
FOR OFFICIAL USE ONLY INFORMATION
C15.1. Section 1. GENERAL PROVISIONS
15-100. BASIC POLICY. THIS CHAPTER IMPLEMENTS DOD
5400.7-R (REFERENCE (YYY)) AND PROVIDES POLICY AND PROCEDURES
FOR THE MARKING, CONTROL AND PROTECTION OF INFORMATION
OTHER THAN CLASSIFIED INFORMATION THAT PROPERLY MAY
BE WITHHELD FROM PUBLIC DISCLOSURE UNDER THE FREEDOM
OF INFORMATION ACT, 5 U.S.C. 552, REFERENCE (ZZZ) AS
AMENDED.
15-100.1. UNCLASSIFIED RECORDS AND DOCUMENTS AUTHORIZED
BY EXEMPTIONS 2 THROUGH 9 OF DOD DIRECTIVE 5400.7 (REFERENCE
(P)) TO BE WITHHELD FROM GENERAL PUBLIC DISCLOSURE,
AND WHICH FOR A SIGNIFICANT AND LEGITIMATE U.S. GOVERNMENT
PURPOSE SHOULD NOT BE GIVEN GENERAL CIRCULATION, SHALL
BE MARKED "FOR OFFICIAL USE ONLY" AT THE TIME OF THEIR
CREATION.
15-100.2. THE PRESENCE OR ABSENCE OF THE MARKING "FOR
OFFICIAL USE ONLY" DOES NOT ELIMINATE THE REQUIREMENT
THAT EVERY DOCUMENT SHALL BE REVIEWED IN CONNECTION
WITH A DETERMINATION AS TO ITS RELEASEABILITY.
15-101. LIMITATIONS AND RESTRICTIONS
15-101.1. THE MARKING "FOR OFFICIAL USE ONLY" SHALL
NOT BE APPLIED AS A LESS STRINGENT SECURITY DESIGNATION
UNDER CONDITIONS WHERE CLASSIFICATION UNDER CHAPTER
2, ABOVE, OF THIS INSTRUCTION IS NOT WARRANTED.
15-101.2. THE MARKING MAY BE APPLIED TO INFORMATION
OR MATERIAL THAT HAS BEEN DECLASSIFIED IN ACCORDANCE
WITH CHAPTER 3, ABOVE, OF THIS INSTRUCTION.
15-101.3. INFORMATION CONTAINED IN A TECHNICAL DOCUMENT
THAT REQUIRES A DISTRIBUTION STATEMENT UNDER DOD DIRECTIVE
5230.24 (REFERENCE (AAAA)) SHALL BEAR THAT STATEMENT
AND NOT BE MARKED "FOR OFFICIAL USE ONLY."
15-101.4. THE MARKING "FOR OFFICIAL USE ONLY" SHALL
NOT BE USED AS A SUBSTITUTE FOR OR TRANSLATION OF THE
FOREIGN GOVERNMENT CLASSIFICATION OF "RESTRICTED."
C15.2. Section 2. MARKING
15-200. RESPONSIBILITY. THE INDIVIDUAL ORIGINATING,
APPROVING, OR SIGNING THE MATERIAL IS RESPONSIBLE FOR
MARKING A DOCUMENT THAT IS DETERMINED TO BE "FOR OFFICIAL
USE ONLY."
15-201. DOCUMENTS
15-201.1. THE MARKING "FOR OFFICIAL USE ONLY" SHALL
BE TYPED, STAMPED, OR PRINTED IN BOLD LETTERS AT THE
BOTTOM OF THE FRONT COVER (IF ANY); THE FIRST AND BACK
PAGE; AND THE OUTSIDE OF THE BACK COVER (IF ANY).
THE ABBREVIATION "FOUO" SHALL NOT BE USED.
15-201.2. FOR DOCUMENTS CONTAINING BOTH CLASSIFIED
AND "FOR OFFICIAL USE ONLY" INFORMATION, OVERALL DOCUMENT
AND PAGE MARKING SHALL BE IN ACCORDANCE WITH PARAGRAPH
4-200., ABOVE.
15-202. TRANSMITTAL LETTERS, ENDORSEMENTS, ETC.
UNCLASSIFIED PAPERS FORWARDING "FOR OFFICIAL USE ONLY"
ENCLOSURES, SHALL BE MARKED IN ACCORDANCE WITH PARAGRAPH
15-201.1., ABOVE. IF THE FORWARDING PAPER DOES NOT
CONTAIN "FOR OFFICIAL USE ONLY" INFORMATION, IT SHALL
BE MARKED WITH A NOTATION STATING THAT THE PROTECTION
MARKING IS CANCELED WHEN THE ENCLOSURE(S) ARE REMOVED.
15-203. PARAGRAPHS
15-203.1. WHEN NECESSARY TO ENSURE PROPER UNDERSTANDING
OR AS A MEANS OF FACILITATING SEGREGATION OF NON-RELEASABLE
INFORMATION IN A LENGTHY RECORD, INDIVIDUAL PARAGRAPHS,
SECTIONS, OR PORTIONS SHALL BE MARKED. THE ABBREVIATED
MARKING "FOUO" MAY BE USED FOR THIS PURPOSE.
15-203.2. IN CLASSIFIED DOCUMENTS, THE MARKING "FOUO"
SHALL BE APPLIED ONLY TO THOSE PARAGRAPHS CONTAINING
"FOR OFFICIAL USE ONLY" INFORMATION, BUT NOT CONTAINING
CLASSIFIED INFORMATION.
15-204. WORKING PAPERS. UNCLASSIFIED WORKING PAPERS,
NOTES, PRELIMINARY DRAFTS, CONTAINING INFORMATION PROTECTED
FROM RELEASE SHALL BE MARKED "FOR OFFICIAL USE ONLY."
15-205. MATERIAL OTHER THAN DOCUMENTS. UNCLASSIFIED
MATERIAL OTHER THAN DOCUMENTS CONTAINING "FOR OFFICIAL
USE ONLY" INFORMATION SHALL BE MARKED TO CALL ATTENTION
TO THE TYPE OF INFORMATION.
15-206. DOCUMENTS OR MATERIAL TRANSMITTED OUTSIDE OF
THE DEPARTMENT OF DEFENSE. DOCUMENTS OR MATERIAL TRANSMITTED
OUTSIDE THE DEPARTMENT OF DEFENSE SHALL BE STAMPED OR
TYPED WITH THE FOLLOWING STATEMENT ON THE FACE OF THE
DOCUMENT OR MATERIAL: "THIS DOCUMENT CONTAINS INFORMATION
EXEMPT FROM MANDATORY DISCLOSURE UNDER FOIA. EXEMPTIONS
(INSERT PROPER NUMBERS FROM DOD DIRECTIVE 5400.7, CHAPTER
3, (REFERENCE (P)) APPLY."
C15.3. Section 3. DISSEMINATION AND TRANSMISSION
15-300. GENERAL. THE PROVISIONS OF THIS SECTION ARE
SUBJECT TO ADDITIONAL RESTRICTIONS THAT MAY BE IMPOSED
BY EXECUTIVE ORDER, STATUTORY REQUIREMENTS, DIRECTIVES,
AND REGULATIONS GOVERNING THE RELEASE OF SPECIFIC TYPES
OF INFORMATION SUCH AS TECHNICAL MATERIAL, PERSONNEL
RECORDS, OR MEDICAL RECORDS.
15-301. PUBLIC RELEASE. PUBLIC RELEASE OF "FOR OFFICIAL
USE ONLY" INFORMATION SHALL BE IN ACCORDANCE WITH DOD
5220.22-M (REFERENCE (K)).
15-302. RELEASE TO CONGRESS AND GAO
15-302.1. RELEASE OF "FOR OFFICIAL USE ONLY" INFORMATION
TO CONGRESS IS GOVERNED BY DOD DIRECTIVE 5400.4 (REFERENCE
(RR)). RELEASE OF "FOR OFFICIAL USE ONLY" INFORMATION
TO THE GENERAL ACCOUNTING OFFICE (GAO) IS GOVERNED BY
DOD DIRECTIVE 7650.1 (REFERENCE (SS)).
15-302.2. THE MARKING "FOR OFFICIAL USE ONLY" SHALL
EITHER BE REMOVED, IF A REVIEW OF THE MATERIAL DETERMINES
THAT THE INFORMATION NO LONGER REQUIRES THE MARKING,
OR THE STATEMENT IN PARAGRAPH 15-206., ABOVE, SHALL
BE STAMPED OR TYPED ON THE DOCUMENT.
15-303. RELEASE WITHIN THE DEPARTMENT OF DEFENSE.
THIS INSTRUCTION DOES NOT PLACE ANY RESTRICTIONS ON
THE DISSEMINATION AND USE OF UNCLASSIFIED RECORDS OR
DOCUMENTS CONSIDERED TO BE "FOR OFFICIAL USE ONLY" BETWEEN
COMPONENTS AND INDIVIDUALS OF THE DEPARTMENT OF DEFENSE
AND DOD CONTRACTORS AND GRANTEES WHEN CONDUCTING OFFICIAL
BUSINESS FOR THE DEPARTMENT OF DEFENSE. "FOR OFFICIAL
USE ONLY" RECORDS OR DOCUMENTS SHALL BE MARKED AND HANDLED
IN A MANNER AS TO PRECLUDE DISCLOSURE OF THE MATERIAL
TO THE PUBLIC.
15-304. RELEASE TO OTHER FEDERAL DEPARTMENTS AND AGENCIES.
EACH HOLDER OF "FOR OFFICIAL USE ONLY" INFORMATION
IS AUTHORIZED TO DISCLOSE SUCH INFORMATION TO OFFICIALS
IN OTHER DEPARTMENTS AND AGENCIES OF THE EXECUTIVE AND
JUDICIAL BRANCHES WHEN IT IS DETERMINED THAT INFORMATION
IS REQUIRED TO CARRY OUT A GOVERNMENTAL FUNCTION, IF
THAT RELEASE OF THE INFORMATION IS NOT PROHIBITED UNDER
THE PRIVACY ACT.
15-305. TRANSMISSION. "FOR OFFICIAL USE ONLY" INFORMATION
SHALL BE PROTECTED FROM UNAUTHORIZED DISCLOSURE THROUGHOUT
ITS PERIOD OF TRANSIT. COVER SHEETS, SEALED ENVELOPES,
BRIEFCASES, ETC., SHALL BE USED AS NECESSARY TO ENSURE
THE PROTECTION OF THE INFORMATION.
15-306. MAIL. FIRST CLASS MAIL AND ORDINARY PARCEL
POST MAY BE USED FOR TRANSMISSION. THE MATERIAL SHALL
BE PLACED IN A SINGLE SEALED ENVELOPE OR SEALED SINGLE
WRAPPING FOR TRANSMISSION. TRANSPARENT ENVELOPES OR
WRAPPING MATERIAL, SUCH AS "SHOTGUN" ENVELOPES OR HEAT
SEALED PLASTIC CONTAINERS, WHICH MIGHT REVEAL THE CONTENTS,
SHALL NOT BE USED. THE MARKING "FOR OFFICIAL USE ONLY"
SHALL NOT BE PLACED ON THE ENVELOPE OR WRAPPING. BULKY
SHIPMENTS, WHICH QUALIFY UNDER POSTAL REGULATIONS, MAY
BE SENT BY FOURTH CLASS MAIL.
15-307. RECEIPTS. "FOR OFFICIAL USE ONLY" INFORMATION
SHALL NOT BE COVERED BY A RECEIPT.
C15.4. Section 4. SAFEGUARDING
15-401. RESPONSIBILITY. THE SAFEGUARDING "FOR OFFICIAL
USE ONLY" INFORMATION RESTS WITH ALL INDIVIDUALS HANDLING,
IN POSSESSION OF, OR WITH KNOWLEDGE OF SUCH INFORMATION.
15-402. SAFEGUARDING DURING USE. WHILE IN USE, DOCUMENTS
SHALL NOT BE LEFT UNATTENDED, BUT SHALL BE IN THE PHYSICAL
POSSESSION OR UNDER SURVEILLANCE OF AN AUTHORIZED PERSON
AT ALL TIMES.
15-403. STORAGE. DOCUMENTS SHALL BE STORED TO PRECLUDE
UNAUTHORIZED ACCESS. FILING SUCH MATERIAL IN UNLOCKED
FILES, DESKS OR SIMILAR CONTAINERS IS ADEQUATE IN ALARMED
AREAS OR AREAS PATROLLED BY GSA OR CONTRACT GUARDS AFTER
DUTY HOURS. IN OTHER AREAS, THE MATERIAL SHALL BE
SECURED BEHIND LOCKED DOORS OR IN LOCKED CONTAINERS,
INCLUDING SECURITY CONTAINERS. CONTAINERS AUTHORIZED
FOR STORAGE OF CLASSIFIED MATERIAL SHALL NOT BE REQUISITIONED
SOLELY FOR MAINTAINING "FOR OFFICIAL USE ONLY" MATERIAL.
C15.5. Section 5. DISPOSITION AND DESTRUCTION
15-500. TERMINATION, DISPOSAL, AND UNAUTHORIZED DISCLOSURES
15-500.1. THE ORIGINATOR, OR HIGHER AUTHORITY, SHALL
TERMINATE THE "FOR OFFICIAL USE ONLY" MARKING WHEN THE
INFORMATION NO LONGER REQUIRES PROTECTION FROM DISCLOSURE.
ALL KNOWN HOLDERS SHALL BE NOTIFIED, AS PRACTICAL,
AND THE MARKING SHALL BE EFFACED OR REMOVED.
15-500.2. EXCEPT AS REQUIRED BY PARAGRAPH 15-202.,
ABOVE, "FOR OFFICIAL USE ONLY" INFORMATION SHALL NOT
BE MARKED WITH A DATE OR EVENT FOR REMOVAL OF THE PROTECTIVE
MARKING.
15-501. DISPOSAL
15-501.1. "FOR OFFICIAL USE ONLY" INFORMATION SHALL
BE DESTROYED WHEN IT IS NO LONGER NEEDED FOR OFFICIAL
PURPOSES.
15-501.2. "FOR OFFICIAL USE ONLY" INFORMATION SHALL
BE DESTROYED BY TEARING THE RECORD OR DOCUMENT INTO
PIECES TO PREVENT DISCLOSURE OF THE CONTENTS AND PLACING
THEM IN REGULAR TRASH CONTAINERS. RECORDS OF DESTRUCTION
ARE NOT REQUIRED.
15-501.3. "FOR OFFICIAL USE ONLY" MATERIAL, OTHER THAN
DOCUMENTS, SHALL BE DESTROYED BY BURNING IN THE PENTAGON
DESTRUCTION FACILITY.
15-502. UNAUTHORIZED DISCLOSURE. IF AN UNAUTHORIZED
DISCLOSURE OCCURS, THE PROCEDURES IN CHAPTER 6, ABOVE,
SHALL BE FOLLOWED BY THE DISCOVERER, HEAD OF OSD COMPONENT,
AND PSD. UNAUTHORIZED DISCLOSURE OF "FOR OFFICIAL
USE ONLY" INFORMATION THAT IS PROTECTED BY THE PRIVACY
ACT MAY RESULT IN CRIMINAL SANCTIONS AGAINST THE RESPONSIBLE
PERSONS.
C16. CHAPTER 16
SENSITIVE COMPARTMENTED INFORMATION FACILITIES (SCIF)
C16.1. Section 1.
16-100. SCIF ESTABLISHMENT. SENSITIVE COMPARTMENTED
INFORMATION (SCI) REQUIRES SPECIAL CONTROLS FOR RESTRICTED
HANDLING WITHIN COMPARTMENTED INTELLIGENCE SYSTEMS.
SUCH MATERIAL SHALL BE HANDLED AND CONTROLLED IN ACCORDANCE
WITH DOD TS-5105.21-M-2, DOD C-5105.21-M-1, DOD TS-5105.22-M-3,
DIAM 50-1, and DIAM 50-3 (REFERENCES (GGG), (HHH), (III),
(WWW), and (QQQ). THESE PUBLICATIONS ARE DESIGNED
TO RESTRICT DISCUSSION OF THESE SENSITIVE MATERIALS
TO SPECIALLY DESIGNATED AREAS THAT HAVE BEEN CONSTRUCTED
UNDER RIGID PHYSICAL SECURITY STANDARDS. HEADS OF
OSD COMPONENTS WHO DETERMINE THAT THERE IS A REQUIREMENT
TO ESTABLISH A SCIF SHALL COORDINATE WITH PSD DURING
THE PLANNING STAGES. THE FOLLOWING PROCEDURES SHALL
BE FOLLOWED:
16-100.1. A REQUEST TO ESTABLISH A SCIF SHALL BE SIGNED
BY THE OSD COMPONENT HEAD. THE FOLLOWING INFORMATION
SHALL BE INCLUDED IN THE REQUEST:
16-100.1.1. FULL JUSTIFICATION FOR THE SCIF.
16-100.1.2. CLASSIFICATION LEVEL AND VOLUME OF MATERIAL
TO BE STORED IN THE SCIF.
16-100.1.3. A DETAILED SKETCH OR FLOOR PLAN OF AREA
INCLUDING LOCATION, SIZE, CONFIGURATION OF WALLS, AND
INTERNAL PHYSICAL ARRANGEMENTS OF THE OFFICES.
16-100.1.4. THE NAME, ROOM, AND TELEPHONE NUMBER OF
THE PROJECT OFFICER ASSIGNED TO ESTABLISH THE SCIF.
16-100.2. THE PSD SHALL PROVIDE THE CONSTRUCTION AND
REQUISITION REQUIREMENTS TO THE PROJECT OFFICER.
16-100.3. THE PROJECT OFFICER SHALL COORDINATE THE
REQUIREMENTS AND NOTIFY BY TELEPHONE (697-6247) THE
PSD UPON COMPLETION.
16-100.4. THE PSD SHALL COMPLETE AND SUBMIT THE ACCREDITATION
CHECKLIST.
16-101. SCIF ADMINISTRATION. UPON FAVORABLE ACCREDITATION
BY THE DIA, THE PSD SHALL PROVIDE THE OSD COMPONENT
WITH COPIES OF THE FACILITY ACCREDITATION AND ACCREDITATION
CHECKLIST. THE FOLLOWING MINIMUM REQUIREMENTS FOR
THE SCIF ADMINISTRATION SHALL BE ADHERED TO BY THE OCCUPANTS:
16-101.1. ACCESS TO THE SCIF SHALL BE LIMITED TO PERSONNEL
WHO HAVE BEEN GRANTED PROPER CLEARANCE AND SCI ACCESS.
PART-TIME AND SUMMER-HIRE PERSONNEL WITHOUT CLEARANCES
AND SCI ACCESS SHALL NOT BE ALLOWED TO WORK IN THE SCIF.
ACCESS CONTROL PROCEDURES SHALL BE ESTABLISHED BY
THE FACILITY PERSONNEL UTILIZING THE INSTALLED MECHANICAL
AND ELECTRICAL EQUIPMENT.
16-101.2. EACH MULTI-LINE TELEPHONE INSTRUMENT IS EQUIPPED
WITH THE "HOLD" FEATURE. THIS BUTTON SHALL BE DEPRESSED
WHENEVER THE HANDSET IS NOT IN THE CRADLE AND NOT IN
USE.
16-101.3. SCI DOCUMENTS TO BE DESTROYED SHALL BE LISTED
ON SD FORM 188 OR DIA FORM 554. BURN BAGS FOR SCI
DOCUMENTS SHALL BE STORED IN APPROVED SECURITY CONTAINERS.
THE FILLED BURN BAGS SHALL BE DELIVERED TO DESIGNATED
COLLECTION POINTS AT SPECIFIED TIMES. FOR INFORMATION
ON THE COLLECTION POINTS OR SPECIFIED TIMES, TELEPHONE
THE PENTAGON DESTRUCTION FACILITY AT 695-1828.
16-101.4. ALL FACILITY PERSONNEL SHALL READ THE BOOKLET
TITLED, "PENTAGON OCCUPANT EMERGENCY PLAN."
16-101.5. IN CASE OF EMERGENCY EVACUATION, SCI MATERIAL
SHALL BE SECURED BEFORE EVACUATION OF THE SCIF.
16-101.6. ALL UNCLEARED PERSONNEL SHALL BE ESCORTED
CONTINUOUSLY BY AUTHORIZED PERSONNEL.
16-101.6.1. ESCORT CLEANING AND MAINTENANCE.
16-101.6.2. SANITIZE WORK SPACES BEFORE UNCLEARED PERSONNEL
HAVE ACCESS.
16-101.7. ANY INTRODUCTION INTO THE SCIF OF GOVERNMENT-OWNED
FURNITURE, ELECTRONIC AND ELECTRICAL EQUIPMENT, AND
ARTIFACTS SHALL BE REPORTED BY TELEPHONE TO THE PSD;
697-6247.
16-101.8. PRIVATELY OWNED RADIOS, TELEVISION SETS,
CAMERAS, RECORDING EQUIPMENT, AND OTHER SIMILAR EQUIPMENT
SHALL NOT BE PERMITTED WITHIN SCIFS.
16-101.9. BEFORE ANY ADDITIONAL CONSTRUCTION OR MODIFICATION
IN THE SCIF, THE WORK ORDER OR REQUEST SHALL BE COORDINATED
WITH THE PSD.
16-101.10. CREATE A FOLDER THAT SHALL BE STORED IN
A SECURITY CONTAINER AND CONTAIN THE FOLLOWING:
16-101.10.1. ACCREDITATION LETTER FOR THE SCIF (AND
GAMMA SUBREGISTRY AUTHORIZATION LETTER, IF APPLICABLE).
16-101.10.2. APPROVED ACCREDITATION CHECKLIST.
16-101.10.3. PENTAGON OCCUPANT EMERGENCY PLAN.
C16.2. Section 2. TECHNICAL SURVEILLANCE COUNTERMEASURES
16-200. POLICY. DOD TS-5105.21-M-2, DOD C-5105.21-M-1,
DOD TS-5105.21-M-3, DOD DIRECTIVE 5220.22, and DOD 5220.22-R,
REFERENCES (GGG), (HHH), (III), (I), AND (J) ASSIGN
RESPONSIBILITIES AND PROVIDE PROCEDURES FOR CONDUCTING
TECHNICAL SURVEILLANCE COUNTERMEASURES (TSCM) SERVICES.
16-200.1. TO ENSURE THE VALIDITY OF TSCM SERVICES,
THE SCIF SHALL BE ADMINISTERED ACCORDING TO PARAGRAPH
16-101., ABOVE. FAILURE TO ESCORT UNCLEARED CLEANING
AND MAINTENANCE PERSONNEL OR INTRODUCTION INTO THE FACILITY
OF NEW FURNITURE, ELECTRONIC AND ELECTRICAL EQUIPMENT,
AND ARTIFACTS THAT HAVE NOT BEEN CHECKED BY TSCM PERSONNEL
MAY INVALIDATE THE RESULTS OF A TSCM SERVICE.
16-200.2. THE PSD SHALL SCHEDULE AND CONDUCT TSCM SERVICES
OF SCIFS AND CONTRACTOR FACILITIES IN ACCORDANCE WITH
DOD DIRECTIVE 5240.5 (REFERENCE (BBBB)). TO QUALIFY
FOR A TSCM SERVICE THE PHYSICAL SECURITY OF THE FACILITY
MUST MEET THE SECURITY STANDARDS PRESCRIBED IN DIA MANUAL
50-3 (REFERENCE QQQ).
16-201. APPLICABILITY. THIS GUIDANCE APPLIES TO OSD
SCIF AND TO OSD FIELD ACTIVITIES THAT ARE SUPPORTED
BY THE PSD WITHIN THE PENTAGON AND THE GENERAL SERVICES
ADMINISTRATION-CONTROLLED BUILDINGS IN THE NATIONAL
CAPITAL REGION (NCR). OSD CONTRACTOR SCIF LOCATED
IN THE NCR ARE INCLUDED.
16-202. PROCEDURES
16-202.1. THE PSD SHALL:
16-202.1.1. PROVIDE A PRESERVICE INFORMATION LETTER
TO FACILITY PERSONNEL OF THE OSD SCIF OR A CONTRACTOR
SCIF. SEE FIGURE 13, BELOW.
16-202.1.2. REPORT ANY SECURITY WEAKNESS THAT PRECLUDES
THE INSPECTED FACILITY FROM MEETING THE STANDARDS ESTABLISHED
FOR THE FACILITY TO THE OSD COMPONENT.
16-202.1.3. REPORT THE ACCOMPLISHMENT OF A TSCM SERVICE
OF A SCIF TO THE DIA.
16-202.2. THE SCIF PERSONNEL SHALL:
16-202.2.1. INITIATE WORK ORDERS OR REQUISITIONS, IF
NECESSARY, AND ENSURE THAT ALL SECURITY WEAKNESSES ARE
CORRECTED.
16-202.2.2. REPORT TO THE PSD THE COMPLETION OF ALL
WORK ORDERS OR REQUISITIONS.
16-203. DOD CLASSIFIED PRESENTATIONS AT CONGRESSIONAL
ACTIVITIES
16-203.1. THE DEPARTMENT OF THE ARMY SHALL PROVIDE
TSCM SUPPORT FOR DOD APPEARANCES BEFORE MEMBERS OF CONGRESS
AND CONGRESSIONAL STAFF WHEN CLASSIFIED PRESENTATIONS
ARE MADE. REQUESTS FOR THIS SUPPORT SHALL BE MADE
DIRECTLY TO THE DEPARTMENT OF THE ARMY INTELLIGENCE
AND SECURITY COMMAND LEGISLATIVE SUPPORT OFFICE. REQUESTS
SHALL BE MADE AS FAR IN ADVANCE AS POSSIBLE TO ALLOW
EFFECTIVE SCHEDULING OF TSCM ASSETS. THE REQUESTS
MUST BE CLASSIFIED SECRET.
16-203.2. IF A TECHNICAL HAZARD OR PENETRATION IS DISCOVERED
DURING SUCH A PRESENTATION, THE TSCM SPECIAL AGENT SHALL
INFORM THOSE CONCERNED AND RECOMMEND THAT THE PRESENTATION
BE SUSPENDED UNTIL THE HAZARD OR PENETRATION IS IDENTIFIED
AND ELIMINATED.
16-203.3. THE DIRECTOR, PSD, SHALL BE NOTIFIED OF ANY
TECHNICAL HAZARDS OR PENETRATIONS DETECTED DURING A
DOD APPEARANCE BEFORE CONGRESS OR CONGRESSIONAL STAFF.
THE RESULTS OF ROUTINE TSCM SERVICES ALSO SHALL BE
REPORTED.
FIGURE 13. Preservice Information Letter
C17. CHAPTER 17
AUTOMATED INFORMATION SYSTEM SECURITY
C17.1. Section 1. POLICY STATEMENT
17-100. POLICY. CLASSIFIED INFORMATION SHALL BE PROCESSED
ON ACCREDITED AUTOMATED INFORMATION SYSTEMS (AIS) ONLY.
17-100.1. THE DIRECTOR, PSD, SHALL BE THE DESIGNATED
APPROVING AUTHORITY (DAA) THAT ACCREDITS AIS TO PROCESS
CLASSIFIED INFORMATION.
17-100.2. THE OSD COMPONENT HEAD IS RESPONSIBLE FOR
ENSURING SECURITY COMPLIANCE THROUGHOUT THE LIFE CYCLE
OF AN AIS, FROM CONCEPT THROUGH DESIGN, DEVELOPMENT,
OPERATIONS, MAINTENANCE, AND DISPOSAL.
17-100.3. BEFORE PROCURING AIS FOR CLASSIFIED PROCESSING,
A MEMORANDUM REQUESTING ACCREDITATION SHALL BE FORWARDED
TO DIRECTOR, PSD.
17-100.4. AIS SHALL BE ACCREDITED EVERY 3 YEARS.
C17.2. Section 2. ESTABLISHMENT
17-200. ACCREDITATION
17-200.1. THE OSD COMPONENT HEAD SHALL SIGN THE MEMORANDUM
REQUESTING ACCREDIATATION OF AIS PROCESSING CLASSIFIED
INFORMATION. INCLUDE THE FOLLOWING INFORMATION IN
THE REQUEST:
17-200.1.1. THE SUBJECT OF THIS MEMORANDUM SHALL BE:
"REQUEST FOR AIS AND/OR TEMPEST EVALUATION:"
17-200.1.2. THE NAME AND TELEPHONE NUMBER OF THE PROJECT
OFFICER COORDINATING THE EVALUATION.
17-200.1.3. THE MANUFACTURER, NOMENCLATURE, AND MODEL
NUMBER OF EACH EQUIPMENT COMPONENT.
17-200.1.4. ESTIMATE THE AVERAGE AMOUNT OF HOURS PER
WEEK OF EACH CATEGORY OF UNCLASSIFIED, CONFIDENTIAL,
SECRET, AND TOP SECRET MATERIAL SHALL BE PROCESSED ON
EACH EQUIPMENT COMPONENT.
17-200.1.5. THE BUILDING NAME OR ADDRESS AND ROOM NUMBER(S)
WHERE THE EQUIPMENT IS AND/OR SHALL BE LOCATED.
17-200.1.6. ALL ADJACENT AREAS WITH A COMMON PERIMETER
(WALLS, CEILING, FLOORS), INDICATING IF ACCESS TO THE
AREAS REQUIRES ESCORT, WHO CONTROLS THE AREAS, AND IF
ACCESS TO THE AREAS IS RESTRICTED, AND IF SO, TO WHAT
CLASSIFICATION LEVEL.
17-200.1.7. IF ONE AIS COMPONENT IS TO BE INTERCONNECTED
WITH ANOTHER AIS COMPONENT, A NETWORKING SCHEMATIC OR
DESCRIPTION SHALL BE PROVIDED.
17-200.2. THE REQUEST SHALL BE FORWARDED THROUGH THE
OSD COMPONENT SECURITY MANAGER TO THE DIRECTOR, PSD.
17-200.3. THE DIRECTOR, PSD, SHALL:
17-200.3.1. REVIEW ALL REQUESTS FOR ACCREDITATION.
17-200.3.2. CONDUCT SURVEYS.
17-200.3.2.1. FOR AIS NOT MEETING SECURITY STANDARDS,
IDENTIFY SECURITY SAFEGUARDS REQUIRED TO ACHIEVE STANDARDS.
17-200.3.2.2. FOR AIS MEETING SECURITY STANDARDS, ISSUE
MEMORANDA ACCREDITING AIS FOR PROCESSING CLASSIFIED
INFORMATION.
17-200.3.3. MAINTAIN THE RECORD OF ALL ACCREDITED AIS.
17-200.4. THE PROJECT OFFICER SHALL:
17-200.4.1. ASSIST THE PSD IN CONDUCTING ACCREDITATION
SURVEYS BY ANSWERING QUESTIONS AND PROVIDING REQUESTED
DOCUMENTATION.
17-200.4.2. INCORPORATE IDENTIFIED SECURITY SAFEGUARDS
INTO THE AIS. IF PHYSICAL SECURITY SAFEGUARDS ARE
REQUIRED, A COST ANALYSIS JUSTIFYING THE SUBSTITUTION
MUST BE PROVIDED TO THE PSD.
17-200.4.3. PROVIDE SECURITY OR PRECAUTIONARY MEASURES
TO PREVENT CLASSIFIED INFORMATION COMPROMISE DURING
ALL PHASES OF THE AIS INSTALLATION.
17-200.4.4. TELEPHONICALLY NOTIFY (697-6247) THE PSD
AFTER INSTALLATION IS COMPLETED AND BEFORE THE AIS BECOMES
OPERATIONAL.
C17.3. Section 3. ADMINISTRATION
17-300. ADMINISTRATION RESPONSIBILITIES. THE OSD
COMPONENT SECURITY MANAGER SHALL:
17-300.1. VERIFY THE IDENTITY, NEED-TO-KNOW, AND SECURITY
CLEARANCE FOR INDIVIDUALS REGISTERING AS AIS USERS.
17-300.2. BRIEF THE USERS ON THEIR RESPONSIBILITIES
FOR AIS SECURITY AND THE INFORMATION IT CONTAINS.
THIS BRIEFING SHALL BE CONDUCTED ANNUALLY.
17-300.3. NOTIFY, IN WRITING, THE DIRECTOR, PSD, OF
ANY CHANGES TO THE USE, LAYOUT, AND EQUIPMENT FROM THE
ACCREDITED CONFIGURATION.
17-301. CLASSIFICATION LEVEL
17-301.1. THE CLASSIFICATION OF AN AIS IS THE HIGHER
OF THE INFORMATION BEING PROCESSED (ENTERED FROM THE
KEYBOARD) OR THE INFORMATION IN MEMORY OR ON MEDIA.
THE CLASSIFICATION LEVEL INCREASES AS THE INFORMATION
ENTERED OR STORED INCREASES IN CLASSIFICATION. THE
AIS AND THE MEDIA REMAIN
CLASSIFIED AT THE HIGHEST LEVEL UNTIL THEY ARE DECLASSIFIED
OR DESTROYED.
17-301.2. EXAMPLE. SUPPOSE THERE IS AN AIS WITH ONE
FIXED DISK AND ONE FLOPPY DRIVE. THE SYSTEM AND ITS
MEDIA ARE CLASSIFIED SECRET. A PREVIOUSLY UNCLASSIFIED
DISKETTE PLACED IN THE SYSTEM'S FLOPPY DRIVE BECOMES
CLASSIFIED SECRET. IF A TOP SECRET DISKETTE IS PLACED
INTO THE FLOPPY DRIVE THEN THE ENTIRE AIS, INCLUDING
THE FIXED DISK, BECOMES CLASSIFIED TOP SECRET.
17-302. MARKING
17-302.1. THE AIS AND THE MEDIA SHALL BE MARKED BOTH
INTERNALLY AND EXTERNALLY TO INDICATE THE CLASSIFICATION.
17-302.2. EXTERNAL MARKING
17-302.2.1. AIS. THE LEVEL OF CLASSIFIED PROCESSING
AUTHORIZED BY THE DESIGNATED APPROVING AUTHORITY SHALL
BE POSTED CLEARLY ON OR NEAR THE AIS. DURING CLASSIFIED
PROCESSING THERE SHALL BE A PROMINENT DISPLAY TO REMIND
THE USER AND INFORM OTHERS OF THE LEVEL OF PROCESSING
IN PROGRESS. THE USE OF A COVER SHEET IS THE RECOMMENDED
METHOD OF EXTERNALLY MARKING AN AIS DURING CLASSIFIED
PROCESSING. A COVER SHEET PLACED IN THE VICINITY OF
THE CATHODE RAY TUBE (CRT) DURING PROCESSING MAY BE
USED TO COVER THE SCREEN WHEN THE OPERATOR IS NOT USING
THE SYSTEM. REMINDER: AN AIS PROCESSING CLASSIFIED
INFORMATION SHALL NEVER BE LEFT UNATTENDED.
17-302.2.2. MEDIA
17-302.2.2.1. CLASSIFICATION MARKING. MEDIA AND ITS
CONTAINER SHALL BE MARKED PHYSICALLY IN A PROMINENT
LOCATION TO REFLECT THE HIGHEST LEVEL OF CLASSIFIED
INFORMATION RECORDED. THE USE OF A CLASSIFICATION
LABEL AFFIXED TO THE MEDIA IS REQUIRED. A PLAIN WHITE
LABEL WITH THE CLASSIFICATION STAMPED OR WRITTEN IS
ACCEPTABLE.
17-302.2.2.2. REGRADING AND/OR DECLASSIFICATION INSTRUCTIONS.
THE REGRADING AND/OR DECLASSIFICATIONS INSTRUCTIONS
ARE TO BE PLACED ON THE MEDIA IN A MANNER SIMILAR TO
THE CLASSIFICATION LABEL. A PLAIN WHITE LABEL WITH
THE INFORMATION REQUIRED BY PARAGRAPH 4-400., ABOVE,
TYPED OR PRINTED ON IT IS RECOMMENDED.
17-302.2.2.3. OWNERSHIP INFORMATION. AN EXTERNAL
LABEL WITH THE USERS NAME, OFFICE SYMBOL, ROOM NUMBER,
AND PHONE NUMBER SHALL BE AFFIXED.
17-302.2.2.4. NOTE: ANY AND ALL LABELS USED SHOULD
BE DESIGNED OF THE NONRESIDUE VARIETY, SPECIFICALLY
FOR USE IN MARKING MAGNETIC MEDIA. RESIDUE LEFT ON
MEDIA CONTAINERS SUCH AS PARTICLES OF PAPER OR GLUE
MAY INTERFERE WITH THE PROPER OPERATION OF READ AND/OR
WRITE HEADS OR DRIVE MECHANISMS.
17-302.3. INTERNAL MARKING
17-302.3.1. OVERALL CLASSIFICATION. A FILE ON THE
MEDIA SHALL INDICATE THE HIGHEST CLASSIFICATION OF INFORMATION
STORED. THE FILE SHOULD BE CALLED "SECURITY DOC."
AN MS-DOS BASIC PROGRAM THAT CREATES SUCH A FILE IS
AVAILABLE FROM PSD.
17-302.3.2. DIRECTORY MARKING. IF A DIRECTORY TO
THE FILES (INFORMATION STORED) ON THE MEDIA EXISTS,
IT SHALL BE ANNOTATED TO INDICATE THE CLASSIFICATION
OF EACH FILE.
17-302.3.3. INDIVIDUAL FILES.
17-302.3.3.1. DOCUMENTS. EACH DOCUMENT WITHIN THE
MEDIA SHALL BE LABELED, MARKED AND ANNOTATED IN ACCORDANCE
WITH THE INSTRUCTIONS FOR THE MARKING OF CLASSIFIED
DOCUMENTS. CHAPTER 4, SECTION C4.2., ABOVE, SHALL
BE FOLLOWED.
17-302.3.3.2. DATA FILES. DATA FILES SHALL BE MARKED
MAXIMALLY WITH THE CLASSIFICATION OF RECORDS, ENTRIES,
ELEMENTS, FIELDS, ETC.
17-303. SAFEGUARDING THE INFORMATION
17-303.1. GENERAL. CLASSIFIED AIS AND MEDIA NOT UNDER
THE PERSONAL CONTROL AND OBSERVATION OF AN AUTHORIZED
PERSON SHALL BE GUARDED OR STORED FOR THE CLASSIFICATION
LEVEL OF THE INFORMATION.
17-303.2. AIS. THE FOLLOWING PROCEDURES SHALL BE
USED TO SAFEGUARD THE AIS AND THE CLASSIFIED INFORMATION
THAT IT PROCESSES:
17-303.2.1. BEFORE CLASSIFIED PROCESSING, SCREEN, PRINTERS,
AND OTHER DEVICES SHALL BE POSITIONED AWAY FROM DOORS
AND WINDOWS TO PRECLUDE CASUAL OBSERVERS FROM READING
THE DISPLAY AND/OR OUTPUT.
17-303.2.2. DURING CLASSIFIED PROCESSING, THE AIS SHALL
NOT BE LEFT UNATTENDED.
17-303.2.3. SCREENS, PRINTERS, AND OTHER OUTPUT DEVICES
SHALL BE COVERED TO PREVENT UNAUTHORIZED VIEWING WHEN
THEY ARE NOT BEING USED ACTIVELY.
17-303.2.4. WHEN CLASSIFIED PROCESSING IS COMPLETED
THE AIS SHALL BE DECLASSIFIED BY REMOVING THE CLASSIFIED
MEDIA AND COMPLETELY REMOVING POWER FOR AT LEAST 1 MINUTE.
17-303.3. MEDIA. CLASSIFIED MEDIA, WHEN NOT UNDER
THE PERSONAL CONTROL AND OBSERVATION OF AN AUTHORIZED
INDIVIDUAL, SHALL BE STORED COMMENSURATE WITH THE LEVEL
OF CLASSIFIED INFORMATION ON THE MEDIA. IF THE MEDIA
MAY NOT BE REMOVED FROM THE AIS, THE ENTIRE AIS SHALL
BE SECURED.
17-304. DISPOSAL
17-304.1. GENERAL. CLASSIFIED AIS AND MEDIA SHALL
BE PROTECTED UNTIL THE CLASSIFIED INFORMATION CONTAINED
THEREON IS DISPOSED OF PROPERLY.
17-304.2. AIS DECLASSIFICATION. TO DECLASSIFY AN
AIS REMOVE ALL MEDIA AND POWER OFF THE AIS FOR AT LEAST
1 MINUTE.
17-304.3. MEDIA DESTRUCTION. THESE PROCEDURES SHALL
BE FOLLOWED TO DESTROY CLASSIFIED MEDIA.
17-304.3.1. MAGNETIC TAPE. REMOVE MAGNETIC TAPE FROM
THE REEL AND PLACE THE TAPE INTO A BURN BAG (MAGNETIC
TAPE SHOULD BE MIXED WITH OTHER CLASSIFIED WASTE).
THE BURN BAG IS THEN DISPOSED OF WITH BURN BAGS CONTAINING
CONVENTIONAL CLASSIFIED WASTE. ONCE THE REEL IS DIVESTED
OF LABELS AND/OR MARKINGS INDICATING PREVIOUS USE OR
CLASSIFICATION, THE REEL MAY BE DISPOSED AS UNCLASSIFIED
TRASH.
17-304.3.2. FLOPPY DISKS. PLACE DISKETTES TO BE DESTROYED
INTO A BURN BAG (MAGNETIC DISKETTES SHOULD BE MIXED
WITH OTHER CLASSIFIED WASTE). THE BURN BAG IS THEN
DISPOSED OF WITH BURN BAGS CONTAINING CONVENTIONAL CLASSIFIED
WASTE.
17-304.3.3. RIGID DISKS. DISK PLATTERS ARE PLACED
INTO A BURN BAG (DO NOT MIX WITH OTHER CLASSIFIED WASTE).
THE BURN BAG IS THEN DISPOSED OF WITH OTHER CLASSIFIED
WASTE BY BRINGING THE BAG AND ITS CONTENTS TO THE ATTENTION
OF THE DRIVER OF THE TRUCK ACCEPTING CLASSIFIED BURN
BAGS. REMOVING THE PLATTERS FROM A SEALED DISK DRIVE
(WINCHESTER TECHNOLOGY) MAY POSE CONTRACTUAL AND/OR
OTHER PROBLEMS; THEREFORE, THE DESTRUCTION OF THE ENTIRE
UNIT MAY BE MOST PRACTICAL. ONCE THE DISK CONTAINER
IS DIVESTED OF THE DISK PLATTERS AND LABELS AND/OR MARKINGS
INDICATING PREVIOUS USE OR CLASSIFICATION, THEN THE
CONTAINER MAY BE DISPOSED OF AS UNCLASSIFIED TRASH.
17-305. AUDIT TRAIL. THERE SHALL BE A DOCUMENTED
HISTORY OF AIS USE. IF THE AIS IS NOT SELF-DOCUMENTING,
A MANUAL LOG SHALL BE USED. THE LOG SHALL RECORD THE
USER, DATE, AND TIME OF USE AND ACTIVITY. THE LOG
SHALL BE RETAINED FOR I YEAR. AN EXAMPLE OF SUCH A
LOG IS AS FOLLOWS:
USER
DATE
STRT
STOP
ACTIVITY
JOHN DOE
26AUG86
0745
0915
WORD PROC, SPREAD SHEETS
__________
__________
_____
_____
____________________
__________
__________
_____
_____
____________________
__________
__________
_____
_____
____________________
C18. CHAPTER 18
TEMPEST
18-100. BACKGROUND. TEMPEST IS A NICKNAME FOR INFORMATION
BEARING EMANATIONS THAT EXIST IN ALL ELECTRONIC AND
ELECTRICAL EQUIPMENT. THEY ARE MOST FAMILIAR AS NOISE
OR INTERFERENCE ON RADIO AND TELEVISION SETS. COMPROMISING
EMANATIONS RELATE TO THE ORIGINAL MESSAGE OR INFORMATION
BEING PROCESSED SO THAT IT MAY LEAD TO RECOVERY OF PLAIN
TEXT. POOR INSTALLATION OR POSITIONING OF EQUIPMENT
MAY AGGRAVATE EXPLOITABLE VULNERABILITIES OF A SYSTEM
OR FACILITY EVEN THOUGH ALL SYSTEM COMPONENTS ARE TEMPEST
COMPLIANT.
18-101. POLICY. THE PSD SHALL CONDUCT A RISK EVALUATION
OF EQUIPMENTS AND/OR SYSTEMS PROCESSING CLASSIFIED INFORMATION
BEFORE PURCHASE AND/OR USE. THIS SHALL PRECLUDE EXPENDITURES
FOR COUNTERMEASURES BEYOND THOSE REQUIRED BY REGULATION
AND ENSURE PROPER SAFEGUARDS ARE IMPLEMENTED FOR EQUIPMENTS
AND/OR SYSTEMS THAT PROCESS CLASSIFIED INFORMATION.
THE VULNERABILITIES OF TEMPEST EMANATIONS MAY BE CONTROLLED
BY LIMITING SENSITIVE INFORMATION PROCESSING AND CONTROLLING
ACCESS TO EQUIPMENT PROCESSING CLASSIFIED MATERIAL.
SOME INSTALLATIONS MAY NOT REQUIRE TEMPEST-COMPLIANT
EQUIPMENT.
18-102. PROCEDURES
18-102.1. TO PROCESS CLASSIFIED INFORMATION ON AUTOMATED
EQUIPMENT SUCH AS WORD PROCESSORS, PRINTERS, OR SIMILAR
APPARATUS AND ON NON-AUTOMATED EQUIPMENT SUCH AS FACSIMILE
MACHINES OR VIDEO TAPE PLAYERS, THE OSD COMPONENT SECURITY
MANAGER SHALL SUBMIT TO THE DIRECTOR, PSD, A MEMORANDUM
CONTAINING THE FOLLOWING INFORMATION:
18-102.1.1. THE SUBJECT OF THIS MEMORANDUM SHALL BE:
"REQUEST FOR TEMPEST EVALUATION." IF THE REQUEST
IS FOR AUTOMATED INFORMATION SYSTEMS AND/OR EQUIPMENT,
THE SUBJECT SHALL BE: "REQUEST FOR AIS AND/OR TEMPEST
EVALUATION."
18-102.1.2. THE NAME AND TELEPHONE NUMBER OF THE PROJECT
OFFICER COORDINATING THE EVALUATION.
18-102.1.3. THE MANUFACTURER, NOMENCLATURE, AND MODEL
NUMBER OF EACH EQUIPMENT COMPONENT.
18-102.1.4. ESTIMATE THE AVERAGE AMOUNT OF HOURS PER
WEEK OF EACH CATEGORY OF UNCLASSIFIED, CONFIDENTIAL,
SECRET, AND TOP SECRET MATERIAL SHALL BE PROCESSED ON
EACH EQUIPMENT COMPONENT.
18-102.1.5. THE BUILDING NAME OR ADDRESS AND ROOM NUMBER(S)
WHERE THE EQUIPMENT IS AND/OR SHALL BE LOCATED.
18-102.1.6. WHO IS LOCATED ON THE OTHER SIDE OF EACH
WALL, CEILING AND FLOOR; AND IF ACCESS TO THE AREAS
REQUIRES AN ESCORT AND/OR THE LEVEL SECURITY CLASSIFICATION
LEVEL.
18-102.1.7. IF ONE AIS COMPONENT IS TO BE INTERCONNECTED
WITH ANOTHER AIS COMPONENT, A NETWORKING SCHEMATIC OR
DESCRIPTION SHALL BE PROVIDED.
18-102.2. THE DIRECTOR, PSD, SHALL:
18-102.2.1. REVIEW REQUESTS FOR TEMPEST RISK EVALUATIONS.
18-102.2.2. CONDUCT SURVEYS TO DETERMINE PROPER COUNTERMEASURES.
18-102.3. THE PROJECT OFFICER SHALL:
18-102.3.1. ASSIST THE PSD IN CONDUCTING SURVEYS.
18-102.3.2. TELEPHONICALLY NOTIFY (697-6247) THE PSD
AFTER PURCHASE OR INSTALLATION OF EQUIPMENT IS COMPLETED.
AP1. APPENDIX 1
Equivalent Foreign and International Pact Organization
Security Classifications
Country
TOP SECRET
SECRET
CONFIDENTIAL
________
Argentina
ESTRICTAMENTE SECRETO
SECRETO
CONFIDENCIAL
RESERVADO
Australia
TOP SECRET
SECRET
CONFIDENTIAL
Austria
STRENG GEHEIM
GEHEIM
VERSCHULUSS
Belgium
(French)
TRES SECRET
SECRET
CONFIDENTIEL
DIFUSION RESTREINTS
Belgium
(Flemish)
ZEER GEHEIM
GEHEIM
VERTROUWELIJK
BEPERTKE VERSPREIDING
Bolivia
SYOERSECRETO or MUY SECRETO
SECRETO
CONFIDENCIAL
RESEDRVADO
Brazil
ULTRA SECRETO
SECRETO
CONFIDENCIAL
RESERVADO
Cambodia
TRES SECRET
SECRET
SECRET/CONFIDENTIAL
Canada
TOP SECRET
SECRET
CONFIDENTIAL
RESTRICTED
Chile
SECRETO
SECRETO
RESERVADO
RESERVADO
Columbia
ULTRASECRETO
SECRETO
RESERVADO
CONFIDENCIAL RESTRINGIDO
Costa Rice
ALTO SECRETO
SECRETO
CONFIDENCIAL
Denmark
HOJST NIMMILIGT
HIMMILIGT
FORTROLIGT
TIL TJENESTEBRUG
Ecuador
SECRETISIMO
SECRETO
CONFIDENCIAL
RESERVADO
Country
TOP SECRET
SECRET
CONFIDENTIAL
________
El Salvador
ULTRA SECRETO
SECRETO
CONFIDENCIAL
RESERVADO
Ethiopia
YEMLAZ BIRTOU MISTIR
KILKIL
Finland
ERITTAIN SALAINEN
SALAINEN
France
TRES SECRET
SECRET DEFENSE
CONFIDENTIEL DEFENSE
DIFFUSION RESTREINTE
Germany
STRENG GEHEIM
GEHEIM
VA-VERTRAULICH
Greece
AKPRE ANOPPHTON
ANOPPHTON
EMILIETEYTIKON
MEPINPIEMENHE XPHEERE
Guatamla
ALTO SECRETO
SECRETO
CONFIDENCIAL
RESERVADO
Haiti
SECRET
CONDIFENTIAL
Honduras
SUPER SCERETO
SECRETO
CONFIDENCIAL
RESERVADO
Hong Kong
TOP SECRET
SECRET
CONDIFENTIAL
RESTRICTED
Hungary
SZIGORUAN TITKOS
TITKOS
BIZALMAS
India
TOP SECRET
SECRET
CONFIDENTIAL
RESTRICTED
Indonesia
SANGAT RAHASIA
RAHASIA
TERBATAS
Iran
BEKOLI SERRI
SERRI
KHEILI MAHRAMANEH
MAHRAMANEH
Iraq
(Absolutely secret)
(Secret)
(Limited)
Iceland
ALGJORTI
TRUNADARMAL
Country
TOP SECRET
SECRET
CONFIDENTIAL
________
Ireland
TOP SECRET
SECRET
CONFIDENTIAL
RESTRICTED
Gaelic
AN-SICREIDEACH
SICREDEACH
RUNDA
SRIANTA
Israel
SODI BEYOTER
SODI
SHAMUR
MUGBAL
Italy
SEGRETISSIMO
SEGRETO
RISERVATISSIMO
RISERVATO
Japan
KIMITSU
GOKUHI
HI
TORIATSUKAICHUI
JORDAN
MAKTUM JIDDAN
MAKTUM
SIRRI
MAHDUD
Korea
Laos
TRES SECRET
SECRET
SECRET/CONFIDENTIAL
DIFUSION RESTREINTE
Lebanon
TRES SECRET
SECRET
CONFIDENTIEL
Mexico
ALRO SECRETO
SECRETO
CONFIDENCIAL
RESTRINGIDO
Netherlands
ZEER GEHEIM
GEHEIM
CONFIDENTIEEL or VERTROUWELIJK
DIENSTGEHEIM
New Zealand
TOP SECRET
SECRET
CONDIFENTIAL
DIENSTGEHEIM
Nicaragua
ALSO SECRETO
SECRETO
CONFIDENCIAL
RESERVADO
Norway
STRENGT HEMMELIG
HEMMELIG
KONFIDENEIELT
BEGRENSET
Pakistan
TOP SECRET
SECRET
CONFIDENTIAL
RESTRICTED
Paraguay
SECRETO
SECRETO
CONFIDENCIAL
RESERVADO
Country
TOP SECRET
SECRET
CONFIDENTIAL
________
Peru
ESTRICTAMENTE SECRETO
SECRETO
CONDIFENCIAL
RESERVADO
Philippines
TOP SECRET
SECRET
CONFIDENTIAL
RESTRICTED
Portugal
MUITO SECRETO
SECRETO
CONFIDENCIAL
RESERVADO
Spain
MAXIMO SECRETO
SECRETO
CONPIDENCIAL
DIFFUSSION LIMITADA
Sweden
(Red Borders)
HEMLIG
HEMLIG
HEMLIG
Switzerland
(Three languages. TOP SECRET has a registration number
to distinguish from SECRET and CONFIDENTIAL.)
French
TRES SECRET
SECRET DEFENSE
CONFIDENTIEL DEFENSE
DIFFUSIOM RESREINTE
German
STRENG GEHEIM
GEHEIM
VESTRAULICH
Italian
SEGRETISSIMO
SEGRETO
RISERVATISSIMO
RISERVATO DI
Taiwan
Thailand
LUP TISUD
LUP MAAG
LUP
POX PID
Turkey
COK GIZLI
GIZLI
OZEL
HIZMETE OZEL
Union of South Africa
English
TOP SECRET
SECRET
CONFIDENTIAL
RESTRICTED
Afrikaana
UITERS GEHEIM
GEHEIM
VERTROULIK
REPERK
United Arab Republic
(Egypt)
TOP SECRET
VERY SECRET
SECRET
OFFICIAL
United Kingdom
TOP SECRET
SECRET
CONFIDENTIAL
RESTRICTED
URUGUAY
ULTRA SECRETO
SECRETO
CONFIDENCIAL
RESERVADO
USSR
Viet Nam
French
TRES SECRET
SECRET DEFENSE
CONFIDENTIEL DEFENSE
DIFFUSION RESTREINTE
Vietnamese
TOI MAT
MAT
KIN
TU MAT
INTERNATIONAL ORGANIZATION
TOP SECRET
SECRET
CONFIDENTIAL
(SEE CHAPTER XI)
NATO
COSMIC TOP SECRET
NATO SECRET
NATO CONFIDENTIAL
NATO RESTRICTED
NOTES:
In all instances foreign security classification systems
are not exactly parallel to the U.S. system and exact
equivalent classifications cannot be stated. The classifications
given above represent the nearest comparable designations
that are used to signify degrees of protection and control
similar to those prescribed for the equivalent U.S.
classifications.
"ATOMAL" information is an exclusive designation used
by NATO to identify "Restricted Data" or "Formerly Restricted
Data" information released by the U.S. Government to
NATO.
AP2. APPENDIX 2
General Acccounting Office Officials
Authorized to Certify Security Clearances
AP2.1. GENERAL ACCOUNTING OFFICE OFFICIALS AUTHORIZED
TO CERTIFY SECURITY CLEARANCES
(See paragraph 7-101.3.)
The Comptroller General, Deputy Comptroller General
and Assistant Comptroller General and Assistants to
the Comptroller General
The General Counsel and Deputy General Counsel
The Director and Deputy Director, Personnel; the Security
Officer
The Director and Deputy Director, Office of Internal
Review
The Director and Assistants to the Director of the Office
of Program Planning and the Office of Policy
The Director and Deputy Directors of the Community and
Economic Development Division
The Director, Deputy Directors, Associate Directors,
Deputy Associate Directors, Senior Group Directors,
and the Assistant to the Director for Planning and Administration
of the Energy and Minerals Division
The Director, Deputy Directors, Associate Directors
and Division Personnel Security Officer of the Human
Resources Division
The Directors, Deputy Directors, and Associate Directors,
of the following Divisions:
Claims
Field Operations
Financial and General Management Studies
General Government
International
Logistics and Communications
Procurement and Systems Acquisition
Program Analysis Division
Directors and Managers of International Division Overseas
Offices as follows:
Director European Branch, Frankfurt, Germany
Director Far East Branch, Honolulu, Hawaii
Manager, Sub Office, Bangkok, Thailand
Regional Managers and Assistant Regional Managers of
the Field Operations Division's Regional Offices as
follows:
Atlanta, Georgia
Boston, Massachusetts
Chicago, Illinois
Cincinnati, Ohio
Dallas, Texas
Denver, Colorado
Detroit, Michigan
Kansas City, Missouri
Los Angeles, California
New York, New York
Norfolk, Virginia
Philadelphia, Pennsylvania
San Francisco, California
Seattle, Washington
Washington, D.C.
AP3. APPENDIX 3
Instructions Governing Use of Code Words, Nicknames,
and Exercise Terms
AP3.1.1. Definitions
AP3.1.1.1. Using Component. The DoD Component to
which a code word is allocated for use, and which assigns
to the word a classified meaning, or which originates
nicknames and exercise terms using the procedure established
by the Joint Chiefs of Staff.
AP3.1.1.2. Code Word. Word selected from those listed
in Joint Army-NavyAir Force Publication (JANAP) 299
(reference (ff)) and later volumes, and assigned a classified
meaning by appropriate authority to insure proper security
concerning intentions, and to safeguard information
pertaining to actual military plans or operations classified
as Confidential or higher. A code word shall not be
assigned to test, drill or exercise activities. A
code word is placed in one of three categories:
AP3.1.1.2.1. Available. Allocated to the using component.
Available code words individually will be unclassified
until placed in the active category.
AP3.1.1.2.2. Active. Assigned a classified meaning
and current.
AP3.1.1.2.3. Canceled. Formerly active, but discontinued
due to compromise, suspected compromise, cessation,
or completion of the operation to which the code word
pertained. Canceled code words individually will be
unclassified and remain so until returned to the active
category.
AP3.1.1.3. Nickname. A combination of two separate
unclassified words that is assigned an unclassified
meaning and is employed only for unclassified administrative,
morale, or public information purposes.
AP3.1.1.4. Exercise Term. A combination of two words,
normally unclassified, used exclusively to designate
a test, drill, or exercise. An exercise term is employed
to preclude the possibility of confusing exercise directions
with actual operations directives.
AP3.1.2. Policy and Procedure
AP3.1.2.1. Code Words. The Joint Chiefs of Staff
are responsible for allocating words or blocks of code
words from JANAP 299 to DoD Components. DoD Components
may request allocation of such code words as required
and may reallocate available code words within their
organizations, in accordance with individual policies
and procedures, subject to applicable rules set forth
herein.
AP3.1.2.1.1. A permanent record of all code words shall
be maintained by the Joint Chiefs of Staff.
AP3.1.2.1.2. The using Component shall account for
available code words and maintain a record of each active
code word. Upon being canceled, the using component
shall remaintain the record for 2 years; thence the
record of each code word may be disposed of in accordance
with current practices, and the code word returned to
the available inventory.
AP3.1.2.2. Nicknames
AP3.1.2.2.1. Nicknames may be assigned to actual events,
projects, movement of forces, or other nonexercise activities
involving elements of information of any classification
category, but the nickname, the description or meaning
it represents, and the relationship of the nickname
and its meaning must be unclassified. A nickname is
not designed to achieve a security objective.
AP3.1.2.2.2. Nicknames, improperly selected, can be
counterproductive. A nickname must be chosen with
sufficient care to ensure that it does not:
AP3.1.2.2.2.1. Express a degree of bellicosity inconsistent
with traditional American ideals or current foreign
policy;
AP3.1.2.2.2.2. Convey connotations offensive to good
taste or derogatory to a particular group, sect, or
creed; or,
AP3.1.2.2.2.3. Convey connotations offensive to our
allies or other Free World nations.
AP3.1.2.2.3. The following shall not be used as nicknames:
AP3.1.2.2.3.1. Any two-word combination voice call
sign found in JANAP 119 (reference (ff)) or ACP 110
(reference (aaa)). (However, single words in JANAP
119 or ACP 110 may be used as part of a nickname if
the first word of the nickname does not appear in JANAP
299 (reference (ff)) and later volumes.)
AP3.1.2.2.3.2. Combination of words including word
"project," "exercise," or "operation."
AP3.1.2.2.3.3. Words that may be used correctly either
as a single word or as two words, such as "moonlight."
AP3.1.2.2.3.4. Exotic words, trite expressions, or
well-known commercial trademarks.
AP3.1.2.2.4. The Joint Chiefs of Staff shall:
AP3.1.2.2.4.1. Establish a procedure by which nicknames
may be authorized for use by DoD Components.
AP3.1.2.2.4.2. Prescribe a method for the using Components
to report nicknames used.
AP3.1.2.2.5. The Heads of DoD Components shall:
AP3.1.2.2.5.1. Establish controls within their Components
for the assignment of nicknames authorized under subparagraph
AP3.1.2.2.4.1., above.
AP3.1.2.2.5.2. Under the procedures established, advise
the Joint Chiefs of Staff of nicknames as they are assigned.
AP3.1.2.3. Exercise Term
AP3.1.2.3.1. Exercise terms may be assigned only to
tests, drills, or exercises for the purpose of emphasizing
that the event is a test, drill, or exercise and not
an actual operation. The exercise term, the description
or meaning it represents, and the relationship of the
exercise term and its meaning can be classified or unclassified.
A classified exercise term is designed to simulate
actual use of DoD code words and must be employed using
identical security procedures throughout the planning,
preparation, and execution of the test, drill, or exercise
to ensure realism.
AP3.1.2.3.2. Selection of exercise terms will follow
the same guidance as contained in subparagraphs AP3.1.2.2.2.2.
and AP3.1.2.2.2.3., above.
AP3.1.2.3.3. The Joint Chiefs of Staff shall:
AP3.1.2.3.3.1. Establish a procedure by which exercise
terms may be authorized for use by DoD Components.
AP3.1.2.3.3.2. Prescribe a method for using Components
to report exercise terms used.
AP3.1.2.3.4. The Heads of DoD Components shall:
AP3.1.2.3.4.1. Establish controls within their Component
for the assignment of exercise terms authorized under
subparagraph AP3.1.2.3.3., above.
AP3.1.2.3.4.2. Under the procedures established, advise
the Joint Chiefs of Staff of exercise terms as they
are assigned.
AP3.1.3. Assignment of Classified Meanings to Code
Words
AP3.1.3.1. The DoD Component responsible for the development
of a plan or the execution of an operation shall be
responsible for determining whether to assign a code
word.
AP3.1.3.2. Code words shall be activated for the following
purposes only:
AP3.1.3.2.1. To designate a classified military plan
or operation;
AP3.1.3.2.2. To designate classified geographic locations
in conjunction with plans or operations referred to
in subparagraph AP3.1.3.2.1., above; or
AP3.1.3.2.3. To conceal intentions in discussions and
messages or other documents pertaining to plans, operations,
or geographic locations referred to in subparagraphs
AP3.1.3.2.1. and AP3.1.3.2.2., above.
AP3.1.3.3. The using Component shall assign to a code
word a specific meaning classified Top Secret, Secret,
or Confidential, commensurate with military security
requirements. Code words shall not be used to cover
unclassified meanings. The assigned meaning need not
in all cases be classified as high as the classification
assigned to the plan or operation as a whole.
AP3.1.3.4. Code words shall be selected by each using
Component in such manner that the word used does not
suggest the nature of its meaning.
AP3.1.3.5. A code word shall not be used repeatedly
for similar purposes; that is, if the initial phase
of an operation is designated "Meaning," succeeding
phases should not be designated "Meaning II" and "Meaning
III," but should have different code words.
AP3.1.3.6. Each DoD Component shall establish policies
and procedures for the control and assignment of classified
meanings to code words, subject to applicable rules
set forth herein.
AP3.1.4. Notice of Assignment, Dissemination, and Cancelation
of Code Words and Meanings
AP3.1.4.1. The using Component shall promptly notify
the Joint Chiefs of Staff when a code word is made active,
indicating the word, and its classification. Similar
notice shall be made when any changes occur, such as
the substitution of a new word for one previously placed
in use.
AP3.1.4.2. The using Component is responsible for further
dissemination of active code words and meanings to all
concerned activities, to include classification of each.
AP3.1.4.3. The using Component is responsible for notifying
the Joint Chiefs of Staff of canceled code words.
This cancellation report is considered final action,
and no further reporting or accounting of the status
of the canceled code word will be required.
AP3.1.5. Classification and Downgrading Instructions
AP3.1.5.1. During the development of a plan, or the
planning of an operation by the headquarters of the
using Component, the code word and its meaning shall
have the same classification. When dissemination of
the plan to other DoD Components or to subordinate echelons
of the using Component is required, the using Component
may downgrade the code words assigned below the classification
assigned to their meanings in order to facilitate additional
planning implementation, and execution by such other
Components or echelons, but code words shall, at a minimum,
be classified Confidential.
AP3.1.5.2. A code word that is replaced by another
code word due to a compromise or suspected compromise,
or for any other reason, shall be canceled, and classified
Confidential for a period of 2 years, after which the
code word will become unclassified.
AP3.1.5.3. When a plan or operation is discontinued
or completed, and is not replaced by a similar plan
or operation but the meaning cannot be declassified,
the code word assigned thereto shall be canceled and
classified Confidential for a period of 2 years, or
until the meaning is declassified, whichever is sooner,
after which the code word will become unclassified.
AP3.1.5.4. In every case, whenever a code word is referred
to in documents, the security classification of the
code word shall be placed in parentheses immediately
following the code word, for example, "Label (C)."
AP3.1.5.5. When the meaning of a code word no longer
requires a classification, the using Component shall
declassify the meaning and the code word and return
the code word to the available inventory.
AP3.1.6. Security Practices
AP3.1.6.1. The meaning of a code word may be used in
a message or other document, together with the code
word, only when it is essential to do so. Active code
words may be used in correspondence or other documents
forwarded to addressees who may or may not have knowledge
of the meaning. If the context of a document contains
detailed instructions or similar information that indicates
the purpose or nature of the related meaning, the active
code word shall not be used.
AP3.1.6.2. In handling correspondence pertaining to
active code words, care shall be used to avoid bringing
the code words and their meanings together. They should
be handled in separate card files, catalogs, indexes,
or lists, enveloped separately, and dispatched at different
times so they do not travel through mail or courier
channels together.
AP3.1.6.3. Code words shall not be used for addresses,
return addresses, shipping designators, file indicators,
call signs, identification signals, or for other similar
purposes.
AP3.1.7. All code words formerly categorized as "inactive"
or "obsolete" shall be placed in the current canceled
category and classified Confidential. Unless otherwise
restricted, all code words formerly categorized as "canceled"
or "available" shall be individually declassified.
All records associated with such code words may be
disposed of in accordance with current practices, provided
such records have been retained at least 2 years after
the code words were placed in the former categories
of "inactive," "obsolete," or "canceled."
AP4. APPENDIX 4
FEDERAL AVIATION ADMINISTRATION AIR TRANSPORTATION
SECURITY FIELD OFFICES
(See paragraph 8-3032.1.1.)
CITY
STATE
Anchorage
Alaska
Atlanta
Georgia
Baltimore
Maryland
Boston
Massachusetts
Chicago (O'Hare)
Illinois
Cleveland
Ohio
Dallas
Texas
Denver
Colorado
Detroit
Michigan
Honolulu
Hawaii
Houston
Texas
Kansas City
Missouri
Las Vegas
Nevada
Los Angeles
California
Miami
Florida
Minneapolis
Minnesota
Newark
New Jersey
New Orleans
Louisiana
New York (John F. Kennedy)
New York
New York (La Guardia)
New York
Philadelphia
Pennsylvania
Pittsburgh
Pennsylvania
Portland
Oregon
Saint Louis
Missouri
San Antonio
Texas
San Diego
California
San Francisco
California
San Juan
Puerto Rico
Seattle
Washington
Tampa
Florida
Tucson
Arizona
Washington (Dulles)
Washington, DC
Washington (National)
Washington, DC
AP5. APPENDIX 5
TRANSPORTATION PLAN
(See paragraph 8-104.)
AP5.1. The provisions of subsection 8-104. of this
Regulation require that transmission instructions or
a separate transportation plan be included with any
contract, agreement or other arrangement involving the
release of classified material to foreign entities.
The transportation plan is to be submitted to and
approved by applicable DoD authorities. As a minimum,
the transportation plan shall include the following
provisions:
AP5.1.1. A description of the classified material together
with a brief narrative as to where and under what circumstances
transfer of custody will occur:
AP5.1.2. Identification, by name or title, of the designated
representative of the foreign recipient government or
international organization who will receipt for and
assume security responsibility for the U.S. classified
material (person(s) so identified must be cleared for
access to the level of the classified material to be
shipped);
AP5.1.3. Identification and specific location of delivery
points and any transfer points;
AP5.1.4. Identification of commercial carriers and
freight forwarders or transportation agents who will
be involved in the shipping process, the extent of their
involvement, and their security clearance status;
AP5.1.5. Identification of any storage or processing
facilities to be used and, relative thereto, certification
that such facilities are authorized by competent Government
authority to receive, store, or process the level of
classified material to be shipped;
AP5.1.6. When applicable, the identification, by name
or title, of couriers and escorts to be used and details
as to their responsibilities and security clearance
status;
AP5.1.7. Description of shipping methods to be used
as authorized by the provisions of Chapter 8., together
with the identification of carriers (foreign and domestic);
AP5.1.8. In those cases when it is anticipated that
the U.S. classified material or parts thereof may be
returned to the United States for repair, service, modification,
or other reasons, the plan must require that shipment
shall be via a carrier of U.S. or recipient government
registry, handled only by authorized personnel, and
that the applicable Military Department (for foreign
military sales (FMS)) or Defense Investigative Service
(for commercial sales) will be given advance notification
of estimated time and place of arrival and will be consulted
concerning inland shipment;
AP5.1.9. The plan shall require the recipient government
or international organization to examine shipping documents
upon receipt of the classified material in its own territory
and advise the responsible Military Department in the
case of FMS, or Defense Investigative Service in the
case of commercial sales, if the material has been transferred
enroute to any carrier not authorized by the transportation
plan; and
AP5.1.10. The recipient government or international
organization also will be required to inform the responsible
Military Department or the Defense Investigative Service
promptly and fully of any known or suspected compromise
of U.S. classified material while such material is in
its custody or under its cognizance during shipment.
AP6. APPENDIX 6
FOREIGN TRAVEL SECURITY BRIEFING
(SEE SUBSECTION 8-300.)
AP6.1. FOREIGN TRAVEL SECURITY BRIEFING
EACH PERSON TRAVELING OUTSIDE OF THE UNITED STATES,
WHETHER IN A CIVILIAN OR MILITARY STATUS OR OTHERWISE
AFFILIATED WITH THE DEPARTMENT OF DEFENSE, BECOMES A
SECURITY OFFICER. THE PURPOSE OF THE BRIEFING IS TO
PROVIDE SECURITY TIPS FOR THE TRAVELER AND GUIDANCE
IN SAFEGUARDING CLASSIFIED INFORMATION.
AP6.1.1. THE PROVISIONS OF SECTION C8.3., CHAPTER 8.,
ABOVE, OF THIS INSTRUCTION SHALL BE COMPLIED WITH IF
IT IS ABSOLUTELY ESSENTIAL TO CARRY CLASSIFIED MATERIAL
OVERSEAS. THE DIRECTOR, PSD, MAY AUTHORIZE THE CARRYING
OF SUCH MATERIAL ON COMMERCIAL AIRCRAFT OUTSIDE OF THE
UNITED STATES. THE FOLLOWING PROCEDURES SHALL BE FOLLOWED
BY THE PERSON CARRYING THE MATERIAL:
AP6.1.1.1. THE CLASSIFIED INFORMATION MUST REMAIN IN
YOUR PHYSICAL POSSESSION AT ALL TIMES, IF PROPER STORAGE
AT A U.S. GOVERNMENT ACTIVITY IS NOT AVAILABLE.
AP6.1.1.2. THE CLASSIFIED INFORMATION SHALL NOT BE
EXPOSED, READ, STUDIED, DISPLAYED, OR USED IN PUBLIC
CONVEYANCES OR PLACES.
AP6.1.1.3. YOU MUST OBTAIN DOCUMENTATION REQUIRED BY
PARAGRAPH 8-302., ABOVE, OF THIS INSTRUCTION. THIS
MEMORANDUM SHALL BE PRESENTED AT AIRPORT SCREENINGS
AND CUSTOMS STATIONS. IF SEALED PACKAGES CONTAINING
CLASSIFIED MATERIAL ARE CHALLENGED, YOU SHOULD SEEK
THE ASSISTANCE OF AN OFFICIAL OF THE AIRLINE INVOLVED,
THE AIRPORT MANAGER, OR THE LOCAL FEDERAL AVIATION ADMINISTRATION
(FAA) REPRESENTATIVE FOR INCIDENTS THAT OCCUR WITHIN
THE UNITED STATES. IF SUCH A PROBLEM SHOULD OCCUR
AT POINTS OF ENTRY OR DEPARTURE OUTSIDE THE UNITED STATES,
YOU SHOULD CONTACT THE NEAREST U.S. MILITARY OR STATE
DEPARTMENT REPRESENTATIVE.
AP6.2. DURING YOUR STAY IN A FOREIGN COUNTRY:
AP6.2.1. CARRY IDENTIFICATION. TAKE ALL ESSENTIAL
PERSONAL AND MEDICAL IDENTIFICATION TO GET YOU SUCCESSFULLY
THROUGH YOUR TRIP. DOCUMENT YOUR BLOOD TYPE AS WELL
AS ANY SPECIAL MEDICAL CONDITION OR MEDICAL REQUIREMENT
THAT YOU MIGHT HAVE. STORE ESSENTIAL MEDICATIONS IN
ORIGINAL CONTAINERS; DO NOT LEAVE YOUR WALLET OR PURSE
UNATTENDED.
AP6.2.2. ESTABLISH POINTS OF CONTACT. SOMEONE SHOULD
KNOW YOUR WHEREABOUTS FROM THE TIME THAT YOU DEPART
THE UNITED STATES UNTIL YOU RETURN HOME. PROVIDE YOUR
CONTACT WITH A COPY OF YOUR ITINERARY AND ADVISE HIM
AND/OR HER OF ANY CHANGES.
AP6.2.3. KEEP A LOW PROFILE. CLOTHES, AUTOMOBILES,
AND OTHER OUTWARD VESTIGES OF NATIONALITY SHOULD NOT
PROVIDE A STARK CONTRAST WITH THOSE OF THE COUNTRY IN
WHICH YOU ARE TRAVELING. CLOTHING SHOULD NOT GIVE
THE IMPRESSION OF WEALTH OR IMPORTANCE. IF MILITARY,
AVOID WEARING A MILITARY UNIFORM UNLESS REQUIRED; IT
MIGHT ATTRACT UNWANTED ATTENTION.
AP6.2.4. SHUN PUBLICITY. SHUN PUBLICITY AND INQUIRIES
BY THE LOCAL NEWS MEDIA. IF APPROACHED BY THE MEDIA
REMEMBER NOT TO DISCLOSE THE ADDRESSES AND TELEPHONE
NUMBERS OF ANY CLEARED PERSONNEL. PERSONAL AND BACKGROUND
INFORMATION CONCERNING FAMILY MEMBERS ALSO SHOULD BE
WITHHELD.
AP6.2.5. AVOID CIVIL DISTURBANCES. EVERY EFFORT SHOUTD
BE MADE TO AVOID CIVIL DISTURBANCES AND DISPUTES WITH
LOCAL CITIZENS. USE CAUTION IF YOU COME UPON A DEMONSTRATION
OR A RALLY. IF THE' SPEAKER IS DENOUNCING U.S. POLICY,
THE CROWD MIGHT BECOME HOSTILE TO ANY AMERICAN BYSTANDERS.
SHOULD VIOLENCE BREAK OUT, ARRESTS ARE SOMETIMES MADE
INDISCRIMINATELY. IN THE CONFUSION YOU COULD BE ARRESTED
OR DETAINED EVEN THOUGH YOU ARE ONLY AN "INNOCENT BYSTANDER."
AP6.2.6. PRECAUTIONS WHEN WALKING. WALK ONLY ON WELL
LIGHTED AND HEAVILY TRAVELED STREETS WHENEVER POSSIBLE.
WALK IN THE MIDDLE OF THE SIDEWALK. AVOID SHORTCUTS
THROUGH ALLEYS. WHILE WALKING, IF YOU ARE THREATENED
BY THE OCCUPANTS OF A CAR, MOVE IN THE DIRECTION OPPOSITE
TO THAT IN WHICH THE CAR IS TRAVELING. THEN SEEK HELP.
IF APPROACHED BY A SUSPICIOUS LOOKING PERSON ON FOOT,
CROSS THE STREET OR CHANGE DIRECTION.
AP6.2.7. DRIVING OVERSEAS. DRIVE CAREFULLY WHILE
YOU ARE ABROAD! MANY COUNTRIES DEAL HARSHLY WITH FOREIGNERS
WHO ARE INVOLVED IN TRAFFIC ACCIDENTS. DRIVERS ARE
OFTEN DETAINED IN JAIL WHILE SUCH ACCIDENTS ARE INVESTIGATED.
TAKE CARE NOT TO SPEED AS SOME COUNTRIES IMPOSE A
SPEEDING FINE THAT IS PAYABLE WHEN LEVIED. ALSO, IN
SOME AREAS IT IS UNLAWFUL TO USE INSULTING LANGUAGE
TOWARD ANOTHER PERSON OR TO USE ABUSIVE GESTURES WHILE
DRIVING. REMEMBER THAT WHAT IS A NORMAL GESTURE IN
ONE COUNTRY IS AN ABUSIVE ONE IN ANOTHER. WHILE SOME
COUNTRIES DO NOT RECOGNIZE U.S. DRIVER'S LICENSES, MOST
DO ACCEPT INTERNATIONAL DRIVER'S LICENSES, AND THE LATTER
ARE OFTEN REQUIRED BY FOREIGN CAR RENTAL AGENCIES.
FOR A FEE, YOU MAY OBTAIN AN INTERNATIONAL DRIVERS
LICENSE FROM THE AMERICAN AUTOMOBILE ASSOCIATION.
AP6.2.8. LOCAL LAWS. REMEMBER THAT ALTHOUGH YOU ARE
AN AMERICAN CITIZEN, YOU ARE SUBJECT TO THE LAWS OF
THE COUNTRY IN WIFICH YOU ARE TRAVELING. IN MOST OF
WESTERN EUROPE, THE LAWS ARE SIMILAR TO THOSE IN THE
UNITED STATES. SOME OF THE LAWS IN COUNTRIES SUCH
AS TURKEY, TAIWAN, SPAIN, AND OTHERS DIFFER SIGNIFICANTLY.
FOR EXAMPLE, IN THESE COUNTRIES, INDIVIDUALS ARE PROHIBITED
FROM MAKING DEROGATORY COMMENTS ABOUT THE GOVERNMENT
OR THE GOVERNMENT'S LEADERS. FAMILIARIZE YOURSELF
WITH THE LAWS OF THE COUNTRY(IES) THAT YOU SHALL BE
VISITING AND OBSERVE THESE LAWS. NEVER ENGAGE IN ANY
BLACK MARKET ACTIVITIES.
AP6.2.9. EVADING TERRORISTS AND CRIMINALS. THE TERRORIST
AND CRIMINAL THREAT VARIES FROM COUNTRY TO COUNTRY.
IF YOU ARE TRAVELING TO A HIGH RISK AREA, GET AS MAXIMAL
INFORMATION ABOUT THE THREAT IN THAT AREA BEFORE YOU
LEAVE. DEVELOP A SECURITY PLAN AND IMPLEMENT IT UPON
ARRIVAL IN THE COUNTRY. IN LOW RISK AREAS DO NOT BECOME
COMPLACENT; SITUATIONS SOMETIMES CHANGE RAPIDLY. IN
GENERAL, TERRORISTS AND CRIMINALS SIMILARLY STRIKE WHEN
AND WHERE THEY SENSE THEIR TARGETS TO BE MORE VULNERABLE,
AND THEY ARE MOST SUCCESSFUL WHEN SECURITY MEASURES
ARE LAX AND DAILY ROUTINES ARE PREDICTABLE. VARY ARRIVAL
TIMES, DEPARTURE TIMES, AND ROUTES THAT YOU NORMALLY
TAKE. BE ALERT TO THE POSSIBILITY OF SURVEILLANCE.
IF YOU BELIEVE THAT YOU ARE BEING FOLLOWED, DO NOT
CHALLENGE YOUR FOLLOWER; INSTEAD, ATTEMPT TO MENTALLY
NOTE HIS AND/OR HER PHYSICAL CHARACTERISTICS, TYPE OF
CAR, LICENSE NUMBER, ETC.emsp; PROMPTLY REPORT SUCH
INCIDENTS TO SECURITY OFFICIALS AT THE SITE WHERE YOU
ARE VISITING OR AT THE NEAREST U.S. EMBASSY.
AP6.2.10. ESPIONAGE. A REPRESENTATIVE OF THE OFFICE
OF THE SECRETARY OF DEFENSE, YOU MAY BE TARGETED FOR
ATTEMPTED EXPLOITATION BY FOREIGN INTELLIGENCE AGENTS
IN ANY FOREIGN COUNTRY THAT YOU MAY BE TRAVELING THROUGH
OR VISITING. DO NOT DISCUSS INFORMATION OUTSIDE SECURE
FACILITIES OR OVER TELEPHONES. EXERCISE CAUTION IN
MAKING OR WRITING STATEMENTS THAT MIGHT BE EXPLOITED
FOR PROPAGANDA PURPOSES. DO NOT SIGN PETITIONS, HOWEVER
HARMLESS THEY APPEAR. BE EXTREMELY CAREFUL IN HANDLING
YOUR PASSPORT. DO NOT PHOTOGRAPH ANY MILITARY INSTALLATION,
DEFENSE PLANT, OR OTHER OBVIOUSLY RESTRICTED AREAS.
REFRAIN FROM PHOTOGRAPHING MILITARY EQUIPMENT AND
PERSONNEL. BEWARE OF OVERLY FRIENDLY TOURIST GUIDES,
INTERPRETERS, MAIDS, CAB DRIVERS, ETC., TAKING UNDUE
INTEREST IN YOU. BE PARTICULARLY SUSPICIOUS OF GUIDE
PERSONNEL WHO JUST "HAPPEN" TO KNOW YOUR SPECIAL INTERESTS
AND AVOCATIONS. DO NOT SIGN ANY RECEIPTS FOR MONEY
OR SERVICES UNLESS YOU ARE FIRST ENSURED OF, AND FURNISHED
AN ON-THE-SPOT COPY THAT CLEARLY SPECIFIES AND ITEMIZES,
THE NATURE OF THE TRANSACTION. IF YOU EVER SUSPECT
AN APPROACH HAS BEEN MADE IN A CONSPIRACY TO COMMIT
ESPIONAGE, REPORT TO THE NEAREST U.S. MILITARY COMMAND
OR EMBASSY SECURITY OFFICER. ABOVE ALL, DO NOT ATTEMPT
TO GET OUT OF SUCH A SITUATION YOURSELF OR ASSUME THE
ROLE OF A SELF-APPOINTED AGENT. IF AN INDISCRETION
IS INVOLVED OR YOU ARE THREATENED WITH A COMPROMISING
SITUATION, YOU MAY DISCUSS THE MATTER IN CONFIDENCE
WITH A U.S SECURITY REPRESENTATIVE. HE AND/OR SHE
IS NOT INTERESTED IN RUINING A REPUTATION BUT IN PROTECTING
THE UNITED STATES, YOU, AND THE CLASSIFIED INFORMATION
YOU POSSESS. DO NOT UNDERTAKE OR IN ANY MANNER CAUSE
ANYONE TO CONSIDER ANY PART OF YOUR OFFICIAL TRAVEL
AS AN INTELLIGENCE OPERATION. CONDUCT ONLY THAT OFFICIAL
BUSINESS FOR WHICH THE TRAVEL WAS AUTHORIZED.
AP6.2.11. A FINAL WORD. NOW THAT YOU ARE AWARE OF
THE BASIC PRECAUTIONS THAT SHOULD BE TAKEN DURING YOUR
TRIP, TAKE SOME TIME TO PUT ALL OF THIS INFORMATION
INTO PERSPECTIVE. IF YOU FOLLOW THESE PRECAUTIONS
YOU SHALL REDUCE THE RISK OF ENCOUNTERING PROBLEMS.
AP7. APPENDIX 7
CROSS-REFERENCE INDEX
PARAGRAPH
ABSENCE
UNAUTHORIZED, REPORTING OF
6-110.
ACCESS
BASIC POLICY
7-100.
CONGRESS
7-101.1.
CONTRACTORS
7-101.4.
COURTS
7-101.7.
FEDERAL LAW ENFORCEMENT OFFICIALS.
7-104.
FOREIGN NATIONALS AND GOVERNMENTS.
7-102.
FORMER PRESIDENTIAL APPOINTEES
7-101.6.
GENERAL ACCOUNTING OFFICE.
7-101.3.
NEED TO KNOW REQUIREMENT
7-103.
RESEARCHERS
7-101.5.
VISITORS
7-105.
ACCOUNTABILITY
CONFIDENTIAL
7-302.
OF CLASSIFIERS
2-100.
SECRET
7-301.
TOP SECRET
7-300.
WORKING PAPERS
7-304.1.
ADDRESSING
FOR TRANSMISSION
8-201.
ADMINISTRATIVE SANCTIONS
CORRECTIVE ACTION
NON-PUNITIVE
14-101.3.1.
PUNITIVE
14-101.3.2.
VIOLATIONS SUBJECT TO SANCTIONS
14-101.
AIRCRAFT
RESTRICTIONS ON HAND-CARRYING CLASSIFIED
8-300.4., 8-301. THROUGH 8-303.
ALARMED AREA
ADMINISTRATION
5-502.
ALARMED AREA ACCESS LIST
5-509.
ALARM DURING SECURITY HOURS
5-505.
CLOSING
5-503.
ESTABLISHMENT OF
5-501.
EXTENDING HOURS
5-504.
OPENING
5-503.
PROCEDURAL VIOLATIONS
5-506.
TESTING
5-506.
APPEALS
CLASSIFICATION CHALLENGE DENIAL
2-104.6.
MANDATORY REVIEW DENIAL
3-304.6.
PUBLIC RELEASE DENIAL
3-702.
BRIEFINGS
FOREIGN TRAVEL
10-104.
HAND-CARRYING ABOARD AIRCRAFT
8-303.2.
INITIAL
10-102.
REFRESHER
10-103.
BURN BAGS
MARKING
9-105.
SECURING
9-105.
USE
9-104., 9-105.
CHALLENGES TO CLASSIFICATION
AS PART OF SECURITY EDUCATION
10-101.3.
POLICY AND PROCEDURES
2-103., 2-104.
CHANGES
IN CLASSIFICATION
3-600.
IN MARKINGS
4-400.
SUGGESTIONS
1-207.
UPGRADING
2-800. THROUGH 2-802.
CHARTS
MARKING
4-301.
CLASSIFICATION
BASIC POLICY
1-400.1.
CRITERIA
2-202.
DURATION
1-400.3.
LIMITS
1-600.3.
REASONS TO EXTEND
2-301.3.
RESOLUTION OF DOUBTS
1-400.2.,2-200.
RESPONSIBILITY FOR CORRECT
1-400.4., 2-100., 2-101.
TWO STEP REQUIREMENT FOR
2-202.
CLASSIFICATION AUTHORITY
DEFINITION
1-303.
DELEGATION OF ORIGINAL AUTHORITY
1-600.2.
IDENTIFICATION ON DOCUMENTS
4-104.
LlMITS
1-600.2.
REQUESTING
1-600.3.
CLASSIFICATION GUIDES
APPROVAL BY TS CLASSIFICATION AUTHORITY
2-400.3.
CONTENT
2-400.2.
DD FORM 2024
2-406.1.
DEFINITION
1-304.
DISTRIBUTION
2-405.
INDEX OF
2-406.
REQUIREMENT TO ISSUE
2-400.
CLASSIFIED INFORMATION
DEFINITION
1-305.
DETERMINATION TO CLASSIFY
2-202.
ORIGINATED OUTSIDE OF THE DEPARTMENT OF DEFENSE
7-202.
RECEIPTING FOR
CONFIDENTIAL
8-202.3.
SECRET
8-202.2.
TOP SECRET
8-202.1.
RESPONSIBILITY FOR SAFEGUARDING
5-200., 5-201.
TRANSMISSION
CONFIDENTIAL
8-103.
SECRET
8-102.
TOP SECRET
8-101.
BULKY MATERIAL
8-105.
COMSEC
8-106.
RESTRICTED DATA
8-107.
TO FOREIGN GOVERNMENTS
8-104.
WRAPPING
8-200.
ADDRESSING
8-201.
CLASSIFIED WASTE
DESTRUCTION
4-307., 5-201.2., 9-103.
HANDLING
4-307., 5-201.2.
MARKING
4-307., 5-201.2.
STORAGE
9-106.
CLASSIFIER
ACCOUNTABILITY
2-100.
DEFINITION
1-306.
DENTIFICATION
4-104.
CLASSIFYING CRITERIA
SPECIFIC INFORMATION
2-202.
CODE WORDS
ASSIGNMENT, USE, TERMINATION
APPENDIX 3.
COMBINATIONS
CLASSIFICATION OF
5-104.2.2.
NOT RETAINED BY INDIVIDUALS
5-104.2.4.
RECORDING
5-104.1., 5-104.2.3.
REPOSITORY
5-1042.3.
WHEN TO CHANGE
5-104.2.1.
COMMUNICATIONS SECURITY (COMSEC) INFORMATION
AREAS
1-205.
DEFINITION
1-305.
DISSEMINATION
7-206.
HANDLING AND CONTROLLING
1-205.
RELEASE TO CONTRACTORS
4-504.
TRANSMISSION
8-106.
COMPILATIONS (OF UNCLASSIFIED)
CLASSIFICATION OF
2-211.
MARKING
4-203.
COMPROMISE
ACTION UPON DISCOVERY
6-102.
CRYPTOGRAPHIC INFORMATION
6-101.
DAMAGE ASSESSMENT
6-111.
DEFINITION
1-308.
DELIBERATE
6-109.
DISCIPLINARY ACTIONS
6-110., 14-102.
ESPIONAGE
6-109.
FIXING RESPONSIBILITY.
6-104.10.
FORMAL INVESTIGATION
6-104.
OPEN PUBLICATION
2-209.
PRELIMINARY INQUIRY.
6-102.2., 6-102.4., 6-103.
PRESS LEAKS
6-111.
REEVALUATION OF CLASSIFICATION DUE TO
2-210.
CONFIDENTIAL
DEFINITION
1-503.
DISSEMINATION
7-208.
METHODS OF TRANSMISSION
8-103.
ORIGINAL CLASSIFICATION AUTHORITY
1-600.2.2., AND 1-600.2.5.
RECEIPTS
8-202.3.
RETIREMENT TO RECORDS CENTER
3-402.
STORAGE REQUIREMENTS
5-102.2.
CONFLICT
RESOLUTION OF CLASSIFICATION CONFLICTS
2-500. THROUGH 2-503.
CONGRESS
RELEASE OF CLASSIFIED INFORMATION TO
7-101.1.
CONTRACTORS
ACCESS TO SPECIAL ACCESS PROGRAM MATERIAL
12-104.
RELEASE OF INTELLIGENCE TO
7-101.4.
CONTROL MARKINGS
PORTION MARKING
4-202.
PRESCRIBED MARKINGS.
4-200.
COURIER
(ALSO SEE "ESCORTS" AND "HAND CARRYING")
ARMED FORCES COURIER SYSTEM.
8-101.1., 8-102.
DESIGNATION OF (TOP SECRET)
8-101.9.
LETTER
8-302.
RESPONSIBILITY FOR SAFEGUARDING
5-100.
COURTS
RELEASE OF CLASSIFIED INFORMATION TO
7-101.7.
COVER SHEETS
ON DOCUMENTS AND MATERIAL
5-201.1.
ON FILE FOLDERS
4-205.
CRITICAL NUCLEAR WEAPON DESIGN INFORMATION (CNWDI)
DEFINITION
1-312.
DOCUMENT MARKING
4-200.
PORTION MARKING
4-202.
CRYPTOGRAPHIC INFORMATION
COMPROMISE OF
6-101.
CUSTODIAN
DEFINITION
1-313.
INSTRUCTION OF
10-101.9.
RESPONSIBILITIES
5-200.
CYPHER LOCKS
NOT SUBSTITUTE FOR COMBINATION LOCK
5-104.3.
DAMAGE ASSESSMENT
CLASSIFICATION REEVALUATION
2-210.
CONDUCT OF
6-111.
DAMAGE TO NATIONAL SECURITY
AS TEST FOR CLASSIFICATION
2-202.
DEGREES OF DAMAGE
1-501. THROUGH 1-503.
DEBRlEFING
EXTENDED ABSENCE
1-110.
TERMINATION
10-105.
DECLASSIFICATION
APPLYING DERIVATIVE DATES
4-401.
AS EARLY AS POSSIBLE
3-100.
AUTHORITY
1-603.
BASIC POLICY
1-401.
BEFORE STORAGE OR RETIREMENT
3-402.
CHANGES IN ORIGINAL DATE
3-600.
DEFINITION
1-314.
EXAMPLES OF DECLASSIFICATION STAMPS
4-402.
INFORMATION SECURITY OVERSIGHT OFFICE
3-103.
MARKING LARGE QUANTITIES OF MATERIAL
4-404.
REMARKING
4-400.
RESPONSIBILITY FOR TRANSFERRED DOCUMENTS
3-400., 3-401.
SYSTEMATIC REVIEW FOR DECLASSIFICATION
CRYPTOLOGIC INFORMATION
3-203.
FOREIGN GOVERNMENT INFORMATION
11-201.
GUIDELINES FOR REVIEW
3-201.
NON-PERMANENT RECORDS
3-202.1.
PERMANENT RECORDS
3-202.1.
REVIEW PROCEDURES
3-202., 3-204.
DERIVATIVE CLASSIFICATION
APPLYING DECLASSIFICATION DATES
4-401.
DEFINITION
1-316.
EXAMPLE OF CLASSIFICATION STAMP
4-402.2.
EXTRACTS OF INFORMATION
2-212.
MARKING DOCUMENTS
4-103.2.
RECORDING MULTIPLE SOURCES
4-104.1.3.
RECORDING SOURCE OF CLASSIFICATION
4-104.1.2.
RESPONSIBILITY
1-601.
DESTRUCTION
BASIC POLICY
9-100.
BURN BAGS
9-102.2., 9-103.1.
CLASSIFIED WASTE
4-307., 5-201.2., 9-104.
FOUO INFORMATION.
15-501.
PROCEDURES
9-106.
RECORDS
9-103.
VIDEO TAPE
5-607.
DISSEMINATION
NOTICE OF LIMITATION
4-505.
DOCUMENT
CLASSIFYING (BASIC POLICY)
2-206.
DEFINITION
1-317.
DOUBLE CHECK
DUTIES OF DOUBLE CHECK
5-106.4., 5-202.
DOWNGRADING
AUTHORITY
1-603.
DEFINITION
1-319.
EXAMPLE OF DOWNGRADING STAMP
4-402.3.
MARKING FOR AUTOMATIC DOWNGRADING
3-500.
MARKING LARGE QUANTITIES OF MATERIAL
4-400.
DRAWINGS
MARKING
4-301.
DURATION OF CLASSIFICATION
BASIC POLICY
1-400.3., 2-300.
LIMITS
1-600.3., 2-301.
SUBSEQUENT EXTENSION
2-302.
ENVELOPES
FOR COMBINATION
5-104.2.3.
FOR TRANSMISSION OF CLASSIFIED MATERIAL
8-200.
ESCORTS
FOR VISITORS; CLEANING CREWS; ETC.
5-403.1.
ESPIONAGE
EDUCATION AGAINST
10-101.6.
REPORTING
6-106.
EXERCISE TERMS
ASSIGNMENT, USE, TERMINATION
APPENDIX 3.
EXTRACTS OF INFORMATION
DETERMINING CLASSIFICATION OF
2-212.
IN DERIVATIVE CLASSIFICATION
1-601., 2-212.
FILE FOLDERS
COVER SHEETS ON
4-205.
MARKING
4-205.
OVERALL CLASSIFICATION
2-206., 4-205.
FILMS
MARKING
4-302.3.
FOREIGN CLASSIFICATIONS
HONORING
11-100.1.
U.S. EQUIVALENTS
APPENDIX 1.
FOREIGN GOVERNMENT INFORMATION
AS A CLASSIFYING CRITERON
2-202.3.
DEFINITION
1-320.
DURATION OF CLASSIFICATION
11-101.
EQUIVALENT U.S. CLASSIFICATION
11-300.,APPENDIX 1.
IN U.S. DOCUMENTS
11-304.
MANDATORY REVIEW
3-304., 11-202.
MARKING
11-301. THROUGH 11-304.
NATO DOCUMENTS
11-301., 11-400.
PRESUMPTION OF DAMAGE
2-203.
PROTECTION OF
11-400., 11-401.
"RESTRICTED"
11-300., 11-302.2., 11-401.2.
SYSTEMATIC REVIEW
11-201.
FOREIGN GOVERNMENTS
RELEASE OF FOREIGN INTELLIGENCE TO
7-102.
RELEASE OF FORMERLY RESTRICTED DATA TO
7-204.
RELEASE OF RESTRICTED DATA TO
7-204.
TRANSMISSION OF CLASSIFIED INFORMATION TO
8-104.
FOREIGN INTELLIGENCE INFORMATION
DISSEMINAITON
7-203.
MARKING
4-203.
FOREIGN NATIONALS
ATTENDANCE AT MEETINGS AND/OR CONFERENCES
5-205.
RELEASE OF CLASSIFIED INFORMATION TO
7-102.
RELEASE OF FORMERLY RESTRICTED DATA TO
7-204.
RELEASE OF RESTRICTED DATA TO
7-204.
FOREIGN TRAVEL
CONDITIONS OF BRIEFING
10-104.
OFFICIAL TRAVEL.
10-104.
FORMERLY RESTRICTED DATA
APPLICABILITY OF ATOMIC ENERGY ACT
1-204.
DEFINITION
1-321.
DISSEMINATION
7-204.
DOCUMENT MARKING
4-500., 4-502.
IN MESSAGES
4-207.4., 4-402.4.
PORTION MARKING
4-202.1.
SAFEGUARDING
7-400.
FORMER PRESIDENTIAL APPOINTEES
RELEASE OF CLASSIFIED INFORMATION TO
7-101.6.
FORMS
AF FORM 91
5-202., 5-509.
AF FORM 93
5-502.4.
DD FORM 173
4-207.2.
DD FORM 577
5-401., 5-502.2.
DD FORM 2251
5-403.
DD FORM 2275
7-300.2.3.
DIA FORM 554
16-101.3.
OPTIONAL FORM 7
8-203.2.2.
SD FORM 120
5-205.2.2.9., 7-300.5.
SD FORM 188
9-103.1., 16-101.3.
SD FORM 189
10-102.
SD FORM 194
7-300.2.3.
SD FORM 396
7-300.5.
SD FORM 507
7-300.1.1.
SF 700
5-104.2.3.
SF 701
5-202.
SF 702
5-106.
FOR OFFICIAL USE ONLY (FOUO)
DESTRUCTION
15-501.
DISSEMINATION
15-302.THROUGH 15-304.
MARKING
15-200. THROUGH 15-206.
PUBLIC RELEASE
15-301.
SAFEGUARDING
15-402., 15-403.
TERMINATION OF MARKING
15-500.
TRANSMISSION
15-305.
UNAUTHORIZED DISCLOSURE
15-502.
FREEDOM OF INFORMATION ACT (FOIA)
MANDATORY REVIEW REQUEST
3-303.2.
GENERAL ACCOUNTING OFFICE
RELEASE OF CLASSIFIED INFORMATION TO
7-101.3.
GENERAL DECLASSIFICATION SCHEDULE
REMARKING DOCUMENTS CLASSIFIED UNDER
4-400.
GRAPHICS
IN DOCUMENTS (MARKING)
4-202.1.
RESPONSIBILITY FOR PROPER MARKING
4-301.
HAND-CARRYING
ABOARD AIRCRAFT
8-302.
INSTRUCTIONS FOR PERSONNEL
APPENDIX 6.
RESTRICTIONS AND REQUIREMENTS
8-301.
INFORMATION SECURITY OVERSIGHT OFFICE (ISOO)
DECLASSIFICATION AUTHORITY
3-103.
FUNCTIONS
13-102.2.
REQUESTS FROM
13-103.,
INVENTORY ANNUAL
OF TOP SECRET DOCUMENTS
7-300.3.
INVESTIGATION, FORMAL
OF ACTUAL OR PROBABLE COMPROMISE
6-104.
LOCKS
EMERGENCIES
5-404.
KEY CONTROL OFFICER
5-401.
KEY REQUESTS
5-401.
MANDATORY REVIEW
ALLOWABLE PERIOD TO ACT ON REQUEST
3-304.2.
ANY CLASSIFIED INFORMATION
3-300.
APPEALS
3-303.6.
FOREIGN GOVERNMENT INFORMATION
3-304., 11-202.
PRESIDENTIAL INFORMATION
3-301.
PROCESSING REVIEW REQUEST ACTIONS
3-303.
REQUESTS FOR REVIEW
3-302.
MAPS
MARKING
4-301.
MEETINGS AND CONFERENCES
CONTRACTORS AT
5-205.2.2.
FOREIGN NATIONALS AT
5-205.2.2.
LOCATION
5-205.2.
SPONSORSHIP
5-205.2.2.
MESSAGES
CITING AS DERIVATIVE SOURCE
4-207.5.
CONTAINING RD OR FRD
4-207.4., 4-402.5.
DECLASSIFICATION OR REVIEW DATA
4-207.4.
ORIGINATIOR AS ACCOUNTABLE CLASSIFIER
4-207.3.
OVERALL MARKING
4-207.2.
PORTION MARKING
4-207.2.
RECORD COPY
4-207.1.
NATIONAL SECURITY COUNCIL
OVERSIGHT AUTHORITY
13-100.
NATO INFORMATION
DISSEMINATION
7-200.
MARKING IN U.S. DOCUMENTS
11-304.
MARKING NATO DOCUMENTS
11-301.
PROTECTION OF
11-400.
SPECIAL ACCESS PROGRAMS INVOLVING
12-101.1.
U.S.-NATO EQUIVALENT CLASSIFICATIONS
APPENDIX 1.
NEED TO KNOW
POLICY
7-100., 7-103.
NICKNAMES
ASSIGNMENT, USE, TERMINATION
7-209., APPENDIX 3.
OFFICIAL RELEASES
PROHIBITION ON CLASSIFICATION
2-204.2.
ORIGINAL CLASSIFICATION
DEFINITION
1-328.
PACKAGING
FOR TRANSMITTAL
8-200.
PATENT SECRECY ACT
CLASSIFICATION UNDER
2-701.
PERMANENT RECORDS
DISPOSITION
9-100.
SYSTEMATIC REVIEW
3-202.
PERSONNEL RECORDS
STORAGE
CLASSIFIED
5-102.
UNCLASSIFIED
15-402., 15-403.
PHOTOGRAPHS
MARKING
4-302.
PHYSICAL SECURITY
ALARM SYSTEMS
5-500. THROUGH 5-510.
BASIC POLICY
5-100.
BASIC SAFEGUARDS
5-200., 5-201.
CHECKING SAFES AND DOORS
5-106.
COMBINATIONS
5-104.
CYPHER LOCKS
5-104.3.
DOUBLE CHECKS
5-202.2.
END OF DAY CHECK
5-202.
LOCKING SAFES AND DOORS
5-106.
STORAGE EQUIPMENT
5-101. THROUGH 5-103.
TYPEWRITERS
5-201.3.
UNLOCKING SAFES AND DOORS
5-106.
PRIVATE INFORMATION
RESTRICTIONS ON CLASSIFYING
1-303., 2-204.2., 2-204.3., 2-600., 2-702., 2-703.
PROHIBITIONS
CERTAIN CLASSIFICATION MARKINGS
1-500.
CLASSIFICATION OF CERTAIN INFORMATION
2-204.
DISSEMINATION NOTICE
4-505.
REPRODUCTION NOTICE
4-505.
RETAINING COMBINATIONS
5-104.
SECURITY MARKING ON ARTICLES IN PRESS
4-102.
TAKING CLASSIFIED INFORMATION HOME
5-104.2.
PUBLIC DISCLOSURE
REEVALUATION DUE TO
2-209.
RECEIPTS
CONTINUOUS RECEIPTING FOR TOP SECRET
7-300.5.
ONLY UNCLASSIFIED INFORMATION ON RECEIPTS
8-202.4.2., 8-202.7.
RECEIPT SYSTEMS
CONFIDENTIAL
8-202.3.
SECRET
8-202.1.
TOP SECRET
8-202.1.
RETENTION PERIOD
8-202.4.3.
RECORDINGS
MARKING
4-302.4.
RECORDS
COMBINATIONS
5-104.2.
DESTRUCTION
9-102.
HAND-CARRYING CLASSIFIED MATERIAL
8-300.5.
SECRET AND CONFIDENTIAL CLASSIFICATION
1-602.1.2.
TOP SECRET ACCOUNTABILITY
7-300.2.
TOP SECRET CLASSIFICATION AUTHORITIES
1-602.1.1.
TOP SECRET INVENTORY
7-300.3.
REGRADING
DEFINITION
1-329.
DOWNGRADING
1-319.
NOTIFICATION OF REGRADING ACTION
1-329.
PREVIOUSLY UNCLASSIFIED INFORMATION
2-801.
REMARKING
4-600.
UPGRADING
1-337.
REPRODUCTION
EQUIPMENT
7-305.3.
LIMITATION NOTICE
4-505., 4-506.
SECRET INFORMATION
7-209.2.
TOP SECRET
7-305.7.
RESEARCHERS
RELEASE OF CLASSIFIED INFORMATION TO
7-105.5., APPENDIX 7.
RESTRICTED DATA
DEFINITION
1-323.
DISSEMINATION
7-204.
DOCUMENT MARKING
4-500., 4-501.
MESSAGES CONTAINING
4-207.4., 4-402.5.
PORTION MARKING
4-202.1.
TRANSMISSION
8-107.
SECRET
DEFINITION
1-502.
DISSEMINATION
ORIGINAL CLASSIFICATION AUTHORITY
1-600.2.
STORAGE
5-102.2.
TRANSMISSION
8-102.
SECURITY CHECKS
DOUBLE CHECKS
5-202.
END OF DAY
5-202.
INDIVIDUAL AREA
5-202.
SECURITY CLEARANCES
FOR GAO PERSONNEL
7-105.3.
POLICY ON
7-101.
SECURITY CONTAINERS
ALARMED AREA AS A SECURITY CONTAINER
5-102.1.
CLOSING
5-106.
COMBINATION CHANGE
5-104.2.
FOR SECRET AND CONFIDENTIAL
5-102.2.
FOR TOP SECRET
5-102.1.
NEW CONTAINERS
5-103.
NUMBERING
5-104.1.
OPENING
5-106.
REPAIR
5-105.
SECURITY EDUCATION
ANNUAL REFRESHER TRAINING
10-103.
INITIAL INDOCTRINATION OF NEW PERSONNEL
10-101.2.
SCOPE
10-101.
SECURITY MANAGERS
APPOINTMENT
13-304.1.
BRIEFING NEW PERSONNEL
10-101.10., 10-102.
DUTIES
13-304.3.
SECURITY MARKING
ANNEXES, APPENDICES, ENCLOSURES
4-201.
AUTHORIZED CLASSIFICATION MARKINGS
1-500.
CHARTS, MAPS, DRAWINGS
4-301.
CLASSIFIED WASTE
4-307.
COMPILATIONS
4-203.
COMPUTER PRINTOUTS
4-305.
CONFIDENTIAL
1-503.
CONTROL MARKINGS FOR FOREIGN INTELLIGENCE
4-202.8., 4-503.
DERIVATIVE DECLASSIFICATION DATES
4-401.
DISSEMINATION LIMITATION NOTICE
4-505.
DOCUMENTS (DERIVATIVE CLASSIFICATION)
4-103.2.
DOCUMENTS (ORIGINAL CLASSIFICATION)
4-103.1.
FILES, FOLDERS, GROUPS OF DOCUMENTS
4-205.
FORMERLY RESTRICTED DATA
4-500., 4-502., 4-202.1.
FOR OFFICIAL USE ONLY
1-500.
ILLUSTRATIONS, CHARTS
4-202.3.
MESSAGES
4-207.
MICROFICHE
4-302.5.
MOTION PICTURE FILM
4-302.3.
OVERALL DOCUMENT MARKINGS
4-103., 4-200.
PAGE MARKINGS
4-200.
PHOTOGRAPHS
4-302.
PORTIONS AND/OR PARAGRAPHS
4-202.
PROHIBITED MARKINGS
1-500.
RECORDINGS
4-302.4.
REPRODUCTION LIMITATION NOTICE
4-505.
RESTRICTED DATA
4-500., 4-501., 4-202.1.
SECRET
1-502.
SLIDES
4-302.2.
SPECIAL ACCESS PROGRAM DOCUMENTS
4-308.
SUBJECTS AND TITLES
4-204.
TOP SECRET
1-501.
TRANSMITTAL DOCUMENTS
4-206.
TRANSPARENCIES
4-302.2.
VIDEO TAPE
5-604.
WORD PROCESSING STORAGE MEDIA
4-304.
WORKING PAPERS
7-304.
SENSITIVE COMPARTMENTED INFORMATION (SCI)
ADMINISTRATION
16-101.
CLASSIFICATION, MARKING, DOWNGRADING, DECLASSIFICATION
1-205.
DEFINITION
1-332.
ESTABLISHMENT OF SCI FACILITIES
16-100.
HANDLING AND CONTROLLING
1-205.
MARKING
4-508.
TSCM
16-200.
SPECIAL ACCESS PROGRAMS
BASIC POLICY
12-100.
DEFINITION
1-333.
ESTABLISHMENT OF
12-101.
MARKING DOCUMENTS
4-308.
NATIONAL FOREIGN INTELLIGENCE PROGRAM.
12-101.3.
REPORTING
12-102.
SUBJECTS AND TITLES
MARKING
4-204.
NORMALLY UNCLASSIFIED
2-206.
REQUIREMENT FOR UNCLASSIFIED SHORT TITLE
2-206.
TELEPHONES
CLASSIFIED CONVERSATIONS
5-204.
TOP SECRET
CONTROL OF
7-300.
ACCOUNTABILITY
7-300.2.
INVENTORIES
7-300.3.
TOP SECRET CONTROL OFFICER
7-300.1.
DEFINITION
1-501.
DESTRUCTION OF EXCESS COPIES
7-300.4.
DISSEMINATION OUTSIDE OF THE DEPARTMENT OF
DEFENSE
7-207.
HAND-CARRYING
8-302.5.1.2.
METHODS OF TRANSMISSION
8-101.
OPENING TOP SECRET MAIL
8-204.2.
ORIGINAL CLASSIFICATION AUTHORITY
1-600.2.1.
REPRODUCTION
7-305.7.
STORAGE REQUIREMENTS
5-102.1.
WORKING PAPERS
7-304.
TYPEWRITER RIBBONS
DESTRUCTION
5-201.3.
SECURITY OF
5-201.3.
UNAUTHORIZED ABSENCE
REPORTING
6-110.
VIDEO TAPE
DECLASSIFICATION
5-606.
DESTRUCTION
5-607.
ERASURE
5-605.
EQUIPMENT
5-603,
MARKING
5-604.
PRODUCTION
5-601.
RECORDING OVER
5-605.
USE
5-602.
WORKING PAPERS
DEFINITION
7-304.1.
MARKING
7-304.1.
RECEIVED IMPROPERLY MARKED
7-304.4.
REQUIREMENTS
7-304.1.
STORAGE OF TOP SECRET
5-102.1.