INDUSTRIAL SECURITY MANUAL FOR SAFEGUARDING CLASSIFIED INFORMATION

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP89B01356R000200350006-4
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 393
• Document Creation Date: December 23, 2016
• Document Release Date: August 17, 2012
• Sequence Number: 6
• Publication Date: September 1, 1987
• Content Type: REPORT

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DoD 5220.22-M
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DEPARTMENT OF DEFENSE
SEPTEMBER 1987
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TRANSMITTAL SLIP
2012/08/17: CIA-RDF
DATE.24 Odobee
TO: D.b ip5
ROOM NO.
BUILDING
REMARKS:
A.AM:Ck- DO b ISM.
L./
P44.. /Ltd-
FROM: a/poLicy
ROOM NO.
BUILDING
EXTENSION
FORM NO. REPLACES FORM 36-8
1 FEB 56 241 WHICH MAY BE USED.
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(47)
89B01356R000200350006-4
STAT
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INTELLIGENCE COMMUNITY STAFF
22 October 1987
C/Policy Br/ES/OS
Please note paragraph 75e from the
current DoD ISM 5220.22M which you have.
This statement contradicts DCID 1/14,
Annex B.
We called DoD and they say it is an
error and they will notify everyone by
their periodic bulletins.
SS/OD&E has been advised.
STAT
STAT
INFORMATION
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DoD 5220.22-M
Section IX. SENSITIVE COMPARTMENTED INFORMATION AND COMSEC INFORMATION
75. SENSITIVE COMPARTMENTED INFORMATION.
a. The provisions of this manual apply to research, development, and
production of SENSITIVE COMPARTMENTED INFORMATION. In addition, special
security requirements supplementing this manual will be prescribed by the
contracting department for SENSITIVE COMPARTMENTED INFORMATION contracts,
except that, for SENSITIVE COMPARTMENTED INFORMATION contracts awarded by
military department procurement activities for the NSA, the NSA will prescribe
the special security requirements.
b. In the case of SENSITIVE COMPARTMENTED INFORMATION contracts awarded
by military department procurement activities for the NSA, the NSA shall be
responsible for exercising security controls over the contract.
c. In the case of SENSITIVE COMPARTMENTED INFORMATION contracts awarded
by and for a military department or DoD Agency, an activity designated by the
contracting military department or DoD Agency shall be responsible for exercis-
ing security controls over the contract.
d. Access to SENSITIVE COMPARTMENTED INFORMATION will be granted to
contractor employees requiring access by the activity designated to exercise
security controls over the contract as provided above.
e. Denial or revocation of authorization for access to SENSITIVE
COMPARTMENTED INFORMATION is not appealable.
76. COMSEC Information. The contractor shall protect COMSEC information in
accordance with the requirements of the DoD 5220.22-S-1 (CSISM).
165
76.
?/F7
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DoD 5220.22-M
DEFENSE INVESTIGATIVE SERVICE
1900 HALF ST. S.W.
WA5H1NIGTON. D.C. 20324-1700
FOREWORD
This manual is issued under the directional authority of, and in
accordance with, Department of Defense Directive 5220.22, "Department of
Defense Industrial Security Program." It establishes uniform security
practices within industrial plants, educational institutions, and all
organizations and facilities used by prime contractors and subcontractors
having classified information of the Department of Defense, certain other
executive departments and agencies, or certain foreign governments. Users of
this publication are encouraged to submit suggestions for improving the
publication, through channels, to the Director, Defense Investigative Service.
DoD 5220.22.41, "Industrial Security Manual for Safeguarding Classified
Information," November 1, 1986, is hereby canceled and superseded.
This revision is required by the demands of national security as
determined by the U.S. Government. It is issued pursuant to and constitutes
notice prescribed by section 1A(i) of DD Form 441, "Department of Defense
Security Agreement," January 1984 and section IA of DIS Form 1149, "Department
of Defense Transportation Security Agreemen " September 1986.
or
0 RIENI
For sale by the Superintendent of Documents, US. Government Printing Office
Washington, DC 20402
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DoD 5220.22-M
SUMMARY OF CHANGES -
The following is a brief description of substantial changes to the Industrial
Security Manual since November 1986. These changes are marked by an asterisk
in the right-hand margin of the text.
Paragraph
3u.1, 3ag.1, 3ax.1,
and 3ck.1
Adds definition of
Compromising Emanations,
Designated Countries,
Information Processing
Equipment, and TEMPEST.
55 Establishes FSO training
requirement.
5b
51
Changes "Automatic Data
Processing" term to
"Automated Information
System."
Requires cleared employees to
be informed of their
responsibility to make certain
reports to the FSO.
5g Establishes the use of the SF
189-A in lieu of the DISCO
Form 482 in documenting
security briefings and
terminations. Requires
execution of the "Security
Debriefing Acknowledgement"
portion of the SF 189-A for
a leave of absence in excess
of 120 days vice 30 days.
5m
Provides that classified
material retention will
normally not be authorized
for more than 5 years.
Footnote 10 Deleted.
5ak Clarifies Hotline intent.
Sal Adds new paragraph which
discuss TEMPEST requirements.
iii
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6a(9)
SUMMARY OF CHANGES
Deleted. Reports of refusal
to execute SF 189-A are to be
sent to DISCO in accordance
with new paragraph 6b(11).
6b(1) Changes paragraph 26c to 26b.
6b(2)
Requires submission of DISCO
Form 562 for absences in
excess of 120 days vice 30
days.
6b(11) Requires reports of refusal to
execute SF 189-A to be sub-
mitted to DISCO.
10a
10e
20b
20e
20h
20n
24a(1)(g)
Provides for contractor
involvement in preparation
and use of the DD 254.
Establishes contractor
requirement and authority
to challenge questionable
classification guidance.
Establishes clearance
eligibility requirements for
certain naturalized U.S.
citizens.
Deletes specifics regarding
cleared guards, and replaces
with statement, "and when
otherwise required by the
terms of this manual."
Changes leave of absence
period from 30 days to 120
days.
Establishes new requirement
for written clearance
verification and reconcilia-
tion by the contractor when
requested by DISCO.
Deletes possession prerequi-
site for issuance of Company
CONFIDENTIAL clearance.
Establishes nsw prnvision
relating to the Nuclear
Weapon PRP.
iv
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DoD 5220.22-M
24a(1)(h)
SUMMARY OF CHANGES
Requires DoD-granted clear-
ances for certain naturalized
U.S. citizens.
24a(3) Requires DoD-granted LAA's for
non-U.S. employees requiring
access to classified
information.
24b
24b(1)(b)
Deletes requirement for the
contractor to possess
classified information to be
eligible to issue clearances
at the CONFIDENTIAL level.
Prohibits contractor-granted
CONFIDENTIAL clearances for
naturalized U.S. citizens from
a Designated country.
24b(4) Adds reference to naturalized
citizen from Designated
countries, and deletes
reference to DIS Form 180.
26a(2) Eliminates privacy procedures
and establishes alternative
procedures for employees not
desiring to disclose certain
information.
26a(4) Deletes use of DISCO Form 703/
704 (Envelope), and requires
return of completed PSQ to
employer.
26a(5)
Deletes requirement to
complete FD 258 prior to
completion of PSQ's.
26a(6) Deletes reference to DIS Form
180, and use of preaddressed
envelopes.
26a(7)
26b(2)(c)
Consolidates and amends
provision of 26a(7) and (8).
Paragraph (c) text to
paragraph (d). Paragraph (d)
text to paragraph (e). New
text in paragraph (c) relates
to naturalized U.S. citizens
from Designated countries.
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SUMMARY OF CHANGES
26b(3)
26c
26d
20a, 24b(2), 26e(2)(b), 26e(3)(b),
26f(1), 26g, 26k, 30b
26j(2)(c)
34a(1)
34a(2)(b)
36
38a
Appendix I.B.
Appendix I.F.5
Appendix I.F.6
Appendix I.K.
Appendix I.N.
Appendix VI
Appendix XIII
vi
Modified to reflect elimina-
tion of privacy provisions.
Revises interim PCL approval
and eligibility requirements.
Establishes special clearance
transfers between collocated
facilities under certain
conditions.
Deletes reference to DIS Form
180.
Changes location of LOC "MAIL
TO" instructions from the Job
Title section of the PSQ to
the Remarks section.
Expands personnel control of
closed areas.
Provides exception to guard
requirement.
Supplanting Access Control
System Devices provision
totally rewritten.
Requires visitor identifica-
tion prior to any disclosure.
Adds new privacy section
instructions.
Adds LAA reference.
Adds naturalized U.S. citizen
from Designated country.
Deletes DIS Form 180 use and
actual form.
Replaces DISCO Form 482 with
SF 189-A.
Adds 18 6 641, 50 6 421, and
Executive Order 12356
Paragraph. references added to
questions for easy reference
to area under review.
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DoD 5220.22-14
-GLOSSARY OF ACRONYMS ANDABBREVIATIONS COMONLY USED
IN THE DoD INDUSTRIAL SECURITY PROGRAM
ACDA U.S. Arms Control and Disarmament Agency
ACO Administrative Contracting Officer
ACSI Assistant Chief of Staff for Intelligence, Department of Army
AIS Automated Information System
AISE Automated Information System Equipment
APO Army Post Office
ASD(C) Assistant Secretary of Defense (Comptroller)
BI Background Investigation
BL Bill of Lading
(C) CONFIDENTIAL
CAB Civil Aeronautics Board
CAGE Commercial and Government Entity Number (formerly FSC)
CBL Commercial Bill(s) of Lading
CDSS Canadian Department of Supply and Services
CENTO Central Treaty Organization
CM Candidate Material
CNWDI Critical Nuclear Weapon Design Information
COMINT Communications Intelligence
COMSEC Communications Security
CONUS Continental United States
COR Central Office of Record
COSMIC--TOP Property of NATO and Subject to Special Security Controls
SECRET
CPU Central Processing Unit
CRT Cathode Ray Tube
CSISM COMSEC Supplement to the Industrial Security Manual
CSO Cognizant Security Office
CSS Constant Surveillance Service
CUSR Central United States Registry
CVA Central Verifications Activity
DAR Defense Acquisition Regulation (formerly ASPR)
DCAS Defense Contract Administration Services
DCASR Defense Contract Administration Services Region
DCII Defense Central Index of Investigations
DGSC Defense General Supply Center
DIA Defense Intelligence Agency
DIS Defense Investigative Service
DISCO Defense Industrial Security Clearance Office
DISCR, OGC, Director for Industrial Security Clearance Review, Office of
OSD the General Counsel, Office of Secretary of Defense
DISP Defense Industrial Security Program
DLA Defense Logistics Agency
DNACC Defense National Agency Check Center
DoD Department of Defense
DOE Department of Energy (formerly ERDA)
DOT Department of Transportation
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DoD 5220.22?M
DSI Defense Security Institute (formerly the Defense Industrial
Security Institute (DISI))-
DSP&P Director for Security Plans & Programs, Office of the Deputy
Under Secretary of Defense (Policy)
DTIC Defense Technical Information Center
DUSD (P) Deputy Under Secretary of Defense for Policy
RAM Electronic Accounting Machines
EAR Export Administration Regulation
EEFI Essential Elements of Friendly Information
ENAC Expanded National Agency Check
E.O. Executive Order
EPA Environmental Protection Agency
FAA Federal Aviation Administration, Department of Transportation
(formerly Federal Aviation Agency)
FAR Federal Acquisition Regulation
FBI Federal Bureau of Investigation
FCL Facility (Security) Clearance
FEMA Federal Emergency Management Agency
FMS Foreign Military Sales
FOCI Foreign Ownership, Control, or Influence
(FRD) FORMERLY RESTRICTED DATA
FRS Federal Reserve System
FSC Federal Supply Code (see CAGE)
FSO Facility Security Officer/Supervisor
FSS Federal Supply Schedule
GAO General Accounting Office
GBL Government Bill(s) of Lading
GFE Government Furnished Equipment
GYP Government Furnished Property
GPO Government Printing Office
GSA General Services Administration
GSOIA General Security of Information Agreement
HHS Department of Health and Human Services
HOF Home Office Facility
HQ Headquarters
ICC Interstate Commerce Commission
IFB Invitation for Bid
IPO International Pact Organization
ISB Industrial Security Bulletin
ISCRO Industrial Security Clearance Review Office
ISL Industrial Security Letter
ISM Industrial Security Manual for Safeguarding Classified
Information (DoD 5220.22-)!)
ISR Industrial Security Regulation (DoD 5220.22-R)
ITAR International Traffic in Arms Regulation
\
KGB Committee on State Security (Soviet Union)
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DoD 5220.22-14
LAA
LOC
MAAG
MAP
M70
MIL-STD
MTMC
N/A
VAC
NASA
NATO
NCSC
NIS
NPLO
NRC
NSA
NSF
OASD(PA)
OISI
OODEPs
OPM
OPSEC
OSI
PCL
PCO
PIC
PMF
PRP
PSCF
PSQ
PSS
(RD)
RFI
RFP
RFQ
(S)
SBA
SEATO
SEC
STOP
SPP
SSO
TO
TPS
(TS)
Limited Access Authorization
Letter of Consent, DISCO Form 560
Military Assistance Advisory Group
Mutual Aid Program
Mutual Defense Assistance Program
Multiple Facility Organization
Military Standard (Book Form)
Military Traffic Management Command (formerly MTMTS)
Not Applicable
National Agency Check
National Aeronautics and Space Administration
North Atlantic Treaty Organization
National Communications Security Committee
Naval Investigative Service
NATO Production Logistics Organization
Nuclear Regulatory Commission
National Security Agency
National Science Foundation
Office of the Assistant Secretary of Defense (Public Affairs)
Office of Industrial Security, International
Owners, Officers, Directors, Partners, Regents, Trustees, or
Executive Personnel
Office of Personnel Management OSD
Operations Security
Office of Secretary of Defense
Office of Special Investigations, USAF
Personnel
Procuring
Personnel
Principal
Personnel
Personnel
(Security) Clearance
Contracting Officer
Investigations Center
Management Facility
Reliability Program
Security Clearance Files (Industrial)
Personnel Security Questionnaire
Protective Security Service
RESTRICTED DATA
Representative of a Foreign Interest
Request for Proposal
Request for Quote
SECRET
Small Business Administration
Southeast Asia Treaty Organization
Securities and Exchange Commission
Single Integrated Operational Plan
Standard Practice Procedure (s)
System Security Officer
Transportation Officer
Transportation Protection Service
TOP SECRET
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DoD 5220.22-M
TSEC U.S. Telecommunications Security
TWX Teletype Communications
(U) UNCLASSIFIED
UA User Agency
U.K. United Kingdom
UL Underwriters' Laboratories
U.S. United States of America
USAFSS U.S. Air Force Security Service
U.S.0 United States Code
USIA United States Information Agency
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DoD 5220.22-M
TABLE OF CONTENTS
Paragraph Page,
Foreword
Summary of Changes iii
1
2
3
4
5
6
7
8
9
Glossary of Acronyms and Abbreviations Used in
the DoD Industrial Security Program
Section I. GENERAL
Scope
Applicable Federal Statutes, Executive Orders, and Regulations. . .
Definitions
Designation of Cognizant Security Office
General Requirements
Reports
Loss, Compromise, or Suspected Compromise of Classified
Information
Badges and Identification Cards
DoD Sponsorship of Meetings
1
2
3
16
17
33
40
42
43
Section II. HANDLING OF CLASSIFIED INFORMATION
10
Classification
49
11
Marking
52
12
Record of Classified Material
63
13
Special Requirements for TOP SECRET
66
14
Storage
68
15
Alternate Storage Locations
73
16
Safeguards During Use
73
17
Transmission
74
18
Reproduction
83
19
Destruction
84
Section III. SECURITY CLEARANCES
20
General
89
20.1
Emergency Higher Level Access
92
21
Facility Security Clearances
94
22
Personnel Clearances Required in Connection with Facility
Clearances
96
23
Security Clearance of Negotiators
100
24
Security Clearance of Additional Personnel
100
25
Preemployment Clearance Application -- Prohibited
103
26
Application for Personnel Security Clearance
103
27
Clearance of Present and Former Civilian and Military Personnel
of the DoD and Certain Other Government Agencies
109
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28 Contractor's Clearance Record 111
29 Administrative Termination of Personnel Security Clearances 111
30 Administrative Downgrading of TOP SECRET Personnel Security
Clearances 113
31 Access to Classified Information by Non-United States Citizens. . 113
31.1
Immigrant Aliens
114
31.2
Foreign Nationals
115
31.3
Access Limitations for Immigrant Aliens, Foreign Nationals, and
Firms Granted a Reciprocal Facility Security Clearance
115
Section IV. CONTROL OF AREAS
32
Purpose
117
33
General
117
34
Area Controls
118
35
Supplemental or Supplanting Alarm Systems
120
36
Supplanting and Supplemental Electronic, Mechanical, and
Electro-Mechanical Access Control Devices
123
Section V. VISITOR CONTROL PROCEDURES
Part 1. Visits to User Agency Contractors
37
General
127
38
Identification and Control of Visitors
129
39
Visitor Records
130
40
Long-Term Visitors
130
41
Visitor Categories and Procedures
131
42
Visits Involving Access to RESTRICTED DATA
135
-Part 2. Visits to User Agency Activities
43
General Rules -- In Addition to Paragraph 37
136
44
Visits to User Agency Activities in the United States
136
45
Visits to User Agency Activities Outside the United States
137
Part 3. Visits to Government Activities Other Than User Agencies
46
Visits to DOE Installations or DOE Contractors
138
47
Visits to Activities Other Than DOE
138
Part 4. Visits to Foreign Governments and Activities
48
General
138
49
Processing Time
140
50
Use of OISI
140
Part 5. Visits in Connection With Bilateral Industrial
Security Agreements and NATO Visits Procedures
51
Visits in Connection with Bilateral Industrial Security Agreements.
140
52
NATO Visit Procedures
141
4
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53 , NFL? Programs-Clearance and Visit Procedures 142
54 Records of NATO Visits 143
55 Certificate of Security Clearance 143
Section VI. SUBCONTRACTORS, VENDORS, AND SUPPLIERS
56 Application to Subcontractors 145
57 Application to Sub-Subcontractors 145
58 Determination of Clearance Status 145
59 Safeguarding Ability 146
60 Classification Guidance 147
61 Required Distribution 150
62 Notification of Selection 151
63 Unsatisfactory Security Conditions 151
64 Disposition of Classified Information 151
65 Subcontracting With Foreign Industry 152
66 Subcontracts Arising From Foreign Classified Contracts 153
Section VII. CONSULTANTS
67 General 155
68 Consultant -- Type A . 155
69 Consultant -- Type B 156
70 Consultant -- Type C 156
71 Consultants to User Agencies Employed Under Civil Service
Procedures 157
Section VIII. PARENT-SUBSIDIARY AND MULTIPLE FACILITY ORGANIZATIONS
72 Parent-Subsidiary Relationship 159
73 Multiple Facility Organizations 160
74 Temporary Help Suppliers 162
Section IX. SENSITIVE COMPARTMENTED INFORMATION AND COMSEC INFORMATION
75 SENSITIVE COMPARTMENTED INFORMATION 165
76 COMSEC Information 165
Section X. GRAPHIC ARTS
77 Special Requirements for Graphic Arts 167
78 Production Control Records 167
79 Area Controls -- Additional Requirements 167
80 Special Conditions 168
81 Destruction -- Special Requirements 169
82 Mailing Lists 170
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Section XI. NATO INFORMATION
83 Application 171
84 Authority 171
85 Supervision and Orientation Requirements 171,
86 Security Clearances 172
87 Reproduction, Preparation, and Marking 172
88 Transmission of NATO Material 173
89 Functions of the Contracting Officer 175
90 NATO Reporting Requirements 175
91 Subcontracting 176
Section XII. OVERSEAS OPERATIONS
Part 1. Access to U.S. Classified Information
92 General 177
93 Access to Classified Information 177
94 Safeguarding U.S. Classified Information 178
95 Overseas Assistance 179
96 Notification of Overseas Assignment 180
97 Security Briefings and Certificates 181
Part 2. Access to Classified Information of Foreign Governments and
International Pact Organizations Under a Security Assurance
98 General 182
99 Security Assurance 183
Section XIII. SECURITY REQUIREMENTS FOR AUTOMATED INFORMATION SYSTEMS
Part 1. General
100 Reserved 185
101 Applicability 185
102 Objectives 185
Part 2
103 General 186
104 AIS Security Modes of Operation 187
104.1 Concurrent Processing of Multiple Classification Levels 190
105 Personnel Security 190
106 Physical Security 192
107 Reserved 194
108 Reserved 194
108.1 Protection of Software and Data 194
109 Transmission Controls 196
110 Subcontracting Controls 196
111 Audit Trails 197
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Part 3. Procedures
112
AIS Security Approval
198
113
AIS Security Level Upgrading
201
114
AIS Security Level Downgrading
202
115
Media and Equipment Clearance .... . . ?
202
116
Media and Equipment Declassification
203
Section XIV. CRITICAL NUCLEAR WEAPON DESIGN INFORMATION
117
Policy
207
118
Access Requirement
207
119
Briefings
207
120
Records
207
121
Marking
207
122
Subcontracting and Consultants
208
123
Transmission Outside the Facility
208
Section XV. OPERATIONS SECURITY (OPSEC)
124
Purpose
209
125
General
209
126
Applicability
209
127
Procedures for Self-Inspecting OPSEC Programs
210
Appendix I. INDUSTRIAL SECURITY FORMS
A.
Application
211
B.
Special Privacy Section Instructions
211
C.
"Department of Defense Personnel Security Questionnaire
(Industrial-NAC)" (DD Form 48)
211
D.
"Application and Authorization for Access to Confidential
Information (Industrial)" (DD Form 48-2)
215
E.
"Department of Defense Personnel Security Questionnaire
(Updating)" (DD Form 48-3)
218
F.
"Department of Defense Personnel Security Questionnaire
(Industrial)" (DD Form 49)
221
G.
"Department of Defense Contract Security Classification
Specification" (DD Form 254)
227
H.
"Applicant Fingerprint Card" (FD Form 258)
236
I.
"Request for Visit or Access Approval" (DOE F 5631.20)
239
J.
"Letter of Notification of Facility Security Clearance"
(DIS FL 381-R)
240
K.
Reserved
241
L.
"Department of Defense Security Agreement" (DD Form 441) and
"Appendage" (DD Form 441-1)
242
M.
"Certificate Pertaining to Foreign Interests" (DD Form 441s)
246
N.
"Classified Information Nondisclosure Agreement, (Industrial/
Commercial/Non-Government), Standard Form (SF) 189-A
250
O.
"Letter of Consent" (DISCO Form 560)
252
P.
Reserved
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Q ?
"Personnel Security Clearance Change Notification"
(DISCO Form 562) 253
R. Reserved 257
S. Reserved 257
T. "Department of Defense Transportation Security Agreement"
(DIS Form 1149) 257
U. "Facility Clearance Register" (DD Form 1541) and "Registration
for Scientific and Technical Information Services"
(DD Form 1540) 260
V. Letter Agreement to Safeguard Classified Information for an
Employee Performing Consultant Services 264
Appendix II. DERIVATIVE CLASSIFICATION INFORMATION AND PROCEDURES
A. Scope and Application 267
B. Downgrading/Declassification and "Classified by" Line
Procedures 270
C. Applying Derivative Markings to New Material 271
D. Most Restrictive Marking Determination 271
E. Downgrading/Declassification Actions for Pre-August 1, 1982
Material 272
F. Extracts of Information 272
G. Changing Classification Markings 272
H. Release of Declassified Information 272
Appendix III. FOREIGN CLASSIFIED CONTRACTS
Table Outlining Responsibilities for Security Actions 273
Appendix IV. REQUIREMENTS FOR THE CONSTRUCTION OF STORAGE
VAULTS AND STRONGROOMS
A. Application 275
B. Class A Vault 275
C. Class B Vault 276
D. Class C Vault 276
E. Structural Design 277
F. Strongrooms 277
G. Approval 278
Appendix V. REQUIREMENTS FOR THE CONSTRUCTION OF CLOSED AREAS
A. Application 279
B. Requirements 279
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Appendix VI. . EXTRACTS .OF THE ESPIONAGE.. ANDSABDTAGE ACTS, OTHER
FEDERAL CRIMINAL STATUTES, AND EXECUTIVE ORDER 12356 281
Appendix VII. GUIDANCE FOR PREPARATION OF SECURITY BRIEFINGS
A. Defense Security Briefings 289
B. Counterintelligence Awareness Briefings 291
APPENDIX VIII. INFORMATION REGARDING COGNIZANT SECURITY OFFICES,
DISCO, DSI, AND OISI 297
Appendix IX. USE OF ESCORTS FOR CLASSIFIED SHIPMENTS
(also applies to carrier custodians)
A. General 305
B. Instructions and Operating Procedures 305
C. Functions of an Escort 305
Appendix X. REQUIREMENTS APPLICABLE TO THE HAND-CARRYING OF
CLASSIFIED MATERIAL ABOARD COMMERCIAL PASSENGER AIRCRAFT
A. General 307
B. Background 307
C. Routine Processing 307
D. Approval 307
E. Authorization Letter and Identification Card 308
F. Preparation for Transmission 309
G. Special Processing 309
H. Incident Situations 310
I. Briefing 311
Appendix XI. RESERVED 313
Appendix XII. DOCUMENTS ACCEPTABLE FOR PROOF OF U.S.
CITIZENSHIP 315
Appendix XIII. GUIDANCE FOR CONTRACTOR SELF-INSPECTIONS
A. Facility Clearance 317
B. Access Authorizations 317
C. Security Education 318
D. Standard Practice Procedures 319
E. Subcontracting 319
F. Visit Control 319
G. Classification 320
H. Employee Identification 320
I. Foreign Travel 321
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J. Public Release 321
K. Classified Storage 321
L. Markings 322
M. Transmissions 323
N. Classified Material Controls 324
0. Controlled Areas . 324
P. Disposition 325
Q. Reproduction 326
R. Classified Meeting 327
S. Consultants 327
T. AIS 327
U. COMSEC/CRYPTO 328
V. International Operations 329
Appendix XIV. EQUIVALENT FOREIGN AND INTERNATIONAL PACT
ORGANIZATION SECURITY CLASSIFICATIONS 333
Appendix XV. AREAS COVERED BY MTMC AND HOTLINE NUMBERS TO BE
USED FOR EMERGENCIES 339
Appendix XVI. INDEX 341
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Section I. GENERAL
1. Scope.
a. This manual establishes the requirements for safeguarding all
classified information to which contractors and their subcontractors,
vendors, or suppliers have access or possession (see paragraph 3aa). The
manual is written in terms of the most common situation where the contractor
has access to, or possession of, classified information in connection with
the performance of a classified contract. However, it also is applicable
to the safeguarding of classified information in connection with all aspects
of precontract activity including preparation of bids and proposals, precon-
tract negotiations, and all aspects of postcontract activity. Moreover, the
requirements are equally applicable to the safeguarding of classified
information not released or disclosed under a procurement contract, such as
government-sponsored independent research and development advance agreements
or User Agency (UA) programs participated in by a firm, organization, or
individual on a voluntary or grant basis. Examples of the latter programs
are the long-range scientific and technical planning programs and programs
designed to provide planning briefings for industry. In such situations
the official of the UA (or his or her designated representative) who
releases or discloses the classified information to the contractor shall
fulfill the responsibilities which this manual assigns to the contracting
officer (such as furnishing necessary classification guidance, authorizing
retention of classified material, and certifying contractors' need to
attend classified meetings). In addition, as a general rule, terms such
as "cleared employees," "authorized personnel," and "employees in-process
for clearance," used herein, encompass all contractor employees granted a
personnel security clearance or limited access authorization and those
employees under consideration for access to classified information by the
DoD.
b. The requirements of this manual reflect the provisions of applicable
federal statutes, E.O.'s, and DoD directives.
c. The Secretary of Defense Is authorized to act in behalf of the
departments and agencies listed below in rendering industrial security
services. This authority is contained in an exchange of letters between the
Secretary of Defense and: (i) the Administrator, National Aeronautics and
Space Administration; (ii) the Secretary of Commerce; (iii) the Administrator,
General Services Administration (GSA); (iv) the Secretary of State; (v) the
Administrator, Small Business Administration; (vi) the Director, National
Science Foundation (NSF); (vii) the Secretary of the Treasury; (viii) the
Secretary of Transportation; (ix) the Secretary of the Interior; (x) the
Secretary of Agriculture; (xi) the Director, United States Information
Agency (USIA); (xii) the Secretary of Labor; (xiii) the Administrator,
Environmental Protection Agency (EPA); (xiv) the Attorney General, Department
of Justice; (xv) the Director, U.S. Arms Control and Disarmament Agency; (xvi)
the Director, Federal Emergency Management Agency (FEMA); (xvii) the Chairman,
Board of Governors, Federal Reserve System (FRS); and (xviii) the Comptroller
General of the United States, General Accounting Office (GAO).
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d. The Deputy Under Secretary of Defense for Policy (DUSD(P)), his or
her designee, or higher authority provides overall policy guidance for the
DoD Industrial Security Program. The Director, DIS is responsible for the
administration of the DoD Industrial Security Program on behalf of all UA's.
Except for certain functions performed by the Commander or Head of a UA
installation, with respect to those facilities or contractor activities
located on the installation, the Directors of Industrial Security shall
perform cognizant security office (CSO) functions prescribed in this manual,
with respect to all contractor facilities within their respective regions
(see appendix VIII for geographical areas of responsibility).
e. UA's have the authority of, and exercise the functions of, a con-
tracting officer as prescribed in this manual and the ISR. Certain of these
functions, under delegation, are performed by the ACO.
f. This manual also shall apply to the safeguarding of foreign classi-
fied information, which has been furnished to U.S. contractors and which the
U.S. Government is obligated to protect in the interest of national defense.
When foreign classified information is made available to a contractor by a
UA in connection with a U.S. classified contract, procedures applicable to
U.S. classified information shall apply. However, when foreign classified
information is made available to U.S. contractors in connection with a foieign
classified contract, the responsibility for the actions, which this manual
charges to the contracting officer and the contracting UA, shall be as pre-
scribed in appendix III. Responsibilities not specifically assigned in
appendix III are reserved to the foreign government agency or foreign
contracting activity concerned.
g. Revisions to this manual that have been approved by the DUSD(P) will
be published in page change form and will be effective the date of the change.
h. Although not a component of the Defense Industrial Security Program
(DISP), the DoD Operations Security Program (OPSEC) is discussed in Section XV
of this manual in order to provide contractors participating in the DISP with
advice and guidance concerning OPSEC in the event they become involved with
this program via UA imposed OPSEC contractual requirements. The DoD OPSEC
program is applicable only to defense contractors participating in the DISP
when the contractor User Agency determines that OPSEC measures are essential
to protect classified information for specific classified contracts.
2. Applicable Federal Statutes, Executive Orders, and Regulations.
a. Espionage Acts, 18 U.S.C. 55 793-799
b. Sabotage Acts, 18 U.S.C. 55 2151-2157
c. Conspiracy Statute 18 U.S.C. 55 371
d. Internal Security Act (1950) (in part), 50 U.S.C. 55 781-798
e. National Security Act of 1947, as amended
f. Armed Services Procurement Act of 1947, as amended
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g. Atomic-Energy Act (1954), Public law 703, 83rd Congress, as amended
h. E.O. 10104, February 1, 1950
i. E.O. 12356, April 2, 1982
j. National Aeronautics and Space Act of 1958, as amended
k. E.O. 10865, February 20, 1960
1. Federal Aviation Act of 1958, as amended
m. E.O. 10909, January 17, 1961
n. International Traffic in Arms Regulation (ITAR), Code of Federal
Regulations, Title 22, Chapter 1, Parts 121-127
o. Export Control Act of 1949, as amended
p. Mutual Security Act of 1954, as amended
q. Information Security Oversight Office (IS00) Directive No. 1,
June 23, 1982, concerning national security information
3. Definitions. The following definitions are established for the purpose
of this manual.
a. Access, Accessibility. This refers to the ability and opportunity
to obtain knowledge of classified information. An individual, in fact, may
have access to classified information by being in a place where such
information is kept, if the security measures which are in force do not
prevent him or her from gaining knowledge of the classified information 1/.
b. Automated Information System (AIS). An assembly of computer
hardware, software and firmware configured for the purpose of automating
the functions of calculating, computing, sequencing, storing, retrieving,
displaying, communicating, or otherwise manipulating data, information and
textual material (see definition of Computer Hardware).
c. AIS Security. The totality of security safeguards needed to
provide an acceptable level of protection for an AIS and the classified
data processed. Includes all hardware/software functions, characteristics
and mechanisms; operational, accountability and access control procedures
at the computer and remote terminal facilities; and management constraints,
physical structures and devices needed to provide an aeceptable level of
1/ The entry into a controlled area, per se, will not constitute access to
classified information, if the security measures which are in force prevent
the gaining of knowledge of the classified information. Therefore, the
entry into a controlled area under conditions that prevent the gaining of
knowledge of classified information will not necessitate a personnel secu-
rity clearance (PCL).
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protection for classified information in any state of storage, processing,
display or communication within the AIS.
d. Alien. An alien is any person who is not a citizen or national of
the U.S. (see "ImmigrantAlien," paragraph 3av).
d.l. Application Software. Computer programs developed for specific
functional uses and to solve particular problems, for example, navigation,
fire control and flight simulation. Contrast with System Software.
e. Authorized Persons. Authorized persons are those persons who have
a need-to-know for the classified information involved and have been cleared
for the receipt of such information (see paragraph 3bg). Responsibility for
determining whether individuals' duties require that they possess, or have
access to, any classified information and whether they are authorized to
receive it rests on the individual who has possession, knowledge, or control
of the information involved, and not on the prospective recipients.
f. Candidate Material. This is material that is referred to
collectively as special nuclear materials and nuclear weapons.
f.l. Carve-Out. A classified contract issued in connection with an
approved Special Access Program in which the DIS has been relieved of
inspection responsibility in whole or in part.
g. Reserved.
h. Classification Authority. This refers to the authority that is
vested in an official of a UA to make an initial determination that
information requires protection against unauthorized disclosure in the
interest of national security.
i. Classified Contract. A classified contract is any contract that
requires or will require access to classified information by the contractor or
his or her employees in the performance of the contract. (A contract may be a
classified contract even though the contract document is not classified.)
j. Classification Guide. This is a document issued by an authorized
original classifier that prescribes the level of classification and appropri-
ate declassification instructions for specified information to be classified
on a derivative basis. (Classification guides are provided to contractors by
the DD Form 254, "Department of Defense Contract Security Classification
Specification.")
k. Classified Information. This is information or material that is:
(i) owned by, produced by or for, or under the control of the U.S. Government;
(ii) determined under E.O. 12356 or prior orders to require protection against
unauthorized disclosure; and (iii) so designated.
1. Classifier. A classifier is an individual who makes a classifi-
cation determination and applies a security classification to information or
material. A classifier may be a classification authority or may derivatively
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assign a sevurity LlassifIcation based on a Troperly classified source or a
classification guide. Within this context, contractors may apply security
classification markings based on classified source material or a DD Form 254,
as required by this manual.
m. Closed Area. -A closed area is a controlled area that is established
to safeguard classified material, which, because of its size or nature, cannot
be adequately protected by the safeguards prescribed in paragraph 16 or stored
during nonworking hours in accordance with paragraph 14 (see section IV).
n. Closed Vehicle. A closed vehicle is a conveyance which is fully
enclosed by sides, permanent top, and door.
o. Critical Nuclear Weapons Design Information (CNWDI). CNWDI is TOP
SECRET RESTRICTED DATA or SECRET RESTRICTED DATA revealing the theory of
operation or design of the components of a thermonuclear or implosion-type
fission bomb, warhead, demolition munition, or test device. Specifically
excluded is information concerning arming, fusing, and firing systems; limited
life components; and totally contained quantities of fissionable, and high-
explosive materials by type. Among these excluded items are the components
which DoD personnel, including contractor personnel, set, maintain, operate,
test, or replace.
p. Cognizant Security Office (CSC). The term refers to the office of
the DIS Director of Industrial Security who has industrial security jurisdic-
tion over the geographical area in which a facility is located.
q. Colleges and Universities. This refers to all educational
institutions that award academic degrees, and related research activities
directly associated with a college or university through organization or by
articles of incorporation.
r. Communications Intelligence (COMINT). This is technical and
intelligence information derived from foreign communications by other than
the intended recipient.
s. Communications Security (COMSEC). COMSEC refers to protective
measures taken to deny unauthorized persons information derived from tele-
communications of the U.S. Government relating to national security and
to ensure the authenticity of such communications. COMSEC protection
results from the application of security measures to electrical systems
which generate, handle, process, or use national security information and
also includes the application of physical security measures to COMSEC
information or materials.
t. Complex. A complex is a facility, or any element thereof, which
consists of one or more buildings or structures physically enclosed within a
common perimeter barrier that is supplemented by protective measures to .
inhibit unauthorized access and control authorized access.
u. Compromise. A compromise is the disclosure of classified
information to persons not authorized access thereto.
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u.1 Compromising Emanations. This refers to unintentional ?
intelligence-bearing signals which, if intercepted and analyzed, disclose
national security information (classified information) transmitted,
received, handled or otherwise processed by any information-processing
equipment (see "TEMPEST").
u.2 Computer Facility. One or more AIS's located within a single
area.
u.3 Computer Hardware. Any physical equipment or device used in
the configuration and operation of an AIS. Includes general and special
purpose digital, analog and hybrid computers which perform logical, arith-
metic or storage functions; and all components directly related to or
operating in conjunction with such computers which are used to create,
compose, collect, store, edit, process, communicate, display or
disseminate information.
v. CONFIDENTIAL. "CONFIDENTIAL" is the designation that shall be
applied to information or material the unauthorized disclosure of which
could be reasonably 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 U.S. and overseas areas;
disclosure of technical information used for training, maintenance, and
inspection of classified munitions of war; and revelation of performance
characteristics, test data, design, and production data on munitions of war.
w. Consignee. The consignee is a person, firm, or government activity
named as the receiver of a shipment; one to whom a shipment is consigned.
x. Consignor. The consignor is a person, firm, or government activity
by whom articles are shipped. The consignor is usually the shipper.
x.1 Constant Surveillance Service (CSS). A transportation protective
service provided by a commercial carrier qualified by MTMC to transport
CONFIDENTIAL shipments. The service requires constant surveillance of the
shipment at all times by a qualified carrier representative, however, an FCL
for the carrier is not required. In addition, the carrier providing the
service must maintain a signature and tally record for the shipment (see
paragraph 3cg).
y. Continental Limits of the United States (CONUS). This refers to
U.S. territory, including the adjacent territorial waters located within the
North American continent between Canada and Mexico.
z. Contracting Officer. A contracting officer is any government
official who, in accordance with departmental or agency procedures, is
currently designated as a contracting officer with the authoriry to enter into
and administer contracts, and make determinations and findings with respect
thereto, or any part of such authority. The term also includes the designated
representative of the contracting officer acting within the limits of his or
her authority. For purposes of this manual, the term contracting officer
refers to the contracting officer at the purchasing office who is identified
as the PCO and the contracting officer at a contract administration office who
is identified as the ACO. Normally, the responsibilities which this manual
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assigns to the contracting offIxer during the precontract, contract award, and.
postcontract stages of a classified procurement will be performed by the PCO,
with the ACO performing those responsibilities which arise during the perform-
ance stages of a classified contract.
aa. Contractor. A contractor is any industrial, educational, commer-
cial, or other entity that has executed a DD Form 441, "Department of Defense
Security Agreement," with a DoD agency for the purpose of performing on a
classified contract or other classified procurement. The term contractor also
refers to an individual who manages such an entity.
ab. CRYPTO. "CRYPTO" is a marking or a designator identifying all
COMSEC keying material that is used to protect or authenticate telecommuni-
cations carrying national security-related information. (This CRYPTO mark-
ing also identifies COMSEC equipment and/or computer software containing
operational keying variables.)
ac. Custodian. A custodian is an individual who has possession of, or
is otherwise charged with, the responsibility for safeguarding or accounting
for classified information.
ad. Declassification. This is the determination that classified infor-
mation no longer requires, in the interests of national security, any degree
of protection against unauthorized disclosure, together with a removal or can-
cellation of the classification designation.
ae. Declassification Event. This is an event that eliminates the need
for continued classification of information.
af. Department of Defense. DoD refers to Office of the Secretary of
Defense (OSD) (including all boards, councils, staffs, and commands), DoD
agencies, and the Departments of the Army, Navy, and Air Force (including all
of their activities).
ag. Derivative Classification. This is a determination that infor-
mation is in substance the same as information currently classified and
application of the same classification markings.
ag.1 Designated Countries. Those countries whose policies are
inimical to U.S. interest: Afghanistan, Albania, Angola, Bulgaria, Cuba,
Czechoslovakia, Ethiopia, German Democratic Republic (GDR) (East Germany
including the Soviet Sector of Berlin), Hungary, Iran, Iraq, Kampuchea
(formerly Cambodia), Laos, Libya, Mongolian People's Republic (Outer
Mongolia), Nicaragua, North Korea, People's Republic of China (including
Tibet), Poland, Rumania, South Yemen, Syria, Union of Soviet Socialist
Republics (USSR) (includes Estonia, Latvia, Lithuania, and all other
constituent republics, Kurile Islands and South Sakhalin (Karafuto)),
Vietnam, and Yugoslavia.
ah. Document. A document is 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; reproductiOns of
such things by any means or process; and sound, voice, magnetic, or electronic
recordings in any form.
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ai. Downgrade. This is a determination that classified information
requires, in the interests 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 a lower degree of
protection.
ai.1 Essential Elements of Friendly Information. Key questions, or
critical information secrets about United States intentions, military
capabilities, plans or programs needed by an adversary to relate with
other available information and intelligence in order to assist that
adversary in reaching a logical decision. DoD military components refer
to the Essential Elements of Friendly Information as EEFI. These EEFI may
be disclosed through OPSEC indicators.
aj. Executive Personnel. Executive personnel are those individuals
in managerial positions, other than owners, officers, or directors, who
administer the operations of the facility. (This category includes such
designations as general manager, plant manager, plant superintendent, or
similar designations, and facility security supervisor (FSO).)
ak. Facility. A facility is a plant, laboratory, office, college, uni-
versity, or commercial structure with associated warehouses, storage areas,
utilities, and components, which, when related by function and location, form
an operating entity. (A business or educational organization may consist of
one or more facilities as defined above.) For purposes of industrial secu-
rity, the term does not include UA installations.
al. Facility (Security) Clearance (FCL). This is an administrative
determination that, from a security viewpoint, a facility is eligible for
access to classified information of a certain category (and all lower
categories).
am. Firmware. A method of organizing control of an AIS in a micro-
programmed structure in addition to, or rather than, software or hardware.
Microprograms are composed of microinstructions, normally resident in
read-only memory (ROM), to directly control the sequencing of computer
circuits at the detailed level of the single machine instruction.
an. Foreign Government Information. This is information that is: (i)
provided to the U.S. 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 (ii) produced by the U.S. pursuant to,
or as a result of, a joint arrangement with a foreign government or
governments, an international organization of governments, or any element
thereof, requiring that the information, the arrangement, or both are to be
held in confidence.
ao. Foreign Interest. The term refers to any foreign government or
agency of a foreign government; any form of business enterprise organized
under the laws of any country other than the U.S. or its possessions; and any
form of business enterprise organized or incorporated under the laws of the
U.S., a state, or other jurisdiction of he U.S'. that is Owned or controlled
by a foreign government, firm, corporation, or person. Included in this
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definition is any natural person who is not a citizen or national of the U.S.
(An immigrant alien as defined in paragraph 3av is excluded from the
definition of a foreign interest.)
ap. Foreign Nationals. This refers to all persons not citizens of, not
nationals of, nor immigrant aliens to, the U.S.
aq. FORMERLY RESTRICTED DATA (FRD). This is information removed from
the RESTRICTED DATA category upon a joint determination by the DOE (or .
antecedent agencies) and the DoD that such information relates primarily to
the military utilization of atomic weapons, and that such information can be
adequately safeguarded as classified defense information. For purposes of
foreign dissemination, however, such information is treated in the same manner
as RESTRICTED DATA.
ar. Graphic Arts. This refers to facilities and individuals engaged
in performing consultation, service, or the production of any component or end
product which contributes to, or results in, the reproduction of classified
information. Regardless of trade names of specialized processes, it includes
writing, illustrating, advertising services, copy preparation, all methods of
printing, finishing services, duplicating, photocopying, and film processing
activities.
as. Hardened Container. A hardened container is a container of such
strength and durability as to provide security protection to prevent items
from breaking out of the container and to facilitate the detection of any
tampering with the container while in transit. Some examples of hardened
containers are banded or wired boxes, wooden boxes, and closed cargo
transporters.
at. Reserved.
au. Home Office Facility (HOF). The HOF is the headquarters facility
of a multiple facility organization (see paragraph be below).
ay. Immigrant Alien. An immigrant alien is any person who is lawfully
admitted into the U.S. under an immigration visa for permanent residence (see
paragraph 24 for special prerequisites for clearance of immigrant aliens).
aw. Industrial Security. This refers to that portion of internal
security which is concerned with the protection of classified information
in the hands of U.S. industry.
ax. Information. Information is knowledge that can be communicated by
any Means.
ax.1 Information Processing Equipment. Any equipment or device which
electro-mechanically or electronically processes, reproduces, converts, or
otherwise manipulates any form of information. The following equipment
is typical: electric typewriters, reproduction copiers, word processors,
composing and editing equipment, video displays, automated data processors,
telecommunications equipment and systems. including teletype, facsimile and
cryptographic equipment, and all interfaces, power sources, and inter-
connecting paths which are part of the system or equipment.
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ay. Information Security. This refers to the result of any system of
administrative policies and procedures for identifying, controlling, and
protecting from unauthorized disclosure, information the protection of which
is authorized by E.O. or statute.
az. Intelligence. Intelligence is the product resulting from the
collection, evaluation, analysis, integration, and interpretation of all
available information, which concerns one or more aspects of foreign nations
or of areas of foreign operations, and which is immediately or potentially
significant to military planning and operations.
az.1 Letter of Consent (LOC) (DISCO Form 560). The form used by
DISCO to notify a contractor that a personnel security clearance or a
Limited Access Authorization (LAA) has been granted to an employee.
az.2 Limited Access Authorized (LAA). Security access authoriza-
tion to CONFIDENTIAL or SECRET information granted to non-U.S. citizens
requiring such limited access in the course of their regular duties.
ba. Locked Entrance. A locked entrance is an entrance to a closed or
restricted area which is kept closed and locked at all times except when tem-
porarily unlocked and opened under supervision for the purpose of passing
material or authorized personnel into or out of the area.
bb. Material. Material refers to any product or substance on, or in
which, information is embodied.
bc. Multiple Facility Organization (ff0). A legal entity (single
proprietorship, partnership, association, trust, or corporation) that is
composed of two or more cleared facilities.
bd. National of the United States. A national of the U.S. is:
(1) a citizen of the U.S., or
(2) a person who, though not a citizen of the U.S., owes permanent
allegiance to the U.S. 2/.
be. National Security. This refers to the national defense and foreign
relations of the U.S.
bf. NATO Classified Information. The term "NATO classified informa-
tion" embraces all classified information -- military, political, and
economic -- that is circulated within and by NATO, whether such information
originates in the organization itself or is received from member nations or
from other international organizations.
2/ See 8 U.S.C. ? 1101(a)(22). 8 U.S.C. 5 1401, subsection (a) lists in
paragraphs (1) through (7) categories of persons born in and outside the
U.S. or its possessions who may qualify as nationals of the U.S. When
doubt exists as to whether or not a person can qualify as a naLiuual-oL-the
U.S., this subsection should be consulted.
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bg. Need-to-Know. This is a determination made ,by the possessor of
classified information that a prospective recipient, in the interest of
national security, has a requirement for access to (see paragraph a above),
knowledge of, or possession of the classified information in order to perform
tasks or services essential to the fulfillment of a classified contract or
program approved by a UA.
bh. Negotiator. A negotiator is any employee, in addition to the .
OODEPs, who requires access to classified information during the negotiation
of a contract or the preparation of a bid or quotation pertaining to a prime
or subcontract. (This category may include, but is not limited to, account-
ants, stenographers, clerks, engineers, draftsmen, and production personnel.)
bi. Nuclear Weapon Security Program. A limited number of defense
contractors are involved in the DoD nuclear weapon security program. This
program identifies certain positions categorized as Critical or Controlled,
depending upon the degree of involvement with nuclear weapons. Assignment
to such positions is governed by the DoD Nuclear Weapon Personnel Reliability
Program (PRP), the specific procedures of which will be set forth separately
in appropriate contractual agreements. Al]. personnel in Critical or Con-
trolled positions must have a security clearance commensurate with the
security classification of information required by their duties. -
bj. Officers (Corporation, Association, or Other Types of Business or
Educational Institution). Officers are those persons in positions established
as officers in the articles of incorporation or bylaws of the organization.
This definition includes all principal officers; that is, those persons
occupying positions normally identified as president, senior vice president,
secretary, treasurer, and those persons occupying similar positions. In
unusual cases, the determination of principal officer status may require a
careful analysis of an individual's assigned duties, responsibilities, and
authority as officially recorded by the organization. Excluded from this
definition are: (i) assistant vice presidents who have no management
responsibilities related to performance on classified contracts, (ii)
assistant secretaries, and (iii)' assistant treasurers.
bk. Reserved.
bk.1 Operations Security (OPSEC). The process of denying adver-
saries information about friendly capabilities and intentions by
identifying, controlling, and protecting indicators associated with
planning and conducting military operations and other activities.
Section XV of this manual contains a detailed discussion of OPSEC and
its relationship to industrial security.
bk.2 OPSEC Indicators. Actions or information (classified or
unclassified), obtainable by an adversary, that would allow the adversary
to develop or confirm assumptions, estimates and facts about United States
intentions, military capabilities, plans, or programs, thereby compromising
essential secrecy.
bl. Original Classification. This is 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.
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b1.1.Parent. A parent firm is a corporation that can control another
corporation (subsidiary) by ownership of a majority of its stock. The control
may exist by direct stock ownership of an immediate subsidiary or by indirect
ownership through one or more intermediate levels of subsidiaries.
bm. Personnel (Security) Clearance (PCL). A PCL is an administrative
determination that an individual is eligible, from a security point of view,
for access to classified information of the same or lower category as the
level of the PCL being granted.
bn. Possessions. U.S. possessions are the Virgin Islands, Guam,
American Samoa, Swain's Island, Howland Island, Baker Island, Jarvis Island,
Midway Islands (this consists of Sand Island and Eastern Island), Kingman
Reef, Johnston Atoll, Navassa Island, Swan Island, Wake Island and Palmyra
Island.
bo. Principal Management Facility (PMF). A cleared facility of an
MFO which reports directly to the HOF and whose principal management
official has been delegated certain personnel security administration
responsibilities or a defined geographical or functional area. The PMF
will function as a Home Office Facility in relation to its area of
responsibility. Both cleared and uncleared facilities may be under the
jurisdiction of a PMF. (See paragraph 73 for approval requirements.)
bp. Protected Area. An area housing computer hardware used in the
configuration and operation of an AIS which is continuously protected by a
collective level of physical security safeguards and personnel access con-
trols to prevent or detect unauthorized modification of the hardware.
bq. Protective Security Service (PSS). A transportation protective
service provided by a cleared commercial carrier qualified by MTMC to
transport SECRET shipments. The carrier must provide continuous attendance
and surveillance of the shipment by qualified carrier representatives and
maintain a signature and tally record. In the case of air movement, how-
ever, observation of the shipment is not required during the period it is
stored in the carrier's aircraft in connection with flight, provided the
shipment is loaded into a compartment that is not accessible to any
unauthorized person aboard. Conversely, if the shipment is loaded into a
compartment of the aircraft that is accessible to an unauthorized person
aboard, the shipment must remain under the constant surveillance of a
cleared escort or qualified carrier representative.
hr. Public Disclosure. Public disclosure is the passing of informa-
tion and/or materials pertaining to a classified contract to the public, or
any member of the public, by any means of communication.
bs. Qualified Carrier. A qualified carrier is a carrier that has met
all of the following criteria.
(1) The requirement for the carrier's service has been established
by a shipper.
(2) The carrier is authorized by-law, regulatory body, or
regulation to provide the required transportation service.
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(3) A determination has been made by MTMC or the designated
Commander overseas that: (i) the carrier is capable of and authorized to
furnish PSS in accordance with an applicable tariff, government tender,
agreement, or contract provision; and (ii) no other qualified carrier is
available to perform the required service.
(4) The carrier has executed a DIS Form 1149, "Transportation
Security Agreement," with, and has been granted a SECRET FCL by, the
appropriate CSO.
bt. Reference Material. The term reference material means documentary
material over which the UA does not have classification jurisdiction, and did
not have classification jurisdiction at the time such material was originated.
Most material made available to contractors by the DTIC and other secondary
distribution agencies is reference material as thus defined.
bu. Regrade. This is to assign a higher or lower security classifica-
tion to an item of classified material.
by. Remote Terminal. A remote terminal is a device for communication
with an ADP system from a location, which is not within the central computer
facility.
by. Representatives of a Foreign Interest (RFI). This term refers to
citizens or nationals of the U.S. or immigrant aliens who, in their individual
capacities, or on behalf of a corporation (whether as a corporate officer or
official, or as a corporate employee who is personally involved with the for-
eign entity), are acting as representatives, officials, agents, or employees
of a foreign government, firm, corporation, or person. However, U.S. citi-
zens and nationals who have been appointed by their U.S. employer to be its
representatives in the management of a foreign subsidiary (that is, a foreign
firm in which the U.S. firm has 'ownership of at least 51% of the voting stock)
will not be considered RIVE, solely because of their employment, provided the
appointing employer is their principal employer and is a firm that possesses
or is in process for an FCL.
bx. Restricted Area. This is a controlled area established to safe-
guard classified material, which, because of its size or nature, cannot be
adequately protected during working hours by the safeguards prescribed in
paragraph 16, but which is capable of being stored during nonworking hours
in accordance with paragraph 14 (see section IV).
by. RESTRICTED DATA. "RESTRICTED DATA" is all data (information) con-
cerning: (i) design, manufacture, or utilization of atomic weapons; (ii) the
production of special nuclear material; or (iii) the use of special nuclear
material in the production of energy, but not to include data declassified or
removed from the RESTRICTED DATA category pursuant to Section 142 of the
Atomic Energy Act (see section lly, Atomic Energy Act of 1954, as amended, and
paragraph aq, FORMERLY RESTRICTED DATA, above).
bz. SECRET. "SECRET" is the designation that 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 affect-
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ing 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 techno-
logical developments relating to national security.
ca. SECRET Classified Shipment. This refers to SECRET material
moving in commercial transportation service that requires PSS of a qualified
carrier in the interest of national security.
cb. Security. Security refers to the safeguarding of information
classified TOP SECRET, SECRET, or CONFIDENTIAL against unlawful or
unauthorized dissemination, duplication, or observation.
cc. Security Cognizance. This refers to the responsibility for acting
for UA's in the discharge of industrial security responsibilities described in
this manual.
cd. SENSITIVE COMPARTMENTED INFORMATION (SCI). This is all informa-
tion and material that requires special controls for restricted handling
within compartmented intelligence systems and for which compartmentation is
established.
cc. Shipper. A shipper is the one who releases custody of material to
a carrier for transportation to a consignee (see also consignor, paragraph
3x.)
cf. Short Title. This is an identifying combination of letters and
numbers assigned to a publication or equipment for purposes of brevity.
cg. Signature and Tally Record. A record that is an integral part
of PSS and CSS and is designed to provide continuous accountability and
custody of a shipment from point of pickup to delivery to the consignee.
For commercial air shipments a signature is not required from the flight
crew or attendees of the carrier's aircraft.
ch. Single Line Service. This refers to freight that moves from point
of origin to destination over the lines of only one carrier.
ci. Special Access Program. A special access program is any program
imposing "need-to-know" or access controls beyond those normally provided for
access to CONFIDENTIAL, SECRET, or TOP SECRET information. Such a pro-
gram 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."
cj. Subsidiary. A subsidiary is a corporation that is controlled by
another corporation (parent) by reason of the latter corporation's ownership
of at least a majority (over 50%) of the capital stock. A subsidiary is a
legal entity and shall be processed separately for an FCL.
cj.l. System Security Officer (SSO). The contractor person respansible
for the implementation of AIS security, and operational compliance with the
documented security measures and controls, at the contractor facility.
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ck. System Sof,tware, Computer programs that control, monitor or
facilitate use of the AIS, for example, operating systems, programming
languages, communications, input-output control, sorts, security packages
and other utility-type programs. Considered to also include off-the-shelf
application packages obtained from manufacturers and commercial vendors,
such as for word processing, spreadsheets, data base management, graphics
and computer-aided design.
ck.1 TEMPEST. TEMPEST is an unclassified short name referring to
investigations and studies of compromising emanations. It is often used
synonymously for the term "compromising emanations," e.g. TEMPEST tests,
TEMPEST inspections (See "Compromising Emanations").
cl. TOP SECRET. "TOP SECRET" is the designation that shall be applied
only to information or material the unauthorized disclosure of which reason-
ably could be expected to cause exceptionally grave damage to the national
security. Examples of "exceptionally grave damage" include armed hostilities
against the U.S. 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.
cm. Transmission. Transmission is the sending of information from
one location to another by radio, microwave, laser, or other nonconnective
methods, as well as by cable, wire, or other connective medium. Transmis-
sion also includes movement involving the actual transfer of custody and
responsibility for a document or other classified material from one author-
ized addressee to another.
cm.]. Transportation Protection Service (TPS). A commercial carrier
service performed according to DoD standards that provides intransit
physical security for shipments of classified material. The two services
used for shipments of SECRET and CONFIDENTIAL material are PSS and CSS,
respectively.
cn. Transshipping Activity (Government). This refers to a government
activity to which a carrier transfers custody of freight for reshipment by
another carrier to the consignee.
co. United States and Its Territorial Areas. This includes the 50
states, the District of Columbia, the Commonwealth of Puerto Rico, Guam,
American Samoa, the U.S. Virgin Islands, the Trust Territory of the Pacific
Islands (also called Micronesia), Midway Islands, Wake Island, Johnston Atoll,
Kingman Reef, Swain's Island, Howland Island, Baker Island, Jarvis Island,
Navassa Island, Swan Island, and Palmyra Island.
cp. Unauthorized Person. An unauthorized person is any person not
authorized to have access to specific classified information in accordance
with the provisions of this manual.
cq. United States (U.S.). This refers to the 50 states and the
District of Columbia.
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Cr. Upgrade. This is a determination that certain classified infor-
mation, in the interest of national security, requires a higher degree of
protection against unauthorized disclosure than is currently provided, coupled
with a changing of the classification designation to reflect such a higher
degree.
cs. User Agencies (UA's). This term refers to the OSD (including all
boards, councils, staffs, and commands), DoD agencies, Departments of the
Army, Navy, and Air Force (including all of their activities), and Depart-
ments of: State, Commerce, Treasury, Transportation, Interior, Agriculture,
Labor and Justice, NASA, GSA, SBA, NSF, EPA, ACDA, FEMA, GAO, FRS, and
USIA.
Ct.
weapon and
Cu.
Weapon System. Weapon system is a general term used to describe a
those components required for its operation.
Reserved.
4. Designation of Cognizant Security Office. The Regional Directors of DIS
are responsible for administration of industrial security within their respec-
tive regions. The office of the Director of Industrial Security in each DIS
Region is designated as the CSO for all contractor facilities located within
the region (see appendix VIII). All relationships between the UA and the
contractor on industrial security matters shall be handled through, or in
coordination with, the CSO, except those matters specifically set forth in
this manual as responsibilities of the contracting officer. Al]. questions
of interpretation with respect to this manual, or problems involving the
industrial security procedures as they pertain to the contractor, shall be
forwarded to the CSO. In the case of a facility or contractor activity
located on a UA installation, requests for interpretations of this manual
shall be forwarded to the CSO through the Commander or Head of the UA
installation. The management of each facility that has been assigned to
one of the DIS Regions for security cognizance shall be notified in writing of
this action at such time as the DoD Industrial Security Program is initiated
at the facility. The designation of CSO to exercise security cognizance at a
facility will not relieve any UA of the responsibility for protecting and
safeguarding its classified information incident to its classified contracts
with the facility, or from visiting the facility to review the security
aspects of such contracts. However, the security administration of a U.S.
classified contract awarded to a U.S. contractor, which requires performance
for a UA at a location outside the U.S., Puerto Rico, or a U.S. possession
or trust territory, shall be the responsibility of the UA awarding the
classified contract, except when the contracting UA has an agreement with the
U.S. installation Commander in such area to perform this function for it, or
DIS has accepted responsibility at the request of the UA. The Director of
Industrial Security in each DIS Region in which the HOF or principal U.S.
based office of the contractor is located will assume security cognizance for
such U.S. based facility, and except for contractor granted CONFIDENTIAL
clearances, DISCO will clear all of the contractor's employees requiring
access to classified information in support of a UA contract, regardless of
the physical location of such employees. Contractor activities located
outside the U.S., Puerto Rico, or a U.S. possession, territory, or trust
territory will not be granted an FCL.
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5. Geperal Requirements. The contractor shall be responsible for-'" -
safeguarding all classified information under his or her control. In the
furtherance of this requirement, the contractor will be responsible for the
following.
a. Facility Security Officer/Supervisor (FSO). The contractor shall
appoint a U.S. citizen, who is required to be cleared as part of the FCL,
to supervise and direct security measures necessary for the proper applica-
tion of U.S. Government furnished guidance or specifications for classifi-
cation, downgrading, upgrading, and for safeguarding classified information.
The FSO, and those otherwise performing security duties, shall complete
security training as deemed appropriate by the CSO. Training for the FSO
will be based on the facility's involvement in the DISP, and as a minimum
will consist of the following:
(1) Facilities with no safeguarding capability: Satisfactory
completion of the Essentials of Industrial Security Management (EISM)
correspondence course within 6 months of obtaining an FCL or assuming
security responsibilities.
(2) Facilities with safeguarding capability: Satisfactory
completion of the EISM correspondence course within 6 months of obtaining
an FCL or assuming security responsibilities and, attendance at an
Industrial Security Management Course conducted by the DoDSI within 12
months of acquiring safeguarding capability. Extensions to the 12 month
requirement may be granted by the CSO when the Management Course is not
available.
b. Automated Information System. The contractor shall not utilize
an AIS system for the processing of classified data without the prior
approval of the CSO (see section XIII).
c. Limitation on Disclosure. Contractors shall ensure that classified
information is furnished or disclosed only to authorized persons (see para-
graph 3e). To this end they shall determine to what extent their employees,
subcontractors, vendors, and suppliers require access to classified informa-
tion in the performance of tasks or services essential to the fulfillment of
the contract 3/. They shall take all reasonable measures to adjust plant
layout and organize work, so as to limit such access to the least number
of individuals or firms consistent with the efficient performance of the
classified contract.
3/ A contractor is not authorized to turn over classified intelligence informa-
tion to a subcontractor, vendor, or supplier without prior written authoriza-
tion of the contracting UA. All classified intelligence information, whether
obtained during a visit or through other sources, shall be safeguarded and
controlled in accordance with the provisions of this manual, as well as
any additional instructions that may be received from the releasing UA
activity and any specific restrictive markings or limitations appearing on
documents. All inquiries concerning source, acquisition, use, control, or
restrictions pertaining to intelligence information shall be directed to
the contracting UA activity concerned.
. _3
fy,??)
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d. Safeguarding. The contractor shall provide suitable protective
measures within his or her facility for the safeguarding of classified infor-
mation. A contractor performing work within the confines of a UA installation
must safeguard classified information in accordance with provisions of this
manual, unless responsibilities for security are modified by the contract. All
classified material received by the contractor which: (1) is not related to a
contract, project, or program pursuant to paragraph la, or (2) for which no
safeguarding or disposition instructions have been received, shall be safe-
guarded in accordance with the provisions of this manual, and the CSO shall be
notified pursuant to paragraph 6a(18).
e. Adverse Clearance Actions. In the event a contractor is notified
by the DIS that a personnel security clearance concerning any of its OODEPs,
employees, or consultants has been denied, suspended, or revoked, the
contractor shall promptly preclude access to classified information by the
affected individual. A case-by-case evaluation of the assigned duties and
responsibilities of such affected individuals shall be undertaken to deter-
mine whether functional or physical reassignment will be necessary.
f. Individual Responsibility for Safeguarding. The contractor shall
on a recurring basis, remind all cleared personnel, including those located
outside the U.S., of their continuing responsibilities for safeguarding
classified information. Each cleared employee shall be made aware of the
security procedures: (i) pertaining to that employee's particular work
assignment; (ii) any security deficiencies resulting from recurring
inspections by the CSO that require individual corrective action on the
part of the employee; and (iii) shall be given an indoctrination in the
methods and operations used by hostile intelligence services to subvert
U.S. industrial personnel, as well as defensive measures to be employed by
employees in order to counter such subversion. Part B of appendix VII
provides indoctrination information on this subject. When representatives
of the U.S. Government provide specific counterintelligence awareness
briefings to the FSO, the FS0 shall ensure that all cleared key personnel
are also briefed, either at the time the FSO is briefed or at a subsequent
briefing to be conducted by the FS0 or designee. In addition, the employee
who has possession or knowledge of an element or item of classified informa-
tion shall be informed that the employee is responsible for determining
whether a prospective recipient is an authorized person (see paragraph 3e).
The employee shall be informed that he or she is required to advise the
recipient of the classification of the information which he or she discloses.
The contractor shall also inform its employees that unauthorized disclosure of
classified information violates DoD regulations and contractual obligations,
and is punishable under the provisions of federal criminal statutes. The
employees shall also be informed of their responsibility for making certain *
reports to the FS0 as specified in other paragraphs of this manual, such as, *
a change of name, becoming an RFI, contacts with representatives of Desig- *
nated countries, etc.
g. Initial Security Briefings. Prior to permitting employees to have
access to classified information, contractors shall brief them on their
obligations to safeguard classified information, advise them of its
importance, inform them of the required security practices and procedures,
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-asd have them -read, or have read-to that; the-poltions of the espionagelaws;
conspiracy laws, and federal criminal statutes applicable to the safeguarding
of classified information, which appear in Appendix VI of this manual.
(1) Following the initial security briefing the employees shall
be required to execute the "Classified-Information Nondisclosure Agreement,
(Industrial/Commercial/Non-Government)," Standard Form (SF) 189-A 4/. The
signature of the employee executing the SF 189-A shall be witnessed by his
or her supervisor or by another designated representative of the facility.
Both signatures must bear the same date. The SF 189-A must also be signed
and accepted by a person empowered to act on behalf of the United States
Government. The FSO is hereby specifically delegated the authority to
accept, on behalf of the United States Government, the executed SF 189-A for *
contractor employees. Further delegation of this authority is permitted in
unusual circumstances provided that such delegations are in writing, specify *
the individuals who may accept the executions, and are made part of the
facility's permanent security files. Only those individuals who occupy
responsible positions within the facility's security system may be delegated *
such authority. In unusual circumstances, such as facilities with very few
employees, a representative of the CSO or other government official may Sign *
the acceptance portion of the form. The date of the acceptor's signature
does not have to be the same as the date of execution.
(2) An employee shall be required to execute the "Security
Debriefing Acknowledgment" portion of the SF 189-A at the time of termina-
tion of employment (discharge, resignation, or retirement); at the beginning *
of a layoff or leave of absence for an indefinite period, or a prescribed
period in excess of 120 days; if the employee's PCI, is administratively
terminated; if the employee's PCL is suspended or revoked by the DoD; and
upon termination of the facility's FCL.
4/ DISCO Form 482, "Security Briefing and Termination Statements
(Industrial Personnel)" and its predecessor forms, are hereby cancelled
and shall no longer be executed. All cleared employees, who previously
executed these forms, must execute the SF 189-A as soon as possible but
not later than December 31, 1988. However, execution of the new form
by currently cleared employees shall be carried out in a manner that
does not cause undue disruption in operations or contract performance.
In this connection, the SF 189-A may be completed in conjunction with
normal security actions, such as required or recurring refresher
briefings or it may be completed using a batch distribution approach
(by department, office, building, and the like). The system selected is *
the prerogative of facility management. Refusal to execute the SF 189-A *
may be cause for denial of further access to classified information and
removal of the PCL. Contractors shall report to DISCO any refusal by a
cleared employee to sign the SF 189-A as required by paragraph 6b(11).
The existing DISCO Forms 482 for current employees may be destroyed as
soon as they execute the SF 189-A.
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(3) The contractor shall retain the executed SF 189-A for fifty *
(50) years or for the duration-of the FCL, whichever is sooner. If a *
cleared operating location of an MPO ceases to be cleared, the SF 189-A *
shall be forwarded to the HOF, if the HOF continues to be a cleared facility.*
If the contractor's FCL is terminated, the SF 189-A shall be forwarded to *
the CSO. The SF 189-A shall be maintained in such a manner that they can *
be expeditiously retrieved if required by the Government. In the interest *
of storage efficiency, contractors may place executed SF 189-A on *
microfiche after the employee terminates employment, if they wish to do so. *
(4) If a terminating employee had access to TOP SECRET, COMSEC,
or other information requiring a special access authorization by the U.S.
Government, he or she shall be given an oral debriefing which shall include
a statement of: (i) the purpose of the debriefing, (ii) the serious nature
of the subject matter which requires protection in the national interest,
(iii) the need for caution and discretion, and (iv) advice concerning any
travel restrictions which are appropriate.
h. Special Features of Design. Shall not incorporate any special
features of design or construction in any project other than that for which
they are furnished by, developed for, or designed for the Government, if such
incorporation would disclose classified information unless prior written
authorization of the contracting officer concerned has been obtained. However,
classified features of design or construction may be incorporated by the con-
tractor in other U.S. User Agency projects of equal or higher classification
unless specifically prohibited by the Government. U.S. classified information
shall not be used in the performance of a foreign classified contract unless
the information was furnished through the designated military department in
connection with that contract, or the U.S. contracting officer concerned has
expressly authorized in writing the use of that information.
i. Security of Combinations. The contractor shall ensure that the
combinations to safes, containers, vaults, and three-position dial-type
changeable combination padlocks used to lock containers holding classified
material are classified and safeguarded, in accordance with the highest level
of the classified material stored in a given container. If a written record
is established for the combinations, the record shall be marked with the
classification designation, that is, TOP SECRET, SECRET, or CONFIDENTIAL,
of the highest level of material stored in the container. Other markings
specified in paragraph 11 for classified material are not required. However,
if the record is for the combination of a container used for storage of
special categories of information, such as NATO, CNWDI, RESTRICTED DATA, or
other information that requires special briefings or access requirements,
procedures shall be established to ensure that the special requirements are
adhered to and only those persons having a need-to-know are given access to
the record of the combination. In addition, accountability for the written
record shall be established in accordance with paragraph 12. The combinations
shall be changed at intervals of at least once every year (if NATO or CRYPTO
classified material is stored, the combination shall be changed every 6
months) and at the earliest practical time following:
(1) the reassignment, transfer, or termination of any person having
-knowledge of the-combination, or when the PCL granted to any such person is
downgraded to a level lower than the category of material stored, or is
suspended or revoked by proper authority;
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(2) th? compromise or_suspected-compromise of the safes and
containers or their combinations, or discovery of the container being left
unlocked and unattended; or
(3) the initial receipt of safes, containers, and three-position
dial-type changeable combination padlocks.
Combinations to safes, containers, vaults, and three-position dial-type
changeable combination padlocks shall be changed under the above schedule by
a person entrusted with the combination or authorized access to the contents
of the container in accordance with paragraph 14c, or by the FSO or his or her
designated representative. Under no circumstances shall the changing of the
combinations be performed by an outside locksmith or subcontractor employee.
To prevent unauthorized substitution, combination padlocks shall be placed
inside of the open container or secured to a hasp, drawer, or handle of the
container when it is open.
j. Security Checks. The contractor shall perform security checks
within the facility to ensure that at all times security precautions are
taken to protect classified material in the possession of the facility and
shall designate an individual or individuals to make room or area checks
during normal working hours to ensure that all classified material not under
surveillance has been properly stored.
k. Transmission. The contractor shall establish procedures for the
proper transmittal of classified material under the provisions of paragraph
17.
1. Disposition of Classified Material. The contractor shall return to
the contracting officer, or his or her designated representative, all classi-
fied material furnished by a UA, including all reproductions thereof, and shall
surrender all classified material developed by the contractor in connection with
a UA contract, program, or solicitation 5/ 6/, unless the material has been
destroyed in accordance with paragraph 19, or the retention of the material is
authorized under the provisions of paragraph m below. Such material shall be
returned or surrendered in accordance with the following schedule;
(1) if a bid, proposal, or quote is not submitted or is withdrawn
within 90 days after the opening date of bids, proposals, or quotes;
(2) if a bid, proposal, or quote is not accepted -- within 90 days
after notification that a bid, proposal, or quote has not been accepted and if
further retention is necessary to serve a UA purpose, a request for approval
shall be submitted to the appropriate contracting officer in accordance with
paragraph m below; or
(3) if a successful bidder -- on final delivery of goods or serv-
ices, or on completion or termination of the contract, unless otherwise pre-
scribed in the contract or directed by the contracting officer.
(Footnotes 5/ and 6/ are on the following page.)
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m. Retention of Classified Material
(1) The contractor may retain classified material in special
cases when a bid, proposal, or quote is not accepted or on completion or
termination of the contract, provided the contractor requests and justifies
such retention and its retention is agreed to by the contracting officer.
However, under no circumstances will retention be authorized for more than
5 years unless the material is designated as a permanently valuable record
of the government and the facility is responsible for maintaining it for
the government. The contractor shall be authorized to retain classified
material only:
(a) when retention is necessary for the maintenance of the
contractor's essential records;
(b) when classified information is also patentable or is
proprietary data in which the contractor has title; or
(c) when retention of the material will assist the contractor
and will benefit the U.S. Government in the performance of other UA contracts
(the contracting officer of a current classified contract may authorize
transfer of. the material to the current contract when the material is
identified by the contractor in accordance with the procedure set forth in
paragraph 5m(1)(d) 7/ -- in these situations the material will be disposed of,
in accordance with paragraph 51, at the completion of the current contract);
and
5/ The placing of an appropriate notation on each document, indicating the
specific contract to which it pertains, will assist in achieving compliance
with this paragraph.
6/ Classified material, which is not related to a proposal or classified
contract (see paragraph la), may be destroyed in accordance with the
provisions of paragraph 19c (unless specifically prohibited), or disposed
of in accordance with instructions issued by the UA that originally
furnished the material.
7/ When such approval is granted the contracting officer who has cognizance
over the classified material shall be notified by the current contracting
officer. In the event retention of information under the circumstances
contemplated in this paragraph involves information of a DoD UA being
retained by a contractor of a non-DoD UA, or vice versa, or between non-DoD
agencies, the concurrence of the contracting officer of the completed or
terminated contractor bid which was not accepted must be obtained by the
current contracting officer prior to authorizing retention of the materials.
Information authorized for retention under these circumstances will be
identified as to its origin; and its ultimate disposition or declassifica-
tion will remain with its originating agency.
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(d) when the contractor justifies and requests retenticdi ?
authority in writing, indicates the period of time retention is necessary,
and identifies the classified material for which retention is requested as
follows: TOP SECRET and SECRET material shall be identified in a list of
specific documents unless, in the case of SECRET material only, the contract-
ing officer has authorized identification by subject matter and approximate
number of documents; CONFIDENTIAL material shall be identified by subject
matter and approximate number of documents. However, authorization of the
contracting officer is not required for the retention of: (i) records held
by the contractor in accordance with the records retention requirements of
the basic contract; (ii) records authorized for retention for a specific
period under the terms of the basic contract; and (iii) records which during
the contract period, the contracting officer authorized the contractor to
retain for a specific period following completion of the contract; provided
that in each case the contractor informs the contracting officer of the
material to be retained, identifying it in the manner prescribed above.
(2) The contractor may retain classified material which does not
relate to a contract, for a limited time unless indicated otherwise on the
material. For example, the contractor may retain material obtained at classi-
fied symposiums or meetings as long as needed, but not for a period to exceed
1 year from the date of receipt. Retention beyond that time is authorized
only when the contractor requests and justifies such retention, and retention
is agreed to by a contracting officer of a current contract or an official of
the UA which released the information.
n. Termination of Security Agreement. The contractor shall, notwith-
standing the provisions of paragraphs 1 and in above, in the event that the
DD Form 441 is terminated for any reason by either party and is not superseded
by a new DD Form 441, render all classified material in his or her possession
to the UA concerned, or dispose of such material in accordance with instructions
from the UA concerned. The DIS FL 381-R, "Letter of Notification of Facility
Security Clearance," and the contractor's copy of the DD Form 441 shall be
returned to the CSO. Control station records, reproduction records, destruc-
tion certificates, and visitor records for which the retention period is not
expired at the time of termination of the DD Form 441, shall continue to be
maintained by the contractor until the expiration of the prescribed retention
period. These records shall be subject to review and recall by the U.S.
Government at any time within the retention period.
o. Public Disclosure. Contractors shall not disclose information 8/
pertaining to classified contracts or projects, except as specified in
paragraph (2) below, without prior review and clearance of the Directorate
for Freedom of Information and Security Review, Office of the Assistant
8/ In addition to the requirements of this paragraph, the disclosure of
unclassified technical data is also governed by the Export Administration
Act of 1979, administered by the Secretary of Commerce through the EAR, and
the Arms Export Control Act of 1984, administered by the Secretary of State
through the ITAR.
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Secretary of Defense (Public Affairs), 9/ (OASD(PA)), The Pentagon,
Washington, D.C. 20301, in order to preclude the disclosure of information
requiring protection in the interest of national security.
(1) Requests for clearance shall be submitted to the activity
specified in item 13 of the Contract Security Classification Specification (DD
Form 254). Each request for clearance shall indicate the approximate date the
contractor intends to release the information for public disclosure and
identify the media to which he/she intends to make the initial release. A
copy of each request that is approved for release shall be retained for a
period of one inspection cycle for review by the cognizant security office.
All information developed subsequent to the initial clearance shall also be
cleared by the OASD(PA) prior to public disclosure.
(2) Contractors performing on DoD classified contracts need not
submit for clearance the following information:
(a) The fact that a contract has been received, including the
subject matter of the contract, and/or type of item in general terms provided
the name or description of the subject matter is not classified.
letter, etc.
(b) The method/type of contract; that is, bid, negotiated,
(c) Total dollar amount of the contract unless that informa-
tion equates to, (i) a level of effort in a sensitive research area, or (ii)
quantities of stocks of certain weapons and equipments which are classified.
of employees.
(d) Whether the contract will require the hiring or termination
(e) Other information which from time to time may be authorized
on a case-by-case basis by the OASD(PA) in a specific agreement with the
contractor.
by OASD(PA).
(f) Information previously officially approved for disclosure
(3) The provisions of this paragraph also apply to-information
pertaining to classified contracts or projects intended for use in unclassi-
fied brochures, promotional sales literature, reports to stockholders or
similar type material. In case of doubt about the need to clear information,
contractors shall query the activity identified in item 13 of the DD Form 254
or the OASD(PA).
9/ If the information pertains to a classified contract or project awarded by
a non-DoD agency, requests for clearance to disclose shall be submitted to
that agency.
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p. Olascificd Sale:: Literature, The contractor shall-not publish-or
distribute, or permit to be published or distributed, brochures, promotional
sales literature, or similar material containing classified information,
without prior review and written authorization by the contracting officer
concerned or his or her designated representative. The authorization for such
publication and distribution shall be indicated on the cover of the document,
or the first page of the document, if there is no cover. However, publication
and distribution to authorized persons (see paragraph 3e) may be made without
specific authorization from the contracting officer for:
(1) classified material which is published or distributed for
necessary use within the organization of the contractor or his or her
subcontractor in the performance of the contract,
(2) classified material prepared in reply to a request for proposal
or invitation to bid received from a UA or a cleared prime contractor or
subcontractor of a UA or classified information contained in an unsolicited
proposal submitted to a UA, and
(3) classified material submitted in response to an official
request of a UA.
q. Disclosure at Meetings. The contractor shall not disclose in any
manner classified information at a conference, seminar, symposium, exhibit, or
convention (hereinafter referred to as a meeting), unless one of the following
conditions is met.
(1) Classified information may be disclosed at a meeting conducted
pursuant to, and as a necessary element of, a specific contract held only in
the prime or subcontractor's facility and attended only by authorized persons
who have a need-to-know in connection with the contract, including employees
of the contractor or subcontractors, consultants thereto, and authorized
visitors, and over which meeting controls have been established to ensure that
the meeting site is physically secure, that the classified notes, minutes, and
summaries resulting from the meeting are properly safeguarded and that the
attendees are given sufficient classification guidance during the oral
presentations.
(2) Classified information may be disclosed at a meeting conducted
by a DoD activity, provided that when the information to be disclosed is under
the jurisdiction of another U.S. Government agency or when the meeting is to
be attended by representatives outside the DoD, the contractor requests the
conducting activity to obtain written approval from the contracting officer
concerned prior to the disclosure. A copy of such request shall be furnished
to the contracting officer concerned. The contractor is not required to
obtain approval if only DoD information is to be disclosed, and only the
contractor, subcontractors and their employees, and DoD personnel are to
attend the meeting.
(3) Classified information may be disclosed at a meeting conducted
by a contractor, association, institute, or society whose membership is
comprised primarily of contractors cleared by DoD, contractor employees, or
DoD personnel, and sponsored for security purposes by the DoD (including the
departments and agencies named in paragraph lc), provided written approval of
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the contracting officer concerned is furnished to the sponsoring activity
prior to the disclosure, and the additional requirements of paragraph 9 are
fulfilled; or
(4) Classified information may be disclosed at a meeting conducted
or sponsored by U.S. Government agencies other than DoD, provided the con-
tractor requests and obtains written approval from the contracting officer
concerned prior to the disclosure. Security sponsorship of a meeting by a UA
other than DoD will be in accordance with the provisions of that agency.
However, as a minimum, the requirements of the ISM shall apply for the
safeguarding of classified information.
r. Controlled Areas. The contractor shall place in effect a system
to control access of employees and visitors to closed and restricted areas
(see section IV).
s. Standard Practice Procedure (SPP). Prior to the issuance of an
FCL by the CSO, the contractor shall submit a written SPP (interim or final)
in sufficient detail to place into effect all security controls required by
the DD Form 441 and this manual which are applicable to the operations of
the facility. An interim SPP must implement requirements of this manual
which are immediately applicable to the operations of the facility in
connection with the facility's anticipated involvement with classified
information. The contractor shall modify the SPP on notification from the
CSO that it does not adequately implement the requirements of this manual.
The SPP shall be revised when necessary to implement changes in the con-
tractor's operations and shall be revised as necessary within 4 months
after receipt of a revision to this manual.
(1) MFO's, or parent-subsidiary collocated facilities, may
publish a SPP applicable throughout the organization, but the SPP shall
then be adapted as necessary to apply to specific operating locations.
A copy of the SPP shall be furnished to each appropriate CSO.
(2) The SPP for a facility at which only one employee or manage-
ment official is assigned shall provide for the notification to the CSO
of the death or incapacitation of that employee. Specifically, the SPP
shall:
(a) identify by name, address, and telephone number, the
individual(s) who would notify the CSO of such an occurrence (the said
individual(s) would not require access to classified information and
therefore need not be cleared); and
(b) include provisions for keeping the CSO advised of the
current combination to the container or, in the case of one-person
facilities of an MFO, for keeping the HOF FS0 advised of the current
combination to the container.
t. Special Access Programs. The contractor shall implement special
access program requirements when such requirements are included in a DD Form
254 or other appropriate contract-related document.
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u. Defensive Security Briefing.
(1) The contractor shall require all cleared employees (including
cleared directors), Type A Consultants, and temporary help supplier person-
nel, to inform him or her of their intended travel to or through a Designated
country; attendance at an international scientific, technical, engineer-
ing, or other professional meeting, regardless of the geographic location of
such a meeting, when it can be anticipated that representatives of Designated
countries will participate or be in attendance; or of plans to host an
unclassified visit by representatives of Designated countries at a facility
engaged in classified work or research. In instances where the individual is
located at a using contractor or UA as a consultant or an employee of a
temporary help supplier, the using contractor or UA, as appropriate, will be
notified of the intended travel, attendance at a meeting, or hosting of a
visit. In the case of a facility where only one individual is located, the
CSO will be so informed. When an individual works for more than one
contractor or UA, each will be notified, and in the case of temporary help
supplier personnel, the principal employer in addition to the using contractor
or UA shall be notified.
(2) The contractor shall give the individual a defensive security
briefing based upon the guidance contained in appendix VII. For temporary
help supplier personnel, only one contractor or UA (where access is at the
highest level) is required to accomplish the briefing. Usually the indivi-
dual involved would be in the best position to determine which contractor
or UA can most conveniently accomplish the briefing. Accordingly, the
individual should make appropriate arrangements with that activity and
furnish the other contractors or UA's at which he or she is employed an
advance notice stating when and by whom the briefing is to be given.
Individuals who frequently travel, attend meetings, or host visitors as
described above need not be briefed on each such occasion provided the
individuals have been thoroug4ly briefed at least once within the preceding 6
months and reminded of their security responsibilities. Prior to departure of
personnel for travel to or through a Designated country or to attend a meeting
outside the U.S., all classified information in the custody of such personnel
shall be accounted for by the using contractor or UA. Employees expected to
engage in marketing activities with representatives of Designated countries
shall also be provided with a defensive security briefing based on the
guidance contained in appendix VII.
(3) The contractor shall, on completion of the briefing, obtain
from the individuals briefed statements identifying who furnished the briefing
and attesting that they understand their individual responsibilities for
safeguarding classified information. This statement shall be retained for
at least 3 years when an employee has had access to TOP SECRET, COMSEC, or
special access program information, and for at least 2 years when access has
been to SECRET or CONFIDENTIAL information. In the case of temporary help
supplier personnel, the statement shall be forwarded to the temporary help
supplier for retention. If the UA or CSO conducts the briefing, it is
responsible for obtaining the briefing statement.
(4) The contractor shall submit a report as required by paragraph
6b(9) unless the UA or CSO conducted the briefing, in which case the UA or CSO
will submit the report.
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v. Relationships with Citizens or Residents of Designated
Countries.
(1) The contractor shall require all cleared employees, including
those in the process of being cleared by the DoD, to immediately notify the
contractor who shall submit a report to DISCO, in accordance with paragraph
6b(4), if either or both of the following events should occur subsequent to
the completion of the employee's PCL forms:
(a) a member of the immediate family of the employee or the
employee's spouse takes up residence in a Designated country; or
(b) through marriage, the employee acquires relatives who are
citizens or residents of a Designated country.
(2) The contractor shall require all temporary help supplier
personnel, while such personnel are working under the contractor's direction
and control on the using contractor's classified programs or contracts, to
notify the contractor immediately if either or both of the events in
paragraphs (a) and (b) above should occur. In such a case, contractors shall
then take action to ensure that the temporary help suppliers are notified so
that they can take action to submit reports to DISCO in accordance with
paragraph 6b(4).
w. Emergency Procedure. Contractors shall include in their SPP general
instructions for safeguarding classified material in emergency situations,
such as natural disasters or any civil disturbances. The procedure shall be
as simple and practical as possible and should be adaptable to any type of
emergency that may arise. A procedure shall be incorporated in the SPP to
provide for the submission of a report to the CSO and contracting officer,
by the most expeditious means, of any emergency situation which renders the
facility incapable of safeguarding the classified material (see paragraph
6a(16)). Courses of action, not necessarily limited to the following, are
available to contractors to safeguard the classified material in their
possession.
(1) Secure the classified material in authorized storage containers
or controlled areas. If feasible, a guard(s) should remain with material
secured in controlled areas. The storage containers and controlled areas
shall be examined on return to the facility to determine whether the clas-
sified information has been compromised or if any classified material is
missing. A report shall be submitted in accordance with paragraph 6a(1) or
(2), if appropriate.
(2) Request assistance from appropriate civil authorities including
local and state law enforcement agencies.
(3) Seek legal remedies such as the issuance of a court restraining
order or injunction against interference with the contractor in the exercise
of his or her property rights or in the discharge of his or her contractual
obligation to safeguard classified information.
(4) Request, when necessary, the assistance of the CSO; for
example: (i) in obtaining the legal remedies described in paragraph (3)
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above, and (ii>.in -arranging for the removal and safekeeping of the classified
material by either the CSO, contracting activity, or a military activity
located at or near the facility.
x. Release or Transmission Outside Contractor's Facility. The
contractor shall obtain the approval of the contracting officer in every
instance prior to release or transmission of TOP SECRET information outside a
contractor's facility. With respect to SECRET and CONFIDENTIAL information,
the contractor shall obtain the contracting officer's approval for release or
transmission outside the contractor's facility except in the following
instances:
(1) when release is required by the specific terms of the contract;
(2) when it is necessary in the performance of the contract;
(3) in connection with precontract negotiations with prospective
subcontractors, vendors, or suppliers;
(4) in prime contractor-subcontractor, MFO, and parent-subsidiary
relationships as authorized by sections VI and VIII, respectively; and
(5) during visits among prime contractors which are participating
under U.S. Government direction in contracts pertaining to research, develop-
ment, or production of a weapon system (see paragraph 3ct).
When a contract requires classified material to be disseminated by a con-
tractor to another contractor in accordance with a standard mailing or
distribution list, and there is no current contractual relationship of a
classified nature between the contractor and a designated recipient, the
releasing contractor shall verify the FCL and safeguarding ability of the
recipient prior to making the first release of any material, except when
advised by the contracting activity supplying the distribution list that it
will retain the responsibility for these determinations. If appropriate,
the CSO of the recipient shall be advised by the releasing contractor that
classified material will continue to be disseminated to the recipient under
terms of the contract (identify the contracting activity and contract number)
for a specified period (not to exceed the estimated date of contract com-
pletion or renegotiation), unless advised by the CSO of a change adversely
affecting the recipient's FCL or safeguarding capability. When the mailing or
distribution list requires dissemination of the material to a UA installation,
the foregoing requirements do not apply, but the material shall be transmitted
in accordance with paragraph 17.
y. DoD Technical Information Dissemination Activities. The contractor
shall forward the DD Form 1541, "Facility Clearance Register," to the CSO when
making the first application for access to classified scientific and technical
information in the possession of the DTIC (Cameron Station, Alexandria,
Virginia 22314), its field extensions, a DoD information analysis center, or
the Redstone Scientific Information Center (U.S. Army Missile Command,
Redstone Arsenal, Alabama). This form is used to obtain certification of the
category of classified material that an applicant (contractor) is cleared to
receive and is capable of safeguarding. A DD Form 1541 shall be submitted
only when requesting approval of the first "Registration for Scientific and
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Technical Information Services" (DD Form 1540). When certified, the DD Form
1541 remains in effect for all future registrations and until the contractor's
FCL is suspended, revoked, or terminated, or until the contractor is no longer
able to safeguard classified material at the specified category. The DD Form
1540 shall be submitted to the sponsoring UA contracting officer, in accord-
ance with guidance provided by DTIC. Scientific and technical information
acquired from DTIC, its field extensions, a DoD information analysis center,
or the Redstone Scientific Information Center shall be safeguarded in
accordance with the requirements of this manual and the restrictions on the
use, disclosure, and dissemination of the information, which are marked on the
documents. When the contract to which the DD Form 1540 applies is completed
or terminated, the contractor shall either destroy the material in the manner
prescribed in paragraph 19 or obtain authorization to retain the documents
from the sponsoring UA in accordance with paragraph 5m. The placing of an
appropriate notation on each document, indicating the specific contract to
which it pertains, will assist in achieving compliance with this requirement.
z. List of Classified Contracts. The contractor shall, after receiving
notice of a forthcoming security inspection, prepare a listing of all classi-
fied contracts on which the facility is currently performing.
aa. Investigative Assistance and Cooperation. The contractor shall
cooperate fully with representatives of DIS or other federal investigative
agencies during official investigations concerning the unauthorized dis-
closure of classified information or during the conduct of investigations
related to determining the eligibility of past or present employees or
other personnel requiring a security clearance. This includes, but is not
limited to, providing suitable arrangements within the facility for conducting
private interviews with employees during normal working hours, making
employment and security records available for review on request by such
representatives, and otherwise rendering assistance as necessary.
ab. Temporary Help Supplier Personnel. The contractor shall orient
temporary help supplier personnel in the security practices and procedures
of the facility, which will enable such personnel to understand and comply
with the procedures applicable to the duties they are to perform. Using
contractors will also submit, as appropriate, reports pertaining to such
personnel while they are actually working at their facilities under their
direction and control. This action by the using contractor in no way relieves
the temporary help suppliers from complying with the requirement for security
indoctrination and training of their employees or other concurrent require-
ments of this manual.
ac. Self-Inspections. Contractors shall conduct their own self-
inspection program for the purpose of evaluating all security procedures
applicable to the facility's operation. Contractors shall review their
security system on a continuing basis and shall also conduct a formal
self-inspection to occur midway between inspections conducted by the CSO.
At the discretion of management, the inspection may be conducted by a
security representative(s) from the facility, HOF, Me, or cleared parent.
In any event, management shall establish, at an appropriate organizational
level, a procedure for evaluating the effectiveness of the self-inspection
- program. Self-inspecLion shall consist of An audit of all the ficility's
operations in light of its SPP and the requirements of this manual. As a
5.
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minimum, self-inspections shell include.ell elements normally inspected by
the CSO. The guidelines used by U.S. Government inspectors are outlined in
Appendix XIII. These guidelines will change from time to time to reflect
changes in ISM requirements. Not all of the items listed in Appendix XIII
are intended to be covered during any one inspection, but over a reasonable
period of time those items that pertain to a facility shall be covered
during the self-inspections. Deficiencies identified as a result of
self-inspections shall be corrected as expeditiously as possible. If
difficulty is encountered in resolving a deficiency, the CSO will provide
assistance on request. The contractor shall maintain a record of the date
on which the self-inspection was accomplished, and this record must be
available for review during the next scheduled inspection by the CSO.
ad. Classification Responsibilities of Contractors. The contractor is
responsible to implement the classification decisions of the U.S. Government
contracting authority. Contractor implementation shall be based on classified
source material or a DD Form 254 with its enclosed or referenced classifi-
cation guides.
ae. Verification of U.S. Citizenship. The contractor shall require
each employee who is an applicant for a PCL (including the "CONFIDENTIAL"
level) and who claims U.S. citizenship to produce evidence which will
verify such citizenship. Documents which are acceptable evidence of U.S.
citizenship are listed at appendix XII. Unless the form has a verification
block, a statement as follows will be typed or stamped by the contractor in
the "Remarks" portion of the appropriate DoD clearance forms: "Authorized
evidence of U.S. citizenship has been reviewed by the certifying official and
the name, date, and place of birth therein are as stated on this form." (The
recent revisions of DD Forms 48 and 49 have included verification blocks added
to the forms.) In the case of PCL's by the DoD, if the required documentary
evidence is not immediately obtainable prior to submission on the application
to DISCO, a statement as follows will be typed or stamped in the "Remarks"
portion of the appropriate DoD clearance form: "Applicant has applied to
(insert name of agency organization) for authorized evidence of citizenship
(insert acceptable document from appendix XII)." On receipt of evidence of
citizenship, the contractor will notify DISCO that authorized evidence of
U.S. citizenship has been reviewed and that the name and date and place of
birth are as stated in the previously submitted clearance form. DISCO will
not forward an LOC until the contractor has certified the applicant's U.S.
citizenship. CONFIDENTIAL clearances by the contractor shall be granted in
accordance with paragraph 24b.
af. Supervisory and Managerial Responsibility for Reporting Adverse
Information. Supervisory and managerial personnel shall be reminded of their
responsibilities for advising the FSO of the existence of any information
coming to their attention concerning any employee who has been cleared or is
in the process of being cleared for access to classified information, when
information indicates that such access may be questionable or not in the
interest of national security.
ag. Security Inspections. As provided for in Section II of the
"Department of Defense Security Agreement," security inspections shall be
conducted by the CSO for all cleared contractor facilities in order to
ensure that the procedures, methods, and physical safeguards employed by
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contractors are adequate for the protection of classified information which
may be entrusted to them. The frequency of such inspections is normally
determined by the highest level of classified material possessed at the
facility. However, security inspections may be conducted on an announced
or unannounced basis. On a random basis, the CSO will also conduct periodic
inspections of uncleared locations of MFO's at which cleared employees are
located.
ah. Contacts With Nationals or Representatives of Designated
Countries. Such contact shall require all cleared employees, including
those in the process of being cleared by the DoD, to notify the contractor
immediately of all questionable or suspicious contacts with nationals or
representatives of Designated countries. A questionable or suspicious con-
tact in this regard is any personal exchange, encounter, or relationship which
is determined to consist of an actual, probable, or possible hostile intelli-
gence collection effort (see paragraph B, appendix VII, for assistance in
recognizing a reportable contact).
ai. Operations Security. The contractor shall comply with OPSEC
requirements when such requirements are contractually imposed by UA's. In
meeting OPSEC requirements, contractors shall identify implementation costs to
UA's and shall assist UA's in determining existing ISM measures which address
particular UA vulnerability concerns in order to preclude the imposition of
duplicate OPSEC measures. Additional costs for OPSEC provisions required by
the UA shall be properly charged to specific contracts. See Section XV of
this manual for further discussion.
aj. Administrative Measures Regarding Security Violations. The con-
tractor shall establish and enforce policies which provide for appropriate
administrative actions against employees who violate requirements of this
manual. The SPP shall include a graduated scale of disciplinary actions
which would be applied by the contractor in the event of such employee vio-
lations or negligence. When contractors submit reports in accordance with
paragraphs 6b(1) or 7(e) with regard to culpable individuals responsible
for a security violation, a statement as to the administrative actions
taken against the individual shall be included. If the action is different
from that specified in the SPP, an explanation shall also be included.
ak. Defense Hotline. The Defense Hotline provides an unconstrained
avenue for DoD personnel and contractor employees to report, without fear
or reprisal, known or suspected instances of serious security
irregularities and infractions concerning defense affiliated contracts,
programs, or projects. The Defense Hotline does not supplant contractor
responsibility to facilitate reporting and timely investigation of security
matters concerning its operations or personnel, and contractor personnel are *
encouraged to furnish information through established company channels.
However, the Hotline may be used as an alternate means to report this type
of information when considered prudent or necessary. The Defense Hotline is *
organized and administered by the Office of the Inspector General, DoD. That
office initiates investigative action regarding information received through
the Hotline system and has primary responsibility for ensuring the confi-
dentiality of all system users. The contractor shall conspicuously post
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, publicity media provided by DIS regarding the-Defense Hotline and shall
inform all employees that the Hotline may be used, if necessary, for reporting
matters of national security significance. The address, telephone number, and
purpose of the Defense Hotline shall be included in the SPP.
al. TEMPEST Requirements. TEMPEST protective measures may be
required for certain contracts which involve processing classified informa-
tion by information processing equipments. Contractors are required to
comply with TEMPEST requirements, such as providing data to a User Agency
for a TEMPEST Vulnerability Assessment and/or Instrumented TEMPEST Survey,
or taking specific TEMPEST countermeasures, only when these special
security requirements are specifically incorporated into the contract.
These requirements are above and beyond those normally called for in this
manual and may be cause for renegotiation in accordance with the "Security
Requirements Clause" of the contract. Contractors shall not implement
specific TEMPEST countermeasures nor shall they impose any TEMPEST
requirements on a subcontractor without prior approval of the UA contract-
ing office. The CSO may be contacted for advice and assistance when
questions or problems arise.
6. Reports.
a. The contractor shall immediately submit in writing to the CSO a
report of any of the following 10/.
(1) Espionage, Sabotage, or Subversive Activities. The contractor
shall submit an information copy of any report filed under paragraph 6c with
the FBI.
10/ When reports are submitted or information is provided pursuant to these *
requirements, either classified if qualified, or offered in confidence,
and so marked by the contractor, applicable exemptions to the Freedom of
Information Act will be invoked as a matter of policy to withhold the
information contained in such reports from public disclosure. When any of
the reports submitted pursuant to these requirements contain unclassified
information pertaining to an individual, the Privacy Act of 1974 permits
the withholding of that information from that individual only to the
extent that the disclosure of the information would reveal the identity of
a source who furnished the information to the U.S. Government under an
express promise that the identity of the source would be held in confi-
dence, or, prior to September 27, 1975, under an implied promise that the
identity of the source would be held in confidence. In appropriate cases,
the DoD will entertain a request from a defense contractor or its employees
for such assistance as may be necessary against legal action based on the
reporting of information in accordance with the requirements of this manual.
Such assistance may include support for a claim by the contractor or the
employees concerned that the information was reported under an absolute or
qualifying privilege. In such cases, the DoD will request appropriate
assistance from the Department of Justice.
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(2) Loss, Compromise, or Suspected Compromise. The contractor
shall submit a report, classified if appropriate, of any loss, compromise
(including deliberate compromise), or suspected compromise of classified
information 11/ 12/.
(3) Other Security Violations. The contractor shall submit a
report, in addition to the requirement of paragraph (2) above, classified if
appropriate, of each violation of the requirements of this manual involving
TOP SECRET or special access information, RESTRICTED DATA, or COMSEC
information, regardless of classification, which the contractor possesses in
connection with UA contracts or programs 11/ 12/.
(4) Changed Conditions.
(a) The contractor shall submit a report of any change of
ownership, including stock transfers that affect control of a corporation.
(b) The contractor shall submit a report of change of
operating name or address of the facility(s) covered by the DD Form 441.
(c) The contractor shall submit a report of any change (that
is, additions, deletions, or any change relative to the information which was
previously submitted) in officers, directors, partners, regents, trustees, or
executive personnel, including, as appropriate, the names of the individuals
they are replacing. In addition, a statement shall be made indicating: (i)
whether the new officers, directors, partners, regents, trustees, or executive
personnel are cleared, and if so, to what level and when, their date and place
of birth, social security number, and their citizenship; (ii) whether they
have been excluded from access in accordance with the provisions of 22e; (iii)
or whether they have been temporarily excluded from access pending the grant-
ing of their PCL's. A new complete listing of OODEPs need only be submitted
at the discretion of the contractor and/or when requested in writing by the
CSO.
(d) The contractor shall submit a report about any OODEP who
becomes an RFI, as defined in paragraph 3bw, or whose status as an RFI changes
in a manner that would make the OODEP ineligible for a PCL pursuant to
paragraph 20k.
(e) The contractor shall submit a report of action to terminate
business for any reason, imminent adjudication or reorganization in
bankruptcy, or any change that might affect the validity of the DD Form 441.
11/ When the facility or contractor is located on a UA installation, and the *
?????????
Commander or Head of that installation is. performing certain prescribed
functions of a CSO, the original copy of the reportshall be furnished to
the Commander or Head of the installation with an information copy of the
report furnished to the CSO.
12/ The contractor's preliminary and final reports shall contain the
information required by paragraphs 7c and 7e, respectively.
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(f) The contractor shall submit a report of any change which
affects the information previously reported by the contractor on the DD Form
441s, "Certificate Pertaining to Foreign Interests." This report will be made
by the submission of a revised DD Form 441s. Moreover, when entering into
discussions or consultations with foreign interests which may reasonably be
expected to lead to the-introduction or increase of FOCI and necessitate the
submission of a revised DD Form 441s, the contractor shall report the details
by letter. Additionally, when the contractor becomes aware of negotiations
for the sale or transfer of securities to a foreign interest and such sale or
transfer would necessitate the submission of a revised DD Form 441s, the
details will be reported by letter. Reports made pursuant to the foregoing
are presumptively proprietary and will be protected from unauthorized
disclosure and handled on a strict need-to-know basis. When such reports are
submitted in confidence, and so marked, applicable exemptions to the Freedom
of Information Act will be invoked to withhold them from public disclosure.
In cases where the contractor considers the information to be particularly
sensitive or delicate and wishes to further restrict dissemination, the
foregoing report may be appropriately marked and submitted to the Director,
DIS, ATTN: Deputy Director (Industrial Security), 1900 Half Street, S.W.,
Washington, D.C. 20324-1700.
(5) Change in Closed or Restricted Areas, Vaults, and Strongrooms.
The contractor shall submit a report of any change in the extent or location
of closed areas, restricted areas, vaults, or strongrooms created under the
provisions of section IV and appendix IV, respectively, including the
establishment of such areas.
(6) Change in Storage Capability. The contractor shall submit a
report of any change in the storage capability that would raise or lower the
level of classified information the contractor is able to safeguard.
(This provision does not require the contractor to report the acquisition
of additional containers approved for storage at the same level as that
previously reported to the CSO.)
(7) Employee Information in Compromise Cases. The contractor shall
submit a report, on the written request of the CSO, of information concerning
any employee working in any of his or her plants, factories, or sites where
work for a UA is being performed, when the information is needed in connection
with the loss, compromise, or suspected compromise of classified information.
(8) Category of Classified Information. The contractor shall
submit a report of the highest classification category of classified material
received or generated at the facility. However, when the classification of
the material received or generated is no higher than that of the material in
possession of the facility during the last inspection or previously reported
pursuant to this paragraph since the last inspection, an additional report
need not be submitted.
(9) Reserved.
(10) Delay in Shipment. The contractor shall submit a report, in
accordance with paragraphs 17c(5)(d) and 17d(3)(d), of the delay in the
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movement of classified material by commercial carriers of more than 48 hours
after the expected time of arrival.
(11) Evidence of Tampering. The contractor shall submit a report,
in accordance with paragraph 12e(2), of evidence of tampering with a ship-
ment containing classified material. If the material was received through
the U.S. Postal System, the contractor shall also promptly notify the
appropriate U.S. Postal Inspector.
(12) Improper Shipment. The contractor shall submit a report when a
classified shipment is received by other than an approved method prescribed by
paragraph 17.
(13) Badges and Identification Cards. The contractor shall submit a
report, in accordance with paragraph 8c, which will inform the CSO of the
adoption of a new or revised employee badge or identification card system.
(14) Authorization to Apply Classifications. On request, the con-
tractor shall submit a report, in accordance with paragraph 10f(4), of the
number of individuals currently authorized by the contractor to apply a
classification to information at each of the following categories: TOP
SECRET, SECRET, and CONFIDENTIAL.
(15) Location or Disposition of Classified Material Terminated From
Accountability. The contractor shall submit a report, in accordance with
paragraph 12h(2), when the whereabouts or disposition of classified material
previously terminated from accountability is subsequently determined.
(16) Inability to Safeguard Classified Material. The contractor shall
submit a report, by the most expeditious means, of any emergency situation, such
as a natural disaster or civil disturbance, which renders the facility incapable
of safeguarding all classified material (see paragraph 5w). A report shall also
be provided to all contracting officers concerned. This requirement of the DoD
does not preclude similar reporting of the incident to appropriate local, state,
and federal civil authorities, as the situation warrants.
(17) Foreign Classified Contracts. The contractor shall submit a
report of any precontract negotiation or award of a foreign or NATO contract
for a foreign firm or government involving either U.S. or foreign classified
information which is not placed through a UA.
(18) Receipt of Classified Material Not Related to a Classified
Contract, Project, or Program. The contractor shall submit a report of
the receipt of any classified material, which is not related to a contract,
project, or program and for which no specific safeguarding and disposition
instructions have been received; further, if the contractor has been unable
to obtain classification guidance or disposition instructions from the .
government originator, or the government activity releasing the material,
the report shall state so. The report should identify the material by
source, originator, quantity, subject or title, date, and classification
category.
(19) Visits by Designated Country Representatives or Nationals.
The contractor shall submit a report, as soon as the visit arrangements are
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known, of the intent to host an unclassified visit by representatives or
nationals of a Designated country. The report shall include the name and
address of the contractor to be visited, the name(s) of the visitor(s) and the
foreign firm or government agency and country represented, and the date and
purpose of the visit. If access to information which relates to a classified
contract or project is involved, the report shall include a description of "
the information and any other information concerning the visit which may be
pertinent. In preparation for the visit, the contractor, in accordance with
paragraph 5u, shall provide a defensive security briefing and a counterin-
telligence awareness briefing to cleared personnel hosting the visitor(s), as
well as employees expected to engage in marketing activities. Disclosure of
unclassified information pertaining to classified contracts or projects is
governed by the provisions of paragraph 5o. The contractor shall include in
the report a statement as to whether paragraph 5o is applicable or an export
license 8/ is required.
b. For all cleared personnel, the contractor shall submit the following
reports immediately to the DISCO, Columbus, Ohio 43216-5006, unless the
individual involved is or was required to be cleared in connection with the
FCL pursuant to paragraph 22, in which case the report will be submitted to
the CSO 10/ 11/.
(1) Adverse Information 13/. Contractors shall submit reports,
classified, if appropriate, of any information coming to their attention
concerning any of their employees who have been cleared or who are in the
13/ As a general rule, any information that reflects adversely on the
integrity or character of the employee, which suggests that his or her
ability to safeguard classified information may be impaired, should be
reported to DISCO. In turn, DISCO will evaluate the information and
decide whether further action is warranted. The following are some
examples of the types of information (that is, based on incidents which
may occur within or outside the contractor facility), which should be
reported to DISCO: criminal activities; bizarre or notoriously dis-
graceful conduct; treatment for mental or emotional disorders; excessive
use of intoxicants; use of illegal, controlled substances such as
marijuana, heroin, cocaine, and hashish; and excessive indebtedness or
recurring financial difficulties. These examples are not all inclusive,
but are intended only to serve as a sample of the types of information
which should be reported. Only information which has been confirmed by
the contractor as fact need be reported. Reports based on rumor or in-
nuendo should not be made under this paragraph. If there is doubt
whether information should be reported, furnish the information to DISCO
for evaluation. In two court cases, Becker vs. Philco and Taglia vs.
Philco (389 U.S. 979), the U.S. Court of Appeals for the 4th Circuit
decided on February 6, 1967, that a contractor is not liable for defama-
tion of an employee because of reports made to the government pursuant
to the requirements of the ISM. Culpability for a security violation,
regardless of whether classified information is found to have been
compromised, is a matter which is presumptively reportable pursuant to
this paragraph.
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process of being cleared for access to classified information, which indicate
that such access or determination may not be clearly consistent with the
national interest. The subsequent discharge of an individual by the contractor
who receives this information does not obviate the requirement to submit this
report. In addition, if the individual is employed on a UA installation, a
copy of such report shall be furnished to the Commander or Head of the UA
installation. Where the employee concerned had been granted a CONFIDENTIAL
clearance by the contractor, in accordance with paragraph 24b, and is not in
process for a U.S. Government granted PCL, the PCL forms specified in para-
graph 26b shall accompany the report of adverse information. This require-
ment to submit information reports also applies to cleared temporary help
supplier personnel or Type A Consultants utilized by the contractor. This
requirement in no way affects the temporary help supplier's responsibility for
submission of such reports when adverse information regarding his or her
employee is brought to his or her attention. The report shall be on company
letterhead or identified by typing the contractor's name and address, and
addressed to DISCO, ATTN: Chief, Special Programs Branch. The report shall
include: date of submission; subject's last name, first name and middle name;
social security number; date and place of birth; clearance level and date of
clearance; home address; facility code where the clearance is held; reporting
facility's code; subject's physical worksite; employment status (if
terminated, add terminate date); the adverse information being reported
(if a garnishment, please list date of garnishment, court, amount and
complainant, or attach a copy of the garnishment order); the name and
telephone number, including extension, of the individual to contact for
further information regarding the matter; and the signature, typed name
and title of the individual submitting the report.
(2) Change in Employee's Status. The contractor shall report (i)
the death; (ii) the change in name; (iii) the termination of employment;
(iv) a layoff or leave of absence for an indefinite period, or for a
prescribed period in excess of 120 days; and (v) residence or assignment
outside the U.S., Puerto Rico, Guam, or the Virgin Islands for a period in
excess of 90 consecutive days during any 12-month period of those employees
who are cleared, or who are in the process of being cleared. Such changes
shall be reported by submission of a DISCO Form 562, "Personnel Security
Clearance Change Notification."
(3) Official Investigation. Contractors shall submit reports, on
the written request of DISCO, of information concerning any employees working
in any of their plants, factories, or sites where work for a UA is being
performed, when the information is needed in connection with an official
investigation.
(4) Relationships in Designated Countries. The contractor shall
submit a report, in accordance with paragraph 5v, of the establishment of a
relationship between a cleared employee, or one who is in the process of
being cleared by the DoD, and a citizen or resident of a Designated country.
(5) Representative of a Foreign Interest. The contractor shall
submit a report of any cleared employee (including those in the process of
being cleared by the DoD), except those covered by paragraph 6a(4), who
becomes an RFI, as defined in paragraph 3bw, or whose status as an RFI changes
in a manner that would make him or her ineligible for a PCL pursuant to
paragraph 20k.
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(6) Changed Intentions and Foreign Residence or Assignment of -
Immigrant Aliens. The contractor shall submit a report of: (i) residence or
the assignment of a cleared immigrant alien outside the U.S. -- such individuals
on visits of 90 consecutive days or less to foreign areas are not considered
to be assigned outside the U.S., or (ii) a change in the intention of a
cleared immigrant alien to reside permanently in the U.S. An immigrant
alien's change of intent to reside permanently in the U.S., and residence or
assignment of an immigrant alien outside the U.S., negates the basis (see
paragraph 25) on which the LOC was issued, and the LOC will be adminis-
tratively terminated without prejudice by DISCO on receipt of contractor
notification. Except in connection with visits of 90 consecutive days or
less, immigrant aliens may not be authorized access to classified information
when visiting outside the U.S. Visits in excess of 90 consecutive days
duration, shall invalidate any existing clearance.
(7) Citizenship by Naturalization. The contractor shall submit a
report of a cleared immigrant alien who becomes a citizen through naturaliza-
tion. This report will be made by the "Personnel Security Clearance Change
Notification" (DISCO Form 562), setting forth in the "Remarks" block: (i) city,
county, and state where naturalized; (ii) date naturalized; (iii) court; and
(iv) certificate number. On receipt of such a report, DISCO will issue a new
LOC (DISCO Form 560).
(8) Reserved.
(9) Travel or Attendance at Meeting. The contractor shall submit a
report, in accordance with paragraph 5u, on completion of travel to or through
a Designated country, or attendance at an international meeting where Designated
country representatives participated or attended. The report shall include
the employee's full name, clearance status, date and place of birth, a brief
description of the projects, including the category of classified information,
to which he or she had access during the past 2 years (depending on the period
of employment or utilization by the contractor in the case of temporary help
supplier personnel), the countries visited or the meeting attended, the dates
of the travel, and the employee's statement of the purpose and objective of
the travel. The report shall include, if appropriate, a narrative statement
of the circumstances surrounding all hostile intelligence efforts to obtain
information from or to compromise the traveler, or any endeavor by an
unfriendly interest to establish a continuing relationship with the employee.
(10) Employees Desiring Not to Perform on Classified Work or Accept
Security Responsibility or Requests to Terminate Clearance or Clearance
Processing. The contractor shall submit a report on notification by an
employee that he or she no longer wishes to be processed for a PCL, pursuant
to paragraph 26, or to continue an existing PCL.
(11) Standard Form (SF) 189-A. The contractor shall submit a
report in accordance with paragraph 5g, when an employee refuses to execute *
the SF 189-A.
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c. The contractor shall submit immediately, in writing 14/, to the
nearest field office of the FBI a report, classified, if appropriate,
regarding the following events:
(1) information coming to his or her attention concerning existing
or threatened espionage, sabotage, or subversive activities at any of his or
her plants, factories, laboratories, or other sites, at which work for any UA
is performed, or at which related material is acquired, stored, fabricated, or
manufactured, or is in process of research or development, and
(2) information coming to his or her attention concerning employee
contacts with nationals or representatives of Designated countries (see
paragraph 5ah).
7. Loss, Compromise, or Suspected Compromise of Classified Information 15/.*
a. The contractor shall establish a procedure to ensure that each
loss, compromise, or suspected compromise of classified information and each
failure to comply with a requirement of this manual is immediately reported to
the FSO. Classified material which is out of the control of its custodian or
which cannot be located shall be presumed to be lost until an investigation
determines otherwise.
b. The contractor shall establish such procedures as are necessary to
ensure that any employee discovering the loss, compromise, or suspected
compromise of classified information outside a facility promptly reports
such a fact to:
(1) the nearest office of the FBI, and furnishes sufficient
information to assist in identification of the information -- if the loss,
compromise, or suspected compromise occurs outside the U.S., the nearest
U.S. authorities shall be notified in lieu of the FBI; and
(2) the FSO, by the fastest means of communication, who will then
comply with paragraph c below.
c. Immediately on receipt of a report, in accordance with paragraphs
a or b above, the contractor shall initiate a preliminary inquiry to ascertain
all of the circumstances surrounding the reported loss, compromise, suspected
compromise, or failure to comply with a requirement of this manual. To obtain
the required information, it may be necessary to check records, review the
SPP, examine material evidence, and interview persons having direct knowledge
of the facts of an incident. The preliminary inquiry should include the
following:
14/ If time is of the essence and the initial report is made via phone to
the FBI, it must be followed in writing, regardless of disposition made of
the report by the FBI.
15/ In addition to the reporting requirements outlined in this paragraph the *
. contractor shall promptly notify the appropriate U.S. PoStal Inspector
of any loss, compromise or suspected compromise of classified informa-
tion that occurred while such information was in the U.S. Postal System.
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(1) What is alleged to have happened, where, and when did the
violation occur?
(2) Who reported the violation, to whom, and when?
(3) What classified information was involved? (Attach a list of
the classified material, if appropriate.)
(4) What was the classification of the information involved?
(5) Who are the originators of the information involved?
Identify the procurement activity (PCO & ACO) and prime contract number.
(6) When, for. how long, and under what circumstances was classified
information vulnerable to unauthorized disclosure? Determine identity of
unauthorized persons likely to have had access to the classified information.
(7) What actions were taken to secure the classified information
and/or limit the damage before the inquiry began, and when and by whom were
they taken (inventories, securing of material, changing of combinations, and
so forth)?
(8) Is any classified material lost or unaccounted for? (In
the event of a loss, a thorough search shall be conducted for the classi-
fied material.)
d. If the contractor's preliminary inquiry prescribed in paragraph c
above confirms: (i) that a loss, compromise, or suspected compromise of any
classified information occurred; or (ii) that a violation of a requirement
of this manual involving TOP SECRET, COMSEC, special access information, or
RESTRICTED DATA occurred, the contractor immediately shall submit a report
of the incident to the CSO in accordance with paragraph 6a(2) or 6a(3), as
appropriate, and conduct a complete investigation of the incident unless
otherwise notified by the CSO. The initial report shall include as much of
the information specified in c(1) through c(8) above, as possible. Submis-
sion of the initial report shall not be deferred pending completion of the
contractor's investigation. In those instances when the contractor's
preliminary inquiry does not confirm a violation that requires a report to
the CSO, the contractor shall make a written record of the results of the
inquiry that includes the specific reasons for reaching the conclusion
that compromise did not occur. This record will be kept available for
review during the next government security inspection by the CSO. When
the individual culpability is established, a report shall be submitted in
accordance with paragraph 6b(1).
e. On completion of the investigation prescribed in paragraph d above,
a final report shall be submitted to the CSO referencing the preceding
preliminary report, and containing the following:
(1) any of the information required by paragraphs c(1) through
c(8) above that was not included in the initial report;
(2) the name and position of the.individual(s) who was primarily
responsible for the incident, including a record of prior loss, compromise,
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suspected compromise, or failure to comply with the requirements of this
manual for which the individual had been determined responsible;
(3) a statement as to the corrective action taken to preclude a
recurrence of similar incidents and the disciplinary action taken against the
responsible individual(s), if any; and
(4) specific reasons for reaching the conclusion that: (i) loss or
compromise occurred, (ii) compromise is suspected, (iii) the probability of
compromise is considered remote, or (iv) compromise did not occur.
8. Badges and Identification Cards.
a. Employee Badges and/or Identification Cards. Provided the con-
tractor deems it necessary, he or she may use color or symbol coded identifi-
cation badges or cards, or a combination of the two to assist in identifying
the level of security clearance of the holder and/or to indicate that the
holder is authorized to enter specified closed or restricted areas. However,
coded badges and cards shall be considered only as an aid in determining the
current level of PCL of the holder or the closed or restricted areas to which
the holder may have access. Release of classified information or entrance to
a closed or restricted area, on the sole basis of an identification badge or
card, is not authorized. Further, whenever a combination of badges or cards
is used, both must bear correlating data such as the same registration number
or the name of the holder. If identification cards or badges are used for
such purposes, the following shall apply.
(1) The minimum identifying information to be shown on an
employee's identification badge or card shall be the name and photograph of
the holder. Other descriptive information to identify the authorized holder
may be included on badges and/or cards at the option of the contractor.
(2) The words TOP SECRET, SECRET, or CONFIDENTIAL, or abbreviations
thereof, shall not appear on the badges or identification cards.
(3) For entry into a closed or restricted area or access to
classified information the contractor must establish some additional method
for verifying clearance and need-to-know to be used in collaboration with the
identification badge or card system. To the maximum extent possible, personal
recognition should be the basis for ensuring that the holder of the badge or
identification card has an appropriate PCL and need-to-know. When personal
recognition is not possible, the individual responsible for the security of
the closed or restricted area or holder of the classified information shall
verify the identity of the individual and determine whether the individual has
the appropriate PCL and need-to-know. This can be accomplished in a number of
ways, including access lists, verification of clearance status through the
office of the FSO, and the need-to-know through the prospective recipient's
supervisor. Where cipher or similar locks are used in closed or restricted
areas, the individual's knowledge of the cipher-lock combination, coupled with
his or her badge, would establish the individual's authority for entry into
the area.
(4) The make-up and construction of badges and identification dards
shall be designed to minimize the possibility of tampering or unauthorized
use.
0
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(5) Badges and identification cards coded to indicate the level of
security clearance or access to closed or restricted areas, shall be rigidly
controlled and accounted for by the contractor by use of a numbering system.
Such controls shall apply equally to permanent and temporary cards and badges.
Badges and identification cards shall be promptly recovered or, when appro-
priate, recoded whenever an employee's requirement for entry to a closed or
restricted area no longer exists due to an internal transfer, termination of
employment, revocation of PCL, or for other appropriate reasons.
(6) Coded badges and cards shall be considered only as an aid in
determining the current level of PCL of the holder or the areas to which the
holder may have access. The clearance status of a person who holds such a
badge or identification card shall be verified when there is doubt as to the
validity of the badge or card.
(7) An employee badge and/or identification card may be issued to
persons referred to in paragraphs 37h and 41a.
b. Visitor Badges. A badge of such design as the contractor considers suit-
able may be issued to assist in identifying visitors who are authorized to be
present in closed or restricted areas. Visitors' badges, except for those issued
in accordance with paragraph a(7) above, shall not be used to indicate a visitor's
PCL status. Visitors' badges shall be recovered at the conclusion of their
visit, and they shall be rigidly controlled and accounted for by the
contractor.
c. Reporting. The procedure for use of badges or identification cards,
as authorized in paragraphs a and b above, shall be incorporated in the SPP.
In addition, the adoption of a new employee badge or identification card
system or any change in an existing badge or identification card system shall
be reported to the CSO in accordance with paragraph 6a(13).
d. Use on User Agency Installations. The use of badges or identification
cards to indicate the level of PCL of individuals performing duties within a
UA installation shall be subject to regulations which apply to the installation.
9. DoD Sponsorship of Meetings. Meetings described in paragraph 5q(3) which
serve a government purpose and at which adequate security measures have been
provided for in advance may be sponsored. As used herein, sponsorship shall
refer only to sponsorship for security purposes which shall require a DoD
Component to undertake all security responsibility and administration of the
meeting. However, in the case of a meeting as described in paragraph 5q(3),
the DoD Component having primary responsibility for the information involved
may designate a cleared DoD contractor to undertake overall responsibility for
security and administration.
a. Requests for Sponsorship. Contractors desiring to conduct meetings
requiring DoD sponsorship shall submit their requests to the DoD activity
having principal interest in the subject matter of each meeting. Only one
activity may sponsor a meeting on behalf of the DoD. Therefore, a request
shall be sent only to one DoD activity at a time. If that activity declines
to accept sponsorship, or if it is appropriate to change the sponsoring
agency, the request may be sent to another DoD activity having a principal
interest in the subject matter of the meeting. Such requests shall include
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9
the details,concerning all prior requests. Approval and sponsorship by the
DoD will normally be granted only for a meeting conducted by a cleared DoD
contractor. However, a meeting conducted by an association, contractor,
institute, or society, whose membership is comprised primarily of cleared DoD
contractors, contractor employees, or DoD personnel, may be sponsored for
security purposes by the DoD, provided that a cleared contractor is designated
and accepts overall security responsibility for the meeting on behalf of the
association, society, or group. The request shall explain how the interests
of national defense will be served by disclosing classified information at the
meeting, and why the use of conventional channels for release of the
information will not accomplish the purpose of those interests. The request
shall also include a list of any foreign nationals or RFI's (including the
names of the individuals, firms, or governments) whose attendance at the
meeting is required.
b. Attendance of Foreign Nationals or RFI 16/. No invitation,
written or oral, shall be tendered to a foreign national, or to an RFI, to
attend any session of a meeting sponsored by a DoD activity, until approval
for his or her attendance has been received from the sponsoring activity. If
the attendance of a foreign national or RFI is required, a written request in
advance of the meeting shall be submitted and shall include:
(1) identification of the foreign national or RFI by name,
nationality, and government, for the individual or firm represented;
(2) sessions or subject matter for which access authorization is
desired (nationals or representatives of Designated countries shall be
excluded without exception, from attendance at any classified session); and
(3) subject titles of scientific, technical, and other papers
scheduled for presentation by any foreign national or representative of a
foreign national or RFI.
c. Location of Meetings. The sponsoring activity is responsible for
evaluating and approving the location proposed for the meeting.
(1) Meetings at which TOP SECRET or SECRET information is to be
disclosed shall be held only at a U.S. Government installation or at an
appropriately cleared facility of a contractor, which has adequate means for
safeguarding classified presentations. Under this criteria, the proposed site
would have to be located within the physical boundaries of a cleared facility
as indicated on the DD Form 374, "Facility Security Clearance Survey." An
auditorium, assembly hall, or gymnasium which is used primarily for campus
activities and public gatherings will not be approved for a classified meeting
at which TOP SECRET or SECRET information would be disclosed, even though it
is located on the campus of a college or university, portions of which are a
cleared facility.
16/ Foreign nationals granted LAA's, and RFI's cleared for access to
classified information under the DoD Industrial Security Program, are
-not subject to the limitation of paragraph 9b. However., persons
granted LAA's clearances are subject to the access limitations
prescribed in paragraph 31.3.
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(2) Meetings at which information classified no higher than
CONFIDENTIAL is to be disclosed shall normally be held at a U.S. Government
installation or a cleared facility. However, if suitable facilities are not
available at a U.S. Government installation or contractor facility, the use of
other locations may be approved, provided adequate security can be maintained.
Contractor requests to use a location other than a U.S. Government
installation or contractor facility shall include:
(a) a justification of the proposed location;
(b) an explanation why a U.S. Government installation or
cleared facility cannot be used; and
(c) an explanation why separate classified and unclassified
sessions cannot be scheduled, thereby permitting the use of a U.S. Government
installation or a cleared facility for the classified portions of the meeting.
d. Security Procedures. When sponsorship of a meeting has been
accepted by a DoD activity, the contractor shall develop the security measures
and procedures to be used, and obtain the sponsoring activity's approval
thereof. The security measures shall include adequate arrangements for the
following.
(1) Security measures shall include strictly limiting attendance at
classified meetings to those persons whose presence is necessary in the
interest of national defense and who are otherwise eligible. This shall
include measures for the following.
(a) Security measures shall include determining and ensuring
that all persons selected and approved to attend classified sessions have been
granted a PCL for access to classified information equal to or higher than the
category of information to be disclosed, and have duties in connection with a
classified contract or program that requires such access in promoting the
interests of national defense. For contractor personnel, the certification of
PCL and need-to-know shall be accomplished as provided in paragraph f below.
(b) Security measures shall include review and approval by the
sponsoring activity of all announcements and invitations related to the
meetings and lists of attendees pertaining thereto. Announcements and
invitations shall be unclassified, and shall include the name of the
sponsoring activity and the date of the approval.
1 Notices and announcements of meetings, whether
classified, unclassified, or mixed, and not amounting to invitations to
attend, may be published publicly, provided classified information is not
included in such notices or announcements.
2 In the case of classified meetings, invitations to
attend (whether on an individual or class basis) shall not be sent to a person
known to be a national from or a representative of a Designated country.
3 In the case of mixed meetings, that is, those having
both classified and unclissified sessions, the restrictions as to invitations
to persons known to be nationals from, or representatives of, a Designated
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country to attend are applicable to the classified session. As to the
unclassified session, such notice or invitation to attend shall not be sent
to persons known to be nationals from, or representatives of, a Designated
country, unless and until specific authorization, on an individual name basis,
has been made in advance by the Secretary or Head of the DoD Component.
(2) Security measures shall include safeguarding and controlling
the distribution of notes, minutes, summaries, recordings, proceedings, and
reports on the classified portions of the meeting. Such material shall
normally be sent only to those approved for attendance at the classified
sessions. However, the sponsoring activity may also authorize distribution to
others who are determined to be eligible for, and require access to, the
classified information involved. In any event, the material shall only be
sent to a U.S. Government activity or cleared contractor facility and marked
for the attention of the intended recipient, as provided for in paragraph 17k.
(3) Security measures shall include notifying each person who
presents or discloses classified information at the meeting of the security
limitations on disclosures for such reasons as the level of clearance or
need-to-know of members of the audience or other limitations established by
the U.S. Government.
(4) Security measures shall include ensuring the physical security
of the meeting site and the area used for classified sessions or displays.
This shall include provisions for guards, entrance controls, personnel
identification, storage facilities, and adequate security against unauthorized
access to, or illicit acquisition of, the classified information.
(5) Security measures shall include ensuring that attendance at a
meeting or session at which classified information is to be disclosed is
limited to persons whose names appear on an approved access list, and then
only on proper identification.
(6) Security measures shall include submitting the minutes,
summaries, recordings, proceedings, and reports of the meeting to the
sponsoring activity for security review and for approval of the proposed
distribution.
(7) Security measures shall include ensuring that individuals
making oral presentations at meetings provide classification guidance
sufficient to enable attendees to identify what information is classified or
unclassified and, if classified, at what category or categories of
classification.
e. Request for Disclosure Authority. A contractor desiring to disclose
classified information at a meeting as provided in paragraph 5q(3) or 5q(4)
shall:
(1) obtain prior written authorization for each proposed disclosure
of classified information from the contracting officer having jurisdiction
over the information involved -- if authorization for foreign nationals to
attend the meeting has been requested from the sponsor, that fact shall be
stated in the request for disclosure authority;
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.(2) furnish a copy-of the disclosure authorization to the U.S.
Government activity conducting or sponsoring the meeting; and
(3) furnish a written copy of the presentation, as made, to the
contracting officer and to the conducting or sponsoring activity, if they are
not one and the same.
f. Requests to Attend Classified Meetings. A contractor desiring to
have an employee attend a classified meeting shall:
(1) certify to the PCL status and need-to-know of the employee who
will attend the classified meeting, and
(2) forward the application or request to attend the meeting,
together with the necessary justification (see paragraph d(1)(a) above), to
the contracting officer for the classified contract under which access is
being justified, requesting that it be forwarded to the sponsoring activity.
However, where access is being justified under a UA program, rather than a
contract, the request shall be forwarded to the official of the UA activity
who is monitoring the contractor's participation in the program.
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Section II. HANDLING OF CLASSIFIED INFORMATION
10. Classification.
a. The security classification (TOP SECRET, SECRET, or CONFIDENTIAL) *
to be applied to information involved in a UA classified contract will be
supplied to the contractor by the contracting officer or the designated
representative of the UA concerned. The DD Form 254 is the basic document *
used to convey the classification, regrading, downgrading, and declassifica- *
tion specifications for a classified contract. The DD Form 254, with any
necessary attachments or supplements, as appropriate (hereinafter referred
to only as the DD Form 254), provides the guidance to be used for this
purpose. The DD Form 254 identifies the specific items of classified
information involved in the contract that require security classification
protection. Contractors shall, to the extent practicable, advise and assist *
in the development of the original DD Form 254 and the security classifica- *
tion guide in order that their technical expertise may be utilized. By so *
doing, contractors are also in a better position to anticipate the security *
costs and requirements under the contract and may organize attendant
procedural aspects and physical plant layout accordingly. It is the
contractor's responsibility to understand and apply all aspects of the
classification guidance. Contractors may submit recommended changes for a
revised DD Form 254 if they encounter difficulty in applying or interpreting *
the DD Form 254 during any phase of the contract. Classification guidance *
is, notwithstanding the contractor's input, the exclusive responsibility of *
the User Agency, and the final determination of the appropriate classifies- *
tion rests with that agency. The DD Form 254 is a contractual specification *
necessary for performance on a classified contract. If a classified
contract is received without a DD Form 254, the contractor shall advise the *
UA concerned. The CSO may be requested to provide assistance, if desired. *
b. An original DD Form 254, which sets forth the classification
specifications or cites the classification guidance in item 15, is provided
to the contractor by the UA with an RFP, RFQ, IFS, or other solicitation and
with the award of a contract which will necessitate access to classified
information. A revised DD Form 254 will be issued at any time a change or
additional classification guidance is necessary. The UA reviews the existing
classification specifications periodically during the contract and at least
once every 2 years. When the biennial review establishes that no change
is necessary in the existing guidance, the prime contractor is advised in
writing. A final DD Form 254 is issued on final delivery of goods or
services or on termination of the contract when authority is granted under
paragraph 5m for the contractor to retain classified material originated by
the UA or generated by the contractor in the performance of the contract, or
when all classified material, for which retention authority would be required,
is ordered immediately declassified. A final DD Form 254 is not issued,
however, when authority is granted under paragraph 5m for the contractor to
retain only reference material (see paragraph 3bt).
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c. At the end of a retention period authorized under paragraph 5m, if
the contractor requests an extension of the retention period, the UA will
conduct a review to ensure that the contractor has a continued requirement for
possessing the classified material and to revise the existing classification
specifications as necessary to cover the classified material for which an
extension of retention authority is authorized.
d. The application of a security classification to information devel-
oped by the contractor shall be based on: (i) the classification guidance
furnished by the the contracting officer of the UA, in accordance with
paragraph a above, or (ii) the contractor's knowledge that such information
is in substance the same as, or would reveal, other information known to be
currently classified. Material developed by the contractor containing
classified information, or from which classified information could be
obtained, shall be marked in the manner prescribed in paragraph 11.
e. Contractors who have reason to believe that information is class-
ified improperly or unnecessarily, or believe that current security
considerations justify downgrading to a lower classification or upgrading to
a higher classification, or believe that the security classification guidance
provided is improper or inadequate, are required to discuss such problems
with the User Agency involved with a view to bring about correction. If a
solution is not forthcoming, and the contractor believes that corrective
action is still required, a formal challenge shall be made to the User Agency
that originally classified the information. Such challenges shall include a
description sufficient to identify the problem, the reasons why the
contractor believes that corrective action is required, and any recommenda-
tions for appropriate corrective action. In any case, the information in
question shall be safeguarded as required by this manual for its assigned or
proposed level of classification, whichever is higher, until action is
completed. If no answer is received within 45 days, the CSO may be requested
to provide assistance in obtaining a response. The fact that a contractor
has initiated such a challenge shall not in any way result in or serve as a
basis for any adverse action by the UA involved.
f. The contractor shall establish a procedure to ensure the following:
(1) In the case of a document, and except as specified in para-
graph (3) below, the manager or supervisor, whose signature or other form of
approval is required before the document may be issued, transmitted, or
referred outside of the facility, determines the necessity, currency, and
accuracy of the classification applied to that document.
(2) In the case of material other than a document, and except as
specified in paragraph (3) below, the manager or supervisor in charge at the
operational level where the material is being produced or assembled determines
the necessity, currency, and accuracy of the classification applied to that
material.
(3) In those situations involving the copying or extracting of
classified information from another document, or involving the reproduction
or translation of a whole clasiified document, the individual responsible
for such copying, extracting, reproduction, or translation marks the new
document or copy with the same classification as that applied to the
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information or document-fro t which the uew document or copy was prepared. -
However, if the contractor believes the classification marking is improper
in any respect, such marking shall be in accordance with a final disposition
of the contractor's action under paragraph 10e.
(4) Employees responsible for the currency, necessity, and accuracy
of the classification applied to information, under paragraphs (1) and (2)
above, are held to a minimum number consistent with operational requirements.
The number of such employees shall be reported to the CSO on request in
accordance with paragraph 6a(14).
(5) Questions on the currency of the classification of reference
material are referred as indicated in paragraph 60i.
g. Whenever a contractor develops an unsolicited proposal or originates
information not in the performance of a UA contract or program, the following
rules shall apply:
(1) If information is included in the proposal or other material
which the contractor identifies as already being classified, the proposal or
other material shall be marked with the appropriate classification in accord-
ance with paragraph 11.
(2) If the case does not fall within paragraph (1) above, and the
contractor believes that the proposal or other material contains information
which may or should be safeguarded, the contractor is requested to protect the
information as though classified at the appropriate level, until an advisory
classification opinion is obtained from a UA which has an interest in the
subject matter. In any such case, the following protective marking, or a
similar marking which clearly conveys the same meaning, will be used:
Classification determination pending.
Protect as though classified
(CONFIDENTIAL, SECRET, or TOP SECRET)
This marking shall appear conspicuously at least once on the material, but it
is not necessary to mark the material further in accordance with paragraph 11
until the advisory classification opinion is received. In addition, if appli-
cable, contractors are not precluded from designating such information as
company private or proprietary information.
(a) Pending determination by the UA, the following
precautionary measures should be taken in regard to safeguarding such
information:
minimum number
1 Access to the information
of personnel practical.
should be limited to the
2 Persons selected to have access to the information
should be limited to U.S. citizens or immigrant aliens who are known to be
trustworthy. They should be advised of the importance of the information.
3 When not in use, documents containing the information
should be stored in a secure container.
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4 In forwarding the information between persons or loca-
tions, a secure method of transmission should be used.
5 Reproduction of the information should be kept to a
minimum.
(b) It is the policy of the U.S. Government not to classify
information over which it has no jurisdiction. The proposal or other material
shall not be classified by the UA: (i) unless it incorporates classified
information to which the contractor was given prior access, or (ii) unless the
government first acquires a proprietary interest in the information.
h. The contractor shall provide security classification guidance to
employees performing in a sales or technical capacity and under a classi-
fied contract outside of the U.S.
i. The fact that information currently classified by a UA has been
disseminated by a public medium of communication does not automatically mean
that it has been declassified. Classification shall be continued until
advised to the contrary by the UA. Questions as to the propriety of continued
classification in these cases should be brought to the immediate attention of
the contracting officer.
11. Marking.
a. General. Classification designation by physical marking, notation,
or other means serves to warn and to inform the holder what degree of protec-
tion against unauthorized disclosure is required for that information or
material. Other notations facilitate downgrading, declassification, and aid
in derivative classification actions. Therefore, it is essential that all
classified information and material be marked in such a manner that it is clear
to the holder what level of classification is assigned to the informa-
tion or material, exactly what portions of the information or material contain
or reveal classified information, how long the protection is required, and any
other additional markings required for protection of the information or
material.
b. Marking Requirements for Information and Material. The markings
shown in.paragraphs (1) through (8) below are required for all classified
information, regardless of the form in which it appears. Some material, such
as documents, letters, and reports, can be marked easily with the appropriate
markings. Marking other material, such as equipments, ADP media, and slides,
will be more difficult due to size or other physical characteristics. Since
the purpose of the markings is to warn the holder that the information
requires special protection, it is necessary that all classified material be
marked with the appropriate markings to the fullest extent possible to ensure
that it is afforded the necessary safeguards.
(1) Identification Markings. All classified material shall be
marked to show: (i) the name and address of the facility responsible for its
preparation, and (ii) the date of preparation. These markings are required on
the face of all classified documents.
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. (2) Overall -Markings,- The-overall classification of a document, Or
any copy or reproduction thereof, shall be conspicuously marked or stamped 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). If the document does not have a back cover, the outside of the back or
last page, which may serve as a cover, may also be marked at the top-and
bottom with the overall classification of the document. The markings shall be
stamped, printed, etched, written, engraved, painted, or affixed by means of a
tag, sticker, decal, or similar device on classified material, other than
documents, and on containers of such material, if possible. If marking the
material or container is not practical, written notification of the appro-
priate markings shall be furnished to recipients. Copies of documents shall
include the appropriate markings on the documents themselves.
(3) Page Markings. Interior pages of classified documents shall be
conspicuously marked or stamped at the top and bottom with the highest classi-
fication of the information appearing thereon, or the designation UNCLASSI-
FIED, if all the portions on the page are UNCLASSIFIED. Alternatively, the
overall classification of the document may be conspicuously marked or stamped
at the top and bottom of each interior page, when necessary to achieve produc-
tion efficiency and so that the particular information to which classification
is assigned is adequately identified, in accordance with paragraph b(5) below.
In any case, the classification marking of a page shall not supersede a lower
level of classification indicated by a portion marking applicable to informa-
tion on that page.
(4) Component Markings. The major components of complex documents
are likely to be used separately. In such instances, each major component
shall be marked as a separate document utilizing the classification marking
requirements of this manual. Examples include: (i) each annex, appendix,
or similar component of a plan, program, or project description; (ii)
attachments and appendices to a letter; and (iii) 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.
(5) Portion Markings. Each section, part, paragraph, or similar
portion of a classified document shall be marked to show the highest level
of its classification, or that such portion is unclassified. Portions of
documents shall be marked in a manner that eliminates doubt as to which of
its portions contain or reveal classified information. For the purpose of
applying these markings, a portion or paragraph shall be considered a distinct
section or subdivision of a chapter, letter, or document dealing with a
particular point or idea which begins on a new line and is often indented.
Classification levels of portions of a document 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 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 "FBI)" for FORMERLY RESTRICTED DATA shall be added, for example,
"(S-RD)" or "(C-FBI))." In addition, portions that contain Critical Nuclear
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Weapon Design Information (CNWDI) will be marked "(N)" following the
classification, for example, "(TS-RD)(N)."
(a) Portions of U.S. documents containing foreign government
information shall be marked to reflect the country or international organiza-
tions of governments of origin as well as the appropriate classification, (for
example, "(NATO-S)" or "(U.K.-C)," or "(NATO-R)" for NATO-RESTRICTED), except
where such markings would reveal that the information is foreign government
information, when that fact must be concealed, or if a confidential source or
relationship not otherwise evident in the document is revealed. Where a UA
determines that this information would be revealed, the classification
specifications and source documents furnished to contractors will not bear
this information, and in these cases contractors will not identify the foreign
governments in any classified material generated. See paragraph e below for
other marking requirements for foreign government information.
(b) When illustrations, photographs, figures, graphs,
drawings, charts, or similar portions are contained in classified documents
they shall be marked clearly to show their classified or unclassified status.
In this instance, such markings shall not be abbreviated and shall be
prominent and placed within or contiguous (touching or near) to such a
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.
(c) If, in an exceptional situation, parenthetical marking in
the portions is determined to be impractical, the classified document shall
contain a description sufficient to identify the exact information that is
classified and the classification level(s) assigned to it. For example, each
portion of a document need not be separately marked if all portions are
classified at the same level, provided a full explanation is included in the
document.
(d) When elements of information in one portion or paragraph
require different classifications, but segregation into separate portions or
paragraphs would destroy continuity or context, the highest classification
required for any item shall be applied to that portion or paragraph.
(6) Subject and Title Markings. Subjects and titles of documents
shall be selected, if possible, so as not to require classification. A
classified subject or title shall be marked with the appropriate symbol (TS),
(S), or (C) placed immediately following and to the right of the item. An
unclassified subject or title shall be marked with a (U) placed immediately
following and to the right of the item. When applicable, other appropriate
symbols, for example, "(RD)," "(FRD)," "(N)," or "(NATO)" shall be added.
(7) Downgrading/Declassification and "Classified by" Markings.
Procedures for marking downgrading and declassification instructions, and for
completion of the "Classified by" line are prescribed in appendix II. These
markings shall be placed either on the cover, first page, title page, or in a
similarly prominent position on classified documents.
(8) Additional Markings. In addition to the markings specified
above, classified material shall be marked, if applicable, with one or more
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of the notations prescribed below, or other markings specified by a UA. The
appropriate notation shall be printed, stamped, typed, or otherwise affixed
conspicuously at least once on classified material possessed 1/, prepared, or
reproduced by the contractor. In addition, when a copy, extract, or
paraphrase of a document contains classified information, or when a page,
chapter,-or other component is separated from such a document, the extract or
component shall also be conspicuously marked at least once with the
appropriate notation. In the case of documents, these warning notices shall
be conspicuously marked on the outside of the front cover (if any) or on the
first page if there is no front cover. When display of warning notices on
other materials is not feasible, the warnings shall be included in the written
notification provided to recipients.
(a) RESTRICTED DATA Notation. The following notation shall be
affixed on all material which contains "RESTRICTED DATA":
RESTRICTED DATA
This material contains RESTRICTED DATA as defined
in the Atomic Energy Act of 1954. Unauthorized disclosure
subject to administrative and criminal sanctions.
(b) FORMERLY RESTRICTED DATA Notation. Except when the
"RESTRICTED DATA" notation is used, all material containing information in
the "FORMERLY RESTRICTED DATA" category shall be marked with the following
notation:
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.
(c) INTELLIGENCE SOURCES OR METHODS Notation. Classified
information or material involving intelligence sources or methods and subject
to specific dissemination controls shall be marked with the following warning
notice 2/:
WARNING NOTICE
INTELLIGENCE SOURCES OR
METHODS INVOLVED
(d) DISSEMINATION AND REPRODUCTION NOTICES. From time to time
certain UA's may promulgate certain classified information, which the govern-
ment agency originating the material has determined should be subject to
special dissemination or reproduction limitations or both. Statements sub-
stantially as follows will be included on the front cover of such documents:
1/ Classified material that is already marked with officially prescribed
additional warning notices that convey in substance the same meanings as
those prescribed in paragraph b(8) need not be re-marked.
2/ Existing stamps and preprinted labels containing the caveat, "Warning
Notice -- Intelligence Sources and Methods Involved," may be used until
a replacement stamp is obtained or the supply of labels is exhausted.
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REPRODUCTION REQUIRES APPROVAL OF
ORIGINATOR OR HIGHER GOVERNMENT AUTHORITY
(Reproduction of all portions of the information contained in such documents is
absolutely prohibited without the permission of the originating office or higher
government authority.)
FURTHER DISSEMINATION ONLY AS
AUTHORIZED BY CONTRACTING
OFFICER
(Further dissemination within the receiving contractor facility is restricted to
persons authorized by the addressee. Dissemination outside the facility is
prohibited without the permission of the contracting officer.)
(e) FOREIGN GOVERNMENT INFORMATION. This marking is used on
U.S. documents containing "FOREIGN GOVERNMENT INFORMATION" to ensure that such
information is not declassified prematurely or made accessible to nationals of
a third country without the consent of the originator.
(f) THIS DOCUMENT CONTAINS NATO INFORMATION. This marking is
used on U.S. documents which contain extracts from NATO documents to ensure
that such information is not declassified or made accessible to nationals of
non-NATO countries without NATO approval.
c. Marking Specific Types of Material. The following procedures for
marking specific types of material are not all inclusive. Due to the many
variations that may occur in the preparation of classified materials, every
possible marking situation cannot be addressed. These procedures are for
marking various types of material, which are most often encountered by
contractors, and may be varied to accommodate the physical characteristics
of the material and organizational and operational requirements.
(1) Artwork. Original artwork shall have the overall security
classification stamped or conspicuously marked in the top and bottom margins
of the mounting board and on all overlays and cover sheets. Other markings
specified in paragraphs b(1) through (8) above also shall be included on such
documents, as applicable.
(2) Charts, Maps, Drawings, and Tracings. The appropriate
classification markings for the legend, title, or scale block shall be shown
in the legend, title, or scale block itself, or in such a manner as to
differentiate between the overall classification assigned to the document and
any classification assigned to the legend or title itself. The overall
classification of the document shall be marked or stamped at the top and
bottom of each document. Any identifiable portions of such documents shall be
marked in the manner prescribed in paragraph b(5) above, if possible. When
the customary method of folding or rolling charts, maps, drawings, or tracings
would cover the classification markings, additional classification markings
shall be placed so as to be clearly visible when the document is folded or
rolled. Other markings specified in paragraphs b(1) through (8) above also
shall be included on such documents, as applicable.
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? (3)- Decks of Automatic Data Processing Punched Cards. When a
deck of classified AIS punched cards is handled and controlled as a single
document, only the first and last cards of the deck require the overall
classification markings as specified in paragraph b(2) above. An additional
card shall be added (or the job control card modified) to identify the
contents of the deck, and to show the appropriate markings specified in
paragraphs b(1) through (8) above. Individual 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 shall be individually marked to show the appropriate markings
specified in paragraphs b(1) through (8) above. Alternatively, a grouping
of cards removed for separate processing or use, and not immediately
returned to the deck, may be handled, controlled, and marked as a separate
deck of cards.
(4) Continuous Form (fan folded or rolled) Documents Produced
by AIS Equipment. When a continuous form document is handled and con-
trolled as a single document, that is, its pages are connected, the
following minimum markings are allowable:
(a) Conspicuously mark the overall classification at the
top and bottom of the first and last page and on the front and back cover,
if any.
(b) Internal pages (those between the first and last page
in a continuous form document) do not require any classification markings.
(c) Other appropriate markings as required by paragraph
b(1), (5), (6), (7), and (8) above shall be shown on the document and may
be applied by the equipment or by other comparable means.
When a continuous form document is broken by removal of a single
page(s), each page(s) removed shall be marked with all the appropriate
markings specified by paragraphs b(1) through (8) above.
When separate continuous form documents are created as a result of
removing a single page(s), or otherwise breaking the continuous form, each
document created shall be handled, controlled, and marked as a single
document.
(5) Files, Folders, or Groups of Documents. Files, folders,
binders, envelopes, and other items, containing classified documents, when
not in secure storage, shall be conspicuously marked according to the highest
classification of any classified document included therein. Classified
document cover sheets may be used for this purpose.
(6) Messages.. Electronically transmitted messages (that is, those
transmitted via authorized CRYPTOSYSTEME) shall bear appropriate markings as
specified in paragraphs b(1) through (8) above, except as noted herein. The
first item of information in the text shall be the overall classification of
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the message. The message also shall show the date or event for declassifica-
tion or the notation "Originating Agency's Determination Required" or "OADR,"
and downgrading action, if applicable. The "Classified by" line information
is not required. Portions shall be marked in the manner required for other
documents. When messages are printed by an automated system, all markings may
be applied by that system, provided that the classification markings are
clearly distinguished from the printed text. (NOTE: The highest level
official identified on the message as the sender, or in the absence of such
identification, the highest level official at the facility originating the
message, is deemed to be the classifier of the message. The originator is
responsible for maintaining adequate records to show the source of an assigned
derivative classification.)
(7) Microforms. Microforms are copies usually produced on trans-
parent or opaque materials in sizes too small to be read by the unaided
eye. Accordingly, the appropriate markings as specified in paragraphs b(1)
through (8) above 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. The markings
specified in paragraph b(7) above may be abbreviated. Further markings and
handling shall be as appropriate for the particular microform involved. For
example, roll film microforms (or roll microfilm employing 16, 35, 70, or 105
mm films) may generally be handled as provided for roll motion picture films,
and decks of "aperture cards" may be handled as decks of automatic data
processing punched cards. Whenever possible, microfiche, microfilm strips, and
microform chips shall be handled in accordance with this paragraph.
(8) Motion Picture Films. Classified motion picture films and
video tapes shall be marked at the beginning and end of each reel by titles
bearing the appropriate classification and applicable associated markings.
Such markings shall be visible when projected. Motion picture film and video
tape containers shall bear conspicuous classification, declassification, and
if applicable, downgrading markings. Other markings specified in paragraphs
b(1) through (8) above shall also be applied, if applicable.
(9) Photographs. Photographs shall be marked in such a manner so
that a recipient or viewer will know that information of a specified level of
classification is involved. Negatives and positives shall be marked, whenever
practical, with the appropriate classification and applicable associated
markings. Roll negatives or positives may be so marked at the beginning and
end of each strip. Containers for negatives and positives shall be
conspicuously marked with the highest level of classification of their
contents. Other markings specified in paragraphs b(1) through (8) above shall
also be applied, if applicable. All prints and reproductions shall be
conspicuously marked with the appropriate markings, as specified in paragraphs
b(1) through (8) above, on the face side of the print, if possible. Where
such markings cannot be applied to the face side, they may be stamped or
marked 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
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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 information.)
(10) Recordings. Magnetic, electronic, or sound recordings shall
contain a clear statement of the overall classification at the, beginning and
end of the recording which will provide adequate assurance that any listener
or receiver will know that classified information is involved. Containers for
recordings shall be conspicuously marked with the appropriate classification
and applicable associated markings, as specified in paragraphs b(1) through
(8) above.
(11) Removable Automatic Data Processing and Word Processing
Storage Media.
(a) External. Removable information storage media and
devices, employed with AIS's shall bear external markings clearly indicat-
ing the appropriate markings as specified in paragraphs b(1) through (8)
above. Included are media and devices that store recorded information in
analog or digital form, and 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.
(b) Internal. In addition, AIS's employing such media
shall provide for internally recorded security markings to ensure that
classified information contained therein, when reproduced or generated,
will bear appropriate markings as specified in paragraphs b(1) through (8)
above. (Existing AIS's previously approved by the CSO shall provide this
internal classification identification where the capability exists for
implementation without extensive system modification. Alternately, where
extensive system modification would be required for existing systems, an
exception may be made by the CSO, provided procedures are established to
ensure that users and recipients of the media, or the information therein,
are clearly advised as to the appropriate markings for the contents.
Requirements for the security of nonremovable AIS storage media and
clearance or declassification procedures for various AIS storage media
are contained in section XIII.)
(12) Translations. Translations of U.S. classified information
into a language other than English shall be marked to show the U.S. as the
country of origin, with the appropriate U.S. markings as specified in
paragraph b(1) through (8) above, and the foreign language equivalent thereof
(see appendix XIV of this manual).
(13) Transmittal Documents. A transmittal document, including
endorsements and comments when such are added to the basic communication,
shall carry on its face a prominent notation as to the highest classification
of 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
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document shall bear a notation substantially as follows: "Unclassified when
Separated from Classified Enclosures."
(14) Transparencies and Slides. Applicable classification markings
shall be shown clearly on the image of each transparency or slide, and on its
border, holder, or frame. Other applicable markings as specified in para-
graphs b(1) through (8) above shall be shown on the border, holder, or frame,
if possible, or in the image area, in accompanying documentation, or other
written notification. When a set of transparencies or slides is handled and
controlled as a single document, only the title slide or transparency requires
the other applicable markings. Slide and transparency storage containers
shall also be marked with the appropriate markings as specified in paragraph
b(1) through (8) above.
(15) Working Papers. Working papers and material such as notes,
drafts, and drawings accumulated or created in the preparation of a finished
document, shall be dated when created and marked in the same manner as
prescribed in paragraphs b(2) and (3) above. The remainder of the markings
required by paragraphs b(1) through (8) above need not be affixed to the
material, until it is entered into the accountability records in accordance
with paragraph 12, made a part of a permanent record, or dispatched outside
the facility.
(16) Miscellaneous Material. Unless a requirement exists to retain
material such as rejects, typewriter ribbons, carbons, and similar items for a
specific purpose, there is no need to mark, stamp, or otherwise indicate that
the information is classified. (NOTE: Such material developed in connection
with the handling, processing, production, and utilization of classified
information shall be handled in a manner that ensures adequate protection of
the classified information involved and destruction at the earliest practical
moment.)
d. Marking of Regraded Documents and Material. Whenever classified
information is downgraded, declassified, or upgraded, the material shall be
promptly and conspicuously marked to indicate the change 3/.
3/ In the interest of providing quick and efficient service on requests for
classified documents, DTIC re-marks downgraded or declassified documents to
reflect such action only on the front and back covers and the title, first,
and back pages. A notice will be affixed by DTIC to the front cover or the,
title page of such documents indicating that it is the responsibility of the
recipient (the contractor who requested the document) to complete the
re-marking of the regraded document in accordance with this paragraph.
Documents originally marked under the provisions of previous E.O.'s may
contain pages which do not bear any classification markings. Before
extracting or reproducing the information from these pages, recipients
should direct any questions they may have concerning the classification of
an individual page, chapter, section, and the like, to the originator of
the document. ?
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. (1) Automatic Downgrading or Declassification Actions. Holders
of classified material may take automatic downgrading or declassification
actions, as specified by the markings on the material, without further
authority for the action. All old classification markings shall be canceled
and the new markings substituted, whenever practical 4/. In the case of
documents, as a minimum, the outside of the front cover (if any), the title
page (if any), the first page, and the outside of the back cover (if any),
must reflect the new classification markings, or the designation UNCLASSIFIED.
Other material shall be re-marked by the most practical method for the type of
material involved to ensure that it is clear to the holder what level of
classification is assigned to the material. Old markings shall be canceled,
if possible, on the material itself. If not practical, the material may be
marked by affixing new decals, tags, stickers, and the like to the material
or its container.
(2) Other than Automatic Downgrading or Declassification Actions.
When contractors are notified of downgrading or declassification actions
that are contrary to the markings shown on the material, the material shall
be re-marked to indicate the change. All old classification markings shall
be canceled and the new markings substituted, whenever practical 4/. In the
case of documents, as a minimum, the outside of the front cover (if any), the
title page (if any), the first page, and the outside of the back cover (if
any) shall reflect the new classification markings or the designation
UNCLASSIFIED. In addition, the material shall be marked to indicate the
authority for the action, the date of the action, and the identity of the
person or contractor taking the action. Other holders shall be notified if
further dissemination has been made by the contractor.
(3) Upgrading Action. When a notice is received to upgrade
material to a higher level, for example from CONFIDENTIAL to SECRET, or from
UNCLASSIFIED to CONFIDENTIAL, the new markings shall be immediately entered on
the material, in accordance with the notice to upgrade, and all the superseded
markings should be canceled, if applicable. Other holders shall be notified,
if further dissemination of the material has been made by the contractor. If
contractor-generated material is inadvertently distributed outside the
facility without the proper classification assigned to it, or without any
markings to identify the material as classified, the following procedures
shall apply.
4/ When the volume of material is such that prompt re-marking of each
classified item cannot be accomplished without unduly interfering with
operations, the custodian may attach downgrading and declassification
notices to the inside of the file drawers or other storage container in
lieu of the re-marking otherwise required. Each such notice shall specify
the authority for the downgrading or declassification action, the date of
the action, and the storage container to which it applies. When documents
or other material subject to downgrading or declassification are withdrawn
from the container solely for transfer to another, or when the container is
transferred from one place to another, the transfer may be made without
re-marking, if the notice is attached to the new container or remains with
each shipment. When the documents or material are withdrawn for use or for
transmittal outside the facility, they shall be re-marked in accordance
with paragraph d(1) or d(2) above.
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(a) Determine that all holders of the material are authorized
access to it.
(b) Determine that control of the material has not been lost
by the communication. (NOTE: When both these conditions are determined to
exist, then promptly notify 5/ all holders of the proper classification and
markings applicable to the material. If it is found that control of the
material has been lost or that unauthorized personnel have had access to it,
a report of the compromise to the CSO under the provisions of paragraph 7d is
required.)
e. Marking of Foreign Classified Material. Foreign classified material
shall be marked in accordance with instructions received from the foreign
contracting authority, the CSO, or the UA. In any case, if the classifica-
tion and the country of origin are in a language other than English, the
appropriate equivalent U.S. classification and the country of origin will be
marked on the foreign classified material. Except for the foreign security
classification designation RESTRICTED, foreign security classification
designations, including those of international organizations of governments,
such as NATO, generally parallel U.S. classification designations. A table of
equivalent classifications is contained in appendix XIV. Many foreign govern-
ments and international organizations, such as NATO, use a fourth security
designation identified as RESTRICTED to denote a foreign requirement for
security protection of a lesser degree than CONFIDENTIAL. Documents received
by contractors that are marked with any of the classification designations
listed in the last column of appendix XIV shall be marked RESTRICTED together
with the country of origin and protected in all respects in the same manner as
U.S. CONFIDENTIAL, except that foreign RESTRICTED material may be stored in
locked filing cabinets, desks, or other similarly closed spaces that will
prevent access by unauthorized persons.
(1) When foreign government information is incorporated in a
contractor-generated document, that document shall be identified in a
manner to ensure 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 with the notation "FOREIGN GOVERNMENT INFORMATION" or with another
marking that otherwise indicates that the information is foreign government
information. Portions of documents containing foreign government information
shall be marked as specified in paragraph b(5)(a) above. All such documents
5/ In the case of material being upgraded, the contractor's written notice
shall not be classified, unless the notice contains additional information
warranting classification. In the case of material which was inadvertently
released as UNCLASSIFIED, the contractor's written notice shall be classi-
fied CONFIDENTIAL, unless the notice contains additional information war-
ranting a higher classification. The notice should cite the applicable
DD Form 254 or other classification guide on the "Classified by" line and
be marked with a declassification instruction such as, "UNCLASSIFIED WHEN
UPGRADING ACTION IS COMPLETED."
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containing foreign government information shall include on the "Declassify on"
line the following notation, "ORIGINATING AGENCY'S DETERMINATION REQUIRED," or
"OADR," unless the foreign entity has specified or agreed to a date or event
for declassification.
(2) U.S. documents which contain extracts of NATO classified
information shall be marked on the face of the document with the following
notation: "THIS DOCUMENT CONTAINS NATO CLASSIFIED INFORMATION." This
notation is required to ensure that NATO information is not declassified or
made accessible to nationals of non-NATO countries without NATO approval.
Portions of such documents shall be marked "NATO" with the appropriate
classification, for example, (NATO-S) or (NATO-C). The "Declassify on" line
shall be completed with the notation, "ORIGINATING AGENCY'S DETERMINATION
REQUIRED," or "OADR," unless the foreign entity has specified or agreed to
a date or event for declassification. The marking "FOREIGN GOVERNMENT
INFORMATION" is not required on these documents.
f, Marking Wholly Unclassified Material. Normally, wholly UNCLASSIFIED
material will not be marked or stamped "UNCLASSIFIED," unless it is essential
to convey to a recipient of such material that: (i) the material has been
examined specifically with a view to impose a security classification and has
been determined not to require classification, or (ii) the material has been
reviewed and has been determined to no longer require classification and it is
declassified.
g ?
Marking Compilations.
(1) Documents. In some instances, certain information that would
otherwise be unclassified when standing alone may require classification when
combined or associated with other unclassified information. When classifica-
tion is required to protect a compilation of such information, the overall
classification assigned to the document shall be conspicuously marked or
stamped at the top and bottom of each page and on the outside of the front
and back covers, if any. The reason for classifying the compilation shall be
stated at an appropriate location at or near the beginning of the document.
In this instance, the portions of a document classified in this manner need
not be marked.
(2) Portions of a Document. If a classified document contains
certain 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 the page, and a statement
shall be added to the page, or to the document, to explain the classifi-
cation of the combination or association to the holder. This method of
marking may also be used if classified portions on a page, or within a
document, will reveal a higher classification when they are combined or
associated than when they are standing alone.
12. Record of Classified Material.
a. Accountability Records. The contractor shall maintain, at one
or more control stations, an accountability record of all TOP SECRET and
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SECRET material, and CRYPTO, regardless of classification. The record
shall include all such classified material received or produced by, or in
the possession or custody of, the contractor and shall reflect as a minimum:
(i) the date of receipt or origin, (ii) the activity from which received or
by which originated, (iii) the classification of the material, (iv) a brief,
unclassified description of the material and (v) the disposition of the
material and the date thereof (that is, destroyed, downgraded to CONFIDENTIAL,
declassified, or dispatched outside the facility). These records shall be
retained by the contractor for a minimum of 3 years for TOP SECRET material,
special access material, and CRYPTO, regardless of classification; and for
SECRET material for 2 years from the date the last item recorded thereon was
destroyed, downgraded to CONFIDENTIAL, declassified, dispatched outside the
facility, or transferred to another accountability record.
b. Inventory/Accounting of Classified Material. When directed by a
Director of Industrial Security, the contractor shall make an inventory and
accounting of all TOP SECRET and SECRET material, and CRYPTO, regardless of
classification, and shall submit a report of all unresolved discrepancies to
the CSO. The inventory and accounting shall consist of the actual sighting of
each item listed in the accountability records or an examination of the
evidence of its proper disposition (the receipt, certificate of destruction,
authorization to terminate from accountability, or record of downgrading or
declassification); and an examination of the contents of all containers
authorized for storage of classified material to ensure that all TOP SECRET
and SECRET material, and CRYPTO, regardless of classification, has been
entered into the accountability records.
c. Receipt and Dispatch Records. In addition to the accountability
records required in paragraph a above, the contractor shall maintain a record
at one or more control stations of all nonaccountable classified material
received by, or dispatched from, the facility. This record shall reflect as a
minimum: (i) the date of receipt or dispatch, (ii) the activity from which
received or to which dispatched, (iii) the classification of the material, and
(iv) a brief, unclassified description of the material. These records shall
be retained by the contractor for a minimum of 2 years from the date of the
last entry. However, if the contractor combines this record of receipt and
dispatch with the accountability records prescribed in paragraph a above for
TOP SECRET material, special access material, and CRYPTO, regardless of
classification, the 3-year retention period shall apply.
d. Control Station Personnel. Employees designated by the contractor
to operate a control station shall be cleared at the same level as the
facility at which they are assigned. However, such personnel will be required
to have a TOP SECRET clearance only if the person's duties afford him or her
access to, possession of, or custody of TOP SECRET material.
e. Receipt of Classified Material. When classified material is received
at the facility, either by mail, bulk Shipment, or messenger, the following
controls shall apply.
(1) All classified material shall be delivered unopened to person-
nel designated by the contractor to receive it at the control station(s). In
addition, when U.S. Registered Mail, U.S. Express Mail, U.S. Certified Mail,
or classified material delivered by messenger is not received directly by the
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designated control station personnel, procedures shall be established to
ensure that such mail is received by appropriately cleared and authorized
personnel, for delivery with the inner container unopened to the control
station(s). In effect, all contractor personnel who handle U.S. RegisterAd
Mail, U.S. Express Mail, or U.S. Certified Mail shall be appropriately
cleared.
(2) The package shall be examined for any evidence of tampering and
the classified contents shall be checked against the receipt. Evidence of
tampering shall be reported immediately to the CSO, in accordance with para-
graph 6a(11). Discrepancies in the contents of a package or absence of a
receipt for TOP SECRET or SECRET material, and CRYPTO, regardless of classifi-
cation, shall be reported immediately to the sender. If the shipment is in
order, the receipt shall be signed and returned to the sender. For purposes
of positive identification, the name of the employee signing the receipt shall
be printed, stamped, or typed on the receipt. In those special cases where
the sender includes a receipt form with CONFIDENTIAL material, the receiver
shall execute the receipt and return it to the sender, if the contents of the
package are in order.
f. Production of Classified Material. When a contractor produces
TOP SECRET or SECRET material, and CRYPTO, regardless of classification,
accountability shall be established, as follows.
(1) TOP SECRET Documents and CRYPTO Documents, Regardless of
Classification. Such documents shall be entered into the control station
accountability records when the first of any of the following events occurs:
(i) the document is retained after the next successive stage in its develop-
ment is completed (for example notes converted to draft, final draft placed on
masters, or photographic prints developed from negatives); (ii) the document,
including classified working papers and drafts, is retained for more than 30
days from the date of origination; (iii) the document is reproduced for
internal purposes (for example, draft review or coordination prior to
preparation of final copy); or (iv) the document, regardless of its stage of
development, is transmitted outside of the facility on a temporary or
permanent basis.
(2) SECRET Documents. Such documents shall be entered into the
control station accountability records, when the first of any of the following
events occurs: (i) the document is retained as a completed document (includ-
ing working papers) in excess of 30 days from the date of completion; (ii) the
document is reproduced for internal purposes; (iii) the document is retained
as a partially completed document on discontinuance of the work; or (iv) the
document, regardless of its stage of development, is transmitted outside of
the facility on a temporary or permanent basis.
(3) Other Material. TOP SECRET and SECRET material, and CRYPTO,
regardless of classification, in other than documentary form, shall be entered
into the control station accountability records, when the first of any of the
following events occurs: (i) the material reaches the final stage in the
fabrication or manufacturing process; (ii) the material is retained for more
than 30 days from the date of origination; or (iii) the material, regardless
of its stage of development, is transmitted outside of the facility on a
temporary or permanent basis.
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(4) Incorporation of Classified Material. When a classified
document or other material is joined to, incorporated in, or otherwise made
a part of another classified document or item of material, accountability
for the incorporated document or item of material shall be terminated, and
accountability for the document or item of material in which it was incor-
porated shall be established. The control station records shall be posted
accordingly. Similarly, when a classified document is disassembled for the
purpose of creating a new document or an item of material is removed from a
classified assembly or end item (for example, for testing or replacement),
accountability for the new material, if classified, shall be established or
adjusted, as appropriate, in the control station accountability records, and
the accountability for the basic document or end item shall be terminated,
provided the residue is unclassified.
g. Dispatch of Classified Material. When classified material is to be
dispatched from the facility, the following rules shall apply.
(1) The proposed transmittal shall be examined to ensure compliance
with the preparation for transmission requirements of paragraph 17.
(2) Receipts, when required by paragraph 17a(1), shall identify
the classified contents, the control station, and the name and address of
both sending and receiving facilities. Receipts shall not contain classi-
fied information. A short title or abbreviation shall be substituted for
a classified title.
(3) A duplicate copy of the receipt shall be retained in a suspense
file until the signed copy is returned. A suspense date (normally not to exceed
30 days) shall be established, and follow-up action shall be initiated, if the
signed receipt is not received within that period. If after the follow-up
action a signed receipt is not returned or the addressee indicates nonreceipt
of the classified material, an inquiry shall be conducted, in accordance with
paragraph 7. Copies of signed receipts for classified material shall be
retained at the control station for a minimum of 2 years.
h. Termination of Accountability.
(1) On notice from the CSO that accountability may be terminated for
classified material determined to be lost after completion of the inquiries
prescribed in paragraph 7, the contractor shall annotate the accountability
records to show the date, reason, and authority for terminating accountability
for the lost material.
(2) If the location or disposition of the material should subse-
quently be determined, the contractor shall immediately submit a report to the
CSO in accordance with paragraph 6a(15), and shall reestablish accountability
for, or indicate correct disposition of, the material on the control station
accountability records.
13. Special Requirements for TOP SECRET.
a. It is mandatory that an up-to-date record be maintained of all
persons who are afforded access to TOP SECRET information. A record shall
be maintained that identifies each item of TOP SECRET material, and shows the
13.
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names of all individuals given access to the-item and the date (or inclusive
dates) on which access by each individual occurred. In the case of employees
whose duties require knowledge of the combination of containers of TOP SECRET
material, the record need only identify the material, the employee(s), and the
period of time during which access was available. Such records shall be
retained in the appropriate control station for a period of 3 years from the
date the material was destroyed, dispatched outside the facility, declassi-
fied, or downgraded. This record requirement also shall apply to those
employees to whom the contractor affords visual or aural access to TOP SECRET
information.
b. The number of persons afforded access to TOP SECRET information
shall be kept to an absolute minimum, and each person shall be individually
warned against disclosing such information to persons whose duties do not
'require knowledge thereof.
c. The contractor shall establish a system to preclude access to TOP
SECRET material by employees working alone. Individuals who require access
to TOP SECRET material shall be accompanied by another TOP SECRET cleared
person, or SECRET cleared person if access to the TOP SECRET material can
realistically be denied, who can ensure that unauthorized access does not
occur, and that the material is not photographed, improperly reproduced,
or removed prior to its return to an approved storage container. This
requirement does not apply to situations when an employee is left alone
briefly during normal working hours. Moreover, when adherence to the
two-person rule would be impractical based on compelling operational
requirements, the CSO is authorized to grant relief on a case-by-case
basis.
d. The dissemination of TOP SECRET information should be effected
orally whenever practical, without the physical transmittal of material.
e. The transmittal of TOP SECRET material shall be covered by a
continuous receipt system both within and outside of the facility.
f. Each copy of a TOP SECRET document shall be numbered in series.
The copy number shall be placed on accountability records and on the
distribution record and receipt for each TOP SECRET document transmitted.
g. Only designated employees in the control station, cleared for
access to TOP SECRET information, shall open incoming TOP SECRET trans-
mittals. Deliveries of TOP SECRET material within the facility shall
be accomplished in accordance with paragraph 17f.
h. An annual inventory and accounting of all TOP SECRET material
shall be conducted in the manner prescribed by paragraph 12b.
i. TOP SECRET material shall be reproduced only with the prior
written authorization of the contracting officer (see paragraph 18a).
j. Transmission of TOP SECRET material outside of the facility
requires the written authorization of the contracting officer (see
paragraph 17b).
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k. Written approval of the contracting officer is required before
disclosing TOP SECRET information to a subcontractor, vendor, or supplier
(see paragraph 59a).
14. Storage.
a. Containers. Contractors shall not be eligible to receive, nor have
possession of, classified material at their cleared facilities, until they
have adequate storage capability. Classified material, when not in actual use
and safeguarded as prescribed in paragraph 16, shall be stored as follows.
(1) TOP SECRET -- Cabinets and Vaults. When not in use, TOP SECRET
material shall be stored in a GSA approved security filing cabinet originally
procured from a FSS supplier 6/ 7/, and bearing a GSA Test Certification Label
or in a Class A vault constructed in accordance with the requirements of
appendix IV 8/.
(2) TOP SECRET -- Supplemental Controls. In addition to the
cabinets and vaults specified in paragraph (1) above, during nonworking hours
the following area controls are required 9/.
6/ Cabinets, contractors, and prices are listed in the FSS (FSC Group 71-Part
III of the GSA, Federal Supply Service). Copies of specifications and sched-
ules may be obtained from any regional office of the GSA.
7/ Security file cabinets conforming to federal specifications bear a Test
Certification Label on the locking drawer attesting to the security
capabilities of the cabinet and lock. Such cabinets manufactured after
February 1962 will also be marked "General Services Administration Approved
Security Container" on the outside of the top drawer. Acceptable tests of
the cabinets shall be performed only by a testing facility specifically
approved by GSA.
8/ When authorized vaults or strongrooms are used for the storage of
classified material, bin or shelf storage methods may be employed
inside the vault or strongroom. In addition, any type of file cabinet
or locking container may be used in the vault or strongroom to provide
internal control over dissemination of the classified information.
9/ Working hours shall, for purposes of this paragraph, be considered as that
period of time when: (i) there is present in the specific area in which
the container is located, a work force on a regularly scheduled shift,
as contrasted with employees working within an area on an overtime basis
outside of the scheduled work shift; and (ii) the number of employees
in the scheduled work force is sufficient in number and so positioned as to
be able tc detect and challenge the presence of unauthorized personnel.
This would, therefore, exclude custodians, maintenance personnel, and other
individuals whose duties require movement throughout the facility.
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? (a) Entry to the room; building,-or structure in which the con-
tainer is located shall be controlled by a properly cleared, authorized employee
or guard stationed so as to control admittance to the room, building, or struc-
ture, or by a lock which provides reasonable protection against surreptitious
entry. and
(b) For the purpose of detecting unauthorized personnel or
attempted illegal entry to the container, the interior of the room, building,
or structure (whichever is controlled in accordance with paragraph (a) above)
in which the container is located shall be patrolled and each container
inspected at least once during each 2-hour period by a guard, one of whose
principal duties is safeguarding classified information, and who is supervised
by a system that provides a written record of the coverage of key points
within the area. or
(c) The room, building, or structure in which the container is
located, or the container itself, shall be equipped with an alarm system as
prescribed in paragraph 35. The response time to an activated alarm shall not
exceed 15 minutes.
(3) SECRET -- Cabinets, Strongrooms, and Vaults. When not in use,
SECRET material shall be stored in a cabinet or vault authorized for the
storage of TOP SECRET, or in a security cabinet, strongroom, or vault as
specified in paragraphs (a) through (g) below.
(a) A GSA approved cabinet originally procured from an FSS
supplier and bearing a GSA Test Certification Label ?f V may be used.
(b) A Class B Vault constructed, in accordance with .the
requirements outlined in appendix IV may be used.
(c) A safe, steel file cabinet, or safe-type steel file
container having an automatic unit locking mechanism and a built-in three-
position dial-type changeable combination lock may be used. (See subparagraph
(4) below.)
(d) A steel file cabinet secured by a steel bar 10/ and a
three-position dial-type changeable combination padlock, listed on the GSA
Qualified Products List as meeting the requirements of Federal Specification
FF-P-110 may be used. Non-FSS three-position dial-type changeable combina-
tion padlocks in use at the present time may remain in use until replacement
is necessary, or additional padlocks are required. (See subparagraph (4)
below.)
(e) A Class C Vault constructed in accordance with the
requirements of appendix IV 8/. (See subparagraph (4) below.)
10/ The keep
welding,
without
be held
open the
ers of the steel lock bar shall be secured to the cabinet by
rivets, or bolts, so that it cannot be removed and replaced
leaving evidence of the entry. The drawers of the container shall
securely, so that their contents cannot be removed without forcing
drawer.
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(f) A strongroom maybe used, provided the strongroom is
supplementally controlled by a regularly scheduled 2-hour guard patrol, or is
equipped with an alarm system as prescribed in paragraph 35, and response time
to an activated alarm shall not exceed 15 minutes. (See paragraph F, appendix
IV, for construction requirements.)
(g) A steel container in a desk pedestal, which encloses the
container on five sides and is riveted or bolted to the desk may be used, pro-
vided the exposed face of the container is secured by a steel bar and a three-
position dial-type changeable combination padlock 10/. (See subparagraph (4)
below.)
(4) SECRET -- Supplemental Controls. In addition to the cabinets
and vaults specified in paragraphs (3)(c), (d), (e), and (g) above, during
nonworking hours the following area controls are required 9/.
(a) Entry to the room, building, or structure in which the
container is located shall be controlled by a properly cleared, authorized
employee or guard stationed so as to control admittance to the room, building,
or structure, or by a lock that provides reasonable protection against sur-
reptitious entry; or by a properly cleared guard stationed at each unsecured
perimeter entrance to a complex 11/ that is enclosed by a physical barrier,
and provided further that the area is patrolled adequately to provide
reasonable opportunity to detect unauthorized personnel. and
(b) For the purpose of detecting unauthorized personnel or
attempted illegal entry into the room, building, or structure (whichever
is controlled in accordance with paragraph (a) above) in which the container
is located, the area shall be patrolled at least once during each 4-hour
period by a properly cleared, authorized employee or guard. One of this
employee's or guard's duties must be safeguarding classified information and
he or she must be supervised by a system that provides a written record of the
coverage of key points within the area. or
(c) The room, building, or structure in which the container
is located, or the container itself, shall be equipped with an alarm system,
as prescribed in paragraph 35, and the response time to an activated alarm
shall not exceed 15 minutes.
(5) CONFIDENTIAL -- Cabinets, Strongrooms, and Vaults. When not in
use, CONFIDENTIAL material shall be stored in the same manner as TOP SECRET or
SECRET material; however, supplemental controls are not required.
b. Bulky Material. When it is impractical to store classified material
because of its nature, size, or unique characteristics, in accordance with
paragraph a above, the contractor shall safeguard such material by control of
11/ A complex is a facility or any element thereof which consists of one or
more buildings or structures physically enclosed within a common perimeter
barrier supplemented by protective measures, which prevent unauthorized
access and control authorized access.
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the area in which it is-located, to the extent required by section IV. If
it is impractical to safeguard the material in accordance with Section IV,
the contractor shall develop appropriate alternative control procedures and
provide them to the cognizant security office for approval.
c. Supervision of Storage Containers. Only a minimum number of
authorized persons shall possess the combinations to the storage containers or
have access to the information stored therein. To facilitate investigation of
a container found open and unattended, a record shall be maintained of the
names and addresses of persons having knowledge of the combination. Cabinets,
vaults, and other containers in which classified material is stored shall be
kept locked, when not under the direct supervision of an authorized person
entrusted with the combination or the contents. In the case of a one-person
facility, the management official shall inform the CSO of the combination of
the container. The combination shall be classified, in accordance with
paragraph 5i, shall be placed in a sealed envelope marked, "to be opened upon
death or incapacitation of (name of management official)," and shall be
transmitted to the CSO, in accordance with paragraph 17. In addition,
conspicuously displayed on the outside of the container shall be a notice to
contact the CSO, prior to opening or moving the container. This notice shall
contain the mailing address of and an appropriate telephone number at the CSO.
The above provisions pertaining to one-person facilities do not apply to
cleared one-person facilities of an MFO. For such facilities, provisions
should be made in the HOF SPP for affixing an appropriate notice on the
outside of the cabinet, and for furnishing the combination to the FSO of the
HOF who shall be identified as the official to contact rather than the CSO.
d. Protection During Nonworking Hours. Unless specified in a UA con-
tract, a contractor shall not be required to establish additional controls
over classified material stored in accordance with paragraph a above.
e. Removal to Residence. Although the contractor may have provided for
adequate storage facilities at the respective residences of his officers,
directors, and other employees, removal of classified materials to such dwell-
ings for "after hours" work as a convenience to such persons is not authorized.
These facilities, provided they meet the requirements of this manual, may be
utilized for temporary storage purposes only in connection with authorized
travel when the individual, in order to accomplish the objectives of the trip,
is authorized to carry classified material as prescribed in paragraph 17h, or
in other cases of necessity on approval by an official of the facility who
was cleared in connection with the granting of the FCL. In no case will TOP
SECRET material be removed to a private residence without: (i) the written
authorization of the contracting officer in accordance with paragraph 17b, and
(ii) approval of the CSO as to the security controls to be maintained over the
TOP SECRET material while it remains outside of the facility.
f. Repair of Damaged Security File Cabinets. Neutralization of lock-
outs or repair of any damage which affects the integrity of a security file
cabinet approved for storage of classified information shall be accomplished
only by appropriately cleared or continuously escorted personnel specifically
trained in approved methods of maintenance, neutralization of lockouts, and
repair of perforations.
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(1) A GSA approved security file cabinet is considered to have been
restored to its original state of security integrity if:
(a) all damaged or altered parts (for example locking drawer and
drawer head) are replaced with manufacturer's replacement or identical canni-
balized parts, or
(b) when a container has been drilled immediately adjacent to
or through the dial ring to neutralize a lockout, the replacement lock is
equal to the original equipment and the drilled hole is repaired with a tapered
casm-hardened steel rod (for example, dowel and drill bit) with a diameter
slightly larger than the hole, and of such a length that when driven into the
hole there shall remain at each end of the rod a shallow recess of not less
than 1/8 inch deep, nor more than 3/16 inch, to permit the acceptance of
substantial welds, and be 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 part (for example, new lock.)
(2) If damage to a GSA approved or other approved security file
cabinet is repaired with welds, rivets, or bolts, which cannot be removed and
replaced without leaving evidence of entry, the cabinet thereafter may be used
for storage of CONFIDENTIAL material or SECRET material with supplemental
controls as outlined in paragraph 14(a)4. If the damage is repaired using
methods other than those specified in paragraph (1) above or this paragraph,
use of the cabinet shall be limited to unclassified material.
g. Damage to Approved File Cabinets 7/. A list shall be maintained
by the FSO of all approved file cabinets which have sustained damage other
than normal marring or scratching from use. Each cabinet listed shall be
identified by giving its location and a description of the damage. There
shall also be on file a signed and dated certification, provided by the
repairer, setting forth the method of repair used. The list and certification
shall be retained for the life of the file cabinet and shall be available for
review during recurring security inspections. Each such cabinet shall have a
label posted on the inside of the top drawer to indicate the highest category
of classified material which may be stored therein. If the damage affects the
integrity of a GSA approved cabinet, the GSA Approved Security Container Label
and the GSA Test Certification Label shall be removed. However, these labels
may be retained by the FSO for a period of 30 days for those GSA approved
cabinets designated for repair to restore their original integrity. If
integrity is not restored within 30 days, the labels shall be destroyed.
When a GSA approved cabinet is repaired in accordance with --
(1) Paragraph f(1)(a) above, the replacement locking drawer will
have its GSA Test Certification Label affixed. In this case the retained GSA
Approved Security Container Label shall be affixed to the outside of the top
drawer and the retained GSA Test Certification Label shall be destroyed.
(2) Paragraph f(1)(b) above, the retained GSA Approved Security
Container Label shall be affixed to the outside of the top drawer, and the
GSA Test Certification Label shall be affixed to the inside of the locking
drawer.
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15. Alternate Storage Locations.
a. General. Material classified no higher than SECRET, requiring
protection in the interest of national defense and essential to continuity of
production operations, may be duplicated and stored in an alternate location,
provided the contracting officer approves the use of such storage for informa-
tion pertaining to the contract. The provisions of section VI shall apply to
the procurement of this service. Acceptable alternate storage locations are
cleared facilities of: (i) a parent, a subsidiary, or another facility of a
MFO; (ii) a bank offering safe deposit box/vault facilities; or (iii) a
company providing a protective storage service.
b. Security Clearance Requirements. The alternate storage location
shall be a cleared facility. PCL requirements will depend on the type of
service provided. Where the alternate storage facility is required to provide
both secure storage and other services requiring access to the classified
information, PCL's are required for employees whose duties will involve access
to the classified material or responsibility for providing security protection
for the classified material. When the facility is to provide only secure
storage space, PCL's are required only for those personnel whose duties
involve responsibility for security protection of the classified material.
c. Records. When the alternate storage facility provides both secure
storage and file service for the classified information, all of the security
requirements prescribed in this manual shall apply. When the alternate storage
facility provides only secure storage service, accountability for the alternate
files shall be maintained on a separate record by the facility which deposits
the material.
d. Containers. When the services of a bank are utilized, safe deposit
boxes will be considered equivalent to FSS security cabinets, provided the
prime contractor:
(1) controls the keys to the safe deposit box in the same manner
that combinations to storage containers are safeguarded, in accordance with
paragraph 5i;
(2) utilizes only cleared employees, whose signatures are on file
with the bank, to deposit and remove classified material; and
(3) ensures that established procedures preclude access to the
classified information by employees of the bank.
16. Safeguards During Use. Classified materials, when not safeguarded as
provided for in paragraphs 14a or b, or 34, and when in actual use by author-
ized personnel, shall be protected as follows:
a. kept under the constant surveillance of an authorized person, who is
in a physical position to exercise direct security controls over the material;
b. covered, turned face down, placed in storage containers, or
otherwise protected, when unauthorized persons are present; and
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c. returned to storage containers as soon as practical after use.
17. Transmission.
a. Preparation for Transmission of TOP SECRET, SECRET, and CONFIDENTIAL
Material.
(1) Outside of a Facility. TOP SECRET, SECRET, and CONFIDENTIAL
material to be transmitted outside of a facility shall be enclosed in opaque
inner and outer containers, except as provided for in paragraph (b), (c), or
(d) below. If the classified material is printed or written, and is of
such size as to permit the use of envelopes for wrapping, the classified
information shall be protected from direct contact with the inner container by
a cover sheet or by folding inward. Except as indicated in paragraph (e)
below, the inner container shall be addressed, return addressed, carefully
sealed, and shall be plainly and conspicuously marked with the classification
of the contents and, if appropriate, with the notations required by paragraphs
11b(8), 88a, and 123. The outer container shall be addressed, return addressed,
and carefully sealed with no markings or notations to indicate that the contents
are classified. If the outer container is not sufficiently opaque to prevent
the classification markings on the inner cover from being visible, the inner
container shall be wrapped with sufficient paper to conceal the markings. If
the classified material is of a size, bulk, weight, or nature which precludes
wrapping as described above, materials used for the packaging shall be of
such strength and durability as to provide protection while in transit. To
prevent items from breaking out and to facilitate the detection of tampering
with the container, the following will be used, whenever practical: seals,
kraft paper, kraft tape laminated with asphalt and containing rayon fibers
(snake type) or nylon sensitive tape, puncture resistant material, wire mesh,
or other knife-slash resistant material. As long as the material is enclosed
in a double container, the material may be wrapped or boxed in paper, wood,
metal, or a combination thereof. When transmitting TOP SECRET and SECRET
material the inner container shall contain a receipt form which identifies
the addressor, the addressee, and the contents by unclassified or short
title. Where this is not practical, the receipt shall be sent to the pro-
posed recipient with the advance notice of shipment required by paragraphs
c(5)(c) and d(3)(d) below, or hand-carried by a responsible employee
designated to accompany the classified shipment to its destination. When
transmitting CONFIDENTIAL material, a receipt form is not required. Special
provisions for the packaging of classified material are as follows.
(a) The transmission of written materials of different classi-
fications, for example, the inclusion of CONFIDENTIAL and UNCLASSIFIED with
SECRET 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, and the receipt
required by paragraph (1) above, shall be enclosed. The inner envelope or
container shall be marked with the highest classification of its contents.
(b) If the classified material is an internal component of a
packageable item of equipment with an outside shell or body, which is not
classified and which completely shields the classified aspects of the item
from view, the shell or body may be considered as the inner container.
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(c) If the classified material is an inaccessible internal com-
ponent of a bulky item of equipment that is not reasonably packageable, such
as a missile, the outside shell or body of the item may be considered as the
outer container, provided the shell or body is not classified.
(d) If the classified material is an item of equipment that is
not reasonably packageable and the shell or body is classified, it shall be
draped with an opaque covering that will conceal all classified features. Such
coverings must be capable of being secured so as to prevent inadvertent expo-
sure of the item.
(e) Specialized shipping containers, including closed cargo
transporters, may be used in lieu of the above packaging requirements. In
such cases the container may be considered to constitute the outer container.
(f) The address may be omitted from the inner and outer
container for shipment in full truckload lots, when such an exception is
contained in the provisions of the contract. The DAR requires that complete
consignment and marking instructions, to the extent known at the time the
contract is awarded, be included in the contract to assist in ensuring
delivery of items to proper destinations without delay. It further requires
that additional consignment instructions be furnished to the contractor as
soon as they became known. Under no circumstances will the outer container,
or the shipping document attached to the outer container, reflect the
classification of the contents or the fact that the contents are classified.
(2) Additional Requirements for SECRET Material to be Shipped by
Commercial Carrier 12/. SECRET material to be transmitted outside a facility
by commercial carrier shall be prepared for transmission to afford additional
protection against pilferage, theft, and compromise. Specific provisions for
shipment of SECRET material are as follows.
(a) Except as authorized in paragraph 17a(1), SECRET material
shall be shipped in hardened containers (see paragraph 3as), unless specifi-
cally authorized otherwise by the contracting officer or his or her designated
representative.
at his or
exclusive
carrier's
indicated
annotated
(b) Carrier equipment shall be sealed by the shipper, or
her direction, when there is a full carload, a full truckload,
use of the vehicle, or a closed and locked compartment of the
equipment is used. The seals shall be numbered and the number
on all copies of the BL. When seals are used, the BL shall be
substantially as follows:
12/ Commercial carriers have been issued instructions in the "Carrier
Supplement to Industrial Security Manual for Safeguarding Classified
Information," DoD 5220.22-C applicable to their responsibilities for
transmissions of SECRET controlled shipments.
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DO NOT BREAK SEALS EXCEPT IN CASE OF EMERGENCY OR UPON PRIOR
AUTHORITY OF THE CONSIGNOR OR CONSIGNEE. IF FOUND BROKEN OR
IF BROKEN FOR EMERGENCY REASONS, APPLY CARRIER'S SEALS AS SOON
AS POSSIBLE AND IMMEDIATELY NOTIFY BOTH THE CONSIGNOR AND THE
CONSIGNEE.
(c) The notation "Protective Security Service Required" 13/
shall be reflected on all copies of the BL. The BL will be maintained in a
suspense file to follow up on overdue or delayed shipments.
(3) Within a Facility. TOP SECRET, SECRET, and CONFIDENTIAL
material shall be prepared for transmission within a facility in such manner
as to ensure a degree of security protection adequate for the method of trans-
mission to be used, using guidance contained in paragraph (1) above. Material
does not require double wrapping for intraplant transmission. However, in all
cases, adequate measures shall be taken to protect against unauthorized
disclosure of classified information.
b. Method of Transmission of TOP SECRET Material Outside a Facility.
When a contractor is authorized in writing, by the contracting officer or his
or her designated representative, TOP SECRET material may be transmitted by:
(i) specifically designated escort or courier cleared for access to TOP SECRET
information (military, U.S. civilian employee, or a responsible employee desig-
nated by the contractor, except that the contractor employee shall not carry
classified material across international boundaries); (ii) Armed Forces Courier
Service, in accordance with the instructions of the contracting officer; and
(iii) by electrical means in a CRYPTOSYSTEM approved for encryption of TOP
SECRET information. Under no circumstances shall TOP SECRET material be
transmitted through the U.S. or company mail channels.
c. Method of Transmission of SECRET Material Outside a Facility.
SECRET material shall be transmitted by one of the following means within and
between the U.S., Puerto Rico, or a U.S. possession or trust territory.
(1) SECRET material shall be transmitted by one of the means
established for TOP SECRET.
(2) SECRET material shall be transmitted by U.S. Registered Mail,
including U.S. Registered Airmail, through U.S. civil postal facilities or
Army, Navy, or Air Force postal facilities. Addresses may be obtained from
the "DoD Activity Address Directory," DoD 4000.25-0 (a reference copy is
located at the CSO), or from the ACO/PCO. A copy of DoD 4000.25-D may also be
tiurchased from the GPO.
(3) SECRET material shall be transmitted by appropriately cleared
employees of the contractor who have been designated as couriers or escorts
13/ In such cases the SECRET shipment shall be routed via a cleared commercial
carrier under a tariff, tender, or contract that provides PSS in accord-
ance with the DoD 5220.22-C.
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and briefed in their responsibilities by a responsible official delegated
authority in such matters in the facility SPP. When couriers or escorts are
used, the SECRET material must remain in their personal custody and control
at all times (see paragraph 17h). The commercial conveyance used by the
courier or escort is not required to have an FCL. (See Appendix IX for use
of escorts for classified shipments and Appendix X for hand-carrying of
classified material aboard commercial passenger aircraft).
(4) SECRET material shall be transmitted by electrical means over
approved CRYPTOGRAPHIC communication circuits (telephone, wire, radio,
or an intercommunication system), including computer data, but only with the
prior written approval and in accordance with the instructions of the con-
tracting officer.
(5) SECRET material shall be transmitted by commercial carriers 14/
(air or surface) only when the size, bulk, weight, nature of the shipment,
shipping costs, or escort considerations make the use of the foregoing methods
impractical. Only qualified carriers (see paragraph 3bs) will be used for the
transmission of SECRET material. When the services of a commercial carrier
are required, the contractor as consignor shall be responsible for the fol-
lowing.
(a) The contractor shall utilize a qualified carrier selected by
the U.S. Government that will provide a single line service from point of origin
to destination, when such service is available, or by such transshipping pro-
cedures as may be specified by the U.S. Government. and
(b) The contractor shall request routing instructions, including
designation of a qualified carrier, from the contracting officer or designated
representative (normally the government transportation officer.) The request
shall specify that the routing instructions are required for the shipment of
SECRET material via Protective Security Service (D0 NOT ABBREVIATE THIS) and
include the point of origin and point of destination. or
(c) As an exception to the general requirements enunciated
above, if time is of the essence and the total shipment weighs less than 200
pounds gross, the contractor, as consignor, may make arrangements directly
with a cleared commercial carrier to provide PSS for the transporting of
the SECRET shipment when a CBL is to be used. This exception may not be
utilized for COMSEC or SENSITIVE COMPARTMENTED INFORMATION material without
the approval of the PCO. Under this exception the contractor must specify
to the commercial carrier that SECRET material is to be shipped and that PSS
is required. The points of origin and destination must also be provided.
Verifications of the clearance of the commercial carrier and the fact that it
provides PSS are to be obtained from the CSO of the HOF of the carrier prior
to release of any classified material. and
14/ Commercial carriers may be used only within and between the 48 contiguous
States and the District of Columbia or wholly within Alaska, Hawaii, Puerto
Rico, or a U.S. possession or trust territory.
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(d) The contractor shall notify the consignee (including
U.S. Government transshipping activity) of the nature of the shipment, the
means of the shipment, numbers of the seals, if used, and the anticipated
time and date of arrival by separate communication at least 24 hours in
advance (or immediately on dispatch if transit time is less than 24 hours)
of the arrival of the shipment, in order that the consignee may take
appropriate steps to receive and protect the shipment. This notification
shall be addressed to the appropriate organizational entity in the same
manner as provided in paragraph 17k and not to an individual. Request the
consignee activity (including a military transshipping activity) to notify
the consignor of any shipment not received within 48 hours after the
estimated time of arrival indicated by the consignor. In addition, the
consignor shall annotate the BL: "CARRIER TO NOTIFY THE CONSIGNOR AND
CONSIGNEE (Telephone Numbers) IMMEDIATELY IF SHIPMENT IS DELAYED BECAUSE
OF AN ACCIDENT OR INCIDENT. IF NEITHER CAN BE REACHED, CONTACT (Enter
appropriate HOTLINE Number from Appendix XV). USE HOTLINE NUMBER TO
OBTAIN SAFE HAVEN OR REFUGE INSTRUCTIONS IN THE EVENT OF A CIVIL DISORDER,
NATURAL DISASTER, CARRIER STRIKE OR OTHER EMERGENCY." On receipt of a
report from either the consignor or the carrier, the consignor shall
immediately request the carrier to trace the shipment and shall notify his
or her CSO of the delay in the delivery of the classified material and the
circumstances as known to the consignor. Subsequent developments concern-
ing the delayed shipment shall also be reported to the CSO. A copy of the
report shall be submitted to the contracting officer concerned or his or
her designated representative. The consignee, consignor, and carrier are
required to take similar inquiry and reporting action if a shipment is
received with broken seals, or the numbers on the seals do not match those
on the advance notice of shipment.
(6) SECRET material shall be transmitted by a commercial messenger
service which has been granted a SECRET FCL and is engaged in the intra-
city/local area delivery (same day delivery only) of classified material
between cleared contractors, or between cleared contractors and a UA and/or
the U.S. Post Office. Transmission of COMSEC information and SENSITIVE
COMPARTMENTED INFORMATION will not be released to a commercial messenger
service without contracting officer approval.
(7) SECRET material shall be transmitted by such other methods
directed through specific instructions from the contracting officer or his or
her designated representative, because of special considerations or the nature
of the shipment (for example, explosives, high priority items, nuclear weapons
or direct shipments between military installations) 15/.
d. Method of Transmission of CONFIDENTIAL Material Outside a Facility
15/. Such material shall be transmitted by one of the following means within
and between the U.S., Puerto Rico, or a U.S. possession or trust territory.
15/ When a shipment by truck is contemplated for classified CM (CONFIDENTIAL
or SECRET), the contracting officer Will issue specific shipping
instructions requiring a driver holding a final SECRET clearance in
. addition to the military escorL normally provided for such shipments.
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(1) One of the means established for SECRET in paragraphs c(1),
(2), (3), (4), (6), and (7) above 14/ may be used.
(2) U.S. Express Mail 16/ or U.S. Certified Mail for CONFIDENTIAL
material may be used. However, U.S. Registered Mail shall be used for trans-
mittal of such material between any of the following points: the CONUS,
Alaska, Hawaii, Puerto Rico, or a U.S. possession or trust territory.
Addresses may be obtained from the "Department of Defense Activity Address
Directory," DoD 4000.25-D (a reference copy is located at the CSO), or from
the ACO/PCO. A copy of the DoD 4000.25-D may be purchased from the GPO.
(3) A commercial carrier 14/ (air or surface) may be used only
when the size, bulk, weight, nature of the shipment, shipping costs, or
escort considerations make the use of the foregoing methods impractical.
The commercial carrier must be authorized by law, regulatory body, or
regulation to provide the required transportation service and a determina-
tion must be made by MTMC that the carrier has a tariff, government tender,
agreement, or contract that provides a CSS. A FCL is not a requirement.
The foregoing information may be obtained from the contracting officers
or their designated representatives. In addition to the aforementioned
coordination with the contracting officers or their designated represen-
tatives, the contractor, as consignor shall:
(a) utilize containers of such strength and durability as
to provide security protection to prevent items from breaking out of the
container and to facilitate the detection of any tampering with the container
while in transit;
(b) indicate on the BL, "Constant Surveillance Service
Required" -- in addition, the consignor shall annotate the BL: "CARRIER
TO NOTIFY THE CONSIGNOR AND CONSIGNEE (Telephone Numbers) IMMEDIATELY IF
SHIPMENT IS DELAYED BECAUSE OF AN ACCIDENT OR INCIDENT. IF NEITHER CAN BE
REACHED CONTACT (Enter appropriate HOTLINE number from Appendix XV). USE
HOTLINE NUMBER TO OBTAIN SAFE HAVEN OR REFUGE INSTRUCTIONS IN THE EVENT OF
A CIVIL DISORDER, NATURAL DISASTER, CARRIER STRIKE OR OTHER EMERGENCY;"
(c) instruct the carrier to ship packages weighing less than
200 pounds gross in a closed vehicle or a closed portion of the carrier's
equipment; and
(d) notify the consignee (including a U.S. Government trans-
shipping activity) of the nature of the shipment, the means of shipment, and
the anticipated date and time of arrival by separate communication at least 24
16/ U.S. Express Mail is a premium mail service consisting
and regular service. The service is intended for, but
by, the business mailer or other large volume users of
service is a high-speed intercity delivery system that
the requirement to hand-carry CONFIDENTIAL material in
notice. Additional information is available through a
customer service representative regarding the specific
available.
of both programmed
not limited to use
the mails. The
usually can negate
cases of short
local postal
options that are
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hours in advance (or immediately on dispatch if transit time is less than 24
hours) of the arrival of the shipment in order that the consignee may take
appropriate steps to receive and protect the shipment. This notification
shall be addressed to the appropriate entity in the same manner as provided
in paragraph 17k and not to an individual. Request the consignee (including
a military transshipping activity) to notify the consignor of any shipment
not received within 48 hours after the estimated time of arrival indicated by
the consignor. On receipt of such notice, the consignor shall immediately
request the carrier to trace the shipment and shall notify his or her CSO, in
accordance with paragraph 6a(10), of the delay in the delivery of the classi-
fied material and the circumstances as known to the consignor. Subsequent
developments concerning the delayed shipment shall also be reported to the
CSO. A copy of the report shall also be submitted to the contracting officer
concerned or his or her designated representative, for forwarding to the MTMC.
e. Method of Transmission of SECRET and CONFIDENTIAL Material Outside
of Areas Enumerated in Paragraphs 17c and d. SECRET and CONFIDENTIAL material
shall be transmitted only under the provisions of the contract or with the
written authorization of the contracting officer. However, when the classified
material had previously been authorized for export under a State Department
license or letter, the contractor shall notify the contracting officer of the
classified material to be transmitted outside of the areas enumerated in para-
graphs c and d above. A'contractor shall not transmit classified material
directly to a foreign government or firm. The only exception to this would be
when a foreign government, with whom the U.S. has entered into a reciprocal
agreement pertaining to the filing of classified patent applications in the
respective countries, has authorized its U.S. patent agent to return its
foreign classified information directly to that foreign government. Except
as noted above, transmission shall take place between the contractor and a
designated U.S. Government representative for forwarding to the foreign
activity. This is known as transmission by government-to-government channels.
Transmittal arrangements shall be made by the CSO, when the foreign firm or
government has awarded a contract to the U.S. contractor. When authorized,
SECRET and CONFIDENTIAL material shall be transmitted by one of the following
means.
(1) SECRET and CONFIDENTIAL material shall be accompanied by a
contractor employee, courier or escort, who is cleared for access to the
classified information involved and who has been designated by the contractor,
provided: (i) the classified material is not transported across international
borders (this does not preclude use of regularly scheduled nonstop flights on
U.S. carriers between the U.S. mainland and Alaska, Hawaii, Puerto Rico, or
U.S. possessions or trust territories); (ii) time limitations do not permit
the use of U.S. Government channels; (iii) an appropriate courier or escort
authorization is issued to the employee; (iv) the transmission is begun and
completed during normal daytime duty hours of the same day and is by surface
means only and within the national borders of the country within which the
transmission takes place; and (v) the employee can comply with the specific
security instructions for the safeguarding of classified material involved;
that is, storage at a U.S. Government installation within the country
concerned.
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(2) SECRET.and CONFIDENTIAL material shall be accompanied by a
U.S. Government civil service employee or military person who is cleared for
access to the level of the classified information involved and who has been
designated by the contracting officer. (Appropriately cleared officers of
the Department of Navy, Military Sea Transportation Service Civilian Marine
Personnel, may also be designated as escorts by the contracting officer.)
Foreign carriers may not be utilized, unless the designated escort has con-
tinuous physical control of the material being transported.
(3) SECRET and CONFIDENTIAL material shall be transmitted by
registered mail through U.S. Army, Navy, or Air Force postal facilities. If
the intended recipient is not authorized to receive classified material through
APO channels, arrangements shall be made with an activity which is so authorized
to receive and hold the classified material pending pickup by the intended
recipient.
(4) SECRET and CONFIDENTIAL material shall be transmitted by U.S.
and Canadian registered mail with registered mail receipt to and from Canada
in accordance with instructions from the contracting officer and via a U.S. or
a Canadian government activity.
(5) SECRET and CONFIDENTIAL material shall be transmitted by Armed
Forces Courier Service in accordance with specific instructions from the
contracting officer.
(6) SECRET and CONFIDENTIAL material shall be transmitted in
accordance with specific instructions from the contracting officer, whenever
the nature of the classified shipment does not lend itself to transmission by
any of the above methods. In such cases, the procedures for advance notice to
consignee, reporting of delayed receipt, and so on set forth in paragraph
c(5)(d) above apply.
f. Method of Transmission of TOP SECRET, SECRET, and CONFIDENTIAL
Material Within a Facility. This material shall be transmitted within a
facility by a responsible employee designated by the contractor who has been
cleared for access to the category of classified information involved. Also,
a responsible subcontractor guard who is employed on a full-time basis at the
facility, possesses an appropriate PCL, and has been designated and briefed by
the contractor, may be utilized to transmit SECRET and CONFIDENTIAL material.
The classified material shall remain under the direct surveillance of the
designated individual at all times. This material may be transmitted by
electrical means over approved CRYPTOGRAPHIC communications circuits with the
prior written approval and in accordance with instructions of the contracting
officer, or other approved circuits with the prior written approval of the CSO.
g. Reserved.
h. Protection En Route by Contractor Employees. When employees desig-
nated by the contractor are used to transmit or carry classified material, the
storage provisions of paragraph 14 shall apply at all stops en route to
destination, unless the material is retained in the personal possession of the
employee at all times. This involves constant surveillance by the employee
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who is in a physical position to exercise direct security controls over the
material. The hand-carrying of classified material on trips that involve
an overnight stopover is not permissible, unless arrangements are made in
advance of departure for overnight storage of the hand-carried classified
material at a U.S. Government installation or a cleared contractor facility.
The hand-carrying of classified material shall not be authorized when there
is doubt as to whether the material can be properly handled and protected.
Additional special requirements for hand-carrying classified material aboard
commercial passenger aircraft are contained in Appendix X.
i. Additional Protection in Connection With Visits. When classified
material, other than TOP SECRET, is required on a visit, such material shall
be addressed by the contractor to his or her employee making the visit and
shall be transmitted to the destination being visited, to be held for the
employee, in accordance with paragraphs c(2) or d(2) above. This method
also shall be used for the return of the material. However, if contractors
determine that time limitations do not permit mailing materials required during
visits, they may authorize the employees concerned to carry the classified
material, subject to the provisions of paragraph h above. An inventory of the
material shall be made prior to departure and retained at the control station.
A copy of the 'inventory shall be carried by the employee. Only that
classified material absolutely essential to the purpose of the visit may be
carried by the employee. On the employee's return from the visit, an
inventory shall be made of the material for which he or she is charged. If,
in connection with the purpose of the visit, classified material is not
returned to the facility, a receipt shall be obtained and the transaction
shall be recorded in the records of the control station, in accordance with
paragraph 12. However, should there be a need to leave CONFIDENTIAL material
at the facility visited, a receipt is not necessary, except if otherwise
required in accordance with paragraph 12.
j. COMSEC Information. Classified COMSEC information shall be
transmitted as prescribed in the "COMSEC Supplement to Industrial Security
Manual for Safeguarding Classified Information" (CSISM), DoD 5220.22-S-1.
k. Addressing Mail or Shipments of Classified Material. Except as
provided below, mail or shipments containing classified material shall be
addressed to the Commander or Head of the UA activity or installation
(Commander, Commanding Officer, Director, TO, or similar designation) or
to the cleared facility concerned, using the appropriate business name and
address, and not to an individual. This does not prevent use of office code
letters or numbers, or such phrases in addition to the address as, "ATTN:
Research Dept.," or similar aids in expediting internal routing.
(1) When it is considered desirable or appropriate to direct SECRET
or CONFIDENTAL material to the attention of a particular employee of a facility
or UA, other than to a consultant as prescribed below, the identity of the
intended recipient shall be indicated on an attention line on the inner con-
tainer or on an attention line placed in the letter of transmittal. If such
mail is to be delivered directly to the specified employee, a procedure shall
be established to ensure that all classified enclosures are promptly entered
into the facility's document control system in accordance with paragraph 12.
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(2) When transmitting SECRET or CONFIDENTIAL material to an
individual operating as a cleared facility or engaged as a Type B or C
Consultant, or to any facility at which only one employee is assigned, the
contractor shall specify on the outer container: "TO BE OPENED BY ADDRESSEE
ONLY." Further, the outer container shall be annotated: "Postmaster -- Do
Not Forward. If undeliverable .to Addressee, Return to Sender." Postal
regulations allow "Restricted Delivery" mail to be delivered to the addressee
or to an agent the addressee has authorized in writing to receive "Restricted
Delivery" mail. In all such instances, only appropriately cleared personnel
shall be designated as agents for the addressee. Type C Consultants shall
make arrangements to ensure that all incoming U.S. Certified Mail, U.S.
Registered Mail, and U.S. Express Mail addressed to them in their capacity as
independent consultants is delivered unopened to them personally through their
employer's mail distribution system before entering it into their employer's
document control system.
1. RESTRICTED DATA and FORMERLY RESTRICTED DATA. RESTRICTED DATA and
FORMERLY RESTRICTED DATA shall not be transmitted or otherwise made available
to any regional defense organization or foreign government, except under the
provisions of the Atomic Energy Act of 1954, as amended, and in accordance
with instructions issued by the contracting officer concerned.
18. Reproduction. All reproductions of classified material shall be marked
or stamped with the same classification as the original. Only sufficient
copies necessary to meet operational requirements shall be prepared, and
reproductions shall be destroyed, if otherwise proper, as soon as they have
served their purposes. Reproduction of classified material shall be made only
on equipment specifically designated for the reproduction of classified
material. Rules governing the use of such designated equipment will be
conspicuously posted on or near the equipment. Further, appropriate warning
notices prohibiting reproduction of classified material shall be posted on or
near equipment used only for the reproduction of unclassified material.
a. Reproduction by Authorization Only. The contractor shall not make
nor permit to be made without prior written authorization of the contracting
officer, or his or her designated representative, any photograph or other
reproduction of TOP SECRET information, SECRET information (when specifically
prohibited), or CRYPTO information, regardless of classification, for any
purpose. However, if the contract is for a TOP SECRET, SECRET, or CRYPTO
report, then additional reproduction authority is not necessary. (See
paragraph 87a regarding restrictions on the reproduction of COSMIC TOP SECRET
information.) In addition, TOP SECRET and SECRET material originated by the
DOE or its contractors may be reproduced only with the consent of the
originator or higher authority within the responsible DOE activity.
b. Reproduction Not Requiring Authorization. The contractor may
reproduce, without prior authorization of the contracting officer, non-
CRYPTO information classified SECRET (unless specifically prohibited) or
CONFIDENTIAL, when such reproduction is essential to the:
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(1) performance of the contract,
(2) preparation of a solicited or unsolicited bid, quotation, or
proposal to a UA of the U.S. Government or another authorized contractor for
U.S. Government work,
(3) correspondence in connection with the contract, and
(4) preparation of patent application to be filed in the U.S.
Patent Office. (This paragraph shall not be deemed to authorize the filing of
patent applications, and such applications shall not be filed, except as
specifically provided in the contract).
c. Records. The contractor shall maintain a record of the number of
copies of all TOP SECRET, SECRET, and CRYPTO material, regardless of classifi-
cation, that is reproduced. Reproduction records shall be retained by the
contractor, for a minimum of 3 years for TOP SECRET, CRYPTO, or other special
access material and for a minimum of 2 years for SECRET, and shall be incor-
porated in the control station records required by paragraph 12.
d. Additional Markings. When reproducing classified material, any
additional marking shown on the original shall be shown on all reproductions.
19. Destruction.
a. Requirement for Destruction. The contractor shall establish a
program for the review of classified material for the purpose of reducing
to an absolute minimum the quantity on hand at any given time. With the
exception of information listed in paragraph b below, contractors shall
destroy classified material in their possession as soon as practical, after
it.has served the purpose for which it was:
(1) released by the government,
(2) developed or prepared by the contractor, and
(3) retained after completion or termination of the contract.
b. Disposition by Specific Authorization. COSMIC TOP SECRET
material (see paragraph 85c(2)) shall not be destroyed, but shall be
returned to the contracting officer or his or her designated representa-
tive. Accountable COMSEC classified material shall be destroyed only when
destruction is authorized in writing by an appropriate government official.
In all instances where specific instructions have been issued by the
contracting officer, such instructions will dictate the disposition to be
accomplished.
- c. Methods of Destruction. Classified material shall be destroyed by
burning or, with the written approval of the CSO, by shredding, pulping,
melting, chemical decomposition, mutilation, or pulverizing (for example,
hammer mills, choppers, and hybridized disintegrating equipment). The
destruction process must be sufficient to preclude recognition or recon-
struction of the classified information. The SPP shall: include specific
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instructions which apply to the method .of destruction, and Shall incorporate
instructions provided by the CSO. As applicable, the following additional
requirements must be satisfied when classified material is destroyed.
(1) Public incinerators may be used only with the prior approval
of, and under conditions prescribed by, the CSO.
(2) If the classified material is removed from the facility for
destruction, it shall be destroyed on the same day it is removed.
(3) Ash residue produced by burning is to be examined and reduced
by physical disturbance. If unburned material is found, the material shall be
reprocessed for destruction.
(4) Only crosscut shredders producing residue particle size not
exceeding 1/32 inch in width (with a 1/64 inch tolerance) by 1/2 inch in
length, shall be used for destruction of classified paper and non-paper
products except microform material (see (7) below). Classified material
shall be shredded in sufficient quantity and type of material to preclude
reconstruction or recognition of the material being destroyed. When TOP
SECRET material is shredded, a minimum of 20 pages of similar type, media, and
print shall be destroyed at one time and the residue mixed in one container.
(5) Only paper-based products may be destroyed by pulping. High
wet strength paper, paper mylar, durable-medium paper substitute, or similar
water repellent type papers are not sufficiently destroyed by pulping; other
methods such as disintegration, shredding, or burning shall be used to destroy
these types of papers.
(6) When classified material is destroyed by either pulping or
pulverizing, the equipment shall be equipped with security screens that do
not exceed the following specifications:
(a) The security screen for pulping equipment shall have
perforations of 1/4 inch or smaller.
(b) Security screens for pulverizers shall meet the following
specifications:
1 shall not exceed 3/16 inch in diameter for hammer
mills.
2 shall not exceed 3/32 inch in diameter for choppers and
hybridized disintegrators.
(7) Classified material in microform: that is, microfilm,
microfiche or similar high data density material shall be destroyed by
burning, chemical decomposition or other methods as approved by the CSO.
(8) Procedures shall be established to ensure compliance with the
manufacturer's instructions for operating the destruction equipment and to
ensure its continuing effectiveness. These procedures shall include an
inspection of the equipment after each time it is used to destroy classified
material to assure effectiveness of the destruction process.
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d. Witness to Destruction. The destruction of classified material
shall be accomplished by, or in the presence of, two employees of the
contractor who possess appropriate security clearances. One shall be a
responsible employee who has been briefed in the destruction provisions of
this paragraph, and who has been designated by the contractor to perform
the destruction. The other shall be a responsible employee or a subcontract
employee who is working on the premises of the contractor and who has been
designated to witness the destruction of the classified material. However,
CONFIDENTIAL material, other than accountable COMSEC material, may be
destroyed at the facility and witnessed by: (i) one responsible employee, or
(ii) one responsible subcontractor guard who is employed on a full-time basis
at the facility, is under the supervision and direction of the FSO, possesses
an appropriate PCL, has been briefed in the destruction procedures, and has
been designated to perform and witness the destruction.
e. Destruction Records and Certificates for TOP SECRET, SECRET, or
CRYPTO Material. When TOP SECRET, SECRET, or CRYPTO material, regardless of
classification, is destroyed, the contractor, in addition to maintaining
accountability records reflecting the destruction of such material, shall
execute a destruction certificate indicating the date of destruction and
identifying the material destroyed. The certificate shall be signed by both
the individual designated to destroy and the individual designated as a
witness at the time the material is destroyed. Both individuals shall be
required to know, through their personal knowledge, that such material was
destroyed. The contractor may, at his or her discretion, combine the
information required in the destruction certificate with the accountability
records maintained in accordance with paragraph 12a. On request, a copy of
the destruction certificate shall be sent to the contracting officer at the
time of destruction. Destruction records and destruction certificates shall
be maintained at the control stations established under paragraph 12, and
shall be retained by the contractor for a minimum of 3 years for TOP SECRET,
special access, or CRYPTO material, regardless of classification, and for 2
years for SECRET material.
f. Classified Waste. Classified waste shall be destroyed as soon as
practical, in accordance with the provisions of paragraph c above. This
applies to all waste material containing classified information, such as pre-
liminary drafts, carbon sheets, carbon ribbons, plates, stencils, masters,
stenographic notes, worksheets, and similar items. Typewriter and ADP
equipment ribbons used in transcribing classified material shall be
safeguarded in the manner appropriate for the classification category
involved, until the ribbon is cycled through the typewriter or printer a suf-
ficient number of times to obliterate information contained thereon. Normally
this can be accomplished if the ribbon is completely overprinted five times in
all ribbon typing or printing positions. Any ribbon which remains substan-
tially stationary (that is, receives at least five consecutive impressions)
shall be treated as unclassified. CONFIDENTIAL waste, except waste containing
CRYPTO or other special access information, may be destroyed by one employee
or one responsible subcontractor guard pursuant to the provisions of paragraph
d above. Pending destruction, classified waste shall be safeguarded in accord-
ance with paragraph 14. Receptacles utilized to accumulate classified waste
shall be clearly identified. If not promptly destroyed, accountability shall
be established over that material containing information classified SECRET or
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arcess information, ar.CRYPTO, regardless of clascification,
in accordance with paragraph 12f. When destruction does take place, the
provisions of paragraph e above are applicable.
g. Alternate Procedure. Where there is only one employee assigned at a
facility and there is a need to destroy material, one or more of the following
alternate procedures shall be used for disposal of the classified material:
(1) Return all classified material eligible for destruction,
including classified waste, to the contractor or UA for whom the classified
work is being performed, or to another facility of the same MFO.
(2) Utilize the destruction facilities of another DoD contractor
or UA, provided that the individual granted use of such facilities retains
physical custody of the classified material and personally ensures its
complete destruction. To satisfy the requirements of paragraphs d and e
above, an appropriately cleared employee of the contractor or UA providing
the destruction service may serve as a witness to the destruction and sign
the destruction certificate.
(3) Employ the destruction services of a subcontractor, vendor, or
supplier specializing in the destruction of classified material, provided that
the controls set forth in paragraph c above are observed and an appropriately
cleared employee of another DoD contractor or UA is present to witness the
destruction, when required pursuant to paragraph d and e above.
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_Section III. _SECURITY CLEARANCES_
20. General.
a. An individual shall be permitted to have access to classified
information only when cleared by the U.S. Government or by the contractor,
as specified in this section, and the contractor determines that access
is necessary in the performance of tasks or services essential to the
fulfillment of a contract or program; that is, the individual has a need-
to-know (see paragraph 3bg). The contractor shall limit the number of
personnel processed for clearance to the maximum extent possible consistent
with contractual obligations. The contractor must have a system, detailed in
the SPP, for limiting personnel security clearances. The system must identify
those required to make the deliberate decision as to a particular individual's
need for a clearance and those who review the decision. The supervisor
must certify that an employee will require access at a certain level of
classification. Requests on DD Form 49 shall be reviewed for justification
by designated official(s) at the executive management level and must be
signed by the FSO or another cleared OODEP. The Secretary of Defense,
through the Defense Investigative Service, reserves the right to limit the
number of individual clearances issued to any cleared facility. The numbers
and levels of security clearances possessed by a facility is regulated by a
system administered by the CSO. Each contractor will be limited to a specific
number of clearances consistent with the needs of the UA concerned.
b. As a general rule, only U.S. citizens are eligible to be granted
a standard PCL. Naturalized U.S. citizens, whose country of origin has
been determined to have interests adverse to the United States (a "Desig-
nated country"), or who have resided in such countries for a significant
period, shall be eligible for a security clearance only (i) if they have
been s_U-S. citizen for 5 years or longer, or (ii) if a citizen for less
than 5 years, they_lunEx_staidaiLAL-the U.S. for the past 10 years. Eich
year of active service in the U.S. military may be counted to sitisfy the
foregoing residency requirements. Under special circumstances and condi-
tions, immigrant aliens and foreign nationals may be authorized access to
classified information at the SECRET level and below, with limitations,
provided they are determined eligible and have been granted a Limited Access
Authorization (LAA). To be eligible for a PCL, the following age must have
been attained.
For CONFIDENTIAL
For SECRET or TOP SECRET
All non-U.S. citizens
16 years old
18 years old
21 years old
c. A PCL granted by the DoD, or by a contractor as specified in this
section, is valid for access on a need-to-know basis to all classified defense
information at the same or lower category except for the following:
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(i) Contractor-granted CONFIDENTIAL PCL's are not valid for
access to classified foreign government information; RESTRICTED DATA;
FORMERLY RESTRICTED DATA; COMSEC information (see DoD 5220.22-S-1);
SENSITIVE COMPARTMENTED INFORMATION; ACDA classified information; NATO
information (except for NATO RESTRICTED information); to meet the PCL
requirement as a prior condition for certification to fill a Critical or
Controlled Position under the Nuclear Weapon PRP; or for assignment to duty
stations outside the U.S.
(ii) Interim SECRET or interim CONFIDENTIAL PCL's are not valid
for access to RESTRICTED DATA; FORMERLY RESTRICTED DATA; NATO; or COMSEC;
and SENSITIVE COMPARTMENTED INFORMATION. Interim TOP SECRET PCL's are
valid for access to RESTRICTED DATA; FORMERLY RESTRICTED DATA; NATO;
COMSEC; and SENSITIVE COMPARTMENTED INFORMATION at the SECRET level and
below.
(iii) Access by foreign nationals and immigrant aliens under an
LAA is limited as set forth in paragraph 31.3 and by the terms under which
each LAA is granted.
d. Personnel shall not be cleared for access to classified infor-
mation of a higher level than the clearance of the facility at which they
are employed except for: (i) Type A Consultants whose services are being
utilized by another contractor or a User Agency; and (ii) certain cleared
employees of an MPO who are employed or physically located at a subordinate
facility with a lower level of clearance or at an uncleared facility within
the MFO.
e. A personnel security clearance under the Defense Industrial
Security Program (DISP) is neither a license for access to classified
information, nor a substitute for security measures designed to prevent
unauthorized access. Therefore, security clearances under the DISP are
to be granted when there is a bona fide requirement for access to
classified information in performance of duty assignment, and when other-
wise required by the terms of this manual.
f. The fact that a contractor has qualified for and has been granted
an FCL shall not be used for advertising, promotional purposes, or in the
recruitment of employees. Employment advertisements shall not state nor
imply that a PCL is a condition or prerequisite for employment. Reproduc-
tion in any manner of the DIS FL 381-R, furnished to the contractor by the
U.S. Government, shall not be made except for the necessary records of the
contractor or unless requested by a competent U.S. Government authority.
Further, the reproduction in any manner of a DISCO Form 560 (Letter of
Consent (LOC)) furnished by the government to the contractor shall not be
made, except for necessary records of the contractor, or unless requested
by competent U.S. Government authority. A copy of the LOC shall not be
furnished the employee named on the form for any purpose whatsoever, nor
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shall the employee be given any other written notification of the granting
of a clearance or access authorization. However, this does not preclude
the issuance of a color-coded identification card or badge to reflect the
level of access authorized pursuant to paragraph 8.
g. When determined that full investigative coverage or other
required assurances cannot be satisfied for the level of PCL or LAA
requested, the contractor shall be so advised by DISCO and all related
investigative action will be discontinued.
h. Unless administratively terminated, suspended, or revoked by the
DoD, the LOC issued for an employee shall be effective so long as he or she
is continuously employed by the contractor. If the employee no longer
requires access to classified information and no bona fide need for such
access.is anticipated within the next 120 days, the PCL shall be admin-
istratively terminated. In addition, if an employee has been placed in
layoff status or is granted a temporary leave of absence for 120 days or
less, it shall not be considered as an interruption or discontinuance of
employment. If the employee does not return to active employment within
120 days, he or she shall be reported terminated, effective the first day
of the absentee period.
i. In all cases in which a contractor furnishes copies of board
minutes, certificates, or other records, such records shall be on company
letterhead or identified by typing the contractor's name and address and,
in addition, they shall indicate the date of submission.
J. As a general rule, a contractor may be issued only one LOC for
each cleared employee. However, in the case of an individual who is
required to be cleared in connection with the HOF FCL and who has his or
her primary place of work at another facility of the MFO, an LOC may be
issued to both facilities.
k. Requests for PCL's of personnel required to be cleared in connec-
tion with an FCL, who are also RFI's, shall be submitted to the CSO. All
other requests for PCL's of employees who are RFI's shall be submitted to
DISCO. RFI's are not eligible for PCL's if:
(1) the foreign interest involves a "Designated country" or a
citizen, firm, or other entity of a "Designated country;" or
(2) their work as RFI's could create a potential conflict of
interest situation vis-a-vis their work for the contractor. By way of
example, a potential conflict of interest situation is considered to exist
when an individual represents a foreign government, or is in the employ of
a foreign government, or an individual's technical or scientific endeavors
on behalf of a foreign interest are similar to his or her technical or
scientific endeavors on behalf of the U.S. contractor; or
(3) they are not U.S. citizens or U.S. nationals.
Decisions as to whether an individual is eligible for a PCL pursuant to
paragraph (1), (2), or (3) above are made by DIS. With the exception of
the foregoing, RFI's are eligible for consideration for PCL's provided
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they submit statements explaining fully their foreign connections. The
statement shall identify the foreign entity. If it is a business enterprise,
the statement shall explain the nature of the business and to the extent
possible, details as to its ownership, including the citizenship of the
principal owners or blocks of owners. The statement shall fully explain the
nature of the relationship between the applicant and the foreign entity and
indicate the approximate percentage of the applicant's time devoted to the
interest cf the foreign entity. In addition, the statement shall incorporate
the provision that the applicant recognizes his or her special responsibility
to protect classified information from disclosure to any unauthorized person,
foreign or domestic. Two copies of the statement described above shall be
included with each request for an initial PCL, transfer of PCL, concurrent
PCL, or conversion of clearance. In those cases where an employee who is
cleared (or is in the process of being cleared) becomes an RFI, the contractor
shall submit a written report which shall include the statement described
above. In those cases where an RFI is required to be cleared in connection
with an FCL, the provisions of paragraph 22f also apply.
1. Persons not eligible for a PCL under the provisions of this
section may be granted access to classified information only as speci-
fically authorized in writing by a UA. The granting of such access is
beyond the scope of the DoD Industrial Security Program, and all necessary
instructions will be provided by the UA concerned.
m. When an interim PCL has been granted and derogatory information
is subsequently developed, DISCO may withdraw the interim PCL pending
completion of the processing which is a prerequisite to the issuance of a
final PCL. When an interim PCL for an individual who is required to be
cleared in connection with the FCL is withdrawn, the interim FCL will
also be withdrawn unless action is taken to remove the individual from
the position requiring a PCL. Withdrawal action is not a denial or
revocation of a PCL and is not appealable.
n. Periodically, the need arises for DISCO to reconcile its personnel
security clearance records with those of the contractor. When furnished
with a list of cleared personnel by DISCO, the contractor shall annotate the
listing with any corrections or adjustments and return it at the earliest
practical time. In addition, the reply shall include a statement by the
facility FSO certifying whether the individuals listed remain employed in
positions requiring access to classified information.
20.1. Emergency Higher Level Access. Periodically, contractors may
experience circumstances where an urgent operational need or a contract-
ual exigency exists for one or more of its employees to have one-time or
short duration access to classified information at a higher level than
is authorized by the pertinent PCL in effect. In many instances, the
processing time required to upgrade the PCL would preclude timely access
to the information.
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In such situations, and only for compelling reasons 11 in support of the
national interest, contractors are authorized to grant higher level access
on a temporary basis subject to advance approval (verbal, if necessary, but
later confirmed in writing) from the CSO and adherence to the terms and
conditions prescribed below. Thisrauthority may be revoked by the CSO for
abuse, inadequate record keeping, or improper security oversight. These
procedures do not apply when circumstances exist which would permit the
routine processing of an individual for the higher level PCL. Additional
procedures and conditions for effecting emergency access to information
at a classification level above that reflected on a current LOC are as
follows:
a. The employee must be a U.S. citizen and possess a current
government-granted clearance, and the access required shall be limited
to classified information one level higher than the classification level
reflected on the PCL in effect.
b. Justification for the higher level access shall be approved, in
writing, by the facility FSO or his or her single designee for this purpose.
Emergency access, once granted, shall be canceled promptly when no longer
required, at the conclusion of the authorized period of access, or upon
notification from the CSO.
c. The employee to be afforded the higher level access shall have
been continuously employed by the contractor for the preceeding 24-month
period. Higher level access is not authorized for part-time employees or
consultants for any period of time without the written approval of the UA
contracting officer concerned.
d. Pertinent facility records concerning the affected employee shall
be reviewed and no significant adverse information concerning that person
shall be known to the contractor, that is, adverse information reportable
pursuant to paragraph 6b(1).
e. Whenever possible, access shall be confined to a single instance
or a few occasions. The duration of access shall not normally extend
beyond 30 calendar days from date of access inception. Exceptionally, if
the need for access is expected to continue for a period in excess of 30
days, written authority of the UA contracting officer is required. If the
need for access is expected to extend beyond 90 days, the facility shall
promptly place the affected employee in process for the higher level PCL
concurrent with the granting of emergency access. When extended access
is approved by the UA, such access shall be canceled at or before 90 days
from original date of access inception. The exercise of emergency access
shall be used sparingly, and repeat use of this unique arrangement within
any 12-month period on behalf of the same individual is prohibited.
1/ A "compelling reason" as used herein, is expressly limited to
circumstances concerning a paramount matter that would permit the
avoidance of an unacceptable delay in contract performance, precon-
tract activity or in special cases to overcame a critical technical or
engineering problem, the time-sensitive solution to which is deemed
essential to fulfill a crucial contract performance criterion.
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f. Access at the higher. level shall be limited to information
under the control and custody of authorizing contractor and shall be
afforded under the general supervision of a properly cleared employee.
The employee charged with providing such supervision shall be responsible
for recording the higher-level information actually revealed along with
each date such access is afforded, and for daily termination of higher-
level access and retrieval of pertinent material for proper safekeeping.
g. Access at the next higher level shall not be authorized for
COMSEC, SCI, NATO, or foreign government information.
h. The contractor shall document the need for affording the
employee a higher-level access and maintain all related documentation
for 5 years. A copy of the documentation shall be forwarded to the CSO
and the government contracting officer concerned. As a minimum, this
documentation shall include:
(1) The name and SSN of the employee afforded higher level
access and the level of access authorized.
(2) Justification for the access, to include a full explanation
of the compelling reason to grant the higher level access and precisely
how the national interest would be served to do so. This justification
shall include the signature of the FSO and the name of the CSO official
who approved access and the date thereof.
(3) An unclassified description of the specific information
to which access was authorized and granted, and the duration of access
along with the date(s) access was afforded.
(4) A listing of the facility records reviewed and a statement
that no significant adverse information concerning the employee is known
to the contractor.
(5) Copies of any pertinent briefings/debriefings administered
to the employee.
21. Facility Security Clearances.
a. Procedures for Processing. An FCL is an administrative
determination that a facility is eligible from a security viewpoint for access
to classified information of the same or lower classification level as the
clearance being granted. FCL's shall not be granted to contractor activities
located outside the U.S., Puerto Rico, or a U.S. possession or trust
territory. FCL's may be granted only to contractors organized and existing
under the laws of any of the fifty states and Puerto Rico. Contractors
organized and existing under the laws of U.S. possession or trust territory
may not be processed for or granted an FCL unless prior approval is received
from the Deputy Director (Industrial Security), HQ DIS. The CSO assigned
responsibility for the geographic area in which the facility is located (see
appendix VIII) will advise the prospective contractor of the actions required
for the processing, the issuance, and the continuation of an FCL. In
connection with the issuance of an FCL, PCL's must be granted to certain
management personnel as prescribed in paragraph 22. In addition, the
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contractor shall execute .a DD Form 441,,or, where appropriate, an "Appendage
to Department of Defense Security Agreement" (DD Form 441-1) and a
"Certificate Pertaining to Foreign Interests" (DD Form 441s). In the case of
a MFO, where more than one facility is covered by the DD Form 441 or DD Form
441-1, the contractor shall furnish a copy of the DD Form 441 with DD Form
441-1, when appropriate to each facility covered under the agreement and to
the CSO of each covered facility. Before a contractor is eligible for custody
of classified information, the contractor, in addition to having an FCL, shall
have appropriate storage capability and be prepared to apply such other
safeguards as prescribed by this manual. Classified information which is of a
higher security classification than the contractor's FCL shall not be
disclosed to the contractor.
b. Licensing, Patent, and Trade Secret Agreements. Licensing,
patent, and trade secret agreements with a foreign entity may render a
contractor ineligible for an FCL, unless appropriate procedures are
established in the facility's SPP to ensure that such agreements will not
jeopardize the security of classified information, which is entrusted to
the contractor. In this connection, attention is directed to the State
Department's ITAR, in particular, parts 124 and 125 thereof. This regu-
lation provides, inter alia, that before the execution of any license
agreement envisaging the transmittal abroad of classified U.S. military
information, it must first be submitted to the Department of State for
review and approval, and that prior to any approval of such agreement,
the release of the classified information involved must be approved by
the cognizant U.S. military department and the DoD under established
procedures.
c. Foreign Ownership, Control, or Influence (FOCI). Facilities
which are determined to be under FOCI are not eligible for an FCL.
Agreements with .a foreign interest may make a contractor ineligible
for an FCL. Execution of a DD Form 441s (see appendix I, paragraph L)
is required in connection with a determination of the degree, if any,
of FOCI. The contractor must execute a new DD Form 441s whenever there
is any change in the information previously submitted (it is not necessary
to repeat answers on the new DD Form 441s which have not changed). In
addition, when any question on the DD Form 441s has been answered
affirmatively, a new complete DD Form 441s must be submitted every 5
years from the date of the last change submitted. If no changes have
occurred, a statement to this effect is necessary. Any investor who has
acquired a direct or indirect beneficial ownership interest of 5 percent
or more of any class of stock of a registered company, or any investor
who plans to make a tender offer to purchase securities, which is reason-
ably expected to result in such an ownership interest, is required to file
a Schedule 13D report with the SEC, with the company whose securities are
involved, and with any national exchange on which the securities may be
traded. If the acquisition will result in the submission of a revised
DD Form 441s, and the contractor has received Schedule 13D from the
investor, a copy of the Schedule 13D will be forwarded with the DD Form
441s or, if appropriate, with the report (notification letter) required by
paragraph 6a(4)(f). A new DD Form 441s shall also be executed by the
contractor whenever advised that the form is required for an official
purpose. It is the contractor's responsibility to provide complete
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information to ensure that the degree of FOCI to which the facility may
be subjected is fully explained to enable the U.S. Government to ascertain
whether classified information entrusted to the contractor is, or could be,
jeopardized.
22. Personnel Clearances Required in Connection with Facility Clearances.
Certain individuals, as described below, must be processed for clearance in
connection with FCL's. As a related matter, unless notified by the CSO that
such determinations are not required, individuals other than those described
below, who exercise control over the management of the facility through stock
ownership, proxy voting rights, majority ownership of securities, or by some
other method control the management of the facility and affect the appointment
and tenure of officers, directors, or principal supervisory management
personnel of the facility, shall be processed for a determination of clearance
eligibility by the CSO in connection with the FCL.
a. Corporations, Associations, and Nonprofit Organizations. Except
as provided for below, the following individuals are required to be cleared
in connection with, and at the 'revel of, the FCL.
(1) The chairman of the board and all principal officers must be
cleared.
(a) Other officers 2/, who shall not require access to
classified information in the conduct of the organization's business and
who do not occupy positions that would enable them to affect adversely
the organization's policies or practices in the performance of classified
contracts, are not required to be cleared, provided the organization
complies with the provisions of paragraph e below (exclusion action is not
required for assistant secretaries, assistant treasurers, and assistant vice
presidents who do not have management responsibilities related to perfor-
mance on classified contractors); or
(b) Other officers who require access to classified infor-
mation in the conduct of the organization's business, but at a lower level
than that of the FCL, may be cleared with a U.S. Government granted PCL at the
lower level, provided they do not occupy positions that would enable them to
affect adversely the organization's policies and practices in the performance
of the higher level classified contracts, and the organization complies with
the provisions of paragraph e below.
(2) Directors who require access to classified information must
be cleared. Directors who do not require access to classified information
in the conduct of the organization's business, and who do not occupy
positions that would enable them to affect adversely the organization's
policies or practices in the performance of classified contracts, are not
required to be cleared. A director who also serves as a principal officer
shall be cleared. If the corporation or association conducts meetiugs with a
ag tem chairman or by a rotating chairmanship, all board members who
2/ All officers, as defined by paragraph 3bj, are considered OODEPs of an
organization, but not all OODEPs occupy positions required to be cleared
in connection with an FCL.
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are eligible for or who could sit as board chairman shall be cleared, and,
with respect to all uncleared directors, the organization shall comply
with the provisions of paragraph e below. If the board has seen fit
to delegate certain of its duties and responsibilities to a legally
constituted executive committee, only the members of this committee who
require access to classified information shall be cleared. Other directors
shall be excluded in accordance with the provisions of paragraph e below.
Two copies of the instrument establishing the executive committee shall be
furnished to the CSO.
(3) The management official in charge at the facility and the
FSO shall always be cleared in connection with the FCL.
(4) A current list of all OODEPs shall be maintained by the
facility, with a copy furnished to the CSO. The list shall designate by
name those individuals granted an LOC, those who are being processed for
a PCL, and those who have been excluded from access to classified infor-
mation pursuant to the provisions of paragraph e below. Such lists shall
be signed by an OODEP of the corporation.
b. Sole Proprietorships. The following individuals are required to
be cleared in connection with, and at the level of, the FCL:
(1) The owner must be cleared.
(2) All officers, if applicable, must be cleared.
(3) The management official in charge of the facility and the
FSO shall always be cleared in connection with the FCL.
(4) A current list of all OODEPs shall be maintained by the
sole proprietorship and the CSO. The list shall designate by name those
individuals granted an LOC, those who are being processed for a PCL, and
those who have been excluded from access to classified information pursuant
to the provisions of paragraph e below. Such lists shall be signed by an
OODEP of the sole proprietorship.
c. Partnerships. Except as provided for below, the following
individuals are required to be cleared in connection with, and at the
level of, the FCL:
(1) All general partners must be cleared.
(2) All other partners:
(a) Partners, other than general partners, who do not require
access to classified information in the conduct of the organization's busi-
ness and do not occupy positions that would enable them to affect adversely
the organization's policies or practices in the performance of classified
contracts, are not required to be cleared and the organization by offi-
cial action of the general partners shall comply with the provisions of
paragraph e below. or
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(b) Partners, other than general partners, who require access
to classified information in the conduct of the organization's business, but
at a lower level than that of the FCL, shall be cleared at the lower level
provided they do not occupy positions that would enable them to affect
adversely the organization's policies and practices in the performance of
higher-level classified contracts, and the partnership, by official action
of the general partners, complies with the provisions of paragraph e below.
(3) If the partnership has seen fit to delegate certain of its
duties and responsibilities to a legally constituted executive committee, all
members of this committee shall be cleared in connection with the FCL. Other
nonexecutive committee member general partners shall be excluded, provided the
committee has full executive authority to exercise management control and
supervision for the partnership, and, with respect to these other partners,
the organization complies with the provisions of paragraph e below. Two
copies of the partnership's resolution delegating this authority to the
committee shall be furnished to the CSO. The resolution shall specify which
partners are excluded from access to all classified information, and which
partners are excluded from access to higher-level classified information, as
appropriate.
(4) The management official in charge of the facility and the
FSO shall always be cleared in connection with the FCL.
(5) A current list of all OODEPs shall be maintained by the
partnership, with a copy furnished to the CSO. The list shall designate
by name those individuals granted an LOC, those who are being processed
for a PCL, and those who have been excluded from access to classified
information, pursuant to the provisions of paragraph e below. Such lists
shall be signed by a partner or executive personnel of the partnership.
d. Colleges and Universities. Except as provided for below, the
following individuals are required to be cleared in connection with, and
at the level of, the FCL:
(1) The chief executive officer must be cleared.
(2) Those other officers or officials who are specifically and
properly designated by action of the board of regents, board of trustees,
board of directors, or similar executive body, in accordance with the
institution's requirement, as the managerial group having the authority
and responsibility for the negotiation, execution, and administration of
UA contracts, shall be cleared. The institution shall furnish the CSO a
copy of such designation of authority, from which the particular officers
who are to be processed in connection with an FCL can be determined, and
thereafter, changes shall be furnished as they occur. If this requirement
is not met, all officers shall be processed for PCL's in connection with the
Feld.
(3) Regents, trustees, or directors:
(a) Regents, trustees, or directors, who shall not require
access to classified- information in the-conduct of the institution's business
and who do not occupy positions that would enable them to affect adversely
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the institution's policies or practices in the performance of classified _
contracts shall be excluded. If the college or university conducts meetings
with a na tem chairman or by a rotating chairmanship, all board members who
are eligible for, or could sit as, board chairman shall be cleared. With
respect to all uncleared regents, trustees, or directors, the institution
shall comply with the provisions of paragraph e below.
(b) If the board has seen fit to delegate certain of its
duties and responsibilities to a legally constituted executive committee
or managerial group, only the members of this committee or group who
require access to classified information shall be cleared. Other regents,
trustees, or directors shall be excluded in accordance with the provisions
of paragraph e below. Two copies of the instrument establishing the execu-
tive committee shall be furnished to the CSO.
(4) The management official in charge of the facility and the
FSO shall always be cleared in connection with the FCL.
(5) A list of OODEPs shall be maintained by the college or
university and the CSO. The list shall designate by name those indivi-
duals granted LOC's, those who are being processed for PCL's, and those
who have been excluded from access to classified information, pursuant to
the provisions of paragraph e below. Such lists shall be signed by an
OODEP of the college or university.
e. Exclusion Procedures. This paragraph applies to those officers,
directors, partners, regents, and trustees who, pursuant to the provisions
set forth above, can be excluded altogether from the requirement for a PCL,
or who can be excluded from higher-level access by virtue of possessing a
PCL at a level below that of the FCL. In order to invoke these exclusion
procedures, the organization by formal action of the board of directors,
all general partners, or similar executive body, shall affirm the
following, as appropriate.
(1) Such officers, directors, partners, regents, or trustees
(designated by name) shall not require, shall not have, and can be
effectively excluded from access to all classified information in the
possession of the organization. They also do not occupy positions
that would enable them to affect adversely the organization's policies
or practices in the performance of classified contracts or programs for
the UA's. This action shall be made a matter of record in the organiza-
tion's minutes of the board of directors, partnership, board of regents,
or trustees, or similar executive body. Two copies of such minutes, dated
and identified by the name and address of the facility, shall be furnished
to the CSO.
(2) Such officers or partners (designated by name) shall not
require, shall not have, and can be effectively denied access to higher-
level classified information (specify which higher level(s)) and do not
occupy positions that would enable them to affect adversely the organization's
policies or practices in the performance of higher-level classified contracts
(specify higher level(s)) or programs for the UA's. This action shall be made
a matter of record in the organization's minutes of the board of directors,
partnership, board of regents, or trustees, or similar executive body. Two
copies of such minutes, dated and identified by the name and address of the
facility, shall be furnished to the CSO.
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f. Representative of a Foreign Interest. When an RFI is required to
be cleared in connection with an FCL, and the RFI has not been excluded in
accordance with paragraph e above, the following procedures shall apply:
(1) When the statement required by paragraph 20k has been
executed, official notice of its execution shall be made a matter of
record in the organization's minutes by the board of directors or similar
executive body. Two copies of the minutes shall be furnished the CSO.
(2) Failure to obtain a PCL for, or to exclude an RFI, shall
make the facility ineligible for clearance and any existing FCL shall be
administratively terminated by the CSO. Such action is not appealable.
(3) In those cases where an
connection with the FCL becomes an RFI,
report required by paragraph 6a(4)(d),
in this paragraph.
individual who is cleared in
the contractor shall submit the
in addition to the actions prescribed
23. Security Clearance of Negotiators. Negotiators designated by the
contractor as being required to participate in the preparation of a bid or
quotation may be processed for PCL's concurrent with, but not as a part of,
the FCL. An FCL is not dependent on the granting of a PCL to negotiators,
and changes in negotiators shall not affect the status of an FCL.
24. Security Clearance of Additional Personnel. Except in the case of
personnel who are required to be cleared in connection with an FCL, and
negotiators, the contractor shall not initiate PCL action on employees
until an FCL has been granted. Contractor employees, other than those
cleared in accordance with the provisions of paragraphs 22, 23, 27, or 31,
whose access to classified information is essential in the performance of a
classified contract, shall be cleared as specified below.
a. Clearance by the DoD.
(1) DoD shall grant PCL's for U.S. citizen employees of the
contractor who:
(a) require access to information classified TOP SECRET 3/
or SECRET, or to any COMSEC information, regardless of classification,
SENSITIVE COMPARTMENTED INFORMATION, RESTRICTED DATA or FORMERLY RESTRICTED
DATA, and classified foreign government information;
(b) are employed by a college or university;
(c) require access to NATO information classified CONFIDENTIAL
or higher as described in section XI;
3/ When a TOP SECRET clearance is requested, DISCO will automatically
issue an LOC for SECRET when the investigation necessary for PCL at
the SECRET level has been completed with satisfactory results. That
LOC will subsequently be superseded by an LOC -for TOP SECRET when the
required additional investigation is completed.
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(d), require access Lo ACDA classified information;
(e) make determinations to grant access authorizations, in
accordance with paragraph b below;
(f) are RFI's;
(g) require security clearances as a condition of the
Nuclear Weapon PRP for duties in Critical and Controlled positions under
the Nuclear Weapon Security Program (see paragraph 3bi); or
(h) are naturalized U.S. citizens from Designated
countries.
(2) DoD shall grant PCL's for employees of contractors whose
applications for clearances are required to be referred to DISCO, pursuant
to paragraph b below.
(3) DoD shall grant Limited Access Authorizations (LAA's) for
non-U.S. citizen employees of the contractor who require access to class-
ified information (see paragraph 31).
b. Clearance by the Contractor. Contractors are delegated authority
to act for and on behalf of the DoD to grant clearances at the CONFIDENTIAL
level to qualified U.S. citizen employees who have a fully justified and
bona fide requirement for access to CONFIDENTIAL information. Contractors
are not authorized and shall not grant CONFIDENTIAL clearances to employees
for any other purpose. CONFIDENTIAL clearances granted by the contractor
shall remain valid, unless otherwise revoked by the DoD, within any facility
of the same organization, so long as the individual continues in the
contractor's employment. A contractor is not authorized to revoke such a
clearance. However, if the employee no longer has or requires access to
classified information in the forseeable future, the clearance shall be
administratively terminated. The contractor is not authorized to grant an
interim CONFIDENTIAL clearance. Contractor-granted CONFIDENTIAL clearances
are not valid for access to RESTRICTED DATA; FORMERLY RESTRICTED DATA; any
COMSEC information; SENSITIVE COMPARTMENTED INFORMATION; ACDA classified
information; NATO information (except for NATO RESTRICTED information); to
meet the PCL requirement as a prior condition for certification to fill a
Critical or Controlled Position under the Nuclear Weapon Security Program;
classified foreign government information; or for assignment to duty
stations outside the U.S. Moreover, contractor-granted CONFIDENTIAL
clearances granted to employees who are subsequently assigned to duty
stations outside the U.S. shall be administratively terminated.
(1) A contractor is authorized to grant a CONFIDENTIAL clearance
to a U.S. citizen employee for access to classified information at the
CONFIDENTIAL level provided that the contractor makes a determination of
trustworthiness prior to granting the clearance and provided further that
such access is essential to the accomplishment of lawful and authorized
Government purposes. The contractor shall make the determination of
trustworthiness based on a favorable review of the following:
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(a) Personnel records and related screening procedures
used to evaluate initial and continuing eligibility and suitability for
employment and all of the records maintained on the employee that might be
materially significant to PCL consideration. As a minimum, verification of
prior employment and contact with listed references shall be accomplished.
(b) The "Application and Authorization for Access to
Confidential Information (Industrial)," DD Form 48-2, executed by the
employee indicates that: (i) the employee is a U.S. citizen; (ii) the
employee is not a naturalized U.S. citizen from a Designated country; (iii)
the employee is not an RFI; (iv) the information furnished in item 8 of the
form, if any, does not reflect that a PCL has been suspended, denied, or
revoked; and (v) the certification section of the form has been signed and
witnessed.
(c) Documents indicating that the individual is a U.S.
citizen. Verification of U.S. citizenship shall be accomplished by
the contractor by sighting documents described in appendix XII. If the
required documentary evidence is not immediately obtainable, the
contractor may grant the CONFIDENTIAL clearance after having explained
to the employee that the clearance is conditional, based on submission of
the necessary documentary evidence as soon as possible, but, in any event,
no later than 90 days. If the employee does not produce the necessary
proof of U.S. citizenship within 90 days, the contractor shall adminis-
tratively terminate the CONFIDENTIAL clearance which may be reinstated
immediately upon presentation of proof of citizenship.
(2) When the contractor is satisfied with the trustworthiness
of the employee, the contractor, acting for ?and on behalf of the DoD, is
authorized to complete Part II of the DD Form 48-2 indicating that the
employee is granted a clearance for access to CONFIDENTIAL information. A
copy of the completed DD Form 48-2 shall be submitted to DISCO for record
purposes and review.
(3) In situations where an employee indicates in item 7 of the
DD Form 48-2 of having applied for or having received a previous PCL but
gives no indication in item 8 of the form that a prior PCL has ever been
suspended, denied, or revoked, the contractor is authorized to make a
favorable determination, if otherwise appropriate.
(4) When circumstances are such that the contractor is unable to *
make the required determination of trustworthiness, because the employee
(i) is a naturalized citizen from a Designated country; (ii) responds
affirmatively to item 11 of the DD Form 48-2; (iii) lists relatives under
item 12; or, (iv) indicates being an RFI under item 13, the contractor shall *
not grant the employee a clearance for access to CONFIDENTIAL information.
Instead, the contractor shall complete Part II of the DD Form 48-2 as
appropriate, and submit co DISCO one copy of the completed DD Form 48-2
together with the forms prescribed in paragraph 26b, for further evaluation *
and determination of eligibility for a security clearance for access to
CONFIDENTIAL information. The contractor shall include a statement explaining
the basis for referral.
(5) In the event the employee refuses to complete the certifica-
tion portion of the DD Form 48-2 by signature as required, the form will
11.
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be considered incomplete and the contractor shall take no further action
pending completion of the form as required.
(6) The authority to grant clearances at the CONFIDENTIAL level
to qualified U.S. citizen employees, may be rescinded by the CSO if abuse
becomes evident or if the contractor is unable to comply with the provi-
sions set forth above. When such occurs, the contractor shall be required
to submit requests for such clearances to DISCO in accordance with paragraph
26b. The privilege may be restored by the CSO only upon a showing of good
cause.
25. Preemployment Clearance Application -- Prohibited. The contractor
shall not initiate any preemployment clearance action. An applicant for
employment in a position which requires access to classified information
may be informed that a PCL will be required. A DD Form 48, "DoD Personnel
Security Questionnaire (Industrial-NAC);" DD Form 48-2, "Application
and Authorization for Access to Confidential Information;" DD Form 48-3,
"DoD Personnel Security Questionnaire (Updating);" or DD Form 49, "DoD
Personnel Security Questionnaire (Industrial)" shall not be offered to,
or be required to be completed by, an individual until he or she is
employed by the contractor in a position requiring access to classified
information and placed on the payroll. However, in exceptional cases the
PCL application forms may be furnished prior to the date of entry on duty.
This exception is limited to cases in which a written contract for future
employment in a position that requires access to classified information
has been executed between the prospective employee and the employer which
prescribes a fixed date of entry on the payroll within a reasonable and
justifiable period of time, normally not to exceed 120 days from the
effective date of the employment contract.
26. Application for Personnel Security Clearance.
a. General.
(1) Contractors shall make application for DoD PCL's in
accordance with the provisions of this section. For PCL's required in
connection with an FCL, applications shall be submitted to the CSO. Appli-
cations for all other PCL's shall be submitted to DISCO, P.O. Box 2499,
Columbus, Ohio 43216. In addition to the forms and related documentation
required in connection with the application for a PCL, the contractor
shall compile and submit other information when requested by DISCO or the
CSO to satisfy an official U.S. Government requirement. Failure by any
employee to furnish PCL application forms, when requested or when required
by this manual, shall preclude the granting of any new PCL to the appli-
cant, and shall constitute sufficient basis for the DoD to administratively
suspend any outstanding PCL of the employee concerned and discontinue all
processing action. Resumption of case processing will only be approved
upon showing of good cause by the applicant. Whenever a contractor
employee has submitted forms prescribed by this paragraph to DISCO but
subsequently objects, for any reason, to being processed for a PCL or to
have an existing PCL continued, the contractor shall report all relevant
facts to DISCO. Verification of such objections shall be made by the U.S.
Government. On verification, any pending PCL processing action shall be
discontinued, and any PCL then held by the employee shall be adminis-
tratively terminated by the U.S. Government without prejudice to the
employee.
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(2) The contractor shall establish procedures for completing the *
Privacy Sections of DD Form 48, DD Form 49 and DD Form 48-3 as follows: *
(a) When providing an employee with a personnel security *
questionnaire, the contractor will inform the employee that information *
regarding privacy procedures and preaddressed envelopes does not apply. *
(b) Each employee will be advised that if they believe there
is a significant personal matter which they desire not to disclose to their
employer, they may request an interview with a Defense Investigative Service
agent by entering "DIS Interview Requested" rather than completing the
specific item.
(3) The employee shall be advised that, prior to affixing his or
her signature to the respective privacy section, the form may be folded or
covered, so that the witness to his or her signature will not see the
prescribed portion.
(4) The employee shall be further advised that, on completion
of the privacy section, the PSQ together with the "Applicant Fingerprint
Card" (FD Fora 258) shall be returned to his or her employer for mailing.
(The FD Form 258 is not required when a DD Form 48-2 or DD Form 48-3 is
submitted. It is required in connection with all other submissions.)
(5) The employer shall ensure that the "Applicant Fingerprint
Card," if required, is properly completed. In addition, the contractor
shall establish procedures to ensure that an employee of the contractor
will witness the taking of the employee's fingerprints on the card to
ensure that the person fingerprinted is, in fact, the same as the employee
being processed for the clearance, and ensure that substitutions do not occur.
(6) The completed personnel security forms shall be forwarded to
DISCO, or the CSO, as specified in paragraph (1).
(7) All forms required by this section in connection with PCL's
may be obtained from DISCO. Instructions for completion of such forms
are contained in pamphlets, which are also obtainable from DISCO. These
pamphlets are entitled: (i) *Detailed Instructions for Completion of DD
Fora 48, Personnel Security Questionnaire (Industrial - NAC)," (ii)
"Detailed Instructions for Completion of DD Form 49, Personnel Security
Questionnaire Industrial (BI/SBI)," and (iii) "Instructions for Completion
of DD Form 48-3."
b. New clearances. Application for an initial PCL, for upgrading
an existing PCL, or for requesting a PCL in situations where other provi-
sions of this manual are not applicable, shall be made by the contractor by
submission of the following forms:
1
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(1) DD Form 48 4/, completed and executed by U.S. citizens who
are to be processed for a DoD issued CONFIDENTIAL or SECRET clearance
unless paragraph (2) below applies;
(2) DD Form 49 5/, completed and executed in the following
cases:
(a) immigrant aliens and foreign nationals who are to be
processed for a SECRET or CONFIDENTIAL LAA,
(b) U.S. citizens who are to be processed for TOP SECRET
clearance,
(c) Naturalized U.S. citizens from Designated countries
who are to be processed for any level of PCL,
(d) U.S. citizens who are to be processed for any level of
PCL when the applicant lists relatives or relatives of his or her spouse
who are residing in Designated countries, and
(e) U.S. citizens who are to be processed for any level
of clearance when the applicant advises he or she is a RFI.
(3) A properly completed and executed FD Form 258 with each
request submitted pursuant to paragraphs (1) or (2) above. Care shall
be exercised to ensure that fingerprints are authentic, legible, and
complete. Those which do not meet prescribed standards shall be returned
for reexecution, which will result in clearance delays. The employee shall
deliver the completed forms to the designated company representative who
will ensure mailing.
c. Interim Clearances. Except as authorized below, requests for an
interim TOP SECRET PCL shall be forwarded to the contracting officer for
approval by the head of the contracting activity or his or her designated
representative. Approval will be given only in an emergency situation
in order to avoid crucial delays in precontract negotiation, or in the
award or performance on a contract. The contractor shall: (i) obtain
such approval and submit it with the application for the interim TOP
SECRET PCL, or (ii) forward the application for interim TOP SECRET PCL
through the contracting officer. The words "Interim TOP SECRET" shall be
placed in bold letters in the lower right-hand corner of the "Job Title"
block of the DD Form 49. The approval letter from the contracting officer
shall be attached behind the FD Form 258. As an exception to the fore-
* going procedures, when an emergency situation exists which would render
the facility incapable of adequately safeguarding classified material in
4/ The DD Form 48 packet consists of an original and 1 copy of the PSQ and
the privacy section.
5/ The DD Form 49 packet consists of two sections: section I -- a DD
Form 49 worksheet printed on the reverse of the instructions, aad
the DD Form 49 packaged as a 5-copy carbon set; and section II -- a
DD Form 2221, and an original and one copy of the privacy section.
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its possession and no contracting officer is available to approve the
interim TOP SECRET PCL request within the time required to negate the
threat, the CSO is authorized to approve such requests prior to dispatch
of the pertinent forms to DISCO. There is no need to pursue interim
clearance action below the TOP SECRET level. Applicants for SECRET and
CONFIDENTIAL PCL's will be summarily granted interim SECRET or interim
CONFIDENTIAL PCL's, as appropriate, provided initial investigative
coverage fails to uncover adverse information of material significance.
If results are favorable following completion of full investigative
requirements, a subsequent LOC will be issued by DISCO to remove the
interim status of the outstanding PCL. Access limitations for interim
PCL's are set forth in paragraph 20c. Interim action for non-U.S.
citizen employees under consideration for an LAA is not authorized.
Further, naturalized U.S. citizens from Designated countries are not
eligible for an interim PCL.
d. Clearance Transfers. Application for a PCL may be made by the
contractor for an employee for whom an LOC was previously issued while
the individual was employed by another contractor, provided there has not
been a lapse of more than 12 months since termination of the employment
for which the LOC was issued. Application is made by submitting one copy
of an executed DD Form 48-3. As an exception, when transfers are between
collocated cleared facilities, which have a common security services
agreement, the FSO need only forward the DISCO Form 562. If there is a
break in employment of more than 3 working days during the transfer process,
then this exception will not apply. An LAA granted to a non-U.S. citizen is
not transferrable, except in the case of an MFO.
e. Clearance Transfers in an MFO. Clearance transfer action under
this paragraph shall be initiated after a determination to reassign has
been made, but prior to the actual transfer.
(1) When a cleared employee is transferred from one cleared
facility to another with the same or higher level FCL, the contractor
shall:
(a) forward the original LOC 6/ or the DD Form 48-2, as
appropriate, to the gaining facility; and
(b) promptly submit a DISCO Form 562 to DISCO as notifi-
cation of the transfer and forward a copy of the DISCO Form 562 to the
gaining facility if the clearance was government-granted;
(2) When a cleared employee is transferred to an uncleared
facility or to a facility with a lower level FCL than the employee's
clearance, and the employee will continue to require access at the higher
level at another cleared facility or at a U.S. Government installation,
the contractor shall:
6/ If the LOC contains more than one name, a certified true copy identi-
_
fyiug the employee being transferred shall be forwarded. All other
names listed shall be lined through.
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(a) forward the original LOC 6/ or the DD Form 48-2, as
appropriate, to the HOF or the appropriate Pg rather than to the gaining
facility, and
(b) submit a DISCO Form 562 to DISCO identifying the HOF or
PMF holding the employee's PCL.
(3) When a cleared employee is transferred to a cleared facility
with a lower level FCL than the employee's clearance and the contractor
desires to retain the LOC only at the lower level, the contractor shall:
(a) amend the employee's LOC to reflect the lower level of
clearance; and
(b) add a statement regarding the change in level of
clearance to the "Remarks" block of the DISCO Form 562 and promptly
submit the form to DISCO.
f. Concurrent Clearances.
(1) When a contractor hires an individual or engages a consultant
on a temporary or part-time basis, who is also employed by or acting as a
consultant to another contractor, and who has a current LOC, an additional
LOC shall be requested, if the individual requires access to classified
information. Application for this LOC will be made by the submission to
DISCO of one copy of an executed DD Form 48-3 (with the "Concurrent"
clearance block marked on part I).
(2) An exception to the requirement for submission of a DD Form
48-3 to obtain a concurrent clearance can be made when an OODEP of a parent
company becomes concurrently an OODEP of a subsidiary, or when an OODEP of a
subsidiary becomes concurrently an OODEP of the parent company, provided the
new clearance being requested is not at a higher level than the existing
clearance. In these cases the contractor (parent or subsidiary) to whom the
existing clearance has been issued, will submit a letter to the CSO of the
facility (parent or subsidiary) to which the new clearance is to be issued
setting forth full name, date and place of birth, social security number, date
and level of clearance of the OODEP, and request a concurrent clearance at the
parent or subsidiary, as the case may be. After issuance of the concurrent
clearance, the facility (parent or subsidiary) to which the new clearance has
been issued will furnish a copy to the facility to which the initial PCL was
issued. That facility, in turn, will furnish to the other facility a
reproduction of part I of the DISCO Form 482. If the OODEP employment is
terminated at either facility, the CSO of that facility will be advised in
accordance with established procedures. In addition, part II of the DISCO
Form 482 will be completed and maintained in the records of that facility.
If employment with the parent and subsidiary is terminated, their respective
CSO's will be notified, in accordance with established procedures. Only one
debriefing statement (part II of DISCO Form 482) need be completed, but a
reproduction will be furnished to the other facility.
(3) Any action by the U.S. Government to suspend or revoke a
cicarancc will be equally applicIable to all concurrent t..leurancee iseued
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for the consultant or OODEP. Concurrent notices of such action will be
provided to each employer by the U.S. Government.
g. Reemployment of Cleared Personnel. When, within a period of 12
months, a contractor reemploys an individual for whom he or she had pre-
viously been issued an LOC, the contractor may reactivate the LOC by
submitting a notice of reemployment on a DISCO Form 562 to DISCO.
Contractor-granted CONFIDENTIAL clearances of individuals who are reemployed
within a period of 12 months may be reinstated by the contractor provided a
copy of the completed DD Form 48-2 is furnished to DISCO.
h. Formerly Cleared Personnel. In cases involving U.S. citizens
where a clearance cannot be transferred or cannot be reactivated because
there has been a lapse of more than 12 months since termination of the
employment for which the LOC had been issued, the contractor shall make
application for clearance using the procedures required for new clearance
actions.
i. Reserved.
j. Letters of Consent (LOC) (DISCO Form 560). The LOC is issued by
DoD (DISCO) to notify the contractor that one of its employees may be
authorized access to classified information at the classification level
indicated thereon. The LOC's must be maintained by the contractor to
facilitate review by the CSO during on-site inspections.
(1) Issuance of LOC's (General).
(a) LOC's are issued to the facility where the individual
is principally employed.
(b) LOC's may not be issued for a higher level of access
than the FCL of the facility where the employee is principally employed.
(c) LOC's may not be reproduced except for the necessary
records of the contractor or unless requested by competent U.S. Government
authority.
(d) LOC's may not be released, nor copies provided, to the
employee.
(e) Whenever there is a change in the legal name of an
employee for whom an LOC has been issued, the contractor shall submit one
copy of DISCO Form 562 to DISCO. DISCO will issue a new LOC.
(f) The LOC shall be returned to DISCO upon death of an
employee, or whenever return is requested by the U.S. Government.
(2) Issuance of LOC's in an NFO. The contractor (home office
facility) may elect to establish a PN F at other cleared facilities within
the MFO to be responsible for personnel security administration in a
specific geographic or functional area as prescribed by paragraph 73. In
such cases, the LOC may be issued to either the home office or the FMF.
However, it may not be at a higher level that the FCL of the facility to
which issued.
26.
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(a) When a cleared employee's duties at another facility
or a U.S. Government installation require access to classified information
at a higher level than the clearance of the facility where the employee
is employed or physically located, or if the employee is employed at an
uncleared facility, the LOC may be issued to the home office or to an
appropriate PMF.
(b) When an employee is cleared in connection with the
home office FCL, and the employee's principal place of work is at another
facility of the MFO, the LOC is issued to both the home office and the
facility where the employee is employed or physically located or to an
appropriate PMF. The contractor shall submit a DISCO Form 562 to explain
and justify the reason for requesting an additional LOC.
(c) On the DD Forms 48, 49, 48-3, or DISCO Form 562
submitted pursuant to (a) or (b) above, the name and address of the
facility at which the employee is employed or physically located shall be
shown in the "Name and Address of Employer" block of the form. The name and
address of the facility to which the LOC is to be mailed shall be placed in
the "REMARKS" block of the form preceded by the words "MAIL TO" in bold
letters.
k. DOE (Previously ERDA) and NRC Clearances. The "Q" and "L"
clearances granted by DOE and NRC are considered acceptable for con-
version to a DoD industrial PCL. The "Q" clearance is considered an
authoritative basis for a DoD clearance at the TOP SECRET level, and the
"L" clearance is considered an authoritative basis for a DoD clearance at
the SECRET level. A contractor may request a DoD industrial PCL for an
employee who currently has a "Q" or "L" clearance or previously held
such a PCL when there has not been a lapse of more than 12 months since
termination of the PCL. Application for conversion of the "Q" or
clearance to a DoD industrial PCL may be made by submitting one copy of
the DD Form 48-3 to DISCO. The "Job Title" block in part I of the DD Form
48-3 will be annotated: "DOE (or NRC) 'Q' (or 'L') Conversion Requested."
The "Q" or "L" number if known will be indicated. Following verification of
the clearance information with DOE or NRC, DISCO will issue a LOC to the
contractor.
27. Clearance of Present and Former Civilian and Military Personnel of the
DoD and Certain Other Government Agencies.
a. PCL's issued by a UA to civilian or military personnel who are
U.S. citizens may be converted to industrial PCL's as follows:
(1) top-level civilian or military personnel -- 18 months from
the time of separation from active federal service;
(2) retired civilian and military personnel of any grade with
19 years or more of federal service -- 18 months from the date of retire-
ment from active federal service;
(3) for other civilian or military personnel separated or
retired from active federal serwice 12 months from the time-of
separation or retirement from active federal service; and
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(4) National Guard and Reserve military personnel who actively
participate in the Ready Reserve Program and have been granted security
clearances by the Military Departments may have such clearance converted
to industrial PCL's. Clearances granted to such personnel who have
transferred to the standby or retired Reserve also may be converted to
industrial PCL's within 12 months of a person's being placed in the standby
or retired Reserve.
b. PCL's issued by other departments or agencies of the executive
branch of government to personnel who are U.S. citizens may be converted
to industrial PCL's, when:
(1) a determination can be made, based on a review of the prior
investigation, that the investigation meets standards prescribed by the DoD
for such clearances;
(2) the service of the employee, in a cleared status, has been
continuous since the investigation with no break in service longer than 12
months; and
(3) an inquiry to the employee's previous employer or employers
discloses no reason for expanding or updating the investigation.
c. Top-level civilian personnel are defined as presidential
appointees, civil service appointees of the supergrades (GS-16 and above),
anemembete of industry advisory committees who have been duly appointed by
secretarial levels of the UA. Top-level military personnel are those of
the general and flag officer grades.
d. Contractors employing personnel eligible for conversion of
clearance, under the provisions of this paragraph, may request clearance
to the level of access required by submitting the following information to
DISCO or the CSO, as appropriate.
(1) one signed copy of DD Form 48-3;
(2) for former civilian personnel -- a copy of the "Notification
of Personnel Action" (Standard Form 50), which terminated his or her
employment with the U.S. Government;
(3) for former military personnel -- a copy of the DD Form 214,
"Certificate of Release or Discharge From Active Duty;"
(4) for civilian or military personnel presently employed by or
on active duty with a UA, the forms prescribed by paragraphs (3) or (4)
above are not required. However, in the case of military personnel, the
individual's service number shall be placed in the REMARKS section of the
DD Form 48-3; and
(5) for National Guard and Reserve military personnel actively
participating in the Ready Reserve Program and for those who have trans-
ferred to the standby or retired Reserve within the past 12 months, the
forms prescribed by paragraphs (3) or (4) above are not required. However,
the individual's service number, the identity and exact address of the
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unit to which assigned, and the date such participation commenced, shall
be placed in the REMARKS section of the DD Form 48-3. In addition, for
those individuals who have transferred to the standby or retired Reserve,
a copy of the order effecting such a transfer shall be attached to the
DD Form 48-3.
e. The-complete set of forms required by paragraph 26b shall be
accomplished when:
(1) the clearance requirement is for a higher level than is
reflected in the clearance records;
(2) there has been greater lapse of time than that set forth in
paragraph a above; or
(3) requested by DISCO. (The request will state that the forms
are needed to satisfy an official requirement.)
28. Contractor's Clearance Record. The contractor shall maintain a
current record at each facility (to include uncleared locations) of all
employees and consultants located at the facility/location who have been
authorized access to classified information. The record shall indicate the
level of access authorized and the date of the applicable LOC or other
authority. The record shall also reflect the issuing authority, that is, a
specific military department, DISCO, or the contractor. Moreover, the
records maintained by a HOF and/or PMF for employees located at subordinate
facilities (cleared and uncleared locations) shall include the name and
address at which the employee is assigned. In addition, contractors shall
maintain the original DIS FL 381-R, the DD Form 441 or DD Form 441-1, for
the duration of their facility security clearance. In the event the
Security Agreement is terminated for any reasons by either party, the DIS
FL 381-R and the contractor's copy of the DD Form 441, or the DD Form
441-1, shall be returned to the CSO.
29. Administrative Termination of Personnel Security Clearances.
a. The contractor, under the conditions stated below, must request the
administrative termination of U.S. Government granted PCL's which are no
longer required. If a cleared employee no longer has or requires access to
classified information, and no requirement for such access is anticipated in
the foreseeable future, administrative termination of a U.S. Government issued
clearance is accomplished by submission of a properly completed DISCO Form 562
to DISCO. Contractor-granted CONFIDENTIAL clearances must be administratively
terminated by the contractor in accordance with the procedures and criteria
of this paragraph. The administrative termination of a contractor granted
CONFIDENTIAL clearance is completed at the time the FSO signs the DISCO
Form 562 and forwards it to DISCO. The contractor shall process, for
administrative termination or downgrading to a lower level, all TOP SECRET
clearances which are no longer required. When an individual with a TOP
SECRET clearance has not had access to TOP SECRET information in the previous
18 months, but the contractor anticipates a requirement for access to TOP
SECRET information in the foreseeable future, justification for retention of a
TOP SECRET PCL shall be provided to the CSO. If a contractor fails Lc) take
action to terminate a TOP SECRET PCL under the conditions described above, and
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fails to submit justification for retention of the clearance, the CSO shall
submit a recommendation to the Deputy Director (Industrial Security), HQ DIS,
for processing pursuant to the provisions of paragraph f below.
b. If the contractor determines that an individual previously
cleared in connection with the FCL no longer requires clearance and can
be excluded from access, a recommendation for administrative termination
of the clearance must be submitted to the CSO by submission of a properly
completed DISCO Form 562 and two copies of the organization's minutes
attesting that the exclusion action required by paragraph 22e has been
completed.
c. In connection with the preparation of the DISCO Form 562, the
contractor shall advise the employee as follows:
(1) the PCL is being processed for administrative termination
since there is no current or foreseeable future requirement for access to
classified information;
(2) the proposed action in no way reflects adversely an the
employee's PCL eligibility;
(3) the employee may be processed for a new PCL, with a minimum
of delay, when the occasion and need arises for the employee to require
access to classified information; and
(4) the employee's signature on the Security Debriefing
Acknowledgement portion of the SF 189-A will attest to the fact that he or
she understands and acknowledges this action.
d. The completed DISCO Form 562 will be forwarded to DISCO. (In the
case of an OODEP, the DISCO Form 562 shall be forwarded to the CSO.) The
completed SF 189-A will be retained by the contractor, in accordance with
paragraph 5g. If it becomes necessary to revalidate the clearance, a new SF
189-A shall be executed prior to the employee having access to classified
information.
e. Reserved.
f. In those rare and exceptional cases where DUSD(P), or higher
authority, determines that PCL's were granted in error or are not required,
he or she may opt to administratively terminate the PCL or clearance action
in process without prejudice to the individuals concerned or jeopardy to
their employer's operations.
g. In the event a need arises for an employee to have access to
classified information subsequent to the administrative termination of
the employee's clearance, and such need occurs within 5 years from the
date of the notice from the U.S. Government that the previous clearance
was administratively terminated, the previous clearance may be reinstated
promptly provided: (i) the employee has been continually employed by the
same contractor during the 5-year period, (ii) no adverse information
-concerning the employee is known to the contractor, and (iii) the
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reinstatement is fully justified. Upon reinstatement by the contractor
of such clearances, the contractor shall submit a DISCO Form 562 to DISCO
with certification, in "Remarks," that no break in employment has occurred
since the employee's previous clearance was administratively terminated, nor
is any adverse information known to the contractor about his/her employee.
If the clearance is not eligible for reinstatement in accordance with this
procedure, an application for new clearance shall be submitted in accordance
with paragraph 26b.
h. Reserved.
i. Reserved.
j. If the administratively terminated clearance had been a
contractor-granted CONFIDENTIAL clearance, and the need arises again for
the individual to have access to CONFIDENTIAL information, the actions
required by paragraph 24b shall be accomplished as a new clearance action.
30. Administrative Downgrading of TOP SECRET Personnel Security Clearances.
a. When an employee cleared at the TOP SECRET level does not
require access to TOP SECRET information, and a requirement for such access
is not anticipated, but access to a lower level of classified information
is required, the PCL shall be downgraded without prejudice to the lower
level by submission of a DISCO Form 562 to DISCO. The properly completed
form shall set forth in the "Remarks" block of the form a request to down-
grade the TOP SECRET clearance without prejudice to the appropriate level.
On notification of completed action by DISCO, the contractor shall annotate
the previously issued LOC to reflect the new level of access and the date
such action was taken by DISCO. The LOC retains the original date of
issuance.
b. PCL's downgraded in accordance with paragraph a above, can be
reinstated by the contractor when a requirement for higher level access
exists provided that: (i) there has not been a lapse of more than 5
years from the date of the downgrading or termination action, (ii) the
individual has been continuously employed by the same contractor/MFO, (iii)
the contractor knows of no adverse information concerning the employee, and
(iv) a justified need exists for the upgrade action. Upon reinstatement of
a TOP SECRET or SECRET PCL, the contractor shall notify DISCO by submission
of a DISCO Form 562. The "Remarks" section of tfie DISCO Form 562 shall
include the date of reinstatement, the level of clearance and a request for
a new LOC. On receipt of the LOC from DISCO reflecting the upgrading action,
the previously issued LOC will be destroyed by the contractor. The LOC
will bear a new date of clearance because of the upgrading action. When
there has been a lapse of more than 5 years from the date the TOP SECRET
clearance was downgraded to a lower level clearance, application for a
TOP SECRET or SECRET PCL shall be made by submitting one copy of DD
Form 49 or DD Form 48, as appropriate, to DISCO.
31. Access to Classified Information by Non-U.S.Citizens. Only U.S.
citizens are eligible for a security clearance and every effort shall be
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made to ensure that non-U.S. citizens are not employed in duties that may
require access to classified information. However, immigrant aliens or
foreign nationals may be granted a "Limited Access Authorization" (LAA) at
the SECRET or CONFIDENTIAL level, if qualified, as described below.
31.1 Immigrant Aliens.
a. An immigrant alien may be eligible for an LAA when all of the
following conditions are met:
(1) access is limited to a specific government contract;
(2) the individual possesses a rare or unusual expertise;
(3) a qualified U.S. citizen cannot be hired in sufficient
time to meet a contractual requirement;
(4) the individual resides permanently in the United States
and presents for verification an "Alien Registration Receipt Card" (Form
No. 1-151 or 1-551 7/); and
(5) the individual certifies in writing the intent to
become a U.S. citizen as soon as eligible.
b. Prior to requesting DISCO processing of an LAA, the proposal
shall be endorsed, in writing, by the UA authority with jurisdiction over
the contract for which access is proposed.
c. After endorsement has been obtained from the contracting officer,
the request for LAA shall be submitted as provided for in paragraph 26.
The endorsement must include a statement or evidence that a favorable
foreign disclosure decision has been rendered. If determined eligible by
the Government, an LOC will be issued by DISCO to record the LAA and to
reflect the level of access authorized. LOC's issued to immigrant aliens
pursuant to previous DoD policy will be reissued by DISCO to reflect LAA
status when it becomes practical to do so. The new LOC's will include the
words 'Limited Access Authorization - Immigrant Alien."
d. Record Keeping. In each case where an LAA has been granted to an
iimigrant alien, the contractor shall maintain, for as long as the LAA is
in effect, a record of the following information:
7/ This card is issued only to aliens who have been lawfully admitted to
the U.S. under an immigration visa for permanent residence. Pending
issuance of the new Form 1-551, the Immigration and Naturalization
Service has authorized the following notation to be stamped on offici-
ally issued documentation as evidence of immigrant alien registration:
PROCESSED FOR 1-551. TEMPORARY EVIDENCE OF LAWFUL ADMISSION FOR
PERMANENT RESIDENCE VALID UNTIL EMPLOYMENT AUTHORIZED.
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(1) the identity (including current citizenship) of the individ-
ual to whom the LAA is granted, to include, name, and date and place of
birth;
(2) date of LAA, the issuing authority, and a copy of the
correspondence from the UA authority who endorsed the LAA;
(3) the nature of the specific program material(s) to which
access is authorized and expressly limited (delineated as precisely as
possible);
(4) the classification level to which access is authorized;
(5) the compelling reasons for granting access (a copy of
the justification request forwarded to the contracting officer may be
sufficient);
(6) evidence of favorable decision from designated U.S.
Government foreign disclosure authority concerning the releasability
of the information approved for disclosure; and
(7) period of time for which access is authorized or anticipated.
31.2 Foreign Nationals.
a. Foreign nationals may be eligible for an LAA only when:
(1) access to classified information is proposed in connection
with the granting of a facility security clearance to a firm in the United
States under foreign ownership, control, or influence by a country source
of which the individual is a citizen; or
(2) access to classified information is required at a contractor
facility for performance on a contract or subcontract involving the govern-
ment of the individual's country of citizenship; and
(3) there is a bilateral security agreement containing provi-
sions for the exchange of security assurances between the U.S. Government
and the government of which the individual is a citizen.
b. Application shall be made to DISCO or the CSO, as appropriate.
DISCO may be contacted for advice concerning the documentation required to
be submitted. Upon receipt of the appropriate level security assurance
from the foreign government, a new LOC will be issued by DISCO to record
the LAA status and reflect the level of access authorized. The LOC will
include the words "Limited Access Authorization - Foreign National."
Foreign national access approvals granted pursuant to previous DoD policy
will be evaluated for continuing eligibility;
31.3 Access Limitations for Immigrant Aliens, Foreign Nationals, and
Firms Granted a Reciprocal Facility Security Clearance. Reciprocal
FCL's and all LAA's granted under the provisions of this manual are not
valid for access to:
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a. TOP SECRET information;
b. information that has not been determined releasable by designated
U.S. Government disclosure authorities to the country of which the individ-
ual is a citizen or, in the case of a reciprocal FCL, to the country from
which the FOCI is derived;
c. RESTRICTED DATA, as defined in the U.S. Atomic Energy Act of 1954,
as amended;
d. FORMERLY RESTRICTED DATA removed from the RESTRICTED DATA
category pursuant to Section 142(d), Atomic Energy Act of 1954, as amended;
e. COMSEC information;
f. ACDA classified information;
g. information for which foreign dissemination has been prohibited
in whole or in part;
h. information for which a special access authorization is required;
and
i. information provided to the U.S. Government in confidence by a
third party government and classified information furnished by a third
party government.
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Section IV. CONTROL OF AREAS
32. purpose. Normally, the contractor shall protect classified material in
the manner prescribed in paragraphs 14, 15, and 16. If, however, because of
the nature, size, or unique characteristics of the classified materials,
unauthorized personnel cannot be effectively denied access to such material
by the safeguards set forth in the above paragraphs, the material shall be
safeguarded by controlling the area in which it is located 1/. Controlled
areas shall consist of closed and restricted areas as defined in paragraphs
3m and 3bx, respectively.
33. General.
a. A controlled area shall not be established for the sole purpose of
storing classified documents (see paragraph 14a(3)(f) for guidance on use of
"other vaults and strongrooms" for the storage of classified documents).
b. Area Approval. The CSO and the contractor shall agree on the need
to establish, and the extent of, the controlled area prior to the award of the
contract, when possible, or at such subsequent times as the need for such
areas becomes apparent during the performance on the contract.
c. Reports. The CSO shall be advised, in accordance with paragraph
6a(5), of the establishment of any new controlled areas or of any change in
the location or extent of any existing controlled areas. Controlled areas
which have been temporarily deactivated, in accordance with e below, and
subsequently reactivated within 180 days need not be reported.
d. A controlled area shall be disestablished when the original or
existing need for the creation of the area no longer exists (for example,
all classified material is removed from the area for delivery to the
customer), and there is no anticipated need to reactivate the area within
180 days. Area designations shall be promptly removed when controlled
areas have been disestablished. If a disestablished controlled area is
subsequently reestablished, it must be approved as a new area in accordance
with b and c above.
e. Controlled areas shall be considered temporarily deactivated when a
controlled area environment is no longer required (see paragraph 32), and
there exists a known or anticipated need to reactivate such areas within
180 days. The area controls specified in paragraphs 34a and b are optional, *
except that posted area designations shall be promptly removed or covered.
Temporarily deactivated controlled areas shall be considered disestablished if
the need to reactivate fails to materialize within the above 180-day time
frame.
1/ The entry into a controlled area, per se, will not constitute access to
classified information if the security measures that are in force prevent
the gaining of knowledge of the classified information. Therefore, the
entry into a controlled area under conditions that prevent the gaining of
knowledge of classified information will not necessitate a PCL.
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34. Area Controls.
a. Closed Areas.
(1) General. Closed areas shall be separated from adjacent areas
by a physical barrier capable of preventing unauthorized entry and, when
visual access to classified materials is a factor, observation by unauthorized
persons. The physical barrier shall be substantially constructed of materials
that provide protection against surreptitious entry or removal of classified
material, and offer visual evidence of attempted surreptitious or forced
entry (see appendix V for construction requirements). Closed areas shall
be physically configured, in conjunction with internal personnel controls
and procedures, in a manner that reasonably forecloses the possibility
that unauthorized personnel can transgress the area undetected. Personnel
within the area shall be responsible for challenging all persons who may
lack appropriate access authority, regardless of the nature of perimeter
controls in use.
(2) During Working Hours.
(a) Open or unlocked entrance -- if the material within the
area is classified no higher than CONFIDENTIAL, admittance shall be controlled
by a properly cleared contractor-authorized employee or guard stationed so as
to supervise the entrance to the area. If the material is classified TOP
SECRET or SECRET, admittance shall be under the direct and continuous
supervision of a properly cleared guard posted at the entrance.
(b) Locked entrance -- if the material within the area is
classified no higher than SECRET, admittance shall be under the direct and
continuous supervision of a properly cleared contractor-authorized employee
or guard, except as may be provided for by complying with paragraph 36.
The employee or guard designated to control the entrance shall be required
to unlock and open the entrance, remain at the entrance while it remains
open, supervise the passage of material or authorized personnel through the
entrance, and to lock the entrance immediately thereafter. If the material
is classified TOP SECRET, admittance shall be under the direct and continuous
supervision of a properly cleared guard posted at the entrance, except as
may be provided for by complying with paragraph 36.
(3) During Nonworking Hours.
(a) Admittance shall be controlled by locked entrances and
exits, secured with either a built-in three-position dial-type changeable
combination lock or a three-position dial-type changeable combination padlock
as described in paragraph 14a(3)(d). However, doors secured from the inside
with a panic bolt (that is, actuated by a panic bar), a dead bolt, a rigid
wood or metal bar, or other means approved by the CSO, will not require
additional locking devices.
(b) If TOP SECRET or SECRET, information is stored in the area,
supplemental controls are required, as follows:
(1) the area is alarmed, in accordance with the
requirements in paragraph 35; or
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(2) the area is patrolled by guards or other properly
cleared and authorized personnel supervised by a system which provides a
written record of the coverage of key points of the area. The patrol shall be
once hourly for TOP SECRET areas and once every two hours for SECRET areas.
The guard shall view both the inside and outside of the area to determine the
presence of unauthorized persons. Guards are not required to enter the closed
area, if substantially all of the interior space can be viewed from outside
the area through windows, peepholes, or expanded metal/wire-mesh walls.
(Drapes, curtains, or similar window coverings may be utilized during working
hours and tarpaulins over hardware during nonworking hours to protect
classified external configuration from visual access.) If the contractor
elects to have the guard enter the closed area, an approved key-operated
padlock 2/ with high-security cylinder may be used to secure the area. If the
contractor does not want to have the guard enter the closed area and if
windows, peepholes, or expanded metal/wire-mesh walls cannot be used, because
exterior configuration of hardware is classified and the use of tarpaulins to
prevent visual access is not practical, the contractor may elect to utilize
the following alternative procedure:
The area will be thoroughly checked at the end of
the working hour period by the last person leaving
to ensure area integrity and that no individual
remains within. A written record, to include the
signature of the person securing the area and the
time secured, will be posted on the interior side
at the door. Additionally, a log will be posted
at the exterior of each door and the guard will
2/ Approved key-operated padlocks shall meet the requirements of: Military
Specification P-43607 (shrouded shackle), National Stock Number
5340-00-799-8248, and Military Specification P-43951 (regular shackle),
National Stock Number 5340-00-799-8016. The keys shall be safeguarded as
classified material of a classification equal to the highest level of the
classified material being protected. On initial receipt, or when not in
use, high security key locks shall be stored consistent with the level of
the facility's authorized safeguarding capability. Use of key-operated
padlocks are subject to the following requirements: (i) a key and lock
custodian shall be appointed to ensure proper custody and handling of keys
and locks used for protection of classified material; (ii) a key and lock
control register shall be maintained to identify keys for each lock and
their current location and custody; (iii) keys and locks shall be audited
each month; (iv) keys shall be inventoried with each change of custody;
(v) keys shall not be removed from the premises; (vi) keys and spare locks
shall be protected in a secure container; (vii) locks shall be changed or
rotated at least annually, and shall be replaced after loss or compromise
of their operable keys; and (viii) making master keys is prohibited. A
?secure container" as used herein is any cabinet or vault specified in
paragraph 14a(3), including supplemental controls when required. However,
at no time shall a key(s) be afforded less protection than that accorded
the highest level of the classified material protected by its corresponding
lock(s).
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be required to sign and indicate the time checked,
certifying that the door was checked and found to
be locked during the course of each patrol.
The SPP shall specify which of the above options has been elected by the con-
tractor and shall describe the procedures for implementing this requirement.
(c) No patrol or alarm systems are required for CONFIDENTIAL
material stored in closed areas.
(4) Areas shall be designated and marked "CLOSED AREA."
(5) Employees assigned to the area shall challenge the presence of
any unknown persons. The need-to-know principle shall be adhered to at all
times within the closed area.
b. Restricted Area.
(1) During working hours, the same controls as prescribed for
closed areas during working hours shall be applied.
(2) During nonworking hours, the same controls as prescribed by
paragraph 14 shall be applied.
(3) Areas shall be designated and marked "RESTRICTED AREA."
c. Area Approval. The CSO and the contractor shall agree on the extent
of the controlled area prior to the award of the contract, when possible, or
at such subsequent times as the need for such areas becomes apparent during
the performance on the contract. When the costs of construction and/or
maintenance of the controlled areas are to be charged against a UA contract,
the CSO shall obtain and furnish to the contractor written authorization from
the contracting officer concerned for the expenditure of necessary funds.
This authorization shall only be required when the contractor is performing an
cost-reimbursement contracts as opposed to fixed-price contracts in which such
security costs would be included in the initial contract price.
d. Reports. The CSO shall be advised, in accordance with paragraph
6a(5), of the creation of any new controlled areas or of any change in the
location of any existing controlled areas.
35. Supplemental or Supplanting Alarm Systems.
a. Alarm systems may be divided into those that supplant the use of
guards required under paragraph 34a(3), and those that supplement and extend
the capability of guards.
(1) When used to supplant guards, the electrical protective alarm
system shall be connected to a central control station.
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(a) The central control station may be located at the contrac-
tor's facility or at the facility of a subcontractor who maintains and
operates the electrical protective alarm system and responds to alarms 3/ 4/.
(b) Such a subcontractor and its employees shall have FCL's
and PCL's, as prescribed in paragraph 20e.
(c) Additional requirements for a central control station are
as follows.
1 Trained and appropriately cleared operators shall be in
attendance at the central station at all times when the electrical protective
alarm system is in operation. The device which signals alarms shall be
continuously monitored.
3/ A direct-connect or remote station alarm system (that is, a system connected by
direct wire to alarm receiving equipment located in a local police depart-
ment headquarters, which is activated and deactivated by the using contrac-
tor and responded to by personnel of the local police department), may be
utilized when: (i) the contractor's facility is located in an area where
the central station services of a subcontractor are not available; (ii) it
is impractical for the contractor to establish a proprietary or in-plant
alarm system, in accordance with the provisions of paragraph 35a(1)(c);
(iii) the material and installation standards prescribed by paragraph
35b(1) or (2) are observed; (iv) response time to an activated alarm by
local police personnel does not exceed 15 minutes from the time the alarm
was first registered, and arrangements shall have been made with the police
department to immediately notify a representative of the contractor (pre-
ferably the FSO) on receipt of an alarm; and (v) the representative of
the contractor shall be required to report immediately to the facility to
ascertain the nature of the alarm and to take appropriate measures to
ensure the security of the area concerned. Approval of the CSO is required
before a contractor may utilize a direct-connect system as an alternative
to the use of a central station system. The proposed plan explaining how
the system would operate should be submitted in duplicate to the CSO,
including sufficient justification for the granting of an exception and the
full name and address of the police department that will monitor the
system and provide required response. The name, address, and clearance
level of the subcontractor who installed the system and who will inspect,
maintain, and repair the equipment shall also be furnished, if applicable.
4/ Central station burglar alarm systems classified by the UL, Inc. as Grade A
shall satisfy the requirements of this paragraph. Evidence of compliance
with the UL standards may take the form of a UL certificate or a letter
issued by the installing company (see UL 611, Central Station Burglar Alarm
Units and Systems, and the list relating to authorized burglary protection
equipment and installing companies in UL publication, "Automotive, Burglary
Protection, Mechanical Equipment Directory").
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2 Trained and appropriately cleared guards, sufficient in
number to dispatch immediately a guard to investigate each alarm, shall be in
attendance at the central station at all times when the electrical protective
alarm system is in operation.
3 A signal shall be maintained at the central station to
show whether or not the system is in working order and to indicate any
tampering with the system. Necessary repairs shall be effected immediately.
4 Response time to an activated alarm (that is, the time
required for guards to reach the area) shall not exceed 15 minutes from the
time the alarm was first registered.
5 Records shall be maintained indicating time of receipt
of alarm, name of guards, time dispatched to area, time guards checked in, and
nature of alarm. Such records shall be kept for a minimum of 1 year.
(2) When used to supplement guards required by paragraph 34a(3),
electrical protective alarm systems of the central station type, described in
paragraph a(1) above, and systems not connected to a central control station
may be used. However, if a central control station is not employed, the
system shall provide an audible or visible alarm signal, which shall be
capable of attracting the immediate attention of guards on patrol in the area
and directing them to the location of the alarm. In any event, the time
required to respond to an activated alarm shall not exceed 15 minutes.
(3) When such systems are used, they shall be activated immediately
at the close of business.
b. Material and Installation Standards.
(1) Where electrical protective systems are applied to an area to
supplant or supplement guards, all material and equipment used in the system
shall equal or exceed the standards prescribed in and shall be installed in
accordance with: (i) the provisions of Interim Federal Specification W-A-00450
(GSA-FSS), "Alarm Systems, Protective, Interior (Security)," February 16,
1973, or (ii) Underwriters' Laboratories Standards for Intrusion-Detection
Units, UL-639, and Underwriters' Laboratories Standards for Installation and
Classification of Mercantile and Bank Burglar Alarm Systems, UL-681 5/ 6/.
(2) When individual alarms are installed on classified storage con-
tainers, in accordance with paragraph 14a(2)(c) or 14a(4)(c), the installation
shall provide "complete" protection of the top, bottom, sides, and outer
5/ .The minimum required standard for installation on premises shall be Instal-
lation No. 3 (see UL-681). New installations shall conform to Interim
Federal Specification W-A-00450 to the maximum extent permitted by avail-
ability of qualified equipment.
6/ Copies of the Interim Federal Specification may be obtained from any
regional office of the GSA. Copies of the UL Standards may be obtained
from Underwriters Laboratories, Inc., 333 Pfingsten Road, Northbrook,
Illinois 60062.
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drawers or doors of the container (see Interim Federal Specification W-A-00450
and UL Standards 681 and 639). In addition, the requirements for a central
station or direct-connect alarm system shall also apply (see paragraph a(1)
above).
c. Approval by the CSO is required before the installation of either a
supplanting or supplemental alarm system to meet a requirement of this manual
(see paragraph 34c regarding cost considerations).
36. Supplanting Access Control System Devices.
a. Automated Access Control Systems. Automated access control
systems which meet the criteria stated below are authorized to supplant
contractor-authorized employees or guards required by paragraph 34a(2)(b)
for controlling admittance to controlled areas during working hours 7/.
(1) The automated access control system must be capable of
identifying the individual entering the area and authenticating that
person's authority to enter the area.
(2) Identification of individuals entering the area can be
obtained by an identification (ID) badge or card, or by personal identity
verification.
(a) ID badge or card. The ID badge or card must use
embedded sensors, integrated circuits, magnetic stripes or other means of
encoding data that identifies the facility and the individual to whom the
card is issued.
(b) Personal identity verification. Personal identity
verification identifies the individual requesting access by some unique
personal characteristic, such as:
1 fingerprint,
2 hand geometry,
3 handwriting,
4 retina, or
5 voice recognition.
(3). In conjunction with (2)(a) or (b) above, a personal
identification number (PIN) is required. The PIN must be separately
entered into the system by each individual using a keypad device. The PIN
7/ Manufacturers of automated access control equipment or devices must
assure in writing that their system will meet the following standards
before CSO's may favorably consider such systems for protection of
classified information:
Chances of an unauthorized individual gaining access through normal
operation of the equipment are no more than one in ten thousand.
Chances of an authorized individual being rejected for access through
normal operation of the equipment are no more than one in one thousand.
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shall consist of four or more digits, randomly selected with no known or
logical association with the individual. The PIN must be changed when it
is believed to have been compromised or subjected to compromise.
(4) Authentication of the individual's authorization to enter
the area must be accomplished within the system by comparing the inputs
from the ID badge/card or the personal identity verification device and the
keypad with an electronic database of individuals authorized into the area.
A procedure must be established for removal of the individual's authoriza-
tion to enter the area upon reassignment, transfer or termination, or when
the individual's PCL is suspended, revoked, or downgraded to a level lower
than required.
(5) Physical security protection must be established and
continuously maintained for all devices/equipment that constitute the
system. The level of protection may vary depending upon the type of
devices/equipment being protected with the basic intent of utilizing the
security controls already in effect within the contractor's facility.
(a) Locations where access transactions are, or can be
displayed, and where authorization data, card encoded data and personal
identification or verification data is input, stored, displayed, or
recorded must be protected. This protection may be accomplished by
continuous surveillance by authorized personnel, structural safeguards as
described by Appendix V, or a level of collective controls developed by the
contractor keyed to the prevention or detection of unauthorized access or
system modification.
(b) Control panels, card readers, keypads, communication or
interface devices located outside the entrance to a controlled area shall
have tamper resistant enclosures, be securely fastened to a wall or other
structure, be protected by a tamper alarm or secured with a three-position
dial-type changeable combination padlock. Control panels located within a
controlled area shall require only a minimal degree of physical security
protection sufficient to preclude unauthorized access to the mechanism.
Where areas containing TOP SECRET information are involved, tamper alarm
protection is mandatory.
(c) Keypad devices shall be installed in such a manner,
have a shielding device mounted, so that an unauthorized person in the
immediate vicinity cannot observe the selection of push buttons.
or
(d) Systems that utilize transmission lines to carry
access authorization, personal identification, or verification data between
devices/equipment located outside the controlled area shall receive circuit
protection equal to or greater than that specified as Grade A by Under-
writers' Laboratories, Inc.
(6) Access to records and information concerning encoded ID
data and PINs shall be restricted to individuals cleared at the same level
as the highest classified information contained within the specific area or
areas in which ID data or PINs are utilized. Access to identification or
authorization data, operating system software or any identifying data .
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associated with the access control system shall be limited to the fewest
number personnel as possible. Such data or software shall be kept secured
when unattended.
(7) Records reflecting active assignments of ID badges/cards,
PINs, levels of access, PCL's, and similar system related records shall be
maintained indefinitely. Records concerning personnel removed from the
system shall be retained for one year. Records of entries to controlled
areas containing TOP SECRET material shall be retained for at least 6
months or until investigations of system violations and incidents have been
successfully resolved and recorded.
(8) Personnel entering or leaving an area shall be required to
immediately secure the entrance or exit point. Authorized personnel who
permit another individual entrance into the area are responsible for
confirming the individual's PCL and need-to-know.
(9) During shift changes and emergency situations, if the door
remains open, admittance shall be controlled by a contractor-authorized
employee or guard stationed to supervise the entrance to the area.
b. Electric, Mechanical, or Electromechanical Devices.
Provided that the material within the controlled area is classified no
higher than SECRET, electronic, mechanical, or electromechanical devices
which meet the criteria stated below may be used to supplant contractor-
authorized employees or guards to control admittance to controlled areas
during working hours. Devices may be used that operate by either a
push-button combination which activates the locking device or by a control
card used in conjunction with a push-button combination, thereby excluding
any system that operates solely by the use of a control card.
(1) The electronic control panel containing the mechanical
mechanism by which the combination is set may be located inside or outside
the controlled area. When located outside the controlled area, the control
panel shall be securely fastened or attached to the perimeter barrier of the
area and secured by an approved three-position dial-type changeable
combination padlock. If the control panel is located within the controlled
area, it shall require only a minimal degree of physical security designed
to preclude unauthorized access to the mechanism.
(2) The control panel shall be installed in such a manner, or have *
a shielding device mounted, so that an unauthorized person in the immediate *
vicinity cannot observe the selection of the correct combination of the push *
buttons. *
(3) The selection and setting of the combination shall be *
accomplished by an employee of the contractor who is authorized to enter *
the area in his or her duties or by the FSO or his or her designated *
representative who is authorized to enter the area. The combination shall
*
be changed at least once every three months.
*
(4) The combination shall be classified in accordance with the
*
classification of the highest classified material within the controlled
*
area (see paragraph 8 for control of cards).
*
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(5) Electrical gear, wiring included, or mechanical links (cables,
rods and so on) shall be accessible only from inside the area, or shall be
secured within a protecting covering to preclude surreptitious manipulation
of components.
(6) Personnel entering or leaving the area shall be required to
immediately lock the entrance or exit point. Authorized personnel who
permit another individual entrance into the area are responsible for
confirming the individual's PCL and need-to-know.
(7) During shift changes and emergency situations, if the door
remains open, admittance shall be controlled by a contractor-authorized
employee or guard stationed to supervise the entrance to the area.
c. Approval by the CSO is required before effecting the installation
of a supplanting access control device to meet a requirement of this manual
(see paragraph 34c regarding cost considerations).
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Section V. VISITOR CONTROL PROCEDURES
Part 1. VISITS TO USER AGENCY CONTRACTORS
37. General.
a. The provisions of this section, except paragraphs 45 and 48, apply
only to persons who will have access to classified information. Access to
information classified higher than the level in the visit authorization will
not be granted, regardless of the level of the visitor's PCL. The contractor
or activity being visited shall take such security measures as may be required
to preclude visitors from having unauthorized access to classified
information. Nothing in this section will limit the requirements of paragraph
Sc.
b. The number of visitors requiring access to classified information
shall be held to a minimum and the following requirements must be established:
(1) that the visit is necessary, and
(2) that the purpose of the visit cannot be achieved without access
to classified information by the visitor.
c. In the event the visit is disapproved, the requester shall be
promptly notified by the contractor or activity which made the decision.
d. Requests for visits shall be furnished in writing (mail or teletype)
to the contractor or UA activity being visited in advance of the proposed
visit. In exceptional cases, the telephone may be used, provided the visit
request is confirmed in writing. Under no circumstances, however, may
employees hand-carry their own visit requests to the place being visited. All
Category 1 and 2 requests shall contain the following information:
(1) name and address of the contractor or UA activity to be
visited;
(2) name and title of person(s) to be visited, if known;
(3) name of the proposed visitor, his or her date and place of
birth, and citizenship (if immigrant alien, so indicate);
(4) job title or position of the proposed visitor;
(5) requesting contractor's or UA activity's certification of
the level of clearance of the proposed visitor (see paragraph 38). If
the visitor possesses an interim PCL, a contractor granted CONFIDENTIAL
PCL, or an LAA, so indicate. See paragraph e below for special access
requirements;
(6) purpose and justification for the visit in sufficient detail
to allow for a determination on the necessity of the visit -- including the
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contract., project, or program number or name will assist the recipient in
making this determination 1/;
(7) date or period during which the request is to be valid;
(8) name and address of requesting contractor or UA activity; and
(9) requesting contractor's certification of his or her FCL (not
required for representatives of the U.S. Government, see paragraph 38); if
the contractor has a reciprocal FCL, so indicate.
e. When visits involve access to classified information requiring a
special access authorization (for example, CRYPTO, NATO, military space
project, or other special or limited access programs), the request will, in
addition to the other required information:
(1) specify the program or project,
(2) specify the level of information to be released,
(3) certify that the visitor has been authorized access to such
information, and
(4) identify the office or UA activity granting such authorization.
f. When appropriate, the visit request shall ask for approval for
subsequent visits within a 12-month period. The contractor or UA activity
initiating the visit request shall immediately notify the contractor or
activity being visited of any change in the visitor's status, such as, the
termination of employment, suspension, leave of absence, and the revocation or
termination of clearance, which will require the visit authorization to be
canceled prior to its normal termination date. In the event the initiating
contractor's FCL, as indicated in paragraph d(9) above, changes to a
reciprocal clearance, the initiating contractor shall immediately notify
contractors or UA's honoring current visit requests, so as to preclude the
visitor's access to certain types of classified information as set forth in
paragraph 31c. A downgrading of the FCL also requires an immediate
notification to contractors and UA's honoring current visit requests.
g. Machine-run or other rosters of employees, limited to those personnel
who are authorized access to particular levels of classified information and
who occupy positions which require classified visits, may be used for estab-
1/ To avoid delay in processing or rejection of visit requests, contractors
should exercise care in using nicknames, abbreviations, and acronyms which
may be unfamiliar to the recipient. Where repeated use of short terms is
desirable for brevity, an explanation should be provided.
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lishing visit request and approval authorizations as required by this section,
provided the machine-run (or other roster) or a covering letter furnishes the
essential information required by paragraphs d, e, and f above, and adequate
procedures are in effect to notify the visited facility of changes in employ-
ees' status, which will affect his or her visit authorization. Use of such
procedures must be acceptable to the facility being visited and such records
and controls shall be maintained in a current status at all times.
h. Industrial Security Representatives of the DoD and other UA's,
when acting in their official capacities, and representatives of the fol-
lowing U.S. Government agencies may visit contractor facilities without
having furnished advance notification of their intent to visit:
(DoD)
(1) Defense Investigative Service
(2) Inspector General, Defense Criminal Investigative Service
(3) U.S. Army Intelligence Command (Army)
(4) Naval Investigative Service (Navy)
(5) U.S. Air Force, Office of Special Investigations (Air Force)
(6) Secret Service (Treasury Department)
(7) Federal Bureau of Investigation
The contractor shall grant access to classified information to the minimum
required upon presentation of proper credentials by the representative.
In case of doubt as to identity or level of access authorized, such cre-
dentials and level of clearance shall be verified by contact with the
agency or activity concerned.
38. Identification and Control of Visitors.
a. Contractors being visited by representatives of another contractor
are responsible for determining that the requesting contractor has been
granted an appropriate FCL. This determination is based either on an exist-
ing contractual relationship involving classified information of the same or
higher category or by verification from the PIC-CVA. When the requesting
contractor's FCL status has been determined, his or her certification as to
the proposed visitor's PCL status may be accepted. The visitor's identity
shall be verified prior to any disclosure of classified information. If,
however, there is any question as to the validity of a visit request or
identity of the visitor, appropriate confirmation shall be obtained from the
contractor or UA activity that initiated the visit request.
b. The contractor shall establish such controls over the movement of
approved visitors as are necessary to ensure that the visitors are only
afforded access to classified information consistent with the authorized
purpose of the visit. Particular care shall be taken to ensure that his or
her procedures for the control of Category 4 (foreign national) visitors are
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sufficient to prevent any access not provided for by the terms of the visit
authorization. Such procedures shall provide for an escort while access is
being afforded in accordance with the terms of the foreign national's visit
authorization and when such a visitor is in areas where classified information
may be accessible. The escort, when required, shall be a responsible,
appropriately cleared employee who has been informed regarding the visitor's
access limitations or restrictions on the visitor's movements.
c. Visitors shall be prohibited from making records of classified dis-
cussions and taking photographs in areas where classified information might be
recorded on the film, without the express permission of the contractor being
visited.
d. Classified material shall not be released to the visitor for
removal from the contractor's facility, except as provided for by this
manual.
39. Visitor Record.
a. The contractor shall maintain a record of all visitors to the
facility for the purpose of having access to classified information. The
record shall indicate: (i) the visitor's full name, (ii) the name of the
contractor or activity he or she represents, and (iii) the date(s) of his
or her arrival at and departure from the facility. The visitor record
need not indicate whether the visitor actually did or did not gain access
to classified information, but it must distinguish between classified and
unclassified visits. Records of authorized visit requests for visits
actually consummated shall be maintained by the contractor for a minimum
of 2 years.
b. The contractor shall maintain a separate set of visitor records
for NATO visits. A NATO visit shall be considered to be: (i) a visit by a
person from a NATO country to a contractor in connection with precontract
negotiations or contract performance on a NATO classified contract, (ii) a
visit between a U.S. prime contractor and a subcontractor performing a NATO
classified contract, and (iii) other visits in which access to NATO classi-
fied information has been specifically authorized. Representatives of the
CSO, whose requirement for access to NATO classified information is only
incidental to the accomplishment of the security inspections at the
contractor's facility, shall not be considered to be "NATO visitors" nor
be required to enter their names on NATO visit records.
40. Long-Term Visitors. When employees of one contractor are temporarily
stationed at a facility of another contractor, the security procedures of the
facility visited will govern. However, when such visits are on a continuing
basis and it is found impractical for such visitors to comply with the
security procedures of the host facility, the respective cnntractors shall
prepare an agreement delineating theirrespective responsibilities and ,
encompassing the procedures to be followed. This agreement must conform to
the provisions of this manual and a copy shall be furnished to the CSO of the
host contractor. The CSO of the host contractor is responsible for conducting
periodic inspections to ensure that classified information in the possession
of the visiting employees is properly safeguarded, and for notifying the host
contractor of security deficiencies.
40.
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41. Visitor Categories and Procedures.
a. Category 1. This category applies: (i) when a contractual or
prospective contractual relationship exists between contractors or between a
contractor and a UA, and visits to a contractor by representatives of the GAO
for auditing purposes, authorized representatives of the Department of Labor,
and other agencies of the executive branch of the government when acting in
their official capacities; (ii) to visits among prime contractors who are
participating under government direction in contracts pertaining to research,
development, or production of a weapon system; (iii) to employees of
contractors producing items furnished to assembling contractors (GFP) for
purposes pertaining to such assembly; and (iv) to employees of a cleared
facility, which had previously been furnished a classified report directly by
the contractor being visited under the specific terms of a contract (excluded
from this category are facilities that receive only abstracts of classified
reports or reports from sources other than the preparing contractor). Such
visit requests will, in addition to the information required in paragraph 37,
also contain a statement identifying the specific report that the visitor is
authorized to discuss.
(1) The above visit requests will be submitted directly to the
contractor to be visited.
(2) The contractor to be visited has approval authority, provided
such visits meet the provisions of paragraph 37.
(3) The prime contractor or assembling contractor, as the case may
be, may initiate visit requests for employees of a subcontractor or contractor
supplying GFP, in accordance with paragraph 37, when he or she is in
possession of the information required by paragraph 37d.
(4) Employees of a temporary help supplier working for contractors
at their facilities shall be treated as regular employees of the using
contractors for the purpose of security orientation in facility practices,
procedures, and pertinent reports, while working under the contractors
direction and control (see paragraphs 5u, v, ab, and 6b(1)). This action by
the using contractor in no way relieves the temporary help supplier from
complying with these and other requirements of this manual.
b. Category 2. This category applies to visits between contractors who
have been granted FCL's, but do not have a contractual relationship, and
visits that do not otherwise meet the requirements of Category 1.
(1) The requesting contractor will obtain in writing a verification
of the visitor's need-to-know from his or her contracting officer and include
it with the visit request.
(2) The contractor to be visited will approve the request, if he or
she desires the visit.
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(3) The visiting contractor may substitute another cleared employee
to make the visit without additional verification of the need-to-know, if this
is acceptable to the contractor being visited. Information about the
substitution shall be furnished to the contractor being visited, as required
in paragraph 37d.
c. Category 3. This category applies to representatives or employees
of the DOE and its contractors whose visits require access to other than
RESTRICTED DATA.
(1) The activity requesting the visit will furnish the required
information to the contracting officer of the UA whose information is
involved, using DOE F 5631.20.
(2) If approved, the contracting officer will notify the contractor
of the scheduled visit, including required information concerning the visit
(DOE F 5631.20).
d. Category 4. This category applies to foreign representatives.
Except as authorized in subparagraph 41d(8) below, visits to contractor
facilities by foreign nationals (see paragraph 3ap) and persons acting as
representatives of a foreign interest (see paragraph 3bw), hereafter referred
to collectively as foreign representatives, must be officially sponsored by a
foreign government. Foreign sponsorship is normally reflected in an official
request for visit from the embassy of the nation concerned to the cognizant UA
foreign disclosure office 2/. The cognizant UA may then sponsor, deny, or
elect not to sponsor the visit. UA sponsored visits shall not be used to
avoid the licensing requirements of the ITAR published by the Department of
State, or the Export Administration Regulations, published by the Department
2/ The Defense Intelligence Agency is responsible for processing requests
to visit elements of the OSD, the Office of the Joint Chiefs of Staff
(OJCS) the Unified and Specified Commands, the Defense Agencies, and
activities administratively supported by the OSD. The following offices
are responsible for processing other visit requests:
Department of the Army
Assistant Chief of Staff
for Intelligence
ATTN: Foreign Liaison
Directorate (DAMI-FL)
Washington, D.C. 20310
Department of the Navy
Foreign Disclosure and Policy
Control Branch
Office of Chief of Naval
Operations (0P-622E)
Washington, D.C. 20350
Department of the Air Force
International Affairs Division
Information Branch (CVAII)
Office of the Vice Chief of Staff
Washington, D.C. 20330
Defense Intelligence Agency
Foreign Liaison Branch (DI-4A)
Washington, D.C. 20301
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of Commerce. The contractor shall be responsible for ensuring that both
sponsored and unsponsored visits by foreign representatives are effectively
denied unauthorized access to: (i) classified information, (ii) unclassified
technical data governed by the Export Administration Act, administered by the
Secretary of Commerce, and the Arms Export Control Act, administered by the
Secretary of State through the ITAR,and (iii) other unclassified information
for which the DOE, NRC, or other government department or agency has
prescribed dissemination limitations.
(1) Foreign nationals shall not be afforded access to classified
information, unless specifically authorized in writing by a UA.
(2) The UA sponsorship of a visit is based on the existence of a
specific or potential program or project with the foreign government
concerned. UA notification of sponsorship will contain the level and scope of
classified information authorized for disclosure (visual and/or oral only), as
well as any limitations, and will be transmitted to the CSO for review and
retransmittal to the contractor facility to be visited. Final acceptance of
the visit will be subject to the concurrence of the contractor. The
contractor shall notify the UA when the visit is not desired. The contractor
may not change the level or scope of classified information to be released, or
modify any limitations, without the approval of the UA that approved the
visit.
(3) The contractor shall not inform the foreign representatives, or
their employers, of the scope of access authorized or of the limitations
imposed by the UA, nor shall the foreign representatives be induced to seek a
higher access level than previously approved by the UA.
(4) The fact that a foreign representative may possess a PCL at a
particular level does not automatically entitle the individual to receive U.S.
classified information at that level.
(5) Prior to disclosure of classified information to foreign
representatives, the contractor being visited shall advise such visitors of
their continuing responsibilities to safeguard the information to be
disclosed. The contractor shall also inform the visitors that the information
affects the national defense of the U.S. within the meaning of the espionage
laws of the U.S., and that unauthorized disclosure violates international
agreements and is harmful to the interests of national security.
(6) If the UA declines to sponsor a visit, a declination notice
will be furnished to the requesting embassy with an information copy to the
security office of the contractor facility(ies) to be visited. A copy of
the visit request will accompany the declination notice. Lack of sponsor-
ship does not equate to disapproval nor does it preclude accomplishment of
the visit, provided the contractor has, or obtains, a munitions license for
the specific technical information proposed for release, or the information
is otherwise exempt from the licensing requirements of the ITAR. Unspon-
Bored visits may be arranged between the foreign activity proposing the
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visit and the contractor. Disclosure of classified information during
unsponsored visits is prohibited: (i) without specific written authorization
from the cognizant Military Department, or (ii) without a previously approved
and current munitions license issued by the Department of State. It is the
contractor's responsibility to consult applicable Department of State and
Department of Commerce regulations to determine export licensing requirements
or exceptions regarding the disclosure of unclassified technical data during
visits by foreign representatives.
(7) In the event a UA denies a request to visit, the requesting
embassy and the contractor(s) involved will be advised of the reasons(s) for
it by means of the distribution channels prescribed in paragraph (6) above.
(8) The following rules apply to reciprocally cleared contractors:
(a) Visit requests involving U.S. citizen employees of
reciprocally cleared contractors (see paragraph 31.3) that require access to
classified information or unclassified information related to a classified
program or project, and all visit requests involving foreign national
employees of such firms, shall be processed to the UA foreign disclosure
office having jurisdiction over the information involved. To reduce
administrative burden and facilitate the timely conduct of visits associated
with current or potential classified prime contractual or subcontractual
relationships, contractors are encouraged to include as many activities to be
visited as possible on each such request and propose that such visit request
be approved on a recurring basis, preferably for the duration of the contract
or subcontract involved. Copies of approved requests will be furnished by the
cognizant UA foreign disclosure office to the requesting contractor and to
each contractor and UA activity approved for visitation. All subsequent
changes to the list of visitors may be communicated by the requesting
contractor directly to the activities to be visited, ATTN: Security Officer,
making reference to the pertinent approved visit request on file. However,
requests to visit activities not previously approved must be submitted
separately to the cognizant foreign disclosure office for approval.
(b) Visits by U.S. citizen employees for unclassified
commercial purposes may be arranged directly with the security office of the
contractor or UA activity to be visited.
e. Category 5. This is a special purpose category which is to be
applied in rare situations and only with the knowledge and authorization
of the UA whose classified information is involved. It pertains to persons
who do not qualify under any of the other categories, and whose visits to a
contractor's facility are considered necessary and essential by the con-
tractor who states in writing that the visitor cannot be denied access to
classified information by escort or other security measures. Only U.S.
citizens are eligible to make visits in this category. Under no condition,
shall a visitor in this category be permitted physical custody or personal
possession of classified information. Access to classified information at
the TOP SECRET level is prohibited and shall not be authorized.
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(1) Contractors are required to deny access to classified
information by escorting visitors or by other security measures. However,
under certain circumstances, contractors may be unable to effectively
prevent aural and or visual access to classified information by a visitor.
In these situations, the contractor shall advise the UA and obtain authori-
zation before allowing the visit to take place by submitting the following
information to the UA:
(a) Name of the visitor, date and place of birth.
(b) Name of company or agency of employment and address.
(If self-employed, so indicate.)
(c) Purpose and justification for the visit in sufficient
detail to allow the UA to determine the necessity for the visit. Numbers
or names of programs, projects, or contracts which are involved, should be
provided for identification purposes. Level of the classified information
involved must be specified.
(d) A complete and detailed explanation of the reasons
escort or other security measures cannot be provided by the contractor
effectively prevent aural and or visual access to classified information
by the visitor.
(e) Date of proposed visit and anticipated duration of time
required for the visit.
(f) Completed DD Form 48 and FD Form 258, as specified
in paragraph 26, or forms as directed by the UA. The contractor to be
visited shall act as a sponsor instead of an employer in the completion
of forms and shall act as a witness wherever required on the forms. Veri-
fication of U.S. citizenship shall be accomplished in the same manner as
required by paragraph Sae.
(2) Visit renewals may be authorized at the discretion of the
UA.
(3) Personnel Security Clearances under the DISP are not
authorized for a visitor in this category.
42. Visits Involving Access to RESTRICTED DATA.
a. Visits to a DoD or NASA contractor by a DoD or NASA representative
or contractor shall be processed as prescribed in paragraph 37.
b. Visits to a DoD or NASA contractor by representatives of UA's, other
than DoD and NASA and their contractors, require prior approval of the DOE.
The DOE F 5631.20 shall reflect this approval in part B of the form. Contrac-
tors submitting visit requests in this category shall, after certifying to the
clearance status of the proposed visitor(s) in part A of the DOE F 5631.20,
forward the form to the contracting officer for certification of the visitor's
need-to-know and further processing, in accordance with the UA's regulations.
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The contractor receiving a visit request in this category shall ensure that
the required certifications have been made and that the visit has received DOE
approval.
c. Visits to a UA contractor, other than to a DoD or NASA contractor by
representatives of the contracting UA and between a prime contractor and his
or her subcontractor on such a UA contract, shall be processed as prescribed
in paragraph 41.
d. Visits to a UA contractor, other than to a DoD or NASA contractor by
representatives of UA's other than the contracting UA and by contractors other
than under a prime-subcontractual relationship, require prior approval of the
DOE and shall be processed in the manner prescribed in paragraph b above.
Part 2. VISITS TO USER AGENCY ACTIVITIES
43. General Rules -- In Addition to Paragraph 37.
a. Contractors shall comply with any requests received from the
Commander or Head of UA activities for additional information needed in the
processing of visit requests.
b. The contractor is encouraged at the time of the initial visit to
request approval for subsequent visits within a period of 12 months, when
necessary and consistent with the purpose of the initial visit. Arrangements
for continuing visits will be made between the contractor and the Commander or
Head of the UA activity. Final approval is the prerogative of the Commander
or Head of the UA activity.
c. Visits to DoD or NASA activities by DoD or NASA contractors,
involving access to RESTRICTED DATA, shall be processed as prescribed in
paragraph 42a. Visits to other UA's involving access to RESTRICTrA) DATA shall
be processed in the manner prescribed in paragraph 42b.
d. Contractor employees shall comply with written regulations and
operating instructions issued by UA activities concerning visitors to such
activities.
44. Visits to User Agency Activities in the United States.
a. Visits to Field Activities. Contractors desiring to have an
employee or consultant visit a UA activity involving access to classified
information shall address a request in writing to the Commander or Head of the
activity to be visited. Visit requests shall be accompanied by a statement
from the contracting officer that the release of classified information is
required in connection with a specified classified contract or program.
(Visit requests normally will be sent via the contracting officer.)
b. Visits to UA Activities in the Washington, D.C. Area. Requests to
visit offices of headquarters activities of the UA's in the Washington, D.C.
area shall be submitted in writing and addressed to the specific office to be
visited. Whenever possible, the exact code number, division, branch, and so
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on, of the activity or office to be visited shall be included in the address
of the request. Visit requests shall be accompanied by a statement from the
contracting officer that the release of classified information is required in
connection with a specified classified contract or program. (Visit requests
normally will be sent via the contracting officer.)
c. As an exception to paragraphs a and b above, a visit request may be
submitted directly to the activity or office to be visited without a statement
from the contracting officer, when the classified information to be disclosed
and the determination as to the contractor's need for such access is known to
be a responsibility of the activity or office to be visited. This exception
does not apply to visits involving access to classified intelligence
information as set forth in paragraph e below.
d. The contractor's request shall contain the information specified in
paragraph 37d.
e. If a contractor contemplates discussion or viewing of classified
intelligence in the custody of a UA activity, the contractor's visit request
shall be forwarded in all cases to the contracting officer of the UA activity
authorized to release classified intelligence to contractors for the required
need-to-know verification and routing to the UA to be visited. In addition to
the information specified in paragraph 37d, the visit request shall contain
the following:
(1) the contractor's certification that: (i) access to classified
intelligence is required for contract performance, and (ii) the contract is a
classified contract (see paragraph 3i), and
(2) sufficient additional information concerning classified
intelligence required to permit the agency or activity receiving the visit
request to assess:
(a) applicability of available classified intelligence to the
contractor's needs, and
(b) whether available intelligence may be released to the
contractor without permission of the originator and/or sanitation of the
material.
45. Visits to User Agency Activities Outside the United States. This
paragraph is applicable when a contractor desires to have an employee make a
classified or unclassified visit to a UA activity outside the U.S. The
information required by paragraph 37d shall be furnished for the visits
enumerated in this paragraph.
a. Contractor Sponsored Visits. A contractor shall process a request
for his or her employee to visit a UA activity outside the U.S. through DISCO
to the UA activity concerned, if the visit is on the initiative of the con-
tractor. The Commander or Head of the activity to be visited will notify the
contractor of the approval or disapproval of the visit request. (See para-
graph 50 for an employee based in Europe.)
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b. UA Sponsored Visits. A visit request for a contractor employee
sponsored by a UA and traveling on the UA's orders will be processed by the
UA, in accordance with the regulations of such agency. The traveler's orders
shall reflect the traveler's level of security clearance, if required, in
connection with the travel. The contractor shall submit the request for such
visit directly to the UA activity concerned.
Part 3. VISITS TO GOVERNMENT ACTIVITIES OTHER THAN USER AGENCIES
46. Visits to DOE Installations or DOE Contractors. Requests for visits to
DOE installations or to DOE contractors, which will require access to DOE
classified information, shall be prepared utilizing DOE F 5631.20. (Copies of
this form may be obtained from any DOE installation.) (In addition to
completing the appropriate portions of the DOE F 5631.20), the contractor
(usually the FSO) shall include in the first block of the form immediately
after the personnel clearance data, a certification of the prospective
visitor's PCL. The DOE F 5631.20 shall then be forwarded, for the required
official certification, to the contracting officer of the UA who signed the DD
Form 254 that was issued in connection with the contract for which the DOE
classified information is required.
47. Visits to Activities Other Than DOE. Requests for visits to government
activities, other than UA's and the DOE, which involve the release of
classified information to such activities in connection with a UA contract,
require the approval of the contracting officer and, if the classified
information to be released includes RESTRICTED DATA, the approval of the DOE.
Such requests shall be submitted by the contractor to his or her contracting
officer who will process the request. The contractor shall provide evidence
of the fact that the activity to be visited had either requested the proposed
visit or consented to the contractor's request for the visit. In addition, a
statement shall be included explaining: (i) the purpose of the visit in
detail, (ii) a description of the classified information to be divulged during
the visit either to or by the activity being visited, and (iii) the direct or
indirect effect the visit may have on the performance of the classified
contract involved.
Part 4. VISITS TO FOREIGN GOVERNMENTS AND ACTIVITIES
48. General.
a. Contractor visits to foreign governments or activities or to inter-
national bodies fall into three categories.
(1) The first includes visits that involve the disclosure of U.S.
classified information:
(a) in connection with a government-to-government agreement to
furnish U.S. military equipment to the foreign government (that is, the
purchase of the equipment is under a U.S., not a foreign government contract);
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(b) in connection with exploratory sales visits, precontract
negotiations, or contract performance, other than those covered under
paragraph (a) above (that is, the purchase of the U.S. military equipment or
services when and if consummated will be or is under a foreign government
contract); or
(c) in connection with U.S. Government presentations to
foreign governments and international pact organizations, when the U.S.
Government has requested the contractor's participation.
(2) The second includes visits that do not involve disclosure of
U.S. classified information, but where the foreign government or activity
requires a U.S. security assurance on the visitor:
(a) which involve disclosure of unclassified technical data on
the "U.S. Munitions List;" or
(b) which will not involve disclosure of technical data on the
"U.S. Munitions List."
(3) The third includes visits on a commercial basis (that is, the
visits do not involve disclosure of U.S. classified information and do not
require a U.S. security assurance on the visitor). These visits may or may
not involve disclosure of unclassified data on the "U.S. Munitions List."
Visits in this category are not processed under the provisions of this manual.
However, the contractor is responsible for compliance with the ITAR and for
obtaining a State Department export license or letter, if required.
b. The following information concerning the requirements of the ITAR is
furnished for the guidance of the contractor:
(1) Disclosure of classified information, in connection with visits
in the category described in paragraphs a(1)(a) and (c) above, does not
require an export license.
(2) Except as specified in paragraph (3) below, disclosure of
unclassified technical data related to "U.S. Munitions List" items requires an
export license.
(3) An export license is not required if the visit has been
approved on an unclassified basis by the UA concerned, and (i) the technical
data to be disclosed is information covered by a manufacturing license or
technical assistance agreement approved by the Department of State, or (ii)
the technical data to be disclosed is exempt from the provision of the ITAR.
c. Requests for visits to foreign governments or activities shall be
processed only for an employee who is the subject of an LOC. Contractor-
issued CONFIDENTIAL clearances are not valid for such visits.
d. Visit requests shall be processed as follows:
(1) Visit requests in the categories described in paragraphs
a(1)(b) and a(2)(a) and (b) above shall be processed by ale contractor through
DISCO.
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(2) Visits in the categories described in paragraphs a(1) (a) and (c)
above shall be processed by the contractor, in accordance with the regulations
of the UA that is dealing with the foreign government. The contractor shall
certify visit clearance information directly to the UA concerned. If the UA
is unable to process such requests, they will so endorse the contractor's
request and refer it to DISCO for processing. Such endorsement will
constitute approval of the visit and reference to an export license will
not normally be required on the visit request.
e. Visit requests processed through DISCO shall be submitted in
duplicate with one extra copy for each additional country to be visited, and
shall contain the information required in paragraph 37d, as well as proposed
visitor's passport or identification card number, and date and place of
issuance. In addition, the contractor shall specify the category of visit
that is involved (see paragraph a above) and, for a visit of the type
described in paragraphs a(1)(b) or a(2)(a) above, will certify the export
license number and license expiration date within the visit request. For
visits to the Swiss Government and contractor facilities, the legal residence
address of each visitor must also be shown.
49. Processing Time. Visit requests should be received by DISCO at least 45
days in advance of the proposed travel date for all countries and U.S.
overseas commands. Exceptions are for travel to Switzerland, which requires
70 days advance notice. Requests for visits in France must be for specific
dates, as France will not approve visits for indefinite periods.
50. Use of OISI. If the U.S. contractor employee making the visit is based
in Europe, or in an adjacent non-European country, the visit request may be
submitted through OISI rather than through DISCO. The information required in
paragraph 48e shall be included with the request. The OISI will verify the
proposed visitor's security status. In addition to furnishing a copy of the
export license or letter, when required in accordance with paragraph 48e, the
contractor is responsible for compliance with the ITAR, if applicable, in the
same manner as though the visit were arranged through DISCO.
Part 5. VISITS IN CONNECTION WITH BILATERAL INDUSTRIAL SECURITY AGREEMENTS
AND NATO VISITS PROCEDURES
51. Visits in Connection With Bilateral Industrial Security Agreements.
a. The following procedures apply to visits pertaining to precontract
negotiations or contract performance under approved bilateral agreements
involving a foreign classified contract in the U.S. or a U.S. classified
contract in a foreign country.
(1) Authorization for visitors or those visited to have access to
classified information shall be limited to that necessary for official pur-
poses in connection with precontract negotiatiors or contract performance.
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When requested, the authority to visit the facility of the prime contractor
may include authorization to have access to or to disclose classified infor-
mation at the facility of a subcontractor engaged in performance of work in
connection with the same contract.
(2) A list may be developed to indicate those individuals who are
authorized to visit the facility for extended periods of time, not to exceed 6
months, as may be necessary in the performance of the contract. This
authorization may be renewed for additional periods of 6 months as may be
necessary in the performance of the contract.
(3) Visits shall be approved only for persons possessing U.S.
Government granted security clearances.
b. U.S. contractor visits in connection with foreign classified
contracts shall be processed in accordance with the provisions of paragraph
48.
c. Representatives of foreign governments visiting U.S. activities
shall be processed as Category 4 visitors, in accordance with paragraph 41d,
if the U.S. classified information is involved in the foreign government's
contract. If only foreign classified information is involved, the visit shall
be processed by DISCO.
52. NATO Visit Procedures. The following visitor control procedures apply to
a NATO precontract negotiation or to a NATO contract awarded to a U.S.
contractor by a NATO government other than the U.S., a contractor of such NATO
country, or a NATO international body:
a. Visits by Representatives of a U.S. Contractor to the NATO Contract-
ing Officer, a NATO Management Office, or a Contractor of a NATO Country Other
Than the U.S. The visit request, in quadruplicate, will be directed through
DISCO to the NATO contracting office or to the NATO management office and will
be processed together with a Certificate of Security Clearance (see paragraph
55). The Certificate of Security Clearance shall indicate whether or not the
visitor has received a NATO security briefing. Whenever possible, the NATO
security briefing will be accomplished prior to the submission of the visit
request and the certificate will state so. When this is not practical, the
visit request will include a statement as to when and by whom the NATO
security briefing will be conducted. The visit request shall include the
information specified in paragraph 37d, the visitor's passport or identity
card number, date and place of issuance, and the NATO contract or program an
which he or she is engaged.
b. Visits by Representatives of NATO Contracting Officer, a NATO Manage-
ment Office, or of a Contractor of a NATO Country to the U.S. Contractor.
Such requests shall be processed by the NATO activity concerned as a Category
4 visit (see paragraph 41d) through the appropriate UA activity. Such visit
requests will contain the information specified in paragraph a above.
c. Visits in Connection with NATO Contracts by Representatives of a
U.S. Contractor to Another U.S. Contractor in the U.S.
(1) Such visits shall be processed as Category 1 visits (see paragraph
41a), if both contractors are performing on the same NATO contract in a prime
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contractor to subcontractor or subcontractor to subcontractor relationship. A
statement on NATO security briefing shall be included in the visit request.
(2) If no contractual relationship exists between the contractors,
the visit request shall be processed as a Category 2 visit (see paragraph 41b)
requiring the approval of the NATO contracting officer whose information is
involved. Supporting information on NATO briefing and the Certificate of
Security Clearance shall be included in such visit requests. The visit
request, together with two copies of the Certificate of Security Clearance,
will be processed through DISCO to the NATO Contracting Officer.
d. Recurring Visits. Subsequent visits shall be processed in accordance
with paragraph 37f. Authorization for subsequent visits shall not exceed a period
of 12 months, but may be subject to renewal for succeeding periods of 12 months,
if required (see paragraph 53b for NPLO visit requests).
53. NPLO Programs Clearance and Visit Procedures. Clearance and visit
control procedures in effect for contractors performing on specific NPLO
programs are different from other NATO visit procedures. Current NPLO
programs are HAWK, F-104G, NAMSA, and NISCO. As an aid to simplifying visit
procedures, it is necessary to establish the visiting contractor employee's
clearance in connection with a specific NPLO program. This may be accomplished
prior to the initial or concurrently with the request for such visit.
a. Initial Visits.
(1) The visit request, in quadruplicate, will be directed through
DISCO to the NPLO Management Office with a copy to the NATO activity to be
visited and will be processed together with a Certificate of Security Clearance
(see paragraph 55). The visit request shall include the information specified
in paragraph 37d, the visitor's passport or identity card number, date and
place of issuance, and the NPLO program with which he or she is concerned.
(2) The DISCO will forward the visit request to the NPLO Management
Office, which will inform appropriate NATO and foreign activities of its
action; that is, approval or disapproval.
(3) The Certificate of Security Clearance will be forwarded by
DISCO to the NATO Office of Security, Industrial Security Section, for
recording and dissemination of the information to the NATO member countries
and NPLO Management Offices concerned.
(4) In case of urgency when a Certificate of Security Clearance has
not been forwarded to the NATO Office of Security, Industrial Security
Section, in advance, DISCO will attach a copy of the Certificate of Security
Clearance to the visit request for transmission to the NPLO Management Office.
b. Recurring Visits. If the initial visit is approved, subsequent
visits, not to exceed 6 months to the same NPLO activity for the same U.S.
contractor employee, will be processed by the U.S. contractor directly to the
NPLO activity to be visited. That activity will notify the contractor of the
approval of the visit. These subiequent visit requests will contain the
information required by paragraph 37d and will include the visitor's passport
or identity card number, and date and place of issuance.
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54. Records of NATO Visits. The contractor shall keep a separate set of
visitor records for NATO visitors containing the information specified in
paragraph 39.
55. Certificate of Security Clearance.
a. A standard format Certificate of Security Clearance has been adopted
for use within the NATO community in connection with visits from one NATO
country to another, or to a NATO office, agency, command, or to or between
contractors when a visit will involve access to NATO classified information.
b. The Certificate of Security Clearance shall be completed on plain
bond paper by the contractor for his or her employees desiring to make a
visit, and submitted in duplicate for certification to DISCO. The employee's
name shall be listed in the following order: last name, first name, middle
name.
c. This certificate shall be sent sufficiently in advance by the con-
tractor through DISCO so as to ensure receipt by the foreign officials of the
NATO offices, agencies, commands, or contractors before arrival. In excep-
tional circumstances, the information required by the certificate may be
supplied by other means of communication, but must be confirmed in writing.
Normally, a copy of this certificate should not be given to the traveler.
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Issued by
(Sample)
DEFENSE INDUSTRIAL SECURITY
CLEARANCE OFFICE
Certificate of Security Clearance
(Authorizing Access to NATO Classified Information)
Date and place of issue
Valid until
(If issued to an individual, this certificate should be returned to the
granting authority on the termination of the mission for which issued.)
This to certify that
Date of birth
Place of birth
Nationality
Last name, first name, middle name
Where employed
Programme(s)
Holder of passport/identity card No.
Issued at
Military rank and number
(where applicable) has been cleared for access to information classified
up to and including
in accordance with current NATO Security Regulations.
(Has)(Has not) received a NATO Security briefing.
Date of briefing:
Signature and Title of Granting Authority
(seal or stamp)
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Section VI. SUBCONTRACTORS, VENDORS, AND SUPPLIERS
56. Application to Subcontractors. The provisions of this manual apply to
subcontractors, vendors, or suppliers of prime contractors (hereafter referred
to as a subcontractor). A subcontractor shall submit requests through the
prime contractor to the contracting officer for an authorization or approval
requiring action by the contracting officer under the provisions of this
manual. However, if any such request is clearly encompassed in an
authorization previously given in writing to the prime contractor by the
contracting officer, in relation to a specific contract, the prime contractor,
acting within the scope of such authorization, may approve or disapprove such
request. Requests involving release of U.S. classified information to foreign
subcontractors must be forwarded to the UA for authorization.
57. Application to Sub-Subcontractors. For the purposes of this manual, each
subcontractor shall be considered as a prime contractor in relation to his or
her subcontractors.
58. Determination of Clearance Status.
a. The prime contractor shall determine from the Personnel Investiga-
tions Center (PIC)-Clearance Verifications Activity (CVA), mailing address:
Defense Investigative Service
PIC-CVA
P.O. Box 1211
Baltimore, MD 21203-1211
Telephone Number [phone]
that the prospective subcontractor has been granted an appropriate FCL prior
to disclosure of any classified information, unless there is an existing con-
tractual relationship between the parties involving classified information of
the same or higher category. (An FCL is not prima facie evidence that a
facility has the capability to physically safeguard classified material.) If
physical possession of any classified material is to be granted to the
prospective subcontractor, the procedures outlined in paragraph 59 shall be
followed.
b. If the prospective subcontractor does not have an appropriate
FCL, the prime contractor may request the CSO of the subcontractor to
initiate clearance action. The term "prospective subcontractor," as used
herein, means a subcontractor whose services are required for the perfor-
mance of an existing classified contract or subcontract. Requests will
include, as a minimum, the full name, address and telephone number of the
requester; the full name, address, and telephone number of a contact at the
facility to be cleared; the level of clearance and safeguarding capability
required; and full justification for the request.
c. Requests to process a prospective subcontractor for an FCL must
be based on a bona fide procurement need for the prospective subcontractor
to have access to, or possession of, classified information during con-
tract activity, such as preparation of bids and proposals and precontract
negotiations, the performance of the subcontract, and all aspects of post-
contract activity. Requesting cleared contractors shall allow sufficient
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lead time in connection with the award of a classified subcontract to
enable an uncleared bidder to be processed for the necessary FCL. When
the FCL cannot be granted in sufficient time to qualify the prospective
subcontractor for participation in the current contract activity, the CSO
will continue the clearance processing action to qualify the prospective
subcontractor for future classified contract consideration provided:
(1) The delay in processing the FCL was not occasioned by a
lack of cooperation on the part of the prospective subcontractor;
(2) Future classified contract negotiations may likely occur
within 12 months; and
(3) There is a reasonable likelihood the contractor may be
awarded a classified subcontract.
59. Safeguarding Ability.
a. Prime contractors, having complied with paragraph 58a, shall obtain
written approval from the contracting officer, or his or her designated repre-
sentative, prior to the disclosure of TOP SECRET information to prospective
subcontractors.
b. Prime contractors, having complied with paragraph 58a, shall deter-
mine that prospective subcontractors meet the requirements of this manual for
safeguarding TOP SECRET, SECRET, and CONFIDENTAL material prior to granting
physical possession of such material to prospective subcontractors. (This
determination may be made at the same time as the FCL determination is made
under paragraph 58a.) 1/ Such determination shall be based on the following:
(1). the prime contractor's knowledge of the ability of the pro-
spective subcontractor to safeguard adequately the material to be released
and produced under the subcontract based on a current contractual relation-
ship involving classified material of the same or higher category as that to
be released or produced under the new subcontract, or
(2) the written authorization of the PIC-CVA or, if appropriate,
the CSO of the prospective subcontractor. In this connection, the prime con-
tractor shall provide the PIC-CVA or the CSO of the prospective subcontractor
with available information, such as description, quantity, end-item, and
classification of information related to the proposed subcontract and any
other factors, in order to assist the PIC-CVA or the CSO in determining
whether the prospective subcontractor meets the safeguarding requirements
of this manual.
1/ Under the following circumstances, the PIC-CVA will not be able to
respond and requesters shall make inquiries to the appropriate CSO:
(i) requests involving the transfer of material that would require
more than two cubic feet of storage, (ii) requests involving commercial
carriers under the provision of paragraph 17c5(c), Industrial Security
Manual, and (iii) requestb for certification of securicrclearance and -
safeguarding ability to the DTIC.
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(3) The PIC-CVA or, if appropriate, the CSO of the prospective
subcontractor shall advise the prime contractor in writing that the pro-
spective subcontractor is or is not physically equipped to safeguard the
classified material involved. When necessary action is taken by the
prospective subcontractor to provide adequate safeguards, the CSO of the
prospective subcontractor shall immediately inform the prime contractor.
(4) Verifications may be requested from the PIC-CVA by telephone
or letter and from the CSO, if appropriate, by message, telephone, or letter.
Should the foregoing verifications be requested via telephone, oral confirma-
tion will (normally) be immediately provided. In any event, under normal
circumstances written confirmation will be furnished to the requester within
5 working days from receipt of inquiry, regardless of mode. Unless otherwise
notified (superseded) in writing by the PIC-CVA or the CSO, if appropriate,
each verification furnished in accordance with this paragraph shall remain
valid for a period of 1 calendar year from the date of issuance. (Note: In
most instances the confirmation will be on the CSO's letterhead.)
(5) Clearance status and safeguarding capabilities of facilities
shall be obtained only when a specific procurement need exists.
60. Classification Guidance.
a. Prime contractors have a requirement to inform prospective subcon-
tractors of the category of classification to be assigned the various elements
in a subcontract, RFQ, RFP, IFB, or other solicitation. The prime contractor
in preparing the DD Form 254 for his or her subcontracts may extract pertinent
data from the DD Form 254 pertaining to the prime contract. The DD Form 254
prepared by the prime contractor shall be submitted to the official shown in
item 16e of the prime contract's DD Form 254 for approval and distribution, or
authorization and instructions for distribution, by the prime contractor. In
the absence of exceptional circumstances which clearly support classification,
the DD Form 254 will not be classified. If classified supplements are required
as part of the security guidance, they shall be identified in item 15 of the
DD Form 254 and forwarded by separate correspondence. Classified information
shall be so furnished after verifying clearance status and safeguarding
ability, in compliance with paragraphs 58 and 59. The provisions of this
paragraph do not waive the requirements of paragraph 62.
b. After selection of a subcontractor, the prime contractor shall
prepare a DD Form 254 for the subcontract and shall request the official
designated in item 16e of the DD Form 254 for the prime contract to approve
and sign the DD Form 254 for the subcontract and to make the required distri-
bution. However, with the agreement of the contracting activity, the prime
contractor may accomplish the required distribution of the approved DD Form
254. The distribution schedule of the DD Form 254 is included as paragraph
61.
c. When the prime contractor receives a revised DD Form 254 providing
additional guidance or a change in guidance, he or she shall prepare a revised
DD Form 254 for each subcontractor whose DD Form 254 requires a related
change. An ACO/PCO authenticating signature and distribution, or instructions
for distribution, of the contractor's DD Form 254 are required. When prime
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contractors receive notices that reviews have reaffirmed their existing
guidance, or receive revised DD Forms 254 that do not require related changes
in any subcontractors' DD Forms 254, they shall promptly give written notices
of reaffirmation of guidance to each subcontractor involved. This notice of
reaffirmation to subcontractors does not require ACO/PCO authenticating
signature. Instead, a true copy of the notice of reaffirmation received by
the prime contractor, or, when applicable, a true copy of pages 1 and 2 of the
revised DD Form 254 received by the prime contractor, annotated by the prime
contractor with the statement, "This revised DD Form 254 does not affect your
current DD Form 254 dated ," will suffice. In either
of the above cases, a signed transmittal letter from the prime contractor
shall be attached. Distribution of this written notice of reaffirmation to
subcontractors shall be in accordance with paragraph b above. With respect to
a MPO, the HOF shall provide the guidance for the revised DD Form 254, or the
written notice of reaffirmation of the existing guidance described above, as
applicable, to each of its operating facilities affected by the revised
guidance or involved in the notice, as the case may be.
d. The prime contractor will receive from the UA a DD Form 254 for each
classified item of GFP or GFE issued or authorized for purchase, when such
material is not covered by the classification specification issued with the
contract. The contractor shall furnish a DD Form 254 providing the classifi-
cation specification necessary for each of the subcontractors requiring use of
classified GFP or GFE in connection with their contracts or negotiations for
contracts with the prime contractor.
e. A new DD Form 254 is not required for a follow-on contract or sub-
contract when the procurement is of a recurring nature, or the end item is not
changed and there is no change in the security classification requirements of
the contract. However, a copy of the currently valid DD Form 254 for the
preceding subcontract shall be furnished and distributed with the follow-on
subcontract and annotated in items 3 and 4 to show the contract number and
date of the follow-on prime contract and subcontract. Item 6 will also be
completed, as appropriate.
f. There is no authorized substitute for the DD Form 254. There are
exceptional conditions in which a prime contractor has a serious time limita-
tion in preparing his or her response to a RFP, IFB, or similar solicitation
to a UA. In such cases the prime contractor, concurrent with dispatching the
DD Form 254 for official U.S. Government approval and signature, may supply an
unofficial copy of the same guidance to a prospective subcontractor for the
latter's use pending receipt of the approved and signed DD Form 254.
g. A single DD Form 254 may be used to provide the classification speci-
fication for an open-end or call type subcontract, except when the individual
call, purchase order, or request for services or products requires a different
classification specification from that provided for the overall subcontract.
h. The following special provisions are applicable to service, graphic
arts, research, or commercial carrier classified contracts:
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(1) A DD Form 254, which specifies the highest level of
classification involved, but does not provide detailed classification
guidance, will be issued under the following circumstances:
(a) The total requirement of the contract is the performance
of a service, all of which takes place at a cleared contractor's facility or
U.S. Government activity which has and makes available, for use by the con-
tractor performing the service, a currently valid Contract Security Classifi-
cation Specification, which includes complete guidance for the service to be
performed. In such cases, item 15 of the DD Form 254 will be annotated:
"Using contractor or activity will furnish complete classification guidance
for the service to be performed. The highest level of classification for the
contract is (TOP SECRET, SECRET, or CONFIDENTIAL). Contract performance is
restricted to (name of facility or location)."
(b) The contractor has no performance requirement involving
actual knowledge of, generation, or production of classified information, but
has only a requirement to be physically present in an area where classified
information is located. Examples include, but are not limited to, contracts
calling for guard, alarm, alternate storage, or equipment maintenance services.
In these cases, item 15 of the DD Form 254 will be annotated: "Actual knowledge
of, generation, or production of classified information is NOT REQUIRED. This
document serves as written notice of the letting of a classified service con-
tract. The highest level of classification for the contract is (TOP SECRET,
SECRET, or CONFIDENTIAL)."
(c) The contract requirement is limited to graphic arts
reproduction and classification markings appearing on the material to be
reproduced. These classification markings constitute the required Contract
Security Classification Specification. In these cases, item 15 of the DD Form
254 will be annotated: "Reproduction service only. The highest level of
classification for the contract is (TOP SECRET, SECRET, or CONFIDENTIAL).
Classification markings on material to be reproduced specify the required
security guidance."
(2) When a cleared commercial carrier enters into a classified
service subcontract with a cleared facility, within the meaning of paragraph
(1)(b) above, the carrier, serving as a prime contractor for such purpose, will
issue a DD Form 254 to that cleared facility. In any such case, the require-
ments of paragraphs (1)(b) above and (3) below will apply.
(3) In each of the cases described in paragraphs (1) and (2) above,
if a subcontract at any tier is involved, the DD Form 254 for the subcontract
will not require authentication by the signature of an ACO/PCO. Instead, the
contractor who is the principal prime, or who serves as a prime contractor in
relation to a subcontractor in the particular case, will complete and sign
item 16. Further, in all cases distribution of the DD Form 254 will be made
to the subcontractor involved, his or her CSO, and the contract administration
office(s), if designated, of the immediate prime contractor and subcontractor
involved.
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(4) Where a contract involves research services requiring detailed
classification guidance, but it is too early to determine these detailed
requirements, item 15 of the DD Form 254 will be annotated: "This is a
research contract. The highest level of classificatiOn for the contract as a
whole is (TOP SECRET, SECRET, or CONFIDENTIAL). A revised DD Form 254 will be
issued as soon as possible, to provide detailed security classification
guidance."
i. In the case of a subcontract, which is expected to require access
only to classified reference material (see paragraph 3bt), an original DD Form
254 will be issued to describe the highest category or various categories of
classification of such material to which access will be required and to provide
other instructions, as appropriate, for example, the protection of information
extracted from such material. Classification guidance concerning reference
material is the responsibility of the department or agency having classification
jurisdiction over such material at the time it was prepared, or of the current
successor in interest of that department or agency. When the prime contractor
requires classification guidance for reference material in order to prepare a
DD Form 254 for the subcontractor, or for other reasons and needs assistance
in identifying the responsible department or agency, he or she shall, by
direct communication, seek assistance from the following:
(1) The secondary distribution source from which the material was
received. Examples of secondary distribution sources are: DTIC, Alexandria,
Virginia 22314 and its field extensions; DoD Information Analysis Centers; and
the Redstone Scientific Information Center, U.S. Army Missile Command, Redstone
Arsenal, Alabama 35808.
(2) The UA contracting office last involved with the contractor
concerning the subject matter of the material.
(3) If unsuccessful in identifying the responsible department or
agency by communication with (1) and (2) above, the contractor shall seek
assistance from:
(a) the UA which awarded the prime contract, or
(b) the Director for Information Security, OUSD(P).
61. Required Distribution. Original, final, and revised DD Forms 254,
supplements, attachments, and written confirmation of existing classification
specifications are to be distributed as follows 2/:
2/ Reflect the distribution in the "Required Distribution" block of the DD
Form 254. For SENSITIVE COMPARTMENTED INFORMATION contracts, distribution
of the-DD Form 254 and attachments will be as prescribed by the procuring
contracting agency concerned.
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a. For prime contracts:
(1) Prime contractor
(2) CSO of prime contractor
(3) Appropriate ACO
(4) Quality assurance representative
(5) Official identified in item 12b, DD Form 254
(6) Others as necessary
b. For subcontractors:
(1) Prime contractor
(2) Appropriate ACO
(3) Subcontractor
(4) CSO of subcontractor
(5) Quality assurance representative
(6) Official identified in Item 12b, DD Form 254
(7) Others as necessary
c. For sub-subcontracts:
(1) Prime contractor
(2) Appropriate ACO
(3) Subcontractor
(4) Sub-subcontractor
(5) CSO sub-subcontractor
(6) Quality assurance representative
(7) Official identified in Item 12b, DD Form 254
(8) Others as necessary
d. For solicitations (IFB, RFQ, RFP), distribution of DD Form 254 for
IFB, RFQ, or RFP, will be the same as for the prime contract, subcontract, or
sub-subcontract to which the solicitation is related, except that none is to
be sent to the quality assurance representative.
62. Notification of Selection. The prime contractor shall immediately
furnish in writing to the contracting officer, or his or her designated
representative, the names and addresses of each of the subcontractors to
be engaged on classified work under a prime contract, and the highest
classification of information that shall be released or developed thereunder.
63. Unsatisfactory Security Conditions. If notified by a CSO of unsatisfac-
tory security conditions within a subcontractor's facility, contractors shall
follow the instructions they receive from the contracting officer relative to
what action, if any, should be taken in order to safeguard classified material
relating to their subcontract.
64. Disposition of Classified Information. The subcontractor shall destroy
classified material, as provided by paragraph 19, unless the prime contractor
requests return or authorizes retention. However, the prime contractor shall
obtain the approval of the contracting officer, or his or her designated
representative, authorizing a subcontractor to retain classified information.
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65. Subcontracting With Foreign Industry.
a. The U.S. has entered into bilateral security agreements with
several foreign governments to establish the intent of both parties to
protect each others classified information. The U.S. negotiates two basic
types of security agreements, the General Security of Information Agreement
(GSOIA) and the Industrial Security Protocol. The CSO should be contacted
concerning whether a particular country has entered into either type of
bilateral agreement.
(1) The General Security of Information Agreement (GSOIA). The
GSOIA is a government-to-government agreement, negotiated through diplomatic
channels. It states, in substance, that each party to the agreement will
afford to the classified information provided by the other the degree of
security protection afforded it by the releasing government. It contains
provisions concerning the use of each government's information, third party
transfers, and proprietary rights. It specifies that transfers of informa-
tion will be on a government-to-government basis. It provides that both
parties agree to report any compromise, or possible compromise, of classi-
fied information furnished by the other party. Moreover, the GSOIA states
that both parties will permit visits by security experts of the other party
for the purpose of conducting reciprocal security surveys. The purpose
of such surveys is to determine whether the foreign government has the
capability to protect U.S. classified information in a manner that is
substantially equivalent to the protection afforded to it by the U.S.
(2) The Industrial Security Protocol. The Industrial Security
Protocol is negotiated by the DoD as an annex to the GSOIA, with those
foreign governments with which DoD has entered into coproduction, codevelop-
ment, and/or reciprocal procurement arrangements, involving industry. It
includes provisions for clearance of facilities and personnel, the handling
and transmission of classified material, and procedures for visits.
b. The above-cited security agreements apply only when a contract,
subcontract, or other such government approved arrangement, is awarded to a
foreign or U.S. contractor by or on behalf of the U.S. Government or the
signatory foreign government, as applicable. They do not apply in the case
of an industry-to-industry arrangement, unless it is in furtherance of a
documented government-to-government cooperative program, for example, a co-
production memorandum of understanding. In such instances, the government-
to-government arrangement will stipulate that all classified military in-
formation approved for release under the program will be safeguarded, in
accordance with the applicable GSOIA and Industrial Security Protocol. If
such agreements do not exist with the foreign government concerned, the
necessary security provisions are incorporated in the documentation estab-
lishing the government-to-government program. Consequently, subcontracts,
which require the release of U.S. classified military information, may be
awarded to foreign industry only when: (i) the subcontract is in
furtherance of a specific government-to-government arrangement, or (ii)
assurances are obtained through government channels that the government of
the country in which the foreign industry resides will assume responsibility
for ensuring the security protection of the U.S. classified information
involved. All such subcontracts require the approval of the UA having
jurisdiction over the classified information involved.
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66. Subcontracts Arising From Foreign Classified Contracts. Unless
specifically prohibited in the contract, a U.S. contractor awarded a foreign
classified contract by a government with which the DoD has entered into a
bilateral industrial security agreement may subcontract within the U.S., in
accordance with the provisions of this manual, within the country of the con-
tracting foreign government, in accordance with instructions furnished by the
designated agency of that government, through the Deputy Director (Industrial
Security), HQ DIS. In addition, a U.S. contractor may subcontract within any
other country only with the permission of, and under conditions agreed to by,
the contracting government, and the government of the country of the subcon-
tractor. These conditions shall be furnished to the contractor through the
Deputy Director (Industrial Security), HQ DIS. In those cases where U.S.
classified information is involved in the subcontract, the contractor or
foreign government, shall, prior to its release to the foreign government,
obtain an export letter/license authorization from the Department of State or
specific approval of the U.S. UA that originated the information.
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Section VII. CONSULTANTS
67. General. PCL and/or FCL requirements for self-employed consultants
to UA activities and contractors shall be determined in accordance with
this section. In all cases, self-employed consultants shall have valid
PCL's issued in accordance with the requirements of this manual. Consul-
tants are not eligible for access to classified information outside the
U.S. and its trust territories and possessions, unless in official travel
status of not more than 90 days in any 12-month period. Consulting firms
and Type B Consultants shall be processed for an FCL. As a general rule,
however, self-employed consultants will not require an FCL, regardless of
the business structure involved. The CSO will provide advice regarding the
need for a particular consulting firm to be cleared.
68. Consultant -- Type A. The consultant does not possess classified
material, except at the using contractor's cleared facility, on the pre-
mises of a UA activity, or while on visits authorized under section V.
All requirements of this manual apply to the consultant who, for security
administration purposes only, shall be considered to be an employee of the
UA.
a. Should an FCL for the consultant not be required, the using
contractor or UA activity and the consultant shall jointly execute a
certificate as follows:
(1) Except in connection with authorized visits: classified
material shall not be possessed by the consultant off the premises of the
using contractor or UA; the using contractor or UA shall not furnish classi-
fied material to the consultant at any other location than the premises of
the using contractor or UA, and performance of the consulting services by the
consultant shall be accomplished at the activity of the using contractor or
UA; and classification guidance will be provided by the using contractor or
UA.
(2) The consultant shall not disclose classified information to
unauthorized persons.
(3) The using contractor or UA shall brief the consultant as to the
security controls and procedures applicable to the consultant's performance.
b. One copy of such certificate shall be furnished by the using con-
tractor to his or her CSO. In the case of a consultant to a UA activity,
the certificate shall be retained by the Commander or Head of that activity.
c. The consultant shall complete the forms required by paragraph 26.
These forms shall be submitted to DISCO through the UA activity or the
contractor for which the consulting service is to be performed. Each
application for clearance shall be accompanied by a copy of the certif-
icate prescribed by paragraph a above. The LOC shall be issued to the
using contractor or UA activity, as appropriate.
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d. Failure to accomplish the certification described above shall
require the processing of an FCL, as prescribed by paragraph 21.
69. Consultant -- Type B. The consultant possesses classified material at
his or her place of business or residence, the consultant having full
responsibility for security of the classified material.
a. An FCL is required for the consultant to cover the premises at which
he or she will possess the classified material and perform the consulting
services.
b. Consultants of this type shall be considered to be prime contractors
to the UA activity, or Subcontractors to the using contractor.
c. The provisions of this manual pertaining to contractors or subcon-
tractors, as appropriate, shall apply.
70. Consultant -- Type C. Consultants possess classified material at their
regular employer's cleared facility, the consultants and their employer having
agreed as to their respective responsibilities for security of the classified
material. The clearance status and safeguarding ability of the consultants'
regular employer shall be obtained from the employer's CSO, prior to the
disclosure or release of any classified information to the consultant.
a. No requirement exists for a separate FCL for the consultant (including
execution of the DD Form 441 and the DD Form 441s) or to have an existing
FCL raised, provided that the employing facility, and the employee who is
acting as a consultant to another contractor or to a UA activity, are both
cleared for access to at least the category of classified information as that
to which the consultant will require access, and provided the employing
facility and the employee jointly execute a letter agreement to safeguard
classified information for an employee performing consultant services (see
appendix I, paragraph U) by which the employing facility and the employee
agree to the following:
(1) Both agree to place classified material, which the consultant-
employee must have in his or her possession, into the employing facility's
accountability system.
(2) Both agree to incorporate procedures in the employing facility's
SPP, which prohibit the dissemination of the classified material within the
facility, except that appropriately cleared personnel of the facility may be
designated in writing on a strict need-to-know basis to provide the consulting
employee clerical, destruction, and reproduction services necessary to his or her
performance as a consultant.
(3) .Both agree to furnish the employee, who is acting as a consultant,
a Storage container, so that the classified material may be stored under his
or her control. Access to the storage container shall be limited to the
employee who is acting as a consultant and the minimum number of employees
designated in accordance with paragraph (2) above, which are essential to
support the consultant.
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(4) Both agree to advise its CSO immediately on any change in the
consultant's status as an employee of the facility.
b. One copy of the letter agreement described in paragraph a above,
shall be furnished by the employing facility to its CSO, and one copy to the
contractor or UA employing the consultant.
c. In the event it is necessary to raise the consultant's PCL to
a higher level (not above that of the employing facility), the consultant
shall complete the forms required by paragraph 26 and submit them through the
employing facility to DISCO with a copy of the letter agreement prescribed in
paragraph a above. (If required to be cleared to a higher level than that of
the employing facility, the consultant shall be processed for a separate FCL,
in accordance with paragraph 69, and required to maintain a security program
fully independent of that of his or her employer.)
71. Consultants to User Agencies Employed Under Civil Service Procedures.
Security clearances for persons employed as consultants to UA's under civil
service procedures normally will be issued under the separate regulations of
the UA concerned. However, UA's may process such a consultant for a PCL
and/or an FCL under the provisions of paragraph 68-70, when deemed desirable.
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Section VIII. PARENT-SUBSIDIARY AND MULTIPLE FACILITY ORGANIZATIONS
72. Parent-Subsidiary Relationships.
a. When a parent-subsidiary relationship exists between two companies,
the parent company must have an FCL of the same or higher classification level
as the subsidiary company, unless by formal action of its board of directors
or similar executive body: (i) it is excluded from access to all classified
information held by the subsidiary company, or (ii) it is excluded from access
to classified information held by the subsidiary company, which is of a higher
classification level than the parent company's FCL. However, if the parent
company is under FOCI, exclusion action may not be taken. In such circumstances,
the subsidiary company is ineligible for an FCL. (Certain exceptions to this
rule can be made when the foreign ownership or control is exercised by a
Canadian or U.K. interest. Consult the CSO for details.) Each exclusion action
shall be made a matter of record in the minutes of the executive body of both
the parent company and the subsidiary company. Two copies of both sets of
minutes shall be furnished to the CSO of each cleared subsidiary company, along
with a copy of the DD Form 441s, executed independently by the excluded parent
company and the subsidiary company. In addition, when officers or directors
of a subsidiary hold similar positions with the excluded parent company, they
shall execute one of the following certificates, as appropriate: (i) "I under-
stand that the (name of parent company) is not cleared for access to classi-
fied information and I certify that I shall not disclose classified information
to the (name of parent company) or any of its agents, regardless of my official
business or personal association therewith," or (ii) "I understand that (appro-
priate classification level) is the highest level of classified information
which may be disclosed to the (name of parent company) or any of its agents,
regardless of my official business or personal association therewith." Official
notice of the execution of each such certificate shall be made a matter of
record in the minutes of the executive body of the subsidiary company and two
copies of the minutes shall be furnished to the CSO of the subsidiary. Two
copies of each certificate, executed in accordance with the requirements of
this paragraph, shall be furnished to the CSO of the subsidiary.
b. Interchange of classified information and visits between a parent and
its subsidiaries, or between the subsidiaries, shall be accomplished in the
same manner as an interchange between a prime contractor and a subcontractor.
However, in the case of a classified contract awarded to a subsidiary, the
subsidiary, as necessary in the performance of the contract, may release
classified information to the parent, when required, provided the parent
company has an appropriate FCL and safeguarding ability. Moreover, where the
parent organization is owned or controlled by a foreign interest, the U.S.
subsidiary shall not release U.S. classified information to the parent, except
with the express written authority of the contracting UA. In such cases
visits between the subsidiary and the parent shall be considered as Category 1
visits, as defined in paragraph 41a. Neither the subsidiary nor the parent
may release or disclose classified information, pertaining to the contract of
the subsidiary, to other subsidiaries of the parent without specific approval
of the contracting officer or his or her designated representative, or unless
within the provisions for exceptions set forth in paragraph 5x.
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c. In case the parent corporation or its subsidiaries have cleared
facilities which are collocated with each other (occupying the same office
space or located side by side), the collocated facilities may request CSO
approval of a formal written agreement between the facilities to utilize
common security services for: (i) personnel security administration, (ii)
document control (to include storage), (iii) reproduction, (iv) visitor
control, and (v) other similar administrative services. In all cases, the
agreement shall be incorporated into the SPP (or appropriate supplement to an
SPP) applicable to the facilities involved. The proposed SPP shall be
submitted to the CSO as part of the request. The SPP shall establish workable
security procedures and clearly fix responsibility for security administration
within the collocated facilities. The procedures shall be structured (for
example, separate accountability systems) to ensure that the need-to-know
principles outlined in the previous paragraph are not violated. One FSO shall
be designated for all facilities; the designee shall be considered an OODEP of
these facilities and shall require a concurrent clearance at each facility.
Appropriately authorized (cleared with a need-to-know) personnel rendering
security services shall be designated in the agreement by job title to provide
the specific services agreed to. Additionally, procedures may be incorporated
into the SPP whereby a machine run or other roster (for example, record of
clearance) may be used in lieu of a visit letter, provided such records are
maintained in a current status at all times. When combined, the SPP and the
roster shall provide the essential information required in paragraph 37d.
73. Multiple Facility Organizations (MFO). The home office facility
(HOF) of an MFO is responsible for ensuring compliance with the terms of
the Security Agreement (DD Form 441) and with the security requirements
for each classified contract being performed by all elements and locations
within the MFO, to include all cleared and uncleared subordinate locations
at which cleared personnel are located. A copy of the DD Form 441, with
Appendage (DD Form 441-1) shall be furnished to each facility listed in
the Appendage and to each CSO concerned. The HOF shall have a facility
security clearance at the same, or higher, level as any cleared facility
within the MFO. Following are special procedures and requirements appli-
cable to an MFO:
73
a. Standard Practice Procedure (SPP). The SPP of an MFO shall
include security instructions which provide the controls necessary to
protect classified information within the organization. As a minimum,
the SPP shall include instructions for (i) maintaining clearance records/
briefings, (ii) the transmission of classified information between the
cleared facilities, and (iii) for visits of employees between the cleared
facilities if. Within each cleared facility, the SPP shall then be adapted,
as necessary, to meet the local conditions. When a contractor elects to
have the LOC's issued to the HOF or to a PMP, the subordinate cleared
facility remains responsible for complying with all provisions of this
manual applicable to a cleared facility unless specific allowable excep-
tions are identified in the HOF/PMF, and the cleared subordinate facility's
1/ Visits by cleared employees between facilities of an MFO are considered
Category 1 visits and paragraph 41a applies.
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approved SPP. If cleared employees are employed or physically located at
uncleared locations, the SPP for the HOF/PNP that holds their personnel
security clearances shall reflect that the HOF/PNP, as appropriate, is
responsible for personnel security administration.
b. Interchange of Classified Information. Classified information
may be interchanged among the cleared facilities of the MFO when essential
for contract negotiations and performance. The releasing facility is
responsible for determining that the proposed recipient facility has an
appropriate facility security clearance and the necessary safeguarding
capability.
c. Security Classification Guidance. Security classification guid-
ance, commensurate with the involvement of the receiving facility, shall
be provided by the releasing facility. This guidance does not have to be a
DD Form 254 but it shall be written guidance tailored to the performance of
the receiving facility and shall include the prime contract number. A
copy of the DD Form 254 received by the releasing facility may be used,
if applicable, or guidance may be extracted from a DD Form 254 or from
an appropriate classification guide(s). Regardless of the form of the
guidance, it can be signed by the contractor. A copy shall be provided
to the CSO of the receiving facility. If only classified documents are
provided to another facility, and the documents themselves provide the
necessary guidance, no further classification guidance need be provided.
If the receiving facility's performance will involve any special security
requirements, such as, special access briefings, prohibitions against
subcontracting, reproduction, or transmission, it is essential that
appropriate guidance be provided to the facility and its CSO.
d. MFO/PMF Security Clearances. Normally a cleared employee's
personnel security clearance is required to be at the same, or at a lower
level, as that of the facility's security clearance where the employee is
principally employed and the employee's LOC is retained by that facility.
However, there are exceptions allowed to these requirements in an MFO or
PMF with specifically defined geographical or functional areas for subordi-
nate cleared or uncleared locations where cleared employees are physically
cally located. The contractor may, with the prior approval of the CSO,
elect to have all LOC's issued to the HOF, or to one or more PMF's. Prior
to requesting DISCO to send LOC's to a HOF or PMF, the contractor shall
develop procedures for inclusion in its SPP and submit it to the CSO of
the HOF or the FMF for review. As a part of the SPP, the contractor shall
submit an initial listing of the name and location of subordinate facilities
(cleared and uncleared) for which the HOF and/or PMF will hold the LOC's.
The SPP shall specify the security responsibilities of these subordinate
facilities and must have CSO approval prior to requesting DISCO to issue
LOC's to the HOF or PNP.
e. Personnel Security Administration Responsibilities in an MFO.
The following requirements are applicable when cleared employees are
employed or physically located at uncleared locations: .
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(1) the contractor shall designate a properly cleared management
official at the uncleared location who shall:
(a) conduct recurring security briefings for all cleared
employees;
(b) provide written confirmation of the briefings to the
HOF or PMF that is holding the LOC's;
(c) implement the reporting requirements of paragraph 6
concerning all cleared employees at the uncleared locations and furnish
the reports to the appropriate HOF/PMF for further submittal as required;
and
(d) in situations when there is no suitably cleared manage-
ment official available at the uncleared location, the recurring security
briefings may be conducted by the FSO of the HOF/PMF or their appropriate
cleared representative. These briefings may be conducted during visits by
the FSO to the uncleared locations or during visits by the employees to the
cleared facility. The FS0 shall retain a record of the briefings until
after the next security inspection by the CSO. Such procedures shall be
set forth, as appropriate, in the HOF/PMF SPP.
(2) The HOF or PMF shall provide appropriate reports to its CSO
listing all uncleared locations where cleared employees are located.
(3) All classified visit requests shall be dispatched by the HOF
or PMF.
(4) Procedures applicable to briefing cleared employees who are
assigned to locations outside the U.S. are contained in paragraph 97.
74. Temporary Help Suppliers.
a. General. A temporary help supplier is a subcontractor who dispatches
personnel on his or her payroll to perform work on the premises of the using
contractor or UA (see paragraph 5ab). A temporary help supplier and his or her
field, branch, or associate offices having a valid parent-subsidiary or MFO
relationship are covered in paragraphs 72 and 73 respectively. The following
paragraphs are concerned with:
(1) a temporary help supply licensor (hereinafter referred to as
the licensor) who grants licenses or franchises to other individuals or firms
to use the name, administrative support, methods of operation, or style of the
licensor in a specific geographic area; and
(2) a license or franchise holder (hereinafter referred to as a ii-
and operates a legal entity separate and distinct from- the
licensed or franchised to do business under the name, method
style of the licensor.
the temporary help personnel are actually employees, and on
the licensee, the licensee may be granted an FCL as provided
-
censee) who owns
licensor, and is
of operation, or
b. Where
the payroll, of
for in this manual.
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c. Where the temporary help personnel are employees, and on the payroll,
of the licensor, normally there would be no valid basis for the licensee to be
granted an FCL. As an alternative, an FCL may be granted in the name of the
licensor at the address of the licensee, if there is a valid requirement for
employees of the licensor to have access to classified information at a con-
tractor facility or UA activity, provided that:
(1) the licensor has an FCL at its HOF; and
(2) an employee of the licensor located on the premises of the
licensee is appointed as FSO for the licensor; or
(3) an employer-employee relationship is established between the
licensor and at least one or more employees of the licensee through execution
of a separate written agreement between the parties, or by the insertion of a
clause in the franchise or license agreement. The agreement or clause shall
specifically provide that, for a consideration, one or more employees of the
licensee will act as FSO for the licensor in the territory covered by the
license or franchise. One signed copy or certified true copy of the agreement
or clause shall be furnished by the licensor to the CSO concerned.
d. If the provisions of paragraphs c(1) and (2), or c(1) and (3), above
are followed, an FCL may be granted to the licensor at the address of the
licensee. This location will, for industrial security purposes, be considered
as an operating facility of an MFO. Among other things, the SPP of the
operating facility shall specify the functions and responsibilities of the FSO
and the procedures for:
(1) processing PCL's including the granting of company CONFIDENTIAL
clearances by
(2)
relate to its
(3)
sonnel to the
5ab and 41a).
the FSO;
accomplishing the requirements of paragraphs 5 and 6 which
(temporary help) personnel; and
processing visit requests dispatching its temporary help per-
using contractor's facility as Category 1 visits (see paragraph
e. When a licensee has a license or franchise agreement with more than
one licensor, an FCL may be issued in the name of each licensor. Similarly,
if a contractor is engaged in a business which requires an FCL in connection
with such business and, in addition, is a licensee for .a temporary help
supplier, an FCL may be issued in his or her own firm's name and one in the
name of the licensor.
f. Temporary help suppliers shall not engage Type A Consultants for
dispatch elsewhere. Each temporary help supplier shall be the user of the
services offered by the Type A Consultant it sponsors for a PCL.
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Section IX. SENSITIVE CaMPARTMENTED INFORMATION AND COMSEC INFORMATION
75. SENSITIVE COMPARTMENTED INFORMATION.
a. The provisions of this manual apply to research, development, and
production of SENSITIVE COMPARTMENTED INFORMATION. In addition, special
security requirements supplementing this manual will be prescribed by the
contracting department for SENSITIVE COMPARTMENTED INFORMATION contracts,
except that, for SENSITIVE COMPARTMENTED INFORMATION contracts awarded by
military department procurement activities for the NSA, the NSA will prescribe
the special security requirements.
b. In the case of SENSITIVE COMPARTMENTED INFORMATION contracts awarded
by military department procurement activities for the NSA, the NSA shall be
responsible for exercising security controls over the contract.
c. In the case of SENSITIVE COMPARTMENTED INFORMATION contracts awarded
by and for a military department or DoD Agency, an activity designated by the
contracting military department or DoD Agency shall be responsible for exercis-
ing security controls over the contract.
d. Access to SENSITIVE COMPARTMENTED INFORMATION will be granted to
contractor employees requiring access by the activity designated to exercise
security controls over the contract as provided above.
e. Denial or revocation of authorization for access to SENSITIVE
COMPARTMENTED INFORMATION is not appealable.
76. COMSEC Information. The contractor shall protect COMSEC information in
accordance with the requirements of the DoD 5220.22-S-1 (CSISM).
76.
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Section X. GRAPHIC ARTS
77. Special Requirements for Graphic Arts. This section of the manual
provides specific security measures for the safeguarding of classified
information during the development stages, performance of service, or
production of material by the graphic arts industry. The security measures
apply whether the work is performed by the prime contractor on his or her
premises or subcontracted to a graphic arts facility.
78. Production Control Records. While the production control records remain
with the classified job to which they relate, they shall be: (i) plainly and
conspicuously marked or stamped at the top and bottom with the same classifi-
cation as the material being produced, or (ii) unless the production control
record itself contains classified information, covered over with a cover sheet
conspicuously marked or stamped at the top and bottom with the same classifi-
cation as the material being produced. In either case, the additional markings
required by paragraph 11b(8) shall be applied, as appropriate. Production
control records or cover sheets shall be marked with a notation indicating
that they are unclassified when separated from the classified material being
produced, unless they contain or have attached thereto classified information.
The contractor may, at his or her discretion, use the production control
records as the records required by paragraphs 12 and 18, provided they contain
the required information and are retained for the period of time specified in
paragraph 12.
79. Area Controls -- Additional Requirements. During the layout, composition,
platemaking, presswork, and bindery stages of the production of classified
material, controls shall be established to deny unauthorized personnel access
to the immediate area in which such work is being performed. In the event the
safeguarding requirements prescribed in paragraph 16 are insufficient for this
purpose, such areas shall be designated as restricted areas and shall be
controlled in accordance with the provisions of paragraph 34b. Additional
requirements are as follows:
a. Pressrooms. While the press is being made ready or being run, the
press itself shall be identified and marked the same as the classified informa-
tion being run. The press shall remain so identified until the run has been
completed and all classified material removed. Marking and identification of
the press is not required for press runs of short duration, provided the run
is completed prior to the end of the workday. Plates, blankets, chases, and
the like, need not be removed from the press at close of working hours, when
the press run is incomplete, provided the area meets the requirements of
paragraph 34a(3).
b. Composition Areas. Linecasting (for example, intertype and
linotype) and photocomposition machines shall be identified and marked the
same as the classified information being set in type, except for jobs of short
duration completed prior to the end of the working day. Slugs (that is, lines
cast on a linecasting machine), coded tapes, ribbons, negatives, and so on,
need not be removed from the machines at the close of the workday when the
composition is not completed, provided the area meets the requirements of
paragraph 34a(3).
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c. Bindery Area. Bindery areas shall be secured by the same method as
pressroom areas.
d. Darkrooms. Admittance to all film processing units shall be re-
stricted to cleared personnel who are assigned to the particular job or jobs
involving classified information.
e. Proofreading Areas. Proofreading areas shall be controlled by physical
barriers capable of preventing visual or audio access and entrance by unauthorized
persons.
f. Shipping Entrances. Shipping entrances shall be secured when classi-
fied information is in the area. Loading and unloading operations shall be
performed under the supervision of a cleared employee of the contractor.
80. Special Conditions.
a. Overruns. All assembled copies of printed material not spoiled during
a printing operation, which are in excess of the number of copies ordered, shall
be designated as overruns. Overruns shall be held to a minimum. An exact count
of the overruns shall be maintained and they shall be accounted for as pre-
scribed in paragraph 12. Overruns shall be transmitted to the customer with
the balance of the job or promptly destroyed in compliance with the provisions
of paragraph 19a through e if.
b. Proofs. A record shall be kept of the number and disposition of
proofs. Galley or page proofs approved by the customer shall be retained until
the product is delivered, and shall be returned to the customer along with the
original manuscripts if.
c. Waste Disposal. The contractor shall provide properly identified
waste containers at each production point at which waste, spoilage, trimmings,
or cuttings accumulate. Waste shall include paper stock used for press make-
ready, spoilage during running, printed copies spoiled during bindery
make-ready, or excess copies of individual pages that are not to be assembled
to form a complete product. Waste containers shall be adequately safeguarded
and the waste promptly destroyed, in accordance with paragraph 19f. Waste
shall not be retained in production areas during nonworking hours.
d. Return of Samples. All graphic arts samples (that is, classified
material furnished by the customer for reproduction) shall be returned to the
customer immediately after the completion of the work 1/.
80.
1/ Where the classified production has been accomplished on the premises of the
contractor, as opposed to being done by a graphic arts subcontractor, the
disposition of overruns, proofs, samples, and other material, except for
waste used in the production of the job, may be delayed until the completion
or termination of the contract concerned.
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e. Bulk Shipment. Graphic arts products that are shipped in bulk in
double containers will be stacked in the inner container face up. A cover
sheet shall be placed on top of the material before sealing the inner container.
The contractor shall maintain a record of the quantity shipped in each con-
tainer, and when copies are serially numbered, the contractor shall number the
inner containers, and the record shall show which serial numbers were packed
in each container. Such records shall be incorporated into the control station
records maintained in accordance with paragraph 12. The classification mark-
ings and, if appropriate, the notations prescribed in paragraph 11b(8), shall
be applied on all outside surfaces of the inner container. Outer containers
shall be sealed by wire stapling or by tape, so that tampering will be
evident. No markings shall be made on the outer containers, which will in any
way indicate that the package contains classified material. Address labels
will be placed on the top surface of both containers, and receipts will be
placed inside the inner container.
f. Materials Used in Production.
(1) All materials used in production, which contain classified
information (that is, negative flats, layouts, masters, dummies, vellums,
stencils, composition tapes, proofs, tympan sheets, negatives, type, plates,
and so on), shall be safeguarded, in accordance with paragraphs 14 and 16, and
immediately after completion of the work, destroyed in accordance with para-
graph 81, or returned to the customer along with the job on which they were
used 1/ (see paragraph 12f for accountability requirements).
(2) Rubber blankets, after use in a classified production, may be
reused on classified and unclassified production, provided they are properly
washed and safeguarded, in accordance with paragraph 16. The rubber blankets
shall be identified as required in paragraph Ilc and the classification shall
at all times reflect the highest category of classified information for which
the rubber blanket has been used (see paragraph 12f for accountability require-
ments). When no longer serviceable, or reuse is not desired, rubber blankets
used for classified productions shall be destroyed as prescribed in paragraph
19c.
(3) Plates and other than rubber blankets used on a classified pro-
duction shall not be reused, and shall be destroyed as prescribed in paragraph
81. A contractor is not authorized to turn over classified plates to a
subcontractor for the sole purpose of regraining such plates. Moreover, the
regraining of plates shall not be considered as an authorized method of
destruction under paragraph 81.
(4) "Rollers" and other parts of presses, which retain impressions
of classified information during the printing stages, shall be cleaned to
remove the classified information on completion of the run.
81. Destruction -- Special Requirements. Classified7material used in the
reproduction process shall be destroyed, in accordance with paragraph 19c,
except that:
a. classified information on metal foundry and wooden type shall be
considered as having been destroyed whenthe-type is redistributed in the type
case; and
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b. classified information on glass negatives shall be destroyed by
dissolving the emulsion or by pulverizing.
82. Mailing Lists.
a. Classified. When a mailing list used for the distribution of unclas-
sified material is classified, the material shall be protected as though clas-
sified (markings not required), until separated from the classified mailing
list during the production process or at the point of mailing or shipping.
b. Unclassified. When a mailing list used for the distribution of
classified material is unclassified, the list shall be protected as though
classified (markings not required), until separated from the classified
material during the production process or at the point of mailing or shipping.
c. Related Material. When classified mailing lists are prepared or
maintained by a contractor, all material which retains an impression of the
addresses, such as carbons, addressing plates, identification strips, and
verification lists, shall be classified and safeguarded accordingly.
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?????? ? %a.
Section XI. NATO INFORMATION
83. Application. This section of the manual provides for the additional
security measures that have been established for the safeguarding of NATO
classified information. The provisions contained in this section supplement
the provisions of sections I through X of this manual. These additional
security measures apply whether the NATO classified information is in the
possession of the prime contractor or in the possession of his or her sub-
contractor(s). The provisions of this section do not apply to U.S. documents
which contain NATO information (see paragraphs 11b(8)f and lle(2)).
84. Authority. The requirements of this section reflect the security
procedures established by the U.S. Security Authority for NATO for the
safeguarding of NATO classified information in the possession of U.S.
industry.
85. Supervision and Orientation Requirements.
a. The FSO is responsible for supervising and directing security
measures for safeguarding NATO classified information.
b. The contractor shall maintain a separate record of all employees
located at the facility who have been authorized access to NATO classified
information, in addition to the clearance record required by paragraph 28.
c. The contractor shall notify all employees who will have access to
NATO classified information of the following:
(1) The term "NATO classified information" used in this section
applies to classified information circulated within and by NATO, including
information released by member nations into the NATO security system, as well
as information originated in the organization itself. However, classified
information contributed by a member nation remains the property of the
originating nation, even though it is circulated in a document belonging to
NATO.
(2) The marking "NATO" on a document is used to signify that
the document is the property of NATO. This marking will be applied to all
copies of documents classified SECRET, CONFIDENTIAL, and RESTRICTED that are
circulated within NATO. The marking of "COSMIC" also signifies that the
document is the property of NATO, and is applied exclusively to all copies of
TOP SECRET documents circulated within NATO.
(3) COSMIC TOP SECRET documents, NATO SECRET documents, and NATO
CONFIDENTIAL documents shall be protected according to the rules in other
sections for TOP SECRET, SECRET, and CONFIDENTIAL material and the additional
rtles prescribed in this section. NATO documents marked "RESMICTtb," which
are furnished to the contractor, shall be marked and protected as prescribed
in paragraph lie.
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d. The contractor shall bring to the attention of all employees, who
will be authorized access to NATO classified information, their continuing
individual responsibilities for safeguarding NATO classified information;
further, they shall be advised that when they are in other NATO countries
they may be subject to the laws of those countries that pertain to the
handling of classified information. When access to COSMIC TOP SECRET
information is involved, employees shall sign certificates to the effect
that they have been briefed on their responsibilities for safeguarding
COSMIC TOP SECRET information.
86. Security Clearances.
a. A final PCL granted by DISCO for a U.S. citizen is valid for access
to NATO information of the same or lesser security classification, provided the
individual has been given a security briefing, in accordance with paragraph
85d above. Immigrant aliens or aliens issued reciprocal PCL's are not
authorized access to NATO classified information (see paragraph 20c, 24a(2),
and 31c).
b. All contractor employees who require access to NATO information
classified CONFIDENTIAL or higher shall be cleared by DISCO (see paragraph
24a(1) Cc)).
c. Applications for PCL's for employees who are U.S. citizens and
require access to NATO CONFIDENTIAL information or higher shall be made by
the contractor, in accordance with paragraphs 24, 26, and 27.
d. An interim CONFIDENTIAL or interim SECRET clearance granted by DISCO
is not valid for access to NATO information classified CONFIDENTIAL, or above.
e. Contractor employees who require access to NATO RESTRICTED information
shall be cleared by the contractor, in accordance with paragraph 24b.
87. Reproduction, Preparation, and Marking.
'a. Requirements in paragraph 18 and section X apply equally to the
reproduction of NATO classified documents. In the case of COSMIC TOP SECRET
information, reproduction requests shall be forwarded to the Central U.S.
Registry (CUSR) for authorization. (Address: Chief, CUSR, Room 1B889, The
Pentagon, Washington, D.C. 20310).
b. Except for COSMIC TOP SECRET material, special permission is
not needed to include references to, extracts from, or paraphrases of NATO
classified documents in other documents, which the contractor must prepare
in performance of the NATO contract.
c. Requirements in paragraph 11 apply equally to the marking of NATO
classified documents. A stcarr, CONFIDENTIAL, or RESTRICTED'document that
is reproduced from a NATO document shall be marked NATO at the top and bottom,
in addition to the classification markings. A TOP SECRET document that is
reproduced from a NATO document shall be marked COSMIC at the top and bottom,
in addition to the TOP SECRET marking.
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d. When NATO classified information is included in other documents, the
NATO classified information shall be identified within the document by marking
each paragraph with the appropriate NATO marking. Moreover, a statement will
be included on the cover or first page, as applicable, that the document contains
NATO classified information.
88. Transmission of NATO Material.
a. When NATO SECRET or CONFIDENTIAL material is prepared for transmis-
sion and an inner container is required by paragraph 17a, that container shall
be marked NATO, in addition to the classification marking. When transmitting
NATO TOP SECRET material the inner container shall be marked "COSMIC TOP SECRET,"
in addition to the "TOP SECRET."
b. The transmission of NATO classified information within the U.S.
shall be in accordance with the procedures set forth in paragraphs 17b, c,
and d, except that the minimum requirement for mailing NATO CONFIDENTAL
information is U.S. Registered Mail.
c. All NATO classified information furnished to a U.S. contractor in
connection with a U.S. classified contract shall be transmitted to destinations
outside the U.S. only with the authority of the contracting officer. If such
information is to be returned to the U.S., approval of the contracting officer
is not required.
(1) COSMIC TOP SECRET transmitted to or from the U.S. shall be
transmitted to the Chief, CUSR, Room 18889, The Pentagon, Washington, D.C.
20310, by one of the methods authorized by paragraph 17b for forwarding to
the intended destination.
(2) NATO SECRET and NATO CONFIDENTIAL information transmitted to
or from the U.S. shall be transmitted by the contractor via one of the means
authorized in paragraph 17e, with the following exceptions: Canadian postal
channels cannot be used to transmit NATO classified material; information
transmitted to a NATO activity outside the U.S. shall be transmitted to an
appropriate U.S. activity for forwarding to the NATO activity; NATO classified
information coming to the U.S. shall be transmitted through an appropriate
U.S. Government activity to the U.S. contractor.
d. NATO classified information furnished to a U.S. contractor in
connection with a NATO command or agency, or NATO member nation's classified
contract or project, shall be transmitted to destinations outside the U.S.
only with the authority of the contracting officer. Hand-carrying of NATO
RESTRICTED, CONFIDENTIAL, and SECRET material across international borders
may be authorized by the CSO, provided an urgent situation exists, such as
a need exists for personnel to travel on short notice, time does not allow
documents to be sent ahead by approved secure means, and copies cannot be
made available locally at the travelers destination. The contractor shall
notify the CSO of the urgent situation, which necessitates the need to hand-
carry the material, and request the CSO to approve this exception. The CSO
may issue a NATO "Courier Certificate" for the appropriate cleared contractor
employee to hand-carry the NATO material, provided: (i) the employee is to be
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routed via U.S. flag or other NATO member nation air carrier, (ii) the route
taken to the NATO country destination is not to be over a Designated country,
nor will the aircraft land in a Designated country, and (iii) if travel will
be taken by surface means, it will not be through a non-NATO member nation.
The CSO will affix a proper stamp to the certificate, as well as the
authorizing signature of a designated official of the CSO.
(1) Pre-Travel Procedures. Prior to issuing a NATO "Courier
Certificate," the contractor shall ensure that the following steps are
taken:
(a) All reasonable steps have been taken to make other
arrangements for delivery of the NATO material to its destination; that
is, the existing availability of the information at the destination.
(b) The employee designated to carry the material is cleared
to the level of the classification of the information to be hand-carried.
(c) The employee has been provided the location of secure
storage facilities on the premises of NATO commands or agencies, or a NATO
member nation including U.S. Government installations.
(d) A suitable container, which can be retained in the
employee's possession at all times, will be used to secure the material in
transit.
(e) The package is properly sealed, and an accounting has been
made of the contents.
(f) The details of itinerary with a specimen of the seal used
will be completed by the government.
(g) The employee has been properly briefed by the U.S. Government
on his or her responsibilities, as well as on emergency safeguard procedures and
has read and signed the NATO "Briefing Certificate." The briefing certificate
shall be retained for 1 year.
(2) Packaging. Each package to be hand-carried shall contain
only NATO classified material through NATO SECRET. The FSO or designee
shall personally inspect each proposed shipment to verify its contents.
The material shall be packaged, as provided for in paragraph 17, and shall
bear an appropriate seal on the exterior of the package. The seal shall also
be affixed to the details of itinerary column adjacent to each stage of the
trip listed on the itinerary sheet. The seal will be placed under the line
"Specimen of Seal Used." The name and address on the package must be that
of the sender and addressee, if different from that of the employee hand-
carrying the material.
(3) Seals. The contractor will have a NATO, U.S. Government, or
company seal affixed by a representative of the CSO or other authorized U.S.
Government official approved by the CSO.
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(4) Custody. In the event it is necessary to store the package,
as provided for in 1.c. above, a receipt shall be obtained for the material.
On arrival at the destination and delivery of the package, a receipt shall
also be obtained. It will be the responsibility of the recipient to sign
the receipt for the contents of the package. The receipt for the contents
of the package may be returned to the sender by mail or turned over to the
contractor employee who hand-carried the package.
(5) Customs Search. If a official insists that the package be
opened regardless of the NATO "Courier Certificate" and the employee's claim
to exemption, the employee should open the package, but only to the extent
that the customs official can confirm that NATO classified documents are
contained therein. The employee shall request that the customs official both
reseal the package in his or her presence and provide written evidence of the
incident. The courier shall make a full report of the incident to the FSO on
returning to the facility.
(6) Return Travel. Should the employee be authorized to carry
the same documents on the return journey, the NATO "Courier Certificate"
shall so state and an accounting shall be made by the contractor on the
employee's return. In the event a NATO command or agency, or a NATO member
nation or one of its contractors, wishes to have the employee hand-carry
NATO classified material back to the U.S., the employee will follow the
procedures established by the requesting NATO command, agency, government
activity, or contractor. Procedures for hand-carrying NATO classified
material across international borders are similar, since they are based on
requirements established for all member nations by NATO.
e. All NATO classified bulky material, of any category, shall be
sent through channels established by the CSO on instructions from the
Deputy Director (Industrial Security), HQ DIS.
89. Functions of the Contracting Officer.
a. When a U.S. contractor enters into precontract negotiations
involving NATO classified information with a U.S. contracting officer, the
contractor shall obtain his/her instructions from the contracting officer
concerned, as prescribed in this manual.
b. When a U.S. contractor enters into precontract negotiations with a
NATO government other than the U.S., a contractor of such NATO country, or a
NATO international body requiring that the contractor have possession and
access to NATO classified information in the U.S., the U.S. contractor shall
request the necessary instructions from the contracting officer of such NATO
country or international body.
90. NATO Reporting Requirements. The contractor shall immediately report,
through the CS() to the Chief CUSR, Room 1B889, The Pentagon, Washington, D.C.
20310, receipt of COSMIC TOP SECRET information from a source outside the
U.S., when the information has not been transmitted via the CUSR. A copy of
the report shall be sent to the Deputy Director (Industrial Security), HQ DIS.
The contractor shall report to the CSO receipt of NATO SECRET or CONFIDENTIAL
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information from any source other than through a U.S. Government activity,
unless the information is received in connection with approved visits (for
example, attendance at a bidders' conference).
91. Subcontracting. Prior to negotiating a NATO classified subcontract in
the U.S. or in another NATO country, a U.S. prime contractor shall obtain
permission to negotiate such a subcontract from the contracting officer who
let the prime contract or his or her designated representative.
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Section XII. OVERSEAS OPERATIONS
Part 1. ACCESS TO U.S. CLASSIFIED INFORMATION
92. General.
a. This part sets forth access, safeguarding, and notification
requirements for cleared U.S. citizen employees of U.S. contractors
assigned to duty stations outside the U.S. These requirements also
apply to U.S. citizens who, in addition to being cleared as employees
of cleared U.S. contractors, are also dual-status employees of foreign
subsidiaries, which are wholly owned and controlled by cleared U.S.
facilities.
b. This part does not apply to:
(1) uncleared employees of cleared U.S. contractors who are
stationed outside the U.S.;
(2) U.S. citizens who are RFI's or employees of foreign
subsidiaries of cleared U.S. facilities, but do not hold dual-status
employment with the owning or controlling U.S. facility; and
(3) representatives (not employees) of cleared U.S. contractors.
c. Cleared employees of U.S. contractors stationed overseas are
encouraged to attend periodically scheduled security briefings conducted
by the OISI. These briefings are designed to familiarize the employees
with the international aspects of the DoD Industrial Security Program and
the security requirements unique to the foreign countries in which the
contractor does business.
93. Access to Classified Information. Contractors are authorized to grant
access to U.S. classified information to their cleared employees who are
assigned overseas, subject to the following rules:
a. Access to U.S. classified information identified in this paragraph
shall be granted only with the prior written approval of the UA having primary
interest if the information concerned is:
(1) TOP SECRET information,
(2) RESTRICTED DATA or FORMERLY RESTRICTED DATA,
(3) COMSEC and SENSITIVE COMPARTMENTED INFORMATION (see paragraph
6, CSISM and section IX, ISM,
(4) special access programs information (see paragraph 50, and
(5) information for which foreign dissemination has been prohibited
in whole or in part.
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b. Access shall be limited strictly to that information required by the
employee for performance of the specific duties or contracts for which he or
she is assigned overseas. Further, access to U.S. classified information
under this section shall be made, to the maximum extent practical, on an
oral or visual basis. When physical access is to be granted to an employee,
the appropriate safeguarding provisions set forth in paragraph 94 shall be
strictly complied with.
c. Access to U.S. classified information for cleared employees assigned
overseas may be granted both in the U.S. and overseas.
d. Access to U.S. classified information granted to a cleared employee
of a cleared U.S. facility, who is also an employee of a U.S. wholly owned and
controlled foreign subsidiary of such a facility, is granted only in his or
her capacity as an employee of the cleared U.S. facility. The contractor
granting the access is responsible for ensuring that the employee provides
adequate safeguards for any classified information disclosed to such employee.
In addition, the contractor shall take action, as appropriate, to ensure that
U.S. classified information entrusted to the employee is not further released
or made available to other employees of the foreign subsidiary.
94. Safeguarding U.S. Classified Information. The following additional
safeguards are prescribed in connection with U.S. contractors' overseas
operations:
a. Security Classification Guidance. The contractor shall provide
security classification guidance, commensurate with the actual performance
requirements, to employees performing outside of the U.S. on a classified
contract, project, or mission. This guidance may be a DD Form 254, extracts
from a DD Form 254, a classification guide, or other guidance as appropriate.
If classified documents themselves will provide the necessary guidance, no
further guidance is necessary.
b. Transmission. Transmission of classified material to a cleared con-
tractor employee located outside the U.S. shall be strictly in accordance with
paragraph 17e. The material shall be addressed to a U.S. military activity
or other U.S. Government activity, and shall be marked for the attention of
the contractor or the employee for wham it is intended. The U.S Government
activity will notify the contractor or contractor employee of the receipt
of the material. Classified material will be transmitted only through U.S.
Government channels. Normally, transmission will be by Registered Mail
through the U.S. Military Postal Service, or by the AMOS. However, the
contracting officer may authorize any of the other approved methods of
transmission described in paragraph 17e. If disclosure authorization is
required and has been obtained, it should be cited in the transmission
document with the effective dates and any other limitations. The contractor
shall make prior arrangements for the storage of U.S. classified material with
a U.S. military installation, the OISI, a military attache, a MAAG, an ODC, or
a U.S. diplomatic or consular officer prior to transmitting U.S. classified
material overseas.
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c. Custody and Storage.
(1) Personnel authorized access to U.S. classified material
overseas will normally be permitted such access at a U.S. Government activity
only. The storage of U.S. classified material overseas at any location other
than a U.S. military installation or U.S. Government controlled installation
is prohibited.
(2) If in the performance of a contract, project, or mission it is
necessary for a contractor employee to physically require temporary custody of
U.S. classified material, authorization for removal shall be obtained from the
U.S. Government activity. When such custody is authorized, the employee is
responsible for personal possession and surveillance of the material at all
times. Immediately following the purpose for which the material was needed
and the removal was authorized, but in all cases prior to the end of the
workday, the material is to be returned to the U.S. Government activity for
storage purposes. Movement of the material while in the employee's custody
shall be governed by the provisions of paragraph 17h.
d. Disclosure. Except as provided for in paragraph 48, contractor
personnel are not authorized to disclose classified information to any
foreign government, commercial activity, or entity, or to an international
pact organization or its representatives. Cleared contractor personnel
overseas may, however, disclose classified information:
(1) to another cleared employee within their company who has been
granted an LOC at the required level and who has a need-to-know for access to
the information concerned;
(2) to any appropriately cleared military or civilian member of a
U.S. UA who has a valid need-to-know; and
(3) outside the contractor's organization within the U.S. only in
accordance with this manual, and outside the U.S. only in accordance with
instructions from the contracting office of the UA.
95. Overseas Assistance.
a. The DoD has established the OISI to provide administrative assistance
for industrial security purposes to U.S. industry in their marketing, liaison,
and technical assistance activities outside the U.S. The OISI operates under
the supervision and direction of the Deputy Director (Industrial Security), HQ
DIS. The OISI acts as a central file for information pertaining to security
clearances and security assurances for U.S. contractor employees located
outside the U.S. Such information from the file is available for official use
by agencies and activities of the U.S. Government, foreign government, NATO,
and U.S. contractors. OISI conducts inspections of contractor operations on
U.S. installations outside the U.S., when authorized by the Deputy Director
(Industrial Security), HQ DIS.
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b. The OISI assists U.S. industry by: (i) arranging classified visits
for U.S. contractor employees; (ii) providing storage for classified material;
(iii) providing mail channels for transmission of classified material between
a contractor in the U.S. and an approved destination outside the U.S., when
specifically authorized by the Deputy Director (Industrial Security), HQ DIS;
(iv) providing security briefings and security certificates, as appropriate;
and (v) providing assistance on security matters, such as visits to military
activities or contractors outside the U.S.
c. The civilian street address of OISI is: Office of Industrial
Security, International, Steenweg Op Leuven 13, 1940 St. Stevens-Woluwe,
Brussels, Belgium; the telephone number is 0-322-720-8259. The APO address
is: OISI, APO New York 09667. U.S. Government cable address is: OISI,
BRUSSELS, BELGIUM; other cables: OISI, American Embassy, Brussels, Belgium.
TELEX address is OISI: American Embassy, 21336 Brussels, Belgium. (See page
285 for address of Mannheim, West Germany Field Office, and Yokohama, Japan,
Office of Industrial Security, International - Far East.)
96. Notification of Overseas Assignment.
a. Whenever a contractor assigns a cleared employee to an overseas
duty station, the contractor shall furnish the following information to
DISCO on DISCO Form 562:
(1) Full name, social security number, date and place of birth,
passport or ID number;
(2) Name and address of the overseas duty station to which the
employee has, or will, be assigned;
(3) Notice that the briefing required by paragraph 97 has been
accomplished;
(4) The highest level of access to classified information
required overseas; and
(5) A detailed justification as to why the employee will
require access to classified information overseas in performance of his
or her assigned duties, to include identification of the contract or
program under which such access is necessary.
b. Subsequent to the overseas assignment of an employee whose PCL
has been properly transferred, the contractor shall:
(1) Rejustify to DISCO the employee's continuing need for a
security clearance 2 years from date of initial assignment and every 2
years thereafter;
(2) Advise DISCO of any change in the overseas mailing address
or physical address of the affected employee; and
(3) Advise DISCO of the termination of the employee's overseas
assignment.
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c. Residence or assignment of cleared immigrant aliens outside the
U.S. for a period of 90 consecutive days or more in any 12-month period
negates the basis on which the LOC was issued, and the LOC will be adminis-
tratively terminated without prejudice by DISCO on receipt of the contractor
notification as outlined in paragraph 6b(6).
97. Security Briefings and Certificates.
a. Cleared employees who are to be assigned to duty stations outside
the U.S. are to be briefed on the security aspects of their new positions.
These briefings are the responsibility of the contractor. If access to NATO
classified information is or may be involved, the briefing shall also cover
NATO security requirements as described in section XI.
b. Each cleared employee assigned overseas shall execute and have
witnessed a certificate attesting to the following:
(1) The employee has received a security briefing and understands
his or her responsibilities.
(2) The employee will safeguard classified information, in accord-
ance with prescribed security standards.
(3) The classified information to which he or she has been
granted access will be used only for the purpose for which released.
(4) The employee understands and accepts the fact that his or
her LOC may be suspended or revoked for violation of security regulations or
improper use of classified information.
(5) The employee understands that he or she may be subject to
action under the espionage statutes of the U.S., with respeet to the
classified information to which access is granted.
(6) The employee also understands that on termination of the
purpose for which he or she has been granted access, the employee's
responsibilities for safeguarding the classified information continue unabated
until the security classification is removed by appropriate government
authority. The executed and witnessed briefing certificate shall be retained
by the contractor for the duration of the overseas assignment.
c. Subsequent to the initial security briefing, each individual shall be
given an annual refresher briefing. A certificate similar to that described
above shall be executed annually and maintained as long as the individual is
assigned overseas. The certificate shall be modified as necessary to reflect
any change in the nature and extent of the classified information to which the
individual requires access, and the scope and nature of the threat to which the
overseas activity may expose the individual.
d. Normally, refresher briefings should be accomplished on the temporary
return of employees to the U.S., or by a security representative of the con-
tractor stationed overseas or on visits overseas. When this is not practical,
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the briefing and execution of the certificate may be accomplished by OISI
at the request of the contractor. Outside of areas serviced by OISI,
the contractor may obtain a written briefing statement by mail from the
employee.
e. The contractor shall ensure that a company SPP, or supplement
thereto, is prepared to cover security procedures at the contractor's
overseas locations.
Part 2. ACCESS TO CLASSIFIED INFORMATION OF FOREIGN GOVERNMENTS AND
INTERNATIONAL PACT ORGANIZATIONS UNDER A SECURITY ASSURANCE
98. General. In its relations with friendly and allied foreign governments,
the U.S. has entered into various treaties and agreements whereby each signa-
tory government agrees to safeguard the classified information released to
it by the other government. These range from simple bilateral agreements
providing that each government will safeguard, in accordance with mutually
agreed procedures, the classified information released to it by the other
government, and that the information will not be disclosed to a third country
without the consent of the originating government, to multilateral treaties
establishing international organizations for concerted defense. Such treaties
usually contain either a technical annex establishing the detailed procedures
and standards for safeguarding classified information originated or disseminated
by the organization, or provisions authorizing the organization to establish
mutually agreeable regulations for safeguarding such information.
a. Access to classified information of a foreign government or
international pact organization (for example, NATO) is granted by the
activity possessing the information, and the scope of access is governed by
the regulations of the activity possessing and disclosing the information.
Hence, this part prescribes no specific limitations on the access to classi-
fied information of foreign governments or international pact organizations,
which may be afforded an individual under a security assurance determination.
The responsibility for release of the information rests with the foreign
activity or international pact organization, or with the contractor, if the
information had previously been released to him or her directly by the foreign
government, the prima contractor, or an international pact organization
without going through government channels.
b. A contractor, or contractor employee, granted access to foreign
or international pact organization classified information must take note of
the limitations prescribed relative to the further dissemination of such
information. For example, NATO classified information cannot be stored in
non-NATO countries or released to nationals of non-NATO countries, nor can
NATO classified subcontracts be let to contractors of non-NATO countries.
Foreign countries normally have restrictions on the disclosure and
dissemination of their classified information to nationals of a third
country.
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99. Security Assurance. This paragraph establishes the procedures to assist
U.S. cleared contractors in meeting personnel security requirements imposed by
friendly and allied foreign governments and international pact organizations
with whom the U.S. has entered into either a bilateral or multilateral security
agreement for access by U.S. citizens to foreign classified material, which is
under the control of the foreign government or organization.
a. The contractor may make application for a security assurance by
submitting a written request containing the information required by paragraph
(3) below. On application by the U.S. contractor, DISCO will issue a security
assurance for currently cleared contractor employees. If the employee does
not have a valid LOC, the contractor will submit the following to DISCO:
(1) the forms prescribed in paragraph 26c 1/; or
(2) two copies of DD Form 48-3 1/, if there has been less than a
12-month lapse in a prior employment at which time the employee was granted a
LOC; and
(3) a written request containing the following information:
(a) the title of the position and summary of the duties of the
individual for whom the request is made;
(b) the name and location of the overseas office or activity
to which the individual is assigned or attached for duty;
(c) the employee's passport or ID card number, if available;
(d) a justification 2/ for the request, which identifies the
activity or the subject matter of the proposed visit, sales activity, or
contract that will require a security assurance; and
1/ Under Item 11 of DD Form 48 or 49, or Item 7 of DD Form 48-3, the applicant
shall list both his or her overseas residence and permanent U.S. residence, if
one is maintained. In addition, under Item 12 of DD Form 48-3, the applicant
shall list all previous overseas residences. Under Item 16b of DD Form 48,
Item 16 of DD Form 49, or Item 11 of DD Form 48-3, the applicant shall show
the names and addresses of all firms or foreign government activities with
which the applicant is associated, the relationships and duties in connection
therewith, and the nationality of the controlling interests of the firms
involved.
2/ The need and justification may be stated in general terms. For example: "In
order to participate in the negotiation of contracts with foreign governments
or international pact organizations, it will be necessary for him or her to
have access to classified information of those countries and organizations
(identify countries and/or organizations)," or, "As our overseas electronics
engineer, it will be necessary for him or her to have access to foreign
classified information in order to service equipment sold by our company to
(identify country or countries concerned)."
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(e) a statement providing the name and address of the foreign
government activity or international pact organization, requesting the U.S.
security assurance and the level of access required. If access to U.S. origi-
nated, and appropriately marked, classified information will be granted to the
employee by the foreign requester, the contractor will execute and maintain
one copy of the briefing certificate prescribed by paragraph 97.
(4) In the case of persons who are employees of foreign subsidiaries,
the application shall be sent through the parent organization or the PMP.
(5) On termination of employment or assignment overseas, the
security assurance determination is void and the contractor shall immediately
notify DISCO of the individual's changed status by means of DISCO Form 562,
and return the individual's security assurance determination to DISCO.
(6) Requests for reinstatement of a security assurance determination
will be processed in the same manner as an original request.
(7) If an individual on whom a security assurance has been given
is subsequently employed by a cleared contractor and requires a U.S. security
clearance, the contractor may make application within 12 months for a security
clearance for the individual under section III by submission of a DD Form 48-3
(see paragraph 26e). If the time lapse is more than 12 months, the forms pre-
scribed by paragraph 26c shall be submitted.
b. Normally, requests for a security assurance determination will
be limited by the foreign government or international pact organization
to CONFIDENTIAL or SECRET access. In exceptional cases, a request for a
TOP SECRET security assurance, received from a foreign government or
international pact organization, will signify that access to TOP SECRET
information is necessary for the consummation of a specific contract,
project, or activity. TOP SECRET security assurance determinations shall
be limited to the specific contract, project, or activity for which they
are granted.
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Section XIII. SECURITY REQUIREMENTS FOR AUTOMATED INFORMATION SYSTEMS
Part 1. GENERAL
100. Reserved.
101. Applicability.
a. This section establishes special security measures for the
safeguarding of classified information and material processed by or
in automated information systems (AIS) in the custody and control of
contractors, including organizations that provide contractual computing
services to UA's or their contractors. Classified information processed by
or contained in an AIS shall be safeguarded by the employment of collective
security measures, controls and constraints which will provide an acceptable
level of protection.
b. Security measures for AIS's located on UA installations, that are
operated by the contractor, are prescribed by the controlling UA. However,
the Commander or Head of the installation may elect to declare the con-
tractor activity a facility and request the CSO to assume security
cognizance, in which case the provisions of this section will be applicable.
c. Security measures for computers which are embedded as an integral
element of a larger system to perform or control a function, such as in test
stands, simulators, control systems or weapons systems, should be estab-
lished concurrently with the design and development of the system, using the
fundamental security concepts outlined in this section. If the security
requirements for such systems are not provided with the contract, con-
tractors should request them from contracting officers. In the absence
of such requirements from contracting officers, the security requirements
and procedures of this section will be applied to the extent appropriate
to the situation, as determined by the CSO.
d. This section prescribes the requirements for the protection of
information classified in one of the three classification levels, namely:
TOP SECRET, SECRET or CONFIDENTIAL. Special access programs may impose
additional security requirements, or limitations, for specified types of
classified information which are beyond the requirements prescribed herein.
Contractors shall implement special access program requirements when
included in a DD Form 254, or other appropriate contract-related document.
102. Objectives.
a. The collective security measures and controls employed must ensure
that an AIS which handles classified information will, with reasonable
dependability, prevent: (i) unauthorized access to classified information
during, or resulting from, the processing of such information, and (ii)
unauthorized manipulation of the AIS which could result in the compromise
of classified information.
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b. To accomplish the foregoing, collective security controls shall,
to the maximum extent possible, provide the following:
(1) Individual Accountability. The identity of each user of the
AIS shall be positively established, with access to the system and to
information contained in the system controlled and open to scrutiny.
(2) Physical Control. The AIS shall be externally protected to
minimize the likelihood of: (i) unauthorized access to system entry points
and to classified information in the system, and (ii) unauthorized
modification of the computer hardware.
(3) System Stability. All elements and components of the AIS
shall function in a cohesive, identifiable, predictable and reliable
manner such that malfunctions can be detected and reported so as to
maximize security control.
(4) Data Continuity. Each file or collection of classified
information in the AIS shall have an identifiable origin and use. Access,
to maintenance, movement and disposition of classified information shall be
governed on the basis of security classification, PCL and need-to-know.
(5) Least Privilege. The AIS shall function so as to provide
each user access to all of the information to which entitled, but no more.
(6) Communications Security. Communications lines and links
shall be secured in a manner appropriate for the classified information
being transmitted through the lines and links.
(7) Classified Information Control. Classified information
handled and produced by the AIS, and stored in or on recording media,
shall be safeguarded as appropriate for the classification level of the
information.
Part 2. REQUIREMENTS
103. General.
a. AIS security shall consist of the employment of appropriate
administrative, procedural, physical, personnel and communications security
measures and controls, along with protective features in the system's
hardware and software. The procedures and methods necessary to safe-
guard classified information depend on the nature of the AIS, the uses
to which it is put, and the mode of operation as set forth in paragraph
104. It is the contractor's responsibility to safeguard all classified
information processed by or contained in an AIS and ensure that approved
security controls are in place and are effective.
b. Approval, in writing, of the CSO is required prior to processing
any classified information in an AIS. To obtain approval, the contractor
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shall prepare an SPP describing the AIS and the security controls
implemented for that AIS in accordance with paragraph 112d. The SPP
will provide the basis from which the CSO will approve and inspect the
AIS for the proper safeguarding of classified information. If changes are
made to the AIS subsequent to approval, or to approved security measures
and controls, reapproval by the CSO May be required prior to processing
classified information. Reapprovals are required because of: (i) major
changes in personnel access requirements, (ii) relocation or structural
modification of the computer facility or remote terminal areas, (iii)
additions, deletions or changes to computer hardware that impact approved
security controls, (iv) software changes that impact security protection
features, and (v) changes in clearance, declassification, audit trail or
hardware/software maintenance procedures.
c. The contractor shall appoint an employee as the system security
officer (SSO) for each facility with an AIS approved for the processing of
classified information. The SSO, where different from the FSO, shall be
responsible to the FSO for implementation of procedures and practices
prescribed for the safeguarding and control of the AIS and for the
processing of classified information. Where there are multiple AIS's in
a facility, or multiple shifts of classified operation, and the contractor?
deems that the SSO cannot effectively discharge that responsibility, then
one or more system security custodians, working under the guidance of the
SSO, may be designated to accomplish security responsibilities for the
separate systems or different shifts.
d. The establishment and maintenance of hardware and software
integrity is essential to ensuring continued safeguarding of classified
information in an approved AIS. Integrity of the hardware is attained
through the provisions of paragraph 106. All software and data used
during classified processing periods must be safeguarded and handled
as prescribed in paragraph 108.1.
104. AIS Security Modes of Operation.
a. System security modes are authorized variations in security
environments and methods of operating AIS's that handle classified
information. The modes are primarily defined by the manner in which
basic access requirements for user PCL and need-to-know are implemented
for the AIS. The modes involve a varying mix of automated (that is,
hardware/software) and conventional (that is, personnel, physical,
administrative, procedural and, where appropriate, communications)
security measures and techniques in discharging these basic access
requirements. In all modes, the total integrated set of automated and
conventional security measures applied to the AIS shall be based on the
objectives set forth in paragraph 102. A contractor may accordingly
process, store; use and produce classified information in an AIS that is
operating in one of the following modes:
b. Dedicated Security Mode -- All users with access to the AIS must
have both a PCL and the need-to-know for all information then contained in
the system.
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(1) The objectives of paragraph 102, are normally fulfilled by
the collective security controls established for: (i) the computer
facility, (ii) all peripheral devices and input/output terminals, (iii)
areas containing remote devices and terminals connected to the system,
and (iv) the interconnecting communication lines and links.
(2) These controls shall conform to those required for the
protection of the highest classification level and most restrictive type
of information then contained in the system.
c. System High Security Mode -- All users with access to the AIS
must have a PCL, but not necessarily the need-to-know, for all information
then contained in the system.
(1) The objectives of paragraph 102, are normally fulfilled
by application of the controls enumerated in paragraph b(1) above. The
process of identifying, separating and controlling users and classified
material on the basis of PCL and need-to-know, and classification level,
respectively, shall be provided by operationally acceptable controls that
include passwords, add-on software packages and identification devices
such as fingerprint, hand or retinal scanners, and voice or signature
comparison devices. A trusted computer system listed on the EPL 1/ with
an evaluation rating of at least C2 is considered to provide an acceptable
level of control for this mode of operation.
(2) Controls shall conform to those required for the protection
of the highest classification level and most restrictive type of information
then being handled by the system.
d. Multilevel Security Mode -- Some users with access to the AIS
do not have a PCL for all classified information then contained in the
system. This mode of operation provides a limited capability for con-
current processing by users with different PCL's and need-to-know in a
system that may contain more than one level of -classified information.
Concurrent access to the AIS is restricted to users with two adjacent
PCL levels, that is, CONFIDENTIAL and SECRET, or SECRET and TOP SECRET.
(1) The objectives of paragraph 102 are normally fulfilled by
application of the controls enumerated in paragraphs b(1) and c(1) above,
104
1/ The EPL (Evaluated Products List for Trusted Computer Systems) is
published in conjunction with the National Computer Security Center's
commercial product evaluation program - in which commercially available
systems are formally evaluated against the DoD Trusted Computer System
Evaluation Criteria (DoD 5200.28-STD) and assigned an overall class
rating based on the system's ability to meet the requirements of the
Criteria. The EPL and DoD 5200.28-STD are available at the CSO and
from the DoD Computer Security Center, 9800 Savage Road, Fort George G.
Meade, Maryland 20755.
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with the exception that for this mode of operation, a trusted computer
system listed on the EPL 1/ must have an evaluation rating of at least 81
if the system contains SECRET information; and at least B2 if the system
contains TOP SECRET information. In addition, the multilevel security
mode requires fulfillment of the requirements of paragraph 104.1 for the
concurrent processing of multiple levels of classified information.
(2) Controls for the computer facility shall conform to those
required for the highest classification level and most restrictive type of
information then being handled by the system. Controls for remote terminal
areas shall conform to those required for the highest classification level
and most restrictive type of information accessed through the terminal
under system constraints, including unclassified.
(3) A request for approval to operate an AIS in multilevel
security mode shall clearly explain why this mode of operation is required
at the contractor facility. The SPP describing the AIS and its security
measures should be as complete as possible and specifically enumerate the
augmenting measures that remove or substantially reduce system software
and/or hardware vulnerabilities and associated risks. Methods and techni-
ques that may be used to augment or enhance the AIS security include:
(a) the employment of hardware, software and/or firmware,
alterable only at the computer facility, for critical AIS security func-
tions such as identification and authentication of individual users,
separation of users and data, data labeling, identification and segrega-
tion of output and labeling of all human-readable output;
(b) the employment of system architectures, stringent
configuration management controls, and facility management procedures that
assure: (i) separation of files and processes, (ii) access limitations to
physical devices, and (iii) trusted recovery in the event of system failure
or malfunction;
(c) audit trails of identification/authentication events,
individual user actions, accesses to data, and other security-relevant
events that signal potential violations of security policy;
(d) interconnection of remote terminals via one-way
information communication links, wherein substantive information can be
transmitted only in one direction. (Circuits that require two-way
communication for specific control functions in order to properly receive
substantive information may be considered one-way circuits when it is
determined that only control information can be transmitted in both
directions);
(e) assignment of terminal security officers in remote
terminal areas that are not protected for the highest classification level
of information then being handled by the AIS, wherein the terminal security
officer has a PCL for that highest classification level;
(f) system splitting via hardware/software that is alterable
only at the computer facility; and
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(g) limitations on user capabilities, such as restriction to
fixed-query access only, and prohibition of assembler and machine language
programming.
104.1. Concurrent Processing of Multiple Classification Levels. The
concurrent processing and storage of more than one level of classified
information, together with unclassified information, is authorized in any
of the foregoing system security modes. All information output from, or
stored in, the AIS must be handled as the highest classification level of
information being processed until reviewed, correctly identified and
segregated by properly cleared and responsible personnel. The process of
identifying, segregating and marking the different levels of information
may be by automated means provided that: (i) the AIS is a trusted computer
system listed on the EPL 1/ with an evaluation rating of at least 31, or
(ii) the following minimum conditions are met:
a. The contractor and the CSO have determined that the design and
operation of the AIS will, with reasonable dependability, automatically
provide for consistent and correct identification and segregation of: (i)
information of different security classification levels, (ii) certain
additionally restrictive types of classified information, when such
concurrent processing is authorized by special access program directives,
and (iii) unclassified information.
b. Measures have been implemented to monitor the AIS for malfunc-
tions and occurrences that may adversely affect the dependability of such
automated identification and segregation.
c. Procedures have been instituted which will, in the event of
such malfunction or occurrence, control all system output as the highest
classification level and most restrictive type of information in the
system, pending a determination of actual classification levels. These
procedures shall remain in effect until the cause of the malfunction is
determined and corrected.
d. All users of the system have been advised that this automated
identification and segregation option has been implemented and instructed
to return to the SSO any system output that is either incorrectly labeled
as to classification level or was not requested by that user. A determina-
tion shall be made of the cause of the incorrect system action. A record
of each instance, and the corrective action taken, shall be maintained for
at least one Government inspection cycle.
105. Personnel Security.
a. As provided below, access to an AIS processing classified
information shall be limited to authorized persons who have a PCL and
need-to-know for the highest classification level and most restrictive
type of information they will access under system constraints.
b. System Users. Users are authorized persons with the ability and
means to approach, communicate with (input to or receive output from) or
otherwise make use of any information or component in the AIS. Personnel
105.
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who code, test or maintain application programs used to produce a service
or product are considered to be users. Those authorized persons who make
use of application programs via over-the-counter or remote means, and who
have the ability and means to create, destroy, change or retrieve data or
program instructions in the system, are also considered to be users. All
users shall have a PCL and need-to-know as required for the security mode
of operation (paragraph 104). The following personnel are not considered
to be users:
(1) Personnel who only receive computer output products from
the AIS and do not input to or otherwise interact with the system (that is,
no "hands on" or other direct input or inquiry capability) are not consi-
dered to be users. Accordingly, they are not subject to the PCL require-
ments of this section. Such output products, however, shall either be
reviewed by appropriately cleared and responsible personnel prior to
dissemination, or otherwise determined to be properly identified and
segregated as to content and classification, as prescribed in paragraph
104.1.
(2) Personnel who produce application programs and changes
thereto, or prepare data that may be input to the AIS during classified
processing periods, may be excepted from PCL requirements provided they do
not receive unreviewed output products from the AIS, or otherwise directly
interact with the AIS during classified processing. Such software or data
must be introduced into the system as prescribed in paragraphs 108.1c(4)
and d, respectively.
c. System Support Personnel. Personnel who administer and operate
the AIS are considered to be system support personnel. They shall have a
PCL for the highest classification level and most restrictive type of
information contained in the system or its areas at the time of their
access. This category includes all persons in the immediate vicinity of
the system attending to the operation, control and functioning of the
system, as well as those persons who design, program, modify, test or
install system software used during classified processing periods.
Access to specific classified material shall be governed by need-to-know
in relation to individual duties and responsibilities.
d. Maintenance Personnel. All persons involved in hardware
maintenance or repairs requiring entry to the computer facility, or access
to any parts or components of the AIS, where: (i) the complexity of the
AIS, (ii) the nature of maintenance/repairs to be performed, (iii) the
frequency of visits, (iv) the amount and classification level of informa-
tion processed, or (v) the availability of knowledgeable escorts makes
escorting impractical, shall have a PCL at least to the classification
level for which the AIS is approved to process. Maintenance personnel who
do not have the appropriate clearance must be accompanied by an escort duly
designated by the SSO. Escorts must be cleared at least to the classifi-
cation level of the system approval, and take all reasonable measures to
control the activities of the individual being escorted so that the
integrity of the AIS is maintained.
. e. Visitors. Persons visiting the area on a one-time or infrequent
basis, and who will not have access to classified information or to the
system hardware or software, may be admitted to the area when accompanied
by a duly designated escort who will control visitor access and be
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responsible for visitor activities while in the area. For other persons
requiring entry into the computer facility or remote terminal areas who
will have access to classified information or to the computer hardware or
software, the visitor control procedures of the ISM are applicable.
f. Security Training and Awareness. In furtherance of the require-
ments of paragraph 5f, ISM, it is the responsibility of the SSO to
indoctrinate all system users and support personnel in: (i) the need for
sound security practices in protecting information handled by the AIS,
including all output products, (ii) the specific security requirements
associated with the AIS in terms of system security mode of operation and
user access requirements, (iii) the security reporting procedures in the
event of system malfunctions or security incidents, and (iv) what consti-
tutes unauthorized actions with regard to system utilization. System
users shall be indoctrinated prior to being granted system access, and
reindoctrinated on a recurring basis. System support personnel shall
also be indoctrinated in appropriate operational security procedures
for the particular AIS and facility before they assume their duties.
Additional briefidg specifics for AIS's approved to concurrently process
multiple levels of classified information are identified in paragraph 104.1.
106. Physical Security.
a. Physical security safeguards and access controls must be
established and continuously maintained for AIS's approved for the
processing of classified information.
b. When the AIS is used for classified processing, physical security
safeguards and access controls for the computer facility, areas housing
remote terminals connected to the system, and the communications lines and
links shall conform to those required for the highest classification level
and most restrictive type of information being processed.
(1) Where two or more AIS's are located in the same area, and
the equipment comprising each AIS is located and controlled so that direct
physical access is effectively limited to that system, the area limited to
each system may be considered that system's "computer facility." The
measures and techniques for so "isolating" that system shall be reflected
in the SPP.
(2) Remote terminals not used during classified processing
periods shall be disconnected at the computer facility by: (i) physically
disconnecting the device, (ii) use of channel or transmission line hard-
ware switches, or (iii) use of software disconnect routines. Software
disconnect routines may be used only for AIS's which handle information
classified no higher than SECRET. Such routines must be documented to
clearly indicate physical actions and logic processes used, and be verified
in writing by the contractor at least every 90 days to ensure continued
effectiveness. These provisions are not applicable to specifically
designated remote terminals connected to systems approved to operate in
the multilevel security mode (paragraph 104d(3)(d)).
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c. When the AIS is used to process classified information unattended,
or when classified information is left in the system or elsewhere unsecured
within the computer facility or remote terminal areas, closed areas in full
compliance with paragraph 34, ISM, must be established.
d. During unclassified processing periods, controls must be main-
tained to prevent unauthorized modification of the computer hardware.
Continuous physical protection can be attained through one or a
combination of the provisions of paragraphs e(1)-(4) below.
e. When the AIS is not in use, and all classified information has
been removed from the system and properly secured, continuous physical
protection to prevent or detect unauthorized modification of the computer
hardware can be attained through one or a combination of the following:
(1) Closed areas, in full compliance with paragraph 34, ISM,
may be established for the computer facility and remote terminal areas.
Supplemental controls (that is, patrol or alarm systems) are not required
for closed areas used solely for the physical protection of computer
hardware.
(2) Computer hardware and associated media may be stored in
approved cabinets, strongrooms and vaults in accordance with paragraph 14,
ISM. Supplemental controls are not required for approved containers used
solely for the physical protection of computer hardware.
(3) Continuous supervision may be maintained by cleared and
specifically designated personnel who are in a physical position to exer-
cise direct security controls over the AIS (for example, guard station or
closed circuit TV monitor). Use of supplemental or supplanting alarm
systems is authorized in accordance with the provisions of paragraph 35,
ISM.
(4) This last alternative is not authorized for the protection
of AIS's approved to process TOP SECRET information. Protected areas can
be established and maintained for the computer facility and areas housing
remote terminals. A protected area is continuously protected by a collec-
tive level of physical security safeguards and personnel access controls
keyed to the prevention or detection of unauthorized modification of the
computer hardware. The specific security measures established by the
contractor will vary depending on: (i) the overall physical security
controls already in effect at the facility, (ii) the environment in which
the AIS is employed, the relative potential for unauthorized access, and
the effectiveness of safeguards in reducing the risks of identified
threats, (iii) the classification level and volume of the information to
be processed, and (iv) the consistency, reliability, and auditability of
the safeguards to be employed. Appropriate physical safeguards may
include: (i) locks on doors to buildings and rooms which provide
reasonable protection against surreptitious entry into the area, (ii)
authorized guards or employees stationed so as to control entry into the
immediate area housing the computer hardware, (iii) alarm systems, and
(iv) the use of equipment covers, enclosures, seals or locks to prevent
or detect unauthorized access to the inside of the equipment. When
surreptitious entry and/or modification of system hardware is suspected,
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a thorough inspection of the protected area and equipment must be conducted
by the SSO (or designee) prior to classified processing. Such incidents
must be recorded in the audit trail system.
107. Reserved.
108. Reserved.
108.1. Protection of Software and Data.
a. System Software. When system software used during classified
processing periods is not in the system, it must be safeguarded commen-
surate with the requirements for the highest level of classified informa-
tion processed. System software may be retained in the AIS on nonremovable
storage media when the AIS is not in use, provided that continuous physical
protection of the hardware (and the system software) is maintained as set
forth in paragraph 106e. System software, whether obtained from sources
outside the facility or developed by the contractor, shall be safeguarded
from the earliest feasible time that it is in the custody and control of the
contractor and is identified for use during classified processing periods.
System software and modifications thereto shall be developed by contractor
personnel who meet the PCL requirements of paragraph 105c.
b. Classified Application Software. Application software which in
itself contains classified data or comments, or implements classified
processes or algorithms (as specified in the contract), shall be produced,
marked and protected as any other classified material in compliance with the
provisions of the ISM. These provisions are applicable to both human and
machine readable versions of the software, as well as to supporting and
related documentation. Changes to classified software shall be made only
by appropriately cleared contractor personnel.
c. Unclassified (or Lower Classified) Application Software.
(1) Unclassified application software to be used during class-
ified processing periods: (i) may be produced as an end item for delivery
to the UA, (ii) may be produced for use in a classified end item or weapon
system during performance of the contract, (iii) may be developed inci-
dental to the performance of the contract, (iv) may have been developed
previously by contractor personnel for other purposes or another contract,
or (v) may be obtained from sources outside the facility.
(2) When application software is contractually produced for
delivery as an end item, or for use in a classified end item or weapon
system, the contract should specify whether it is classified or unclassi-
fied. If the security requirements for contractual software are not
provided with the contract, contractors should request them from
contracting officers. In the absence of such requirements from
contracting officers, the requirements and procedures of this section
will be applied as appropriate.
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(3) Application software that will be used during classified
processing periods shall normally be produced and maintained by appro-
priately cleared personnel (paragraph 105b) under accepted software
configuration management controls that provide reasonable assurance that
the integrity of the software will be maintained throughout its development
and operational life-cycle. Such software must be safeguarded commensurate
with the requirements for the highest level of classified processing with
which it will be used. The primary objective is to prevent unauthorized
access to classified information during, or resulting from, the processing
of such information because of malicious logic introduced into the applica-
tion software. Unauthorized disclosure of classified information can also be
prevented by ensuring that uncleared (or lower cleared) application
programmers do not receive unreviewed output products from classified
processing periods or otherwise interact directly with the system during
classified processing (paragraph 105b(2)). It should be noted that the
prevention of unauthorized destruction or modification of classified
information is not expressly provided for in this section.
(4) It is recognized that application software may have been
produced for other purposes by contractor personnel without the requisite
PCL or obtained from other unprotected sources. Before such software can
be used in classified processing periods, it must be reviewed, approved and
authorized for use by appropriately cleared and knowledgeable contractor
personnel who understand the security implications of the software being
reviewed. The software must then be introduced into the system in a
read-only or write-protected manner during the classified processing period.
This is to prevent possible unauthorized disclosure of classified informa-
tion by precluding the ability to write (intentionally or accidently)
classified information to media associated with the unclassified (or
lower classified) software. The software should be copied to dedicated
and previously protected media for use during subsequent classified
processing periods, or it may be executed during the classified processing
period in which loaded. Subsequent changes to the safeguarded software
must be authorized, made by appropriately cleared personnel, fully tested
and implemented in a controlled manner.
(5) Unclassified application software used during classified
processing periods may be retained in the AIS on nonremovable storage media
when the AIS is not in use, provided that continuous physical protection of
the hardware (and the application software) is maintained as set forth in
paragraph 106e.
d. Data. During classified processing periods, unclassified (or
lower classified) input data shall be introduced into the system in a
read-only or write-protected manner. Unclassified data may be retained in
the AIS on nonremovable storage media when the AIS is not in use provided
that continuous physical protection of the hardware (and the data) is
maintained as set forth in paragraph 106e.
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e. Media Control. Protection requirements for storage media on
which classified software and data reside will be attained by marking,
recording (that is, an accountability record) and storing the media in
accordance with provisions of the ISM. Safeguarding controls shall be
commensurate with the requirements for the highest classification level of
software or data ever contained thereon, and shall be maintained until the
media are declassified pursuant to paragraph 116. Selective overwriting for
the clearance or declassification of storage media (paragraphs 115c and
116c(6)(b), respectively) is not authorized for AIS' employing unclassified
(or lower classified) application software/data under the provisions of
paragraphs c and d above. In such instances, there is not complete assur-
ance that the areas being overwritten are the only areas of the storage
media where information was recorded during the classified processing
period.
109. Transmission Controls.
a. Transmission and communication lines and links between the
components of an AIS (for example, the computer facility and remote
terminals) may be used to transmit classified information as follows.
b. Inter-Complex. Transmission of classified information between
contractor facility complexes must be over approved CRYPTOGRAPHIC
communication circuits, and only with the prior written approval, and
in accordance with the instructions, of the contracting officer.
c. Intra-Complex. Transmission within a contractor's complex may be
over approved CRYPTOGRAPHIC communication circuits or over wire or fiber
optic circuits. Such circuits shall be protected by an in-depth physical
security system to include the following:
(1) Dedicated Lines. Transmission lines must be dedicated to
the computer and the remote terminals which are approved for the handling
of classified information. Transmission lines shall be separated from,
and not included in, cables that contain other lines not dedicated to the
transmission of classified data, nor be connected to, or go through,
telephone frames, switching equipment or any other telephone equipment.
(2) Line Protection. In the event transmission lines cannot be
contained entirely within areas secured for the highest level of classified
information transmitted, continual protection/surveillance of the lines
shall be accomplished by: (i) alarming the transmission lines and con-
ducting periodic checks of the lines and alarm integrity, (ii) constant
surveillance of the lines by appropriately cleared and designated personnel,
or (iii) a combination of physical protection of the transmission lines in
conjunction with periodic inspections or guard patrols. Specific criteria
for the physical protection, alarming and surveillance of transmission
lines will be provided by the CSO.
110. Subcontracting Controls.
a. A contractor may subcontract to use the approved AIS of another
contractor for the processing of classified material. Approval by the
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CSO(s) will be based on the security measures and procedures described in
the SPP of both the using contractor and the subcontractor providing the
AIS (that is, the lessor).
(1) The lessor is responsible for ensuring that the integrity
of the AIS is maintained at all times in accordance with the provisions of
this section. Audit trail records shall identify classified processing
periods of the using contractor(s) and the level of classified processing.
(2) The using contractor shall maintain adequate administrative,
procedural, physical and personnel security controls during classified
processing periods and assure that residual classified information is not
retained in the AIS when physical control is relinquished back to the
lessor. If a representative of the lessor remains in the computer facility
for equipment maintenance or other purposes during the classified process-
ing period, the lessor is responsible for ensuring that the representative
has the appropriate PCL. All classified information and material belonging
to the using contractor, including processing audit trails, shall be
removed from the lessor's premises at the end of the classified processing
period.
b. A contractor may have a subcontractor process classified material
provided that the subcontractor's AIS has been approved pursuant to this
section. The subcontractor shall maintain audit trails of all classified
processing and ensure that the integrity and separation of classified
material is maintained at all times.
111. Audit Trails.
a. Audit trails provide a chronological record of the use of the AIS
and system support activities related to classified processing. Approved
audit trails will provide detailed records of system activities to facili-
tate reconstruction, review and examination of events surrounding or lead-
ing to possible compromise should a security malfunction occur. The audit
trail system must record significant events occurring in the following
areas of concern: (i) interactivity between users of the system and system
support personnel who operate the system (for example, preparation of input
data and dissemination of output products), (ii) activity within the AIS
environment (for example, modification of operational security-related
controls), and (iii) internal computer activity (for example, user accesses
to the system and classified files).
b. Audit trail records may be manual, automated or a combination of
both, and may be stylized to the particular facility, AIS and security mode
of operation. Systems approved to process classified information should
utilize most, if not all, of the audit trail records and logs listed below.
The contractor's SPP must identify and describe those audit trails that are
applicable to the particular system and mode of operation:
(1) Personnel access to the computer facility and remote terminal
areas.
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(2) Start and stop of classified processing periods.
(3) Initiation and termination of pertinent system security-
related events (for example, upgrading and downgrading actions, discon-
necting and reconnecting remote terminals/devices, and application/
reapplication of seals to equipment/device covers).
(4) Actions to open, close, create and destroy classified files.
(5) System aborts and anomalies during classified processing
periods (to include time of the incident, identification of users, programs
and classified files involved, and corrective actions taken).
(6) Maintenance and repair of computer hardware (to include
adding, changing and removing equipment and devices). Systems and
equipment sent outside the facility for maintenance or repair shall be
declassified in accordance with paragraph 116.
(7) Functions initiated by console operators during classified
processing periods.
(8) Logon and logoff of users during classified processing
periods.
(9) Attempts to access programs or classified files by
unauthorized users.
(10) Generation, modification and implementation of system and
application software used during classified processing periods.
c. The SSO or custodian shall review the audit trail logs at least
weekly to ensure that all pertinent activity is properly recorded and that
appropriate action has been taken to correct any anomalies. Records of the
weekly reviews must be maintained and retained by the reviewer(s).
d. Audit trails in accord with the above may not be applicable to
computers embedded in test stands, simulators, control systems or weapons
systems. Such systems may require individualized consideration by the CSO.
e. Audit trail records shall be retained for at least 6 months and
through one Government inspection cycle.
Part 3. PROCEDURES
112. AIS Security Approval.
a. The approval (or reapproval) of an AIS to process classified
information commences when a formal written request, accompanied by an
SPP describing the AIS and its security measures, is received at the CSO.
The SPP may be an addendum or supplement to the facility SPP. The SPP
submitted by the contractor will be safeguarded and available only to
authorized Government personnel.
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b. System Reapproval. A request for reapproval of an AIS shall be
submitted as required in paragraph 103b. Revisions to the SPP reflecting
changes in the AIS and/or its security measures and controls must accompany
the request.
c. Withdrawal of Approval. If the security measures and controls
established and approved for an AIS do not remain in place and effective,
approval of the AIS can be withdrawn by the CSO. Approval may also be
withdrawn if the AIS has not processed classified data during the previous 9
months, provided no valid requirement exists for the AIS to remain
approved.
d. Standard Practice Procedure. The contractor shall prepare and
maintain an SPP to provide the basis for the CSO to approve and inspect the
AIS. Therefore, the SPP must contain complete and accurate descriptive
information about the AIS, its classified usage, and the security controls
and procedures to be implemented for that AIS. Where similar systems are
located within the contractor's facility, a single SPP covering the repet-
itive features, safeguards and controls of all the systems is permissible.
Addendums to this SPP will be used to identify the location of each AIS, as
well as any nonstandard features or procedures associated with a particular
system. The following specific areas shall be addressed in the SPP.
(1) Identification. Identify the AIS used for classified
processing, its physical location, the AIS security mode of operation,
the level of classified information to be processed, and the SSO and
custodian(s), if any.
(2) Summary of System Usage. Describe the classified use or
purpose of the AIS, indicating local and remote capabilities, hours of
operation, when classified processing will occur, and percentage of
utilization for classified processing. In the case of multiprocessing
systems, indicate the mixture of programs/applications during classified
processing. Also describe storage media and input/output devices used
during classified processing and the highest classification level of
information on, or processed through, each.
(3) Hardware. List and describe all equipment comprising the
AIS, including the size and type of internal memory and other storage media.
Include diagrams, schematics and/or floor plans as appropriate. Describe
disconnect methods and switching devices for disabling equipments not to be
used during classified processing periods.
(4) Software. Identify system software used during classified
processing, how maintained and how safeguarded. Describe security/protec-
tive features available in system software and/or coded into application
programs, how they are used during classified processing, and the means to
ensure that they are functioning effectively. (See paragraph 108.1.)
(5) Teleprocessing. Identify all teleprocessing equipments
and transmission lines employed with the AIS and indicate methods of
disconnecting those not used during classified processing. Describe
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teleprocessing configurations and interfaces during classified processing,
general usage of remote devices, protection procedures for transmitted data,
and physical controls to protect transmission lines. (See paragraph 109.)
(6) Personnel. Describe the security responsibilities of per-
sonnel, controls to restrict personnel access to the computer facility and
remote terminal areas during working and non-working hours, security indoc-
trination of personnel, and control of visitors and maintenance personnel.
(See paragraph 105.)
(7) Physical. Describe physical characteristics and safeguards
to control access to the computer facility and remote terminal areas during
working and non-working hours. (See paragraph 106.)
(8) General Access Controls. Describe controls which restrict
access into the AIS and to classified information in the AIS during
classified processing periods (such as passwords, isolation of users,
sign-on/sign-off procedures and terminal identification techniques). For
example, if passwords are used, describe the issuance, length, control and
protection of the passwords, frequency of changing passwords, how passwords
are used and their access privileges, and detection and reporting of
unauthorized access attempts. Passwords should be: (i) at least six
alphanumeric characters, (ii) classified the same as the highest
classification level of information for which the user is authorized to
access in the AIS, and (iii) changed at least every 3 months, on termina-
tion of employment or reassignment of any user possessing knowledge of the
password, or when the password is believed to have been compromised or
subjected to compromise.
(9) Operating Procedures. Describe start-up procedures for
classified processing (such as clearing the area, physical safeguards,
disconnections and loading the system), procedures during classified
processing (such as handling of input/output, audit trails and emergency
procedures), and procedures for shut-down of classified processing (such as
clearing or declassifying storage, removal of classified media, unloading
the system and reconnections).
(10) General Storage, Protection and Control. Describe the
control, handling, marking, storage and accountability of classified
materials such as software, input data, output products and storage media,
and procedures for the clearance, declassification and destruction of
storage media containing classified information.
(11) Audit Trails. List, describe and provide exhibits of all
automatic and manual audit trail records which provide a documented history
of the use of the AIS for classified processing. (See paragraph 111.)
(12) Subcontracting. Identify cleared subcontractor(s) used to
process classified information. Describe the arrangements and procedures
for the classified processing. (See paragraph 110.)
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(13) Emergency Plan. Describe additional procedures not covered
above to be employed in case of security violations, system crashes or other
emergencies during classified processing (such as personnel to notify,
protection of hardware and classified material, and control of uncleared
emergency personnel).
113. AIS Security Level Upgrading.
a. To adjust the AIS to a higher security level for: (i) initiating
a classified processing period after the AIS has not been in use, (ii)
changing from an unclassified to a classified processing period, or (iii)
processing a higher level or more restrictive type of classified informa-
tion, the following procedures shall be implemented.
b. If the AIS has not been in use or has been processing unclassi-
fied information unattended, and continuous physical protection has been
provided in accordance with the provisions of paragraph 106e(4), the
immediate area shall be inspected for signs of unauthorized entry and/or
the equipment shall be inspected for signs of unauthorized access to the
interior (for example, loose covers, broken seals, missing screws, pry
marks or scratches). If signs are found that unauthorized persons may have
gained entry into the area or access inside the equipment, the SSO shall be
notified immediately. Before using the AIS for classified processing, the
computer hardware shall be inspected and/or tested to reveal any hardware
modifications. Appropriate software diagnostic routines may be used in
this process.
c. All remote terminals that are not secured to the higher level
of classified processing to be accomplished shall be disconnected in
accordance with the provisions of paragraph 106b(2).
d. All storage media of a lower classification level shall be
disabled, disconnected or dismounted, and either removed from the area
or otherwise segregated within the area.
e. All internal memory, buffer storage and other reusable storage
devices not disabled, disconnected or dismounted shall be appropriately
cleared, as set forth in paragraph 115.
f.
connected
controls,
imposed.
Higher level security controls for the computer facility and
remote terminal areas, including the implementation of access
personnel clearance and physical security requirements, shall be
g. A dedicated and previously protected copy of the system software
shall be loaded into the AIS. However, if the system software has been
retained in the AIS on nonremovable storage media in consonance with
paragraph 108.1a, the system software need nut be reloaded if: (i) the
AIS has not been used since the last classified processing period, (ii)
the security level of the last processing period was not lower than the
security level of the processing period being established, (iii) continuous
physical protection of the AIS has been maintained in accordance with the
provisions of paragraph 106e, end (iv) there are no signs of unauthorized
entry into the area and/or access to the AIS.
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h. Lower classified or unclassified application software and data
shall be loaded into the AIS in accordance with the provisions of para-
graph 108.1c(4) and d, respectively. However, if unclassified application
software or data was retained in the AIS on nonremovable storage media in
consonance with paragraph 108.1c(5) and d, respectively, the application
software or data need not be reloaded under the same conditions as speci-
fied in paragraph g above for system software.
i. A final security check shall be made of the foregoing prior to
initiation of the higher level processing. Audit trail records will be
maintained indicating what actions were taken, when and by wham.
114. AIS Security Level Downgrading.
a. To adjust the AIS to a lower security level for: (i) processing a
lower level or less restrictive type of classified information, (ii)
changing from a classified to an unclassified processing period, or (iii)
establishing a level of continuous physical protection when the AIS is
not to be used (in accordance with the provisions of paragraph 106e), the
following procedures shall be implemented.
b. All removable storage media (including that containing the safe-
guarded higher level software), listings, ribbons, cards, classified waste
and so on, associated with the higher level of classified processing, shall
be dismounted, collected, marked, removed and appropriately secured. Where
area controls for the computer facility or remote terminal areas are
continuously maintained at the higher classification level, the removable
storage media may be segregated within, rather than removed from, the area,
provided the higher level classified information is not online or otherwise
accessible through the AIS.
c. All internal memory, buffer storage and other reusable storage
devices remaining on the AIS shall be cleared in accordance with the
procedures in paragraph 115.
d. A security check shall be made of the foregoing and audit trail
records maintained indicating what actions were taken, when and by whom.
115. Media and Equipment Clearance.
a. To preclude unauthorized disclosure of classified information
when either upgrading or downgrading the security level of the AIS, all
internal memory, buffer storage and other reusable storage devices used
during the prior processing period must be cleared before reutilization of
the AIS. The CSO will advise the contractor of authorized procedures for
clearing and verifying specific memories, storage media, devices and
equipment.
b. Internal Memory. Internal memory, registers, buffers and
circuitry of most systems and devices can be cleared by overwriting each
memory position at least once with unclassified information, by clear
switch action, or by removal of power. Specific guidance for clearing
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special types of semiconductor (electronic) memories will be provided by
the CSO. Clearance actions will be verified, where feasible, to ensure
that all applicable portions of memory have been cleared.
c. Other Storage Media. Other storage media such as magnetic tapes,
disks and drums on which classified information have been recorded may be
cleared by overwriting once with unclassified information. Clearance
actions will be appropriately verified, where feasible, and recorded.
Selective overwriting of storage media is permissible only when the exact
storage locations of classified information are known, those locations can
be overwritten, that action can be verified, and the restriction of para-
graph 108.1e is not applicable. Media which have been cleared may be used
for recording information with a lower classification level, but such
media shall continue to be safeguarded as required for the highest level
of classified information ever recorded thereon, until appropriately
declassified pursuant to paragraph 116.
d. Equipment. Any equipment or device physically handling classi-
fied media or material shall be visually examined as a part of the process
of clearing the equipment. This provision is applicable, but not limited,
to such devices as card readers and punches, optical and magnetic-ink
character recognition systems, paper tape readers and punches, computer
output microfilmers, printers, plotters and so on. This will require ?
appropriate physical and visual examination of the normal media path through
the particular equipment to detect the possible presence of media. An
examination of the equipment must include a search of the locations where
media or material may have become lodged. Equipment access panels and/or
other removable components may have to be removed or opened to perform the
inspection. Where the equipment contains internal memory or other storage
media which have been used to store information, these media shall be
cleared as in paragraph b or c above.
116. Media and Equipment Declassification.
a. Special precautions must be taken before systems, storage media
or equipment and devices containing storage media can be released from
classified material safeguarding controls. To release such media or
computer hardware, appropriate actions must be taken to ensure that all
classified information has been totally eradicated, that is, the storage
media must be declassified. After the storage media have been properly
declassified, the media, or the hardware containing the media, may be
handled as unclassified material provided that all markings indicating
its use for classified processing are removed. Where feasible, each
declassification action must be verified (at least randomly) to ensure
that all classified information contained on the media has been destroyed.
When media are declassified, a record of media declassification must be
completed. In the case of accountable media, this requirement can be met
by completing the accountability record to indicate the Aeclasstfication
action taken, the date and the persons taking the action. For other
storage media and computer hardware containing storage media for which
there is no accountability record, declassification and release records
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must be created for the particular media, device or equipment are retained
by the contractor for a period of 3 years if previously used for TOP
SECRET, 2 years if previously used for SECRET, and 1 year if previously
used for CONFIDENTIAL.
b. Most magnetic storage media can be declassified by the use of
approved degaussing equipment and devices. The CSO will advise the con-
tractor of currently approved: (i) electrical magnetic tape degaussers to
declassify reels of magnetic tape, (ii) adapters for electrical tape
degaussers to declassify flexible (floppy) disks, tape cassettes and
magnetic cards, (iii) floppy disk degaussers, and (iv) hand-held perma-
nent magnetic devices for declassifying disk and drum surfaces. The
contractor will establish procedures to ensure strict compliance with the
manufacturer's instructions for operating the degaussing equipment and to
ensure continuing effectiveness of the equipment. It should be noted that
tape degaussers are not authorized for declassifying "high-energy" magnetic
recording tape (that is, magnetic tape with a coercivity greater than 325
oersteds). High-energy magnetic tape which is more commonly used to
record analog, audio, video and other non-digital information shall have
a distinguishing label applied to the reel to identify it as "high-energy"
and must be safeguarded until its physical destruction.
c. Specific guidance for declassification and verification of
particular types of memory and storage media is available from the CSO.
Instructions regarding the declassification and/or disposition of media
containing COMSEC or special access program material should be provided
by the contracting activity. Authorized procedures for declassification
of the most commonly used memories and storage media are as follows:
(1) Most semiconductor memory can be declassified by overwriting
each memory location with any character pattern, or by the removal of main
and any backup power from the system. Non-volatile read/write semicon-
ductor memory may be declassified in accordance with the procedures for
magnetic core memory.
(2) Magnetic core memory used in the processing of information
classified no higher than SECRET can be declassified by overwriting each
addressable memory location alternately with any pattern of bits and then
with its complementary or opposite bit pattern (for example, binary ones
and then binary zeros) for 100 cycles. The same procedure applies for the
declassification of core memory used for processing TOP SECRET information,
except that the memory must be overwritten for 1000 cycles.
(3) Reels of magnetic tape can be declassified by the use of an
approved electrical tape degausser.
(4) Tape cassettes can be declassified by using an approved
electrical tape degausser with the appropriate adapter.
(5) Flexible (floppy) disks and diskettes can be declassified by:
(a) using an approved floppy disk degausser,
116. 204
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(b) using an approved electrical tape degausser with the
appropriate adapter, or
(c) exposing the recording surfaces to an approved hand-
held permanent magnet.
(6) Disk packs, disk platters, drums and similar rigid magnetic
storage devices can be declassified by:
(a) exposing the recording surfaces to an approved hand-
held permanent magnet, or
(b) overwriting all data storage locations alternately
with any pattern of bits and then with its complementary or opposite bit
pattern (for example, binary ones and then binary zeros) for three cycles,
and then overwriting once again with any other characters or bit pattern.
Unclassified information used in the final overwrite shall be left on the
device. Selective overwriting of storage media is authorized only when
the exact storage locations of classified information are known, those
locations can be overwritten as required, that action can be verified,
and the restriction of paragraph 108.1e, is not applicable.
(7) Magnetic cards can be declassified by using an approved
electrical tape degausser with the appropriate adapter.
(8) Cathode ray tube (CRT) screen surfaces shall be inspected
and/or tested to detect evidence of burned-in information. If the in-
spection reveals classified information etched into the phosphor, the CRT
device shall be retained within the appropriate security environment, or
the screen itself shall be destroyed. In the absence of burned-in classi-
fied information, the CRT may be handled as unclassified.
205
116.
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Section XIV. CRITICAL NUCLEAR WEAPON DESIGN INFORMATION
117. Policy. The sensitivity of CNWDI is such that it is in the national
interest to ensure that access is granted to the absolute minimum number of
employees who require it for the accomplishment of assigned responsibilities
on the strictest need-to-know basis. The FS0 shall be responsible for ensuring
that access to CNWDI is limited on a strict need-to-know basis within the
facility. The top management official shall ensure that the need-to-know
principle is strictly enforced. Management personnel at all levels will be
responsible for ensuring that requests for access to CNWDI are not auto-
matically approved. Full and complete justification must be made before any
employee is authorized for access to CNWDI. Because of the importance of such
information to our national policies, special procedures have been established
for its control.
118. Access Requirement. A final TOP SECRET or SECRET PCL, granted in
accordance with paragraph 24a(1), is valid for access to CNWDI of the same
or lesser security classification, provided the employee has been given a
security briefing, in accordance with paragraph 119. In rare instances, an
immigrant alien who possesses a unique or very unusual talent or skill that
is essential to the U.S. Government, and is not possessed to a comparable
degree by an available U.S. citizen, may be authorized for access to CNWDI
only. In such cases a request with full justification shall be forwarded to
the contracting officer. If access to CNWDI is approved for the immigrant
alien, such approval is limited to the specific contract of the UA, and is not
valid for access to CNWDI on other contracts.
119. Briefings. Employees having a need for access to CNWDI shall be briefed
on its sensitivity by the FSO or his or her alternate. The briefing shall
include the definition of CNWDI, a reminder as to the extreme sensitivity of
the information, and an explanation of the individual's continuing responsi-
bility for properly safeguarding CNWDI and for ensuring that dissemination is
strictly limited to other personnel who have been authorized for access and
have a specific need-to-know for the particular, information. The briefing
shall also be tailored to cover any local special requirements.
120. Records. The contractor shall maintain a record of all employees
who have been authorized access to CNWDI, and the date on which such
employees were briefed. These records will be maintained in a manner that
will facilitate verification, and shall be retained for 3 years following
the termination of employment and/or the termination of the individual's
clearance, as applicable.
121. Marking. In addition to other markings required by this manual, docu-
ments, including working papers, sound, voice, or electronic records, and any
other media, which contain CNWDI and are generated after September 1, 1978,
shall be clearly marked, "Critical Nuclear Weapon Design Information -- DoD
Directive 5210.2 Applies." Documents shall be marked on the cover, title
page, lead page, and the back cover. Similar documents and other media
published before September 1, 1978 that are in working files will be
similarly marked (substantially as provided above) to indicate they contain
CNWDI information. In addition, paragraphs of documents generated after.
September 1, 1978 that contain CNWDI will be so marked. (Example: (SRD)(N).)
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An (N) following the classification denotes that the classified material is
additionally identified as CNWDI.)
122. Subcontracting and Consultants. The contractor shall not award a
subcontract which would necessitate access to CNWDI without the prior written
approval of the contracting officer. This approval may be included on the
DD Form 254. Type A Consultants may be briefed and afforded access to CNWDI,
but such access may be permitted only at the facility of the contractor who
engaged the Type A Consultant or at the government contracting activity. Type
B and C Consultants shall not be briefed or afforded access to CNWDI without
the prior approval of the contracting officer.
123. Transmission Outside the Facility. Transmission outside the facility
is authorized only to the contracting activity, a prime contractor, or a
subcontractor approved pursuant to paragraph 122. Any other transmission must
be approved by the contracting officer. In addition, prior to transmission to
another. cleared facility, the contractor shall verify from the CSO of the
recipient facility that the facility has been authorized for access to CNWDI.
When CNWDI is transmitted to another facility, the inner wrapping will be
addressed to the personal attention of the FSO or his or her alternate, and in
addition to any other prescribed markings on the inner wrapping will be the
marking, "Critical Nuclear Weapon Design Information -- DoD Directive 5210.2
Applies." Similarly, transmissions addressed to the contracting activity or
other U.S. Government agency shall bear on the inner wrapper the marking,
"Critical Nuclear Weapon Design Information -- DoD Directive 5210.2 Applies."
123. 208
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. Section XV. OPERATIONS SECURITY (OPSEC)
124. Purpose. This section of the manual provides information and guidance
for uniform implementation of the DoD OPSEC program when contractually imposed
an contractors participating in the Defense Industrial Security Program.
125. General. OPSEC is a DoD directed effort. Its principal objective is to
preclude the disclosure of classified information by denying or reducing the
opportunity of hostile intelligence services (BOIS) to gain access by directly
observing/analyzing/evaluating our activities and operations, the awareness of
which may lead to the compromise of classified information. Stated another
way, OPSEC is the process of denying adversaries information about friendly
intentions, capabilities, plans and programs by identifying, controlling, and
protecting intelligence information and indicators associated with planning and
conducting military operations as well as other defense activities not already
afforded adequate protection as classified information.
a. The general aim of OPSEC is to promote mission effectiveness by
preserving essential secrecy about U.S. intentions, capabilities, and
current activities when the DISP procedures for safeguarding classified
material and information require enhancement. Secrecy essential to
defense activities may be compromised whenever open sources (such as
technical articles, press releases, National Technical Information
Service publications, the Congressional Record, Commerce Business Daily,
or contract awards) and detectable activities (such as communications,
logistics actions, research, development and test activities, or radar
emissions) provide information that hostile intelligence can piece together
or analyze, resulting in adversary actions harmful to U.S. interests. In
some instances, such information or indicators/activities are unprotected or
not addressed by the DISP requirements for classified material and require
case-by-case planning to identify them. The fundamental goal of the OPSEC
process is to minimize or eliminate such indicators. OPSEC thus encompasses
activities which are unique to the OPSEC process, i.e., (a) determining,
through threat/vulnerability analysis, whether there are unacceptable/
undesirable intelligence indicators and what they are; (b) developing and
implementing countermeasures to best eliminate or minimize them.
b. OPSEC uses the same security measures that have been used to protect
government information for years under the DISP but adds a new dimension.
This new dimension or emphasis is the security of unclassified intelligence
indicators. It is the protection of things we do, our operations, tests,
and activities. As such, OPSEC is intended to complement the DISP.
126. Applicability. The DoD OPSEC program is applicable only to Defense
contractors participating in the DISP when the contracting User Agency
determines that additional OPSEC measures are essential to protect
classified information for specific classified contracts and imposes OPSEC
as a contractual requirement. OPSEC is concerned with all sources of
exploitable information. The DISP generally covers only the classified
209 126.
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information disclosure problem, while OPSEC covers the total problem by
addressing vulnerabilities and countermeasures for a specific program.
OPSEC is principally oriented to those instances in which evaluations
indicate program weaknesses which could lead to the disclosure of
classified information.
a. OPSEC will be directed to the protection of unclassified intelligence
indicators on classified programs of such a nature that the disclosure of the
indicators may lead to the compromise of classified information. OPSEC is not
intended as a vehicle to protect unclassified technology; other programs exist
to protect this information (DoD Directive 5230.25).
b. Specific detailed UA requirements for OPSEC shall be included in
appropriate requisition documentation and resultant contract or addendum
thereto in sufficient detail to ensure complete contractor understanding of
exactly what special OPSEC provisions or measures are required by the UA.
Full disclosure of these requirements is essential so that contractors can
comply and charge attendant costs to the specific contracts which have OPSEC
provisions. In providing such measures, UAs shall not solely refer to their
internal regulations when imposing OPSEC requirements, but shall fully specify
the particulars in the contract proper and shall provide necessary information
to fully explain internal regulations. Additionally, applicable DD 254s will
be annotated to indicate that OPSEC requirements are contained in the contract
or addendum thereto.
c. Contractual OPSEC requirements shall be strictly limited to those
sensitive projects which clearly justify extraordinary security measures
beyond those embodied in the DISP as outlined in the ISM. If the ISM provides
a countermeasure or safeguard for a particular identified vulnerability concern,
the ISM will be allowed to address it and redundant countermeasures will not be
added as contractual OPSEC requirements (e.g. physical, information or personnel
security). UAs will make this determination prior to imposing OPSEC measures.
d. Full and detailed OPSEC contract and subcontract requirements to
include DD 254s will be provided to DIS CSOs by UAs or prime contractors as
appropriate.
e. When requested by the installation commander, DIS will perform OPSEC
inspections of contractor facilities located on military installations. At
contractor facilities not located on military installations, DIS has principal
responsibility for inspecting contractor compliance with OPSEC requirements.
Cognizant UA representatives may accompany DIS if requested. OPSEC inspections
will be accomplished:
(1) As part of a regularly scheduled industrial security inspection.
(2) As part of an unannounced industrial security inspection.
127. Procedures for Self-Inspecting OPSEC Programs.
As will be the case with CS0s, contractors shall use the detailed
information provided them by the contracting activity as the basis for OPSEC
self-inspections.
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Appendix I. INDUSTRIAL SECURITY FORMS
A. Application. The purpose of this appendix is to describe the forms used
by DoD contractors in industrial security matters, and to provide instructions
for the use and completion of each of these forms. A sample of each form is
included. These forms shall not be used for any purposes or in any other
manner, except as provided for in this manual or for training purposes.
B. Special Privacy Section Instructions. The privacy section instructions
on DD Forms 48, 49 and 48-3 are no longer applicable. (New personnel
security questionnaires, when published, will contain no special privacy
instructions.) Each employee will be advised that if they believe there is
a significant personal matter which they desire not to disclose to their
employer, they may request an interview with a Defense Investigative Service *
agent by entering "DIS Interview Requested" rather than completing the
specific item.
C. "Department of Defense Personnel Security Questionnaire (Industrial-NAC)"
(DD Form 48). This form is used to obtain personal data from a U.S. citizen
being considered for a DoD CONFIDENTIAL or SECRET PCL. The form is prepared
jointly by management and the person being considered for the clearance. The
submission of this form shall not be required, except when the person con-
cerned is being processed for a clearance. The completed form should be for-
warded to the DISCO, P.O. Box 2499, Columbus, Ohio 43216. However, forms that
pertain to OODEPs and are submitted in conjunction with the FCL application,
or as a change thereto, shall be mailed to the CSO.
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DO Form 48
SAMPLE
PERSONNEL SECURITY QUESTIONNAIRE
INDUSTRIAL -NAC
DO FORM a
PRIVACY ACT STATEMENT
A TI_SUSMM: internal Security Act of 1950 and Executive Order 10865, as amended by Executive Order 10909;
Executive Order 9397, November 1943 (SSW
PRINCIPAL PURPOSES: To obtain background information for personnel security investigative and evaluative purposes in order to determine
the security eligibility of Department of Defense contractors and employees of Department of Defense contractors for
(1) access to classified information, or (2) assignment to a sensitive position.
ROUTINE USES: (1) Determine the scope of a personnel security investigation.
(2) Provide evaluators or adjudicators with personal history information relevant to personnel security determinations.
The information may be disclosed to other Federal agencies that are authonzed under specific statutory or Executive
authority to make personnel security determinations.
A copy of the report of personnel security investigation will be maintained by the Personnel investigations Center of
the Defense Investigative Service and may be used in future security clearance determinations. You have the right to
obtain a copy of the report of investigation and/or request amendment to the file.
cataajj : Voluntary; however, failure to furnish all or part of the information requested may result in (1) denial of access to
classified information, or (2) non-selection for assignment to a sensitive position. Disclosure of your Social Security
Number is necessary to fulfill requirements of the above cited authorities. It is intended that this notice be retained
for personal records.
GENERAL INSTRUCTIONS
THE PERSONNEL SECURITY QUESTIONNAIRE (PSQ) IS AN IMPORTANT DOCUMENT AND MUST BE COMPLETED WITHOUT MISSTATEMENT OR
OMISSION OF IMPORTANT FACTS. ALL ENTRIES ARE SUBJECT TO VERIFICATION BY INVESTIGATION
? THE FORM MUST BE TYPED OR PRINTED
? COMPLETE ITEMS 1-13, SIGN THE FORM AT THE eorrorA. AND THEN PROVIDE THE FORM TO YOUR EMPLOYER WHO WiLL REVIEW IT
TO ASSURE THAT ENTRIES ARE COMPLETE AND CORRECT AFTER THE FORM IS RETURNED TO YOU, PROCEED TO COMPLETE 14-18 OF
THE PRIVACY SECTION
? IF ADDITIONAL SPACE IS REQUIRED FOR ANY ITEM, ATTACH ADDITIONAL SHEETS OF PLAIN WHITE PAPER, WHEN ATTACHING
ADDITIONAL SHEETS ALWAYS IDENTIFY THE ITEM NUMBER BEING CONTINUED ANO FOLLOW THE FORMAT FOR ENTERING
INFORMATION PRESCRIBED ON THE FORM AND IN THE DETAILED INSTRUCTIONS.
? ALL QUESTIONS MUST BE ANSWERED IF AN ITEM IS NOT APPLICABLE INDICATE NOT APPLICABLE" OR "N/A " DO NOT USE THE
TERM 'UNKNOWN" FOR DATES OF EMPLOYMENT OR RESIDENCE. IF THIS INFORMATION IS NOT KNOWN PRECISELY, GIVE THE DATE
AS BEST YOU CAN RECALL FOLLOWED BY APPROPRIATE QUALIFYING LANGUAGE. E.G.. 'DATE ESTIMATED" OR "APPROX.
? UNLESS OTHERWISE SPECIFIED:
? AU. DATES SHOULD BE ENTERED IN TERMS OF YEAR AND MONTH USING THE LAST TWO DIGITS OF THE YEAR AND A TWO DIGIT
NUMBER REPRESENTING THE MONTH. E.G., JANUARY 1987 WOULD BE ENTERED AS 87-01 AND DECEMBER 1987 WOULD BE
ENTERED AS 87-12.
? NAMES OF PERSONS SHOULD BE ENTERED IN THE FOLLOWING ORDER: LAST NAME, FIRST NAME AND MIDDLE INITIAL
? ADDRESSES SHOULD INCLUDE THE NUMBER AND STREET, CITY, STATE OR COUNTRY, AND ZIP CODE.
? BEFORE ENTERING ANY INFORMATION ON THE FORM. READ CAREFULLY THE DETAILED INSTRUCTIONS PROVIDED WITH THE FORM IF
AT ANY TIME DURING COMPLETION OF THE FORM. A QUESTION ARISES THAT DOES NOT APPEAR TO BE COVERED BY THE DETAILED
INSTRUCTIONS, CONTACT THE INDIVIDUAL OR OFFICE THAT PROVIDED YOU WITH THE FORM
? ONCE THE FORM HAS BEEN COMPLETED, PLACE IT IN THE PRE-ADDRESSED ENVELOPE THAT HAS BEEN PROVIDED, TOGETHER WITH
THE COMPLETED FD 258 (FINGERPRINT CARD). SEAL THE ENVELOPE, SIGN ACROSS THE ENVELOPE FLAP ON THE LINE PROVIDED AND
AFFIX THE DATE OF SIGNATURE. DELIVER THE SEALED ENVELOPE TO YOUR EMPLOYER IMMEDIATELY
DO Form 48 Instructions, JUL 87
2 1 2
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DO Form 48
Page two
SAMPLE
I DEPARTMENT OF DEFENSE
PERSONNEL SECURITY QUESTIONNAIRE (Industrial-NAC)
..,,,
ow mo. 004400S
from Map IT raw
NAME
b MAIDEN NAME al any).
DATE
1. a. LAST NAME?FIRST NAME?MIDDLE
FOR ON USE ONLY
2. ALIASES
3,a. SEX
b. RACE
4 SOCIAL SECURITY NUMBER
Male
Female
S. DATE OF BIRTH
6. PLACE OF BIRTH
(Year-Month-Day)
a. Cm,
b. COUNTY
c. STATE
d. COUNTRY
7 a. U.S. CITIZEN
YIDS n No
b. NATIVE
1 7 Yesr
C. IF NATURALIZED,
CERTIFICATE NO(S)
d. IF DERIVED. PARENT(s)
CERTIFICATE NO(S)7
e . DATE
f PLACE
g. COURT
illilo
h. DUAL CITIZEN Yes 1 I No (If 'Yes see DETAILED INSTRUCTIONS.)
8. MILITARY SERVICE (MOW, iNslowINOP200 Guard)
FROM
b. TO
c. BRANCH
d. RANK
e. SERVICE NO(S)
f COUNTRY
a.
9. PREVIOUS
CLEARANCE DATA
Yes
No
Have ever been granted a security clearance? at 'Yes' give details below.)
a. you
LEVEL
DATE GRANTED
GRANTED BY
NAME OF EMPLOYER
b Have you ever terminated employment while request for security clearance was pending? (Yes' answer must be explained in
accordance with the DETAILED INSTRUCTIONS.)
Yes
NO
10. FAMILY/ASSOCIATES (See DETAILED INSTRUCTIONS for persons to be listed.)
a. RELATIONSHIP AND NAME
b. DATE OF BIRTH
c. PLACE OF BIRTH
d. ADDRESS
e. CITIZENSHIP
FATHER
MOTHER (Malden Name)
SPOUSE (Maiden Novo)
FORMER SPOUSE
11 RESIDENCES (Begin with current address-Sae DETAILED INSTRUCTIONS.)
a. DATES (Yr & Me)
b.
AND STREET
c.
CITY
d.
STATE
e.
ZIP CODE
FROM
TO
NUMBER
Present
12. EMPLOYMENT
(Indy* self-employment, part-time employment andlor unompioyment) (See DETAILED INSTRUCTIONS.)
a. DATES (Yr ? MO)
b.
EMPLOYER
C.
ADDRESS
d.
ZIP CODE
e. SUPER-
VISOR
FROM
TO
NAME OF
Present
13. FEDERAL
SERVICE. FOREIGN TRAVEL/CONNECT1ONS (If 'Yes' see DETAILED INSTRUCTIONS.)
Y es
No
Have ever been in the Federal Civil Service?
a. you
b. Have traveled or resided abroad for other than the U.S. Government?
you
c. Do you have any foreign property or business Connections or have you ever been employed by or acted as a consultant or
representative for a foreign government, firm, or agency?
111. TO BE COMPUTED SY EMPLOYER
'a. LEVEL OF CLEARANCE I I Secret I I Confidential
b. CITIZENSHIP VERIFIED I I Yes
I No I c. 1013 TITLE
d. COMMERCIAL AND GOVERNMENT ENTITY CODE le. CONTRACT NUMBER
I . CERTIFICATION -i certify that the above named individual is employed by this company and hes the need for the clearance indicated to
perform on classified contracts.
DATE SIGNED
SIGNATI IRE OF EMI?' OYER OR DESIGNATED REPRESENTATIVE
TELEPHONE NO
Dana 1 ni 2 P2/101
DD Form 48, JUL 87
Previous esonz are
213
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. .1.1 V IIII I I nl? I.
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OD Form 48
Page Throe
SAMPLE
PRIVACY SECTION
ENTRIES I51 THIS SECTION ARE NOT SUBJECT TO REVIEW BY YOUR EMPLOYER. When your responses to items 1-13 on the first page of the
00 Form 44 have been reviewed by your employer and returned to you, you should proceed to complete items 14013 in this section. sign
where indicated at the bottom of the page, and follow the instructions contained in the DETAILED INSTRUCTIONS.
14. ARRESTS (?Yes AMAMM MYR be explained in,. through i. below in accordance with the DETAILED INSTRUCTIONS.)
yes
No
(Attach additional sheets, if necessary)
a. Have you ever been arrested. charged, cited. or held by Federal, state, or local law enforcement or juvenile authorities
regardless of whether the citation was dropped or dismissed, or you were found not guilty? (Include aN courts-mental or non-
j?nel
punishment while in military service. (You may exclude minor traffic violations for which. fine or forfeiture of POO
or du was imposed. unless alcohol related)
b. As a result Of being arrested, charged, cited, or held by law enforcement or juvenile authorities, have you ever been
convicted, fined by or forfeited bond to a Federal. state, or other judicial authority or adjudicated a youthful offender or
juvenile delinquent (regartiBess of whether the record in your case hes been 'sealed' or otherwise stncken from the court
record)?
C. Have you ever been detained, held in, or served WM! in any jail or prison, or reform or industrial school or any juvenile
facility or institution under the jurisdiction of any city, county. state. Federal or foreign country?
d. Have you ever been, or are you now under suspended sentence, parole, or probation or awaiting any action on charges
against you?
is
DATE
V. OFFENSE OR
VIOLATION
II* NAME ANO LOCATION
OF POUCE AGENCY
Is. NAME ANO LOCATION
OF COURT
I. PENALTY IMPOSED OR
OTHER DISPOSITION
15.
MEDICAL/ FINANCIAL ("Yiss- MIMEO must be explained in accordance with the DETAILED INSTRUCTIONS.)
Yes
No
(Attach additional sheen if necessary.)
a. Have you ever used any narcotic, depressant, stimulant. hallucinogen (to include LSO or PCP) or Cannabis (to include minivan+
or hashish) except as prescribed by a licensed physician?
b. Have you ever been involved in the illegal purchase, possession, or sale of any narcotic, depressant, stimulant, hallucinogen, or
Cannabis?
C. Has your use of alcoholic beverages (such as liquor, beer, wine) ever resulted in the loss of a job, arrest by police, treatment
for alcoholism or resulted in disciplinary action?
d. Have you ever had or been treated for a mental, emotional, psychological, Or personality disordertconditoMproblem?
e. Have you ever petitioned to be declared bankrupt or experienced other financial difficulties?
16. ORGANIZATIONS
a. (List a* organizations, except labor unions, and those referred to in b. below, to which you Wong or previously belonged.)
(1) NAME
(2) , ADDRESS
(3) TYPE
(4) FROM
(5) TO
b. (Yes ' 11111111011 must be explained in accordance with the DETAILED INSTRUCTIONS.) (Attach additional
Yes
No
sheen, if necessary)
(1) Are you nowor have you ever been a member of the Communist Party or any Communist organization?
(2) Are you now or have you ever been affiliated with any organization, association, movement, group, or combination of persons?,
which advocates the
overthrow of our constitutional form of government, or which has adopted the policy of advocating or
approving the commission of acts of force or violence to deny other persons their rights under the Constitution of the United
States or which seeks to alter the form of government of the United States by unconstitutional means?
17.
SECURITY
CLEARANCE (Yes " answer must be explained in accordance with the DETAILED INSTRUCTIONS.)
Yes
No
(Attach additional sheets. if MICRiiir)t)
Have you ever had a security clearance denied or revoked?
111. DISCHARGE FROM THE ARMED FORCES ("Yes' be in
Yes
No
answer must explained accordance with the DETAILED INSTRUCTIONS.)
(Attach additional sheets if necessary.)
Hake yoq ever been discharged from the Armed Forces under other than honorable conditions?
awriFICATION
I certify that the entries made by me are true. complete, and accurate to the best of my knowledge and
belief and are made in good faith. I understand that a knowing and willful false statement on this form can
be punished by fine or imprisonment or both (See U.S. Cod*, Title 18, Section 1001).
TYPED OR PRINTED NAME OF PERSON COMPLETING FORM
DATE
SIGNATURE OF PERSON COMPLETING FORM
Page 2 of I Pages
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DoD 5220.22-M
D. "Application and Authorization for Access to Confidential Information
(Industrial)" (DD Form 48-2). This form is used to obtain personal data from
a U.S. citizen being considered for a CONFIDENTIAL PCL by a contractor. The
form is prepared jointly by the person being considered for the clearance and
by the contractor. Completion of this form is a prerequisite to the granting
of a CONFIDENTIAL clearance by a contractor. The use of this form is not
retroactive in the case of employees who previously were granted CONFIDENTIAL
clearances by the contractor, so long as they are continuously employed by the
same contractor, or there has been no break in employment in excess of 12
months.
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OD Form 48-2
SAMPLE
APPLICATION AND AUTHORIZATION FOR
ACCESS TO CONFIDENTIAL INFORMATION (INDUSTRIAL)
TYPE OR PRINT
ALL ANSWERS
FORM A
ONO NO. 07114-003
EXP. DATE DEC l,5
NOTE: PENALTY- Failure to answer all questions, or any misreprisentation (by ?Minion or coneealmrnt, or by misleading.
false. or partial answers) may serve as a basis for denial of clearance for access to classified Department of Defense infor-
mation. In addition. Title 18 United States Code 1001 makes it a criminal offense. punishable by a maximum of 5 years'
insprisonrnent, mow fine, or both, knowingly and willfully to make a false statement or representation to any Department
or Agency of the United States as to any matter within the jurisdietion of any Department or Agency of the United States.
This includes any statement knowingly and willfully made by employer or employee herein which is knowingly incorrret.
incomplete or misleading in any important particular - Title 18 United States Code 911 states "whoever falsely and willfully
represents himself to be a citizen of the United States shall be fined not more than 51.000 or imprisoned not more than three
years. or both'.
PURPOSE: The completion of this form is required in the national interest prior to an individual being granted ? security
clearance for classified information.
INSTRUCTIONS - This is a three-part form. Part I is an application for access and shall be executed by U.S. citicen employees
provided their employer determines that as to Confidential information is required in the performance of the employee's
assigned dudes. Part II is the employee's authorleation for acmes to Confidential information and shall be completed by the
employer. Copy of this form shall be maintained by the contractor for all employees granted a security clearance for Confidential
Information. Part III Is a listing of Communist countries which the employee should refer to when completing Item 11.
PART I- APPLICATION FOR ACCESS TO CONFIDENTIAL INFORMATION
TO BE COMPLETED BY EMPLOYEE
NAME AND ADDRESS OF EMPLOYER
1. LAST Rung - FIRST mama - moot& Nasal"
a. ANY OTHER NAME NY WHICH KNOWN 1114111411 Or former
lfra name)
a. DATE OF I45TO4 (MoistA. Day & Year)
A. PLACE OF WITH (City, County, Safe)
S. SOCIAL /LAITY NUMBER
7. HAVE YOU EVER APPLIED FOR OR reaceiveo A secuierry CLEARANCE?
YES
S. IF THE AN/wan TO MOM 7 IS ''YES-. INDICATE nimovi THE LEVEL OP CLEARANC.L. WHEN APPLIED PO*. WHEN GRANTED. SY visiOls. ANO whIESM
EMPLOYED AT THAT TIME,
5. OfitANIZATiONS WITH line04 AFFILIATED (pall cued present) OTHER THAN RELIGIOUS On POLITICAL ORGANIZATIONS OR THOSE WHICH SHOW
RELIGIOUS ow Pourscat. APPluATION. (If Rook so ware)
10. ARE YOU A CITIZEN OF THU UNITED STATES? c3 YES NO. (If answer is "Yes", complete the foilowseed: d answer ? No MUT
this form te year eneployer.)
CI I Am A CITIZEN Or TMS UNITID STATES ST REASON OF my SiliTH IN THE UNITED STATES MY PIATuRALLZED
co MY MIRTH IN A FONEIGN COUNTRY OF UNIT= STATES PARENTS MY DERIVATIVE CITIZENSHIP ?
*If ensatead ample!. Winer .C.insesuisip by Naboalitaaon? or 'Citisenalup by Dertuosion? Section Wow.
crracramir ST NATURALIZATKINS
WHERE NATURALIZED (City. Corm% Sittg
DAT( NATURALIZED
COURT
CERTIFICATE NO.
CITIZENSHIP ST DERIVATION *
PARENT'S NAME
PARENT'S CERTIFICATE NO.
Fold
Line
II. HAVE YOU MOO= AT ANY TIME THE PAST IS YEARS OR SINCE YOUR t 5734 MRTHDAy. WHICHEVER IS LATER. IN COMMUNIST COUNTRIES
Lamm UNDER PART III? (If anwer a Yos", indieste city and comely, dates of nimidenee, man' gem 14 -Rentaelta,
DYES D No
Ia. LIST RELATIVES AND RELATIVES OF SPOUSE ICNOwN TO St LIVING IN COMMUNIST COUNTRIES LISTED UNDER PART
RELATION
NAME
ADDRESS
PLACE g DATE
Or MIRTH
PRESENT
CITIZENSHIP
IS. ARE YOU A REPRESENTATIVE OF A FOREIGN INTEREST?
A. RIDAARICS
216
Fold
Luse
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II
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DO Form 48-2
Pop Two
Feld
Late
JAM r LL
r
1
INSTRUCTIONS: Read every sentence of the Certification before signing in the presence of a witness who may be a member of
your flrrn. If you cannot sign the certlftcation for any reason, return this form to your employer who will have you complete a
different form.
I certify that I have never been, past or present, a member
of persons, (1) which advocates the overthrow of our
the of acts of force
CERTIFICATION
in any organization, association, movement, group, or combination
constitutional form of government, (2) or which had adopted a policy of
or violence to deny other persons their rights under the Constitution
of Government of the United States by unconstitutional means.
advocating or approving commission
United States, which seeks to aker the form
alike (3) or
I certify that I know that any misrepresentation or false
by herein may subject me to
I certify that.I have read and understand each sentence of this
Certification.
I certify that the entries made by me on this form are true,
complete, and correct to the best of my knowledge and
belief, and are made in good faith.
statement made me prosecution
under Tide 18, United Stales Criminal Code, Sections 911
and 1001, with penalties up to five (5) years imprisonment
and $10,000 fine.
I certify that I am a citizen of the United States.
SIGNATURE OF WITNESS
SIGNATURE OF PERSON MAKING CERTIFICATION
DATE OF SIGNATURS
A0051155 OF WITNESS (City, County, State)
PART II. AUTHORIZATION FOR ACCESS TO CONFIDENTIAL INFORMATION
TO BE COMPLETED BY EMPLOYER
Whereas the Department of Defense has delegated
for access to Confidential information to his employees
duties; the undersigned, a duly authorized representative
form and the employment records pertaining to the
(Check the appropriate block(s)
I. The employee is a United
to its contractors (employers) authority to grant access
who require access in the performance of the employee's
of the contractor, certifies that he has examined
employee executing Part I of this form, and has determined
States citizen; and that
a security clearance for Confidential
with the provisions of paragraph 24b,
for Safeguarding Classified Information and
granted this date; and/or
to be referred to the military cognizant security
authorization
assigned
Part I of this
that: -
.
2. The employee may be granted
information in accordance
Industrial Security Manual
such authorization is hereby
3. The application is required
office for determination.
Date ?
By
(Signature)
( Name of Contractor)
.
(Typed name and tale of outhoraced represcntattue)
PART III - LIST OF COMMUNIST COUNTRIES
Albania
Bulgaria
Chinese Peoples Republic (Commwtist China) (including Tibet)
Cuba
Czechoslovakia
Democratic Peoples Republic of Korea ( North Korea)
Democratic Republic of Vietnam ( North Vietnam)
German Democratic Republic (GDR) (East Ocrmany, including the Soule, Sector of Berlin)
Hungary
Mongolian Peoples Republic (Outer Mongolia)
Poland
Rumania
Yugoslavia
Kurile Islands
South Sakhalin (Karafuto)
Union of Soviet Socialist Republics (USSR) (including Estonia, Latvia, Lithuania, and all , ,th .. r constituent republics)
DO eog... 48-2
I APR 74
EDITION OF I JAN 611 MAY BE USED UNTIL EXHAUSTED
217
Old
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DoD 5220.22-M
E. "Department of Defense Personnel Security Questionnaire (Updating)" (DD
Form 48-3). This form is used to obtain current personal data to process a
clearance action, when an individual with a security clearance is transferring
employment from one contractor to another contractor within a 12-month period
and requires a PCL in his or her new employment. It is also used in
converting a UA clearance to an industrial security clearance. This form is
prepared jointly by management and the individual being processed for the new
clearance. In the section to be completed by the employer, the form is
addressed to the DISCO, P.O. Box 2499, Columbus, Ohio 43216. However, forms
that pertain to OODEPs, which are submitted in conjunction with the FCL
application, or as a change thereto, shall be mailed to the CSO.
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I..1.1.1 ! I . ,
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OD Form 48-3
SAMPLE
?
DEPARTMENT OF DEFENSE
PERSONNEL SECURITY QUESTIONNAIRE (Updating)
1 DATE FORM COMPLETED
(YYMMOO)
Form Approved
OMB No. 0704-000S
Expires May 31, 1990
Man: Failure to answer all quotient or any moretwesontation (by qmission or concealment. or by misleading, false, or partial answers) may
servo /pia basis for dental of clearance for act= tO classified Department of Defense information. In addition, Title 18. United States
Co4,1001, makes it a criminal offense. punishable by a maximum of 5 years imprisonment, 510.000 fine, or both, knowingly and
willfully a false statement Or representation to any Department or Agency of the United States as to any matter within the
Jurist of any Department or Agog) of the United States. This includes any statement made herein which is knowingly and
willfully incorrect, incomplete or misleading in any important particular.
INSTRUCTION* One (1) copy of
Safeguarding
cam?letely and
not apply will
INSTRUCTIONS TO EMPLOYEE:
completed form will be submitted by the contractor when prescribed by the industrial Security Manual for
Classified InfOrmatiOn to request transfer of clearance. Type or print all answers; form will not be accepted unless
properly executes. Use blank sheets for additional information, identifying by item number. Questions which do
be marked 'None.
This form is in three parts. Part I must be completed by your employer lofore you complete the other parts. You
must complete Part ill in private. Before filling in any part, you should familiarise yourself with all questions. Do not
sign this form without first reading the instructions in Part Ill.
PART l? TO BE COMPUTED BY EMPLOYER
i . TO:
DEFENSE INVESTIGATIVE SERVICE
DEFENSE INOUSTRIAL SECURITY CLEARANCE OfFKI
110X MR
C0LUMNS. 01110 4321111-313011
2. NAME OF EMPLOYER (if a subsidiary, include none of parent company)
3. ADDRESS OF EMPLOYER (Street, City, State. Zip Cod.)
4. COMMERCIAL AND GOVERNMENT ENTITY CODE
5. 1011 TITLE
6. CLEARANCE REQUESTED
c2 TRANSFER
IS
(X one)
CONVERSION
CONCURRENT
IN
1.1
7 DESCRIPTION OF EMPLOYEE'S DUTIES WHICH REQUIRE ACCESS TO CLASSIFIED
INFORMATION
8. CONTRACT NUMBER, WHEN APPLICABLE
9. SECURITY CLASSIFICATION OF MATERIALS OR IN-
FORMATION EMPLOYEE WILL HAVE ACCESS TO
I CERTIFY THAT THE ENTRIES MADE BY ME ABOVE ARE
TRUE, COMPLETE. ANO CORRECT TO THE /EST OF MY
KNOWLEDGE ANO BEUEF AND ARE MADE IN GOOD FAITH.
10a. SIGNATURE OF EMPLOYER OR DESIGNATED REPRESENTATIVE
b TELEPHONE NO.
PART II TO RI COMPLETED ST EMPLOYEE
1 NAME (Last, First &fiddle)
2. OTHER NAMES (Indicate alias, maiden name, (firrnar 4911 name, ete)
3 DATE OF BIRTH (YYMMOD)
4. SOCIAL SECURITY NUMBER
S SEX
6. PLACE OF 8 RTH (City, State, Country)
7 . COUNTRY OF CITIZENSHIP
Ba CURRENT RESIDENCE
ADDRESS (Street. City, State, or Other Political Subdivision, and Country)
b FROM (Oat. ? YYM141130,
9. LAST EMPLOYMENT AT WisiCH CLEARANCE WAS GRANTED
a. POSMON HELD
b. DATES OF EMPLOYMENT (YYMMOO)
(1) FROM (2) To
c. EMPLOYER NAME
d. EMPLOYER ADDRESS (Street, City, State, Zip Cede)
10. CLEARANCE
a. LEVEL
b. DATE GRANTED (YYMMOO)
c. GRANTED BY
11 LIST EACH FOREIGN GOVERNMENT, FIRM, CORPORATION. OR PERSON FOR WHOM You ACT OR HAVE ACTED AS A REPRESENTATIVE,
OFFICIAL OR EMPLOYEE IN THE PAST S YEARS. LIST ALL COMMUNIST GOVERNMENTS, FIRMS, OR CORPORATIONS FOR WHOM You
HAVE EVER ACTED IN SUCH CAPACITY ATTACH A STATEMENT FOR EACH AFFILIATION, AS REQUIRED BY PARAGRAPH 20 OF THE ISM
12. REMARKS
FURTHER INSTRUCTIONS: Do not complete PART III or the Certification at this time After completing PART II return the form to your
employer who will review it to assure that all entries are complete end the form is filled out properly. After your employer returns the forms to
you. then start PART III and follow instructions on reorse.side.
00 Form 416-3, JUL $7
Previous editions are obsolete.
219
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DO Form 48-3
Pogo Two
SAMPLE
PART ill ? PRIVACY SECTION
ENTRIES IN THIS SECTION ARE NOT SUBJECT TO REVIEW BY YOUR EMPLOYER.
When your responses to items 1-13 on page) of this form have been reviewed by your employer and returned to you.
proceed to complete items 13-18 in this section, sign where indicated at the bottom of the page, and follow the
instructions on page?. ,
13 ARRESTS ("Yes ' answers mum be explarned we ft. through r. Wow. Attach addationar Owees. it necessary.)
YES
NO
a. Have you ever been
whether the citation
in etalitary
arrested, charget crted. or mind
was drooped or dammed. or you
You may 'WWI moor traffic
by federal. state, or iocai law enforcement
found
Or juvenile authorities
all courWirtartiaf or non palm'
of SIO0 0,1w was
regardless of
were not guilty, (Mckide
visitations for which a hi'. or forternere
pranrstintent
impend units 'Nebel
nohile service.
miaow)
b As ? result of being
by or forfeited bond to
begarilksts of whether
arrested. charged.
federal.
cited. or Wild
other judicial
case has been
by law enforcement or juvenile
authority or adjudicated a youthful
'mired tron
authontnis. have you ever been cOnincted. fined
offender or juvenile detingsient
the court record)?
a nate, or
the record in your
or othenstse stricken
c. Nave you ever been detained, held in. or served time in any pia or prison. reform or industrial scnool, or any juvenile facility Or
institution under federal jurisdiction or The jurisdiction Of any city, county. state. possession. or foreign country?
d. Have you ever been. or are you now under suspended sentence, parole, or probation or awaiting any action on triages
against you?
e DATE
(yYM14001
f Off ERSE OR
VIOLATION
g. NAME AND LOCATION
Of POLICE AGENCY
h NAME AND LOCATION
Of COURT
PENALTY IMPOSED OR
OTHER DISPOSITION
la MEDICAUFINANCIAL (-Yes ' anSWOrf That be explained. Attach additional Mem if necessary.)
Y ES
NO
a Have you ever used any narcotic. depressant, stimulant. hallucinogen (including I-SO and PCP)or cannabis
Itatttash), incept as MfMnbed by a licensed tinirsialan'
and
(mending POSOnriena
b. have you ever been involved in the illegal purchase. possession. or sal* of any narcotic, delerlieseint, stimulant, nallusin09en? or
Cannabis?
c. Has your use of elephant beverages (has liquor, beer or wine) ever resulted in the loss of a fob, arrest by police, or treatment for
alcoholism Or resulted in 'Mclennan/ action'
d. Have you ever had
for
a mental, emotional. psychological, or personality disordiencondittorirproblern ?
or been treated
Have be declared
bankrupt or experienced other financial difficulty's?
e. you ever petitioned to
IS. ORGANIZATIONS
a. List allorgenizeaord except labor imam. and Mum referred to in b. Wow, to wrench you belong or prevrously belonged
(I) NAME
(2) ADDRESS
(3) TYPE
(I) FROM
(5) To
,
b. rhos' maven moot be improrsed rifted, acklinonal Mem it necessary.)
YES
NO
Are you now or have you ever been a member of the Communist Party or any Communist organization'
,(1)
(2) Me you now or hew
advocates the overthrow
comnimites Of act, of
alter the form of government
you ever been affiliated
of our commartionel
force
with
form of
deny other persons
States by unconstitutional
any organization. association, movement. group, or combination
has
of pemorn which
or approving the
States or which seeks to
government. or which adopted the policy of advocating
their ngfrls under the Constitution of the United
means?
or violence to
of the United
IC. SECURITY mithstmta ("Yoe anciheill meet be explained. arced, add/trona( sheets. it necessary)
YES
NO
hod denied.
Nave 'mover a security clearance revoked.
or suspended,
17 DISCHARGE ROM TIN ARMED FORCES (-Yes' answers must be explained. Attach midttronal sheets. it necessary)
YES
NO
discharged from
Armed forces under other than honorable conditions?
Have you INN been the
?
III. EMPLOYEE CERIIFICATION
I certify that the entries made by me are true, complete, and accurate to the best of my knowledge and belief
and are made in good faith. I understand that a knowing and willful false statement on this form can be
punished by fine, imprisonment, or both. (Ste Title IS. U.S. Code. Section 10001)
a. TYPED OR PRINTED NAME
b. SIGNATURE
c SOCIAL Stamm,
NUMSER
d DATE SIGNED
(YYMMOO)
DO Farm 411-3, JUL 87
Page 2 of 2 Pages
PRIVACY ACT STATEMENT FOR DO FORM 45-3
AUTI40111TY: Erecutive Order IONS, as amended by Executive Order 1090S, Safeguarding Information Within industry, Executive Order 9397,
November 1913 (SPI).
PRINOPAL PURPOIg: To determine the individual's eligibility for an Industrial Personnel Security Clearance.
ROUTINE LISEI: Used by DISCO to establish and maintain records of Industrial Personnel Security Clemente actions The Social Security Number is used
as the primary identifying factor in the system of records Access to or use of the personal information furnished is generally limited to authorized
federal Government employees, law enforcement and investigative agencies for official personnel security investigative and clearance functions and to
euthented contractor Personnel performing dement* processing duties interim notification to contractor leerbennin that a security clearance has
been issued may be transmitted over a Government Or Commercial telecommunicatiOns network. Thit interim notification will mtltiCle Me inclividuer
name and Social Security Number and the level and date of the security clearance Contractor access to privacy portions of all thersonniti Security
Questionnaires remains prohibited In the case of a Canadian or United Kingdom reciprocal personnel security clearance, or security assurance required
by any other foreign government. minimal information will be provided. as r?ClunttO
MOM: Voluntary; however, if the requested information is not provided further processing for a personnel security clearance will be
discontinued or action inniatod to withdraw any clearance presently in existence
Detached from DO Form 48-3, JUL $7
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F. "Department of Defense Personnel Security Questionnaire (Industrial)"
(DD Form 49). This form shall be used in making application for:
1. a U.S. citizen being considered for a TOP SECRET PCL,
2. a U.S. citizen being considered for any level of clearance, when the
individual advises that he or she is an RFI,
3. a U.S. citizen who has relatives or relatives of his or her
spouse who are residing in Designated countries,
4. an immigrant alien being considered for an LAA,
5. a citizen of a signatory country being processed for an LAA, and
6. a naturalized U.S. citizen from a Designated country being
considered for any level of PCL.
The form is prepared jointly by management and the person being considered for
clearance. In the section to be completed by the employer, the form should be
addressed to the DISCO, P.O. Box 2499, Columbus, Ohio 43216. However, forms
that pertain to OODEPs, which are submitted in conjunction with the FCL
application, or as a change thereto, shall be mailed to the CSO.
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DO Form 49
SAMPLE
SECTION I
PERSONNEL SECURITY QUESTIONNAIRE
INDUSTRIAL
DD FORM 49
DATA REQUIRED BY THE PRIVACY ACT OF 1974 (5 U.S.C. ?51521)
AUTHORITY: Internal Security Act of 1950 and Executive Order 101365, as amended by Executive Order 10909.
PRINCIPAL PURPOSES: To obtain background information for personnel security investigative and evaluative purposes in order to detenninwihe security eligi-
bility of Department of Defense contractors and employees of Department of Defense contractors for (1) acceu to classified information, or (2) assipunent to a
sensitive position.
ROUTINE USES: (I)Determine the scope of a personnel security investigation.
(2) Provide evaluators or adjudicators with personal history information relevant to personnel security determinations.
The information may be disclosed to other Federal agencies that are authorized under specific statutory or Executive authority to make personnel security
determinations.
A copy of the upon of personnel security investigation will be maintained by the Personnel Investigations Center of the Defense Investigative Service and may be
used in future security clearance determinations. You have the right to obtain a copy of the report of investigation and/or request amendment to the file.
MANDATORY OR VOLUNTARY DISCLOSURE AND EFFECT ON INDIVIDUAL OF NOT PROVIDING INFORMATION:
Voluntary. Failure, however, to furnish all or part of the information requested may result in (1) denial of access to classified information, or (2) non-selection for
asaipment to a sensitive position. Disclaim of your Social Security Number is necessary to fulfill requirements of the above cited authorities. It is intended that
this notice be retained for personal records.
GENERAL INSTRUCTIONS
THE ATTACHED PACKET OF MATERIAL CONSISTS OF TWO SECTIONS; SECTION I?A DD FORM 49 WORKSHEET PRINTED ON THE REVERSE OF
THESE INSTRUCTIONS AND THE DD FORM 49 PACKAGED AS A 5-COPY CARBON INTERLEAF SET; SECTION II ? A DD FORM 2221 AND AN
ORIGINAL AND ONE COPY OF THE PRIVACY SECTION. DETACH THE WORKSHEET AND COMPLETE ITEMS 116. WHEN YOU ARE SATISFIED THAT
ALL ITEMS ARE CORRECT AND COMPLETE IN ACCORDANCE WITH THE DETAILED INSTRUCTIONS WHICH YOU HAVE BEEN FURNISHED, TURN
THE WORKSHEET OVER TO YOUR EMPLOYER WHO WILL REVIEW IT TO ASSURE THAT ALL ENTIRES ARE COMPLETE AND ACCURATE. AT THIS
POINT ENTER THE ENTRIES FROM THE WORKSHEET ONTO THE DD FORM 49 5-COPY CARBON INTERLEAF SET USING A BALL-POINT PEN OR
TYPEWRITER (YOUR EMPLOYER MAY HAVE THE FORM TYPED FOR YOU). BE SURE YOU SIGN THE FORM AT THE Borrom UNDER THE
REMARKS SECTION. WHEN THE DD FORM 49 HAS BEEN COMPLETED AND SIGNED, COMPLETE SECTION II ? THE PRIVACY SECTION TO INCLUDE
ENTRY OF YOUR SIGNATURE. AND THEN SIGN AND DATE THE DD FORM 2221. PLACE ALL COMPLETED MATERIAL, TOGETHER WITH A
COMPLETED FD FORM 2513 (FINGERPRINT CARD) IN THE PRE-ADDRESSED ENVELOPE THAT HAS BEEN PROVIDED. SEAL THE ENVELOPE, SIGN
ACROSS THE ENVELOPE FLAP ON THE LINE PROVIDED AND AFFIX THE DATE OF SIGNATURE. DELIVER THE SEALED ENVELOPE TO YOUR
EMPLOYER IMMEDIATELY. IN COMPLETING THE PACKET OF MATERIAL, THE FOLLOWING APPLY:
? THE PERSONNEL SECURITY QUESTIONNAIRE (PSQ) IS AN IMPORTANT DOCUMENT AND MUST BE COMPLETED wrniour MISSTATE-
MENT OR OMISSION OF IMPORTANT FACTS. ALL ENTRIES ARE SUBJECT TO VERIFICATION BY INVESTIGATION.
? ENTRIES MUST BE TYPED OR PRINTED.
? IF ADDITIONAL SPACE IS REQUIRED FOR ANY ITEM, USE ITEM 16, "REMARKS." IF SPACE PROVIDED IN ITEM 16 IS INSUFFICIENT,
USE SEPARATE SHEET(S) OF PLAIN WHITE PAPER. WHEN ATTACHING ADDITIONAL SHEETS ALWAYS IDENTIFY THE ITEM NUMBER
BEING CONTINUED AND FOLLOW THE FORMAT FOR ENTERING INFORMATION PRESCRIBED ON THE FORM AND IN THE DETAILED
INSTRUCTIONS.
? ALL QUESTIONS MUST BE ANSWERED. IF AN ITEM IS NOT APPLICABLE INDICATE "NOT APPLICABLE." OR "N/A." DO NOT USE THE
TERM "UNKNOWN" FOR DATE OF EMPLOYMENT OR RESIDENCE. IF THIS INFORMATION IS NOT KNOWN PRECISELY, GIVE THE DATE
AS BEST YOU CAN RECALL FOLLOWED BY APPROPRIATE QUALIFYING LANGUAGE, E.G., "DATE ESTIMATED" OR "APPROX."
? UNLESS OTHERWISE SPECIFIED:
? ALL DATES SHOULD BE ENTERED IN TERMS OF YEAR AND MONTH USING THE LAST TWO DIGITS OF THE YEAR AND A TWO DIGIT
NUMBER REPRESENTING THE MONTH, E.G., JANUARY 1979 WOULD BE ENTERED AS 79-01 AND DECEMBER 1979 WOULD BE
ENTERED AS 79-12.
? ,NAMES OF PERSONS SHOULD BE ENTERED IN THE FOLLOWING ORDER: LAST NAME, FIRST NAME AND MIDDLE INITIAL.
? ADDRESSES SHOULD INCLUDE THE NUMBER AND STREET, CITY, STATE OR COUNTRY. AND ZIP CODE.
? BEFORE ENTERING ANY INFORMATION, READ CAREFULLY THE DETAILED INSTRUCTIONS PROVIDED WITH THE PACKET. IF AT ANY
TIME DURING COMPLETION OF THE MATERIAL, A QUESTION ARISES THAT DOES NOT APPEAR TO BE COVERED BY THE DETAILED
INSTRUCTIONS, CONTACT THE INDIVIDUAL OR OFFICE THAT PROVIDED YOU WITH THE MATERIAL.
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DO Form 49
Page two
SAMPLE
DEPARTMENT OF DEFENSE
Personnel Security Questionnaire (INDUSTRIAL)
FORM APPROVED
ORM NO. 0704-0002
EXP. DATEs APR 30. 14013
b. MAIDEN NAME (If any)
DATE
1.a. LAST NAME?FIRST NAME?MIDDLE NAME
FOR DIS USE ONLY
2. ALIASES
3. a. SEX
b. RACE
4. SOCIAL SECURITY NUMBER
mpg
Female
5. DATE OF BIRTH
6. PLACE OF BIRTH
(Yeer?MOnth?Day)
a. CITY
b. COUNTY
c. STATE
d. COUNTRY
b.
7.a. U.S. CITIZENk
7 Yes 17 No
NATIVE
Yell No
c. IF NATURALIZED.
CERTIFICATE NO(s)d.
IF DERIVED. PARENT(S)
CERTIFICATE NO.(1)
a. DATE
f. PLACE
9. COURT
h. DUAL CITIZEN Yes I I No (If "Yes" we DETAILED INSTRUCTIONS.)
8. MILITARY SERVICE (Melnik ReserrelNational Gaterci.)
a. FROM
b. TO
c. BRANCH
d. RANK
e. SERVICE NO.(s)
f. COUNTRY
9. PREVIOUS
CLEARANCE DATA
Yos
NO
a. Have you ever been granted a security clearance?
If "Yes" give details below.)
LEVEL
DATE GRANTED
GRANTED BY
NAME OF EMPLOYER
for security clearance was pending? ("Yes" answer Mgt be explained in accordance with the
YeS
No
b. Have you ever terminated employment while request
DETAILED INSTRUCTIONS.)
10. FAMILY/ASSOCIATES (See DETAILED INSTRUCTIONS for persons to be listed.)
a. RELATIONSHIP AND NAME
b. DATE OF BIRTH
c. PLACE OF BIRTH
d. ADDRESS
e. CITIZENSHIP ..
FATHER
MOTHER (Maiden Nemo)
SPOUSE (Maiden Name)
FORMER SPOUSE
11. RESIDENCES (Nebo with current address?See DETAILED INSTRUCTIONS.)
a. DATES (Yr & Mo)
b.
STREET
c.
CITY
d.
STATE
s.
ZIP CODE
FROM
TO
NUMBER AND
Present
12. EMPLOYMENT
(ltectude selpernployntent, parstinee employment andlor unernployment.) (See DETAILED INSTRUC77ONS.)
a. DATES (Yr & ifo)
b.
NAME OF EMPLOYER
C.
ADDRESS
d.
ZIP CODE
?? SUPER-
VISOR
FROM
TO
'
Present
13. FEDERAL
SERVICE. FOREIGN TRAVEL/CONNECTIONS (If "Ya" sett DETAILED INSTRUCTIONS.)
Yin
NO
a. Have you ever been in the Federal Civil Service?
b. Have you traveled or resided abroad for other than the U.S. Government?
c. Do you have any foreign property or busing's connections or have you ever been employed by or actod see consultant or representative for a
foreign government, firm, or allollor?
To se COMPLETED BY EMPLOYER I a. LEVEL OF CLEARANCE I Too Secret SCI I I Other (Specify)
b. CITIZENSHIP VERIFIED I I Yet 1 I No I c. JOE TITLE
d. FEDERAL SUPPLY CODE I a. CONTRACT NUMBER
f. CERTIFICATION ? I certify that the above named individue is employed by this company and he. the need for the clearance indicated to perform on
classified contracts.
DATE
SIGNATURE OF EMPLOYER OR DESIGNATED REPRESENTATIVE
DDFORM 49
$s ion
Edition ef I FEB 74 May Bs Used Until Exhausted.
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Page three
SAMPLE
14. EDUCATION Okra wIM kat school 4efended-34w DETAILED INSTRUCI7ONSJ
s. DATES (Tr& Mel
b.
NAME OF SCHOOL
e.
ADDRESS
d.
ZIP CODE
e.
DEGREE
P ROM
'to
111. CHARACTER REFERENCES (Lin 5 prod frIereds, co-workers. etc. -Sft DETAILED INSTRUCTIONS.)
a.
NAME
13. PER100
KNOWN
c.
ADDRESS
d.
TELEPHONE
1
II. REMARKS (A rade miernows, sisettg. Or neesallorY? )
.. -
-
DATE
SIGNATURE OF PERSON COMPLETING FORM
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OD Form 49
Pogo Four
SAMPLE
SECTION II
DEPARTMENT OF DEFENSE
AUTHORITY FOR RELEASE OF INFORMATION AND RECORDS
In accordance with the Privacy Act of 1974, I have been provided with
a copy of a statement advising me that certain information is required to assist the
Department of Defense in making a security determination concerning me and that
execution of this form is voluntary.
I hereby authorize and consent to the release of information and records
bearing on my posonal history, academic record, job performance and arrests and
convictions, if any, to Special Agents of the Department of Defense. The information
will be used for the purpose of determining my qualifications for employment with
the Federal Government, service in the Armed Forces, or access to classified infor-
mation. (Strike clauses not applicable.)
This authorization is valid for one year after my signing. Upon request,
a copy of this signed statement may be furnished to the school, present or former
employer, present or former landlord, criminal justice agency, or other person furnish-
ing such information or record.
DATE (Your. Mo. Davi
NAME MI)
SIGNATURE
DD ,:tr,? 2221
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OD Form 49
Page Five
SAMPLE
PRIVACY SECTION
ENTRIES IN THIS SECTION ARE NOT SUBJECT TO REVIEW BY YOUR EMPLOYER.
DO Form 40 have been reviewed by your evatalOYer and returned to you, you should proceed
at the bottom of the throe. and fallen the instructions contained in the DETAILED INSTRUCTION&
When your responses to items
items 17-21 in
1-16 on pages 1 and 2 of the
this section, sign where indicated
to complete
17. ARRESTS
mon be explained in e. through 1, below in 'mordancy with the DETAILED INSTRUCTIONS.) (Attach additional sheets,
('Yes" answers
I
Yea
No
if teimemery.
a. Have you ever been arrested, charted, cited, or held by Federal, state, or kcal
citation was dropped or dismissed, Or you were found not guilty? (Include
(Yost may exclude minor ree)Ic notations for which a fine or forfeiture of $100
leer enforcement or juvenile authorities
all courtemeartial or nos-judicial pmifelement
lest Unposed.)
the
service.
regardless of whether
Wide Minutia',
or was
b. Asa
bond
your
result of being wrested, charged, cited,
Federal,
or held by law enforcement or juvenile
authority or adjudicated a youthful
from Me court record)?
authorities, have you ever been
convicted, fined by or forfeited
(repudiate of whether the record he
to.
cose hes been "sealed"
stage, or other Peeler
offender or juvenile delinquent
or otherwise stricken
c. Have you ever been detained, held in,
the jurisdiction of any city, county, state.
in
reform or industrial school or any juvenile facility or institution under
or served time any jail or prison, or
Federal foreign
or country?
d. Have you ever been awarded, or are you
you?
parole, or probation or awaiting any action on charges against
now under suspended sentence,
0.
DATE
f. OFFENSE OR
VIOLATION
Ill? NAME AND LOCATION
OF POLICE AGENCY
h. NAME AND LOCATION
OF COURT
i? PENALTY IMPOSED OR
OTHER DISPOSITION
18. M ED
MAU F 1NANC IAL ("Yes" answers must be explained
in DETAILED
INSTRUCTIONS.) (Attach additional sheets, if necessary.)
accordance with the
Yes
No
a. Hoe you ever used
except as Proscribed
depressant, hallucinogen
include LSD or PCP) or Cannabis (to include
Imetelah )
any narcotic,
by licensed
stimulant, (to
marquis= or
a physician?
b. Have you ever been involved in the Mega
deprogram,
hallucinogen,
Cannabis?
purchase, siothession, or sale of any narcotic, stimulant,
or
e. Has your use of alcoholic
as liquor. bees wine) ever resulted in the las of a job, arrest by police,
treatment for
beverages (such
or alcoholism?
el. Have you ever had or been treated for ? mental, emotion., psychological, or personality disorder?
a. Have you ever petitioned to be declared bankrupt?
19. ORGANIZATIONS
a. (List all organisations, except labor unions and those referred to In b. below, to which you belong or previously belonged.)
i. NAME
ii. ADDRESS
ii. TYPE
W. FROM
v. TO
thews, If
b. ("Yes"
answers man be explained in accadance with the DETAILED INSTRUCTIONS.)
necessary.) '
(Attach additional
Yea
No
i. Are you now Or have you ever been a member of the COMMUMM Party Or any Convnunist organization?
is. Are you now or have you ever been affiliated
the overthrow of our constitutional form
force or violence to deny other persons
of the United States by unconstitutional
of
their
with any organization, association,
has
movement, group, or combination
the policy of advocating or approving
of the United States or which seeks
advocstes
of pen of
of persons which
the commission
to after the form of government
government, or which adopted
rights under the Constitution
means?
20. SECURITY
CLEARANCE ("Yes" answer must be explained in accordance with the DETAILED INSTRUCTIONS%) (Attach additional ~ets, if
necessary. )
Yea
No
Have you ever had a security clearance denied Or revoked?
21. DISCHARGE
FROM THE ARMED FORCES- ("Yes"
sheets If necemery.)
be In
with the DETAILED INSTRUCTIONS.) (Attach additional
anlIWI Matt explained accordance
Yoe
No
Have you ever been discharged from the Armed Forces under other than honorable conditions?
CERTIFICATION
I certify that the entries Made by me are true, complete, and at:curate to the best of my knowledge and belief and are made in good faith. I understand
that a knowing and wilful false statement on this form can be punished by line or imprisonment or both (See U.S. Cade. Title 18. Section 1001).
TYPED OR PRINTED NAME OF PERSON COMPLETING FORM
DATE
SIGNATURE OF PERSON COMPLETING FORM
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DoD 5220.22-M
G. "Department of Defense Contract Security Classification Specification"
(DD Form 254).
1. The completed DD Form 254, with attachments and supplements, as
applicable, is the basicdocument by which classification, regrading, and
declassification specifications are documented and provided to prime con-
tractors and subcontractors. It is designed to identify the specific items of
classified information involved in the contract that require security classi-
fication protection. Responsibility for preparation of the prime contract's
DD Form 254 rests with the contracting officer or the designated representa-
tive of the NA concerned, but the assistance of the contractor is encour-
aged. Based on the classification guidance received, each contractor is
responsible for developing the DD Form 254 for each classified subcontract,
request for proposal, or other solicitation let to subcontractor facilities.
The contractor shall submit the recommended DD Forms 254 for each classified
subcontract, other than service, graphic arts, or commercial carrier subcon-
tracts (see paragraph 60h) to the ACO for approval and distribution. When the
prime contractor receives a revised DD Form 254 that does not require a related
change in the subcontractor's DD Form 254, or receives written notice that the
biennial review has resulted in no change in the existing specification, he or
she shall reaffirm guidance to each subcontractor. The prime contractor does
this by providing a true copy of the notice of reaffirmation received by the
prime contractor or a true copy of pages 1 and 2 of the revised DD Form 254
received by the prime contractor annotated, "This revised DD Form 254 does not
affect your current DD Form 254 dated ." In either of
these cases, ACO/PCO authentication is not required.
2. The DD Form 254 embodies the concept that the sensitive information
itself shall be identified and assigned a proper classification, rather than
assigning a classification to media by which classified information could be,
or would likely be, conveyed. This method of classifying information rather
than media is intended to identify most precisely the functional matter that
is to be protected; thus providing, for example, the answer to the question:
"What is there about a specific item of hardware which causes it to be
classified?"
3. Whenever the prima contractor will be required to use classified GFE
or GFP in the performance of the contract, the contracting officer or the
designated representative shall inform the prime contractor what information
requires protection by furnishing a DD Form 254 or other appropriate notifi-
cation for each item of classified GFE or GFP to be used. The same procedure
shall be followed in those instances where previously classified equipment is
not government-furnished and the prime contractor is authorized to purchase
such classified equipment for use in the performance of his or her contract.
4. Items 1 through 14 and item 16 of the DD Form 254 provide the general
administrative and contractual information pertaining to the classification
specification of the classified effort. Item 15 of DD Form 254, with any
supplements and attachments, is used to provide the specified classification
downgrading and declassification information. Each item of the DD Form 254 is
to be completed; N/A shall be shown for items that are not applicable.
Classified information should not be entered on the DD Form 254. Classi-
fied information should be transmitted separately and appropriate reference
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DoD 5220.22-M
entered in item 15 of the DD Form 254. The following numbered instructions
correspond to the numbered items on the DD Form 254.
a. Item 1. Insert highest level of clearance required for access
to classified effort. If the facility requires a clearance higher than the
current clearance, the prime contractor may request the appropriate CSO to
upgrade the subcontractor's FCL.
b. Item 2. Check item a, b, or c, as applicable.
c. Item 3. In item 3a, enter the UA prime contract identification
number. In addition, if this DD Form 254 is for a subcontract of the first
tier, enter in item 3b the identification number of the first tier subcontract.
For second tier and beyond subcontracts, enter in item 9a or 15, as applic-
able, the identification number, and estimated date of completion or termina-
tion of the subcontract. If item 3c is used, enter appropriate data identify-
ing the RFP, RFQ, or IFB. If the solicitation is unclassified and the DD Form
254 is being used only to reflect access requirements of the contract/subcon-
tract to be awarded, annotate item lb o "Remarks" to indicate that preaward
access is not required and the DD Form 254 indicates classification guidance
for the contract/subcontract to be awarded. When reissuing a currently valid
subcontract DD Form 254 for a follow-on subcontract, indicate the new
subcontract number in item 3b.
d. Item 4. Furnish date for a, b, or c, as applicable.
e. Item 5. Check item a, b, or c, as applicable, and provide
complete data. For item b, also show revision number.
f. Item 6. Check "yes" or "no", as applicable. If "yes,"
complete items a and b, and in item c, indicate whether accountability is or
is not transferred.
g. Item 7. If there is a prime contract, complete items a, b, and
c, to show the complete name, address, FSC number, and the CSO of the prime
contractor's facility that will receive classified information in the perfor-
mance of the prime contract listed in item 3a. If there is no prime contract
and item 3c is completed, enter instead in items a, b, and 6, the name,
address, and FSC number of the contractor's facility to which this DD Form 254
is to be sent in connection with the RFP, RFQ, or IFB, and the CSO of that
facility.
h. Item 8. If there is a first tier subcontract, complete items
a, b, and c, to show the complete name, address, and FSC number of the subcon-
tractor's facility that will receive classified information in the performance
of the subcontract listed in item 3b. If there is no first tier subcontract
and item 3c is completed, enter instead the name, address, and FSC number of
the subcontractor's facility to which this DD Form 254 is to be sent in
connection with the RFP, RFQ, or IFB, and CSO of that facility.
i. Item 9. If there is a second tier subcontract, complete items
a, b, and c to show the complete name, address, FSC number, and CSO of the
subcontracror's facility that will receive classified .information in perfor-
mance of the subcontract listed in item 3b. In item 9a, also provide the
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second tier subcontract number and estimated date of completion. If there is
no second tier subcontract and item 3c is completed, enter instead the name,
address, FSC number, and the CSO of the facility to which this DD Form 254 is
to be sent in connection with the RFP, RFQ, or IFB. For subcontracting beyond
the second tier, enter in item 15, or furnish on an attached sheet, the
information specified above for that tier subcontractor and the CSO of that
facility.
j. Item 10. Under item a, provide a brief, yet sufficiently
complete, unclassified statement to identify the nature of the procurement.
If an unclassified statement cannot be made, enter the word "classified."
Under item b, furnish the DoD AAD number of the U.S. Government procuring
activity (identified in item 16d). For all subcontractors and first and
second tier RFPs, RFQs, and IFBs enter "N/A." Under item c, check appropriate
block to indicate whether or not contract prescribes security requirements
that are additional to those described in the DD Form 441 and this manual. If
applicable, the UA shall furnish a copy of the special security requirements
to the contractor, the ACO, if any, and the CSO. Under item d, check appro-
priate box to indicate if any elements of the contract are outside the inspec-
tion responsibility of the CSO. If "Yes," explain in item 15 and identify
specific areas or elements. However, discretion must be used in identifying
other "specific areas or elements," so that disclosure restrictions are
respected.
k. Item 11. Check appropriate box for each item listed. Use the
"Remarks" block to elaborate as necessary 1/. If DTIC or Defense Information
Analysis Center services are requested, the DD Form 1540 and DD Form 1541
should be prepared and processed, in accordance with component implementations
of DoD Instruction 5200.21. Whenever possible, the DD Form 1540 should be
prepared and forwarded simultaneously with the DD Form 254.
1. Item 12. In subcontracting situations, item b will contain the
signature and typed name and title of the FSO or the designated repre-
sentative issuing the subcontract. Inquiries pertaining to classification
guidance, determinations, or interpretations shall be directed to this
official.
m. Item 13. Subcontractors of all tiers shall be instructed, via
item b, to submit proposed public releases through the prime contractor listed
in item 7a who will then process the release in accordance with the guidance
provided in the DD Form 254 for the prime contract.
n. Item 14. Read and closely observe the instructions presented
at the top half of the item. Check applicable block(s) to indicate the manner
in which the security classification guidance is conveyed for this classified
effort. Classified narratives or guides shall always be transmitted under
1/ The entry into a controlled area, per se, will not constitute access to
classified information, if the security measures which are in force prevent
the gaining of knowledge of the classified information. Therefore, the entry
into a controlled area under conditions that prevent the gaining of knowledge
of classified information will not necessitate a PCL.
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DoD 5220.22-M
separate cover. When item b is checked, list guide(s) under item 15 or in an
attached list. When item c is checked, enter in item 15 the appropriate in-
structions from paragraph 60h. (See paragraph 5 below for an explanation of
commonly used terms.) Check item d if this is a final DD Form 254 and item 6
has a "No" answer. Check item e and provide date for review when biennial
review of DD Form 254 is required.
o. Item 15. Should be used for remarks, as appropriate.
p. Item 16. The contracting officer or authorized designee, after
reviewing the DD Form 254 to ensure adequacy, will affix his or her signature
in item c, and items b, d, and e, will be completed to furnish appropriate
identifying information concerning the approving official.
5. Narratives or classification guides used to provide the security
classification specifications and the downgrading and declassification
instructions should clearly identify the specific details of information that
warrant security protection against unauthorized disclosure. It is important
to ensure that statements of classification are clear enough to be easily
understood and applied readily in determining which items of information in
the contractual effort require a security classification. To assist the writer
and user of the security classification specification, there are listed below
several terms, which are commonly used in the description of that information
which may require classification, together with their generally accepted
meanings. However, this does not preclude inclusion of terms devoted to a
particular classified effort or an additional page(s) of the narrative/guide.
a. Accuracy. This refers to the precision with which the designed
function is performed.
b. Altitude. The vertical distance of a level, a point, or an
object considered as a point that is measured from mean sea level is the
altitude.
not possible.
not possible.
(1) Maximum. This is the altitude beyond which performance is
(2) Minimum. This is the altitude below which performance is
(3) Optimum. This is the altitude spread at which performance
is most satisfactory or effective.
c. Blast Effect. This refers to the destruction of, or damage to,
structures and personnel by the force of an explosion on or above the surface
of the ground. Blast effect may be contrasted with the cratering and ground
shock effects of a projectile or charge that goes off beneath the surface.
d. Circular Error Probability. An indicator of the delivery accu-
racy of a weapon system that is used as a factor in determining probable
damage to a target is the circular error probability. It is the radius of a
circle within which half of the missiles/projectiles are expected to fall.
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11 'J1IiI .
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DOD )Z.1(3.-11-11
e. Command and Control System. This refers to the facilities,
equipment, communications, procedures, and personnel essential to a commander
for planning, directing, and controlling operations of assigned forces pursuant
to the missions assigned.
f. Counter-Countermeasures Capability. Design features of the end
item that are intended specifically to overcome enemy interference make up the
counter-countermeasures capability. (Electronic counter-countermeasures is
that division of electronic warfare involving actions taken to ensure friendly
effective use of the electromagnetic spectrum despite the enemy's use of
electronic warfare. Electronic countermeasures is that division of electronic
warfare involving actions taken to prevent or reduce an enemy's effective use
of the electromagnetic spectrum.)
g. Depth. Depth is the vertical distance from the plane of the
hydrographic surface to a level, a point, or an object considered as a point
below the surface.
(I) Maximum. This is the depth below which performance is not
(2) Minimum. This is the depth above which performance is not
(3) Optimum. This is the depth spread at which performance is
most satisfactory or effective.
h. Design Information. This refers to a technique, principle, or
design feature, or the unique application thereof, which in and of itself
requires classification. The design information that requires protection must
be specified.
i. End Item. This refers to a final combination of end products,
component parts, ;a757 materials that is ready for its intended use, for
example, ships, tanks, mobile machine shops, and aircraft.
j. Endurance. Endurance is the time an aircraft can continue
flying or a ground vehicle or ship can continue operating under specified
conditions, for example, without refueling.
k. Formula or Material. The chemical or physical nature of the
ingredient(s) and its proportions make up a formula or material of which all,
or part of, the end item is composed.
1. Fuel or Propellant. Source of energy. Type. Identification of
fuel/propellant.
m. Initial Operational Capability. This is the first attainment
of the capability to employ effectively a weapon, item of equipment, or system
of approved specific characteristics, which is manned or operated by an ade-
quately trained, equipped, and supported military unit or force.
possible.
possible.
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DoD 5220.22-M
n. Lethality/Critical Effects. The ability to cause a specified
degree of damage to the target or to incapacitate personnel (including physical,
physiological, and psychological effects) is described as lethality/critical
effects.
o. Maneuverability. This is the ability to change position or
direction.
p. Military Application. The military application is the use or
purpose for which the end item is intended in sufficient detail that perform-
ance and/or tactical application is revealed or implied.
q. Military Characteristics. Those characteristics of equipment
which reflect its ability to perform desired military functions are military
characteristics. Military characteristics include physical and operational
characteristics, but not technical characteristics.
r. Mission. A mission is the task, together with the purpose,
which clearly indicates the action to be taken and the reason therefor.
s. Operational Characteristics. Those military characteristics
which pertain primarily to the functions to be performed by equipment, either
alone or in conjunction with other equipment, are operational characteristics.
For example, for electronic equipment, operational characteristics include
such items as frequency coverage, channeling, type of modulation, and
character of emission.
t. Operational Readiness (Alert) Time/Time Cycle. This refers to
the sequence and duration of important operations to be performed on or by the
end items or specified component thereof during a normal cycle of function
such as emplacement, loading and firing/launching, and warm-up prior to
operation.
u. Orbit/Trajectory. The path of travel is the orbit/trajectory.
v. Range. The distance between any given point and an object or
target is the range. This also refers to the extent or distance limiting the
operation or action of something, such as the range of an aircraft, ship, or
gun.
(1) Maximum. This is the greatest distance attainable.
(2) Minimum. This is the shortest distance attainable or
allowable.
(3) Optimum. This is the range spread at which performance is
most satisfactory or effective.
w. Reliability. This is the probability that the design function
will be performed at or for a specified time and/or within specified limits.
x. Resolutions. This refers to the ability to analyze
characteristics of a complex nature (such-as signals and target signature
characteristics) and to distinguish between them.
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uou chu.zz-ri
y. Signature Characteristics. Acoustic, magnetic, thermal, radio-
logical, mechanical, electromagnetic, and similar phenomena that are critical
to the operation of the end item or a component thereof, or that identify or
reveal its presence are signature characteristics.
z. Speed/Velocity. This is the rate of movement or motion.
(1) Maximum. This is the greatest speed/velocity attainable.
(2) Cruising. This is the speed/velocity at which greatest
efficiency is attained.
(3) Take-off or Launching. This is the speed/velocity needed
to initiate flight.
(4) Landing. This is the speed/velocity needed in terminating
flight.
(5) Acceleration and/or Deceleration. This is the rate of
change of speed/velocity.
aa. System Capability. This refers to the maximum number of
operations that the end item can perform simultaneously in carrying out its
design function.
ab. Technical Characteristics. Those characteristics of equipment
that pertain primarily to the engineering principles involved in producing
equipment possessing desired military characteristics are technical character-
istics. For example, for electronic equipment, technical characteristics
include such items as circuitry and types and arrangement of components.
ac. Terminal Ballistics. Terminal ballistics are the effects and
actions of a missile or projectile when it impacts or bursts at the target.
ad. Thrust. Thrust refers to the impelling force delivered.
(1) Classes -- maximum thrust expressed as an approximation or
within a grouping
(2) Specific -- exact maximum thrust
(3) Specific Impulse -- amount of thrust in pounds that can be
. maintained for one second by one pound of fuel
ae. Vulnerability. Vulnerability refers to the susceptibility to
defeat by the enemy.
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DO Form 254
SAMPLE
?
DEPARTMENT OP DEFENSE
CONTRACT SECURITY CLASSIFICATION SPECIFICATION
I. THE REQUIREMENTS OF THE 000 INDUSTRIAL SECURITY MANUAL
APPLY TO ALL SECURITY ASPECTS OF THIS
EFFORT. THE FACILITY CLEARANCE REQUIRED IS:
2.
THIS SPECIFICATION
IS FOR:
3. CONTRACT MUMMER OR OTHER
IDENTIFICATION HUMMER
(Prime centract? must as siomen
to. all essicontracts)
4.
DATE TO SE
COMPLETED
(Estimated)
S. THIS SPECIFICATION IS:
See "NOTE.' below. If item ho. e Is ..X?61...
oleo enter date for item ?)
a.
Pomp: CONTRACT
a. PRIME CONTRACT NUMIER
a.
a.
OniGisi?L (Ceraohnii
dme: in all etteem)
DATE
b. 'UDC AAAAA CT(Uee iss.
15 for animentracling
beyond eocand NW)
A. FIRST TIER SUSS AAAAA CT NO.
b.
S. REVISED 1ilV1StON
(imPermedee NO.
Weiglivoldrene
DATE
?? mcoucsr FOR oto.
REQUEST FOR SAL
OR REG FOR QUOTATION
C. IDENTifrit?Ttoot
C. DUE DATE
C.
FINAL
OATS
S. Is this a lellomen contract) ci Yes 0 Ne. If TES. couplet* the following:
a. b. e. Accountability for classified matmial on preceding canine'
PRECEDING CONTRACT NUM?Ele DATE COMPLETED
L-1 Is c:] Is net. Pensioned to this felleenen ceramist.
7s. Nemo. Address a Zip Cede of Prism CoNtracter ?
A. ?SC Number
C. Name. Address it Zip Cow. of Cognisant Security Offic?
S. Nemo. Addros? li Zip Cads of Firet Ti., Stelicestrectes ?
A. PSC Ninebet
c. Name, Address a Zip Cede of Cognisant Security Office
Sa. Name. Adams. It Zip Cede ef Seceined Tier Saleamitneeter. Sr
facility Esseciated with IFIL RI?P OR RPQ ?
IL ?SC Number
e. N. Addams A Zip Cede of Cegnimal Security Office
..
? "hes astual performance Is at ? latetien Miser Masi that specified. Identify such ether lerain311 in nem IS.
10a. Goseral Itietatifieatioe ef the Procuromewt fear eritich this specification impale*
A. DeDAAD Number of Procuring Activity
Identified in Item I6d.
1-114 Sr 1.113. 1111? 0 Yes (D No. If YES. Idemify Me
C. Are there sdditimial security naggiressent? milablished is sccardame with paragraph
penistest e?Mrsetuni doeunteMs in It.. IS.
d. Are any element? of this commit outside the issapecties respellsibil IY 114 ii?? e?feisION eecINNY "'IWO 7-1 yes C.73 Ne. If YES. mallein in
It. IS and identify epecific anies et elements.
11. ACCESS ItE01.11 5
YES
_
NO
ACCESS REQUIREMENTS (Continsiod)
YES
NO
a. Access te Classified lidarmatien OW, at ether
,
i. Access te SENSITIVI COMPARTMENTED INFORMATION.
k. Assess 10 MINN Special Aceoss Program Misnliellein
(SINielly in Nem IS).
eentracter/Ciemnimeat activities.
S. R?neili1 of sielisMod desumests Sr ether material
fro 4...
L Assess to U. S. claosified infonnetien eutaid? the U. S.
Patinas Casa& Zane. Puerta Rice. U. S. Pessessiess
end Trust Territories.
lefertellef "sly t Preeraries)
C. Reaelpt mid gesersties el classified dasammits
er eihkr einterial.
us. Defesas Chinuinenlatien Center or Defeam infonaisies
Awalysis Center Services may be requested.
d. Fabricatien/Medifie?Hen/lhorage ef classified Itanbesn.
?. Graphic en? services eall:.
a. Classified ADP processing will be Prreived.
I. Access to IPO Isiennallea.
a. REMARKS:
g. Accems to RESTRICTED DATA.
It. Access Is classified COMSEC Infermatioa.
I. Cryptegraphie Access Autlierisatimi required.
12. Refer all questions penalising le mentrect security classification specification te the efficiel named below (NORMALLY. Hwy ACO (ltm. 100):
EMERGENCY, direst atilt eiritten reseed of hapoiry mml response to ACO) Mau whim cantracter i'm einicannacta).
a. The classification gullanc? committed In this specificalles amid attachments referenced herein is complete and edeimene.
Typed Mies,
Activity name. address. Zip Cede. telephone number and office ?yiebul
A. IMMO, tills Innd ?Ignalum of simpala/pmMei manierir Sr
designated official
C.
,td= (Madinat Spec, ficetion atom 5.) I. metttarify Mr CORSTOCINO to men* classified inkinitatien. Reeised end Pine, Specifications Monte Sb and c) mil
for to It redrodest classified Infermotion &mil actions by contractors shall be taken in accordance with the provisions
eatherity contractor. mow*
at Ike Industrial Security Manuel.
/
DD I Fjr475254
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DO Form 254
Pogo Two
SAMPLE
13... tratenaeiton serialising to clissifled contracts or projects. even though such antermstion is considered unclessitled. shall not be Messed ter public
a dlasentinstior curets as provided by the Industrie' Security Noma" (Perairella So end APPerafte IX).
b. Premised public rel shall be submitted for appeoval prier to release .
to the Directorme Per Freedom et Information arid Security Review. Office
So the Industrial Security Manual.
- 1 Direct 1-... 3 Through (lmetty):
of the Assistant Secretary if Defense (Public Aliment) ? fee f?flOO1 Is
Security Mmeired.
ectoderm* utak parogreph of
? In the came et non?CMD Clem Atomslee, see teetneie. Dereermin Se. Industrial
IS. Secturity Classification Syseificatimis In. Otis solleitatiort,coatract as. idemified
Amy narrative or classificaties guide(*) tiansialted shall be anaotated as have
is
below (Pro eppilseate tiox(vm) end supply atfashosote es mgelred).
to Priieieei7 lifeelif, **eh "PPP? if
inforstatieet egOiladed chrerlY sea
utilised. that Portion of the IlliiMMe) Pertsielieli is the speed** eeeffeefeel
is *Weed. each invilividual mirth's of tbe guidit(s) oltieh MIMMIte le the
inteematioa ideatifited
11110/11.1111106 which requires ? sloosificallois. Rhea a cisesificatisa geld*
Ohms
effort sum be eatratetod and biemishod the cavorester. a total guide(*)
coatrastual effort shall be clearly Identified la BOO lab. The toiletries lakevastioa
lass Imams' es guides
(I) Category of classificatioa. (II) Date or event for declassification et rewire
(If OPPIIceithP).
The official named In hem 12b. Is responsible ter turaisisimi the contrasts,
asset be provided ter sash item of elassified
fa
for deolaseilleatlea. sal am The dune Of avoid defOOSIMIlai
copies of all guides sod cheeses thereto that as emit* ? part of this
comer.
cover sod Peas ? Pert of this OPOOlti?Oti?O?
specification. Classified infemaation num be Sloshed or furnished coder meerate
El.. A completed narrative le (I) 0 attached. or (2) 0 trifOOMMO111 matier sePerste
IT.. The follserinS elessifiestioe guide(*) is made ? pert of this sive?Ificeilea end Is (I) p attached. or (2) 0 tramemitted under separate
awl data).
fOO?f. ((.1st iltanikee uneler Item IS or in ms rittechesens by into. reference ~nem
elrfewfiefelm).
Lla. Service-type ceetract/subeeatract. (SMircify inetructiene in OCOOFISOOCO
rid. "X" only It this Is ? :Iasi speciflemloo sad Nes 6 is ? PNO"
relegation of the identified classified material Is auliserised
0 tv. Ammitil maim, of this DO Farm 254 is required. It Prd??? provide
with iSR/ISat so
In meponse to the emstreatees molest doled .
eveserer.
ter ? period of
date swell review Is due: ?
Itheeteato cheseincetlea. deeleeeffleartan.
and It appIlerirbe, ibmweermilin. inernieneitit).
IS. Reesselis (Riteverver poimiNpfe. proper
IS.. Contract Security Classification Sposilleatlovie tor Subcontracts issuing
as mithortsod. ml. Centres* Security Clessiticatioa
treat Ode cormem will be appeased by the *Mee named la It lee below, sr
herein are appresed by the User
Specification sad attachemat? 1.1???????
by the prima coatrector.
Sammy Covered:Oa, Off leer or his Represmitstive named In It. lab below.
RILQUIRRD DISTRIBUTIONS
0 Prime Coatrotter Mom 7a)
0 Co...lama Smolt, Office (Item 75)
El Administrative Cestresting Office Moo 160
0 cloolity Assurasece Ilearesentative
0 Subcoatrastor Mem fa)
El Comtism's Security Office (Dem Sc)
0 Program/Prejeet Manager Mem 1210 -
= U. S. Activity Respormible tee Chnffil??? Security Admialeustioa
ADDITIONAL. DISTRIMITION:
0
C1
b. Typed name sad title of respresiag official
c. Signature
4. Approving ottlitlees ...than, address emi Zip Cede
e. Nam. eddress and Zip Code of Adatististrallso CastreetIng Office
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DoD 5220.22-M
H. "Applicant Fingerprint Card" (FD Form 258). This form is completed for
all personnel being considered by DISCO for a PCL or a reciprocal clearance.
Completion of the form is a prerequisite to the granting of such actions.
Care shall be exercised to ensure that fingerprints are authentic, legible,
and complete, as forms that do not meet prescribed standards shall be returned
for reexecution, which will result in clearance delays.
236
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FD Form 258
SAMPLE
1. LOOP
FEDERAL BUREAU OF INVESTIGATION
UNITED STATES DEPARTMENT OF JUSTICE
WASHINGTON, D.C. 20537
CENTER
OF LOOP
DELTA
THE LINES BETWEEN CENTER OF I
LOOP AND DELTA MUST SHOW
2. WHORL
MESE LINES RUNNING SEIWEEN
DELTAS MUST SE CLEAR
3. ARCH
ARCHES HAVE NO DELTAS
APPLICANT
To CONN CLASSOIMIS C174011MONTS.
1. LIU 111A01 PONTOS INK
2 OSMIUM INK SWOT ON INKONS UN.
3. WAIN AND OUT MOOS 1140110UGHLy
? eau PINGIOS 111040 Niko TO NAN. ANO Av010 ALLOWING MOOS 10 SUP.
S. OS SUM IMPOSSIONS Alt INC011010 IN COMO One.
? IP AN AMPUTATION 00 011101401Ty MMUS IT 1000611111 TO WONT A P01011. MAKI A NOTATION TO TWAT IIPPICT
IN T1411 INDIVIDUAL PINGO KOCK
7 0 sopa ONTSICAL CONDITION MAIM IT MPOS1I111 TO OBTA04 POMO DOMINIONS. SUMMIT HO INV /NM CA01 SO
COTA10410 wins AMINO STAKED 101111CM? IXPLAIMPO Till cocumsTmon.
S. SWAIM Till COMPUTE, POINTS TO sal If nary CAN SI CLASSINIO. NAMPOL IN Awe imat MOST rammammara
PALL INTO TI41 FATIMA 11408414 ON TINS CARO MONO 'array., cccua amalommotv ADO AM NOT IMMO NM.
THIS CARD FOR USE BY:
I. LAW ItOOKIMINT AGINCIES IN FINCOWIIINTING AMU-
CANTS POO LALT0 INFOIKINENT POSMONIL ?
2 OPPICIMS OP STATE AND LOCAL oovemammos POO
poSIS Of IMPLOTTAINT. LOMOND ATM marmn, AS NITTA&
Imo av STATE STATUTES AND APP102040 irf 1111 MN:NNW
6110111AL OP T141 UNITIO %TAM IOCAL ANO COUNTY ow
mamas, IMMO SPICIPKAUT SAM ON APPLICATIO
s7Aolos DO NOT SATINY THIS INCIWINTIONT ?
U.S. DOVOTINMINT AGENCIES *01 0101 01118111 110101111
IV RONA (Ars ??
4 23212ffiLlaugagouLoommiwejim
uutiumages TO MOWN Co iwortioN 110 DICIOITY
01 111011 INSTITUTIONS.
INSTSUCTIONe
?1. Men KNOT POST N 0001110 111110U011 1111 PPM&
mom STAN. marmacanom Ou111AU. m40 ONLY 1110.1101018.
01001S POO 10000 NO DISCIUMMYING NKOMO NAS OWN POMO
LOCALLY SHOULD SI MAMORU PC* Oil SIMICII.
2. rowacy ACT Of 1114 (P.1.. 034701 WARM THAT MOW.
STATS 0111 LOCAl ACIMPOIS magam moramums 114011 SOCIAL
WWI,/ MOANS IS 11110WIST10 m4871401 SUCH DISCLOSUIll IS
NANDATOWT OR vOlUNTAry, sAMS Of P411140.11TY POI 0(04
8:Welland& AND ISIS weN04 WILL II kmal OP IT.
??3. ornor OP NINA" CONWIACT0118 SHOULD 111 SHOWN
WACI -INPLOYINI AHD A00411W Till CONT111104311 IS TO
NAmil Of MI AGENCY SUOMITTING TNT araommean CA10 TO
1141 MIL
4. TEl [phone], if KNOWN. SNOOD 4flN 1110110100 1*
Till APPOOPINATh SPACE.
ToTSCIRLAMIOUS NO. ? NICOOD: 011410 ADAM KAM= NO-
'moron No. (002 MON INIGASTIATION NO. (AO). PONT 118
Cum,/ CA110 NO. (PS). Waive SOTHICE NO. OM. TOWNS'
AGNANDWATION moms NO. NAI.
nowt Isms u.s. Govsstosasrr nu worms OFFICE: maio ? 401.318
?
J*HEflUWE ILAN
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FD Form 258
Page Two
/APPUCANT
SAMPLE
111014AMIN MINN 144104111MMIM
{RAVE 11~
IMMO OP MIMI 1111401IMMO
Mfl
5.041MUlli OP WICK TMINS MONIIMMITS
IMPLOMII MO MOMS
bum wiameraw
TYPE OR PRINT AU INFORMATION IN SLACK
UM mem mem MST 44^441 MOW 4.1M4
ALIASti
0MINERIP
0
USDISOCIOZ
DIS NACC
FT HOLABIRD MD
LEAVE KANK
DATE 01,11M14
Mosill Oft Tim
min NO. tacji
MUSD MM. M. mu
166111151114-4511E-1
triewAssoimmet.
IMO
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lea
NAL 1:011:11
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11. NOV
I.
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L. THUM
4. L. Mit
?
11 I.linip
N. I. 1"41
MONT Mult 41446/11$ Tmeta IMATIMOM.v
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11 V I I I
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I.. "Request for Visit or Access Approval" (DOE F 5631.20). This form is
included for information purposes. It is used for processing visits involving
access to RESTRICTED DATA. Copies of this form may be obtained from the DOE.
Insert the office
and address of DOE
Manager having
operational control
over the installation
to be visited.
Insert contracting
activity and addres
SAMPLE
0011P111111 PP MIIIINff
ISSN IIIKWOOT POO VISIT OM AMMO APPROVAL
Iftromig 0/14171
NM eft am/ swam W aa/somm,
1.
of User Agency no_
supporting the
visit request.
Enter the full nameft.....m.m...01..
of each proposed
visitor and his
social security
number.
State the purpose
of the visit in
sufficient detail
to enable the
addressee to ascer-
tain the subject
area involved, and
to determine the
level and scope of
access required.
Classified informa-
tion will not be dis-
closed in this item.
PUT A
ONN
irepr
Spam . .04
41MON
"*.Z.=.111.1"="41.1.="""?
???? eV
1101111Ineall..4:11MMONO
FT6
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Appendix IV. REQUIREMENTS FOR THE CONSTRUCTION OF
STORAGE VAULTS AND STRONGROOMS
A. Application. This appendix specifies the minimum standards required
for the construction of vaults and strongrooms used as storage facilities
for classified material, in accordance with paragraph 14 of this manual.
These standards apply to all new construction and reconstruction, altera-
tions, modifications, and repairs of existing vaults or strongrooms. They
will also be used for evaluating the adequacy of existing vaults and
strongrooms.
B. Class A Vault.
1. Floor and Walls. The thickness of the floor and walls must be
determined by structural requirements, but may not be less than 8-inch-thick
reinforced concrete. Walls are to extend to the underside of the roof/ceiling
slab above.
2. Roof/Ceiling. The roof or ceiling must be a monolithic reinforced
concrete slab of a thickness to be determined by structural requirements, but
not less thick than the walls and floors.
3. Vault Door and Frame Unit. The vault door and frame unit shall be
one that was originally procured from the FSS if.
4. Lock and Locking Parts. The lock shall conform to Underwriters'
Standard No. 768 Group I-R. It shall be equipped with a "top-reading, spy-
proof type dial." The UL label is considered adequate evidence of compliance
with these requirements. Axial play on the level handle spindle shall not
exceed 1/16 inch. The locks, lock bolt, door bolt operating cam, and bolt
operating linkage connected thereto shall be protected by a tempered steel
alloy hardplate located in front of the parts to be protected. Such hardplate
to be at least 1/4 inch in thickness and to be in the Rockwell hardness range
of C-63 to C-65. The front plate, edge plates, back plates, and cap sheet
shall be of manufacturers' standard construction. The cap sheet of the door
will have an inspection plate of such size that its removal will permit
examination and inspection of the combination lock and operating cam area
without removal of entire back cap sheet of the door.
5. Miscellaneous Opening. Omission of all miscellaneous openings is
desirable, but not mandatory. However, in all instances openings for heating
and ventilating ducts, pipes, and conduits shall not exceed 96 square inches
in size. Pipes and conduits entering the vault shall enter through walls
1/ Vault doors are listed in the FSS (FSC Group 71, Part III, Section E,
FSC Class 7110). Vaults equipped with doors that do not meet these
specifications may qualify as strongrooms, if the construction meets the
minimum requirements outlined in paragraph F of this appendix.
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that are not common to the vault and the structure housing the vault.
Preferably such pipes and conduits should be installed when the vault is
constructed. If this is not practical, they shall be carried through
snug-fitting pipe sleeves cast in the concrete. After installation, the
annular space between the sleeve and the pipe or conduit shall be caulked
solid with lead, wood, waterproof (silicone) caulking, or similar material,
which will give evidence of surreptitious removal. The construction standards
for man-safe barriers outlined in paragraph F-5 shall be followed when
securing openings.
C. Class B Vault.
I. Floor. The floor should be a monolithic concrete construction of
the thickness of adjacent concrete floor construction, but not less than 4
inches thick.
2. Walls. The walls should be not less than 8-inch-thick brick,
concrete block, or other masonry units. Hollow masonry units shall be the
vertical cell type (load bearing) filled with concrete and steel reinforcement
bars. Monolithic steel-reinforced concrete walls at least 4 inches thick may
also be used, and shall be used in seismic areas. Walls are to extend to the
underside of the roof or ceiling above.
3. Roof/Ceiling. The roof or ceiling must be a monolithic reinforced
concrete slab of a thickness to be determined by structural requirements.
4. Vault Door and Frame Unit. See paragraph B3.
5. Lock. See paragraph B4.
6. Miscellaneous Openings. See paragraph B5.
D. Class C Vault.
1. Floor. See paragraph Cl.
2. Walls. Walls must be not less than 8-inch-thick hollow clay tile
(vertical cell double shells) or concrete blocks (thick shells). Monolithic
steel-reinforced concrete walls at least 4 inches thick may also be used.
Where hollow clay tiles are used and such masonry units are flush, or in
contact with, facility exterior walls, they shall be filled with concrete and
steel-reinforced bars. Walls are to extend to the underside of the
roof or ceiling above.
3. Roof/Ceiling. See paragraph C3.
4. Vault Door and Frame Unit. See paragraph B3.
5. Lock. See paragraph B4.
6. Miscellaneous Openings. See paragraph B5.
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E. Structural Design. In addition to the requirements given above, the
wall, floor, and roof construction shall be in accordance with nationally
recognized standards of structural practice. For the vaults described above,
the concrete shall be poured in place, and will have a minimum 28-day
compressive strength of 2,500 pounds per square inch.
F. Strongrooms. A strongroom, as referred to in paragraph 14a(3)(f), shall
be considered to be an interior space of the cleared facility or complex (see
paragraph 3t) enclosed by, or separated from, other facility spaces by four
walls, a ceiling, and a floor, all of which are constructed of solid building
materials. Under this criterion, rooms having a false ceiling, and walls
constructed of fabrics, wire mesh, or similar materials, shall not qualify
as a strongroom. For strongrooms not located within a complex, the floor,
ceiling, or wall(s) that is an exterior part of the building and less than
18 feet from the ground or from an access point, or adjoining another
firm's space, shall be constructed as outlined in paragraphs Cl, C3, and
D2, respectively. Advise regarding use of solid building materials in
strongroom construction may be provided by the CSO. Specific construction
standards are as follows.
1. Hardware. Heavy-duty builder's hardware shall be used in con-
struction. Al]. screws, nuts, bolts, hasps, clamps, bars, 2-inch square
mesh of No. 11 gage wire (hereinafter referred to as "wire mesh"), 18 gauge
expanded metal, hinges, pins, and the like, shall be securely fastened to
preclude surreptitious entry and ensure visual evidence of tampering.
Hardware accessible from outside the area shall be peened, brazed, or
spot-welded to preclude removal.
2. Walls and Ceilings. Construction shall be of plaster, gypsum board,
metal, hardboard, wood, plywood, or other materials offering similar resistance
to, and evidence of, unauthorized entry into the area. Insert-type panels
shall not be used.
3. Floors. Floors shall be of solid construction, utilizing materials
such as concrete, ceramic tile, and wood.
4. Windows. Window openings less than 18 feet from an access point
(such as, another window outside the area, roof, ledge, or door) shall be
fitted with 1/2 inch bars (separated by no more than 6 inches), plus cross-
bars to prevent spreading, 18 gauge expanded metal, or wire mesh securely
fastened on the inside to preclude surreptitious removal. In addition to
being kept closed at all times, the window shall be translucent or opaqued by
any practical method, such as painting or covering the inside of the window.
5. Miscellaneous Openings. Openings for ducts, pipes, registers, sewers
and tunnels of such size and shape as to permit unauthorized entry, for example,
in excess of 96 square inches, shall be equipped with man-safe barriers such
as wire mesh, 18 gauge expanded metal, or steel bars of at least 1/2 inch in
diameter extending across their width with a maximum space of 6 inches between
the bars. The steel bars shall be securely fastened at both ends to preclude
removal, with crossbars to prevent spreading. Where wire mash, expanded
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metal, or steel bars are used, care shall be exercised to ensure that classi-
fied material within the room cannot be removed with the aid of any type of
instrument.
6. Doors. Doors shall be substantially constructed of wood or metal.
When windows, panels, or similar openings are used they shall be secured with
18 gauge expanded metal or wire mash securely fastened on the inside. The
windows shall be translucent or opaqued. When doors are used in pairs, an
astragal (overlapping molding) shall be installed where the doors meet.
7. Door Louvers and Baffle Plates. When used, they shall be reinforced
with wire mesh fastened inside the room.
8. Door Locking Devices. Doors shall be secured by either a built-in
three-position dial-type changeable combination lock or a three-position
dial-type changeable combination padlock, as specified in paragraph 14a(3)(d),
which is secured to the door by a solid metal hasp.
G. Approvals,. The CSO and the contractor shall agree on the need to
establish, and tho extent of, the vault or strongroom prior to the award of
the contract, when possible, or subsequently when the need for such areas
become apparent during the performance on the contract.
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Appendix V. REQUIREMENTS FOR THE CONSTRUCTION OF CLOSED AREAS
A. Application. This appendix specifies the minimum safeguards and standards
required for the construction of closed areas that are used for safeguarding
classified material, in accordance with the provisions of section IV of this
manual. These criteria and standards apply to all new construction and
reconstruction, alterations, modifications, and repairs of existing areas.
They will also be used for evaluating the adequacy of existing areas.
B. Requirements.
1. Hardware. Heavy duty builder's hardware shall be used in con-
struction, and all screws, nuts, bolts, hasps, clamps, bars, 2-inch square
mesh of No. 11 gage wire (hereinafter referred to as "wire mesh"), 18 gauge
expanded metal, hinges, pins, and so on, shall be securely fastened to
preclude surreptitious removal and ensure visual evidence of tampering.
Hardware accessible from outside the area shall be peened, pinned, brazed,
or spot-welded to preclude removal.
2. Walls. Construction shall be of plaster, gypsum wallboard, metal
panels, hardboard, wood, plywood, or other opaque materials offering similar
resistance to, and evidence of, unauthorized entry into the area. If insert-
type panels are used, a method shall be devised to prevent the removal of such
panels without leaving visual evidence of tampering. Area barriers up to a
height of 8 feet shall be of opaque or translucent construction, where visual
access is a factor. If visual access is not a factor, the area barrier walls
may be of wire mesh, or other non-opaque material offering similar resistance
to, and evidence of, unauthorized entry into the area.
3. Windows. Window openings less than 18 feet from an access point
(for example, another window outside the area, roof, ledge, or door,) shall be
fitted with 1/2-inch bars (separated by no more than 6 inches), plus cross-
bars to prevent spreading, 18 gauge expanded metal, or wire mesh securely
fastened on the inside. When visual access is a factor, the windows shall be
kept closed and locked at all times, and shall also be made translucent or
opaque by any practical method, such as painting or covering the inside of the
glass. During non-duty hours, the windows shall be closed and securely
fastened to preclude surreptitious removal of classified material.
4. Doors. Doors shall be substantially constructed of wood or metal.
When windows, panels, or similar openings are used, they shall be secured with
18 gauge expanded metal or with wire mash securely fastened on the inside. If
visual access is a factor, the windows shall be translucent or opaqued. When
doors are used in pairs, an astragal (overlapping molding) shall be installed
where the doors meet.
5. Door Louvers or Baffle Plates. When used, they shall be reinforced
with 18 gauge expanded metal or with wire mesh fastened inside the area.
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6. Door Locking Devices. Entrance doors shall be secured with either
a built-in three-position dial-type changeable combination lock, a three-
position dial-type changeable combination padlock, as specified in paragraph
14a(3)(g), or with one of the key-operated padlocks with high security cylin-
ders as described in paragraph 34a(3). Other doors shall be secured from the
inside with a panic bolt (for example, actuated by a panic bar); a dead bolt;
a rigid wood or metal bar (which shall preclude "springing"), which extends
across the width of the door and is held in position by solid clamps,
preferably on the door casing; or by other means approved by the CSO.
7. Ceilings. Ceilings shall be constructed of plaster, gypsum
wallboard material, panels, hardboard, wood, plywood, ceiling tile, or other
material offering similar resistance to and detection of unauthorized entry.
Wire mesh, or other non-opaque material offering similar resistance to, and
evidence of, unauthorized entry into the area may be used if visual access to
classified material is not a factor. When wall barriers do not extend to the
ceiling and a false ceiling is used it shall be reinforced with wire mesh, 18
gauge expanded metal, alarmed as outlined in paragraph 35, or otherwise
secured with heavy-duty builder's hardware. (This feature also applies when
panels are removable and entry can be gained into the area without visible
detection.) When wire mesh or expanded metal are used, they must overlap the
adjoining walls and be secured in a manner which precludes removal without
leaving evidence of tampering. In those instances where barrier walls of an
area extend to a solid ceiling, there is no necessity for reinforcing a false
ceiling.
8. Ceilings (Unusual Cases). It is recognized that instances arise so
that contractors may have a valid justification for not erecting a solid sus?
pended ceiling as part of the areas, especially in high-ceilinged hangars. The
contractor may state that it is impractical to use a suspended ceiling because
of his or her production methods, such as the use of overhead cranes for the move-
ment of bulky equipment within the area. There are also cases wherein the air
conditioning system may be impeded by the construction of a solid suspended
ceiling (for example, AIS Centers). At times, even the height of the
classified material may make a suspended ceiling impractical. In such cases,
special provisions shall be made to ensure that surreptitious entry to the
area cannot be obtained by entering the area over the top of the barrier walls
(such as, approved motion detection devices). Areas of this type should be
closely scrutinized to ensure that the structural safeguards are adequate to
preclude entry via adjacent pipes, catwalks, ladders, and the like, or
observation, if visual access in a factor.
9. Miscellaneous Openings. Where ducts, pipes, registers, sewers, and
tunnels are of such size and shape as to permit unauthorized entry, for example,
in excess of 96 square inches, they shall be secured by 18 gauge expanded metal
or wire mesh, or, where more practical, by steel bars at least 1/2-inch in
diameter extending across their width, with a maximum space of 6 inches
between the bars. The steel bars shall be securely fastened at both ends to
preclude removal and shall have crossbars to prevent spreading. When wire
mesh, expanded metal, or steel bars are used, care must be exercised to ensure
that classified material cannot be removed through the openings with the aid
of any type instrument. Care shall be taken to ensure that a barrier placed
across any waterway (sewer or tunnel) will not cause clogging or offer
obstruction to the free flow of water sewage.
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Appendix VI. EXTRACTS OF THE ESPIONAGE AND SABOTAGE ACTS, OTHER
FEDERAL CRIMINAL STATUTES, AND EXECUTIVE ORDER 12356
U.S.C. 18 ? 371. Conspiracy to commit offense or to defraud the United States
If two or more persons conspire either to commit any offense against the
United States, or to defraud the United States, or any agency thereof in any
manner or for any purpose, and one or more of such persons do any act to
effect the object of the conspiracy, each shall be fined not more than $10,000
or imprisoned not more than five years, or both.
U.S.C. 18 ? 641. Public money, property or records
Whoever embezzles, steals, purloins or knowingly converts to his use
or the use of another, or without authority, sells conveys or disposes of
any records, voucher, money or thing of value of the United States or of any
department or agency thereof, or any property made or being made under
contract for the United States or any department or agency thereof or;
Whoever receives, conceals, or retains the same with intent to convert
it to his use or gain, knowing it to have been embezzled, stolen, purloined
or converted
Shall be fined not more than $10,000 or imprisoned not more than ten
years, or both; but if the value of such property does not exceed the sum
of $100, he shall be fined not more than $1,000 or imprisoned not more
than one year, or both.
The word "value" means face, par, or market value, or cost price,
either wholesale or retail, whichever is greater.
U.S.C. 18 ? 793. Gathering, transmitting, or losing defense information
(a) Whoever, for the purpose of obtaining information respecting the
national defense with intent or reason to believe that the information is to
be used to the injury of the United States, or to the advantage of any foreign
nation, goes upon, enters, flies over, or otherwise obtains information con-
cerning any vessel, aircraft, work of defense, navy yard, naval station, sub-
marine base, fueling station, fort, battery, torpedo station, dockyard, canal,
railroad, arsenal, camp, factory, mine, telegraph, telephone, wireless, or
signal station, building, office, research laboratory or station or other place
connected with the national defense owned or constructed, or in progress of
construction by the United States or under the control of the United States, or
of any of its officers, departments, or agencies, or within the exclusive
jurisdiction of the United States, or any place in which any vessel, aircraft,
arms, munitions, or other materials or instruments for use in time of war are
being made, prepared, repaired, stored, or are the subject of research or
development, under any contract or agreement with the United States or any
department or agency thereof, or with any person on behalf of the United
States, or otherwise on behalf of the United States, or any prohibited place
so designated by the President by proclamation in time of war or in case of
national emergency in which anything for the use of the Army, Navy, or Air
Force is being prepared or constructed or stored, information as to which
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prohibited place the President has determined would be prejudicial to the
national defense; or
(b) Whoever, for the purpose aforesaid, and with like intent or reason to
believe, copies, takes, makes, or obtains, or attempts to copy, take, make, or
obtain, any sketch, photograph, photographic negative, blueprint, plan, map,
model, instrument, appliance, document, writing, or note of anything connected
with the national defense; or
(c) Whoever, for the purpose aforesaid, receives or obtains or agrees or
attempts to receive or obtain from any person, or from any source whatever, any
document, writing, code book, signal book, sketch, photograph, photographic
negative, blueprint, plan, map, model, instrument, appliance, or note of any-
thing connected with the national defense, knowing or having reason to believe,
at the time he receives or obtains, or agrees or attempts to receive or obtain
it, that it has been or will be obtained, taken, made, or disposed of by any
person contrary to the provisions of this chapter; or
(d) Whoever, lawfully having possession of, access to, control over, or
being entrusted with any document, writing, code book, signal book, sketch,
photograph, photographic negative, blueprint, plan, map, model, instrument,
appliance, or note relating to the national defense, or information relating to
the national defense which information the possessor has reason to believe
could be used to the injury of the United States or the advantage of any
foreign nation, willfully communicates, delivers, transmits or causes to be
communicated, delivered, or transmitted or attempts to communicate, deliver,
transmit or cause to be communicated, delivered or transmitted, the same to any
person not entitled to receive it, or willfully retains the same and fails to
deliver it on demand to the officer or employee of the United States entitled
to receive it; or
(e) Whoever, having unauthorized possession of, access to, or control
over any document, writing, code book, signal book, sketch, photograph, photo-
graphic negative, blueprint, plan, map, model, instrument, appliance, or note
relating to the national defense or information relating to the national
defense which information the possessor has reason to believe could be used to
the injury of the United States or to the advantage of any foreign nation,
willfully communicates, delivers, transmits or causes to be communicated,
delivered, or transmitted, or attempts to communicate, deliver, transmit or
cause to be communicated, delivered, or transmitted the same to any person not
entitled to receive it, or willfully retains the same and fails to deliver it
to the officer or employee of the United States entitled to receive it; or
(f) Whoever, being entrusted with or having lawful possession or control
of any document, writing, code book, signal book, sketch, photograph, photo-
graphic negative, blueprint, plan, map, model, instrument, appliance, note,
or information, relating to the national defense, (1) through gross negligence
permits the same to be removed from its proper place of custody or delivered
to anyone in violation of his trust, or to be lost, stolen, abstracted, or de-
stroyed, or (2) having knowledge that the same has been illegally removed from
its proper place of custody or delivered to anyone in violation of his trust,
or lost, or stolen, abstracted, or destroyed, and fails to make prompt report
of such loss; theft, abstraction, or destruction to his superior officer --
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Shall be fined not more than $10,000 or imprisoned not more
than ten years, or both.
(g) If two or more persons conspire to violate any of the foregoing pro-
visions of this section, and one or more of such persons do any act to effect
the object of the conspiracy, each of the parties to such conspiracy shall be
subject to the punishment provided for the offense which is the object of such
conspiracy.
U.S.C. 18 f 794. Gathering or delivering defense information to aid foreign
governments
(a) Whoever, with intent or reason to believe that. it is to be used to
the injury of the United States or to the advantage of a foreign nation, com-
municates, delivers, or transmits, or attempts to communicate, deliver, or
transmit, to any foreign government, or to any faction or party or military or
naval force within a foreign country, whether recognized or unrecognized by
the United States, or to any representative, officer, agent, employee,
subject, or citizen thereof, either directly or indirectly, any document,
writing, code book, signal book, sketch, photograph, photographic negative,
blueprint, plan, map, model, note, instrument, appliance, or information
relating to the national defense, shall be punished by death or by imprison-
ment for any term of years or for life.
(b) Whoever, in time of war, with intent that the same shall be communi-
cated to the enemy, collects, records, publishes, or communicates, or attempts
to elicit any information with respect to the movement, numbers, description,
condition, or disposition of any of the Armed Forces, ships, aircraft, or war
material of the United States, or with respect to the plans or conduct, or
supposed plans or conduct of any naval or military operations, or with respect
to any works or measures undertaken for or connected with, or intended for the
fortification of defense of any place, or any other information relating to
the public defense, which might be useful to the enemy, shall be punished by
death or by imprisonment for any term of years or for life.
(c) If two or more persons conspire to violate this section, and one or
more of such persons do any act to effect the object of the conspiracy, each
of the parties to such conspiracy shall be subject to the punishment provided
for the offense which is the object of such conspiracy.
U.S.C. 18 ? 795. Photographing and sketching defense installations
(a) Whenever, in the interests of national defense, the President defines
certain vital military or naval installations or equipments as requiring pro-
tection against the general dissemination of information relative thereto, it
shall be unlawful to make any photograph, sketch, picture, drawing, map, or
graphical representation of such vital military and naval installations or
equipment without first obtaining permission of the commanding officer of the
military or naval post, camp, or station, or naval vessels, military and naval
aircraft, and any separate military or naval command concerned, or higher
authority, and promptly submitting the product obtained to such commanding
officer or higher authority for censorship or such other action as he may deem
necessary.
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(b) Whoever violates this section shall be fined not more than $1,000 or
imprisoned not more than one year, or both.
U.S.C. 18 5 796. Use of aircraft for photographing defense installations
Whoever uses or permits the use of an aircraft or any contrivance used,
or designed for navigation or flight in the air, for the purpose of making a
photograph, sketch, picture, drawing, map, or graphical representation of vital
military or naval installations or equipment, in violation of section 795 of
this title, shall be fined not more than $1,000 or imprisoned not more than
one year, or both.
U.S.C. 18 f 797. Publication and sale of photographs of defense installations
On and after thirty days from the date upon which the President defines
any vital military or naval installation or equipment as being within the
category contemplated under section 795 of this title, whoever reproduces,
publishes, sells, or gives away any photograph, sketch, picture, drawing, map,
or graphical representation of the vital military or naval installations or
equipment so defined, without first Obtaining permission of the commanding
officer of the military or naval post, camp, or station concerned, or higher
authority, unless such photograph, sketch, picture, drawing, map, or graphical
representation has clearly indicated thereon that it has been censored by the
proper military or naval authority, shall be fined not more than $1,000 or
imprisoned not more than one year, or both.
U.S.C. 18 5 798. Disclosure of classified information
(a) Whoever knowingly and willfully communicates, furnishes, transmits,
or otherwise makes available to an unauthorized person, or publishes, or uses
in any manner prejudicial to the safety or interest of the United States or
for the benefit of any foreign government to the detriment of the United
States any classified information --
(1) concerning the nature, preparation, or use of any code, cipher,
or cryptographic system of the United States or any foreign government; or
(2) concerning the design, construction, use, maintenance, or repair
of any device, apparatus, or appliance used or prepared or planned for use by
the United States or any foreign government for cryptographic or communication
intelligence purposes; or
(3) concerning the communication intelligence activities of the
United States or any foreign government; or
(4) obtained by the processes of communication intelligence from the
communications of any foreign government, knowing the same to have been obtained
by such processes --
Shall be fined not more than $10,000 or imprisoned not more
than ten years, or both.
(b) As used in subsection (a) of this section --
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The term "classified information" means information which, at the
time of a violation of this section, is, for reasons of national security,
specifically designated by a United States Government Agency for limited or
restricted dissemination or distribution;
The terms "code," "cipher," and "cryptographic system" include in
their meanings, in addition to their usual meanings, any method of secret writ-
ing and any mechanical or electrical device or method used for the purpose of
disguising or concealing the contents, significance, or meanings of communi-
cations;
The term "foreign government" includes in its meaning any person or
persons acting or purporting to act for or on behalf of any faction, party,
department, agency, bureau, or military force of or within a foreign country,
or for or on behalf of any government or any person or persons purporting to
act as a government within a foreign country, whether or not such government
is recognized by the United States;
The term "communication intelligence" means all procedures and
methods used in the interception of communications and the obtaining of infor-
mation from such communications by other than the intended recipients;
The term "unauthorized person" means any person who, or agency which,
is not authorized to receive information of the categories set forth in subsec-
tion (a) of this section, by the President, or by the head of a department or
agency of the United States Government which is expressly designated by the
President to engage in communication intelligence activities for the United
States.
(c) Nothing in this section shall prohibit the furnishing, upon lawful
demand, of information to any regularly constituted committee of the Senate or
House of Representatives of the United States of America, or joint committee
thereof.
U.S.C. 18 6 799. Violation of regulations of the National Aeronautics and
Space Administration
Whoever willfully shall violate, attempt to violate, or conspire to vio-
late any regulation or order promulgated by the Administrator of the National
Aeronautics and Space Administration for the protection of security of any
laboratory, station, base or other facility, or part thereof, or any aircraft,
missile, spacecraft, or similar vehicle, or part thereof, or other property or
equipment in the custody of the Administration, or any real or personal prop-
erty or equipment in the custody of any contractor under any contract with the
Administration or any subcontractor of any such contractor, shall be fined not
more than $5,000, or imprisoned not more than one year, or both.
U.S.d. 18 f 2153. Destruction of war material, war premises, or war utilities
(a) Whoever, when the United States is at war, or in times of national
emergency as declared by the President or by the Congress, with intent to in-
jure, interfere with, or obstruct the United States or any associate nation in
preparing for or carrying on the war or defense activities, or, with reason to
believe that his act may injure, interfere with, or obstruct the United States
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or any associate nation in preparing for or carrying on the war or defense
activities, willfully injures, destroys, contaminates or infects or attempts to
so injure, destroy, contaminate or infect so any war material, war premises,
or war utilities, shall be fined not more than $10,000 or imprisoned not more
than thirty years, or both.
(b) If two or more persons conspire to violate this section, and one or
more of such persons do any act to effect the object of the conspiracy, each
of the parties to such conspiracy, shall be punished as provided in subsection
(a) of this section.
U.S.C. 18 5 2154. Production of defective war material, war premises, or war
utilities
(a) Whoever, when the United States is at war, or in times of national
emergency as declared by the President or by the Congress, with intent to in-
jure, interfere with, or obstruct the United States or any associate nation in
preparing for or carrying on the war or defense activities, or, with reason to
believe that his act may injure, interfere with, or obstruct the United States
or any associate nation in preparing for or carrying on the war or defense
activities, willfully makes, constructs, or causes to be made or constructed in
a defective manner, or attempts to make, construct, or cause to be made or con-
structed in a defective manner any war material, war premises or war utilities,
or any tool, implement, machine, utensil, or receptacle used or employed in
making, producing, manufacturing, or repairing any such war material, war
premises or war utilities, shall be fined not more than $10,000 or imprisoned
not more than thirty years, or both.
(b) If two or more persons conspire to violate this section, and one or
more of such persons do any act to effect the object of the conspiracy, each
of the parties to such conspiracy shall be punished as provided in subsection
(a) of this section.
U.S.C. 18 5 2155. Destruction of national-defense materials, national-defense
premises or national-defense utilities
(a) Whoever, with intent to injure, interfere with, or obstruct the
national defense of the United States, willfully injures, destroys, contam-
inates or infects, or attempts to so injure, destroy, contaminate or infect
any national-defense material, national-defense premises, or national-defense
utilities, shall be fined not more than $10,000 or imprisoned not more than
ten years, or both.
(b) If two or more persons conspire to violate this section, and one or
more of such persons do any act to effect the object of the conspiracy, each of
the parties to such conspiracy shall be punished as provided in subsection (a)
of this section.
U.S.C. 18 f 2156. Production of defective national-defense material,
national-defense premises or national-defense utilities
(a) Whoever, with intent to injure, interfere with, or obstruct the
national defense of the United States, willfully makes, constructs, or
attempts to make or construct in a defective manner, any national-defense
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material, national-defense premises or national-defense utilities, or any
tool, implement, machine, utensil, or receptacle used or employed in making,
producing, manufacturing, or repairing any such national-defense material,
national-defense premises or national-defense utilities, shall be fined not
more than $10,000 or imprisoned not more than ten years, or both.
(b) If two or more persons conspire to violate this section, and one or
more of such persons do any act to effect the object of the conspiracy, each
of the parties to such conspiracy shall be punished as provided in subsection
(a) of this section.
U.S.C. 50 ? 421. Protection of indentities of certain United States
Undercover Intelligence Officers, Agents, Informants, and Sources
(a) Whoever, having or having had authorized access to classified
information that identifies a covert agent, intentionally discloses any
information identifyingsuch covert agent to any individual not authorized
to receive classified information, knowing that the information disclosed so
identifies such covert agent and that the United States is taking affirma-
tive measures to conceal such covert agent's intelligence relationship to
the United States, shall be fined not more than $50,000 or imprisoned not
more than ten years, or both.
(b) Whoever, as a result of having authorized access to classified
information, learns the identity of a covert agency and intentionally
discloses any information identifying such covert agent to any individual
not authorized to receive classified information knowing that the informa-
tion disclosed so identifies such covert agent and that the United States is
taking affirmative measures to conceal such covert agent's intelligence
relationship to the United States, shall be fined not more than $25,000 or
imprisoned not more than five years, or both.
(c) Whoever, in the course of a pattern of activities intended to
identify and expose covert agents and with reason to believe that such
activities would impair or impede the foreign intelligence activities of
the United States, discloses any information that identifies an individual
as a covert agent to any individual not authorized to receive' classified
information, knowing that the information disclosed so identifies such
individual and that the United States is taking affirmative measures to
conceal such individual's classified intelligence relationship to the
United States, shall be fined not more than $15,000 or imprisoned not more
than three years, or both.
As used in this Section --
(1) The term "classified information" means information or material
designated and clearly marked or clearly represented, pursuant to the
provisions of a statute or Executive order (or g regulation or order issued
pursuant to a statute or Executive order), as requiring a specific degree of *
protection against unauthorized disclosure for reasons of national security. *
(2) The term "authorized," when used with respect to access to
classified information, means having authority, right, ur permission
pursuant to the provisions of a statute, Executive order, directive of the
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head of any department or agency engaged in foreign intelligence or
counterintelligence activities, order of any United States court, or
provisions of any Rule of the House of Representatives or resolution of the
Senate which assigns responsibility within the respective House of Congress
for the oversight of intelligence activities.
(3) The term "disclose" means to communicate, provide, impart,
transmit, transfer, convey, publish, or otherwise make available.
(4) The term "covert agent" means --
(A) an officer or employee of an intelligence agency or a member
of the Armed Forces assigned to duty with an intelligence agency --
(i) whose identity as such an officer, employee, or a
member is classified information, and
(ii) who is serving outside the United States or has within
the last five years served outside the United States; or
(B) a United States citizen whose intelligence relationship to
the United States is classified information, and --
(i) who resides and acts outside the United States as an
agent of, or informant or source of operational assistance to, an
intelligence agency, or
(ii) who is at the time of the disclosure acting as an agent
of, or informant to, the foreign counterintelligence or foreign
counterterrorism components of the Federal Bureau of Investigation; or
(C) an individual, other than a United States citizen, whose past *
or present intelligence relationship to the United States is classified
information and who is a present or former agent of, or a present or former
informant or source of operational assistance to, an intelligence agency.
(5) The term "intelligence agency" means the Central Intelligence
Agency, a foreign intelligence component of the Department of Defense, or
the foreign counterintelligence or foreign counterterrorism components of
the Federal Bureau of Investigation.
(6) The term "informant" means any individual who furnishes informs- *
tion to an intelligence agency in the course of a confidential relationship
protecting the identity of such individual from public disclosure.
(7) The terms "officer" and "employee" have the meanings given such
terms by section 2104 and 2105, respectively, of title 5, United States
Code.
(8) The term "Armed Forces" means the Army, Navy, Air Force, Marine
Corps, and Coast Guard.
(9) The term "United States," when used in a geographic sense, means *
all areas under the territorial sovereignty of the United States and the
Trust Territory of the Pacific Islands.
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(10) The term "pattern of activities" requires a series of acts with a
common purpose or objective.
U.S.C. 50 ? 797. Security regulations and orders; ipenalty for violation
(a) Whoever willfully shall violate any such regulation or order as,
pursuant to lawful authority, shall be or has been promulgated or approved by
the Secretary of Defense, or by any military commander designated by the
Secretary of Defense, or by the Director of the National Advisory Committee
for Aeronautics, for the protection or security of military or naval aircraft,
airports, airport facilities, vessels, harbors, ports, piers, waterfront
facilities, bases, forts, posts, laboratories, stations, vehicles, equipment,
explosives, or other property or places subject to the jurisdiction, admin-
istration, or in the custody of the Department of Defense, any Department or
agency of which said Department consists, or any officer or employee of said
Department or agency, or of the National Advisory Committee for Aeronautics or
any officer or employee thereof, relating to fire hazards, fire protection,
lighting, machinery, guard service, disrepair, disuse or other unsatisfactory
conditions thereon, or the ingress thereto or egress or removal of persons
therefrom, or otherwise providing for safeguarding the same against destruc-
tion, loss, or injury by accident or by enemy action, sabotage or other
subversive actions, shall be guilty of a misdemeanor and upon conviction
thereof shall be liable to a fine of not to exceed $5,000 or to imprisonment
for not more than one year, or both.
(b) Every such regulation or order shall be posted in conspicuous and
appropriate places.
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PRESIDENTIAL DOCUMENTS
Title 3-- Executive Order 12356 of April 2, 1982
The President National Security Information
TABLE OF CONTENTS [FR
Page]
Preamble [
Part 1. ORIGINAL CLASSIFICATION
1.1
Classification Levels
[
]
1.2
Classification Authority
[
]
1.3
Classification Categories
[
]
1.4
Duration of Classification
[
]
1.5
Identification and Markings
[
]
1.6
Limitations on Classification
[
1
Part 2. DERIVATIVE CLASSIFICATION
2.1
Use of Derivative Classification
[
]
2.2
Classification Guides
[
Part 3. DECLASSIFICATION AND DOWNGRADING
3.1
Declassification Authority
[
]
3.2
Transferred Information
[
]
3.3
Systematic Review for Declassification
[
]
3.4
Mandatory Review for Declassification
[
]
Part 4. SAFEGUARDING
4.1
General Restrictions on Access
[
4.2
Special Access Programs
[
]
4.3
Access by Historical Researchers and Former Presidential Appointees.[
I
Part 5. IMPLEMENTATION AND REVIEW
5.1
Policy Direction
[
]
5.2
Information Security Oversight Office
[
]
5.3
General Responsibilities
[
]
5.4
Sanctions
[
]
Part 6. GENERAL PROVISIONS
6.1
Definitions
[
6.2
General
[
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This Order prescribes a uniform system for classifying, declassifying, and
safeguarding national security information. It recognizes that it is
essential that the public be informed concerning the activities of its
Government, but that the interests of the United States and its citizens
require that certain information concerning the national defense and foreign
relations be protected against unauthorized disclosure. Information may not
be classified under this Order unless its disclosure reasonably could be
expected to cause damage to the national security.
NOW, by the authority vested in me as President by the Constitution and laws
of the United States of America, it is hereby ordered as follows:
Part 1
ORIGINAL CLASSIFICATION
SECTION 1.1 CLASSIFICATION LEVELS
(a) National security information (hereinafter "classified
information") shall be classified at one of the following three levels:
(1) "Top Secret" shall be applied to information, the unauthorized
disclosure of which reasonably could be expected to cause exceptionally grave
damage to the national security.
(2) "Secret" shall be applied to information, the unauthorized
disclosure of which reasonably could be expected to cause serious damage to
the national security.
(3) "Confidential" shall be applied to information, the
unauthorized disclosure of which reasonably could be expected to cause damage
to the national security.
(b) Except as otherwise provided by statute, no other terms shall be
used to identify classified information.
(c) If there is reasonable doubt about the need to classify
information, it shall be safeguarded as if it were classified pending a
determination by an original classification authority, who shall make this
determination within thirty (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 thirty
(30) days.
SEC. 1.2 CLASSIFICATION AUTHORITY.
(a) Top Secret. The authority to classify information originally as
Top Secret may be exercised only by:
(1) the President;
(2) agency heads And officials designated by the President in the
Federal Register; and
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(3) officials delegated this authority pursuant to Section 1.2(d).
(b) Secret. The authority to classify information originally as Secret
may be exercised only by:
(1) agency heads and officials designated by the President in the
Federal Register;
and
(2) officials with original Top Secret classification authority;
(3) officials delegated such authority pursuant to Section 1.2(d).
(c) Confidential. The authority to classify information originally as
Confidential may be exercised only by:
(1) agency heads and officials designated by the President in the
Federal Register;
(2) officials with original Top Secret or Secret classification
authority; and
(3) officials delegated such authority pursuant to Section 1.2(d).
(d) Delegation of Original Classification Authority.
(1) Delegations of original classification authority shall be
limited to the minimum required to administer this Order. Agency heads are
responsible for ensuring that designated subordinate officials have a
demonstrable and continuing need to exercise this authority.
(2) Original Top Secret classification authority may be delegated
only by the President; an agency head or official designated pursuant to
Section 1.2(a)(2); and the senior official designated under Section 5.3(a),
provided that official has been delegated original Top Secret classification
authority by the agency head.
(3) Original Secret classification authority may be delegated only
by the President; an agency head or official designated pursuant to Sections
1.2(a)(2) and 1.2(b)(1); an official with original Top Secret classification
authority; and the senior official designated under Section 5.3(a), provided
that official has been delegated original Secret classification authority by
the agency head.
(4) Original Confidential classification authority may be delegated
only by the President; an agency head or official designated pursuant to
Sections 1.2(a)(2), 1.2(b)(1) and 1.2(c)(1); an official with original Top
Secret classification authority; and the senior official designated under
Section 5.3(a), provided that official has been delegated original
classification authority by the agency head.
(5) Each delegation of original classification authority shall be
in writing and the authority shall not be redelegated except as provided in
this Order. It shall identify the official delegated the authority by name
or position title. Delegated classification authority includes the authority
to classify information at the level granted and lower levels of classification.
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(e) Exceptional Cases. When an employee, contractor, licensee, or
grantee of an agency that does not have original classification authority
originates information believed by that person to require classification, the
information shall be protected in a manner consistent with this Order and its
implementing directives. The information shall be transmitted promptly as
provided under this Order or its implementing directives to the agency that
has appropriate subject matter interest and classification authority with
respect to this information. That agency shall decide within thirty (30)
days whether to classify this information. If it is not clear which agency
has classification responsibility for this information, it shall be sent to
the Director of the Information Security Oversight Office. The Director
shall determine the agency having primary subject matter interest and forward
the information, with appropriate recommendations, to that agency for a
classification determination.
SEC. 1.3 CLASSIFICATION CATEGORIES.
(a) Information shall be considered for classification if it concerns:
(1) military plans, weapons, or operations;
(2) the vulnerabilities or capabilities of systems, installations,
projects, or plans relating to the national security;
(3) foreign government information;
(4) intelligence activities (including special activities), or
intelligence sources or methods;
(5) foreign relations or foreign activities of the United States;
(6) scientific, technological, or economic matters relating to the
national security;
(7) United States Government programs for safeguarding nuclear
materials or facilities;
(8) cryptology;
(9) a confidential source; or
(10) other categories of information that are related to the
national security and that require protection against unauthorized disclosure
as determined by the President or by agency heads or other Officials who have
been delegated original classification authority by the President. Any
determination made under this subsection shall be reported promptly to the
Director of the Information Security Oversight Office.
(b) Information that is determined to concern one or more of the
categories in Section 1.3(a) shall be classified when an original
classification authority also determines that its unauthorized disclosure,.
either by itself or in the context of other information, reasonably would be
expected to cause damage to the national security.
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(c) Unauthorized disclosure of foreign government information, the
identity of a confidential foreign source, or intelligence sources or methods
is presumed to cause damage to the national security.
(d) Information classified in accordance with Section 1.3 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 informationi
SEC. 1.4 DURATION OF CLASSIFICATION.
(a) Information shall be classified as long as required by national
security considerations. 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 originally classified.
(b) Automatic declassification determinations under predecessor orders
shall remain valid unless the classification is extended by an authorized
official of the originating agency. These extensions may be by individual
documents or categories of information. The agency shall be responsible for
notifying holders of the information of such extensions.
(c) Information classified under predecessor orders and marked for
declassification review shall remain classified until reviewed for
declassification under the provisions of this Order.
SEC. 1.5 IDENTIFICATION AND MARKINGS.
(a) At the time of original classification, the following information
shall be shown on the face of all classified documents, or clearly associated
wlth other forms of classified information in a manner appropriate to the
medium involved, unless this information itself would reveal a confidential
source or relationship not otherwise evident in the document or information:
(1) one of the three classification levels defined in Section 1.1;
(2) the identity of the original classification authority if other
than the person whose name appears as the approving or signing official;
(3) the agency and office of origin; and
(4) the date or event for declassification, or the notation
'Originating Agency's Determination Required."
(b) Each classified document shall, by marking or other means, indicate
which portions are classified, with the applicable classification level, and
which portions are not classified. Agency heads may, for good cause, grant
and revoke waivers of this requirement for specified classes of documents or
information. The Director of the Information Security Oversight Office shall
be notified of any waivers.
(c) Marking designations implementing the provisions of this Order,
including abbreviations, shall conform to the standards prescribed in
implementing directives issued by the Information Security Oversight Office.
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(d) Foreign government information shall either retain its original
classification or be assigned a United States classification that shall ensure
a degree of protection at least equivalent to that required by the entity that
furnished the information.
(e) Information assigned a level of classification under predecessor
orders shall be considered as classified at that level of classification
despite the omission of other required markings. Omitted markings may be
inserted on a document by the officials specified in Section 3.1(b).
SEC. 1.6 LIMITATIONS ON CLASSIFICATION.
(a) In no case shall information be classified in order to conceal
violations of law, inefficiency, or administrative error; to prevent
embarrassment to a person, organization, or agency; to restrain competition;
or to prevent or delay the release of information that does not require
protection in the interest of national security.
(b) Basic scientific research information not clearly related to the
national security may not be classified.
(c) The President or an agency head or official designated under
Sections 1.2(a)(2), 1.2(b)(1), or 1.2(c)(1) may reclassify information
previously declassified and disclosed if it is determined in writing that (1)
the information requires protection in the interest of national security; and
(2) the information may reasonably be recovered. These reclassification
actions shall be reported promptly to the Director of the Information Security
Oversight Office.
(d) Information may be classified or reclassified after an agency has
received a request for it under the Freedom of Information Act (5 U.S.C. 552)
or the Privacy Act of 1974 (5 U.S.C. 552a), or the mandatory review provisions
of this Order (Section 3.4) if such classification meets the requirements of
this Order and is accomplished personally and on a document-by-document basis
by the agency head, the deputy agency head, the senior agency official
designated under Section 5.3(a)(1), or an official with original Top Secret
classification authority.
Part 2
DERIVATIVE CLASSIFICATION
SEC. 2.1 USE OF DERIVATIVE CLASSIFICATION.
(a) Derivative classification is (1) the determination that information
is in substance the same as information currently classified, and (2) the
application of the same classification markings. 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, need not possess original classification authority.
(b) Persons who apply derivative classification markings shall:
(1) observe and respect original classification decisions; and
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(2) carry forward to any newly created documents any assigned
authorized markings. The declassification date or event that provides the
longest period of classification shall be used for documents classified on
the basis of multiple sources.
SECTION 2.2. CLASSIFICATION GUIDES.
(a) Agencies with original classification authority shall prepare
classification guides to facilitate the proper and uniform derivative
classification of information.
(b) Each guide shall be approved personally and in writing by an
official who:
(1) has program or supervisory responsibility over the information
or is the senior agency official designated under Section 5.3(a); and
(2) is authorized to classify information originally at the
highest level of classification prescribed in the guide.
(c) Agency heads may, for good cause, grant and revoke waivers of the
requirements to prepare classification guides for specified classes of
documents or information. The Director of the Information Security Oversight
Office shall be notified of any waivers.
Part 3
DECLASSIFICATION AND DOWNGRADING
SEC. 3.1 DECLASSIFICATION AUTHORITY
(a) Information shall be declassified or downgraded as soon as national
security considerations permit. Agencies shall coordinate their review of
classified information with other agencies that have a direct interest in the
subject matter. Information that continues to meet the classification
requirements prescribed by Section 1.3 despite the passage of time will
continue to be protected in accordance with this Order.
(b) Information shall be declassified or downgraded by the official who
authorized the original classification, if that official is still serving in
the same position; the originator's successor; a supervisory official of
either; or officials delegated such authority in writing by the agency head or
the senior agency official designated pursuant to Section 5.3(a).
(c) If the Director of the Information Security Oversight Office
determines that information is classified in violation of this Order, the
Director may require the information to be declassified by the agency that
originated the classification. Any such decision by the Director may be
appealed to the National Security Council. The information shall remain
classified, pending a prompt decision on the appeal.
(d) The provisions of this Section shall also apply to agencies that,
under the terms of this Order, do not have original classification authority,
but that had such authority under predecessor orders.
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SEC. 3.2 TRANSFERRED INFORMATION.
(a) In the case of classified information transferred in conjunction
with a transfer of functions, and not merely for. storage purposes, the
receiving agency shall be deemed to be the originating agency for purposes of
this Order.
(b) In the case of classified information that is not officially
transferred as described in Section 3.2(a), but that originated in an agency
that has ceased to exist and for which there is no successor agency, each
agency in possession of such information shall be deemed to be the
originating agency for purposes of this Order. Such information may be
declassified or downgraded by the agency in possession after consultation with
any other agency that has an interest in the subject matter of the
information.
(c) Classified information accessioned into the National Archives of
the United States shall be declassified or downgraded by the Archivist of the
United States in accordance with this Order, the directives of the
Information Security Oversight Office, and agency guidelines.
Sec. 3.3 Systematic Review for Declassification.
(a) The Archivist of the United States shall, in accordance with
procedures and time frames prescribed in the Information Security Oversight
Office's directives implementing this Order, systematically review for
declassification or downgrading (1) classified records accessioned into the
National Archives of the United States, and (2) classified presidential papers
or records under the Archivist's control. Such information shall be reviewed
by the Archivist for declassification or downgrading in accordance with
systematic review guidelines that shall be provided by the head of the agency
that originated the information, or in the case of foreign government
information, by the Director of the Information Security Oversight Office ir
consultation with interested agency heads.
(b) Agency heads may conduct internal systematic review programs for
classified information originated by their agencies contained in records
determined by the Archivist to be permanently valuable but that have not
been accessioned into the National Archives of the United States.
(c) After consultation with affected agencies, the Secretary of Defense
may establish special procedures for systematic review for declassification
of classified cryptologic information, and the Director of Central
Intelligence may establish special procedures for systematic review for
declassification of classified information pertaining to intelligence
activities (including special activities), or intelligence sources or
methods.
SEC. 3.4. MANDATORY REVIEW FOR DECLASSIFICATION
(a) Except as provided in Section 3.4(b), all information classified
under this Order or predecessor orders shall be subject to a review for
declassification by the originating agency, if:
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(1) the request is made by United States citizen or permanent
resident alien, a federal agency, or a State or local government; and
(2) the request describes the document or material containing the
information with sufficient specificity to enable the agency to locate it
with a reasonable amount of effort.
(b) Information originated by a President, the White House Staff, by
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 exempted from the provisions of Section 3.4(a). The
Archivist of the United States shall have the authority to review, downgrade
and declassify information under the control of the Administrator of General
Services or the Archivist pursuant to sections 2107, 2107 note, or 2203 of
title 44, United States Code. Review procedures developed by the Archivist
shall provide for consultation with agencies having primary subject matter
interest and shall be consistent with the provisions of applicable laws or
lawful agreements that pertain to the respective presidential papers or
records. Any decision by the Archivist may be appealed to the Director of
the Information Security Oversight Office. Agencies with primary subject
matter interest shall be notified promptly of the Director's decision on such
appeals And may further appeal to the National Security Council. The
information shall remain classified pending a prompt decision on the appeal.
(c) Agencies conducting a mandatory review for declassification shall
declassify information no longer requiring protection under this Order. They
shall release this information unless withholding is otherwise authorized
under applicable law.
(d) Agency heads shall develop procedures to process requests for the
mandatory review of classified information. These procedures shall apply to
information classified under this or predecessor orders. They shall also
provide a means for administratively appealing a denial of a mandatory review
request.
(e) The Secretary of Defense shall develop special procedures for the
review of cryptologic information, and the Director of Central Intelligence
shall develop special procedures for the review of information pertaining to
intelligence activities (including special activities), or intelligence
sources or methods, after consultation with affected agencies. The Archivist
shall develop special procedures for the review of information accessioned
into the National Archives of the United States.
(f) In response to a request for information under the Freedom of
Information Act, the Privacy Act of 1974, or the mandatory review provisions
of this Order.
(1) An agency shall refuse to confirm or deny the existence or
non-existence of requested information whenever the fact of its existence or
non-existence is itself classifiable under this Order.
(2) When an agency receives any request for documents in its
custody that were classified by another agency, it shall refer copies of the
request and the requested documents to the originating agency for processing,
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and may, after consultation with the originating agency, inform the requester
of the referral. In cases in which the originating agency determines in
writing that a response under Section 3.4(f)(1) is required, the referring
agency shall respond to the requester in accordance with that Section.
Part 4
SAFEGUARDING
SEC. 4.1 GENERAL RESTRICTIONS ON ACCESS.
(a) A person is eligible for access to classified information provided
that a determination of trustworthiness has been made by agency heads or
designated officials and provided that such access is essential to the
accomplishment of lawful and authorized Government purposes.
(b) Controls shall be established by each agency to ensure that
classified information is used, processed, stored, reproduced, transmitted,
and destroyed only under conditions that will provide adequate protection and
prevent access by unauthorized persons.
(c) Classified information shall not be disseminated outside the
executive branch except under conditions that ensure that the information will
be given protection equivalent to that afforded within the executive branch.
(d) Except as provided by directives issued by the President through
the National Security Council, classified information originating in one
agency may not be disseminated outside any other agency to which it has been
made available without the consent of the originating agency. For purposes
of this Section, the Department of Defense shall be considered one agency.
SEC. 4.2 SPECIAL ACCESS PROGRAMS.
(a) Agency heads designated pursuant to Section 1.2(a) may create
special access programs to control access, distribution, and protection of
particularly sensitive information classified pursuant to this Order or
predecessor orders. Such programs may be created or continued only at the
written direction of these agency heads. For special access programs
pertaining to intelligence activities (including special activities but not
including military operational, strategic and tactical programs), or
intelligence sources or methods, this function will be exercised by the
Director of Central Intelligence.
(b) Each agency head shall establish and maintain a system of
accounting for special access programs. The Director of the Information
Security Oversight Office, consistent with the provisions of Section
5.2(b)(4), shall have non-delegable access to all such accountings.
SEC. 4.3. ACCESS BY HISTORICAL RESEARCHERS AND FORMER PRESIDENTIAL
APPOINTEES.
(a) The requirement in Section 4.1(a) that access to classified
information may be granted only as is-essential to-the accomplishment of
authorized and lawful Government purposes may be waived as provided in
Section 4.3(b) for persons who:
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(1) are engaged in historical research projects, or
(2) previously have occupied policy-making positions to which they
were appointed by the President.
(b) Waivers under Section 4.3(a) may be granted only if the originating
agency:
(1) determines in writing that access is consistent with the
interest of national security;
(2) takes appropriate steps to protect classified information from
unauthorized disclosure or compromise, and ensures that the information is
safeguarded in a manner consistent with this Order, and
(3) limits the access granted to former presidential appointees to
items that the person originated, reviewed, signed, or received while serving
as a presidential appointee.
Part 5
rMPLEMENTATION AND REVIEW
SEC. 5.1 POLICY DIRECTION
(a) The National Security Council shall provide overall policy
direction for the information security program.
(b) The Administrator of General Services shall be responsible for
implementing and monitoring the program established pursuant to this Order.
The Administrator shall delegate the implementation and monitorship functions
of this program to the Director of the Information Security Oversight Office.
SEC. 5.2 INFORMATION SECURITY OVERSIGHT OFFICE.
(a) The Information Security Oversight Office shall have a full-time
Director appointed by the Administrator of General Services subject to
approval by the President. The Director shall have the authority to appoint
a staff for the Office.
(b) The Director shall:
(1) develop, in consultation with the agencies, and promulgate,
subject to the approval of the National Security Council, directives for the
implementation of this Order, which shall be binding on the agencies.
(2) oversee agency actions to ensure compliance with this Order
and implementing directives;
(3) review all agency implementing regulations and agency guide-
lines for systematic declassification review. The Director shall require any
regulation or guideline to be changed if it is not consistent with this Order
or implementing directives. Any such decision by the Director may be
appealed to the National Security Council. The agency regulation or
guideline shall remain in effect pending a prompt decision on the appeal;
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(4) have the authority to conduct on-site reviews of the
information security program of each agency that generates or handles
classified information and to require of each agency those reports,
information, and other cooperation that may be necessary to fulfill the
Director's responsibilities, If these reports, inspections, or access to
specific categories of classified information would pose an exceptional
national security risk, the affected agency head or the senior official
designated under Section 5.3(a) may deny access. The Director may appeal
denials to the National Security Council. The denial of access shall remain
in effect pending a prompt decision on the appeal;
(5) review requests for original classification authority from
agencies or officials not granted original classification authority and, if
deemed appropriate, recommend presidential approval;
(6) 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;
(7) have the authority to prescribe, after consultation with
affected agencies, standard forms that will promote the implementation of the
information security program;
(8) report at least annually to the President through the National
Security Council on the implementation of this Order; and
(9) have the authority to convene and chair interagency meetings
to discuss matters pertaining to the information security program.
SEC. 5.3 GENERAL RESPONSIBILITIES.
Agencies that originate or handle classified information shall:
(a) designate a senior agency official to direct and administer its
information security program, which shall include an active oversight and
security education program to ensure effective implementation of this Order;
(b) promulgate implementing regulations. Any unclassified regulations
that establish agency information security policy shall be published in the
Federal Register to the extent that these regulations affect members -of the
public;
(c) establish procedures to prevent unnecessary access to classified
information including procedures that (i) require that a demonstrable need
for access to classified information is established before initiating
administrative clearance procedures, and (ii) ensure that the number of
persons granted access to classified information is limited to the minimum
consistent with operational and security requirements and needs; and
(d) develop special contingency plans for the protection of classified
information used in or near hostile or potentially hostile areas.
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SEC. 5.4 SANCTIONS.
(a) If the Director of the Information Security Oversight Office finds
that a violation of this Order or its implementing directives may have
occurred, the Director shall make a report to the head of the agency or to
the senior official designated under Section 5.3(a) so that corrective steps,
if appropriate, may be taken.
(b) Officers and employees of the United States Government, and its
contractors, licensees, and grantees shall be subject to appropriate sanctions
if they:
(1) knowingly, willfully, or negligently disclose to unauthorized
persons information properly classified under this Order or predecessor
orders;
(2) knowingly and willfully classify or continue the
classification of information in violation of this Order or any implementing
directive; or
(3) knowingly and willfully violate any other provision of this
Order or implementing directive.
(c) Sanctions may include reprimand, suspension without pay, removal,
termination of classification authority, loss or denial of access to
classified information, or other sanctions in accordance with applicable law
and agency regulation.
(d) Each agency head or the senior official designated under Section
5.3(a) shall ensure that appropriate and prompt corrective action is taken
whenever a violation under Section 5.4(b) occurs. Either shall ensure that
the Director of the Information Security Oversight Office is promptly
notified whenever a violation under Section 5.4(b)(1) or (2) occurs.
Part 6
GENERAL PROVISIONS
SEC. 6.1 DEFINITIONS
?
(a) "Agency" has the meaning provided at 5 U.S.C. 552(e).
(b) "Information" means any information or material, regardless of its
physical fora or characteristics, that is owned by, produced by or for, or is
under the control of the United States Government.
(c) "National security information" means information that has been
determined pursuant to this Order or any predecessor order to require
protection against unauthorized disclosure and that is so designated.
(d) "Foreign government information" means:
(1) information provided 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
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(2) information produced by the United States pursuant to or as a
result of a joint arrangement with a foreign government or governments or an
international organization of governments, or any element thereof, requiring
that the information, the arrangement, or both, are to be held in confidence.
(e) "National security" means the national defense or foreign relations
of the United States.
(0 "Confidential source" means 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.
(g) "Original classification" means 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.
SEC. 6.2 GENERAL.
(a) Nothing in this Order shall supersede any requirement made by or
under the Atomic Energy Agency of 1954, as amended. "Restricted Data" and
"Formerly Restricted Data" shall be handled, protected, classified,
downgraded, and declassified in conformity with the provisions of the Atomic
Energy Act of 1954, as amended, and regulations issued under that Act.
(b) The Attorney General, upon request by the head of an agency or the
Director of the Information Security Oversight Office, shall render an
interpretation of this Order with respect to any question arising in the
course of its administration.
(c) Nothing in this Order limits the protection afforded any
information by other provisions of law.
(d) Executive Order No. 12065 of June 28, 1978, as amended is revoked
as of the effective date of this Order.
(e) This Order shall become effective on August 1, 1982.
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Appendix VII. GUIDANCE FOR PREPARATION OF SECURITY BRIEFINGS
A. Defensive Security Briefings.
1. General. A defensive security briefing containing elements of the
following outline shall be given to those individuals or employees so
identified in paragraph 5u.
2. Introduction. National policy over the past several years has
encouraged the expansion of cultural, trade, and commercial ties with
Designated countries. As a result, an increasing number of representatives
from Designated countries are coming to the U.S. on trade visits, cultural
visits, East-West exchange visits, and the like. Similarly, representatives
of U.S. industry have been with increasing regularity making reciprocal visits
to Designated countries. These expanding marketing opportunities carry with
them a parallel responsibility for ensuring that certain categories of
information are not released, and, where appropriate, proper authorization is
obtained prior to release.
a. U.S. citizens who have had access to classified defense
information are important targets for hostile intelligence services. It is
common practice for hostile intelligence services to establish and maintain
dossiers an personnel of intelligence interest, particularly of personnel
whose jobs afford them access to vital defense information in any area of
special interest. These services are constantly on the alert for opportuni-
ties to gain any kind of advantage that can be exploited, regardless of
the country visited.
b. The intelligence network of the Designated counties is world-
wide and ever present. These intelligence agencies have concentrated on
those fields which involve scientific and military knowledge possessed by
the Western powers. A key source of technical and scientific information
is the numerous conventions, seminars, conferences, and symposia held
throughout the world each year. Other means of obtaining information is
through the tight, police-like controls over the movements of all personnel
visiting Designated countries. Travelers may be "targeted" the moment they
apply for a visa. Under such controlled conditions, there is little that
can be done to prevent espionage efforts and harassments directed against
selected individuals.
c. It must be remembered that Designated country intelligence and
security services carry espionage activities to fantastic lengths. While
the techniques that are employ4d may seem far-fetched or illicit, they are
in fact used in day-to-day activities and operations. Travelers must recog-
nize them as a part of the Designated system, so that they may successfully
counter such practices. "A Study of Harassments and Provocations," pub-
lished in DIS Security Awareness Bulletin No. 1-83, November 1982, illus-
trates procedures used by Designated country intelligence and security
services. This bulletin is intended to support official defensive security
A.
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briefings for persons with authorized access to classified information who
are traveling to such countries. 1/
3. Export Controls. The U.S. Government, by statute, E.O., and admin-
istrative policy, has established a number of procedures designed to control
the export of certain categories of information. One of its primary objec-
tives is the control of the export of scientific and technical information to
ensure that information made available to Designated countries does not work to
the detriment of the U.S. national interest. Among the existing controls are:
a. a system for classifying national security information and
strictly controlling its dissemination (E.O. 12356);
b. a system to control the export of arms, ammunition, and imple-
ments of war, including unclassified technical data and information relating
thereto (see the ITAR issued by the Department of State); and
c. a system to control the export of U.S. commodities and unclassi-
fied technical data which would make a significant contribution to the mili-
tary potential of any other nation or nations which would prove detrimental to
the national security of the U.S. (see the Export Administration Regulations
issued by the Department of Commerce).
4. Marketing Activities With Designated Countries. It must be recog-
nized that marketing personnel are in a particularly difficult role. On the
one hand they must be in a position to knowledgeably discuss their products
and employ all of the attributes of good salesmanship to promote a free
exchange of information in order to successfully conclude marketing endeavors.
On the other hand, a clear understanding of, and strict adherence to, the
controlling regulations are necessary for those categories of information
which can not be disclosed, or which require prior U.S. Government approval in
order to be disclosed. Marketing personnel, who meet with representatives
from Designated countries, should be thoroughly versed and totally
knowledgeable with respect to what information may be released. Meticulous
preplanning is essential if U.S. security interests and responsibilities are
to be properly met. The following categories of information merit special
consideration before planning a meeting with representatives from Designated
countries.
a. Disclosure of Classified Information. Obviously, classified in-
formation may not under any circumstances be disclosed to representatives from
Designated countries. It cannot be assumed that all personnel are thoroughly
familiar with respect to what is and what is not classified. A thorough re-
assessment and evaluation of pertinent information should be undertaken to
ensure a complete and unequivocal understanding as to what is and what is not
classified.
1/ "Study of Harassments and Provocations," is marked "FOR OFFICIAL USE
ONLY" and appears in DIS Security Awareness Bulletin Number 1-83,
November 1982, published by the Defense Security Institute, Richmond,
Virginia. Copies of the bulletin may be obtained from the CSO.
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b. Unclassified Information Relating to Classified Contracts. Before
a contractor may disclose any information that pertains to a classified contract
or project, the contractor must obtain the approval of DoD as provided for in
section 1, paragraph 5o. It is essential to ensure that all personnel who will
participate in visits by representatives of Designated countries are thoroughly
knowledgeable with respect to that information which relates to classified con-
tracts, and which therefore may not be released without prior approval of DoD.
c. Information That Comes Within the Purview of the International
Traffic in Arms Regulations. The ITAR applies not only to the export of arms,
ammunition, and implements of war, but also to both classified and unclassified
technical data related thereto. Disclosure to a representative of a Designated
country within the U.S. or abroad constitutes an export under the provisions
of these regulations. Further information concerning these requirements may be
obtained from the Office of Munitions Control, Department of State, Washington,
D.C. 20520.
d. Technical Data Subject to Export Control. Unclassified techni-
cal data, pertaining to items on the "Commodity Control List" may require
approval by the Department of Commerce prior to release to a representative of
a Designated country. Part 379, Technical Data, Export Administration Regula-
tions, issued by the Department of Commerce pursuant to the Export Adminis-
tration Act of 1969, as amended, sets forth the rules applicable to the export
of technical data. Release of such information to a representative of a
Designated country within this country or abroad constitutes an export under
these regulations. For further information in this connection, inquiries
should be addressed to the local U.S. Department of Commerce District Office,
or to the Office of Export Administration, Department of Commerce, Washington,
D.C. 20230.
5. Conclusion. Attention to this very difficult and complex area is
essential if U.S. national interests are to be properly safeguarded, and if
the contractor is to abide by this DD Form 441 with DoD and with the applic-
able U.S. statutes, as enumerated above. In the case of any information which
may be classified or any information relating to a classified contract, the
contractor should initiate appropriate consultation with his or her contracting
officer. Whenever there is any doubt or question with respect to other infor-
mation, consultation may be necessary with the Office of Munitions Control,
Department of State and/or the Office of Export Administration, Department of
Commerce. If there is any doubt, or if there are further questions, ask the
CSO. In all situations, be sure that information disclosed to representatives
of Designated countries is appropriate for release to these countries. If in
doubt, do not provide the information.
Although the emphasis in this guide has been placed on the procedures to be
followed when engaged in marketing activities with representatives of
Designated countries, generally, these same procedures are applicable when
dealing with representatives of any other foreign countries.
B. Counterintelligence Awareness Briefings.
1. General. A counterintelligence awareness briefing containing
elements of the following material, or updated information, shall be given
to appropriate individuals or employees.
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2. Introduction. The following elements of information are intended to
be neither all-inclusive nor all-exclusive, but should be used as source
material in the preparation of counterintelligence awareness briefings and as
a guide for the type of information to be included in this type of briefing.
Routine, stereotyped briefings not only fail to meet intended objectives, but
could actually weaken security by giving the recipient a false sense of secu-
rity. Only the use of thoughtfully prepared briefings, based on authoritative
information and related to the duties performed, and the sensitivity of the
classified information to which exposed and manner of presentation, will
accomplish the purpose. The following information has been extracted, with
permission, from a pamphlet published by the Federal Bureau of Investigation,
"Secrets, Spies and Citizens." Copies of the pamphlet may be requested from
the local FBI office. Additional current topical material may be requested
from these offices or from local military intelligence activities.
3. The Threat. Intelligence collection -- the world of espionage and
counterespionage, spies, and spy catchers -- is a popular subject of fiction.
It has been the topic of countless books, short stories, TV serials, and movies.
The role of the spy, the "Secret Agent," has become so sensationalized and
exaggerated that it is very easy to think that spies exist only in the minds
of fiction writers -- that spying belongs in the same category as science
fiction and westerns. Do not believe it. Spies do exist, and literally
thousands of spies, or intelligence officers, as they are officially known,
and their agents are at this moment plying their treacherous trade within the
U.S. The principal source of these intelligence officers is the Soviet Union,
but the USSR's allied nations in Eastern Europe, as well as Cuba, the People's
Republic of China, and smaller Asian Designated nations such as North Korea and
Vietnam, also dispatch spies to U.S. shores.
a. The Objectives and Techniques of Spies. Their main objective
is. the wholesale collection of data. The most prized type of intelligence
data is the classified government document, but unclassified material -- even
material which appears to be trivial -- can also be of inestimable value. In
their task of gathering intelligence data, the foreign intelligence services
have a large array of tools. Satellites miles above the earth's surface
gather photographic data. Aircraft and vessels gather electronic intelligence.
But a further source of data, and potentially the most valuable to a hostile
nation, is that acquired through the use of actual spies. (Here the briefer
may wish to identify the type of classified projects or work being performed
by the facility which lends credence to possibility of its being an espionage
target.) Intelligence services may gather their information through the use
of several different techniques. Probably the greatest achievement and
intelligence organization can have is the placement or recruitment of an agent
directly in a sensitive position in a national defense or intelligence element
of an opposing government. The penetration by live or electronic sources of
private institutions involved in sensitive, national defense-related research
and development work can also be of tremendous value.
(1) Hostile intelligence collectors ply Washington and other
locations where strategic data can be collected. They gain their desired in-
formation wherever, whenever, and from whomever it can be had. Hostile intel-
ligence officers employ various tactics in their campaigns to enlist target
employees. They =ruse a honeyed, seemingly guileless approach. They befriend
targets, treat them to gifts and money, wine and dine them. Many Soviet and
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other Designated agents believe that Americans are hopeless materialists, and
can be easily swayed by appeals to their alleged greed.
(2) In another maneuver, a hostile intelligence officer
misrepresents him or herself as a citizen of a country friendly to the
U.S. Thus a targeted American may be duped into handing over sensitive
information by being led to believe that he or she is aiding an ally to
the U.S. In variation of this tactic, an intelligence officer poses as a
representative of a non-Designated country towards which a targeted American
is particularly sympathetic. Also, if a hostile agent believes that an
individual has Designated or similar sympathies, he or she may make an
appeal for information based on ideology. A "pitch" for information may
also be geared to take advantage of an American's desire for international
harmony and world peace.
(3) Another favored appeal exploits the American belief
in freedom of speech and the free exchange of information. A hostile
intelligence officer in the role of a scientist may, for example, tell
an American scientist that science has no political boundaries. Therefore,
in the interest of science, the American is encouraged to share his or her
knowledge with a fellow "member" of the international scientific community.
Intelligence agents can also play rough in their ceaseless quest for strategic
information. To such people espionage is a business. If they feel coercion
and blackmail will serve their purpose, they will not hesitate to employ those
methods. The honeyed approach can readily turn sour if an agent determines
that a targeted employee has personal inadequacies which that employee does
not wish to have exposed.
(4) Correspondingly, another tactic is the exploitation of
a "hostage situation." If, for example, a foreign intelligence service
learns that a target employee has relatives in Eastern Europe or the USSR,
that employee is in an extremely vulnerable position. First will come gentle
persuasion (an agent may produce "letters" from so-called relatives calling
for the American to "cooperate"). If that does not work, the agent may
suggest that harsh measures could be applied to the relatives.
b. Recognizing the Approach.
(1) One should therefore be wary of glad-handing strangers who
make an intensive effort at forming a friendship, and then slowly but surely
begin to use that friendship to learn where one works, the nature of one's
assignment, and who one works with. A generous and inquisitive stranger could
very well be the proverbial wolf in sheep's clothing.
(2) One should also be wary of strangers who ask for informa-
tion not related to their professed area of interest or do not seem to be
particularly knowledgeable in their field. Thus, if "scientists" request data
not related to their fields, or do not seem to know much about their supposed
areas of expertise, then they could very well be impostors.
(3) The operative of a foreign intelligence service need not
be a foreigner, nor need the occasion of encountering him or her be in any
way extraordinary. The neighbor one might meet at a PTA meeting could be a
foreign diplomat who lives down the block, or he or she could be a fellow
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American who has been recruited as an agent by a hostile service. The spy
could be a "spotter," who reports to an intelligence service on persons he or
she meets who appear to be susceptible to recruitment and, sometimes, arranges
for intelligence officers to meet them. Do not expect either intelligence
officers or agents to expose their roles in any dramatic and sudden fashion.
Usually there is a long period of cultivation during which conversations with
the individual could be completely normal and innocuous. However, at any
point where someone begins to inquire into aspects of one's knowledge or
activity which are classified or otherwise private, one should certainly stop
to consider whether the inquiry is normal innocent curiosity, or whether it
might be the beginning of an attempt to secure intelligence information for
the benefit of another country.
c. Protecting the Bits & Pieces. It cannot be overemphasized that
unclassified material may be just as valuable to a foreign intelligence service
as classified material. In formulating their estimations of U.S. strengths
and weaknesses, and in the quest for data that will enhance their own nation's
strength, foreign intelligence services seek all types of material. A small
bit of information could represent a very important piece in a much larger
puzzle. Therefore, all data should be protected from the probing hands of for-
eign agents. A stolen industrial process can save thousands of dollars in
research and development cost. The most trivial document could be the missing
link of a hostile nation's problem.
d. Reporting the Threat. In the effort to protect America's secrets,
the role of the facility must be emphasized. Each U.S. Government agency and
private industry which deals with classified material has a specified official
in charge of security matters. This security officer should be recognized as
an ally and not an adversary. If approached by a suspicious stranger in the
manner described above, the security officer should be informed immediately of
the encounter. Even if a friendship has been established, even if the
individual has been able to pry loose some information, the security officer
should be consulted. A major aspect of the security officer's job is to pro-
tect employees from getting involved in compromising situations and, if neces-
sary, to extricate them from such situations. Such assistance cannot be
rendered if the employee remains silent. Of course, it is much better for an
employee to reveal a suspect relationship voluntarily, rather than have it
came to light in the course of a security investigation, or through some other
means. Then, it may be too late for anyone to assist the indiscreet employee.
Basically, it cannot be overemphasized that, if involved in a compromising
situation, the sooner the employee consults his or her facility security
officer, the better. Of course, sometimes one will be in a place or situation
where one cannot, or for some reason does not want to, contact the security
officer. Remember that in the U.S., the FBI is as close as the nearest tele-
phone. Directions for contacting FBI offices appear in the front of all U.S.
telephone books. Abroad, the nearest U.S. diplomatic establishment can arrange
to put one in touch with the FBI or other appropriate U.S. Government security
officials. Once again, it must be stressed that the best course of action in
any of the questionable situations mentioned herein is to immediately relate
the facts to a counterintelligence professional who will be able to analyze
the situation and propose a course of action. Effective counterintelligence
is a demanding and professional discipline, and any attempts by untrained or
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uninformed amateurs to handle hostile efforts on their own could not only
result in personal disaster, but also could interfere with the FBI's
coordinated counterattack.
e. Summary of Threat. Finally, it must be stressed that the
threat posed by foreign intelligence agencies cannot be underestimated.
History is replete with situations in which a nation's security was greatly
damaged by the efforts of a hostile nation's intelligence services. In
American history, the breaking of the Japanese secret code helped to bring
U.S. victory in the Pacific during World War II. On the other hand, the theft
of some key U.S. atomic secrets greatly abetted the interests of the Soviet
Union. The craft of spies is by no means a game. The very fate of nations
can be damaged or enhanced by their enterprises.
4. Summary Counterintelligence Awareness is Critical. The Soviet
Union and its surrogates have established a long standing, well-organized,
deliberate, and quite successful effort to acquire and utilize Western
state-of-the-art technology by both overt and covert means. Unquestionably,
this acquisition of Western technology has played, and will continue to play,
an extremely important role in the development of industrial and military
capabilities of Designated countries, particularly the Soviet Union. A
philosopher once said, "Knowledge itself is power." This maxim most certainly
applies to national power, for one gauge of national power is the amount and
quality of scientific, technological, and military-related knowledge possessed
by a nation. A nation such as the U.S. can be weakened by the theft of its
vital knowledge, and its enemies can be strengthened by the acquisition of
that knowledge, whether it be classified or unclassified. It is the responsi-
bility of each individual who has been entrusted with sensitive data to do his
or her share in protecting America's strategic knowledge, whether it be classi-
fied TOP SECRET or seemingly unimportant, unclassified material. For if Ameri-
cans do not conduct themselves in a responsible and patriotic manner, do not
recognize that this country's national security is based essentially on the
loyalty and efforts of its citizens, then the tightest document classification
system, the most efficient security organizations, and the mightiest Armed
Forces may be utterly valueless.
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Appendix VIII. INFORMATION REGARDING COGNIZANT SECURITY OFFICES,
DISCO, DSI, AND OISI
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OPERATIONAL AREAS OF DIS COGNIZANT SECURITY OFFICES
Capital Region (S1510) -- formerly known as the Washington Region
The Capital Region includes: the state of Virginia; Washington, D.C.; and
the following counties in Maryland: Anne Arundel, Baltimore, Calvert,
Charles, Harford, Howard, Montgomery, Prince Georges, and St. Marys.
Mid-Atlantic Region (S1410) -- formerly known as the Philadelphia Region
The Mid-Atlantic Region includes: the states of Delaware, New Jersey,
Pennsylvania, West Virginia, Maryland (less the counties of Anne Arundel,
Baltimore, Calvert, Charles, Harford, Howard, Montgomery, Prince Georges, and
St. Marys); and the following counties in New York:
Bronx Queens
Kings (Brooklyn) Richmond
Nassau Rockland
New York (Manhattan) Suffolk
Orange Westchester
Putnam
Mid-Western Region (S3210) -- formerly known as the Cleveland Region
The Mid-Western Region includes: the states of Indiana, Iowa, Kentucky,
Michigan, Minnesota, Nebraska, North Dakota, Ohio, South Dakota, and
Wisconsin; and the following counties in Illinois:
Adams Hancock
Boone Henderson
Brown Henry
Bureau Iroquois
Carroll Jasper
Cass Jo Daviess
Champaign Kane
Christian Kankakee
Clark Kendall
Coles Knox
Cook Lake
Crawford La Salle
Cumberland Lee
De Kalb Livingston
De Witt Logan
Douglas Macon
Du Page Marshall
Edgar Mason
Effingham McDonough
Ford McHenry
Fulton McLean
Grundy Menard
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Mercer Scott
Moultrie Shelby
Morgan Stark
Ogle Stephenson
Peoria Tazewell
Pike Vermilion
Piatt Waren
Putnam Whiteside
Rock Island Will
Sangamon Winnebago
Schuyler Woodford
New England Region (S1110) -- formerly known as the Boston Region
The New England Region includes: the states of Connecticut, Maine,
Massachusetts, New Hampshire, Rhode Island, and Vermont; and the following
counties in New York:
Albany Montgomery
Allegany Niagara
Broome Oneida
Cattaraugus Onandaga
Cayuga Ontario
Chautauqua Orleans
Chemung Oswego
Chenango Otsego
Clinton Rensselaer
Columbia St. Lawrence
Cortland Saratoga
Delaware Schenectady
Dutchess Schoharie
Erie Schulyer
Essex Seneca
Franklin Steuben
Fulton Sullivan
Genesee Tioga
Greene Tompkins
Hamilton Ulster
Jefferson Warren
Kerkimer Washington
Lewis Wayne
Livingston Wyoming
Monroe Yates
Northwestern Region (S5210) -- formerly known as the San Francisco Region
The Northwestern Region includes: the states of Alaska, Idaho, Montana,
Nevada, Oregon, Utah, Washington, and Wyoming; and the following counties in
California:
Alameda Amador
Alpine Butte
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Calaveras Placer
Colusa Plumas
Contra Costa Sacramento
Del Norte San Benito
El Dorado San Francisco
Fresno San Joaquin
Glenn San Mateo
Humbolt Santa Clara
Inyo Santa Cruz
Kings Shasta
Lake Sierra
Lassen Siskiyou
Madera Solano
Marin Sonoma
Mariposa Stanislaus
Mendocino Sutter
Merced Tehama
Modoc Trinity
Mono Tulare
Monterey Tuolumne
Napa Yolo
Nevada Yuba
Pacific Region (S5310) -- formerly known as the Los Angeles Region
The Pacific Region includes: the state of Hawaii, U.S. possessions and
trust territories in the Pacific area, and the following counties in
California:
Imperial San Bernadino
Kern San Diego
Los Angeles San Luis Obispo
Orange Santa Barbara
Riverside Ventura
Southeastern Region (S4110) -- formerly known as the Atlanta Region
The Southeastern Region includes: the states of Alabama, Arkansas, Florida,
Georgia, Louisiana, Mississippi, North Carolina, South Carolina, and
Tennessee; Puerto Rico, and U.S possessions in the Atlantic and Caribbean
areas.
Southwestern Region (S4210) -- formerly known as the St. Louis Region
The Southwestern Region includes: states of Arizona, Colorado, Kansas,
Missouri, New Mexico, Oklahoma, Texas; and the following counties in Illinois:
Alexander Clinton
Bond Edwards
Calhoun Fayette
Clay Franklin
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Gallatin Montgomery
Greene Perry
Hamilton Pope
Hardin Pulaski
Jackson Randolph
Jefferson Richland
Jersey St. Clair
Johnson Saline
Lawrence Union
Macoupin Wabash
Madison Washington
Marion Wayne
Massac White
Monroe Williamson
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DoD 5220.22-M
TELEPHONE NUMBERS AND ADDRESSES
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Appendix IX. USE OF ESCORTS FOR CLASSIFIED SHIPMENTS
(also applies to carrier custodians)
A. General. Escorts must be cleared to the level of the information
involved. A sufficient number of escorts shall be assigned to the classified
shipment .to ensure continuous surveillance and control over the shipment while
it is in their custody.
B. Instructions and Operating Procedures. Specific written instructions and
operating procedures will be furnished escorts prior to the shipment and
should include, but not necessarily be limited to, the following:
1. general unclassified outline of the mission;
2. name and address of persons, including alternates, to wham the clas-
sified matter is to be delivered;
3. receipting procedures;
4. means of transportation to be used and route to be used;
5. duties of each escort during movement, during stops en route, and
during loading and unloading operations; and
6. emergency and communication procedures.
C. Functions of An Escort. Escorts assigned for the protection of security
shipments shall do the following:
1. Escorts shall conduct themselves throughout each security shipment
operation in such manner that the security of matter entrusted to them will not
be prejudiced through carelessness, inadvertence, or lack of vigilance. Intoxi-
cants or drugs, which may impair their judgment, may not be used by escorts
while assigned to a security shipment.
2. Escorts shall possess identification cards as prescribed in paragraph 8
and carry them at all times, while having custody of security shipments.
These cards will be safeguarded, and the loss of a card will be reported
immediately to their company security supervisors.
3. Escorts shall accept custody for the shipment by signing a receipt
and release custody of the shipment to the consignee, after obtaining a receipt
from one of the consignee's employees who has been positively identified and who
is cleared to at least the same level as the classified shipment.
4. Escorts shall carry packages on their person, or in hand-carried
containers, until they are delivered to the consignee, whenever practical.
Such packages shall be kept under the constant surveillance of the escort who
shall be in a physical position to exercise direct security controls over the
material.
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5. When accompanying classified material in an express or freight car,
escorts shall provide continuous observation of the containers and observe
adjacent areas during stops or layovers.
6. When traveling in an escort car accompanying a security shipment via
rail, escorts shall keep the shipment cars under observation and detrain at
stops, when practical and time permits, in order to guard the shipment cars
and check the cars or containers locks and seals. The escort car (after
appropriate arrangements with the railroad) should be prepositioned immediately
behind the car used for the classified shipment, in order to enable the escort
to keep the shipment car under observation.
7. Escorts shall maintain liaison, as required, with train crews, other
railroad personnel, special police, and law enforcement agencies.
8. When escorting security shipments via motor vehicles, escorts shall
maintain continuous vigilance for the presence of conditions or situations which
might threaten the security of the cargo, take such action as circumstances might
require to avoid interference with continuous safe passage of the vehicle, check
seals and locks at each stop where time permits, and observe vehicles and adjacent
areas during stops or layovers.
9. When escorting shipments via aircraft, escorts shall provide continuous
observation of plane and cargo during ground stops and of cargo during loading
and unloading operations. The escort shall not enplane until after the cargo
area is secured. Furthermore, the escort should preferably be the first person
to deplane in order to observe the opening of the cargo area. Advance arrange-
ments with the airline are required.
10. Escorts shall notify the consignor by the fastest means available if
there is an unforeseen delay en route, an alternate route is used, or an
emergency occurs. If appropriate and the security of the shipment is
involved, also notify the nearest office of the FBI.
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Appendix X. REQUIREMENTS APPLICABLE TO THE HAND-CARRYING OF
CLASSIFIED MATERIAL ABOARD COMMERCIAL PASSENGER AIRCRAFT
A. General. The following requirements apply to the hand-carrying of
classified material aboard commercial passenger aircraft (also see paragraph
17). The hand-carrying of classified material aboard commercial passenger
aircraft shall only be authorized after a determination has been made that:
(i) a rare and unusual situation warrants such consideration, (ii) the
essential classified material is not available at the destination point of
the employee traveler, (iii) the material cannot be transmitted in suffi-
cient time by other authorized means essential to accomplish the purpose of
the visit, and (iv) the relative size, weight and physical configuration are
such that the material may be carried on the traveler's person or otherwise
qualify as carry-on baggage. Classified material shall not be hand-carried
across international boundaries except on regularly scheduled nonstop
flights on U.S. carriers between the U.S. Mainland and Alaska, Hawaii,
Puerto Rico, or U.S. possessions or as otherwise provided for by this
Manual.
B. Background. Federal Aviation Regulations require that all passengers
and their carry-on items be screened prior to boarding scheduled passenger
aircraft. The Department of Transportation, Federal Aviation Administration
(FAA) Advisory Circular (AC 108-3), titled "Screening of Persons Carrying
U.S. Classified Material," prescribes that individuals carrying classified
materials shall be screened in the same manner as other passengers except
when routine processing could subject the materials to compromise. If
routine processing is not feasible, special processing procedures must be
observed or the classified material may not be taken aboard the aircraft.
C. Routine Processing. Hand-held packages are normally screened by x-ray
examination. Items concealed on the person are subject to other electronic
screening devices. If by x-ray analysis, or any other method of security
screening, an airline security agent suspects that a parcel or envelope may
contain a weapon, explosive, incendiary, or dangerous object, the item must
undergo further scrutiny or the prospective passenger will be denied the
privilege of boarding with the material. As a general rule, however,
contractor personnel hand-carrying classified material in sealed envelopes
or small packages can be successfully processed by air carrier personnel at
a screening station. To avoid unforeseen problems, it would be prudent if
the employee carrying classified material possessed the identification and
travel documentation described in paragraph E, below. Sound judgment should
dictate whether such documentation need be prepared. When visual examina-
tion is or may be required to successfully screen a classified package,
when routine x-ray examination could subject classified material to damage
or compromise, or when other unusual circumstances exist, the special
processing procedures of paragraph G, below, apply. However, under no
circumstances may the classified material be opened by the employee traveler
or air carrier personnel.
D. Approval. Classified material shall not be hand-carried aboard
commercial passenger aircraft by contractor employees except as specified
by paragraph 17c(3). Each approval to hand-carry shall be recorded and
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maintained by the FSO for a period of 2 years. However, the special
authorization letter and company identification prescribed in paragraph E,
below, is not required if the contractor has reason to believe that classi-
fied material can be routinely processed successfully through air carrier
screening stations.
E. Authorization Letter and Identification Card. All contractor personnel
utilizing the special screening procedures of paragraph G, below, must
have written authorization to hand-carry classified material and possess a
picture identification card or badge meeting the requirements of paragraph 8.
If the traveler is the only employee assigned to a facility, or an air
carrier has cause to authenticate the traveler's courier authorization, the
CSO may be contacted to verify the authorization.
1. Traveling employees shall have the original written authorization
(a reproduced copy is not acceptable). However, a sufficient number of
authenticated copies must be available to provide a copy to each air carrier
involved. The written authorization may contain a printed (or typed)
endorsement for signature by the host security official at the destination
if a round trip with classified material is foreseen. In addition, the
written authorization shall:
a. be on letterhead stationery of the contractor authorizing the
hand-carrying of classified material;
b. provide the full name, date of birth, height, weight, and
signature of the traveler;
c. describe the type of identification the traveler will present
on request (for example, ABC Corporation picture badge, No. 1234);
d. Describe the material being hand-carried which is re-
quested to be exempt from opening (for example, three sealed packages,
9 1/2" x 12 1/2" x 2");
e. identify the points of departure, destination, and known
transfer points;
f. be dated and have an expiration date which may not exceed 7
days from the date of issuance; and
g. carry the name, telephone number, title, and signature of the
authorizing official and the name and telephone number of the facility's CSO.
2. The personal identification medium shall be an identification
card badge, or credential issued by the contractor showing, as a minimum,
the name and photograph of the employee traveler. The identification medium
shall also carry the name of the employing contractor or otherwise be marked
to denote "contractor."
3. When it appears an employee may be required to hand-carry classi-
fied material via commercial passenger aircraft on a return trip, and no
endorsable letter of authorization from the employing contractor exists, it
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will be necessary for an authorized security official at the activity being
visited to determine whether further hand-carrying is essential. Depending
on this determination, the host security official will: (i) provide a
letter of authorization on the host's letterhead stationery, (ii) comply
with the approval criteria prescribed in paragraph D, and (iii) make all
other arrangements necessary for the hand-carry mission.
F. Preparation for Transmission. Classified material to be hand-carried
shall be packaged as specified in paragraph 17 for material of the same
level of classification except as follows:
1. The packaging, together with the classified material contained
therein, shall, if possible, be of a thickness which facilitates physical
inspection at the airport's passenger screening station by flexing, feeling,
and weighing to preclude the need to visually examine the contents.
2. The packaging shall contain no bindings, paper clips, or other
metal which would inhibit processing through detection devices at the
airport.
3. Caution should be used in carrying film because x-ray equipment
used to inspect carry-on items will damage certain types of high speed and
sensitive film.
4. Any bulky item that requires screening will have a company ship-
ping label affixed to the outer casing, shell, wrapper, or other covering.
The label shall be signed by the same official who signed the letter of
authorization.
G. Special Processing. Travelers carrying classified material aboard
commercial passenger aircraft shall be processed through the air carrier
ticketing and boarding procedure in the same manner as all other passengers
except as follows:
1. If routine x-ray examination could subject the material to com-
promise or damage, perhaps by exposing film or revealing a classified
configuration, the contractor shall notify an official of the appropriate
air carrier in advance of the intended flight to explain the particular
circumstances and obtain instructions as to the special screening procedures
to be followed. The contractor should, if necessary, refer the air carrier
official to FAA Advisory Circular 108-3. The employee will be required to
produce company identification and proper authorization pursuant to para- ?
graph E, above. If satisfied with identification and letter of authoriza-
tion, the carrier representative should provide the employee passenger with
an escort to the screening station to authorize exemption of the classified
material from inspection.
2. If during routine screening of classified carry-on baggage air
carrier personnel are not satisfied with the results of the inspection, and
the prospective passenger is requested to open a classified package for
visual examination to overcome the impasse, the passenger shall: (i)
inform the person conducting the screening that the pertinent carry-on
items contain U.S. Government classified information and cannot be opened,
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(ii) present company identification and proper authorization pursuant to
paragraph E., above, (iii) refer the screening official to FAA Advisory
Circular 108-3, and (iv) request special dispensation from the advance
notification stipulation and ask that air carrier personnel telephonically
contact the contractor or the CSO to verify the hand-carry authorization.
The air carrier decision on such matters is final.
3. In rare instances, classified material may be in specialized con-
tainers which because of size, weight, or other physical characteristics may
require special processing consideration. Under such unique circumstances,
the procedures contained in paragraph 1, above, shall be followed.
4. On those occasions when a traveler does not have an authorization
letter or company identification, and there is sufficient time prior to
departure, the passenger may: (i) contact an air carrier ticket counter
agent, (ii) explain the circumstances, (iii) produce acceptable alternative
identification, and (iv) request special dispensation from the advance
notification stipulation and ask that the air carrier telephonically contact
the contractor authorizing official to verify the traveler's authorization
to hand-carry classified material.
5. If the special processing procedures of paragraphs 1 thru 4, above,
do not permit boarding with the classified package, the employee shall not
proceed further and shall arrange with the facility for alternate means of
transmitting the material. The passenger may not open or authorize the
opening of these carry-on items under any circumstances. Any instances in
which carry-on items have been opened shall be reported promptly to the FSO
who shall report the matter to the CSO.
H. Incident Situations. Pursuant to this appendix, and in the event a
contractor passenger is aboard a commercial passenger aircraft that is
hijacked to a foreign country, the employee shall adhere to the following
instructions:
1. Show appropriate civilian identification.
2. The employee shall not voluntarily reveal the existence of classi-
fied material nor draw attention to it.
3. If questioned or interrogated in a foreign country, common sense
and judgment will be used in making any response. If prudent under the
circumstances, the traveler shall attempt to maintain physical possession of
the classified material at all times.
4. If, at any time, a classified package could not be maintained
under the personal custody and control of the traveler, the package shall
be provided, unopened, to the FSO upon return to the U.S.
5. On return to the U.S., the traveler shall immediately report the
entire incident to the FSO who will report the matter to the CSO.
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I. Briefing. The employees hand-carrying classified material aboard
commercial passenger aircraft shall be briefed on their overall responsi-
bility to safeguard classified material, on the contents of this appendix,
and on the applicable portions of the contractor's SPP.
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Appendix XI. RESERVED
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Appendix XII. DOCUMENTS ACCEPTABLE FOR PROOF OF U.S. CITIZENSHIP
A. A BIRTH CERTIFICATE indicating the individual was BORN IN THE UNITED
STATES
B. A U.S. PASSPORT
C. A CERTIFICATE OF NATURALIZATION if the individual claims CITIZENSHIP BY
NATURALIZATION
D. "A Report of Birth Abroad of a Citizen of the United States of America"
(Form FS-240), a Certification of Birth (Form FS-545 or DS-1350), or a
CERTIFICATE OF CITIZENSHIP if CITIZENSHIP WAS ACQUIRED BY BIRTH ABROAD TO U.S.
CITIZEN PARENT OR PARENTS
E. If primary evidence of U.S. citizenship is not obtainable, then the best
available secondary evidence, showing that the individual was born in the
U.S., is required. Such evidence may include a combination of at least two of
the following: a baptismal certificate; a hospital birth record; evidence of
persons having personal knowledge of the facts of birth; or other documentary
evidence, such as U.S. military records, early census, school or family Bible
records, insurance papers, or newspaper files. The secondary evidence must be
adequate to support a "good faith" determination that the individual is in
fact a U.S. citizen. Secondary evidence submitted as proof of birth in the
U.S. shall be original or certified documents. Noncertified copies are not
acceptable.
The contractor will maintain a record as to which of the above documents were
sighted as proof of citizenship.
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Appendix XIII. GUIDANCE FOR CONTRACTOR SELF-INSPECTIONS
Each contractor is required to conduct a self-inspection program for eval-
uating all 3ecurity procedures applicable to the facility's operation, in
accordance with paragraph Sac. As a minimum, a contractor self-inspection
should include all elements normally inspected by the CSO. In order to assist
the contractor in assessing the security posture of his or her facility, the
following guideline questions used in part by CSO industrial security
representatives are provided:
A. Facility Clearance.
1. Are the appropriate DD Forms 441, 441-1, and 441s on file (see
paragraphs 21 and 73)?
2. Is the HOF/parent of the facility cleared or properly excluded (see
paragraphs 72 and 73)?
3. Are all necessary OODEPs and a legal quorum of the board of directors
or all members of an executive committee cleared (see paragraph 22)?
4. If all OODEPs are not cleared, have appropriate resolutions been
furnished to the CSO (see paragraph 22e)?
5. Have changes in the information previously reported on DD Forms 441s
been reported? (List changes which have occurred since the last inspection;
see paragraph 6a(4)f.)
6. Have all changes affecting the FCL been reported to the CSO, for
example, stock control, exclusion resolutions and changes of OODEPs (see
paragraph 6a(4)f)?
7. Has a statement been submitted by each RFI (see paragraphs 6a(4),
6b(5), and 20k)?
B. Access Authorizations.
1. Are records maintained of clearances issued by the DoD and the
facility, for example, records of DISCO Forms 560 and DD Forms 48-2 (see DISCO
Form 560, DD Form 48-2, and paragraph 28)?
2. Are the number of clearances held to the minimum consistent with
facility requirements (see paragraph 20)?
25)?
3. Are clearance applications made only after employment (see paragraph
4. Are interim clearance requests properly authorized and held to a
minimum (see paragraph 26c)?
5. Are all required information and forms furnished to DISCO (such as,
adverse information, DISCO Form 562, DD Form 48-2; as applicable)? (Explain
system and procedures for ensuring that adverse information is reported as
required; see paragraphs 6b and 24b.)
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6. Are personnel transfers in an MFO reported to DISCO (see paragraph
26e)?
7. Are contractor CONFIDENTIAL clearances granted by a contractor's
employee who is cleared by DoD (see paragraph 24a(1)(g))?
8. Have adequate procedures been established for the granting of
CONFIDENTIAL clearances by the contractor (see paragraph 24b)?
9. Are review procedures in effect to preclude errors/omissions on
clearance applications to DISCO (see paragraph 26a)?
10. Has the contractor elected to have LOC's issued to the HOF or to a
PMF (see paragraph 26j(2)?
II. Has the election to have LOC's issued to the HOF or PMF been included
in the SPP and approved by the CSO (see paragraph 26j(1)(2))?
12. Are cleared immigrant alien employees assigned overseas for more than
90 consecutive days during any 12-month period? Is a report of such assignment
submitted to DISCO (see paragraph 6b(6))?
C. Security Education.
1. Are procedures established for administering security briefings to
cleared employees prior to granting access to classified information (see
paragraph 5g)?
2. Are parts I and II of DISCO Form 482 or SF 189A been executed as
required (see paragraph 5g)?
3. Are refusals of employees to sign part II of DISCO Form 482 or SF
189A reported to the CSO (see paragraph 6b)?
4. Does the facility have an industrial security education program which
includes recurring security indoctrination of its cleared employees? (Briefly
explain how this program works; see paragraph 5f).
5. Does the contractor have a procedure for the conduct of a self-
inspection of its complete security program (see paragraph Sac)?
6. Has a procedure been established for evaluating the effectiveness of
the self-inspection program? (Describe in the narrative the procedures used
by the facility; see paragraph 5ac).
7. Is there an adequate procedure for ensuring personnel security admin-
istration and education for cleared personnel assigned to uncleared locations?
(Describe in narrative the procedure used; see paragraphs 26j and 73).
8. Are special security briefings and debriefings given, and are
records kept as required, for example, records pertaining to NATO and CNWDI
(see paragraphs 85 and 119)?
9. Does management support the facility's security program (see
paragraph 5s)?
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D. Standard Practice Procedure.
1. Is the SPP current and does it adequately implement ISM requirements
as they apply to the facility operations? Has a copy been given to the CSO?
(Provide date of SPP or of latest revision; see paragraph 5s).
2. Is the MPO or PMF SPP adapted to apply at operating locations (see
paragraph 73)?
E. Subcontracting.
1. Is the clearance status and safeguarding capability of the
subcontractor determined as required (see paragraphs 58a and 59b)?
2. Is notification of selection of the subcontractor furnished to the
contracting officer (see paragraph 62)?
3. Is written authority to disclose TOP SECRET information obtained from
the contracting officer (see paragraph 59a)?
4. Is adequate classification guidance applicable to subcontracts
extracted from the prime contract DD Form 254 and properly distributed to
prospective or actual subcontractors (see paragraph 60a)?
5. Are DD Forms 254 pertaining to subcontractors approved by the
contracting officer or, in the case of service contracts, by the prime
contractor (see paragraph 60b)?
6. Is retention of classified information by subcontractors approved by
the contracting officer (see paragraph 64)?
7. Are foreign classified subcontracts approved as required (see
paragraph 65)?
F. Visit Control. .
1. Is positive identification of visitors required and number of classi-
fied visitors held to a minimum (see paragraph 38a)?
2. Has action been taken to determine that the visiting contractor has
been granted the appropriate FCL (see paragraph 38a)?
3. Are visitor records maintained, and do they contain required
information (see paragraph 39)?
4. Are visitors escorted as required (see paragraph 38b)?
5. Are classified recordings, photos, and removal of classified
material authorized as required (see paragraph 38c)?
6. Are classified visits by Category 4 visitors specifically approved by
the UA (see paragraph 41d(1))?
7. Does the facility have proper procedures regarding Category 5
visitors; that is, briefings, debriefings, and reporting requirements (see
paragraph 41e)?
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8. Does the facility have long-term visitors? (If so, list by company
those abiding by the host SPP and those using the SPP of their HOF's; see
paragraph 40)
9. Are requests submitted in advance of visits and promptly canceled
when required (see paragraph 37f)?
10. Is immediate notification regarding any change of individual or
facility clearance status furnished to those activities which have received
current visit requests (see paragraph 370?
11. Are requests to visit U.S. Government activities routed via the
contracting officer when required (see paragraph 44)?
12. Are visit requests submitted to DISCO or OISI in connection with
foreign visits as appropriate, and is sufficient lead time allowed (see
paragraphs 48 and 49)?
13. Are NATO security clearance certificates furnished as requested (see
paragraphs 52 and 55)?
G. Classification.
1. Is the facility furnished adequate classification guidance and noti-
fication of biannual review (see paragraphs 10a and b)?
2. Are security classifications, including downgrading and declassifica-
tion instructions, applied to information in accordance with the applicable
classification guidance (see paragraph 10f)?
3. Does the contractor challenge classification and marking guidance
believed by him or her to be inadequate or erroneous (see paragraph 10e)?
4. Is security classification marking by the contractor supported by
adequate records (see paragraph 10f)?
5. Is the number of employees authorized to be responsible for the currency,
necessity, and accuracy of applied security classifications held to a minimum
(see paragraph 10f(4))?
6. Are security classification guidance and marking instructions ade-
quately disseminated within the facility (see paragraphs 10f and h)?
7. Are downgrading and declassification actions taken in accordance
with established schedules (see Appendix II)?
8. Are adequate classification guidance and marking instructions fur-
nished in connection with foreign classified contracts (see paragraph Ile)?
H. Employee Identification.
1. Are badges and identification cards properly controlled; do they
contain the required data (see paragraph 8a)?
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2. Are badges and/or cards designed to minimize tampering; are they
properly constructed (see paragraph 8a(4))?
3. Are new or revised badge or card systems reported to the CSO (see
paragraph 8c)?
4. Are visitor badges properly controlled (see paragraph 8b)?
5. How many badges and identification cards are lost or out of control?
What percent of the total issued? How long has current system been in effect
(no reference)?
6. Are badges and/or cards recovered as required (see paragraph 8a(5))?
I. Foreign Travel.
1. Are reports of foreign travel or attendance at international meetings
submitted to DISCO and/or the CSO (see paragraph 6b(9))?
2. How many reports were submitted since the last inspection (see
paragraph 5u)?
3. Are briefings given as required, and briefing forms retained for
required period of time (see paragraph 5u(2))?
4. Is classified information accounted for prior to each employee's
departure (see paragraph 5u)?
5. Have representatives of Designated countries visited the facility
since the last inspection, and what special security measures and briefings
were utilized in preparation? Were any problems encountered? (Explain.fully
in narrative; see paragraphs 5o, 5u, and 6a(19)).
J. Public Release.
1. Is public release of information pertaining to classified contracts
approved by the appropriate U.S. Government activity? (Indicate the number of
approved releases since last inspection, including contract number, nature of
release, and identification of approving authority; see paragraph 5o).
2. Is classified sales literature approved by contracting officer prior
to publication and distribution (see paragraph 5p)?
3. Is authorization for publication and distribution indicated on the
cover or the first page of document (see paragraph 5p)?
K. Classified Storage.
1. Are containers kept locked, when not under direct and continuous
surveillance by an authorized person (see paragraph 14c)?
2. Are the number of persons possessing knowledge of the combinations or
having access to contents cf containers held to a minimum (see paragraph 14)?
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3. When combinations to classified containers are placed in written
form, are they properly marked, stored, and accounted for .(see paragraph 5i)?
4. Are combinations changed by an authorized person (see paragraph 51)?
5. Are combination padlocks properly protected when the container is
open (see paragraph 5i)?
6. Are steel bars affixed to file cabinets in such a manner to preclude
surreptitious removal of classified information (see paragraph 14a(3)(d),
footnote 10)?
7. Are adequate supplemental controls established where required?
(Completely describe supplemental controls in effect at the time of
inspection. Fully identify those controls that are established for security
containers and those established for controlled areas. See question 9 below;
see paragraphs 14a(2) and (4)).
8. Are vaults and strongrooms properly constructed (see Appendix IV)?
9. Is classified waste properly protected (see paragraph 19f)?
10. Does the facility use alternate storage locations? (If so, give
full details, to include contracting officer's approval and location; see
paragraph 15).
11. Are security checks performed to ensure that classified material is
protected at all times (see paragraph 5j)?
12. Does the CSO have inspection responsibility for all classified material
and areas? (If not, give particulars as to how the CSO was relieved of
inspection responsibility and for what specific areas.)
L. Markings.
1. Are classified hardware and documents
properly marked (see paragraph
2. Is the date of origin, name, and address of facility placed on
documents (see paragraph 11b(1))?
5.
fication
6.
11c(2))?
Are portions of classified documents properly marked (see paragraph.
Are all additional markings applied as required (see paragraph
Is foreign classified information marked with U.S. equivalent classi-
marking (see paragraph 11e)?
Are rolled and/or folded documents marked as required (see paragraph
7. Are downgrading/declassification notations properly assigned and
completed (see paragraph 11b(7) and Appendix II)?
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M. Transmissions.
1. Is classified information properly prepared and transmitted outside
and within the facility (see paragraph 17)?
2. Is the FCL and safeguarding capability determined prior to dispatch
of classified information to other contractors (see paragraphs 58 and 59)?
3. Are messengers that handle classified material properly cleared (see
paragraph 17c(3))?
4. If vehicles are used for the delivery of classified material, is the
material kept under the constant surveillance of an appropriately cleared
employee (see paragraph 17h)?
5. Are procedures established and implemented for the proper receipt of
classified material by the facility (see paragraph 12e)?
6. Is written authorization for the transmittal of TOP SECRET informa-
tion obtained from the contracting officer (see paragraph 17b)?
7. Is export of U.S. classified material approved and accomplished on a
government-to-government basis (see paragraph 17e)?
8. Is the transmittal of classified information outside the U.S.,
Puerto Rico, or a U.S. possession or trust territory properly accomplished
(see paragraph 17e)?
9. Are classified shipmerfts made only in accordance with the ISM or
instructions from the contracting officer (see paragraph 17c(5))?
10. Is consignee given advance notice of classified shipment (see
paragraphs 17d(3)(d) and 17c(5)(d))?
11. Is the CSO notified of overdue classified shipments (see paragraphs
17d(3)(d) and 17c(5)(d))?
12. Are classified shipments properly inspected on receipt (see
paragraphs 12 and 17)?
13. Is classified information, which is hand-carried in connection with
visits, properly approved in advance, accounted for, and stored (see paragraph
17i)?
14. Are procedures established to preclude transmission of classified
information via unapproved communication circuits (see paragraph 17c(4))?
15. Is a suspense system maintained of receipts for classified trans-
mittals, and is adequate follow-up action taken, if receipts are not returned
(see paragraph 12g(3))?
16. Are procedures established for the hand-carrying of classified mate-
rial, for example, by commercial aircraft, (see paragraph 17 and Appendix X)?
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N. Classified Material Controls.
1. Have control stations been established? Indicate the number of
master stations and substations (see paragraph 12a).
2. Are complete records kept for classified material received and dis-
patched outside of the facility (see paragraphs 12a and c)?
3. Is accountability maintained for all TOP SECRET, SECRET, and CRYPTO
materials, including documents, hardware, and mock-ups, to permit their prompt
location (see paragraphs 12a and 12f(3))?
4. Are accountability and receipt and dispatch records retained for the
required time (see paragraphs 12a, 12c, and 19e)?
5. Are procedures established for accountability of TOP SECRET and
SECRET working material that is not promptly destroyed as classified waste
(see paragraph 12f)?
6. Are control station personnel cleared to the appropriate level and
knowledgeable of their responsibilities (see paragraph 5f and 12d)?
7. Are procedures established to ensure prompt reporting to the FSO and
investigation of each loss, compromise, or suspected compromise of classified
material and other security violations. (Indicate number of occurrences since
last inspection; tee paragraph 7.)
8. Is annual inventory and accounting made of TOP SECRET material?
(Indicate date of last inventory; see paragraphs 12b and 13g):
9. Are TOP SECRET documents controlled by access records, continuous
receipt system, number series, and copy numbers (see paragraph 13)?
10. Is access to classified material controlled on a need-to-know basis
(see paragraph 3bg and 5c)?
11. Are adequate procedures implemented to fully ensure the safeguarding
of classified material during its use (see paragraphs Sc, 5d, and 16)?
O. Controlled Areas.
1. Are closed areas properly constructed (see paragraph 34a)?
2. Are areas properly posted and approved by the CSO (see paragraphs
34a(4), 34b(3), and 34c)?
3. Are area entrances properly controlled, and is admittance granted on
a need-to-know basis (see paragraph 34)?
4. Are employees assigned to areas instructed to challenge unknown per-
sons in areas (see paragraph 34a(5))?
5. Is movement of classified material to and from areas properly
supervised (see paragraph 34a(2))?
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6. Are employee badges, cards, or access lists properly controlled and
kept current (see paragraphs 8a(5) and 34)?
7. Are visitors to areas properly controlled (see paragraphs 8b, 32,
and 34a)?
8. Are supplanting electromechanical access control devices properly
regulated (see paragraph 36a)?
9. Are guard patrols or supplanting alarm systems adequate for closed
areas during nonworking hours (see K-7 above and paragraphs 33b, 34a(3),-35,
and 36)?
10. Do subcontractors and their employees who operate and maintain alarm
systems have required personnel clearances? (List such subcontractors; see
paragraph 35a(1)(b))
11. Are alarm dispatch records properly executed and maintained (see
paragraph 35a(1)(c)5)?
12. Is the response time to an activated alarm 15 minutes or less (see
paragraph 35a(1)(c)4 and 35a(2))?
13. Does material, equipment, and installation meet federal and/or
Underwriter Lab's specifications (see paragraph 35b(1))?
14. If key-operated padlocks are used, have adequate procedures been
established for control of keys and locks (see paragraph 34a(3))?
P. Disposition.
1. Is a program established for the reduction of classified holdings
(see paragraph 19a)?
2. Is classified material (including waste) destroyed as soon as
practical (see paragraph 19a and 19c)?
3. Is classified material properly destroyed (that is, does destruction
process preclude reconstruction; see paragraphs 19c and 19f)?
4. Is burning the only approved method of destruction used by the facility?
(List methods of destruction, other than burning, which have been approved by
CSO; see paragraph 19c).
5. Are destruction records and certificates maintained as required (see
paragraph 19e)?
6. Is destruction authority obtained when required (see paragraph 19b)?
7. Is destruction performed and witnessed by appropriately cleared
personnel who are knowledgeable of their responsibilities (see paragraph 19d)?
8. Is destruction equipment leased or rented (see paragraph 19c)?
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9. If the answer to 8 is "yes," who operates the equipment, and how is
control of the material maintained (see paragraph 19c)?
10. Are procedures in effect to prevent access by uncleared employees
who operate equipment (see paragraph 10c)?
11. Is retention authority requested on final delivery of goods or
services or on complete termination of contract? (Explain how procedures are
verified and how facility accomplishes this; see paragraph 5m.)
Q. Reproduction.
1. Is reproduction held to the minimum required? Are reproduction facilities
properly designated, identified, and controlled (see paragraph 18)?
2. Are procedures in effect to restrict use of office reproduction
equipment for classified productions? (If so, explain; see paragraph 18.)
3. Has the facility developed a procedure for the use of office copy
machines in the reproduction of classified material (see paragraph 18)?
4. Are personnel thoroughly familiar with and following established
procedures when using office copy machines for reproduction of classified
material (see paragraphs 5f and 18)?
5.
18a)?
Is reproduction authorization obtained when required (see paragraph
6. Are reproduction records properly maintained (see paragraph 18c)?
7.
78)?
? 8.
originals
9.
paragraph
Are production control records properly maintained (see paragraph
Are copies or extracts of classified material marked the same as
(see paragraphs 18 and 18d)?
Do reproduction area controls prevent unauthorized access (see
79)?
10. Are overruns held
paragraph
11.
products
80a)?
to a minimum and properly accounted for (see
Are proofs and samples returned to the customer with finished
(see paragraphs 80b and 80d)?
12. Are classified waste containers identified and emptied at completion
of working hours (see paragraph 80c)?
13. Are plates and rubber blankets reused only on classified production
and safeguarded when not in use (see paragraph 80f)?
14. Are press rollers, and similar devices, properly cleaned after
classified run (see paragraph 80f)?
15. Are mailing lists properly protected (see paragraph 82)?
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DoD 5220.22-M
R. Classified Meetings.
1. Are meetings sponsored when required? Indicate the number of
meetings since last inspection (see paragraphs 5q(2), 5q(3), and 9).
2. Is attendance of foreign nationals or RFI's approved by sponsoring
activity (see paragraph 9b)?
3. Are classified meetings held at approved locations (see paragraph
9c)?
4. Has the contractor developed complete security procedures for the
safeguarding of classified material at the meeting (see paragraph 9d)?
5. Have the security procedures been submitted to the sponsoring
activity for approval (see paragraph 9d)?
6. Is attendance limited to persons properly cleared and having a need-
to-know (see paragraph 9d(1)(a))?
7. Is disclosure authority obtained from the contracting officer when
required, and is disclosure authority furnished to sponsoring activity (see
paragraph 9e)?
8. Is a copy of the classified presentation furnished to sponsoring and
contracting activity (see paragraph 9e)?
9. Are unsponsored contractor-conducted meetings properly controlled
(see paragraph 5q(1))?
10. Are requests to attend meetings properly certified and submitted to
contracting officer UA activity for certification of the employee's
need-to-know (see paragraph 9f)?
S. Consultants.
1. Are Type A Consultants properly briefed and certificates furnished
to CSO? Are all necessary reports including adverse information reports, made
as necessary, and on a timely basis (see paragraph 68)?
2. Are Type C Consultants properly briefed, and are controls stated in
letter agreements observed (see paragraph 70)?
T. AIS.
1. Does the facility process classified information an an AIS system?
(If so, what level?)
2. Has an AIS system security supervisor been appointed? (If so,
identify by name; see paragraph 103c.)
3. Has written approval been given by the CSO to operate the system?
(If "yes," list date of approval; see paragraph 103b.)
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4. Have AIS hardware configurations, system software, or operating
procedures/mode changed or been modified since the last inspection? (If
"yes," give detailed explanation; see paragraphs 103b and 106a.)
5. Is the AIS SPP current? (If "yes," give date of issue; see
paragraph 112d.)
6. Have the following provisions of section XIII, ISM, been satisfac-
torily implemented in the operation of the AIS?
a. Personnel controls (see paragraph 105)?
b. Physical controls (see paragraph 106)?
c. Clearance/declassification/destruction of all storage media
(see paragraphs 114, 115, and 116)?
d. Transmission line protection (see paragraph 109)?
e. Subcontracting provisions (see paragraph 110)?
f. Audit trails, logs, and activity and maintenance records (see
paragraph 111)?
U. COMSEC/CRYPTO.
1. Has a COMSEC custodian been appointed? (If so, list name and tele-
phone number; see paragraph 10a(1), CSISM.)
2. Has an alternate COMSEC custodian been appointed? (If so, list name
and telephone number; see paragraph 10a(1), CSISM.))
3. If appointed, are the COMSEC custodian and the alternate thoroughly
familiar with and performing the duties outlined for them in the CSISM (see
paragraph 12a, CSISM)?
4. Has a COMSEC account number been assigned? (If so, list the account
number.)
5. What is the highest level of COMSEC access required? (Check one:
TS S C)
6. Is COMSEC access required at the facility? (Briefly describe the
type of access, for example, install, maintain, or operate COMSEC or CRYPTO
equipments for the U.S. Government; operate communications link with the U.S.
Government; have access to the operational keying variables; and manufacture
or installation of keying material for COMSEC equipments.)
7. Does the facility have access to classified COMSEC information at
another location (see paragraph 16, CSISM)?
8. List the number of employees who are briefed for access to COMSEC
information (see paragraphs 16a aid 16c, CSISM).
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DoD 5220.22-M
9. Have employees authorized access to classified COMSEC information
been properly briefed by U.S. Government representatives and/or contractor
personnel (see paragraph 16, CSISM)?
10. Does the facility have copies of the CSISM, UA accounting instruc-
tion, and equipment operation manuals (see paragraph 2, CSISM)?
11. Does the facility SPP contain adequate procedures relative to COMSEC
requirements (see paragraph 3, CSISM)?
12. Are all COMSEC related reports submitted (see paragraph 24, CSISM)?
13. Has a COMSEC emergency plan been developed, which has the approval
of the CSO (see paragraph 23, CSISM)?
14. Has adequate classification guidance been furnished regarding COMSEC
information via a DD Form 254 (see paragraph le, CSISM)?
15. Have all disclosures of COMSEC information, whether to a subcontrac-
tor or other persons, been made only with the specific written approval of the
contracting officer (see paragraph 5, CSISM)?
16. Is all COMSEC information in the custody of the facility properly
marked and accounted for (see paragraph 2, ISM, and paragraph 17, CSISM)?
17. Are COMSEC and keying materials marked CRYPTO properly stored?
(Describe the type of storage facilities used whether GSA container, vault,
or other; see paragraph 18, CSISM.)
18. Are COMSEC and keying materials marked CRYPTO properly handled in
the work processing area(s)? (If areas are utilized, briefly describe the
characteristics of the area(s); see paragraph 19, CSISM.)
19. Are access lists properly posted (see paragraph 19, CSISM)?
20. Are adequate supplemental controls utilized, if necessary?
(Describe them; see paragraphs 18 and 20, CSISM.)
21. Is COMSEC and CRYPTO material properly disposed of? (Describe what
methods of destruction and disposition are used; see paragraph 19, ISM, and
22, CSISM.)
22. Does the facility operate a communications center for the U.S.
Government? Does it secure a communications circuit with the U.S. Government,
or between itself and another contractor (see paragraph 1, CSISM)?
23. Are COMSEC and keying materials marked "CRYPTO" properly trans-
mitted outside the facility (see paragraph 21, CSISM)?
V. International Operations.
1. Does the contractor have any cleared personnel assigned overseas?
If so, are they doing any of the follcving?
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-1-20.-1-1?M
a. Are they performing on a UA contract involving access to classi-
fied information overseas? (If "yes," include the number of personnel, the
location of their work, and a list of contract number(s).)
b. Are they performing on an FMS contract involving access to U.S.
classified information? (If "yes," indicate whether the access is provided
directly to contractor personnel overseas by a U.S. Government activity, or if
it is provided directly to contractor personnel by the foreign government for
whom the FMS contract was awarded.)
c. Are they performing on a purely commercial contract awarded directly
by the foreign government or one of its contractors, and access to either
foreign classified or U.S. classified information is involved? (If "yes" and
access is to U.S. classified information, determine how the U.S. classified
information was released to the foreign government, such as, released directly
by result of an export license, released by a third country with U.S. Govern-
ment approval, and the like.)
d. Are they engaged exclusively in sales and marketing activities?
(If "yes," identify what programs involve access to U.S. classified information
and what the authority is for discussing such classified sales and marketing
efforts with foreign nationals, such as U.S. Government approval, export
licenses, and trade agreements.)
2. Has the contractor developed an SPP sufficient to cover its overseas
operations when engaged in: (a) sales and marketing efforts involving U.S.
classified information, and/or (b) performance on a UA awarded classified
contract, including those contracts awarded under FMS? Does the SPP state the
prohibition against contractors transporting classified material across
international borders (see paragraph 5s)?
3. How many cleared employees are assigned overseas, and have they re-
ceived the required security briefing prior to overseas assignment? Are there
provisions for ensuring that employees receive an annual refresher briefing?
(Explain the procedures established for ensuring that an annual refresher
briefing is given; see paragraph 97.)
4. Has the contractor established a program for self-inspection of its
Overseas locations when the overseas location is engaged in work requiring
access to either U.S. classified information or foreign classified information
released to the contractor through U.S. Government channels? (Explain fully
in the narrative the procedures established; see paragraph 97.)
330
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OD Form 696
SAMPLE
FOR OFFICIAL USE ONLY When filled in
INDUSTRIAL SECURITY INSPECTION REPORT
DATE PREPARED tr Vnimee,
P-0
al
?1",l,. 070440114
honey Oct IF IMP
I. FACIUTY
NOME OFFICE lankly Organizaeonl
3. PARENT HOLDING COMPANY
....0a
ta.... o..)
.44....
12. fahilfrote
a. Name
a. Name
a. Name
b ADDRESS nem. cop. same a* came
b. ADDRESS (Strew. City. SW,. bit COW
b. ADDRESS anew. 0a. um. za cam
c. FSC NO.
4. FAOUTY SECURITY SUPERVISOR
S. FAOUTY CLEARANCE
a. NAME Wet Feu. ?AWN Mihail
b. TELEPHONE NO
liaidsafe sow ceile)
a. LEVEL
b. CLEARANCE DATE
(v vit".00)
C. CATEGORY OF
FACILITY
6. Rtat_Rs.H a PREVIOUS
(rrhoh.001
b CURRENT
C. NEXT
7. TYPE OF BUSINESS
S. TIME EXPENDED m.....1
9. ACCESS TO CLASSIFIED
MATERIAL SINCE
LAST INSPECTION
YES
NO
LEVEL DATE
(7. S. 0. Cl r??????oof
a.
TRAVEL
b
RESEARCH AND
PREPARATION
c.
INSPECTION
d
POST INSPECTION
(?...n. low eft )
1. POSSESSING
b. ACCESS ELSEWHERE
c. GRAPHIC ARTS
10. TOTAL
11. NUMBER Of U.S. EMPLOYEES CLEARED
d. NO ACCESS toe....)
NUMBER OF
EMPLOYEES
a. TOP
b. SECRET
c. CONFIDENTIAL
e. NO ACCESS wear office)
SECRET
(1) Government
(2) COm Indy
f NO ACCESS (Frew
9-
12. NUMBER
13. NUMBER OF IMMIGRANT AUENS CLEARED
14. SPECIFY NUMBER AND COUNTRY REPRESENTED BY EMPLOYEES
GRANTED REOPROCAL CLEARANCES.
_
OF AUENS
a SECRET
b CONFIDENTIAL
IS. INSPECTION ?
a SCOPE
b. RATING ASIGNED
C. RESULTS
NO DEF COS LOR MAJOR
SATISFACTORY UNSATISFACTORY
COMPLETE PARTIAL
16. ELEMENTS Of INSPECTION AND RATINGS ASSIGNED ?
MO. Mot Appkce**)
17. SAFEGUARDING ASIIJTY ?
(roe Pratt Seruet. Cenbilential or Newel
(5. Sorefactery, CI ? Unsabst way.
ALPHA
CODE
AREAS INSPECTED
RATINGSPREVIOUS
? RATING
a FOR DOCUMENTS
b. FOR HARDWARE
A .,
FACILITY CLEARANCE
IS.
APPROVED STORAGE FACIUTIES
NUFASER
II
ACCESS AUTHORIZATIONS
C
SECURITY EDUCATION
a. FSS CABINETS
0
STANDARD PRACTICE PROCEDURES
b. VAULTS
(1) CLASS A
E
SUBCONTRACTING
F
VISIT CONTROL
(2) CLASS B
G
CLASSIFICATION
(3) CLASS C
H
EMPLOYEE IDENTIFICATION
C. OTHER VAULTS
I
FOREIGN TRAVEL
d. STRONGROOMS
1
PUBLIC RELEASES
e. CABINET WITH BUILT-IN COMBINATION LOCK
K
CLASSIFIED STORAGE
I. CABINET WITH BAR AND PADLOCK
L
MARKINGS
g. DESK PEDESTAL INSERT
M
TRANSMISSION
a. RESTRICTED AREAS
N
CLASSIFIED MATERIAL CONTROLS
1. CLOSED AREAS
0
CONTROLLED AREAS
111. OTHER 000 PROGRAMS
P
DISPOSITION
I a. *AS& I___ j 0 DIFPP c. OTHER dna
Q
REPRODUCTION
R
CLASSIFIED MEETINGS
d. NO OF COMSEC ACCTS
S
CONSULTANTS
(1) NSA 1(2) AF
T
ADP
e. SPECIAL ACCESS PROGRAMS (hone)
U
COMSEC/CRYPTO
1(1) NATO 1 1(2) CNWDI 1 1(3) COMSEC
V
INTERNATIONAL OPERATIONS
f mumeift UNCLASSAiof D LOCATIOUS WITH CLE?klIf 0 CS1PlOvEES
g ISR NUMBER
? ? narrative type report *leen kr000ril rile ening., in ,terros /3 lii. and II Mall be accerneenned by tamp the -Reesares ' block on revere, tide. end .7 nesessery. cOMIntot C. ? separate sheet
Of Paver ahal attach to rho repOre the narrative re00, Mould be tennatteil tolnst.ae the Alen* Code NO MO are*
DO Form 696, JAN 87
eteinous *dawns are obsolete
331
I IAL USE ONLY (When filled on
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DD Form 696
Page Two
SAMPLE
FOR OFFICIAL USE ONLY (When filled in)
22. REMARKS 40.K.04.14.8.01, Ph. ,SM token. to deeoencoes
bel we tvereosseen of
'NOM. 10 4010410f Ofoff?f
mernmshed chow" hihechhh
0.04, hh^h? *how*. ihohfh
Me
E?fih?hh,.NI IlaWie Meseseerent end act?en .1 inv. owner
to Mlideren. ? steessesof "woe me hodthenew et the seetracteel Weeny pelteSe .
thduale homy Oho, 10,
hIPIChlin whole cerrechw melee Seeee 00 00.0.011 elPeOfer.seS
OullWasileng
ROSA ewe ast MOM*, theadd ime ROOM. e ? nvoweng pow/ow. eesserssef nerele it, If ROWE se ram howl .1 hehonhvi
Whoop laurdses lir )
wont kirampa ? wag* Wilily chw(rae)tf?at ropy movililell Confonwe en ? seasem Ant amps, whet. Perefides
?
21. SECURITY SPECIAUST(S)
a. NAME(S) bac own. Mosblb mean trot 4, 0,..FF
4
b SIGNATURE(S)
c TEAM INSPECTION
wax)
YES
?
= NO
22. REVIEWING OFFICIAL
a. NAME rwn. maw. mow,
b SIGNATURE
c DATE OF REVIEW
1004144001
runt try?????nwo
DO Form 696 Reverse, JAN 87
Previous 'batons are obsolete.
332
FOR OFFICIAL USE ONLY (When filled in)
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endix XIV
to
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333
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Continuation
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I
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Continuation
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H
_111,11
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NOTES:
In all instances foreign security classification systems are not exactly parallel to the U.S.
system and exact equivalent classifications can not 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.
"ATONAL" 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.
There is no Swedish security classification equivalent to U.S. CONFIDENTIAL. Accordingly, all
Swedish information or material received by the U.S. Government and classified HEMLIG will
be safeguarded as U.S. SECRET; U.S. information or material received by the Swedish Government
and classified CONFIDENTIAL will be safeguarded as HEMLIG.
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.III
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DoD 5220.22?M
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DoD 5220.22-M
Appendix XV. AREAS COVERED BY MTMC AND HOTLINE
NUMBERS TO BE USED FOR EMERGENCIES
The Bill of Lading of each shipment of classified material by a Commercial
Carrier must contain the HOTLINE telephone number for the appropriate MTMC
area. The areas covered and the HOTLINE numbers for the two commands are as
follows:
EASTERN AREA
Alabama, Arkansas, Connecticut, Delaware, District of Columbia, Florida,
Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland,
Massachusetts, Michigan, Minnesota, Mississippi, Missouri, New Hampshire, New
Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island,
South Carolina, Tennessee, Texas, Vermont, Virginia, West Virginia, and
Wisconsin.
Address Telephone No.
Commander, Military Traffic Commercial No: 201-858-6566
Management Command
Eastern Area ATTN: MTE-IN HOTLINE No: 800-524-0331
Bayonne, NJ 07002
New Jersey only: 800-624-1361
WESTERN AREA
Arizona, California, Colorado, Idaho, Montana, Nebraska, Nevada, New Mexico,
North Dakota, Oregon, South Dakota, Utah, Washington, and Wyoming.
Address Telephone No.
Commander, Military Traffic Commercial No: 415-466-3413
Management Command
Western Area ATTN: MTW-IN HOTLINE No: 800-331-1822
Oakland Army Base
Oakland, CA 94626 California only: 800-348-4639
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.1.. I I ' I i .
i
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DoD 5220.22?K
Appendix XVI. INDEX
Access, 3a, 20c, 31
Accountability records, 12a
For AIS storage media, 116a
ACDA:
Access Limited, 31.3
Classified information, 20c
Addressing mail and shipments, 17k
Administrative measures regarding security violations, 5aj
ADP System: (See "Automated Information System (AIS)")
Advance shipping notice, 17c(5)(d), 17d(3)(d)
Adverse clearance actions, 5e
Adverse information:
Reporting of, 5af, 6b(1)
Agreement, long-term visits, 40
AIS Security, definition of, 3c
Alarm systems:
Approval, 35c, 36c
Central control station, requirements for 35a(1)(c)
Direct connect, 35a(1)(a)
Material and installation, standards for, 35b
Purpose, 35a
Records, 35a(1)(c)5
Response time, 35a(1)(c)4, 35a(2)
Supplanting, 35a(1), 36a
Supplemental, 14a(2)(c), 14a(4)(c), 35a(2), 36b
Alien, 3d (see "Immigrant Alien," 3av)
Alternate storage locations:
Containers, 15d
General, 15a
Records, 15c
Security clearance requirements, 15b
APO mail channels, 17c(2), 17e(3)
Application software, definition of, 3d.1
Armed Forces Courier Sexvice, 17b, 17e(5)
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DoD 5220.22?M
Assistance and cooperation, 5aa
Atomic Energy RESTRICTED DATA (see "RESTRICTED DATA")
Authority, authorization for:
Alarm system, 35c
Alternate storage, 15a
Applying classification, 10d
Armed Forces Courier Service, 17b, 17e(5)
Classification guidance, subcontractors, 60b
Clearance Limitations, 20a
Controlled areas, 34c
Destruction, 19b
Disclosure at meetings, 5q, 9e
Electromechanical devices, 36c
Interim clearances, 26c
Licensing agreements, 21b
Methods of destruction, 19c
Public releases, 5o
Regrading of documents, lid
Releases:
between subsidiaries, 72b
intelligence information, 5c,
to foreign governments, 48a
Removal of material to residences, 14e
Reproduction, 18a
Retention of classified material, 51, 5m, 64
Sales literature, publishing of, 5p
Secure electrical transmissions, 17c(4), 17d(1)
Subcontracts:
from foreign contracts, 66
involving TOP SECRET, 59a
with foreign industry, 65
Termination of accountability, 12h
Transmitting:
material outside U.S., 17e
NATO material, 88c
TOP SECRET material, 5x, 13i, 17b
Use of special features of design on foreign contracts, 5h
Visits:
involving NATO information, 52
involving RESTRICTED DATA, 42
to contractors, 41
to User Agency activities, 43, 44, 45
Authorized persons,
Definition of, 3e
Automated Information System (AIS):
AIS security, definition, 3c
Applicability, 101
Application software, definition, 3d.1
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Approval, 5b, 103b, 112
Audit trails, 111
Clearance of media and equipment, 115
Computer facility, definition, 3u.1
Computer hardware, definition, 3u.2
Concurrent processing, 104.1
Declassification of media and equipment, 116
Definition of, 3b
Downgrading,. 114
Firmware definition, 3am
General requirements, 103
Modes of operation, 104
Objectives, 102
Personnel security, 105
Physical security, 106
Protected area, 3bp, 106e(4)
Protection of software and data, 108.1
Remote terminal, definition, 3bv
SPP, 103b, 112d
Standard Practice Procedure, 103b, 112d
Storage media controls, 108.1e
Subcontracting controls, 110
System Security Officer (SSO), 103c
definition, 3cj.1
System software, definition, 3ck
Transmission controls, 109
Upgrading, 113
Badges:
Clearance, color coding, 8a, 20f
Employees, 8a
Reporting, 8c
User Agency installations, 8d
Visitors, 8b
Bank, use of for storage, 15
Bankruptcy, reporting of, 6a(4)(e)
Bid material:
Destruction, 19a and b
Disposition of, 51
Publication and distribution of, 5p(2)
Unsolicited, lOg
Briefings (see "Security briefings")
Candidate Material, definition of, 3e
Carrier:
Custodian, 3ac, app. IX
Qualified, 3bs
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Carve-out definition, 3f.1
Central station alarm system, 35a(1), 35(b)(2)
Certificates:
Consultant, Type A, 68a
Destruction, 19e
Excluded parent, 72a
NATO briefing, 85d
NATO clearance, 55
Representatives of foreign interest statement, 20k
Charts, marking, 11c(2)
Citizenship, proof of, 5ae, app. XII
Classification authority, 3h, 10d
Classification equivalents, foreign, app. XIV
Classification guidance:
Biennial Review, 10b
Dissemination outside, CONUS, 10h
Distribution, required, 61
For subcontracts, 60
General, 10a
Responsibilities, Sad
Retention, 10c
Unsolicited bids, lOg
When issued, 10b
Classified contracts:
Definition of, 3i
Listing of, 5z
Reporting of unrelated material, 6a(18)
Classified information:
Access to:
ACDA, 24a(1)(d)
By non-U.S. citizens, 31
CNWDI, 118
Definition of, 3a
Emergency Higher Level Access, 20.1
Limitations, 31.3
Requirements for, 20
TOP SECRET, 13c
Definition of, 3k:
Evidence of mail tampering, 6a(11), 7
Loss, compromise, or suspected compromise, 7
Hand-carrying aboard commercial passenger aircraft, App. X
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Classified waste, 19f, 80c
Clearance (facility):
Additional Personnel, 24
Advertising, 20f
Associations, 22a
Certificate, foreign interests, 21a, app. I (para. L)
Colleges and Universities, 22d
Consultants, Type B, 69
Corporations, 22a
Definition, 3a1
Exclusion procedures, 22e
Executive committees, 22a(2), 22c(3), 22d(3)(b)
FOCI, 21c,
Licensing, patent, and trade secret agreements, 21b
Multiple facility, 73
Negotiators, 23
Non-profit organizations, 22a
OODEPS, 6a(4)(c), 22a(4), 22b(4), 22c(5), 22d(5)
Parent-subsidiary, 72
Partnerships, 22c
Personnel clearances required in connection with, 22
Processing Procedures, 21a
Records, 20i
Representatives of a foreign interest, 22f
Sole proprietorships, 22b
Security agreement, 21a
Temporary help suppliers, 74
Termination of, 5n
Verification of, 58a
Clearance (individuals):
Access, 20c, 31
Access limitations, 31.3
Additional personnel, 24
Administrative downgrading of TOP SECRET, 30
Administrative termination, 29
Adverse clearance actions, 5e
Advertising, 20f
Age limitations, 20b
Application for, 26a, 26c
Assurance, security:
application for, 99a
issuance of, 99a
termination of, 99a(5)
Concurrent, 26f
Contractor clearances, 24b
Conversion of, 27
DoD clearance, 24a
DOE, 26k
Emergency higher level access, 20.1
Foreign nationals, 31.2, 31.3
Formerly cleared, 261, 27
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Full investigative coverage, 20h
General information, 20, 26a
Granted by:
contractor, 24b
DoD, 24a
Guards, 20e
Immigrant aliens, 26b(2)(a), 31.1, 31.3
Interim clearances, 26c
Letter of Consent:
definition of, 3az.1
issuance of, 20j, 26j
overseas assignment, 96
reproduction of, 20f, 26j(1)(c)
Multiple facility, 20d, 20j, 26e
Name change, 6b(2),
Negotiators, 23
New clearances, 26b
Non-United States citizens, 31
Preemployment clearance action prohibited, 25
Reciprocal, 31.3
Records, 28
Reemployment, of cleared personnel, 26g
Reinstatement of TOP SECRET, 30
Representatives of foreign interest, 3bw, 20k, 22f
Required for:
colleges and universities, 22d
corporations, 22a
partnerships, 22c
sole proprietorships, 22b
Transfers, 26d, 26e
Withdrawal, interim clearances, 20m
Closed areas, 3m (also see "Controlled areas")
Closed vehicle, 3n
Cognizant security office, 3p, 4
Colleges and Universities, 3q
Combinations:
Access to, 14c
Changing, schedule for, 5i
Classifying, 5i
Door devices, 36b
Knowledge of, 14c
Padlocks, security, Si
Personnel authorized to change, 5i
Security enclosures, 36a(1)
Commercial Carrier, 17c(5), 17d(3)
Communications Intelligence, 3r
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COMMUNICATIONS SECURITY (COMSEC):
Access limited, 31.3
Briefing and debriefing, 5g
Clearances, 24a(2),
COMSEC supplement, 76
Definition, 38
Destruction, 19b
Transmission, 17j
Violations:
investigation of, 7d
reporting, 6a(3)
Complex, definition of, 3t
Compromise or suspected compromise:
Definition, 3u
Investigation of, 7
Reporting, 6a(2)
Computer Facility, definition of, 3u.1
Computer tapes, magnetic:
Declassification, 116a, 116b, 116c(3), 116c(4)
Marking, 11c(11)
CONFIDENTIAL material:
Claarances for access to, 24b,
Definition, 3v
Destroying, 19d
Preparation for transmission, 17a
Receipts, 12e(2)
Records, 12c
Release or transmission outside contractor's facility, 5x
Storage, 14a(5)
Supplemental controls, 14a(5)
Transmission outside a facility, 5x, 17d,
Transmission within a facility, 17a(3)
Consignee, 3w
Consignor, 3x
Constant Surveillance Service (CSS), 3x.1, 3cg, 3cm.1, 17d(3)(b)
Consultants:
Access to CNWDI, 122
Letter agreement, 70a, app. I(u)
Temporary help suppliers, 74f
Type A, 68
Type B, 69
Type C, 70
Under civil service procedures, 71
Containers (see "Storage")
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Continued classification after public release, 10i
Continental United States, definition of, 3y
Contract Security Classification Specification, 10a, 10b, 60, 61
Contracting officer, 3z
Contractor, definition of, 3aa
Contractor-granted clearances, 24b:
Administrative Termination of, 29a, 29b, 29j
Control station personnel, 12d
Control station records:
Accountability, 12a
Destruction, 19e
Inventory lists, 17i
Production, 12f
Production control, 78
Receipts, 12g
Receipts and dispatch, 12c
Reproduction, 18c
Controlled areas, 5r:
AIS protected area, 3bp, 10e(4)
Approval for, 34c
ADP system area controls, 107
Basis for, 33
Closed areas:
construction, 34a, app. V
definition, 3m
identifying, 34a(4)
nonworking hours, 34a(3)
working hours, 34a(2)
Reports, 6a(5), 34d
Restricted areas:
definition, 3bx
marking, 34b(3)
nonworking hours, 34b(2)
working hours, 34b(1)
Supplemental or supplanting controls (see "Alarm systems")
Cooperation, 5aa
Courier, 17c(3), app. X
Cover sheets, 11c(1), 11c(5)
Covering:
Documents in use, 16b
Equipment, 17a(1) Cc)
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Credentials:
Recovery of, 8a(5)
Verifying, 8a(6)
Critical Nuclear Weapons Design Information (CNWDI):
Access requirement, 118
Briefings, 119
Definition, 3o
Marking, 121
Policy, 117
Records, 120
Subcontracting and consultants, 122
Transmission outside facility, 123
CRYPTOGRAPHIC (CRYPTO):
Accounting for, 12a
Definition, 3ab
Inventory and accounting, 12b
Production of, 12f
Reproduction, 18a
Dates, required on classified material, 11b(1), 11c(15)
Declassification, definition of, 3ad, app. II
agit12221.ag, 116b
Delay in shipment, 6a(10), 17c(5)(d), 17d(3)(d)
DoD technical information dissemination activities, 5y
Design features, incorporation of, 5h
Designated countries, 5u(1)
Designated country relationships, 5v, 6b(14)
Designated country visits, 6a(19)
Destruction:
Authorization, 19b
Certificates, request for, 19e
Classified waste, 19f
Destroying official, 19d
Equipment approval, 19c
Inspection of equipment, 19c
Methods, 19c Records and certificates, 19e Rented or leased equipment,
.19c Reproduction materials, 80, 81 Requirement of, 19a Ribbons,
typewriter and ADP, 19f
Subcontractor employee, use of, 19d
Witness, 19d
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Determining need-to-know, 5f
Disclosures:
At meetings, 5q, 9e
Limitations on, 5c
Public, 5o
To subcontractors, 58a, 59
Disk and drum, declassifyinli, 116c(4)
Dispatch records, 12g
Disposition of classified material, 51
Documents:
Definition of, 3ah
Marking of, 11
Downgrade, definition, 3ai, app. II:
Clearances, TOP SECRET, 30
Electrical transmission, 17b, 17c(4), 17d(1), 109
Electromechanical devices:
Approval, 36c
Door devices, 36a(2)
Security enclosures, 36a(1)
Supplemental, 36b
Electronic devices:
Approval, 36c
Door devices, 36a(2)
Security enclosures, 36a(1)
Emergency Higher Level Access, 20.1
Emergency procedures, 5w
Employee badges, 8a
Energy Department (DOE) facilities, visits to, 46
Escorts:
For AIS maintenance, 105d
For transmission, 17c(3), app. IX
For visitors, 38b
Espionage and Sabotage Acts, app. VI
Evidence of tampered mail, 6a(11), 7
Exclusion of personnel:
From clearance requirement, 22e
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Executive committee, 22a(2), 22c(3), 22d(3)(b)
Executive personnel, 3aj
Export Licenses:
Unclassified technical data, 41d(3)
3ak
Facility security clearance, al, (see "Clearance")
Facility security supervisor, 5a
FBI, reporting to, 7b(1)
File folders, marking of, 11c(5)
Files, classified, 11c(5)
Fingerprints, 26a(4), 26a(5),
Firmware, definition of, 3am
Foreign:
Classification equivalents, app. XIV
Classified contracts, app. III
Government information, definition of,
Interest, 3ao
Marking foreign classified material,
Nationals, 3ap, 31,2, 31.3
Ownership, control, and influence, 21c, 72a,
Representatives of foreign interest, 3bw
Travel, 5u, 6b(9)
3an
lie, 11b(5)(a), 11b(8)(e), 11b(8)(f)
FORMERLY RESTRICTED DATA:
Access limited, 31.3
Definition, 3aq
Dissemination, 171
Marking, 11b(8)(b)
General requirements, 5
Graphic arts, definition of,
Groups of documents, 11c(5)
Guards:
Clearance of, 20e
Emergencies, use of
Entry Control:
closed areas, 34a
facility complex,
meetings, 9d(4)
3ar (also
app. I (para. L)
see "Reproduction")
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room, building, structure, 14a(2)(a), 14a(4)(a)
' safe deposits area, 15d
Patrols:
of closed areas, 34a(3)
of room, building, structure, 14a(2)(b), 14a(4)(b)
of strongrooms, 14a(3)(f)
Response to alarms, 35a(1), 35a(2)
Subcontract:
Destruction of CONFIDENTIAL waste, 19f
Witness to destruction, 19d
Guidance for contractor self-inspections, app. XIII
Guides, classification, 10a, 58
Hand-Carrying Classified Material Aboard Commercial Passenger
Aircraft, App. X
Hardened container, 3as, 17a(2)(a)
Hardware, Computer, definition of, 3u.2
Home office (HOF), 3au
Immigrant alien:
Access Limitations, 31.3
Clearance of, 31.1
Definition of, 3av
Justification and approval for clearance, 31.1
Limitations, 118
Visiting overseas, 6b(6)
Identifying facility of origin, 11b(1)
Individual responsibility for safeguarding, 5f
Information, definition of, 3ax
Inspections, Sac, 5ag
Intelligence, 3az
"International Traffic in Arms Regulation", 21b, 41d, 48a(3), 48b, 50, app.
VII
Interpretations, requests for, 4
Inventory, in connection with visits, 17i
Inventory and accounting of classified material, 12b
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Investigations:
By contractors, 7
By U.S. Government representatives, 5aa
Investigative assistance, 5aa
Justification for Personnel Security Clearance:
Additional LOCs, 26j(2)(b)
Clearance conversions, 27d(2)
Clearance transfers, 26d:
MFO, 26e(1)(b), 29e(2)(b), 26e(3)(b)
Concurrent clearances, 26f(1)
Contractor granted, 24b(2), 24b(4)
DOE and NRC clearances, 26k
Example of form, App. I, para. J
New clearances, 26b(4)
Reemployment, 26g, 29i
Reinstatement, 30b
Requirements:
management review, 20a
completion of form, 26a(6)
Retention, 20a
Termination:
subsequent access, 29g
Legends, markings, 11c(2)
Letter of Consent (LOC), 3az.1, 20f, 20h, 20j, 20.1, 26f, 26g, 26j
Letters of transmittal, 11c(13)
Limitations on:
Access to classified information, 20c, 31.3
Destruction, 19b
PCL's, 20a
Reproduction, 18a, 87a
Limited Access Authorization (LAA)
Definition, 3az.2
Immigrant Alien processing, 31.1
Foreign national processing, 31.2
List of classified contracts, 5z
List of OODEPs, 6a(4)(c), 22a(4), 22b(4), 22c(5), 22d(5)
Location of meeting!, 9c
Locked Entrance:
Closed areas, 34a(2)(b), 34a(3)
Definition, 3ba
Room, building, structure, 14a(2)(a), 14a(4)(a)
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Long-term visitors, 40
Machine accounting cards, marking of, 11c(3)
Machine listings, marking of, 11c(4)
Magnetic tapes, degaussing, 116b, 116c(3), 116c(4)
Maps, marking of, 11c(2)
Markings:
Artwork, 11c(1)
ADP produced document, 11c(4)
ADP punched cards, 11c(3)
Automatic downgrading or declassification actions, 11d(1)
Blankets, 80f(2)
Charts, 11c(2)
Compilations, hg
Components, 11b(4)
Containers (transmission), 17a(1)(e), 17a(2)(b)
CNWDI, 121
DTIC documents, lid
Dissemination and reproduction notices, 11b(8)(d)
Downgrading and declassification, "Classified by" notice, 11b(7), app. II B2
Drawings, 11c(2)
Files, folders, or groups of documents, 11c(5)
Foreign classified material, 11b(5)(a), 11b(8)(e), Ile
Foreign government information, 11b(8)(e)
FORMERLY RESTRICTED DATA notation, 11b(8)(b), app. II
General, Ila
Identification, 11b(1)
Intelligence sources or methods of notation, 11b(8)(c)
Linecasting machines, 79b
Maps, 11c(2)
Messages, 11c(6), app. II
Microforms, 11c(7)
Miscellaneous material, 11c(16)
Motion picture films, 11c(8)
NATO extracts, Ilb(8)(f)
Origination date, 11b(1),'
Other than automatic downgrading or declassification action, 11d(2)
Overall, 11b(2)
Overlays, 11c(1)
Pages, 11b(3)
Photocomposition machines, 79b
Photographs, 11c(9)
Plates, reproduction, 80f(3)
Portions, 11b(5)
Presses, reproduction, 79a
Production control records, 78
Punched cards, 11c(3).
Recordings (sound, magnetic, electronic, and other), 11c(10)
Regraded documents and material, lid
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Removable ADP and word processing storage media, 11c(11)
RESTRICTED DATA notation, 11b(8)(a), app. II
Rolled or folded documents, 11c(2)
Subjects and titles, 11b(6)
Tentative, 10g(2)
Titles, 11b(6)
Tracings, 11c(2)
Translations, 11c(12)
Transmittals, 11c(13)
Transparencies and slides, 11c(14)
Upgrading, 11d(3)
Wholly unclassified material, llf
Working papers, 11c(15)
Material, 3bb
Mechanical Devices:
Approval, 36c
Door Devices, 36a(2)
Security enclosures, 36a(1)
Meetings:
Disclosure at:
Contractor facilities, 5q(1), 5q(3)
DoD, 5q(2)
Other User Agencies, 5q(4)
DoD sponsorship:
attendance of foreign nationals or representatives of a foreign
interest, 9b
location, 9c
requests for, 9a
requests for disclosure authority, 9e
requests to attend, 9f
security procedures, 9d
Multiple facility organizations:
Classification guidance, 73c
Clearance records, 28
Collocated facilities, 72c
Concurrent clearances, 20j, 26f
Definition of, 3bc
Exchange of employee rosters, 37g
Interchange of classified information, 72c, 73b
Insurance of LOC's, 26j(2)
Personnel clearances, 20d, 73d
Principal Management Facility (PMP), 3bo
Security clearance administration, 73e
SPP, 5s(1), 72c, 73a
Transfers, 26e
Visits between, 72c, 73
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National of U.S., 3bd
NATO
classified information:
Access record, 85b
Authority, 84
Briefing, 85c, 85d
Certificate of security clearance, 55
Clearances, 24a(1)(c), 86
Combination, changing of, 5i
Contracting officer functions, 89
Definition of, 3bf
Disposition, 19b, 19c
Marking, 87b
Reporting receipt of, 90
Reproduction, 87a
Security supervisor, 85a
Subcontracting, 91
Transmission:
outside U.S., 88c, 88d
within U.S., 88b
Visits involving, 52, 53
Visits records, 54
Need-to-know, definition of, 3bg
Negotiator, definition of, 3bh
Notations:
Dissemination and reproduction,
Downgrading or declassification,
Foreign government information,
FORMERLY RESTRICTED DATA, 11b(8)
Intelligence sources and methods
NATO information, 11b(8)(f)
RESTRICTED DATA, 11b(8)(a), app.
11b(8) (d)
11b(7), app. II
11b(8)(e), lie
(b), app. II
, 11b(8)(c)
II
Notification of Postal Authorities, 6a(11), 7
Nuclear Weapon Security Program, 3bi, 20c,
Office of Industrial Security, International, 95
Officers, definition of, 3bj
Operations Security (OPSEC):
Applicability, 126
Contractor requirements, 5ai
Definition, 3bk.1
EEFI, 3ai.1
General, 125
Indicators, 3bk.2
Purpose, 124
Scope, lh
Self-inspecting procedures, 127
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Orientation of personnel, 5f, 5g
Overseas operations,
Access to U.S. classified information:
general, 92, 93
notification of overseas assignment, 96
overseas assistance, 95
Safeguarding U.S. classified information, 96:
custody and storage, 94c
disclosure, 94d
security classification guidance, 94a
transmission, 94b
Security briefings and certificates, 97
Access to classified information of foreign governments and international
pact organizations under a security assurance:
general, 98
security assurance, 99
Parent, definition of, 3b1.1
Parent-subsidiary:
Clearance requirements, 72a
Collocation of facilities, 72c
Exclusion action, 72a
Interchange of classified information, 72b
Patentable material, 5m(1)(b)
Patrols, patrolling:
Closed areas, 34a(3)
Facility complex, 14a(4)(b)
Rooms, buildings, structures, 14a(2)(b), 14a(4)(b)
Strongrooms, 14a(3)(f)
Personnel:
Clearance (see "Clearance (individuals)")
Exclusion, 5e
Identification, 8
Suspected compromise, investigation of, 7
Personnel Security Clearance (PCL), 3bm
Possessions, 3bn
Preemployment Clearance Application -- Prohibited, 25
Principal management facility (PMF), 3bo, 73
Printing (see "reproduction")
Production of classified materials:
Incorporation of, 12f(4)
Other material, 12f(3)
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SECRET documents, 12f(2)
TOP SECRET, CRYPTO, and special access documents, 12f(1)
Protected area, definition, 3bp
Protective Security Service, 3bq, 3cq, 3cm.1, 17a(2)(b), 17a(2)(d), 17c(5)(b)
Public disclosure, 5o (also see "Disclosure")
Pulping (for destruction), 19c
Qualified carrier, 3bs, 17c(5)
Receipts:
? Inner containers, inclusion, 12g(2), 17a(1)
Obtained during visits, 17i
Retention of, 12g(3)
Signing and return of, 12e(2)
Suspense file and follow-up, 12g(3)
Within a facility, 13d
Receipt and dispatch records, 12c
Receipt and classified material, 12e
Reciprocal Clearance
Access limitations, 31.3
Record of:
Accountability, 12a
Alternate storage facilities, 15c
Badges and identification cards, 8a(5)
Citizenship, app. XII
Clearances, 28
Combinations, knowledge of, 14c
Control cards, electronic, 36a(1)(a), 36b
Control station personnel, 12d
CNWDI, personnel having access to, 120
Destruction, 19e
Discussions and photographs, 38c
Dispatch of classified material, 12g
Inventory and accounting, 12b
Inventory, visits, 171
NATO access, 85b
NATO visits, 54
Production control, 78
Production of classified material, 12f
Receipt and dispatch, 12c
Receipt of classified material, 12e
Reproduction, 18c
Retention of, 5m
Termination of accountability, 12h
TOP SECRET access, 13a
Visitors, 39
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Reference material, 3bt
Registry, central, 87a, 90
Regrading:
Authority, app. II
Definition of, 3bu
Marking, lid
Release of classified information, 5x
Removal of classified material to residence, 14e
Reports, reporting:
Adverse information, 6b(1)
Assignment of immigrant aliens, 6b(6)
Attendance at meetings, 5u(1), 6b(9)
Authorization to apply classifications, 6a(14)
Badges and identification cards, 6a(13)
Category of classified information, 6a(8)
Changed conditions, 6a(4)
Change in closed or restricted area, 6a(5)
Change in employee's status, 6b(2)
Change in storage capability, 6a(6)
Citizenship by naturalization, 6b(7)
Delay in shipment, 6a(10)
Employee information in compromise cases, 6a(7)
Employees desiring not to perform on classified work, 6b(10)
Espionage, sabotage, or subversive activities, 6a(1), 6c
Evidence of tampering, 6a(11)
Foreign classified contracts, 6a(17)
Improper shipment, 6a(12)
Inability to safeguard classified material, 6a(16)
Location or disposition of classified material, terminated from
accountability, 6a(15)
Loss, compromise, or suspected compromise, 6a(2), 6a, 7
Official investigation, 6b(3)
Other security violations, 6a(3)
Preliminary inquiry, 7d
Receipt of classified information not related to a classified
contract, 6a(18)
Relationships in Designated countries, 5v, 6b(4)
Representative of a foreign interest, 6a(4)(d), 6b(5)
Termination of business, 6a(4)(e)
Termination statement, 6a(9)
Travel or attendance at meetings, 5u(1), 6b(9)
Visits by Designated country representatives or nationals, 6a(19)
Representatives of a foreign interest, 3bw, 20k, 22f
Reproduction:
Area controls:
bindery areas, 79c
composition areas, 79b
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darkrooms, 79d
pressrooms, 79a
proofreading areas, 79e
shipping entrances, 79f
Authorizations for, 18a
Blankets, rubber, 80f(2)
Blankets, other than rubber, 80f(3)
Bulk shipments, 80e
Designation of equipment, 18
Destruction, special requirements, 81
Identification of:
linecasting machines, 79b
photocomposition machines, 79b
presses, 79a
Mailing lists:
classified, 82a
related material, 82a
unclassified, 82b
Overruns, 80a
Plates, 80f(3)
Press, parts of, 80f(4)
Production material, 80f(1)
Proofs, 80b
Records:
control stations, 18c
production control, 78
Regraining of plates, 80f(3)
Samples, return of, 80d
Waste, disposal of, 80c
Restricted Area, bx (see "Controlled areas")
RESTRICTED DATA:
Access limited, 31.3
Clearance for access to, 24a(1)(a)
Definition of, 3by
Dissemination, 171
Marking, 11b(8)(a), app. II
Violations involving, 7d
Visits involving, 42, 46, 47
Retention of classified material:
By subcontractors, 64
General, 5m, 10c
Return of classified material, 51, 64,
Return of samples, 80d
Safeguarding:
General, 5d
Individual responsibility, 5f
Verification of, 59b
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Safeguarding U.S. information overseas:
Custody, 94c
Disclosure, 94d
Storage, 94c
Transmissions, 94b
Safeguards during use, 16
Sales literature,.
SECRET
SECRET material/information:
Accounting for, 12a
Authority for:
disclosure at meetings, 9e
removal to residence, 14e
reproduction, 18a
transmission, 17e
Clearance for access to, 24a, 26c
Definition, 3bz
Destruction of, 19d, 19e
Inventory and accounting, 12b
Preparation for transmission, 17a
Production of, 12f
Receipts for, 12g, 17a
Release or transmission outside contractor's facility, 5x
Storage:
containers, 14a(3)
supplemental controls, 14a(4)
Transmission:
by commercial carrier, 17a(2)
outside a facility, 17c
outside U.S., 17e
preparation for, 17a(1)
within a facility, 17f
Security, agreement:
Execution of, 21
Termination of, 5n
Security briefings and debriefings:
COMSEC, 5g
CNWDI, 119
Defensive, 5u, app. VII
Destruction, official, 19d
Individual responsibilities, 5f, app. VII
NATO, 85c
Overseas assignment, 96
Refresher, 97c, 97d
Security briefing and certificates, overseas, 97
Security briefing and termination, 5g
TOP SECRET, 5g, 13b
Visitors, Category 5, 41e
Visitor escorts, 38b
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Security checks, 5j
Security cognizance, id, 3cc
Security, definition of, 3cb
Security education, 5f
Security enclosures, 36a(1)
Security inspections, 5ac, 5ag
Security of combinations, 51
Security supervisor (see "Facility security supervisor"), 5a
Security violations, 5aj, 6b(1)
Self-inspection, Sac
SENSITIVE COMPARTMENTED INFORMATION:
Clearances, 24a(1)(a), 75d
Contracts, 75b, 75c
Definition of, 3cd
Shipments:
Bulk, 80e
Notification of consignee, 17c(5)(d)
SECRET, controlled, 3ca
Shipper, 3ce
Short title, 3cf
Shredders, 19c
Signature and Tally Record, definition of, 3cg
Single line service, 3ch
Special access programs, 3ci, 5t
Special features of design, 5h
Standard Practice Procedures,
AIS, 112d
Annual visits at uncleared locations, 73a
Collocated facilities, 72a
Destruction procedures, 19c(4)
Emergency procedures, 5w
Limiting PCL's, 20a
Security controls in multiple facility organizations, 73
Security procedures of overseas locations, 97e
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Standards, Underwriters' Laboratories, 35b
Storage:
Alternate storage locations, 15
Bulky material, 14b
Classified waste, 19f
CONFIDENTIAL material, 14a(5)
Desk pedestals, 14a(3)(g)
En route to destination, 17h
GSA approved cabinets, 14a(1), 14a(3)(a)
Lock bar, security of, 14a(3)(g)
Overseas, 94c
Private residence, 14e
Protection during nonworking hours, 14d
SECRET material, 14a(3), I4a(4)
Steel file cabinets, 14a(3)(d)
Supervision of containers, 14c
Supplemental controls for:
SECRET material, 14a(4)
TOP SECRET material, 14a(2)
TOP SECRET material, 14a(1)
Vaults:
Class A, 14a(1), app. IV
Class B, 14a(3)(b), app. IV
Class C, 14a(3)(e), app. IV
Strongrooms, 14a(3)(f), app. IV (para. F)
Subcontractors, vendors and suppliers:
Approval of requests from, 56
Badging of, 8a(7)
Classification guidance, 60
Clearance status of, 58
CNWDI access, 122
Disclosure of TOP SECRET material to, 59a
Disposition of classified information, 64
Distribution of guidance, 61
NATO access, 91
Safeguarding ability of, 59
Selection, notification of, 62
Subcontracting on foreign contracts, 66
Subcontracting with foreign industry, 65
Telephone requests, regarding, 59b(4)
Unsatisfactory conditions at, 63
Visit requests for, 41a(3)
Subsidiary, 3cj
Supplanting alarm systems, 35a(1)
Supplemental alarm systems, 35a(2)
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Symposium involving classified material, 5m(2)
System Security Officer (SSO), 3cj.1
System Software, 3ck
Temporary help suppliers, 5ab, 74
Tentative markings, 10g(2)
Termination of accountability, 12h
TOP SECRET:
Access, general, 113b, 13g
Access by employees working alone, 13c
Access records, 13a
Accounting for, 12a, 13f
Authority for:
disclosure at meetings, 9e
disclosure to subcontractors, 59a, 13k
removal to residence, 14e
reproduction, 13i, 18a,
transmission, 13j, 17b Clearance for access to, 26b
Control station personnel, 12d
Definition of, 3c1
Deliveries, 13g
Destruction of, 19e
Dissemination, 13d
Inventory and accounting, 12b, 13f, 13h
Preparation for transmission, 17a
Production of, 12f
Receipts for, 12g(2), 13e, 17a
Release or transmission outside contractor's facility, 5x
Reproduction, 13i
Security assurance, issuance of, 99b
Special requirements, 13
Storage:
containers, 14a(1)
supplemental controls, 14a(2)
Transmission:
method, 17b
preparation for, 17a(1)
within a facility, 17f
Violation, involving, 7b
Transmission:
Aboard aircraft, 17h, app. X
Additional protection during visits, 171
Additional requirements, commercial carriers, 17a(2)
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Addressing mail or shipment, 17k
Commercial carrier, 17d(3)
Definition of, 3cm
Electrical, 17b, 17c(4), 17d(1), 109
Inspection of classified mail and shipments, 12e,
Method of transmitting:
COMSEC material, 17j
CONFIDENTIAL material outside facility, 17d
CNWDI, 123
NATO material, 88
outside U.S. and possessions, 17e, 94b
SECRET material outside of facility, 17c
SECRET and CONFIDENTIAL material within a facility, 17f
TOP SECRET material outside facility, 17b
TOP SECRET material within facility, 17f
Notification of consignee, 17c(5)(d)
Preparation for:
CNWDI, 123
outside a facility, 17a(1)
within a facility, 17a(3)
Protection en route, 17h Procedures for, 5k
Report of evidence of tampering, 6a(11)
Restriction for RESTRICTED DATA, 171
Transportation Protection Service (TPS), 3cm.1
Transshipping, 3cn, 17c(5)(d)
Trust territory, definition of, 3co
Type A Consultants, 68
Type B Consultants, 69
Type C Consultant's, 70
Unauthorized persons, 3cp
United States, definition of, 3cq
Upgrade, definition of, 3cr
User Agencies, 3cs
Vaults and strongrooms:
Class A, 14a(1), app. IV
Class B, 14a(3)(b), app. IV
Class C, 14a(3)(e), app. IV
Verification of facility clearances, 58
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Verification of facility safeguarding and storage, 59b(4)
Visitor badges, 8b
Visits:
Advance notice, 37d
Authority for, 37e(4)
Carrying classified material on, 17e, 17f
Category 1, 41a
Category 2, 41b
Category 3, 41c
Category 4, 41d
Category 5, 41e
Control of, 38b
Criteria for approval, 37b
Disapproval notice, 37c
Escorts, 38b
Export license, 41d(3)
Facility clearance, verification of, 38a
Identification of visitor, 38a
Industrial security representatives, 37h
Involving RESTRICTED DATA, 42
Long-term, 40
Multiple facility organization, 73
NATO visits:
clearance certificate, 55
definition of, 39b
records of, 54
recurring, 52d
NPLO programs; 53
Processing time, 49
Recordings and discussion, 38c
Records of, 39
Recurring, 37f
Removal of classified material, 38d
Reporting Designated country visits, 6a(19)
Requests, contents of, 37d, 41
Telephone requests regarding, 37d
Under bilateral agreements, 51
Use of OISI for, 50
Visits to:
DOE and its contractors, 46
Foreign government and activities, 48
Government activities other than DOE, 47
User Agencies in the U.S., 44
User Agencies outside the U.S., 45
Waste material, 19f, 80c
Weapon system, definition of, 3ct
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Witnesses for destruction, 19d
Word processing system, definition of, 3cu, section XIII
Working hours, definition of, 14a(2)
Working papers, 11c(15), 12f
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