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DOD MANUAL

Document Type: 
CREST
Collection: 
General CIA Records
Document Number (FOIA) /ESDN (CREST): 
CIA-RDP94B01041R000300040001-2
Release Decision: 
RIFPUB
Original Classification: 
K
Document Page Count: 
269
Document Creation Date: 
December 12, 2016
Document Release Date: 
April 26, 2002
Sequence Number: 
1
Case Number: 
Publication Date: 
October 3, 1977
Content Type: 
REQ
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PDF icon CIA-RDP94B01041R000300040001-2.pdf16.99 MB
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Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030W9Q 9.22-M OSD review(s) completed. DEFENSE LOGISTICS AGENCY HEAQUARTERS CAMERON STATION ALEXANDRIA, VIRGINIA 22314 This manual is issued under the directional authority of, and in accordance with Depart- ment of Defense Directive 5220.22, Department of Defense Industrial Security Program. It establishes uniform security practices within industrial plants, educational institu- tions, and all organizations and facilities used by prime and subcontractors having classi- fied information of the Department of Defense, certain other Executive Departments and Agencies, or certain foreign governments. Users of this publication are encouraged to submit recommended changes and comments to improve the publication, through channels, to HQ DLA, ATTN : DLA-N. This revision is required by the demands of national security as determined by the Gov- ernment. It is issued pursuant to and constitutes notice prescribed by section 1A (i) of the Department of Defense Security Agreement (DD Form 441), and section 1A of the De- partment of Defense Transportation Security Agreement (DLA Form 1149). This manual shall be effective 3 October 1977. J. McALEER, JR. Colonel, USA Staff Director, Administration DISTRIBUTION Defense Logistics Agency: 2 less DPDOs Army : Active Army: To be distributed in accordance with DA Form 12-9A requirements for Security-D. USAR & ARNG : NONE This manual supersedes DoD 5220.22-M, 1 Apr 74, and Changes 1 thru 4. * *Page replaced by Change 1. Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R0003000404-2 DoD 5220.22-M SUMMARY OF CHANGES The following is a brief description of changes, by paragraph. Some paragraphs contain only editorial revisions and therefore are not enumerated. DCAS-DD has been redesignated DLA- DD (CAS). This and other type editorial corrrections have not been identified. The text of this manual identifies all DLA forms as such; however, illustrations of forms in appendix I will retain the DSA identification until such time as the forms are reprinted. 1. A listing of the changed paragraphs follows: 3bb Modified to clarify definition of Representative of Foreign Interest. 5s Modified to permit a parent-subsidiary organization to publish an SPP appli- cable throughout the organization but adapted to be applicable at specific operating locations. Also, provision has been added in the case of one-person facilities that the cognizant security office be advised of the current combina- tion of the container. Where the one-person facility is a part of a multiple facility organization, the home office facility security supervisor is to be ad- vised of the current combination. Footnote 10 Laos is now considered to be a Communist country. to Par. 5u 6b(1) & (2) Eliminate reference to OSE procedures and reference a new procedure where- by contractor employees will be issued Letters of Consent or Security Assur- ances. Also include provision for reporting regarding an individual who has taken residence or assignment outside the U.S. for a period in excess of 90 consecutive days during any 12-month period. 6b(6) Requires a report for a cleared immigrant alien who has been assigned or taken residence outside the U.S. for a period in excess of 90 calendar days in any 12-month period. Visits in excess of 90 days invalidate any existing clear- ance. 14f & g Permits use of repaired security cabinets for the storage of CONFIDENTIAL or the storage of SECRET with supplemenal controls, and outlines measures to be used in effecting repairs, and records to be maintained pertinent to such cabinets. 19b (2) Requires contracting officer approval for destruction of accountable COMSEC vice CRYPTO. 19d Permits subcontractor guard to be a witness to destruction of CONFIDEN- TIAL material, other than accountable COMSEC, provided the guard is em- ployed full-time, is under the supervision and direction of the facility security supervisor, possesses an appropriate clearance, has been briefed and is desig- nated to witness the destruction. 19f Permits subcontractor guard to destroy CONFIDENTIAL waste, except CRYPTO or other Special Access information. III Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M Paragraph. 20f Deletes reference to the "OSE determination" and substitutes Letter of Con- sent or Security Assurance. 20m Now permits short-term visits of not more than 90 days by immigrant aliens without negating the basis upon which the Letter of Consent is issued. 28 Deletes requirement for contractor to maintain record of emloyees who have been granted an OSE determination. 29a Permits contractor to administratively terminate contractor granted CONFI- DENTIAL clearances. 29d Sets forth debriefing procedures in the case of contractor granted CONFI- DENTIAL clearances which are administratively terminated and specifies 2- year retention period for DLA Forms 683 and 482 in such cases. 48e Now requires that visit requests processed through DISCO be submitted in duplicate (formerly quadruplicate) with an extra copy for each additional country to be visited. 50 Deletes "OSE determination". 72b Amends last sentence to call attention to exceptions set forth in paragraph 5x. 72c Now permits two or more cleared facilities (occupying the same office space or located side by side) consisting of a parent and one or more wholly owned subsidiaries to utilize common security services for: (i) personnel security administration, (ii) document control (including storage), (iii) reproduction, (iv) visitor control, and (v) other similar administrative services. Also out- lines SPP coverage necessary in such circumstances. Section XII Complete rewrite to eliminate OSE concept and substitute procedures where- by contractor employees who require access to classified information will be issued Letters of Consent or Security Assurances while stationed outside the U.S. The new address for OISE is included in this rewrite (paragraph 95c). Changed language in this section not identified by marginal arrows. Appendix I Deletes reference to OSE determination. Introduces new DISCO Form 382 and deletes DLA Forms 382-R and 383-R. iv Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400~21 DOD 5220.22-M Glossary of Acronyms and Abbreviations Commonly Used in the Defense Industrial Security Program ACO Administrative Contracting Officer ACDA U.S. Arms Control and Disarmament Agency ACSI Assistant Chief of Staff for Intelligence, Department of Army ADP Automatic Data Processing ADS Advanced Declassification Schedule AMSP Allied Military Security Publication APO Army Post Office ARFCOS Armed Forces Courier Service ASD (A) Assistant Secretary of Defense (Administration) ASD (C) Assistant Secretary of Defense (Comptroller) ARPC Air Reserve Personnel Center ASPR Armed Services Procurement Regulation BI Background Investigation BL Bill(s) of Lading (C) CAB CBL CDSS CENTO CM COMINT COMSEC CONUS COR COSMIC- TOP SECRET CSC CSISM CSO DASD (SP) DCASR DCII DDC DIA DIS DISCO DISI DLA DLA-DD (CAS) CONFIDENTIAL Civil Aeronautics Board Commercial Bill(s) of Lading Canadian Department of Supply and Services Central Treaty Organization Candidate Material Communications Intelligence Communications Security Continental United States Central Office of Record Property NATO and Subject to Special Security Controls Civil Service Commission COMSEC Supplement to the Industrial Security Manual Cognizant Security Office Deputy Assistant Secretary of Defense (Security Policy) Defense Contract Administration Services Region Defense Central Index of Investigations Defense Documentation Center Defense Intelligence Agency Defense Investigative Service Defense Industrial Security Clearance Office Defense Industrial Security Institute Defense Logistics Agency Deputy Director, Contract Administration Services, Defense Logistics Agency Defense National Agency Check Center Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 V CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M DoD Department of Defense DoDAAD Department of Defense Address Directory DOT Department of Transportation EDIS Executive Directorate, Industrial Security (formerly OIS) ENAC Expanded National Agency Check E.O. Executive Order EPA Environmental Protection Agency ERDA Energy Research and Development Agency (formerly AEC) FAA Federal Aviation Agency (Presently Federal Aviation Administration, Department of Transportation) FBI Federal Bureau of Investigation FEA Federal Energy Administration FOCI Foreign Ownership, Control and Influence (FRD) FORMERLY RESTRICTED DATA FSC Federal Supply Code FSS Federal Supply Schedule GBL Government Bill(s) of Lading GDS General Declassification Schedule GFE Government Furnished Equipment GFP Government Furnished Property GPO Government Printing Office GSA General Services Administration HEW Department of Health, Education and Welfare HOF Home Office Facility HQ DLA Headquarters Defense Logistics Agency HQ DLA-N Headquarters Defense Logistics Agency, Executive Directorate, Industrial Security 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-M) ISR Industrial Security Regulation (DoD 5220.22-R) ITAR International Traffic in Arms Regulations KGB Committee of State Security (Soviet Union) MAAG Military Assistance Advisory Group MAP Mutual Aid Program MDAP Mutual Defense Assistance Program MIL-STD Military Standard (Book Form) MTMC Military Traffic Management Command (formerly MTMTS) N/A Not Applicable NAC National Agency Check VI Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004089 j DoD 5220.22-M NASA NATO NIS NPLO NSA NSF OASD(A) OASD(C) OASD(PA) ODC OISE OODEPs OSD OSI PCO PMF PRP PSCF PSQ PSS (RD) RFP RFQ (S) SBA SEATO SIOP SPP SSS T.O. (TS) TSEC TWX (U) U.K. UL U.S. USACSLA USAFSS USAINTC USASA USASTRATCOM USC USCSB USIB National Aeronautics and Space Administration North Atlantic Treaty Organization Naval Investigative Service NATO Production Logistics Organization National Security Agency National Science Foundation Office of the Assistant Secretary of Defense (Administration) Office of the Assistant Secretary of Defense (Comptroller) Office of the Assistant Secretary of Defense (Public Affairs) Office of Defense Cooperation Office of Industrial Security, Europe Owners, Officers, Directors, Partners, Regents, Trustees, or Executive Personnel Office of Secretary of Defense Office of Special Investigations, USAF Procuring Contracting Officer Principal Management Facility Personnel Reliability Program Personnel Security Clearance Files Personnel Security Questionnaire Protective Security Service RESTRICTED DATA Request for Proposal Request for Quote SECRET Small Business Administration Southeast Asia Treaty Organization Single Integrated Operational Plan Standard Practice Procedure Signature Security Service Transportation Officer TOP SECRET U.S. Telecommunications Security Teletype Communications UNCLASSIFIED United Kingdom Underwriters' Laboratories United States U.S. Army Communications Security Logistics Agency U.S. Air Force Security Service U.S. Army Intelligence Command U.S. Army Security Agency US. Army Strategic Communications Command United States Code U.S. Communications Security Board U.S. Intelligence Board Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Vii CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M VA Veterans Administration XCL Excluded from the General Declassification Schedule XGDS Exempt from the General Declassification Schedule viii Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040(OoID25220.22-M CONTENTS SECTION I. GENERAL Paragraph Page 1 Scope ............................................................... 1 2 Applicable Federal Statutes, Executives Orders, and Regulations ............ 2 3 Definitions ............................................................. 2 4 Designation of Cognizant Security Office .................................. 9 5 General Requirements ................................................. 10 6 Reports ............. ................................................. 20 7 Loss, Compromise, or Suspected Compromise of Classified Information.......... 26 8 Badges and Identification Cards ......................................... 27 9 DoD Sponsorship of Meetings ............................................ 28 11 SECTION II. HANDLING OF CLASSIFIED INFORMATION Marking .............................................................. 33 10 Classification .......................................................... 35 ............ 3 4 12 Record of Classified Material ................................ . . . . . . . . . . . RET 45 13 ...................... . . Special Requirements for TOP SEC ............ 46 14 Storage .................................................. ........... 50 15 Alternate Storage Locations ................................. ........... 51 16 Safeguards During Use .................................... .. ......... 51 17 Transmission ............................................. .... ........ 60 18 Reproduction .............................................. 60 19 Destruction .......... ................................................ 20 SECTION III. SECURITY CLEARANCES General .............................................................. 65 68 21 Facility Security Clearances ............................................. 69 22 Personnel Clearances Required in Connection with Facility Clearances .. .... 74 23 Security Clearance of Negotiators ........................................ 74 24 Security Clearance of Additional Personnel ................................ 76 25 Preemployment Clearance Application-Prohibited ........................ 77 26 Application for Personnel Security Clearance .............................. Personnel of the DoD ilit 27 ary Clearance of Present and Former Civilian and M ............ i 83 es......... ............. and Certain Other Government Agenc ............ 84 28 Contractor's Clearance Record .............................. 85 29 Administrative Termination of Personnel Security Clearances ................ 86 30 Administrative Downgrading of TOP SECRET Personnel Security Clearances . 87 31 Canadian and U.K. Reciprocal Clearances ................................. ix Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-roved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 SECTION IV. CONTROL OF AREAS 32 Purpose .............................................. . . . . . . . 89 33 General ............. .......................................... 89 34 Area Controls ....... .. 35 Supplemental or Supplanting Alarm Systems ............................... 91 36 Supplanting and Supplemental Electronic, Mechanical and Electro-Mechanical Access Control Devices ............................................... 92 37 SECTION V. VISITOR CONTROL PROCEDURES Part 1. Visits to User Agency Contractors General ............. ................................................. 95 38 Identification and Control of Visitors ..................................... 96 39 Visitor Record ....... ................................................. 97 40 Long-Term Visitors ... ................................................. 98 41 Visitor Categories and Procedures ....................................... 98 42 Visits Involving Access to RESTRICTED DATA ........................... 100 43 Part 0. Visits to User Agency Activities General Rules-In Addition to Paragraph 37 .............................. 103 44 Visits to User Agency Activities in the U.S...... ............................ 103 45 Visits to User Agency Activities Outside the U.S . .......................... 104 46 Part 3. Visits to Government Activities Other Than User Agencies Visits to ERDA Installations or ERDA Contractors ......................... 104 47 Visits to Activities Other Than ERDA .................................... 105 48 Part 4. Visits to Foreign Governments and Activities General ............ ................................................. 105 49 Processing Time .... ................................................. 106 50 Use of OISE ......... ................................................. 107 51 Part 5. Visits in Connection With Bilateral Industrial Security Agreements and NATO Visit Procedures Visits in Connection with Bilateral Industrial Security Agreements ............ 107 52 NATO Visit Procedures ................................................. 107 53 NPLO Programs Clearance and Visit Procedures .......................... 108 54 Records of NATO Visits ................................................ 109 55 Certificate of Security Clearance ......................................... 109 56 SECTION VI. SUBCONTRACTORS, VENDORS, AND SUPPLIERS Application to Subcontractors ........................................... 111 57 Application to Sub-Subcontractors ........................................ 111 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400 21 DoD 5220.22-M Paragraph Page 58 Determination of Clearance Status ...... ................................... 111 59 Safeguarding Ability ..................................................... 111 60 Classification Guidance ................................................... 112 61 Required Distribution .................................................... 115 62 Notification of Selection .................................................. 116 63 Unsatisfactory Security Conditions ........................................ 116 64 Return of Classified Information ........................................... 116 65 Subcontracting With Foreign Industry ..................................... 116 66 Subcontracts Arising From Foreign Classified Contracts ...................... 116 67 General ................................................................ 119 68 Consultant-Type A ..................................................... 119 69 Consultant-Type B ..................................................... 120 70 Consultant-Type C ..................................................... 120 71 Consultants to User Agencies Employed Under Civil Service Procedures ....... 121 72 SECTION VIII. PARENT-SUBSIDIARY AND MULTIPLE FACILITY ORGANIZATIONS Parent-Subsidiary Relationship ............................................ 123 73 Multiple Facility Organizations ............................................ 124 74 Temporary Help Suppliers ................................................ 125 75 SECTION IX. SENSITIVE COMPARTMENTED INFORMATION COMSEC INFORMATION SENSITIVE COMPARTMENTED INFORMATION ........................ 127 76 COMSEC Information .................................................... 127 77 Special Requirements for Graphic Arts ................................... 129 78 Production Control Records ............................................... 129 79 Area Controls-Additional Requirements ................................... 129 80 Special Conditions ....................................................... 130 81 Destruction-Special Requirements ........................................ 131 82 Mailing Lists ........................................................... 131 83 Application ............................................................. 133 84 Authority .............................................................. 133 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Xi roved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 A pp CH 1 DoD 5220.22-M Paragraph Page 85 Supervision and Orientation Requirements ................................ 133 86 Securtiy Clearances ..................................................... 134 87 Reproduction, Preparation, and Marking .................................... 134 88 Transmission of NATO Material ......................................... 134 89 Functions of the Contracting Officer ....................................... 135 90 NATO Reporting Requirements .......................................... 135 91 Subcontracting ......................................................... 135 92 SECTION XII. OVERSEAS OPERATIONS Part 1. Access to U.S. Classified Information General ............................ ................................... 137 93 Access to Classified Information ......................................... 137 94 Safeguarding of U.S. Classified Information .............................. 138 95 Overseas Assistance ..................................................... 139 96 Notification of Overseas Assignment ....................................... 139 97 Security Briefings and Certificates ........................................ 140 98 Part 2. Access to Classified Information of Foreign Governments and International Pact Organizations Under A Security Assurance General ............................................................... 141 99 Security Assurance ..................................................... 141 100 SECTION XIII. SECURITY REQUIREMENTS FOR ADP SYSTEMS Applications and Purpose ................................................ 143 101 Definitions ............................................................. 143 102 General ................................................................ 145 103 Personnel and Physical Controls ......................................... 145 104 Clearance of Main Memory, Other Magnetic Media, and Equipment ........... 147 105 Declassification Procedure ............................................... 148 106 Dedicated Mode ........................................................ 149 107 Transmission .......................................................... 150 108 Subcontracting Classified Data Processing ................................. 151 109 Audit Trail ............................................................ 151 110. Multi-Level Resource-Sharing Systems .................................... 152 Xu Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400CQ11i 21 DoD 5220.22-M APPENDIX I. INDUSTRIAL SECURITY FORMS Paragraph age A. Application ............................................................. 153 B. Department of Defense Personnel Security Questionnaire (Industrial) (DD Form 48) .................................................................. 153 C. Application and Authorization for Access to Confidential Information (DD Form 48-2) ................................................................ 161 D. Department of Defense Personnel Security Questionnaire (Updating) (DD Form 48-3) ........ 165 E. Department of Defense Personnel Security Questionnaire (Industrial) (Multiple Purpose) (DD Form 49) ............................................... 169 F. Contract Security Classification Specification (DD Form 254) ................. 177 G. H. Reserved ............................................................... Applicant Fingerprint Card (FD Form 258) ................................ 189 I. Request for Visit or Access Approval (ERDA Form 277) ..................... 193 J. Letter of Notification of Facility Security Clearance (DLA Form 381-R) ....... 195 K. Letter of Notification of Security Assurance to a Foreign Government or Inter- national Pact Organization (DISCO Form 382) ............................ 197 L. Department of Defense Security Agreement (DD Form 441) and Appendage (DD Form 441-1) .......................................................... 199 M. Certificate Pertaining to Foreign Interests (DD Form 441s) .................. 205 N. Security Briefing and Termination Statements (Industrial Personnel) (DLA Form 482) ................................................................. 209 0. Letter of Consent (DISCO Form 560) ...................................... 211 P. Request for and Certificate of Cryptographic Access Authorization (DD Form 560-3) ............................................................... 213 Q. Personnel Security Clearance Change Notification (DLA Form 562-R) ......... 215 R. Request for Administrative Termination of Personnel Security Clearance (DLA Form 683) ............................................................ 219 S. Envelope, Preaddressed to DISCO (DLA Form 703) ......................... 221 T. Envelope, Not Preaddressed (DLA Form 704) .............................. 221 U. Worksheet for the Preparation of Personnel Security Questionnaires, DD Forms 48 or 49 (DLA Form 707) .............................................. 221 V. Facility Clearance Register (DD Form 1541) and Registration for Scientific and Technical Information Services (DD Form 1540) .......................... 227 W. Letter Agreement to Safeguard Classified Information for an Employee Perform- ing Consultant Services ................................................ 231 A. APPENDIX II. DOWNGRADING AND DECLASSIFICATION Scope and Application .................................................... 233 B. Automatic Downgrading and Declassification ............................... 235 C. Material Exempted From the GDS ........................................ 236 D. Completion of CLASSIFIED BY, DECLASSIFY ON, and EXEMPTION CATE- GORY Spaces ......................................................... 237 E. Electrically Transmitted Messages ......................................... 237 P xiii Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M Paragraph Page F. Re-marking Pre-June 1, 1972 Material ..................................... 238 G. Marking New Material Prepared on or After June 1, 1972, Based on Pre-June 1, 1972 Source Material, or a Pre-June 1, 1972 Classification Guide Which Has Not Been Revised to Reflect E.O. 11652 ................................. 238 H. Most Restrictive Marking Determination ................................... 239 I. Dates or Events Carried Forward ......................................... 239 J. Changing Classification Markings ......................................... 239 K. Re-Marking Pre-June 1, 1972 Material On Hand ........................... 239 L. Release of Declassified Information ........................................ 239 APPENDIX III. FOREIGN CLASSIFIED CONTRACTS Table Outlining Responsibilities for Security Actions ........................ 241 APPENDIX IV. OUTLINE CONSTRUCTION SPECIFICATIONS FOR STORAGE VAULTS A. Application ............................................................. 243 B. Class A Vault ........................................................... 243 C. Class B Vault ........................................................... 243 D. Class C Vault ........................................................... 244 E. Structural Design ....................................................... 244 F. Strongrooms ............................................................ 244 APPENDIX V. GUIDELINES FOR THE PHYSICAL CONSTRUCTION OF CLOSED AREAS A. Application ............................................................. 247 B. Guidance ............................................................... 247 APPENDIX VI. EXTRACTS OF THE ESPIONAGE AND SABOTAGE ACTS AND OTHER FEDERAL CRIMINAL STATUTES ................................. 249 APPENDIX VII. GUIDANCE FOR PREPARATION OF DEFENSIVE SECURITY BRIEFING A. General ................................................................ 255 B. Introduction ............................................................ 255 C. Rationale ............................................................... 255 D. The Communist Country Intelligence Network .............................. 255 E. Techniques Employed to Obtain Information of Intelligence Value ............. 255 F. Summary .............................................................. 257 APPENDIX VIII. INFORMATION REGARDING DCASRs, DISCO, DISI AND OISE 259 APPENDIX IX. PUBLIC INFORMATION SECURITY GUIDANCE ............... 265 AV Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001- 5220.22-M APPENDIX X. USE OF ESCORTS FOR CLASSIFIED SHIPMENTS Paragraph Page A. General ................................................................ 269 B. Instructions and Operating Procedures ..................................... 269 C. Functions of an Escort ................................................... 269 A. APPENDIX XI. REQUIREMENTS APPLICABLE TO THE HAND CARRYING OF CLASSIFIED DOCUMENTS ABOARD COMMERCIAL PASSENGER AIRCRAFT General ................................................................ 271 B. Approval ............................................................... 271 C. Authorization Letter and Identification Card ............................... 271 D. Preparation for Transmission - Packaging ................................... 272 E. Records ................................................................ 273 F. Briefings ............................................................... 273 G. Instructions to Traveler .................................................. 273 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 xv Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001D?o0 5220.22-M SECTION I GENERAL 1. Scope a. This Manual establishes the require- ments for safeguarding all classified infor- mation to which contractors and their sub- contractors, vendors or suppliers have access or possession (see paragraph 3u). The Man- ual 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 classi- fied 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 and precontract negotiations, and all aspects of postcontract activity. More- over, the requirements are equally applicable to the safeguarding of classified information not released or disclosed under a procure- ment contract such as classified information released pursuant to a User Agency program participated in by contractors on a voluntary or grant basis. Examples 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 User Agency (or his desig- nated representative) who releases or dis- closes the classified information to the con- tractor shall fulfill the responsibilities which this Manual assigns to the contracting offi- cer (e.g., furnishing necessary classification guidance, authorizing retention of classified material, certifying contractors' need to at- tend classified meetings). b. The requirements of this Manual re- flect 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 Secre- tary of Defense and (i) The Administrator, NASA; (ii) The Secretary of Commerce; (iii) the Administrator, GSA; (iv) The Secretary of State; (v) The Administrator, Small Business Administration; (vi) The Director, National Science Foundation ; (vii) The Secretary of the Treasury ; (viii) The Secretary of Transportation; (ix) The Sec- retary of The Interior; (x) The Secretary of Agriculture; (xi) The Secretary of Health, Education and Welfare; (xii) The Secretary of Labor; (xiii) The Administrator, Envi- ronmental Protection Agency; (xiv) The Administrator, Federal Energy Administra- tion; (xv) The Attorney General, Depart- ment of Justice, and (xvi) The Director, U.S. Arms Control and Disarmament Agency. d. The ASD (C), his designee, or higher authority provides overall policy guidance for the Defense Industrial Security Program. The DLA-DD (CAS), shall administer the Defense Industrial Security Program on be- half of all User Agencies. Except for certain functions performed by the Commander or Head of a User Agency installation with respect to those facilities or contractor ac- tivities located on the installation, the Com- mander of each DCASR shall perform cog- nizant security office functions prescribed in this Manual with respect to all contractor facilities within his region. (See Appendix VIII for geographical areas of responsibil- ity.) Par. 1 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-413 proved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 e. User Agencies have the authority of, and exercise the functions of, a contracting officer as prescribed in this Manual and the ISR. Certain of these functions are, under the delegation of contract administration services, performed by the DLA-DD(CAS). In addition, other contracting officer duties may be performed by the ACO, DCASR, within the contract administration services delegation. d. Internal Security Act of 1950 (in part), Title 50, U.S.C., Sections 781 through 798. e. National Security Act of 1947, as amended. f. Armed Services 1947, as amended. g. Atomic Energy Act of 1954, Public Law 703, 83d Congress, as amended. f. This Manual also shall apply to the safe- guarding of foreign classified 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 User Agency in connection with a U.S. classified contract, procedures applicable to U.S. classified in- formation shall apply. However, when for- eign classified information is made available to U.S. contractors in connection with a for- eign classified contract, the responsibility for the actions which this Manual charges to the contracting officer and the contracting User Agency shall be as prescribed 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 which have been approved by the DASD (SP) will be published in page change form and will be effective the date of the change. h. E.O. 10104, 1 February 1950. i. E.O. 11652, 8 March 1972. j. National Aeronautics and Space Act of 1958, as amended. k. E.O. 10865, 20 February 1960. 1. Federal Aviation Act of 1958, amended. 17 January 1961. n. International Traffic in Arms Regula- tion, Code of Federal Regulations, Title 22, Chapter 1, Parts 121-127. o. Export amended. Control Act of 1949, as p. Mutual amended. Security Act of 1954, as 2. Applicable Federal Statutes, Executive 3. Definitions Orders and Regulations a. Espionage Acts, Title 18, U.S.C., Sec- tions 793 through 799. b. Sabotage Acts, Title 18, U.S.C., Sec- tions 2151 through 2157. c. Conspiracy Statute, Title 18, U.S.C., Section 371. The following definitions are established for the purpose of this Manual: a.--Access, Accessibility. 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 2 ii Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030a d0v1 3 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300(M0901-2 DoD 5220.22-M not prevent him from gaining knowledge of the classified information.' b. Alien. Any person not a citizen or na- tional of the U.S. (see Immigrant Alien, paragraph 3aj). h. Closed Area. A controlled area estab- lished to safeguard classified material, which, because of its size or nature, cannot be adequately protected by the safeguards prescribed in paragraph 16 or be stored dur- ing nonworking hours in accordance with paragraph 14 (see Section IV). c. Authorized Persons. Those persons who have a need-to-know for the classified infor- mation involved, and have been cleared for the receipt of such information (see para- graph 3as). Responsibility for determining whether a person's duties require that he possess, or have access to, any classified information and whether he is authorized to receive it, rests upon the individual who has possession, knowledge, or control of the information involved, and not upon the pro- spective recipient. d. Candidate Material. That material which is referred to collectively as special nuclear materials and nuclear weapons. e. Carrier Custodian. An employee of a cleared carrier who has been assigned the responsibility for SECRET controlled ship- ments by the carrier and who has been is- sued a personnel security clearance by the Government. f. Classified Contract. Any contract that requires or will require access to classified information by the contractor or his em- ployees in the performance of the contract., (A contract may be a classified contract even though the contract document is not classified.) g. Classified Information. Official infor- mation which has been determined to re- quire, in the interests of national security, protection against unauthorized disclosure, and which has been so designated. 1 The entry into a controlled area, per se, will not con- stitute access to classified information if the security measures which are in force prevent the gaining of knowledge of the clas- sified information. Therefore the entry into a controlled area under conditions that prevent the gaining of knowledge of classi- fied information will not necessitate a personnel security clear- ance. i. Closed Vehicle. A conveyance which is fully enclosed by sides, permanent top and door. j. Cognizant Security Office. The DCASR having contract administration services jurisdiction over the geographical area in which a facility is located. k. Colleges and Universities. All educa- tional institutions which award academic degrees and their related research activities directly associated therewith through orga- nization or by articles of incorporation. m. Communications Intelligence. Techni- cal and intelligence information derived from foreign communications by other than the intended recipient. n. COMMUNICATIONS S E C U R I T Y (COMSEC). The protection resulting from the application of cryptosecurity, transmis- sion security, and emission security meas- ures to communications and from the appli- cation of physical security measures to COMSEC information. These measures are taken to deny unauthorized persons informa- tion of value which might be derived from the possession and study of such communi- cations, or to insure the authenticity of such communications. o. Compromise. The known or suspected exposure of classified information or mate- rial to an unauthorized person. p. CONFIDENTIAL. CONFIDENTIAL refers to that national security information Par. 3 3 Approved For Release 2002/08/21 :CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.22-M or material, the unauthorized disclosure of which could reasonably be expected to cause damage to the national security. ing material, and which indicates that this material requires special consideration with respect to access, storage and handling. q. Consignee. A person, firm or Govern- ment activity named as the receiver of a shipment; one to whom a shipment is con- signed. r. Consignor. A person, firm or Govern- ment activity by whom articles are shipped. The consignor is usually the shipper. s. Continental Limits of the United States. U.S. territory including the adjacent terri- torial waters located within the North Amer- ican continent between Canada and Mexico. t. Contracting Officer. Any person who, in accordance with departmental or agency procedures, is currently designated a con- tracting officer with the authority to enter into and administer contracts and make de- terminations and findings with respect there- to, or any part of such authority. The term also includes the designated representative of the contracting officer acting within the limits of his 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 administra- tion office who is identified as the ACO. Normally, the responsibilities which this Manual assigns to the contracting officer during the precontract, contract award and post contract stages of a classified procure- ment will be performed by the PCO, with the ACO performing those responsibilities which arise during the performance stages of a classified contract. u. Contractor. Any industrial, education- al, commercial, or other entity which has executed a contract with a User Agency or a DoD Security Agreement (DD Form 441) with a DoD agency or activity. v. CRYPTO. A designation or marking which identifies classified operational key- w. Declassify. To cancel the security clas- sification of an item of classified material. x. Department of Defense. Office of the Secretary of Defense (including all boards, councils, staffs and commands), DoD agen- cies, and the Departments of the Army, Navy, and Air Force (including all their activities). Y. Document. Any recorded information, regardless of its physical form or character- istics, exclusive of machinery, apparatus, equipment or other items of material. The term includes, but is not limited to the fol- lowing all written material, whether hand- written, printed or typed ; all photographs, negatives, exposed or printed films, and still or motion pictures ; all data processing cards or tapes ; maps ; charts ; paintings ; drawings ; engravings ; sketches ; working notes and papers; and all reproduction of the foregoing by whatever process repro- duced ; and sound, voice and electronic re- cordings in any form. z. Downgrade. To assign a lower security classification to an item of classified material. aa. Executive Personnel. Those individ- uals in managerial positions, other than own- ers, officers, or directors, who administer the operations of the facility. (This category includes such designations as general man- ager, plant manager, plant superintendent, or similar designations, and facility security supervisor.) ab. Facility. A plant, laboratory, office, college, university, or commercial structure with associated warehouses, storage areas, utilities and components, which, when re- lated by function and location, form an op- erating entity. (A business or educational organization may consist of one or more facilities as defined above.) For purposes 4 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001JJar.-3 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R00030004000aD2 5220.22-M of industrial security, the term does not in- clude User Agency installations. ac. Facility Security Clearance. An ad- ministrative determination that, from a se- curity viewpoint, a facility is eligible for access to classified information of a certain category (and all lower categories). information can be adequately safeguarded as national security information. FORMER- LY RESTRICTED DATA may not be transmitted or otherwise made available to any regional defense organization or foreign nation while it remains national security information except under the provisions of that Act. ad. Foreign Classified Information. Offi- cial information of a foreign government which : it has classified; the U.S. Govern- ment has determined requires protection in the interest of national security ; has been furnished to a U.S. contractor in connection with a contract, subcontract, precontract negotiation or other arrangement approved by the U.S. Government; and the U.S. Gov- ernment is obligated to protect pursuant to an agreement with that government. ad. 1. Foreign Interest. Any foreign gov- ernment 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; any form of busi- ness enterprise organized or incorporated under the laws of the U.S., or a State or other jurisdiction of the U.S. which is owned or controlled by a foreign government, firm, corporation or person. Included in this defi- nition is any natural person who is not a citizen or national of the U.S. (An "immi- grant alien" as defined in paragraph 3aj is excluded from the definition of a foreign in- terest.) ae. Foreign Nationals. All persons not citizens of, not nationals of, nor immigrant aliens to, the U.S. af. FORMERLY RESTRICTED DATA. Information which has been removed from the RESTRICTED DATA category by joint action of the ERDA and DoD under Section 142d, Atomic Energy Act of 1954, as amended. This action is based upon a de- termination by these agencies that the in- formation relates primarily to the military utilization of atomic weapons, and that the ag. Graphic Arts. Facilities and individu- als engaged in performing consultation, service, or the production of any component or end product which contributes to, or re- sults in, the reproduction of classified infor- mation. Regardless of trade names of spe- cialized processes, it includes writing, illus- trating, advertising services, copy prepara- tion, all methods of printing, finishing serv- ices, duplicating, photocopying, and film processing activities. ah. Hardened Container. A container of such strength and durability as to provide security protection to prevent items from breaking out of the container and to facili- tate 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 trans- porters. ai. Home Office. The headquarters facility of a multiple facility organization (see para- graph ap., below). aj. Immigrant Alien. Any person lawfully admitted into the U.S. under an immigra- tion visa for permanent residence. (See paragraph 25 for special prerequisites for clearance of immigrant aliens.) ak. Industrial Security. That portion of internal security which is concerned with the protection of classified information in the hands of U.S. industry. al. Information. Knowledge which can be communicated by any means. am. Intelligence. The product resulting from the collection, evaluation, analysis, in- Par. 3 5 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.22_Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 tegration and interpretation of all avail- able information which concerns one or more aspects of foreign nations or of areas of foreign operations, and which is immedi- ately or potentially significant to military planning and operations. an. 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 temporarily unlocked and opened under supervision for the purpose of passing material or authorized personnel into or out of the area. originates in the organization itself or is re- ceived from member nations or from other international organizations. as. Need-to-Know. A determination made by the possessor t f classified information that a prospective .recipient, in the interest of national security, has a requirement for access to (see paragraph a., above), knowl- edge of, or possession of the classified in- formation in order to perform tasks or serv- ices essential to the fulfillment of a classi- fied contract or program approved by a User Agency. ao. Material. Any document, product or substance on, or in which, information may be recorded or embodied. Material shall include everything, regardless of its physi- cal character or makeup. Machinery, docu- ments, apparatus, devices, models, photo- graphs, recordings, reproductions, notes, sketches, maps, and letters, as well as all other products, substances or materials, shall fall within the general term of material. ap. Multiple Facility Organization. A legal entity (single proprietorship, partnership, association, trust, or corporation) which is composed of two or more facilities (see paragraph ab., above). aq. National of the United States. (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 ar. NATO Classified Information. The term "NATO classified information" em- braces all classified information, military, political, and economic, circulated within and by NATO whether such information 'See S U.S.V. Sec. 1101(a) (22). R U.S.C. Sec. 1401, subsection (a) lists in paragraphs i1) through (7) cate- gories of persons born in and outside the U.S. or its pos- sessions who may qualify as nationals of the U.S. Where doubt exists as to whether or not it person can qualify as a national of the U.S., this subsection should be consulted. at. Negotiator. 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 subcon- tract. (This category may include, but is not limited to, accountants, stenographers, clerks, engineers, draftsmen, and produc- tion personnel.) at.l Nuclear Weapon Security Program. A limited number of defense contractors are involved in the DoD nuclear weapon secur- ity program. This program identifies certain positions categorized as Critical or Con- trolled, depending upon the degree of in- volvement with nuclear weapons. Assign- ment to such positions is governed by the DoD Nuclear Weapon PRP, the specific procedures of which will be set forth sepa- rately in appropriate contractual agreements. All personnel in Critical or Controlled posi- tions must have a security clearance com- mensurate with the security classification of information required by their duties. au. Officers (Corporation, Association, or Other Type of Business or Educational Institution). Those persons in positions es- tablished as officers in the articles of incor- poration or bylaws of the organization. av. Official Information. Information which is owned by, produced for or by, or is subject to the control of the U.S. Govern- ment. 6 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004000112r. 3 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004009i1 I DoD 5220.22-M aw. Possessions. Possessions include the Virgin Islands, Guam, American Samoa, the Guano Islands with Swains Island, Howland Island, Baker Island, Jarvis Island, Midway Islands, Kingman Reef, Johnson Islands, Sand Island, Navassa Island, Swan Islands and Wake Island. aw.1 Principal Management Facility. A cleared facility of a multiple facility orga- nization which reports directly to the home office, and whose principal management offi- cial has been delegated the responsibility to administer the contractor's industrial secur- ity program, within a defined geographical or functional area. ax. Protective Security Service. A signa- ture security service, as described in para- graph bk., below, plus constant protection of the shipment at all times between receipt from the consignor until delivery to consig- nee, by one or more carrier custodians. In the case of air movement, however, 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 which is not accessible to any unauthorized person aboard. Conversely, if the shipment is loaded into a compartment of the aircraft which is accessible to an unauthorized person aboard, the shipment must remain under the constant surveillance of an escort or carrier custodian. ay Qualified Carrier. A carrier which 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, reg- ulatory body or regulation to provide the required transportation service. (3) A determination has been made by MTMC or the designated Commander overseas that (i) the carrier is capa- able of and authorized to furnish Pro- tective Security Service in accord- ance with an applicable tariff, Gov- ernment tender, agreement or con- tract provision, and (ii) no other qualified carrier is available to per- form the required service. (4) The carrier has executed a DoD Transportation Security Agreement (DLA Form 1149) with, and has been granted a SECRET facility se- curity clearance by the appropriate cognizant security office. az. Reference Material. The term reference material means documentary material over which the User Agency does not have classi- fication jurisdiction, and did not have classi- fication jurisdiction at the time such ma- terial was originated. ba. Regrade. To assign a higher or lower security classification to an item of classi- fied material. bb. Representatives of a Foreign Interest. Citizens or nationals of the U.S. or immi- grant aliens who, in their individual capac- ity, or on behalf of a corporation (whether as a corporate officer or official or as a cor- porate employee who is personally involved with the foreign entity), are acting as rep- resentatives, officials, agents, or employees of a foreign government, firm, corporation, or person. However, a U.S. citizen or na- tional who has been appointed by his U.S. employer to be its representative in the man- agement of a foreign subsidiary (i.e., a for- eign firm in which the U.S. firm has owner- ship of at least 51% of the voting stock) will not be considered a representative of a foreign interest, solely because of this em- ployment, provided the appointing employer is his principal employer and 'is a firm that possesses or is in process for a facility se- curity clearance. be. Restricted Area. A controlled area established to safeguard classified material which, because of its size or nature, cannot be adequately protected during working hours by the safeguards prescribed in para- Par. 3 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 7 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M graph 16, but which is capable of being stored during non-working hours in accord- ance with paragraph 14 (see Section IV). bd. RESTRICTED DATA. All data (in- formation) concerning (i) design, manufac- ture 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 in- clude data declassified or removed from the RESTRICTED DATA category pursuant to Section 142 of the Atomic Energy Act (see Section 11y, Atomic Energy Act of 1954, as, amended, and FORMERLY RESTRICTED DATA). be. SECRET. SECRET refers to that na- tional security information or material, the unauthorized disclosure of which could rea- sonably be expected to cause serious damage to the national security. b f . SECRET Controlled Shipment. SE- CRET material moving in commercial trans- portation service which requires Protective Security Service of a qualified carrier in the interest of national security. Section II, Public Laws 585, Atomic Energy Act of 1954, as amended. bi. Shipper. The one who releases custody of material to a carrier for transportation to a consignee (see also consignor, paragraph r.). bj. Short Title. An identifying combina- tion of letters and numbers assigned to a publication or equipment for purposes of brevity. bk. Signature Security Service. A service designed to provide continuous responsibil- ity for the custody of shipments in transit, so named because a signature and tally are required from each person handling the shipment at each stage of its transit from point of origin to destination. For air ship- ments no receipt is required from the flight crew or attendants of the carrier's aircraft. For rail shipments no receipt is required from the train crew if the car is sealed. bl. Single Line Service. Freight which moves from point of origin to destination over the lines of only one carrier. bg. Security. Refers to the safeguarding of information classified TOP SECRET, SE- CRET, or CONFIDENTIAL against unlaw- ful or unauthorized dissemination, duplica- tion, or observation. bh. Security Cognizance. The responsibili- ty for acting for User Agencies in the dis- charge of industrial security responsibilities described in this Manual. -o- bh.1. SENSITIVE COMPARTMENTED INFORMATION. This term includes all in- formation and materials bearing special community controls indicating restricted handling within present and future commu- nity intelligence collection programs and their end products for which community sys- tems of compartmentation have been or will be formally established. The term does not include RESTRICTED DATA as defined in bm. Special Access Program. Any pro- gram imposing "need-to-know" or access controls beyond those normally provided for access to CONFIDENTIAL, SECRET or TOP SECRET information. Such a program includes, but is not limited to, special clear- ance, adjudication, or investigative require- ments, material dissemination restrictions or special lists of persons determined to have a "ned-to-know." bn. Subsidiary. A subsidiary is a corpora- tion which is controlled by another corpora- tion (parent) by reason of the latter cor- poration's ownership of at least a majority (over 50%) of the capital stock. A subsidi- ary is a legal entity and shall be processed separately for a facility security clearance. 8 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Par. 3 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400e 21 DoD 5220.22-M bp. TOP SECRET. TOP SECRET refers bq. Transshipping Activity (Government). to that national security information or ma- A Government activity to which a carrier terial, the unauthorized disclosure of which transfers custody of freight for reshipment could reasonably be expected to cause excep- by another carrier to the consignee. tionally grave damage to the national secur- ity. Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400OW 5220.22-M br. Trust Territory. Applies only to the Trust Territory of the Pacific Islands which the United States administers under the terms of a trusteeship agreement concluded between this Government and the Security Council of the United Nations pursuant to authority granted by Joint Resolution of Congress, July 18, 1948 (61 Stat. 397; 48 U.S.C., Section 1681). According to this agreement, the U.S. has "full powers of administration legislation, and jurisdiction" over the territory; this Government, how- ever, does not claim "sovereignty." Three major archipelagoes make up the Trust Ter- ritory: Carolines (including the Palau Is- lands), Marshalls, and Marianas (excluding Guam). bs. Unauthorized Person. Any person not authorized to have access to specific classi- fied information in accordance with the pro- visions of this Manual. bt. United States. The 50 States and the District of Columbia. bu. Upgrade. To determine that certain classified information requires, in the inter- ests of national security, a higher degree of protection against unauthorized disclosure than currently provided, coupled with a changing of the classification designation to reflect the higher category. by. User Agencies. The OSD (including all boards, councils, staffs and commands), DoD agencies and Departments of the Army, Navy and Air Force (including all of their activities) ; Departments of: State; Com- merce ; Treasury; Transportation ; Interior; Agriculture ; Health, Education and Wel- fare ; Labor and Justice; NASA; GSA; SBA; NSF; EPA; FEA, and ACDA. bw. Weapon System. A general term used to describe a weapon and those components required for its operation. 4. Designation of Cognizant Security Office Responsibility for administration of the Defense Industrial Security Program is as- signed to the DLA-DD (CAS). The authority for security cognizance has been delegated to the Commanders, DCASRs for all con- tractor facilities physically located or to be located within the geographic boundaries of each Region (see Appendix VIII). All rela- tionships between the User Agency and the contractor on industrial security matters shall be handled through, or in coordination with, the cognizant security office, except those matters specifically set forth in this Manual as responsibilities of the contracting officer. All 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 cognizant security office. In the case of a facility or contractor activity located on a User Agency installation, requests for inter- pretations of this Manual shall be forwarded to the cognizant security office through the Commander or Head of the User Agency in- stallation. The management of each facility which has been assigned to one of the DCASR offices for security cognizance shall be notified in writing of this action at such time as the Industrial Security Program is initiated at the facility. The designation of a DCASR to exercise security cognizance at a facility will not relieve any User Agency of the responsibility for protecting and safe- guarding 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. classi- fied contract awarded to a U.S. contractor which requires performance for a User Agency at a location outside the U.S., Puerto Rico, Panama Canal Zone, or a U.S. posses- sion, territory or trust territory shall be the responsibility of the User Agency awarding the classified contract except when the con- tracting User Agency has an agreement with the U.S. Installation Commander in such Pars. 3 & 4 9 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.224pproved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 area to perform this function for it. The DCASR Commander for the region in which the home office or principal U.S. based office of the contractor is located will assume se- curity cognizance for such U.S. based facility, and except for contractor granted CONFI- DENTIAL clearances, DISCO will clear all of the contractor's employees requiring ac- cess to classified information in support of a User Agency contract regardless of the physical location of such employees. Con- tractor activities located outside the U.S., Puerto Rico, Panama Canal Zone or a U.S. possession, territory or trust territory will not be granted a facility clearance. 5. General Requirements The contractor shall be responsible for safeguarding all classified information under his control. In the furtherance of this re- quirement, the contractor- a. Security Supervisor. Shall appoint a U.S. citizen, who is required to be cleared as part of the facility security clearance, to supervise and direct security measures nec- essary for the proper application of Gov- ernment furnished guidance or specifications for classification, downgrading, upgrading, and for safeguarding classified information. b. Automatic Data Processing. Shall not utilize an ADP system for the processing of classified data without the prior approval of the cognizant security office (see Section XIII). fillment of the contract.3 He 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. In those exceptional cases where the contractor cannot adjust plant layout and organize work so as to pre- vent access by representatives of food, bev- erage, or vending equipment organizations, he may request his cognizant security office to process the servicing organization for a facility security clearance provided the management of the facility can justify the continued need for the service. Representa- tives of cleared service organizations shall, in such cases, be processed as Category 1 visitors at the facility being visited (see paragraph 41a). d. Safeguarding. Shall provide suitable protective measures within his facility for the safeguarding of classified information. A contractor performing work within the con- fines of a User Agency installation must safeguard classified information in accord- ance 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; and (2) for which no safeguarding or disposi- tion instructions have been received, shall be safeguarded in accordance with the provisions of this Manual and the cognizant security office shall c. Limitation on Disclosure. Shall assure that classified information is furnished or disclosed only to authorized persons (see paragraph 3c). To this end he shall deter- mine to what extent his employees, subcon- tractors, vendors, and suppliers require ac- cess to classified information in the perform- ance of tasks or services essential to the ful- , A contractor is not authorized to turn over classified intelligence Information to it subcontractor, vendor or sup- plier without prior written authorization of the contracting User Agency. All classified intelligence information, whether obtained during it visit or through other sources, shall be safeguarded and controlled in accordance with the pro- visions of this Manual, and any additional instructions which may he received from the releasing User Agency activity and any specific restrictive markings or limitations appearing on documents. All inquiries concerning source, acquisition, use, control or restrictions pertaining to intelli- gence Information shall be directed to the contracting User Agency activity concerned. 10 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004POU04 P 5 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040DOO -2220.22-M be notified pursuant to paragraph 6a(19). e. Exclusion of Personnel. Shall exclude from those Harts of his plants, facilities, or sites where classified work is being per- formed, any person or persons whom the Head of a User Agency concerned or his authorized representative, in the interest of security, may designate in writing. Exclu- sion does not mean that the affected em- ployee must be dismissed or be denied em- ployment in another part of the plant, facili- ty, or site. This should be resolved consistent with' normal employer-employee relation- ships. f. Individual Responsibility for Safeguard- ing. Shall, on a recurring basis, bring to the attention of his personnel, engaged in the preparation of bids, quotations, or in the performance of work on contracts or pro- grams which involve access to classified in- formation, their continuing individual re- sponsibilities for safeguarding classified in- formation. Each employee shall be made aware of the security procedures which per- tain to his particular work assignment and of any security deficiencies resulting from recurring inspections by the cognizant se- curity office that required individual correc- tive action on his part. The employee who has possession or knowledge of an element or item of classified information shall be in- formed that he is responsible for determin- ing whether a prospective recipient is an authorized person (see paragraph 3c). The employee shall be informed that he is re- quired to advise the recipient of the classi- fication of the information which he dis- closes. The contractor shall also inform his employees that unauthorized disclosure of classified information violates DoD regula- tions and contractual obligations, and is pun- ishable under the provisions of Federal criminal statutes. g. Security Briefing and Termination. Shall, prior to permitting an employee to have access to classified information, brief him on his obligation to safeguard classified information, advise him of its importance, inform him of the required security proce- dure and have him read, or have read to him, the portions of the espionage laws, conspir- acy laws, and Federal criminal statutes ap- plicable to the safeguarding of classified in- formation appearing in Appendix VI of this Manual. In addition, the employee shall be advised that he must report to the contrac- tor if he becomes a representative of a for- eign interest (see paragraph 3bb). Follow- ing the briefing the employee shall be required to execute Part I of Security Briefing and Termination Statements (DLA Form 482). The DLA Form 482 shall then be retained by the contractor. An employee who executes Part I of DLA Form 482 and who subsequently is absent from his place of employment, for any reason, in excess of 12 months, must re-execute Part I of DLA Form 482 before again being permitted ac- cess to classified information. The employee shall be required to execute Part II of DLA Form 482 at the time of termination of em- ployment (discharge, resignation or retire- ment) and at the beginning of a layoff or leave of absence for an indefinite period or for a period in excess of 12 months ; upon termination or revocation of the facility's security clearance ; or when administrative termination of personnel security clearance is accomplished in accordance with the pro- visions of paragraph 29. The contractor shall retain Part 11, DLA Form 482, or its prede- cessor form, for not less than 3 years where an employee has had access to TOP SECRET or other information requiring a special ac- cess to TOP SECRET or other information requiring a special access authorization by the Government, and for not less than 2 years where an employee has had access to SE- CRET or CONFIDENTIAL information. The importance of the termination state- ment shall be brought to the terminat- ing employee's attention. If the terminat- ing employee had access to TOP SECRET, COMSEC, or other information requiring a special access authorization by the Gov- ernment, he shall be given an oral debrief- Par. 5 11 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.224pproved For Release 2002/08/21 ing which shall include a statement of (i) the purpose of the debriefing; (ii) the seri- ous nature of the subject matter which re- quires protection in the national interest; (iii) the need for caution and discretion; and (iv). advice concerning any travel re- strictions which are. appropriate. The cog- nizant security office shall be notified im- mediately in accordance with paragraph 6a(9) of the circumstances involved when- ever an employee refuses to execute the DLA Form 482.4 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 infor- mation unless prior written authorization of the contracting officer concerned has been obtained. However, classified features of de- sign or construction may be incorporated by the contractor in other U.S. User Agency projects of equal or higher classification unless specifically prohibited by the Govern- ment. U.S. classified information shall not be used in the performance of a foreign classified contract unless the information was furnished through the designated mili- tary department in connection with that con- tract, or the U.S. contracting officer concerned has expressly authorized in writing the use of that information. i. Security of Combinations. Shall insure 4 When it terminated employee fails to execute Part II of I)LA Form 482, the contractor shall make every reasonable effort to contact the former employee for the purpose of correcting the omission--for example, enclosing a copy of the form in a registered or certified letter, return receipt requested, sent to the former employee's last known address. If, once contact is established with the former employee, he fails to comply with the request to execute and return the form, such failure shall be considered as tantamount to a refusal and should he reported as such in accordance with paragraph 6a (9). Conversely, if despite such efforts contact cannot be established with the former employee, a report should also be submitted under paragraph 6a(9), indicating what efforts had been made to locate the former employee. Where the employee was also required to be given an oral debriefing, the contractor may, if the former employee is located at a remote distance from the facility, direct him to contact the nearest cognizant security office and make ar- rangements to receive the required debriefing. In such case, the cognizant security office should be requested in writing to perform the debriefing on behalf of the contractor. that the combinations to safes, containers, and three-position, dial-type changeable com- bination padlocks used to lock containers holding classified material are classified in accordance with the classification of the highest classified material stored in the con- tainers. 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 six months) and at the earliest prac- ticable time following- (1) The reassignment, transfer or dis- charge of any person having knowl- edge of the combination, or when the. security clearance 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. (2) The compromise or suspected com- promise of the safes and containers or their combinations, or discovery of the container being left unlocked and unattended. (3) The initial receipt of safes, contain- ers, and three-position, dial-type, changeable combination padlocks. Combinations to safes, containers 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 con- tents of the container in accordance with paragraph 14c, or by the facility security supervisor or his designated representative. Under no circumstances shall the changing of the combinations be performed by an out- side locksmith or subcontractor employee. To prevent unauthorized substitution, com- bination padlocks shall be either placed in- side of the open container or secured to a hasp, drawer or handle of the container when it is open. j. Security Checks. Shall perform security checks within the facility to insure that at all times security precautions are taken to 12 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004000'V2r. 5 Approved For Release 2002/08/21 : CIA-RDP94B01041R00030 0001-2 C ; NO 1 5220.22-M protect classified material in the possession of the facility and shall designate an indi- vidual or individuals to make room or area checks during normal working hours to in- sure that all classified material not under surveillance has been properly stored. k. Transmission. Shall establish proce- dures for the proper transmittal of classi- field material in accordance with the provi- sions of paragraph 17. 1. Disposition of Classified Material. Shall return to the contracting officer, or his desig- nated representative all classified material furnished by a User Agency, including all reproductions thereof, and shall surrender all classified material developed by the con- tractor in connection with a User Agency .r.1- contract, program or proposal" 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 no- tification that a bid, proposal or quote has not been accepted. If fur- ther retention is necessary to serve a User Agency purpose, a request for approval shall be submitted to the appropriate contracting officer in accordance with paragraph m, below. 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. s Classified material of the type described in the next to the last sentence of paragraph la, which is not related to a pro- posal or classified contract, may be destroyed in accordance with the provisions of paragraph 19c (unless specifically prohibited), or disposed of in accordance with such instructions as may be issued by the User Agency which originally furnished such material. (3) If a successful bidder. Upon final delivery of goods or services, or upon complete termination of the contract, unless otherwise pre- scribed in the contract or directed by the contracting officer. m. Retention of Classified Material. (1) May retain classified material in special cases when a bid, proposal or w..~ quote is not accepted or upon com- pletion or termination of the con- tract provided the contractor re- quests and justifies such retention and its retention is agreed to by the contracting officer. The contractor shall be authorized to retain classi- fied material only- (a) When retention is necessary for the maintenance of the con- tractor's essential records ; or (b) When classified information is also patentable or is proprie- tary data in which the contrac- tor has title; or (c) When retention of the material will assist the contractor and will benefit the Government in the performance of other User Agency contracts (the con- tracting officer of a current classified contract may author- ize transfer of the material to the current contract when the material is identified by the contractor in accordance with the procedure set forth in para- graph 5m(4)7. In these situa- a When such approval is granted the contracting officer who had cognizance over the classified material shall be notified by the current contracting officer. In the event retention of infor- mation under the circumstances contemplated in this paragraph involves information of a DoD User Agency being retained by a contractor of a non-DoD User Agency, or vice versa, or between non-DoD agencies, the concurrence of the contracting officer of the completed or terminated contract or bid which was not ac- cepted must be obtained by the current contracting officer prior to the authorization for retention being granted. Information authorized for retention under these circumstances will be identi- fled as to its origin, and its ultimate disposition or declassifica- tion will remain with its originating agency. A%W Par. 5 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 13 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.22-M tions the material will be dis- posed of in accordance with paragraph 51 at the completion of the current contract.) ; and (d) When the contractor justifies and requests retention author- ity in writing, indicates the period of time retention is nec- essary and identifies the classi- fied material for which reten- tion is requested as follows: TOP SECRET and SECRET material shall be identified in a list of specific documents un- less, in the case of SECRET material only, the contracting officer has authorized identifi- cation by subject matter and approximate number of docu- ments; CONFIDENTIAL ma- terial shall be identified by sub- ject matter and approximate number of documents. How- ever, authorization of the con- tracting officer is not required for the retention of (i) records held by the contractor in ac- cordance with the records re- tention requirements of the basic contract; (ii) records au- thorized for retention for a specific period under the terms of the basic contract; and (iii) records which, during the con- tract period, the contracting officer has authorized the con- tractor to retain for a specific period following completion of the contract, provided that, in each case, the contractor in- forms the contracting officer of the material to be retained, identifying it in the manner prescribed above. r- (2) Unless otherwise indicated on the material, may retain classified ma- terial which does not relate to a contract, e.g., obtained at classified symposiums or meetings, only as long as needed, but not for a period to exceed one year from the date of receipt. Retention beyond that time is authorized only when the con- tractor requests and justifies such retention, and retention is agreed to by a contracting officer of a cur- rent contract or an official of the User Agency which released the in- formation. 'r"" n. Termination of Security Agreement. Shall, notwithstanding the provisions of paragraphs 1, and m, above, in the event that the Security Agreement is terminated for any reason by either party and is not super- seded by a new Security Agreement, tender all classified material in his possession to the User Agency concerned, or dispose of such' material in accordance with instruc- tions from the User Agency concerned. The Letter of Notification of Facility Security Clearance (DLA Form 381-R) and the con- tractor's copy of the DoD Security Agree- ment (DD Form 441) shall be returned to the cognizant security office. Control station records, reproduction records, destruction certificates and visitor records for which the retention period is not expired at the time of termination of the Security Agree- ment shall continue to be maintained by the contractor until the expiration of the pre- scribed retention period. These records shall be subject to review and recall by the Gov- ernment at any time within the retention period. o. Public Release. Shall not release for public dissemination information pertaining to classified contracts or projects, except as provided in Public Information Security Guidance No. 16 (see Appendix IX), with- out the approval of the Directorate for Se- curity Review, OASD(PA)," in order to preclude the release of information requir- ing protection in the interest of national B If the information pertains to a classified contract or project awarded by a non-DoD agency, request for release shall be sub- mitted to the contracting agency. 14 Approved For Release 2002/08/21 : CIA-RDP94B0l041R000300040001-Par. 5 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004009i1 I DoD 5220.22-M security within the meaning of E.O. 11652. Requests for release shall be submitted to the activity specified in item 13 of the Con- tract Security Classification Specification (DD Form 254). All information developed subsequent to the initial approval shall also be approved by the Directorate for Security Review prior to release. The provisions of this paragraph also apply to unclassified brochures, promotional sales literature, re- ports to stockholders or similar type mate- rial.', As an exception to these release re- quirements, the authority to authorize the release of certain unclassified information pertaining to scientific results of research, development, test and evaluation, has been delegated to User Agencies. p. Classified Sales Literature. Shall not publish or distribute, or permit to be pub- lished or distributed, brochures, promotional sales literature, or similar-type material con- taining classified information, without prior review and written authorization by the con- tracting officer concerned, or his designated representative. The authorization for such publication and distribution shall be indi- cated 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 3c) may be made without specific authorization from the contracting officer for- an unsolicited proposal submitted to User Agency. (3) Classified material submitted in re- sponse to an official request of a User .Agency . q. Disclosure at Meetings. Shall not dis- close in any manner classified information at a conference, seminar, symposium, ex- hibit, convention, or other gathering (here- inafter referred to as a meeting), except under the conditions described below : (1) 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 in- cluding employees of the contractor or subcontractors and consultants thereto, and authorized visitors ; and over which meeting controls have been established to insure that the meeting site is physically secure, that the classified notes, minutes and summaries resulting from the meeting are properly safe- guarded and that the attendees are given sufficient classification guid- ance during the oral presentations ; (1) Classified material which is pub- lished or distributed for necessary use within the organization of the contractor or his 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 User Agency or a cleared prime or subcontractor of a User Agency or classified information contained in oIn addition to the requirements of this paragraph, the release of unclassified technical data is also governed by the Export Con- trol Act of 1949, administered by the Secretary of Commerce, and Section 414 of the Mutual Security Act of 1954, as amended, administered by the Secretary of State through the ITAR. (2) At a meeting conducted by a DoD activity, provided that, when the information to be disclosed is under the jurisdiction of another Govern- ment agency or when the meeting is to be attended by representatives outside the DoD the contractor re- quests the conducting activity to ob- tain 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 Par. 5 15 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 NO 5220.22-M contractor, subcontractors, their employees, and DoD personnel are to attend the meeting; or (3) At a meeting conducted by a con- tractor, association, society, or group, and sponsored by the DoD (including the departments and agencies named in paragraph 1c), provided written approval of the contracting officer concerned is fur- nished to the sponsoring activity prior to the disclosure, and the ad- ditional requirements of paragraph 9 are fulfilled; or (4) At a meeting conducted or spon- sored by Government agencies other than those referred to in paragraph (3) above, provided the contractor requests and obtains written approval from the contract- ing officer concerned prior to the disclosure. r. Controlled Areas. 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. Shall, prior to the issuance of a facility security clearance by the cognizant security office, submit a written SPP (interim or final) in sufficient detail to place into effect all se- curity 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 Man- ual which are immediately applicable to the operations of the facility in connection with the facility's anticipated involvement in the Defense Industrial Security Program. A multiple facility organization or, as pro- vided for in paragraph 72c, a parent-subsidi- ary organization may publish an SPP appli- cable throughout the organization, but such publication shall then be adapted as neces- sary to apply at specific operating locations. A copy of the SPP shall be furnished to each appropriate cognizant security office. The contractor shall modify the SPP upon notification from the cognizant security office that it does not adequately implement the requirements of this Manual. The SPP may be revised at any time after promulgation of a revision to this Manual. However, the SPP shall be revised, as necessary, to implement the revisions applicable to the contractor's operation within 4 months after a revision has been incorporated in reprinted pages of this Manual. The SPP for a facility at which only one employee or management official is assigned shall provide for the noti- fication to the cognizant security office of the death or incapacitation of that employee. Specifically, the SPP shall : (1) Identify by name, address and tele- phone number, the individual (s) who would notify the cognizant se- curity office of such an occurrence, (the said individual (s) would not require access to classified informa- tion and therefore need not be cleared.) ; and (2) Include provisions for keeping the cognizant security office advised of the current combination to the con- tainer; and, in the case of one-per- son facilities of a multiple facility organization, keep the HOF secur- ity supervisor advised of the cur- rent combination to the container. t. Special Access Programs. Shall imple- ment Special Access Program requirements when such requirements are included in a DD Form 254 or other appropriate contract- related document. u. Defensive Security Briefing. (1) Shall require all cleared employees (including cleared directors), Type A consultants, and temporary help supplier personnel, to inform him of their intended travel to or 16 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-fa r. -5 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000409~*21 DoD 5220.22-M through a Communist country," attendance at an international scientific, technical, engineering or other professional meeting, regard- less of geographic location of such meeting, when it can be anticipated 10 Communist countries are: Albania, Bulgaria, Cambodia, Chinese Peoples Republic (Communist China) (including Tibet), Cuba, Czechoslovakia, Communist Korea (North Korea), German Democratic Republic (GDR) (East Germany, including the Soviet Sector of Berlin), Hungary, Laos, Mongolian Peoples Republic (Outer Mongolia), Poland, Rumania, Union of Soviet Socialist Republics (USSR) (including Estonia, Latvia, Lithuania, and all =wWother constituent republics, Kurile Islands and South Sakhalin (Karafuto)), Vietnam and Yugoslavia. that representatives of Communist countries will participate or be in attendance, or of plans to host an unclassified visit by representatives of Communist countries at a facility engaged in classified work or re- search. In instances where the indi- vidual is located at a using contrac- tor or User Agency as a consultant or an employee of a temporary help supplier, the using contractor or User Agency, as appropriate, will be notified of the intended travel, attendance at a meeting, or hosting Par. 5 16.1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040B01 3220.22-M of a visit. In the case of a facility where only one individual is lo- cated, the cognizant security office will be so informed. Where an indi- vidual works for more than one contractor or User Agency, each will be notified, and in the case of temporary help supplier personnel, the principal employer in addition to the using contractor or User Agency shall be notified. (2) Shall provide the individual or em- ployee a defensive security briefing, based upon the guidance contained in Appendix VII. For temporary help supplier personnel, only one contractor or User Agency (where access is at the highest level) is required to accomplish the briefing. Usually the individual involved would be in the best position to de- termine which contractor or User Ag-ency can most conveniently ac- complish the briefing. Accordingly, the individual should make appro- priate arrangements with that ac- tivity and furnish the other con- tractors or User Agencies at which he is employed, an advance notice stating when and by whom the briefing is to be given. Individuals and employees who frequently travel, attend meetings, or host visitors as described above, need not be briefed on each such occa- sion provided the individual or em- ployee has been thoroughly briefed at least once within the preceding 6 months and reminded of his se- curity responsibilities. Prior to de- parture of personnel for travel to or through a Communist country, or to attend a meeting outside the U.S., all classified information in their custody shall be accounted for by the using contractor or User Agency. (3) Shall, on completion of the briefing, obtain from the individual or em- ployee briefed a statement identify- ing who furnished the briefing and attesting that he understands his individual responsibility for safe- guarding classified information. The stateme,,' of the individual or employee ;h, !A be retained for at least 3 years where the employee has had access to TOP SECRET, CRYPTOGRAPHIC or Special Ac- cess information, and for at least 2 years where access has been to SECRET or CONFIDENTIAL in- formation. In the case of temporary help supplier personnel, the state- ment shall be forwarded to the tem- porary help supplier for retention. If the User Agency or cognizant security office conducts the briefing, they are responsible for obtaining the briefing statement. (4) Shall submit a report as required by paragraph 61 )(9), unless the User Agency or cognizant security office conducted the briefing, in which case they shall submit the report, v. Relationships With Citizens or Resi- dents of Coinmu.nist Countries.1? (1) Shall require all cleared employees, including those in the process of being cleared by the DoD, to im- mediately notify the contractor who shall submit a report to DISCO in accordance with paragraph 6b (4), if either or both of the f ol- lowing events should occur subse- quent to the completion of the em- ployee's personnel security clear- ance forms: (a) When a member of the im- mediate family of the employee or the employee's spouse takes up residence in a Communist country ; or Par. 5 17 Approved For Release 2002/08/21 :CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M (b) When, through marriage, the employee acquires relatives who are. citizens or residents of a Communist country. or if any classified material is miss- ing. A report shall be submitted in accordance with paragraph 6a(1) or (2) if appropriate. (2) Shall require all temporary help supplier personnel, while such per- sonnel are working under the con- tractor's direction and control on the using contractor's classified programs or contracts, to immedi- ately notify the contractor if either or both of the events in paragraphs (a) and (b) above should occur. In such a case, the contractor shall then take action to ensure that the temporary help supplier is notified so that he can take action to sub- mit a report to DISCO in accord- ance with paragraph 6b(4). w. Emergency Procedure. Shall include in his SPP general instructions for safeguard- ing classified material in emergency situa- tions such as a natural disaster or any civil disturbance. The procedure shall be as simple and practicable 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 cognizant security office and contracting officer, by the most expeditious means, of any emergency situation which renders the facility incapable of safeguard- ing the classified material (see paragraph 6a (17) ). Courses of action, not necessarily limited to the following, are available to the contractor to safeguard the classified ma- terial in his possession: (1) Secure the classified material in authorized storage containers or controlled areas. If feasible, a guard (s) should remain with ma- terial secured in controlled areas. The storage containers and con- trolled areas shall be examined upon return to the facility to de- termine whether the classified in- formation has been compromised (2) Request assistance from appro- priate civil authorities, including local and State law enforcement agencies. (3) Seek legal remedies such as the is- suance of a court restraining order or injunction against interference with the contractor in the exercise of his property rights or in the dis- charge of his contractual obliga- tion to safeguard classified infor- mation. (4) Request, when necessary, the assist- ance of the cognizant security of- fice; for example: (i) in obtaining the legal remedies described in paragraph (3) above; and (ii) in arranging for the removal and safe- keeping of the classified material by either the cognizant security office, contracting activity or a military activity located at or near the facil- ity. x. Release or Transmission Outside Con- tractor's Facility. Shall obtain the approval of the contracting officer prior to release or transmission of TOP SECRET information outside a contractor's facility in every in- stance. With respect to SECRET and CON- FIDENTIAL information, the contractor shall obtain the contracting officer's approval for release or transmission outside the con- tractor'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 per- formance of the contract. (3) In connection with pre-contract 18 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001Pgr. 5 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040$0H 220.22-M negotiations with prospective sub- contractors, vendors or suppliers. (4) In prime contractor-subcontractor, multiple facility, and parent-subsid- iary relationships as authorized by Sections VI and VIII, respectively. (5) During visits among prime con- tractors which are participating under Government direction in con- tracts pertaining to research, de- velopment or production of a weapons system (see paragraph 3bw). When a contract requires classified material to be disseminated by a contractor to another contractor in accordance with a standard mailing or distribution list, and there is no current contractual relationship of a classi- fied nature between the contractor and a designated recipient, the releasing contrac- tor shall verify the facility security clear- ance and safeguarding capability of the recipient prior to making the first release of any material, except when advised by the contracting activity supplying the distribu- tion list that it will retain the responsibility for these determinations. If appropriate, the cognizant security office 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 ac- tivity and contract number) for a specified period (not to exceed the estimated date of contract completion or renegotiation), unless advised by the cognizant security office of a change adversely affecting the recipient's facility security clearance or safeguarding capability. When the mailing or distribution list requires dissemination of the material to a User Agency installation, the foregoing requirements do not apply, but the material shall be transmitted in accordance with para- graph 17. y. DoD Technical Information Dissemina- tion Activities. Shall forward the Facility Clearance Register (DD Form 1541) which replaces DDC Form 20, to the cognizant se- curity office when making the first or initial application for access to classified scientific and technical information in the possession of the DDC, 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, Ala- bama. This form is used to obtain certifica- tion of the category of classified material which 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 Technical Information Services (DD Form 1540) which replaces DUC.Form 62. When certified, the DD Form 1541 remains in effect for all future regis- trations and until the contractor's facility security clearance 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 User Agency contracting officer in accordance with guidance provided by DDC. Scientific and. technical information acquired from DDC, 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, dis- closure 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 con- tractor shall either destroy the material in the manner prescribed in paragraph 19 or obtain authorization to retain the documents from the sponsoring User Agency in accord- ance with paragraph 5m. The placing of an appropriate notation on each document, indi- cating.the specific contract to which it per- tains, will assist in achieving compliance with this requirement. DDC Forms 20 and 62, certified prior to 1 January 1966 need not be recertified. Par. 5 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 19, Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M z. List of Classified Contracts. Shall, after receiving notice of a forthcoming security inspection, prepare a listing of all classified contracts on which the facility is currently performing. aa. Investigative Assistance." Shall coop- erate fully with representatives of Federal investigative agencies and of the cognizant security office conducting official investiga- tions pertaining to the unauthorized dis- closure of classified information or concerning the eligibility of personnel requiring access to User Agency classified information. This should include providing suitable arrange- ments within the facility for conducting pri- vate interviews with employees during nor- mal working hours and making employment and security records available for review upon request by such representatives and otherwise rendering assistance as necessary. ab. Temporary Help Supplier Personnel. Shall orient temporary help supplier person- nel in the security practices and procedures of the facility which will enable such person- nel to understand and comply with the pro- cedures applicable to the duties which they are to perform. The using contractor will also submit, as appropriate, reports pertain- ing to such personnel while they are actually working at his facility under his direction and control. This action by the using contrac- "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 indi- vidual only to the extent that the disclosure of the information would reveal the identity of a source who furnished the informa- tion to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidene. In appropriate cases the DoD will entertain a request from a defense contractor or its employees for such assistance as may be necessary against a 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. tor in no way relieves the temporary help supplier from complying with the require- ment for security indoctrination and train- ing of his employees or other concurrent re- quirements of this Manual. ac. Self Inspections. Shall conduct his own self-inspection program for the purpose of evaluating all security procedures applicable to the facility's operations. The contractor shall review his security system on a con- tinuing basis and shall also schedule a formal self-inspection so as to occur at a reasonable interval, i.e., midway between regularly scheduled Government inspections conducted by the cognizant security office. The inspec- tion may be conducted by a security repre- sentative(s) froze the facility or by a home office of cleared parent representative (s) at the discretion of management. In any event, management shall establish, at an appropri- ate organizational level, a procedure for evaluating the effectiveness of the self-in- spection program. Self-inspections shall con- sist of an audit of all of the facility's oper- ations in light of its SPP and the require- ments of this Manual. As a minimum, self- inspections will include all elements nor- mally inspected by the cognizant security office. Deficiencies identified as a result of self-inspections shall be corrected as expe- ditiously as possible. In the event difficulty is encountered in resolving a deficiency, the cognizant security office will provide assist- ance upon request. The contractor shall maintain a record of the dates upon which the self-inspection has been accomplished, and this record must be available for review during the next regularly scheduled inspec- tion by the cognizant security office. 6. Reports a. The contractor shall submit immediately in writing to the cognizant security office-12 12 When the facility or contractor activity is located on a User Agency installation, and the Commander or Head of that installation is performing certain prescribed functions of a cognizant security office, the original copy of the report shall be furnished to the Commander or Head of the installation with an information copy of the report furnished to the cognizant security office. 20 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040GM~Q 5 &6 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 DoD 5220.22-M (1) Espionage, Sabotage, or Subver- -1110 Activities. An information copy of any report filed under paragraph 6c with the FBI. (2) Loss, Compromise or Suspected Compromise. A report, classified if appropriate, of any loss, compro- mise (including deliberate compro- mise) or suspected compromise of classified information." (1) Other Security Violations. A report, in addition to the requirement of paragraph (2) above, classified if appropriate, of each violation of the requirements of this Manual involv- ing TOP SECRET or Special Ac- cess information, RESTRICTED DATA, or COMSEC information, regardless of classification, which the contractor possesses in connec- tion with User Agency contracts or programs.Y" (4) Changed Conditions. A report of : they have been excluded from access in accordance with the provisions of paragraph 22e; or (iii) whether they have been temporarily excluded from access pending the grant- ing of their personnel clear- ance. (d) Any OODEP who becomes a representative of a foreign in- terest as defined in paragraph 3 b b or whose status as a rep- resentative of a foreign inter- est changes in a manner that would make him ineligible for a personnel security clearance pursuant to paragraph 20k. (e) Action to terminate business for any reason, imminent ad- judication or reorganization in bankruptcy, or any change that might affect the validity of the DD Form 441. (a) Any change of ownership, in- cluding stock transfers that af- fect control of a corporation. (b) Change of operating name or address of the facility (s) cov- ered by the DD Form 441. (e) Any change in officers, direc- tors, partners, regents, trus- tees or executive personnel, in- cluding, as appropriate, the names of the individuals they are replacing. In addition, a statement shall be made indi- cating (i) whether the new of- ficers, directors, partners, re- gents, trustees, or executive personnel are cleared, and if so, to what level and when, their date and place of birth, and their citizenship; (ii) whether (f) Any change which affects the information previously re- ported by the contractor on the Certificate Pertaining to For- eign Affiliation (DD Form 441s). This report will be made by the submission of a revised DD Form 441s. More- over, when entering into dis- cussions 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. Ad- ditionally, when the contractor becomes aware of negotiations for the sale or transfer of se- curities to a foreign interest and such sale or transfer Par. 6 21 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M would necessitate the submis- sion of a revised DD Form 441s, the details will be re- ported by letter. Reports made pursuant to the foregoing are presumptively proprietary and will be protected from un- authorized disclosure and han- dled on a strict need-to-know basis. When such reports are submitted in confidence, and so marked, applicable exemp- tions to the Freedom of Infor- mation Act will be invoked to withhold them from public disclosure. (In cases where the contractor considers the infor- mation to be particularly sen- sitive or delicate and wishes to further restrict dissemination, the foregoing report may be appropriately marked and sub- mitted to the Executive Direc- tor, Industrial Security, HQ DLA-N, Room 8A392, Cameron Station, Alexandria, Virginia 22314, in lieu of the cognizant security office.) (5) Change in Closed or Restricted Areas. A report of any change, in the location of Closed or Restricted Areas established under the provi- sions of Section IV, including the creation of any new areas requir- ing approval of the cognizant se- curity office. report the acquisition of additional containers approved for storage at the same level as that previously reported to the cognizant security office.) (7) Employee Information in Compro- mise Cases. A report, upon the writ- ten request of the cognizant secur- ity office, of information concerning any employee working in any of his plants, factories, or sites where work for a User Agency is being performed, when the information is needed in connection with the loss, compromise or suspected com- promise of classified information. (8) Category of Classified Information. A report of the highest classifica- tion category of classified material received or generated at the facil- ity. However, when the classifica- tion 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 in- spection, an additional report need not be submitted. (9) Termination Statement. A report, in accordance with paragraph 5g, when an employee refuses to exe- cute DLA Form 482. (6) Change in Storage Capability. A report of any change in the stor- age capability which would raise or lower the level of classified in- formation which the contractor is able to safeguard. (This provision does not require the contractor to (10) Delay in Shipment. A report, in ac- cordance with paragraphs 17c(5) (d) and 17d (3) (d) of the delay in the movement of classified material by commercial carriers of more than 48 hours after the expected time of arrival. 22 Par. 6 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040M-?f DoD 5220.22-M (11) Evidence of Tampering. A report, in accordance with paragraph 12e (2) or 17g, of evidence of tamper- ing with a shipment containing classified material. (12) Improper Shipment. A report when a classified shipment is received by other than an approved method pre- scribed by paragraph 17. (13) Badges and Identification Cards. A report, in accordance with para- graph 8c, which will inform the cognizant security office of the adoption of a new or revised em- ployee badge or identification card system. (/4) Authorization to Apply Classifica- tions. Upon request, a report in ac- cordance with paragraph 10e(4) of the number of individuals cur- rently authorized by the contractor to apply a classification to informa- tion at each of the following cate- gories : TOP SECRET, SECRET, and CONFIDENTIAL. (15) Location or Disposition of Classi- fied Material Terminated From Ac- countability. A report, in accord- ance with paragraph 12h(2), when the whereabouts or disposition of classified material previously ter- minated from accountability is sub- sequently determined. (16) Inability to Safeguard Classified Material. A report, by the most ex- peditious means, of any emergency situation such as a natural disaster or civil disturbance which renders the facility incapable of safeguard- ing all classified material (see paragraph 5w). A report shall also be provided to all contracting offi- cers concerned. This requirement of the DoD does not preclude similar reporting of the incident to appro- priate local, State, and Federal civil authorities as the situation warrants. (17) Annual Reports of OODEPs. An annual report of OODEPs required to be cleared in connection with the facility security clearance pursuant to paragraph 22. The report shall designate by name those individ- uals granted a Letter of Consent (DISCO Form 560), those who are being processed for a security clearance, and those who have been excluded from the requirements for a security clearance pursuant to paragraph 22e. The report shall also contain, as appropriate, the infor- mation specified in paragraph 6a(4) (c) for each individual. The report shall be signed by an OODEP of the facility. (18) Foreign- Classified Contracts. A re- port of any precontract negotiation or award of a foreign or NATO con- tract from a foreign firm or gov- ernment involving either U.S. or foreign classified information which is not placed through a User Agency. (19) Receipt of Classified Material Not Related to a Classified Contract, Project or Program. A report of the receipt of classified material which is not related to a contract, project or program and for which no spe- cific safeguarding and disposition instructions have been received; further, if the contractor has been unable to obtain classification guid- ance or disposition instructions from the Government originator, or the Government activity releas- ing the material, the report shall so state. The report should identify the material by source, originator, quantity, subject or title, date and classification category. Par. 6 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 23 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M b. The contractor shall submit the follow- ing reports immediately to the DISCO, Columbus, Ohio 43216, unless the individual involved is or was required to be cleared in connection with the facility security clear- ance pursuant to paragraph 22, in which case the report will be submitted to the cog- nizant security office.' (1) Adverse Information. A report, classified if appropriate, of any in- formation coming to his attention concerning any of his employees who have been cleared or who are in the process of being cleared for access to classified information, which indicates that such access or determination may not be clearly consistent with the national inter- est. 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 indi- vidual is employed on a User Agen- cy installation, a copy of such re- port shall be furnished to the Commander or Head of the User Agency installation. Where the employee concerned had been granted a CONFIDENTIAL clear- ance by the contractor in accord- ance with paragraph 24b, and is not in process for a Government granted security clearance, the clearance forms specified in para- graph 26c shall accompany the re- port of adverse information. This requirement to submit information reports also applies to cleared tem- porary help supplier personnel or Type A consultants utilized by the contractor. This requirement in no way affects the temporary help sup- plier's responsibility for submis- sion of such reports when adverse information regarding his employee is brought to his attention. (2) Change in Employee's Status. A report of the death, the change in name or the termination of employ- ment of those employees who have been or are in the process of being cleared by the DoD for access to classified information, or who have taken residence or assignment out- side the U.S., Puerto Rico, Guam or the Virgin Islands for a period in excess of 90 consecutive days dur- ing any 12-month period. Con- tractor employees visiting under Section V., are not included under provisions of this paragraph. Such changes will be reported by sub- mission of a Personnel Security Clearance Change Notification (DLA Form 562-R). If the indi- vidual is reemployed within a 12- month period, DISCO shall also be notified immediately. Clearances may not be reinstated after the 12- month period has elapsed. Addition- ally, if it is subsequently deter- mined that an employee who is in the process of being cleared by the DoD will not require access, DISCO shall be notified immediately so as to permit termination of the in- vestigative action. When an indi- vidual is placed in a temporary lay- off status, a report of termination of employment is not required pro- vided reemployment occurs within 12 months. (3) Official Investigation. A report upon the written request of DISCO, of information concerning any em- ployee working in any of his plants, factories, or sites where work for a User Agency is being performed when the information is needed in connection with an official investi- gation. (4) Relationships in Communist Coun- tries. A report in accordance with paragraph 5v, of the establishment of a relationship between a cleared employee, or one that is in the 24 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-Par. 6 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040 8 2 (5) process of being cleared by the DoD and a citizen or resident of a Communist country. Representative of a Foreign Inter- est. A repot t of any cleared em- ployee (including those in the proc- ess of being cleared by the DoD), except those covered by paragraph 6a(4), who become representatives of a foreign interest as defined in paragraph 3bb or whose status as a representative of a foreign in- terest changes in a manner that would make him ineligible for a personnel security clearance pur- suant to paragraph 20k. (6) Changed Intentions and Foreign Residence or Assignment of Immi- grant Aliens. A report of (i) resi- dence or the assignment of a cleared immigrant alien outside the U.S. (including Puerto Rico, Guam or the Virgin Islands). Such indi- viduals on visits of 90 consecutive days or less to foreign areas are not considered to be assigned out- side the U.S., or (ii) a change in the intention of a cleared immi- grant alien to reside permanently in the U.S., Puerto Rico, Guam or the Virgin Islands. An immigrant alien's change of intent to reside permanently in the U.S., and resi- dence or the assignment of an im- migrant alien outside the U.S., Puerto Rico, Guam or the Virgin Islands negates the basis (see para- graph 25) upon which the Letter of Consent was issued, and the Letter of Consent will be administratively terminated without prejudice by DISCO upon receipt of contractor notification. Except in connection with visits of 90 consecutive days or less in any 12-month period immi- grant aliens may not be authorized access to classified information when visiting outside the U.S., Puerto Rico, Guam or the Virgin Islands. Visits in excess of 90 con- secutive days duration, in any 12- month period, shall invalidate any existing clearance. (7) Citizenship by Naturalization. A report of a cleared immigrant alien who becomes a citizen through naturalization. This report will be made by the Personnel Security Clearance Change Notification (DLA Form 562-R), setting forth in the "Remarks" block (i) city, county and State where natural- ized; (ii) date naturalized; (iii) court and, (iv) certificate number. Upon receipt of such a report, DISCO will issue a new Letter of Consent (DISCO Form 560). (8) Category 5 Visit Authorization. A report of the termination of a Category 5 visit authorization, in accordance with paragraph 41e, when the requirement for such au- thorization ceases to exist prior to the expiration of the period for which it is valid. (9) Travel or Attendance at Meeting. A report in accordance with para- graph 5u, upon completion of travel to or through a Communist coun- try, or attendance at an interna- tional meeting outside the U.S. when Communist representatives participated or attended. The re- port shall include the employee's full name, clearance status, date and place of birth, a brief descrip- tion of the projects, including the category of classified information, to which he had access during the past 2 years (depending upon the period of employment or utilization by the contractor in the case of temporary help supplier personnel), Par. 6 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 25 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DaD 5220.22-M the countries visited or the meet- ing attended, the dates of the travel and the employee's statement of the purpose and objective of the travel. The report shall include, if appro- priate, a narrative statement of the circumstances surrounding all hos- tile intelligence efforts to obtain in- formation from or to compromise the traveler, or of any endeavor by an unfriendly interest to establish a continuing relationship with the employee. (10) Employees Desiring Not to Per- form on Classified Work or Accept Security Responsibility or Requests to Terminate Clearance or Clear- ance Processing. A report upon no- tification by an employee that he no longer wishes to be processed for a clearance pursuant to paragraph 26, or to continue an existing per- sonnel security clearance. =n?- c. The contractor shall submit immedi- ately, in writing," to the nearest field office of the FBI a report, classified if appropriate, containing any information coming to his at- tention concerning existing or threatened espionage, sabotage, or subversive activities at any of his plants, factories, laboratories, or other sites, at which work for any User Agency is performed, or at which related ma- terial is acquired, stored, fabricated, or man- ufactured, or is in process of research or development. ported to the facility security supervisor. Classified material which is out of the con- trol of its custodian or which cannot be lo- cated shall be presumed to be lost until an investigation determines otherwise. b. The contractor shall establish such pro- cedures as are necessary to insure that any employee discovering the loss, compromise, or suspected compromise of classified infor- mation outside a facility promptly reports such a fact to : (1) The nearest office of the FBI and furnish sufficient information to as- sist in identification of the infor- mation. If the loss, compromise, or suspected compromise occurs out- side the U.S., the nearest U.S. au- thorities shall be notified in lieu of the FBI; and (2) The facility security supervisor, by the fastest means of communica- tion, who will then comply with paragraph c, below. c. Immediately upon 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. In the event of loss, a thorough search shall be con- ducted for the classified material. 7. Loss, Compromise, or Suspected Com- promise of Classified Information a. The contractor shall establish a proce- dure to insure that each loss, compromise, or suspected compromise of classified informa- tion and each failure to comply with a re- quirement of this Manual is immediately re- 13 If time is of the essence and the initial report is made via surmol" phone to the FBI, it must be followed in writing regardless of disposition made of the report by the FBI. d. 'If the contractor's 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 cognizant security office in accordance with paragraph 6a(2) or 6a(3), as appropriate, and conduct a complete investigation of the 26 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004000'-12rs. 6 & 7 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000409911r4 DoD 5220.22-M incident unless otherwise notified by the cognizant security office. Submission of the report shall not be deferred pending com- pletion of the contractor's investigation. e. Upon completion of the investigation prescribed in paragraph d, above, a final re- port shall be submitted to the cognizant se- curity office referencing the preceding pre- liminary report, and containing the follow- ing : (1) A resume of the essential facts surrounding the incident, such as where, when and how it occurred, and what were the contributing factors. (2) The name and position of the indi- vidual(s) who was primarily re- sponsible for the incident, includ- ing a record of prior loss, compro- mise, suspected compromise, or failure to comply with the require- ments of this Manual for which the individual had been determined re- sponsible. (3) A statement as to the corrective ac- tion taken to preclude a recurrence of similar incidents and the dis- ciplinary action taken against the responsible individual(s), if any. (4) Specific reasons for reaching the conclusion that (i) loss or compro- mise occurred, (ii) compromise is suspected, (iii) the probability of compromise is considered remote, or (iv) compromise did not occur. In reporting the loss or compromise of classified material, sufficient de- scriptive data shall be furnished to permit the User Agency concerned to properly identify the material in- volved, such as originating activity or contractor, date of origin, docu- ment title, number of pages, de- scription of contents, and the con- tract or program under which the material was received or produced. 8. Badges and Identication Cards a. Employee Badges. Provided the con- tractor deems it necessary, he may use iden- tification cards or badges to assist in iden- tifying the level of security clearance of the holder and/or to indicate that the holder is authorized to enter Closed or Restricted Areas. If identification cards or badges are used for such purposes, the following shall apply : (1) The minimum identifying informa- tion to be shown on employee's identification badges or cards shall be the name and photograph of the holder. Other descriptive informa- tion to identify the authorized hold- er may be included on badges and/ or cards at the option of the con- tractor. (2) The identification badge or card may include color or symbol coding to indicate the level of security clearance of the holder and/or that he is authorized to enter a Closed or Restricted Area, or a separate coded badge or card may be used for such purposes. When the com- bination of badges and/or cards are used, both must bear correlat- ing data such as the same registra- tion number or the name of the holder. However, where classified material is released to an employee (e.g., at a control station, blueprint crib, technical library) or entry into a controlled area is permitted on the basis of identification creden- tials, the verification of the creden- tials, (whether card, badge or com- bination thereof) shall include a check or the minimum identifying information prescribed in para- graph (1) above. (3) The words TOP SECRET, SE- CRET or CONFIDENTIAL, or ab- breviations thereof, shall not ap- pear on the badges or identification cards. Pars. 7 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 27 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M (4) The makeup and construction of badges and identification cards shall be designed to minimize the possi- bility of tampering or unauthorized use. (5) Badges and identification cards, coded to indicate the level of se- curity clearance or access to Closed or Restricted Areas, shall be rigid- ly controlled and accounted for by the contractor by use of a number- ing system. Such controls shall ap- ply equally to permanent and tem- porary cards and badges. Badges and identification cards shall be promptly recovered, or when ap- propriate, recoded whenever an em- ployee's requirement for access or entry to a controlled area no long- er exists due to an internal trans- fer, termination of employment, revocation of security clearance, or for other appropriate reasons. (6) Coded badges and cards shall be considered only as an aid in deter- mining the current level of person- nel security clearance 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 identi- fication card may be issued to per- sons referred to in paragraphs 37h and 41a. b. Visitor Badges. A badge of such design as the contractor considers suitable 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 para- graph a(7), above, shall not be used to indi- cate the visitor's security clearance status. Visitors' badges shall be recovered at the conclusion of the visit and they shall be rigid- ly controlled and accounted for by the con- tractor. c. Reporting. The procedure for the use of badges or identification cards as authorized in paragraphs a and b, above, shall be in- corporated in the SPP. In addition, the adoption of a new employee badge or identi- fication card or any change in an existing badge or identification card shall be re- ported to the cognizant security office in accordance with paragraph 6a(13). d. Use on User Agency Installations. The use of badges or identication cards to indi- cate the level of personnel security clearance of individuals performing duties within a User Agency 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. a. Requests for Sponsorship. A contractor desiring to conduct a meeting requiring DoD sponsorship shall submit his request to the DoD activity having principal interest in the subject matter of the meeting. Only one activity may sponsor a meeting on be- half of the DoD. Therefore, a request shall be sent only to one DoD activity at a time. If that activity declines to accept sponsor- ship, or if it should be appropriate to change the sponsoring agency, the request may be sent to another DoD activity having a prin- cipal interest in the subject matter of the meeting. Such requests shall include the details concerning all prior requests. Ap- proval and sponsorship by the DoD will normally be granted only for a meeting con- ducted by a cleared DoD contractor. How- ever, a meeting conducted by an association, society, or group whose membership consists primarily of cleared DoD contractors may be sponsored, provided a cleared contractor is designated and accepts overall security responsibility on behalf of the association, 28 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R0003000409% J- & 9 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040 0-i DoD 5220.22-M society or group for the meeting. The re- plish the purpose of those interests. The re- quest shall explain how the interests of na- quest shall also include a list of any foreign tional defense will be served by disclosing nationals or representatives of foreign in- classified information at the meeting, and terests (individual, firm, or government) why the use of conventional channels for whose attendance at the meeting is required. release of the information will not accom- Par. 9 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 28.1 Approved For Release 2002/08/21 : CIA-RDP94B01041R00030004%OoQd-5220.22-h1 b. Attendance of Foreign Nationals or Representatives of a Foreign Interest.- No invitation, written or oral, shall be tendered to a foreign national, or to a representative of a foreign interest, to attend any session of a meeting sponsored by a DoD activity until approval for his attendance has been received from the sponsoring activity. If the attendance of a foreign national or repre- sentative of a foreign interest is required, a written request in advance of the meeting shall be submitted and shall include- (1) Identification of the foreign na- tional or representative of a foreign interest by name, nationality, and government, individual or firm rep- resented. (2) Sessions or subect matter for which access authorization is desired. (Nationals or representatives of Communist countries shall be ex- eluded without exception, from at- tendance at any classified session.) (3) Subject titles of scientific, technical, and other papers scheduled for pre- sentation by any foreign national or representative of a foreign in- terest. c. Location of Meetings. The sponsoring activity is responsible for evaluating and approving the location proposed for the meeting. (1) Meeting 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 14 Persons granted Canadian or U.K. Reciprocal clearances, and representatives of foreign interests cleared for access to classified information under the Department of Defense Security Program, are not subject to the limitation of paragraph 9b. However, persons granted Canadian or U.K. Reciprocal clear- ances are subject to the access limitations prescribed in para- graph 31. means for safeguarding classified presentations. Under this criteria, the proposed site would have to be located within the physical bound- aries of a cleared facility as indi- cated on the Facility Security Clearance Survey (DD Form 374). 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. (2) Meetings at which information classified no higher than CONFI- DENTIAL is to be disclosed shall normally be held on a U.S. Govern- ment installation or at a cleared facility. However, if suitable fa- cilities are not available at a Gov- ernment installation or contractor facility, the use of other locations may be approved provided adequate security can be maintained. Con- tractor requests to use a location other than a Government installa- tion or contractor facility shall in- clude- (a) A justification of the proposed location ; (b) An explanation why a Gov- ernment installation or cleared facility cannot be used; and (c) An explanation why separate classified and unclassified ses- sions cannot be scheduled, thereby permitting the use of a Government installation or a cleared facility for the classi- fied portions of the meeting. d. Security Procedures. When sponsorship of a meeting has been accepted by a DoD Par. 9 29 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M 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- (1) 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- (a) Determining and assuring that all persons selected and ap- proved to attend classified ses- sions have been granted a se- curity clearance 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 ac- cess in promoting the interests of national defense. For con- tractor personnel, the certifica- tion of security clearance and need-to-know shall be accom- plished as provided in para- graph f, below. (b) Review and approval by the sponsoring activity of all an- nouncements and invitations related to the meetings and lists of attendees pertaining thereto. Announcements and invitations shall be unclassi- fied, and shall include the name of the sponsoring activity and the date of the approval. 1. Notices and announcements of meetings, whether clas- sified, unclassified, or mixed, and not amounting to invi- tations 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 at- tend (whether on an indi- vidual or class basis) shall not be sent to a person known to be from or a rep- resentative of a Communist country. 110. In the case of mixed meet- ings, i.e., those having both classified and unclassified sessions, the restrictions as to invitations to persons known to be from or repre- sentatives of a, Communist country to attend are appli- cable to the classified ses- sion. As to the unclassified session, such notice or invi- tation to attend shall not be sent to persons known to be from or a representative of a Communist country unless and until specific authoriza- tion, on an individual name basis, has been made in ad- vance by the Secretary or Head of the User Agency or his designee. (2) Safeguarding and controlling the distribution of notes, minutes, sum- maries, recordings, proceedings, and reports on the classified por- tions 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 au- thorize 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 Government activity or cleared con- tractor facility and marked for the 30 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2Par. 9 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001 Dod 5220.22-M attention of the intended recipient, as provided for in paragraph 17k. (3) Notifying each person who pre- sents or discloses classified infor- mation at the meeting of the secur- ity limitations on disclosures for such reasons as the level of clear- ance or need-to-know of members of the audience or other limitation established by the Government. (4) Assuring the physical security of the meeting site and the area used for classified sessions or displays. This shall include provisions for guards, entrance controls, person- nel identification, storage facilities, and adequate security against un- authorized access to, or illicit ac- quisition of, the classified informa- tion. (5) Insuring that attendance at a meet- ing or session at which classified information is to be disclosed is limited to persons whose names ap- pear on an approved access list, and then only upon proper identifi- cation. (6) Submitting the minutes, 'sum- maries, recordings, proceedings, and reports of the meeting to the sponsoring activity for security re- view and for approval of the distri- bution proposed therefor. (7) Assuring that individuals making oral presentations at meetings pro- vide classification guidance suffi- cient to enable attendees to identify what information is classified or unclassified, and if classified, at what category or categories of clas- sification. e. Requests for Disclosure Authority. A contractor desiring to disclose classified in- formation at a meeting as provided in para- graph 5q(3) or 5q(4) shall- (1) Obtain prior written authorization for each proposed disclosure of classified information from the con- tracting officer having jurisdiction over the information involved. If authorization for foreign nationals to attend the meeting has been re- quested from the sponsor, that fact shall be stated in the request for disclosure authority. (2) Furnish a copy of the disclosure authorization to the Government activity conducting or sponsoring the meeting. (3) Furnish a written copy of the presentation, as made, to the con- tracting officer and to the con- ducting 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 clearance status of the employee who will attend the classified meeting. (2) Forward the application or request to attend the meeting, together with the necessary justification (see paragraph d (l) (a), above) to the contracting officer for the classi- fied contract under which access is being justified, requesting that it be forwarded to the sponsoring ac- tivity following determination of the employee's need-to-know. How- ever, where access is being justi- fied under a User Agency program, rather than a contract, the request shall be forwarded for determina- tion of need-to-know to the official of the User Agency activity who is monitoring the contractor's partici- pation in the program. Par. 9Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 31 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 DoD 5220.22-M SECTION II HANDLING OF CLASSIFIED INFORMATION 10. Classification a. The security classification to be applied to information involved in User Agency con- tracts and programs will be supplied by the contracting officer or his designated repre- sentative of the User Agency concerned. The DD Form 254, attachments and supple- asaw ments, as appropriate, provide classification specifications to be used for this purpose. The completed DD Form 254 is the basic document for conveying to the contractor the classification, regrading, and declassifica- tion specifications for a classified contract. It is designed to identify by a combination of a check list and narration the specific items of classified information involved in the contract which require security classification protection. Contractors are encouraged to advise and assist in the development of the classification specification in order that their technical knowledge may be utilized and they may be in a better position to anticipate the security requirements under the contract and organize their procedural and physical plant layout accordingly. b. An original DD Form 254, which sets ..o forth the classification specification or cites the classification guidance in item 15, is pro- vided to the contractor by the User Agency with an RFP, RFQ, IFB, or other solicitation and with the award of 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 found necessary. The User Agency reviews the existing classification specification periodically during the contract and at least once annually. When the annual review establishes that no change is neces- sary in the existing specification, the prime contractor is advised in writing. A final DD Form 254 is issued upon final delivery of goods or services or upon termination of the contract when authority is granted under paragraph 5m for the contractor to retain classified material originated by the User Agency or generated by the contractor in the performance of the contract, or when all classified material, for which retention au- thority would be required, is ordered imme- diately declassified. A final DD Form 254 is not issued, however, when authority is granted under paragraph 5m for the con- tractor to retain only reference material (see paragraph 3az.). Reference material is marked by its originator to reflect the auto- matic downgrading and declassification in- structions. When it is not so marked, the contractor is responsible for applying the appropriate marking in accordance with paragraph A4, Appendix II. c. When a final DD Form 254 is in effect, and at the conclusion of a retention period authorized under paragraph 5m, the contrac- tor requests an extension of the retention period, the Liser Agency will conduct a re- view to insure that the contractor has a continued requirement for possessing the classified material and to revise the existing classification specification as necessary to cover classified material for which extension of retention authority is authorized. d. The application of a security classifica- tion to information developed by the con- tractor shall be based on (i) the classification guidance furnished by the contracting officer of the User Agency in accordance with para- graph a., above, or (ii) the contractor's knowledge that such information is in sub- stance the same as, or would reveal, other information known to be currently classi- fied. Material developed by the contractor Par. 10Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 33 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 CH 1 DoD 5220.22-M containing classified information, or from which classified information could be ob- tained, shall be marked in the manner pre- scribed in paragraph 11. e. The contractor shall establish a pro- cedure to insure that: (1) In the case of a document, and ex- cept as specified in paragraph (3) below, the manager or supervisor, whose signature or other form of approval is required before the document may be issued, transmit- ted, or referred outside of the fa- cility, determines the necessity, cur- rency, and accuracy of the classi- fication 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 oper- ational level where the material is being produced or assembled deter- mines the necessity, currency, and accuracy of the classification ap- plied to that material. (3) In those situations involving the copying or extracting of classified information from another docu- ment, or involving the reproduction or translation of a whole classified document, the individual responsi- ble for such copying, extracting, reproduction or translation marks the new document or copy with the same classification as that applied to the information or document from which the new document or copy was prepared. quirements. The number of such employees shall be reported to the cognizant security office upon re- quest in accordance with paragraph 6a(14). (5) Questions on the currency of the classification of reference material are referred as indicated in para- graph 60i. f. Whenever a contractor develops an un- solicited proposal or originates information not in the performance of a User Agency 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 ac- cordance with paragraph 11. (2) If the case does not fall within paragraph (1) above, and the con- tractor believes that the proposal or other material contains informa- tion which may or should be safe- guarded, the contractor is requested to protect the information as though classified at the appropriate level, until an advisory classifica- tion opinion is obtained from a User Agency which has an interest in the subject matter. In any such case, the following protective mark- ing, or a similar marking which clearly conveys the same meaning, will be used: (4) Employees responsible for the cur- rency, necessity, and accuracy of the classification applied to informa- tion under paragraphs (1) and (2) above are held to a minimum num- ber consistent with operational re- Classification determination pending. Protect as though classified (CONFIDENTIAL, SECRET or TOP SECRET) 34 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R00030004000f.V. 10 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004009j1 5220.22_M This marking shall appear con- spicuously at least once on the material, but it is not necessary to mark the material further in ac- cordance with paragraph 11 until the advisory classification opinion is received. In addition, if applica- ble, contractors are not precluded from designating such information as company private or proprietary information. (a) Pending determination by the User Agency, the following precautionary measures should be taken in regard to saf e- guarding such information: 1. Access to the information should be limited to the minimum number of person- nel practicable. 2. Persons selected to have ac- cess to the information should be limited to U.S. citizens or immigrant aliens who are known to be trust- worthy. They should be ad- vised of the importance of the information. 3. When not in use, documents containing the information should be stored in a secure container. 4. In forwarding the informa- tion between persons or lo- cations, a secure method of transmission s h o u l d be used. 5. Reproduction of the infor- mation should be kept to a minimum. (b) It is the general policy of the DoD not to classify informa- tion over which it has no juris- diction. The proposal or other material shall not be classified by the User Agency (i) unless it incorporates classified in- formation to which the con- tractor was given prior access, or (ii) unless the Government first acquires a proprietary interest (official information, see paragraph 3av). g. The contractor shall provide security classification specifications to employees per- forming in a sales or technical capacity or under a classified contract outside of the U. S. h. The fact that information currently classified by a User Agency has been dissem- inated by a public medium of communica- tion does not automatically mean that it has been declassified. Classification shall be con- tinued until advised to the contrary by the User Agency. Questions as to the propriety of continued classification in these cases should be brought to the immediate attention of the contracting officer. 11. Marking The paragraph marking requirements in paragraph a., below are mandatory only with respect to documents transmitted out- side a facility. If, in an exceptional situa- tion, such marking is determined to be impracticable, documents shall contain a description sufficient to identify the exact information which is classified and the ap- propriate classification category(s) assigned to it. a. Initial Marking. Classified material shall be marked with the date of origin, the name and address of the facility respon- sible for its preparation, and shall be plainly and conspicuously marked or stamped (not typed) with the appropriate classification. Each paragraph or subparagraph of the document shall be marked to show the cate- Pars. 10 & 11 35 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Appproved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Dal) 5220.22ZM gory of classified information it contains, or that it contains no classified information. However, individual paragraph/subpara- graph markings are not required when all paragraphs/subparagraphs contained on a page of a classified document are unclassified and the page is so marked. The lead-in or basic portion of a paragraph which contains subparagraphs shall be marked to reflect the overall classification of the entire paragraph. The actual classification of the lead-in paragraph, when it is unclassified, or classi- fied at a lower level than the overall para- graph, shall be shown at the end of the lead- in paragraph text. When different items of information in one paragraph require differ- ent classifications, but segregation of the information into separate paragraphs would destroy continuity of context, the highest classification required for that item shall be applied to the paragraph. In marking para- graphs, the appropriate marking shall be placed immediately preceding and to the left of the parts involved. The symbols (TS), (S), (C) and (U) for TOP SECRET, SECRET, CONFIDENTIAL and UNCLAS- SIFIED will be used. When appropriate, the symbol (RD) for RESTRICTED DATA and (FRD) for FORMERLY RESTRICTED DATA shall be added. EXAMPLE : (S) (FRD) This is an illustration of how a lead-in paragraph shall be marked when the overall paragraph classification of SECRET FORMER- LY RESTRICTED DATA is different from the lead-in paragraph classifica- tion of CONFIDENTIAL. (C) (1) Documents. The overall classification of a document, whether it be a letter, report, message, pamphlet, etc., 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, on the back page, and on the outside of the back cover (if any). Each interior page of a document, except blank pages, shall be conspicuously marked or stamped at the top and bottom with the highest classification of the in- formation appearing thereon, includ- ing the designation UNCLASSIFIED, when appropriate. Single sheet docu- ments shall have the overall classi- fication of the document affixed to both sides of the sheet. In some com- plex documents their major com- ponents are likely to be used separate- ly. In such instances, each major component shall be marked as a sepa- rate document, utilizing the classifica- tion marking techniques. described above. Examples include (i), annexes, appendices, or similar component, (ii) attachments or enclosures to a mem- orandum or letter, and (iii) each major part or chapter of a report. In the event a major component, as de- scribed above, is incorporated into a document prepared earlier and such document was previously unclassified or classified at a lower level than the component now being incorporated into the document, the overall classi- fication of the document must be ad- justed to reflect the higher level of classification for the information now within the document. Classification markings shall be so applied as to be clearly visible when pages are clipped or stapled together. (2) Special Situations. As an exception to the general rule, where printing is performed by the GPO or under con- tract to the GPO, or by a contractor in accordance with Government con- tract specifications, classified docu- ments comprised of many pages (studies, manuscripts, reports, man- uals, etc.) may have the overall classi- fication shown on each page provided the classified and unclassified parts of that page are clearly identified to the recipient by paragraph markings or by other means set forth in the document. In such cases paragraph 36 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004000la?. 11 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R00030004000ba0 5220.22-M marking or other means shall take precedence over page markings. (3) Letters of Transmittal. A letter transmitting classified information shall be marked with a classification as high as its highest classified en- closure. Letters of transmittal, when appropriate, shall bear a notation indicating that upon removal of the classified enclosures such letters may be downgraded or declassified. When a multiple page letter of transmittal contains no classified information, only the first page thereof need be marked with the classification of the highest classified enclosure. (4) Artwork. Original artwork shall have the security classification stamped or marked conspicuously in top and bottom margins of the mounting board and on all overlays and cover sheets. (5) Charts, Maps, Drawings, and Tra- cings. The classification shall be af- fixed under the legend, title block, or scale, and at the top and bottom, in such manner that it will be repro- duced on all copies, except that in the case of drawings smaller than 17"x22" the classification need not be affixed under the legend, title block or scale, unless the classification as- signed to the legend, title block or scale is different from that assigned to the overall drawing. If the infor- mation contained in the legend or title block is of a different category than that contained in the balance of the document, the abbreviations prescribed for subjects and titles in paragraph (9) below shall be placed under or alongside the classification marking affixed under the legend, title block or scale and the higher classification marking shall be placed at the top and bottom of the docu- ment. For example : (6) (:Legend Unclassified) (Drawing CONFIDENTIAL) Films, microfilms, Microfiche, and Photographs. Classified films and microfiche shall be marked in a fash- ion that will permit classification markings to appear in the projected image. In addition, holders or con- tainers for all such material shall be conspicuously marked with the ap- propriate classification. Continuous cover aerial reconnaissance map- ping negatives, microfilm in roll form, and motion picture films shall be marked with appropriate classifi- cation at the beginning and end of each roll. In addition, motion picture film shall state in the title frame the classification thereof. These and other classified negatives which do .not lend themselves to marking shall be handled on a classified basis and shall be kept in containers, properly secured, which shall bear the classifi- cation marking to which the contents are entitled, the date of origin, and other notations required by para- graph b, below as appropriate. When using self-processing film or paper to photograph or reproduce classified material, caution must be exercised to assure the negative of the last ex- posure does not remain in the camera. The negative of the last exposure of such self-processing film or paper shall be removed and de- stroyed as classified waste, or the camera shall be protected as classi- fied material. Photographs (positives and negatives) shall be marked with the appropriate classification, top and bottom, and where practicable, the center of the reverse side. Photo- Par. A,proved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 37 DoD 5220.22_ $ proved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 graph containers shall also be con- spicuously marked with the appro- priate classification. (7) Sound, Magnetic and Other Record- ings. Classified sound, magnetic and other recordings shall be marked with the appropriate classification if practical. The containers in which such recordings are placed during non-use shall be marked conspicuous- ly. For tapes and similar items, the marking normally shall be placed at the beginning and the end of the roll. However, such recordings which do not lend themselves to marking shall be handled on a classified basis and shall be kept in containers which shall bear the classification markings to which the contents are entitled. In addition, where practical, the appli- cable classification shall be incor- porated into the recording at the beginning and end thereof in a man- ner which will assure that any person having access to the classified information contained therein, when reproduced by any medium, will know the classification of the in- formation. In the case of disc or drum memory units utilized in elec- tronic data processing equipment, which do not lend themselves to marking, the entire processing unit shall, when the memory units con- tain classified information, be marked in the manner prescribed by paragraph (8) below. (8) Material. Items of classified material shall be properly marked to indicate the classification of the information contained in or revealed by the mate- rial and which may be acquired through observation, study, analysis, use, or testing. However, classified material which does not lend itself to marking shall have securely af- fixed or attached a tag, sticker, de- cal, or similar device bearing the classification, and the appropriate markings required by paragraph b., below. Where the foregoing is not practicable, the marking may be placed on or affixed to the container of the classified material in lieu of the material itself. During produc- tion and until marked as above, the contractor shall post notice in the area of production of the classifica- tion of the material to alert all per- sonnel who will have access of the proper classification. (9) Subjects and Titles. On each classi- fied document, the subject or title shall be followed by its own classifi- cation (or by the designation UN- CLASSIFIED) in parentheses. For this purpose, the parenthetical ab- breviations (TS), (S), (C), and (U) may be used, respectively, for TOP SECRET, SECRET, CONFI- FIDENTIAL, an d UNCLASSI- FIED. (So far as possible, a classi- flied document shall be assigned an unclassified subject or title.) When appropriate, the abbreviations for RESTRICTED DATA (RD) or FORMERLY RESTRICTED DATA (FRD) shall be added. (10) Machine Listing. Classification markings on pages of listing pro- duced by automatic data processing equipment may be applied by the equipment, provided the first page, the back page, and the front and back covers (if any), are appropri- ately marked as otherwise pre- scribed. If individual pages are removed from a listing marked in this manner, each page so removed shall be marked as otherwise pre- scribed, (11) Machine Accounting Cards. A deck of classified accounting machine cards may be marked as a single classified document. A deck so 38 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R0003000400diaJZ 11 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040Boa 220.22-M marked shall be stored, transmitted, destroyed and otherwise handled in the manner prescribed for other classified documents of the same clas- sification. The first and last cards in the deck shall be marked to show the overall classification of the deck. In addition, the first card must identify the contents of the deck and the downgrading and declassification markings which apply to the deck. If it is not practical to mark the first card in the deck with the overall classification, identity of the con- tents of the deck and the downgrad- ing and declassification marking ap- plicable, an additional card, inserted at the beginning of the deck, may be used for such purpose. The individu- al cards of the deck need not be marked individually. Cards removed for separate processing or use, how- ever, shall be protected to prevent compromise of any classified infor- mation contained thereon and, unless promptly returned to the deck after processing or use, shall be marked with the appropriate classification. When marked individually, the se- curity classification shall be stamped, preprinted or machine printed above the 0 punch location and below the 8 punch location between card columns 54 and 76. Other markings pre- scribed by paragraph b, below, shall be placed on the back of the card. (12) Messages. The document which is prepared by the originator of a mes- sage and submitted to the commu- nications center or activity for elec- trical transmission shall be marked in the manner prescribed by para- graph (1) above. In addition, the first word in the text of the proposed message shall be the classification of the message. When appropriate, the notations required by paragraphs b (2), (3) and (4) below shall im- mediately follow the classification designation at the beginning of the text except that RESTRICTED DATA or FORMERLY RESTRIC- TED DATA shall be used for the notation prescribed in paragraph b (2) or (3) below, respectively. The last line or paragraph of the pro- posed message shall show the appro- priate downgrading and declassifica- tion marking (see paragraph E, Ap- pendix II). When transmitting the message by electrical means, the classification marking shall be includ- ed at the beginning of the encrypted text. The last line or paragraph of the transmitted message shall show the appropriate downgrading and de- classification marking. Classified mes- sages shall be marked at the top and bottom with the overall classification and shall be paragraph marked in the manner prescribed above for documents. A message printed by an automated system may have the classification markings applied by the system provided such markings are clearly distinguishable from the printed text. In addition, markings required by paragraph b., below shall be applied as appropriate. (13) Classified Files. File folders, binders, envelopes, etc., containing classified documents shall be marked or stamped with a classification equal to that of their highest classified con- tents. Documents removed from the file or group shall be handled in ac- cordance with their individual classi- fication requirements. (14) Classified Compilations. Where the use of a classification higher than that which applies to any of its components is required by the speci- fic provision of the DD Form 254, or other User Agency direction, to pro- tect a compilation of information, the overall classification shall be placed on the document in the manner pre- Par. 11Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 39 DoD 5220.2Mrroved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 there is no requirement for complet- ing the CLASSIFIED BY line ap- pearing on those markings until such subsequent time that the notation concerning downgrading or declassi- fication must be affixed in accordance with the circumstances prescribed herein. (17) Rolled or Folded Documents. Classi- fied documents are sometimes rolled, folded, or covered over in such a manner that the classification mark- ings are obscured. When this occurs, the classification shall be marked, stamped or otherwise affixed to the exposed surfaces of the document so that it may easily be seen. scribed by this paragraph. Where the individual parts of a compilation are unclassified but their total con- tent or their association is classified, the document shall be marked with the proper classification. The reason for classifying the compilation shall be stated at an appropriate location at or near the beginning of the docu- ment. Classified Translations. Translations of U.S. classified information into a language other than English shall show the U.S. as the country of ori- gin, and shall be marked with both the U.S. classification and the foreign language equivalent of the U.S. clas- sification (see paragraph d, below). Conversely, translation of foreign classified information into English shall be marked with the name of the country of origin and the foreign and U.S. equivalent classifications. If the information was not classified by the country of origin, a U.S. classi- fication shall be applied to the in- formation only if it is required to protect the fact that the U.S. has possession of the information. (16) Working Papers. Working papers such as notes, drafts, drawings, etc., accumulated to assist in the formula- tion and preparation of a finished document, shall be marked with both the initial and the additional mark- ings prescribed here in the same manner as other documents except the additional markings required by paragraphs b (1) and (5), below need not be affixed to working papers un- til the material is entered into the control station accountability records in accordance with paragraph 12, is made a part of a permanent record, or is dispatched outside of the facili- ty. In the case of the RESTRICTED DATA and FORMERLY RESTRIC- TED DATA notations cited below, 40 b. Additional Markings. In addition to the required classification markings, all classi- fied material shall be marked, as appropriate, with one or more of the notations prescribed below. The appropriate notation shall be printed, stamped, typed, or otherwise affixed conspicuously at least once on all classified material possessed,' prepared or reproduced by the contractor. In addition, when a copy, extract, or paraphrase of a document con- tains national security information, or when a page, chapter or other such component is separated from a document, the extract or component shall also be marked con- spicuously at least once with the appropriate notation. (1) Unauthorized Disclosure Notation. All classified material other than RE- STRICTED DATA or FORMERLY RESTRICTED DATA, which is fur- nished to persons outside the Execu- tive Branch of Government shall be marked with the notation shown be- low. If the classified item does not lend itself to marking, the recipient 'Whether or not removed from file or storage for any use, classified material pre-dating January 22, 1973 (date of promul- gation of this footnote) which is already marked with officially prescribed additional warning notices which convey in sub- stance the same meanings as those prescribed in paragraphs 11b(1) thru (4) need not be re-marked. Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001P r. 11 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.22-M shall be notified in writing of the notation. NATIONAL SECURITY INFORMATION Unauthorized Disclosure Subject to Criminal Sanctions (2) RESTRICTED DATA Notation. The following notation shall be affixed on all material which contains Atomic Energy RESTRICTED DATA as de- fined in paragraph 3bd. If a document contains both RESTRICTED DATA and other classified information, the following notation shall be placed on the document instead of that shown in paragraph (1) above. RESTRICTED DATA This material contains RESTRICT- ED DATA as defined in the Atomic Energy Act of 1954. Its dissemination or disclosure to any unauthorized person is prohibited: Classified by : .................... (3) FORMERLY RESTRICTED DATA Notation. All material containing in- formation in the FORMERLY RE- STRICTED DATA category as de- fined in paragraph 3af, but not con- taining Atomic Energy RESTRICT- ED DATA, shall be marked with the following notation instead of that in paragraph (1): FORMERLY RESTRICTED DATA Unauthorized disclosure subject to administrative and criminal sanc- tions. Handle as RESTRICTED DATA in foreign dissemination. Sec- tion 144b, Atomic Energy Act 1954. Classified by : .................... (4) Sensitive Intelligence Information. Classified material which contains sensitive intelligence information will be marked with the following warning notice. This warning notice will be used in addition to, and in conjunc- tion with, the marking prescribed in paragraphs (1), (2), and (3) above, as appropriate. WARNING NOTICE SENSITIVE INTELLIGENCE SOURCES AND METHODS IN- VOLVED (5) Notation Concerning Downgrading or Declassification. Procedures govern- ing marking for downgrading and declassification, or exemptions there- from, are prescribed in Appendix H. c. Marking of Regraded Documents and Material. Whenever classified material is downgraded, declassified or upgraded, the material shall be promptly and conspicuous- ly marked to indicate the change, the authori- ty for the action, the date of the action, the identify of the person or activity taking the action, and his operating entity, according to the following. (1) Upgraded Material. In every case, when material is upgraded, all the old classification markings shall be imme- diately cancelled and the new mark- ings entered in accordance with the notice to upgrade the material. In the case of documents, the old classifica- tion markings shall be immediately cancelled on the outside of the front cover (if any), the title page (if any), the first page, the back page, and on the outside of the back cover (if any), and the new markings applied. Inside pages and paragraphs of documents shall be marked as specified in para- graph a (1) in accordance with the no- tice to upgrade. Par. IlApproved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 41 Approved For Release 2002/08/21 : CIA-RDP94BOl041 R000300040001-2 DoD 5220.22-M (2) Downgraded or Declassified Material. (a) When the material is down- graded or declassified in accord- ance with the ADS or the GDS, specified in Appendix II, the no- tations prescribed by Appendix II constitute the authority for the downgrading or declassification action. All the old classification markings shall be cancelled and the new markings substituted, whenever practicable.I In the case of documents, as a minimum, the outside of the front cover, if any, the title page, the first page, the back page, and the outside of the back cover, if any, must reflect the new marking.2 Prints of mo- tion picture film shall show re- grading action on leaders at- tached between the plain leader and the first title frame. Material such as negatives, standing type, proofs, etc., will have a statement x In the interest of providing quick and efficient service on requests for classified documents, the following marking procedures are currently being used by the DDC: (0 Except as indicated in paragraph (ii) below, documents which have been downgraded or declassified will only reflect such action on the front and back covers and the title, first and back pages. A notice will be affixed to the front cover or title page of such documents by DDC indicating that it is the responsibility of the recipient (the contractor who requested the document) to complete the marking of the regraded docu- ment in accordance with paragraph lle(2). (ii) Documents which were originally marked under the provisions of E.O. 10501 and which contain pages which do not bear any classification markings, will be marked by DDC prior to dispatch, with the overall classification of the document marked on each page, As a result, individual pages of the document may be assigned a higher classification than war- ranted by their contents. For this reason, contractors should direct any questions they may have concerning the classification of an individual page, chapter, section, etc., to the originator of the document before extracting or reproducing the informa- tion. A notation, reading substantially as follows and appearing on the front cover or title page, will alert contractors to the above situation : "This is a reproduction of a document, originally marked under the provisions of E.O. 10501, which, under certain circumstances, eliminated the requirement that interior pages be marked with their own individual classification. The DDC has marked each such page with the current overall classifica- tion of the document, in addition to the outside front cover and the outside of the back cover. The document and all of its pages or parts will be protected in accordance with this classification until the actual classification can be determined. Any question by the recipient as to the correct security classification of any particular portion of the document should be directed to the originator of the document." showing the regrading attached thereto in a manner which will not alter the re-use of the ma- terial. The containers or holders for negatives, film, microfiche, etc., shall reflect the new mark- ings, and any hard copy produced from such materials shall also reflect the new markings. (b) When the volume of material is such that prompt re-marking of each classified item cannot be accomplished without unduly in- terfering with operations, the custodian may attach downgrad- ing and declassification notices to the inside of the file drawer or other storage container in lieu of the re-marking otherwise re- quired. 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. All re-marking actions shall be in accordance with para- graph (a), above. When docu- ments or other material subject to downgrading or declassifica- tion are withdrawn from one storage container solely for trans- fer to another, or when a storage container holding such docu- ments or material 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 attached to the old container. d. Marking of Foreign Classified Material. Foreign classified material shall be marked in accordance with instructions received from the foreign contracting authority, the cognizant security office, or the User Agency. In any case, if the classification and the country of origin are in a language other than English, the appropriate equivalent U.S. classification and the country of origin , 42 Approved For Release 2002/08/21 : CIA-RDP94BOl041 R000300040001 -ar. 11 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M will be marked on the foreign classified ma- terial. These markings shall be applied to all classified material developed, produced, or reproduced by the contractor which is de- rived from the original foreign classified in- :formation. Markings shall be applied as prescribed in paragraph a., above. Addi- tional markings prescribed in paragraph b., above shall not be used. Many foreign gov- ernments and international organizations, such as NATO, use a fourth security desig- nation identified as "RESTRICTED" to de- note a foreign requirement for security protection of a lesser degree than CONFI- DENTIAL. Foreign RESTRICTED mate- rial shall be marked "RESTRICTED" to- gether 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 similar closed spaces which will pre- vent access by unauthorized persons. 12. Record of Classified Material a. Accountability Records. The contractor shall maintain, at one or more control sta- tions, an accountability record of all TOP SECRET and SECRET material, and CRYPTO regardless of classification. The rec- ord 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 classifica- tion of the material, (iv) a brief, unclassified description of the material and (v) the dis- position of the material and the date there- of (i.e., destroyed, downgraded to CONFI- DENTIAL, declassified, 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 classi- fication ; and for SECRET material for 2 years from the date the last item recorded thereon was destroyed, downgraded to CON- FIDENTIAL, declassified, dispatched out- side the facility or transferred to another accountability record. b. Inventory/Accounting of Classified Ma- terial. When directed by the Commander of the DCASR, the contractor shall make an inventory and accounting of all TOP SE- CRET and SECRET material, and CRYTO regardless of a classification, and shall sub- mit a report of all unresolved discrepancies to the cognizant security office. The inven- tory 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, authoriza- tion to terminate from accountability, or record of downgrading or declassification) ; and an examination of the contents of all containers authorized for storage of classi- fied material to assure that all TOP SE- CRET and SECRET material, and CRYTO, regardless of classification, has been entered into the accountability records. c. Receipt and Dispatch Records. In addi- tion to the accountability records required in paragraph a., above, the contractor shall maintain a record at one or more control stations of all non-accountable classified ma- terial received by or dispatched from the facility. This record shall reflect as a mini- mum: (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 com- bines 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 as- Pars. i p&rfWed For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 43 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M signed, except that such personnel will be required to have a TOP SECRET clearance only if the person's duties afford him access to or possession or custody of TOP SECRET material, e. Receipt of Classified Material. When classified material is received at the faculty, either by mail, bulk shipment or messenger, the following controls shall apply : (1) All classified material shall be de- livered unopened to personnel desig- nated by the contractor to receive it at the control station(s). In addition, when U.S. Registered Mail, U.S. Ex- press Mail or U.S. Certified Mail or classified material delivered by mes- senger is not received directly by the designated control station personnel, procedures shall be established to as- sure that such mail is received by ap- propriately cleared and authorized personnel, for delivery with the inner container unopened to the control sta- tions (s). In effect, all contractor per- sonnel who handle U.S. Registered Mail, U.S. Express Mail, or U.S. Cer- tified 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 tam- pering shall be reported immediately to the cognizant security office in ac- cordance with paragraph 6a(11). Discrepancies in the contents of a package or absence of a receipt for TOP SECRET or SECRET material, and CRYPTO, regardless of classifica- tion, shall be reported immediately to the sender. If the shipment is in order, the receipt shall be signed and re- turned 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 elects to include a receipt form with CONFIDENTIAL mate- rial, the receiver shall execute the re- ceipt 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 SE- CRET material and CRYPTO, regardless of classification, accountability shall be estab- lished, as follows : (1) TOP SECRET Documents and CRYP- TO Documents, Regardless of Classi- fication. Such documents shall be entered into the control station ac- countability records when the first of any of the following events occurs: the document is retained after the next successive stage in its develop- ment is completed (e.g., notes con- verted to draft, final draft placed on masters, photographic prints de- veloped from negatives, etc.) ; the document, including classified working papers, drafts, etc., is retained for more than 30 days from the date of origination ; the document is re- produced for internal purposes (e.g., draft review, coordination) prior to preparation of final copy ; or the docu- ment, regardless of stage of develop- ment, is transmitted outside of the facility on a temporary or permanent basis. (2) SECRET Documents. Such documents shall be entered into the control sta- tion accountability records when the first of any of the following events occurs : the document is retained as a completed document (including work- ing papers) in excess of 30 days from the date of completion ; the document is reproduced for internal purposes; the document is retained as a partially completed document on discontinuance of the work; or the document, regard- less of stage of development, is trans- mitted outside of the facility on a tem- porary or permanent basis. (3) Other Material. TOP SECRET and SECRET material, and CRYPTO, re- 44 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400Nr212 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040069132 5220.22-M gardless of classification, in other than documentary form, shall be en- tered into the control station account- ability records when the first of any of the following events occurs: the material reaches the final stage in the fabrication or manufacturing proc- ess ; the material is retained for more than 30 days from the date of origi- nation; or the material, regardless of stage of development, is transmitted outside of the facility on a temporary or permanent basis. (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 ma- terial, accountability for the incor- porated document or item of material shall be terminated and accountability for the document or item of material in which it was incorporated shall be established. The control station rec- ords 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 classi- fied assembly or end item (e.g., for testing, replacement), accountability for the new material, if classified, shall be established or adjusted as ap- propriate in the control station ac- countability records and the account- ability 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 shall apply : (1) The proposed transmittal shall be ex- amined to insure compliance with the preparation for transmission require- ments of paragraph 17. (2) Receipts, when required by para- graph 17, shall identify the classified contents, the control station, and the name and address of both sending and receiving facilities. Receipts shall not contain classified information. A short title or abbreviation shall be substi- tuted 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 re- tained at the control station for a minimum of 2 years. h. Termination of Accountability. (1) Upon notice from the cognizant se- curity office that accountabilty may be terminated for classified material determined to be lost after completion of the inquiries prescribed in para- graph 7, the contractor shall annotate the accountability records to show the date, reason and authority for termi- nating accountability for the lost ma- terial. (2) If the location or disposition of the material should subsequently be de- termined, the contractor shall immedi- ately submit a report to the cognizant security office in accordance with par- agraph 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 rec- ord be maintained of all persons who are af- forded access to TOP SECRET information. Pars y RR,, 13 45 Ap~oved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22o-pproved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 A record shall be maintained which identifies each item of TOP SECRET material, and which shows the names of all individuals given access to the item and the date (or in- clusive dates) on which access by each in- dividual occurred. In the case of employees whose duties require knowledge of the com- bination of containers of TOP SECRET ma- terial, the record need only identify the ma- terial, 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, dis- patched outside the facility, declassified 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 disclos- ing such information to persons whose duties do not require knowledge thereof. c. The dissemination of TOP SECRET in- formation should be effected orally whenever practicable, without the physical transmittal of material. d. The transmittal of TOP SECRET ma- terial shall be covered by a continuous re- ceipt system both within and outside of the facility. e. Each copy of a TOP SECRET document shall be numbered in series. The copy num- ber shall be placed on accountability records and on the distribution record and receipt for each TOP SECRET document trans- mitted. f. Only designated employees in the con- trol station, cleared for access to TOP SE- CRET information, shall open incoming TOP SECRET transmittals. Deliveries of TOP SECRET material within the facility shall be accomplished in accordance with paragraph 17f. g. An annual inventory and accounting of all TOP SECRET material shall be con- ducted in the manner prescribed by para- graph 12b. h. TOP SECRET material shall be repro- duced only with the prior written authoriza- tion of the contracting officer (see paragraph 18a). i. Transmission of TOP SECRET material outside of the facility requires the written authorization of the contracting officer (see paragraph 17b). j. Written approval of the contracting of- ficer is required before disclosing TOP SE- CRET information to a subcontractor, ven- dor or supplier (see paragraph 59a). 14. Storage a. Containers. The contractor shall not be eligible to receive, nor have possession of, classified material until he has adequate stor- age at his cleared facility. 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 SE- CRET material shall be stored in a security filing cabinet originally procured from an FSS supplier, S 4 and bearing a GSA Test Certificate Label or in a Class A vault con- structed in accordance with the spe- cifications outlined in Appendix IV.-5 I Cabinets, contractors, and prices are listed in the FSS (FSC Group 71-Part XI of the GSA, Federal Supply Service). Copies of specifications and schedules may be obtained from any regional office of the GSA. k 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. 5 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 dis. semination of the classified information. 46 p~~~ 1 z 14 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300MO 1 -& Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040B9 -%220.22-M (2) TOP SECRET-Supplemental Con- trols. In addition to the cabinets and vaults specified in paragraph (1) above, during nonworking hours the following area controls are re- quired : 6 (a) Entry to the room, building, or structure in which the contain- er is located shall be controlled by a properly cleared, author- ized employee or guard sta- tioned so as to control admit- tance to the room, building or structure, or by a lock which provides reasonable protection against surreptitious entry; and (b) For the purpose of detecting unauthorized personnel or at- tempted illegal entry to the container, the interior of the room, building or structure (whichever is controlled in ac- cordance 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 safeguard- ing classified information, and who is supervised by a system which provides a written rec- ord of the coverage of key points within the area; or Working hours shall, for purposes of this paragraph, be considered as that period of time when-lie there is present in the specific area in which a container is located, a work force on a regularly scheduled shift, as contrasted with em- ployees 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 to 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. 7 The keepers of the steel lock bar shall be secured to the cabinet by welding, rivets, or bolts so that it cannot be removed and replaced without leaving evidence of the entry. The drawers of the container shall be held securely so that their contents cannot be removed by forcing open the drawer. (c) The room, building or struc- ture in which the container is located, or the container itself, shall be equipped with an alarm system as prescribed in paragraph 35 and response time to an activated alarm shall not exceed 15 minutes. (3) SECRET-Cabinets and Vaults. When not in use, SECRET mate- rial shall be stored in a cabinet or vault authorized for the storage of TOP SECRET or in a security cab- inet or vault specified in para- graphs (a) through (g) below. (a) A filing cabinet originally pro- cured from an FSS supplier and bearing a GSA Test Cer- tification Label.` (b) A Class B vault constructed in accordance with specifications outlined in Appendix IV.5 (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. (d) A steel file cabinet secured by a steel bar 7 and a three-posi- tion, dial-type, changeable combination padlock, listed on the GSA Qualified Products List as meeting the requirements of Federal Specifications FF-P- 1.10. Non-FSS three-position dial-type changeable combina- tion padlocks in use at the present time may remain in use until replacement is neces- sary or additional padlocks are required. (e) A Class C vault constructed in accordance with the specifica- Par. 14 47 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 5220,22Ap1roved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 tions outlined in Appendix IV.5 (f) Other vaults and strongrooms, provided the vault or strong- room is under surveillance by a regularly scheduled hourly guard patrol or is equipped with an alarm system as pre- scribed in paragraph 35, and the response time to an acti- vated alarm shall not exceed 15 minutes.-5 (See paragraph F, Appendix IV, for construc- tion criteria.) (g) A steel container in a desk pedestal which encloses the drawer on five sides and is riveted or bolted to the desk, provided the drawer is secured by a steel bar and a three- position, dial-type, changeable combination padlock.' (4) SECRET-Supplemental Controls. In addition to the cabinets and vaults specified in paragraphs (3) (c), (d), (e) and (g) above, dur- ing nonworking hours the follow- ing area controls are required: (a) Entry to the room, building or structure in which the contain- er is located shall be controlled by a properly cleared, author- ized employee or guard sta- tioned so as to control admit- tance to the room, building or structure; or by a lock which provides reasonable protection against surreptitious entry; or by a properly cleared guard stationed at each unsecured perimeter entrance to a com- plex 8 which is enclosed by a " 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. physical barrier, and provided further that the area is pa- trolled adequately to provide reasonable opportunity to de- tect unauthorized personnel; and (b) For the purpose of detecting unauthorized personnel or at- tempted illegal entry into the room, building, or structure (whichever is controlled in ac- cordance with paragraph (a) above) in which the container is located shall be patrolled at least once during each 4-hour period by a properly cleared, authorized employee (fire pa- trolman, guard, etc.) one of whose duties is safeguarding classified information and who is supervised by a system which provides a written rec- ord of the coverage of key points within the area ; or (c) The room, building or struc- ture, 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 and Vaults. When not in use, CONFI- DENTIAL material shall be stored in the same manner as TOP SEC- RET or SECRET material; how- ever, supplemental controls are not required. b. Bulky Material. When it is impractical to store classified material because of its na- ture, size or unique charactertistics in ac- cordance with paragraph a, above, the con- tractor shall safeguard such material by control of the area in which it is located, to the extent required by Section IV. 48 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001?8!. 14 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400WN21 DoD 5220.22-M c. Supervision of Storage Container. 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 per- son entrusted with the combination or the contents. In the case of one-person facilities, the management official shall inform the cognizant security office 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 cognizant secur- ity office in accordance with paragraph 17. In addition, conspicuously displayed on the outside of the container shall be a notice to contact the cognizant security office prior to opening or moving the container. This no- tice shall contain the mailing address of and an appropriate telephone number at the cog- nizant security office. The above provisions pertaining to one-person facilities do not apply to cleared one-person facilities of a multiple facility organization. For such fa- cilities provisions should. be made in the home office SPP for affixing an appropriate notice on the outside of the cabinet, and for furnishing the combination to the facility security supervisor of the home office facility who shall be identified as the official to con- tact rather than the cognizant security office. d. Protection During Nonworking Hours. Unless specified in a User Agency contract, a contractor shall not be required to estab- lish additional controls over classified ma- terial 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 employ- ees, removal of classified materials to such dwellings for "after hours" work as a con- venience to such persons is not authorized. These facilities, providing they meet the requirements of this Manual, may be utilized for temporary storage purposes only in con- nection with authorized travel when the individual, in order to accomplish the ob- jectives of the trip, is authorized to carry classified material as prescribed in para- graph 17h, or in other cases of necessity upon approval by an official of the facility who was cleared in connection with the granting of the facility security clearance. 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 cognizant security office as to the security controls to be main- tained over the TOP SECRET material while it remains outside of the facility. f. Repair of Damaged Security File Cabi- nets. Neutralization of lockouts 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 continu- ously escorted personnel specifically trained in approved methods of maintenance, neu- tralization of lockouts, and repair of per- forations. (1) A GSA-approved security file cab- inet is considered to have been re- stored to its original state of secur- ity integrity if- (a) All damaged or altered parts (e.g., locking drawer, drawer head, etc.) are replaced with manufacturer's replacement or identical cannibalized parts, (b) When a container has been drilled immediately adjacent to or through the dial ring to neu- Par. 14 49 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 Dod 5220.22-M tralize a lockout, the replace- ment lock is equal to the origi- nal equipment and the drilled hole is repaired with a tapered case-hardened steel rod (e.g., dowel, drill bit, etc.) with a di- ameter 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" nor more than 3/16" deep to permit the acceptance of substantial welds, and be welded both on the inside and outside surfaces. The outside of the drawerhead shall then be puttied, sanded, and repainted in such a way that no visible evidence of the hole or its re- pair remains on the outer sur- face after replacement of the damaged parts (e.g., 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 the storage of CONFIDENTIAL material or SE- CRET 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, and herein, use of the cabinet will be limited to unclassified material. g. Damage to Approved File Cabinets.4 A list shall be maintained by the facility se- curity supervisor of all approved file cabi- nets 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 re- pair used. The list and certification shall be retained for the life of the file cabinet and shall be available for review during recur- ring security inspections. Each such cabinet shall have a label posted on the inside of the top drawer to indicate the highest cate- gory of classified material which may be stored therein. If the damage affects the in- tegrity of a GSA-approved cabinet, the GSA Approved Security Container label and the GSA Test Certification label shall be re- moved. However, these labels may be re- tained by the facility security supervisor 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 re- placement locking drawer will have its GSA Test Certification label af- fixed. 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 de- stroyed, or (2) Paragraph f (1) (b), above, the re- tained 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. 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 loca- tion, provided the contracting officer ap- proves the use of such storage for infor- mation pertaining to the contract. The provisions of Section VI shall apply to the 50 Pars. 14 & 15 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400D6E12 5220.22-M procurement of this service. Acceptable al- ternate storage locations are cleared facili- ties of: (i) a parent, a subsidiary or another facility of a multiple facility organization; (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. Personnel security clearance re- quirements will depend upon the type of service provided. Where the alternate stor- age facility is required to provide both secure storage and other services requiring access to the classified information, person- nel security clearances are required for employees whose duties will involve access to the classified material or responsibility for providing security protection for the classi- fied material. When the facility is to provide only secure storage space, personnel secur- ity clearances 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 the equivalent to the FSS se- curity cabinets provided the prime contrac- tor- (1) Controls the keys to the safe de- posit box in the same manner that combinations to storage contain- ers 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) Insures that established proce- dures preclude access to the classi- fied information by employees of the bank. 16. Safeguards During Use Classified materials, when not safe- guarded as provided for in paragraphs 14a or b, or 34, and when in actual use by au- thorized 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. c. Returned to storage containers as soon as practicable after use. 17. Transmission a. Preparation for Transmission of TOP SECRET. SECRET and CONFIDENTIAL Material. (1) Outside of a Facility. TOP SE- CRET, SECRET and CONFIDEN- T1:AL material to be transmitted outside of a facility shall be en- closed 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 informa- tion shall be protected from direct contact with the inner container 17 51 ParsAp5Uroved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-MApproved For Release 2002/08/21 : CIA- RDP94B01041 R000300040001-2 by a cover sheet or by folding in- ward. Except as indicated in para- graph (e) below, the inner con- tainer 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(2) and 88a. The outer container shall be addressed, return addressed, and carefully sealed with no marking or nota- tions to indicate that the contents are classified. If the outer contain- er is not sufficiently opaque to pre- vent the classification markings on the inner cover from being visible, the inner container shall be wrap- ped with sufficient paper to con- ceal the markings. If the classified material is of a size, bulk, weight or nature which precludes wrap- ping 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, when- ever 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 trans- mitting TOP SECRET and SE- CRET material the inner contain- er shall contain a receipt form which identifies the addressor, the addressee, and the contents by un- classified or short title. Where this is not practical, the receipt shall be sent to the proposed recipient with the advance notice of shipment re- quired by paragraphs c(5) (c) and d(3) (d) below, or be handcarried by a responsible employee design- nated to accompany the classified shipment to its destination. When transmitting CONFIDENTIAL material a receipt form will be enclosed only when the sender deems it necessary. Special provi- sions for the packaging of classi- fied material are : (a) The transmission of written materials of different classifi- cations, for example, the in- clusion of CONFIDENTIAL and unclassified with SE- CRET, in a single package should be avoided. However, when written materials of dif- ferent classifications are trans- mitted 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 pack- ageable item of equipment with an outside shell or body which is not classified and which completely shields the classi- fied aspects of the item from view, the shell or body may be considered as the inner con- tainer. (c) If the classified material is an inaccessible internal compo- nent of a bulky item of equip- ment that is not reasonably packageable, such as a missile, the outside shell or body of the item may be considered as the 52 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004?OJ i$ Approved For Release 2002/08/21-: CIA-RDP94B0l041 R000300040&9D25220.22-M 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 con- ceal all classified features. Such coverings must be capa- ble of being secured so as to prevent inadvertent exposure of the item. (e) Specialized shipping contain- ers, including closed cargo transporters may be used in lieu of the above packaging requirements. In such cases the container may be consid- ered to constitute the outer container. (f) The address may be omitted from the inner and outer con- tainer for shipment in full truckload lots, when such an exception is contained in the provisions of the contract. The ASPR requires that complete consignment and marking in- structions, to the extent known at the time the contract is awarded, be included in the contract to assist in insuring delivery of items to proper destinations without delay. It further requires that addition- al consignment instructions be furnished to the contractor as soon as they become 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 SE- CRET Material to be Shipped by Commercial Carrier.? SECRET ma- terial to be transmitted outside a facility by commercial carrier shall be prepared for transmission to af- ford additional protection against pilferage, theft and/or compromise. Specific provisions for shipment of SECRET material are : (a) Except as authorized in para- graph 17a(1), SECRET mate- rial shall be shipped in hard- ened containers (see para- graph 3ah) unless specifically authorized otherwise by the contracting officer or his desig- nated representative. (b) The outer container shall be plainly and conspicuously marked, labeled or tagged with the words "Protective Secur- ity Service Required" (see paragraph 3ax). (c) Carrier equipment shall be sealed by the shipper or at his direction when there is a full carload, a full truckload, ex- clusive use of the vehicle, or a closed and locked compartment of the carrier's equipment is used. The seals shall be num- bered and the number indi- cated on all copies of the BL. When seals are used, the BL shall be annotated substantial- ly as follows : DO NOT BREAK SEALS EX- CEPT IN CASE OF EMER- GENCY OR UPON PRIOR AUTHORITY OF THE CON- SIGNOR OR CONSIGNEE. IF FOUND BROKEN OR IF ? Commercial carriers have been issued additional instructions by a separate Supplement which is also applicable to their responsibilities for transmission of SECRET controlled ship- ments. 53 Par. 17 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M BROKEN FOR EMERGEN- CY REASONS, APPLY CAR- RIER'S SEALS AS SOON AS POSSIBLE AND IMMEDI- ATELY NOTIFY BOTH THE CONSIGNOR AND THE CONSIGNEE. in accordance with the instructions of the contracting officer, (iii) by electrical means in a CRYPTO system approved for encryp- tion of TOP SECRET information. Under no circumstances shall TOP SECRET mate- rial be transmitted through the U.S. or com- pany mail channels. (d) The notation "Protective Se- curity Service Required" 11) shall be reflected on all copies of the BL. The BLs will be main- tained in a suspense file to fol- low 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 insure a degree of security protection adequate for the method of transmission to be used, using guidance contained in paragraph (1) above. Double cov- ering of the material is not re- quired 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 SE- CRET Material Outside a Facility. When a contractor is authorized in writing, by the contracting officer or his designated repre- sentative, TOP SECRET material may be transmitted by: (i) specifically designated escort or courier cleared for access to TOP SECRET information (military, U.S. civil- ian employee, or a responsible employee designated by the contractor, except that the contractor employee shall not carry classi- fied material across international bounda- ries) ; (ii) Armed Forces Courier Service 10 In such cases the SECRET shipment shall be routed via a cleared commercial carrier under a tariff, tender or contract that provides Protective Security Service in accordance with the Carrier Supplement to this Manual. c, Method of Transmission of SECRET Material Outside a Facility. SECRET mate- rial shall be transmitted by one of the fol- lowing means within and between the U.S., Puerto Rico, Panama Canal Zone or a U.S. possession or trust territory : (1) One of the means established for TOP SECRET. (2) By U.S. Registered Mail, including U.S. Registered Airmail, through U.S. civil postal facilities or Army, Navy or Air Force postal facilities. However, U.S. Registered Mail destined for activities located in the Panama Canal Zone must be routed only via the military postal system. Addresses may be obtained from the DoD Activity Address Directory, DoD 4000.25-D (a ref- erence copy is located at the cogni- zant security office), or from the ACO/PCO. A copy of DoD 4000.25- D may also be purchased from the GPO. (3) Appropriately cleared employees of the contractor, who have been des- ignated and briefed in their re- sponsibilities as couriers or escorts for protecting the SECRET mate- rial. When such couriers or escorts are utilized, the classified material remains under the constant cus- tody and protection of the contrac- tor personnel at all times and the commercial transportation service (ship, rail, air or truck) is not re- quired to have a facility security clearance. Escorts or couriers shall always accompany shipments when Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R00030004Q 0l1-2 DoD 5220.22-M rail or ship transportation is in- volved (see Appendix X for use of escorts for classified shipments and Appendix XI for hand carrying of classified documents aboard com- mercial passenger aircraft). (4) 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 contracting officer. (5) By commercial carriers1' (air or surface) only when the size, bulk, weight, nature of the shipment, shipping costs or escort considera- tions make the use of the foregoing methods impractical. Only qualified carriers (see paragraph Say) will be used for the transmission of SECRET material. When the serv- ices of a commercial carrier are required, the contractor, as con- signor shall: (a) Utilize a qualified carrier se- lected by the Government that will provide a single line serv- ice from point of origin to destination, when such service is available, or by such trans- shipping procedures as may be specified by the Government, and (b) Request routing instructions, including designation of a qualified carrier, from the con- tracting officer or designated representative (normally the Government transportation of- ficer). The request shall speci- 11 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, Panama Canal Zone or a U.S. possession or trust territory. fy that the routing instruc- tions are required for the ship- ment of SECRET material via Protective Security Service (Do Not Abbreviate) and in- clude 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 car- rier to provide Protective Se- curity Service for the trans- porting of the SECRET ship- ment when a CBL is to be used. This exception may not be util- ized for COMSEC or SENSI-,- TIVE COMPARTMENTED IN- FORMATION 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 Pro- tective Security Service is re- quired. The points of origin and destination must also be provided. Verification of the clearance of the commercial carrier and the fact that it pro- vides Protective Security Serv- ice is to be obtained from the cognizant security office of the home office of the carrier prior to release of any classified ma- terial, and (d) Notify the consignee (includ- ing Government transship- ping activity) of the nature of the shipment, the means of shipment, numbers of the seals, if used, and the anticipated time and date of arrival by separate communication at Par. 17 55 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Dod 5220.22-M least 24 hours in advance, (or immediately upon dispatch if transit time is less than 24 hours) of the arrival of the shipment, in order that the consignee may take appropri- ate steps to receive and pro- tect the shipment. Request the consignee (including a military transshipping activity) to noti- fy the consignor of any ship- ment not received within 48 hours after the estimated time of arrival indicated by the consignor. In addition, the con- signor shall annotate the BL to require the carrier to pro- vide immediate notice to the consignor of any delay en route, regardless of the reason of delay. Upon receipt of either the consignor immediately shall request the carrier to trace the shipment and shall notify his cognizant security office in ac- cordance with paragraph 6a (10) of the delay in the de- livery of the classified material and the circumstances as known to the consignor. Sub- sequent developments concern- ing the delayed shipment shall also be reported to the cog- nizant security office. A copy of the report shall also be sub- mitted to the contracting officer concerned or his designated representative. The consignee, consignor and carrier are re- quired to take similar inquiry and reporting action if a ship- ment is received with broken seals or the numbers on the seals do not match those on the advance notice of shipment. (6) By such other methods directed through specific instructions from the contracting officer or his desig- nated representative because of spe- cial considerations or the nature of the shipment (e.g., explosives, high priority items, "nuclear weapons or direct shipments between military installations) .12 d. Method of Transmission of CONFI- DENTIAL Material Outside a Facility. 1.2 Such material shall be transmitted by one of the following means within and between the U.S., Puerto Rico, Panama Canal Zone or a U.S. possession or trust territory : (1) One of the means established for SECRET in paragraphs c(1), (2), (3), (4) and (6) above.h1 (2) U.S. Express Mail13 or U.S. Certified Mail for CONFIDENTIAL material. However, U.S. Registered Mail shall be used for transmittal of such ma- terial between any of the following points : the CONUS, Alaska, Hawaii, Puerto Rico, Panama Canal Zone, or a U.S. possession or trust territory. In addition, U.S. Registered Mail destined for and between activities located in the Panama Canal Zone must be routed only via Army, Navy or Air Force postal facilities. Ad- dresses may be obtained from the DOD Activity Address Directory, DOD 4000.25-D (a reference copy is located at the cognizant security office), or from the ACO/PCO. A copy of the DOD 4000.25-D may be purchased from the GPO. (3) By commercial carrier" (air or sur- face) only when the size, bulk, weight, 11 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 escort normally provided for such shipments. 13 U.S. Express Mail is a premium mail service consisting of both programmed and regular service. The service is intended for, but not limited to, use by the business mailer or other large volume user of"the mails. The service is a high-speed intercity delivery system that usually can negate the requirement to hand carry CONFIDENTIAL material in cases of short notice. Ad- ditional information is available through a local postal Customer Service Representative regarding the specific options which are available. 56 p Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400O1-21 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400B362 5220.22-M nature of the shipment, shipping costs or escort considerations make the use of the foregoing methods impractical. The commercial carrier must be au- thorized by law, regulatory body or regulation to provide the required transportation service and a determi- nation must be made by MTMC that the carrier has a tariff, Government tender, agreement or contract which provides a Signature Security Serv- ice. A facility security clearance is not a requirement. The foregoing in- formation may be obtained from the contracting officer or his designated representative. In addition to the aforementioned coordination with the contracting officer or his designated representative, the contractor, as con- signor shall: (a) Utilize containers o f s u c h 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 "Signature Security Service Required." In addition, the consignor shall annotate the BL to require the carrier to notify the consignor immediately if the shipment is delayed en route for any reason. (c) Instruct the carrier to ship packages weighing less than 200 pounds gross in a closed vehicle or a closed portion of the car- rier's equipment. (d) Notify the consignee (including a Government transshipping ac- tivity) of the nature of the ship- ment, the means of shipment and the anticipated date and time of arrival, by separate communica- tion at least 24 hours in advance (or immediately upon dispatch if transit time is less than 24 hours) of the arrival of the ship- ment in order that the consignee may take appropriate steps to receive and protect the shipment. 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 consig- nor. Upon receipt of such notice, the consignor immediately shall request the carrier to trace the shipment and shall notify his cog- nizant security office in accord- ance with paragraph 6a(10) of the delay in the delivery of the classified material and the cir- cumstances as known to the con- signor. Subsequent developments concerning the delayed shipment shall also be reported to the cog- nizant security office. A copy of the report shall also be submitted to the contracting officer con- cerned or his designated repre- sentative for forwarding to MTMC. e. Method of Transmission of SECRET and CONFIDENTIAL Material Outside of Areas Enumerated in Paragraphs 17c and d SECRET and CONFIDENTIAL ma- terial shall be transmitted only under the provisions of the contract or with the writ- ten auhorization 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 excep- tion to this would be when a foreign govern- ment, with whom the U.S. has entered into Par. proved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 57 DoD 5220.22proved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 a reciprocal agreement pertaining to the fil- ing 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 govern- ment. 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 arrange- ments shall be made by the cognizant secu- rity office where the foreign firm or govern- ment has awarded a contract to the U.S. con- tractor. When authorized, SECRET and CONFIDENTIAL material shall be trans- mitted by one of the following means. (1) Accompanied by a contractor em- ployee courier or escort, who is cleared for access to the classified informa- tion involved and who has been desig- nated by the contractor, provided: (i) the classified material is not transported across international bor- ders (this does not preclude use of regularly scheduled non-stop flights on U.S. carriers between the U.S. mainland and Alaska, Hawaii, Puerto Rico, the Panama Canal Zone, 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 au- thorization 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 ma- terial involved; i.e., storage at a U.S. Government installation within the country concerned. (2) Accompanied by a U.S. Government Civil Service employee or military person who is cleared for access to (3) the level of the classified information involved and who has been designated by the contracting officer. (Appro- priately cleared officers of the Depart- ment of Navy, Military Sea Trans- portation 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 ma- terial being transported. Registered mail through U.S. Army, Navy or Air Force postal facilities. If the intended recipient is not author- ized 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 pick- up by the intended recipient. (4) U.S. and Canadian registered mail with registered mail receipt to and from Canada in accordance with in- structions from the contracting officer and via a U.S. or Canadian Govern- ment activity. (5) Armed Forces Courier Service in ac- cordance with specific instructions from the contracting officer. (6) In accordance with specific instruc- tions from the contracting officer whenever the nature of the classified shipment does not lend itself to trans- mission by any of the above methods. In such cases the procedure for ad- vance notice to consignee and report- ing of delayed receipt, etc., set forth in paragraph c(5) (c) above, apply. f. Method of Transmission of TOP SE- CRET, SECRET and CONFIDENTIAL Material Within a Facility. Shall be trans- mitted within a facility by a responsible em- ployee designated by the contractor, and who has been cleared for access to the category 58 Par. 17 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M of, classified information involved. The clas- sified material shall remain under the direct surveillance of the designated employee at all times. By electrical means over approved CRYPTOGRAPHIC communication circuits with the prior written approval and in ac- cordance with instructions of the contract- ing officer, or other approved circuits with the prior written approval of the cognizant security office. g. Inspection of Classified Shipment. Upon receipt of a classified shipment the consignee shall examine it to insure that there is no evidence of tampering (see para- graph 12e(2)). Evidence of tampering shall be reported to the cognizant security office in accordance with paragraph 6a(11). h.1-Protection En Route by Contractor's Employee. When employees designated 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 who is in a physical position to exercise direct security controls over the material at all times. The hand carrying of classified material on trips that involve an overnight stopover is not per- missible unless arrangements are made in advance of departure for overnight storage of the hand-carried classified material in a Government installation or a cleared con- tractor's facility. Transmission or carrying of classified material shall not be authorized when there is doubt as to whether the ma- terial can be properly handled and protected. Additional special requirements for hand carrying of envelopes containing classified documents aboard commercial passenger aircraft are contained in Appendix XI. These procedures however, apply to classified docu- ments only. Instructions for hand carrying classified hardware and other bulky pack- ages aboard commercial passenger aircraft shall be obtained from the cognizant secu- rity office on a case-by-case basis. 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 con- tractor to his employee making the visit and shall be transmitted to the destination being visited, to be held for the employee, in ac- cordance with paragraph c(2) or d(2) above. This method also shall be used for the return of the material. However, if the contractor determines that time limitations do not permit mailing the material required during the visit, he.may authorize the em- ployee concerned to carry the classified ma- terial 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 empoyee. Upon the employee's return from the visit, an inventory shall be made of the material for which he 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. j. COMSEC .Information. Classified COM- SEC information shall be transmitted as prescribed in the COMSEC Supplement to this Manual. k. Addressing Mail or Shipments of Clas- sified Material. Except as provided below, mail or shipments containing classified ma- terial shall be addressed to the Commander or Head of the User Agency activity or in- stallation (Commander, Commanding Offi- cer, Director, or similar designation) or to the cleared facility concerned, using the ap- propriate business name and address, and not to an individual. This does not prevent use of office code letters or numbers, or such phrases in the address as, "ATTN: Research Dept." or similar aids in expediting internal Par. 17 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 59 DoD 5220.22 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 routing in addition to the appropriate ad- dress. (1) When it is considered desirable or ap- propriate to direct SECRET or CON- FIDENTIAL material to the atten- tion of a particular employee of a facility or User Agency, other than to a consultant as prescribed below, the identity of the intended recipient shall be indicated on an attention line on the inner container or on an atten- tion line placed in the letter of trans- mittal. If such mail is to be delivered directly to the specified employee, a procedure shall be established to in- sure that all classified enclosures are promptly entered into the facility's document control system in accord- ance with paragraph 12. (2) When transmitting SECRET or CONFIDENTIAL material to an in- dividual operating as a cleared facil- ity or engaged as a Type B or C con- sultant, or to any facility at which only one employee is assigned, the contractor shall specify on the outer container "TO BE OPENED BY AD- DRESSEE ONLY." Further, the outer container shall be annotated "Postmaster-Do Not Forward. If Undeliverable to Addressee, Return to Sender." Although postal regula- tions allow "Restricted Delivery" mail to be delivered to the addressee or to an agent the addressee has au- thorized in writing to receive his/her "Restricted Delivery" mail, in all in- stances only appropriately cleared personnel shall be designated as agents for the addressee. Addition- ally, in the event the consultant is operating as a Type C consultant, ar- rangements shall be made by the con- sultant to insure that all incoming U.S. Certified Mail, U.S. Registered Mail, and U.S. Express Mail ad- dressed to him in his capacity as an independent consultant is delivered unopened to him personally through; his employer's mail distribution sys stem before entering it into his em- ployer's document control system. 1. RESTRICTED DATA and FORMER- LY RESTRICTED DATA. RESTRICTED DATA and FORMERLY RESTRICTED DATA shall not be transmitted or otherwise made available to any regional defense or- ganization 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 copies of reproductions of classified material shall be marked or stamped with the same classification as the original. Only sufficient copies necessary to meet opera- tional requirements shall be ;prepared, and reproductions shall be destroyed, if other- wise proper, as soon as they, have served their purpose. Reproduction, of classified ma- terial shall be made only on equipment spe- cifically designated for the reproduction of classified material. Rules governing the use of such designated equipment will be con- spicuously posted on or near the equipment. Further, appropriate warning notices pro- hibiting 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 authoriza- tion of the contracting officer, or his desig- nated representative, any photograph or other reproduction of TOP SECRET in- formation, SECRET information (when specifically prohibited), or CRYPTO in- formation, regardless of classification, for any purpose. However, if the contract is for a TOP SECRET, SECRET or CRYPTO re- port, then additional reproduction authority 60 Approved For Release 2002/08/21 : CIA-RDP94BOl041 R0003000 122& 18 Approved For Release 2002/08/21 : CIA-RDP94B0l041R00030004 0Ll-2 DoD 5220.22-M is not necessary. (See paragraph 87a re- garding restrictions on the reproduction of COSMIC TOP SECRET information.) In addition, TOP SECRET and SECRET ma- terial originated by the ERDA or its con- tractors may be reproduced only with the consent of the originator or higher authority within the responsible ERDA activity. b. Reproduction Not Requiring Authori- zation. The contractor may reproduce, with- out prior authorization of the contracting officer, non-CRYPTO information classified SECRET (unless specifically prohibited) or CONFIDENTIAL when such reproduction is essential to- (1) (2) The performance of the contract. The preparation of a solicited or un- solicited bid, quotation, or proposal to a User Agency of the U.S. Govern- ment or another authorized contrac- tor for U.S. Government work. (3) Correspondence in connection with the contract. (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 ap- plications, and such applications shall not be filed except as specifically pro- vided in the contract.) c. Records. The contractor shall maintain a record of the number of copies of all TOP SECRET and SECRET material, and CRYPTO material, regardless of classifica- tion, that he reproduces. Reproduction rec- ords 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 incorporated in the control sta- tion records required by paragraph 12. d. Additional Markings. When reproduc- ing classified material, the additional nota- tions required by paragraph 11b shall be shown on all reproductions. 19. Destruction a. Requirement for Destruction. The con- tractor 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 para- graph b, below, the contractor shall destroy classified material in his possession as soon as practicable after it has served the purpose for which it was-- (1) Released by the Government. (2) Developed or prepared by the con- tractor. (3) Retained after completion or termi- nation of the contract. b. Disposition by Specific Authorization. COSMIC TOP SECRET material (see para- graph 85c(2)) shall not be destroyed but shall be returned to the contracting officer or his designated representative. Accountable COMSEC classified material shall be de- stroyed only when destruction is authorized in writing by an appropriate Government official. In all instances where specific in- structions have been issued by the contract- ing officer, such instructions will dictate the disposition to be accomplished. c. Methods of Destruction. Classified ma- terial shall be destroyed beyond recognition so as to preclude reconstruction of the clas- sified information in whole or in part. The destruction, which may be limited to those components or portions of the material which incorporate classified information, can be accomplished by burning, melting, mutila- tion, or chemical decomposition. In addition, pulping, disintegration, pulverizing, or shred- ding may be used for the destruction of paper products. Methods of destruction, other than burning, and the equipment used for such, shall be approved by the cognizant security office. Public incinerators may be used only with the prior approval of, and under conditions prescribed by the cognizant security office. The following additional re- quirements pertain to destruction : Pars. 18 & 19 61 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M (1) If classified material is removed from the facility for destruction, it shall be destroyed on the same day it is removed. (2) The equipment and methods used to destroy classified material shall be inspected each time destruction is effected to assure that the mini- mum requirements approved by the cognizant security office are met. (3) When classified paper products are shredded, the residue shall not ex- ceed a size greater than 1/32" in width (with a permissible plus tolerance of 1/64") by 1/2" in length, and shall be accomplished in sufficient quantities of material, and types of paper, to preclude re- construction or recognition of the material being destroyed. Shred- ding is not authorized for the de- struction of TOP SECRET. (4k) The SPP shall include specific in- structions which apply to the method of destruction, and shall incorporate instructions provided by the cognizant security office. d.' Witness to Destruction. The destruc- tion of classified material shall be accom- plished by or in the presence of two em- ployees of the contractor who possess appro- priate security clearances. One shall be a responsible employee who has been briefed in the destruction provisions of this para- graph, 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, CONFIDEN- TIAL material, other than accountable COMSEC material, may be destroyed at the facility and witnessed by: (i) one re- sponsible 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 facility secu- rity supervisor and possesses an appropriate security clearance, has been briefed in the destruction procedures, and has been desig- nated to perform and witness the destruc- tion. e. Destruction Records and Certificates for TOP SECRET, SECRET or CRYPTO Material. When TOP SECRET, SECRET, or CRYPTO material, regardless of classi- fication, is destroyed the contractor, in addi- tion to maintaining accountability records reflecting the destruction of such material, shall execute a destruction certificate indicat- : ing 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 de- stroyed. Both individuals shall be required to know, through their personal knowledge, that such material was destroyed. The con- tractor may, at his discretion, combine the information required in the destruction cer- tificate with the accountability records main- tained in accordance with paragraph 12a. Upon request, a copy of the destruction cer- tificate shall be sent to the contracting officer at the time of destruction. 62 Pa 19 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-11 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M Destruction records and destruction certifi- cates shall be maintained at the control sta- tions established under paragraph 12, and shall be retained by the contractor for a minimum of three years for TOP SECRET, Special Access, or CRYPTO material, re- gardless of classification, and for two years for SECRET material. f. Classified Waste. Classified waste shall be destroyed as soon as practicable in ac- cordance with the provisions of paragraph c, above. This applies to all waste material containing classified information, such as preliminary drafts, carbon sheets, carbon ribbons, plates, stencils, masters, steno- graphic notes, worksheets and similar items. (Typewriter and automatic data processing equipment ribbons used in transcribing clas- sified material shall be safeguarded in the manner appropriate for the classification category involved until the ribbon is cycled through the typewriter or printer a suffi- cient number. of times to obliterate informa- tion 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 substantially stationary until it has received at least five consecutive impressions shall be treated as unclassified.) CONFI- DENTIAL waste, except waste containing CRYPTO or other Special Access informa- tion, may be destroyed by one employee or ...:. one responsible subcontractor guard pur- suant to the provisions of paragraph d, above. Pending destruction, classified waste shall be safeguarded in accordance with paragraph 14. Receptacles utilized to ac- cumulate classified waste shall be clearly identified. If not promptly destroyed, ac- countability shall be established over that material containing information classified SECRET or higher and CRYPTO or Special Access information regardless of classifica- tion, in accordance with paragraph 12f. When destruction does take place, the provi- sions 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 classified material, one or more of the following alternate proce- dures shall be used for disposal of the clas- sified material: (1) Return all classified material eligible for destruction, including classified waste, to the contractor or User Agency for whom the classified work is being performed, or to another facility of the same multiple facility organization. (2) Utilize the destruction facilities of another DoD contractor or User Agency, provided that the individual granted use of such facilities retains physical custody of the classified ma- terial and personally insures its com- plete destruction. To satisfy the re- quirements of paragraphs d, and e, above, an appropriately cleared em- ployee of the contractor or User Agency 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 spe- cializing in the destruction of classi- fied material, provided that the con- trols set forth in paragraph c, above are observed, and an appropriately cleared employee of another DoD con- tractor or User Agency is present to witness the destruction when required pursuant to paragraph d, and e, above. h. Magnetic Recordings. (1) All classified information recorded on magnetic media shall be safeguarded and accounted for according to the requirements prescribed in this Man- ual for the highest level of classified information ever recorded thereon. Par. 19%pproved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 63 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 (2) When the classified information re- recorded on magnetic media is ? itself regraded or declassified, the record- ing media shall be regraded in ac- cordance with the provisions of para- graph 11c and, except when com- pletely declassified, safeguarded ac- cording to the requirements pre- scribed in this Manual for the new level of classification. (3) Procedures for declassification of magnetic recording media are located in paragraph 107. Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 64 Par. 19 Approved For Release 2002/08/21 : CIA-RDP94B01041R0003000 Dou t620.22-M SECTION III SECURITY CLEARANCES 20. General a. An individual shall be permitted to have access to classified information only when cleared by the Government or by the contractor as specified in this Section ; and when the contractor determines that access is necessary in the performance of tasks or services essential to the fulfillment of a con- tract or program, i.e., the individual has a need-to-know (see paragraph 3as). The con- tractor shall limit the number of personnel processed for clearance to the maximum extent possible consistent with contractual obligations. b. To be eligible for a personnel security clearance, the following age must have been attained. or interim CONFIDENTIAL clearances are not valid for access to RESTRICTED DATA, NATO, or COMSEC and SENSITIVE COM- PARTMENTED INFORMATION (interim TOP SECRET clearances are, however, valid for access to RESTRICTED DATA, NATO, COMSEC, and SENSITIVE COMPART- MENTED INFORMATION only at the SECRET category and below; (iii) access under Canadian and U.K. Reciprocal clear- ances is limited as set forth in paragraph 31d; (iv) clearances issued to immigrant aliens are not valid for access to NATO classified information, COMSEC information or SENSITIVE COMPARTMENTED IN- FORMATION. In addition to a final security clearance granted by the DoD, a CRYPTO- GRAPHIC Access Authorization is required for access to CRYPTO information ; and the specific authorization of the User Agency is Years For CONFIDENTIAL ........................ 16 For SECRET or TOP SECRET ....... 18 c. A security clearance 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 that : (i) contractor CONFIDENTIAL clearances are not valid for access to RESTRICTED DATA; COMSEC information (see para- ..-graph 76) ; SENSITIVE COMPARTMENT- ED INFORMATION (see paragraph 75) ; ACDA classified information ; NATO infor- mation (see paragraphs 85 and 86 (a con- tractor CONFIDENTIAL clearance is valid, however, for access to NATO RESTRICTED information only) or, to meet the security clearance requirement as a prior condition for certification to fill a Critical or Controlled Position under the Nuclear Weapon PRP (see paragraph 3at.1) ; (ii) interim SECRET required for access to SENSITIVE COM-,_ PARTMENTED INFORMATION. d. Personnel shall not be cleared for ac- cess to classified information of a higher level than the clearance of the facility at which they are employed, except for- (1) Type A Consultants, as provided in paragraph 68. (2) Employees of a multiple facility or- ganization who are physically located at an uncleared facility or a facility with a lower level of clearance, who require access to a higher category of classified information exclusively in connection with the performance of duties at another cleared facility or at a Government installation ; or who are transferred to an uncleared facil- ity or to a facility with a lower level Par. 20 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 65 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M of clearance within the multiple facil- ity organization, provided the con- tractor desires, to retain the Letter of Consent at the higher level so it will be available in the event the individ- ual is transferred back to a facility at which the clearance will be needed. A clearance granted under this au- thority shall not be of a higher level than the facility clearance of the home office of the contractor, and the Letter of Consent will be issued or forwarded to-the HOF or to the PMF, as appropriate. If the contractor elects to have the Letter of Consent retained at a PMF in accordance with paragraph 26k, clearances granted to personnel located within the geo- graphical or functional area of re- sponsibility assigned to the PMF shall not be of a level higher than the facil- ity clearance of the PMF. e. All personnel assigned the duty or en- trusted with the responsibility of safeguard- ing classified material shall be cleared at the same level as the facility at which they are assigned, except that such personnel will be required to have a TOP SECRET clear- ance only if the person's duties require that he have access to or possession of TOP SE- CRET information, or is exercising control over TOP SECRET areas as prescribed by paragraph 34. This rule shall apply to those personnel whose duties involve the safe- guarding of classified material whether they are : acting as guards in addition to other regularly assigned functions (guards re- quired by paragraph 34 shall not be assigned additional functions which will interfere with their protective duties) ; employed by the contractor for the primary purpose of serving as a member of the police, guard, or protective force of the facility; or employees of a firm awarded a contract to furnish police, guard, or protective services at the cleared facility. f. The fact that a contractor has qualified for and has been granted a facility security clearance shall not be used for advertising, promotional purposes or in the recruitment of employees. Employment advertisements shall not state or imply that a personnel security clearance is a condition or prere- quisite for employment. Reproduction in any manner of the DLA Form 381-R, furnished to the contractor by the Government, shall not be made except for the necessary rec- ords of the contractor or unless requested by competent Government authority. Further, the reproduction in any manner of a Letter of Consent or Security Assurance furnished by the Government to the contractor for his employee shall not be made except for neces- sary records of the contractor, unless re- quested by competent Government author- ity. A copy of the Letter of Consent or Secu- rity Assurance shall not be furnished the employee named on the form for any pur- pose whatsoever, nor shall the employee be given any other written notification of the granting of a Letter of Consent or Security Assurance. However, this does not preclude the issuance of a color-coded identification card or badge to reflect the level of clearance in accordance with paragraph 8. g. When DISCO determines that it is un- able to obtain the full investigative require- ments to meet prescribed standards for the level of clearance requested, the contractor shall be advised that such clearance cannot be granted because of such inability, and the clearance action shall be discontinued. h. Unless administratively terminated, suspended or revoked by the DoD, the clear- ance of an employee shall be effective so long as he is continuously' employed by the con- tractor, and during any period of reemploy- ment by the contractor which commences within 12 months after the cessation of prior period of employment provided DISCO is notified of the reemployment in accordance with paragraph 6b(2). However, if the em- ployee no longer has or requires access to classified information and no requirement 66 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004008fr220 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M for such access is anticipated in the fore- seeable future, clearance can be administra- tively terminated by complying with para- graph 29. In addition, when an employee is granted a leave of absence, it shall not be considered as an interruption or discontinu- ance of employment provided it does not ex- ceed 1 year. When the leave of absence granted the employee exceeds 1 year, the termination date reported in accordance with paragraph 6b (2) will be the first day of the leave of absence. i. In all cases in which a contractor fur- nishes 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 sub- mission. j. As a general rule a contractor may be issued only one Letter of Consent for each cleared employee. However, in the case of an individual who, pursuant to paragraph 22, is required to be cleared in connection with the home office facility clearance and who has his primary place of work at an- other facility of the multiple facility organi- zation, a Letter of Consent may be issued to both facilities. k. Requests for clearance of personnel re- quired to be cleared in connection with a facility security clearance as prescribed by paragraph 22, who are also representatives of a foreign interest, shall be submitted to the cognizant security office. All other re- quests for clearance of employees who are representatives of a foreign interest shall be submitted to DISCO. A representative of a foreign interest (see paragraph 3bb) is not eligible for a personnel security clear- ance if : (1) The foreign interest involves a Communist country or a citizen, firm, or other entity of a Communist country; or (2) The individual's work as a rep- resentative of a foreign interest could create a potential conflict of interest situation vis-a-vis his work for the contractor if a personnel security clearance were to be issued on his behalf. (A potential conflict of interest situation is considered to exist where an individual's tech- nical or scientific endeavors on be- half of a foreign interest are simi- lar to his technical or scientific en- deavors on behalf of the U.S. con- tractor, i.e., the individual is per- forming services as a consultant to a foreign government and to a con- tractor involving the same general scientific or technical discipline.) (3) The individual is not a U.S. citizen or U.S. national. This general ex- clusion is not applicable to Cana- dian or U.K. citizens who are eligi- ble for or have been previously granted a Reciprocal clearance in accordance with the provisions of paragraph 31. Decisions as to whether an individual is eligible for a personnel security clearance pursuant to paragraph (1), (2) or (3) above, are made by DLA. With the exception of the foregoing, a representative of a for- eign interest is eligible for consideration for a personnel security clearance provided he submits a statement explaining fully his foreign connections. The statement should identify the foreign entity. If it is a business enterprise, the statement should include ex- planation as to 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 should fully explain the nature of the relationship between applicant and the foreign entity and indicate the approxi- mate percentage of the applicant's time devoted to the interest of the foreign entiry. In addition, the statement shall incorporate the provision that the applicant recognizes Par. 20Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 67 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M his special responsibility to protect classified information from disclosure to any unauthor- ized person, foreign or domestic. Two copies of the statement described above shall be in- cluded with each request for an initial clear- ance, transfer of clearance, concurrent clearance or conversion of clearance. In those cases where an individual who is cleared (or is in the process of being cleared) becomes a representative of a foreign in- terest, the contractor shall submit a written report in accordance with either paragraph 6a(4) or 6b(5). This report shall include the statement described above. In those cases where a representative of a foreign in- terest is required to be cleared in connection with a facility security clearance pursuant to paragraph 22, the provisions of para- graph 22f are applicable, in addition to the provisions of this paragraph. 1. Foreign nationals are not eligible for a personnel security clearance, except that re- ciprocal clearances may be granted to citi- zens of Canada and the U.K. in accordance with paragraph 31. m. Except for short-term visits (not in excess of 90 consecutive days during any 12- month period) residence or the assignment of a cleared immigrant alien outside the U.S., (Puerto Rico, Guam or the Virgin Islands) negates the basis upon which the Letter of Consent was issued, and the Letter of Consent shall be administratively termi- nated without prejudice by DISCO upon re- ceipt of notification of such residence or as- signment (see paragraph 6b (6)) . n. Persons not eligible for clearance under the provisions of this Section shall be granted access to classified information only as spe- cially authorized in writing by a User Agen- cy. The granting of such access is beyond the scope of the Industrial Security Program and all necessary instructions will be pro- vided by the User Agency concerned, o. When an interim personnel clearance has been granted and derogatory informa- tion is subsequently developed, DISCO may withdraw the interim clearance pending completion of the processing which is a pre- requisite to the issuance of a final clearance. When an interim personnel clearance for an individual who is required to be cleared in connection with the facility security clear- ance pursuant to paragraph 22 is withdrawn, the interim facility clearance will also be withdrawn unless action is taken to remove the individual from the position requiring clearance. Withdrawal action is not a denial or revocation of clearance and is not appeal- able. 21. Facility Security Clearances a. Procedures for Processing. A facility security clearance is an administrative de- termination that a facility (see paragraph 3ab) is eligible from a security viewpoint for access to classified in Ormation of the same or lower classification category as the clearance being granted. Facility security clearances shall not be granted to contractor activities located outside the U.S., Puerto Rico, Panama Canal Zone, or a U.S. posses- sion or trust territory. Facility clearances may be granted only to contractors organized and existing under the laws of any of the United States and Puerto Rico. Contractors organized and existing under the laws of the Panama Canal Zone or a U.S. posses- sion or trust territory may not be processed for or granted a clearance unless prior approval is received from DLA-DD (CAS). The cognizant security office assigned re- sponsibility for the geographic area in which the facility is located (See Ap- pendix VIII) will advise the prospective contractor of the actions required for the processing, the issuance and the continuation of a facility clearance. In connection with the issuance of a facility clearance, personnel security clearances must be granted to cer- tain management personnel as prescribed in paragraph 22. In addition, the contractor shall execute a DD Form 441, or, where ap- 68 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400G I h 20 & 21 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004 propriate, an Appendage to Department of Defense Security Agreement DD Form 441-1) and a Certificate Pertaining to For- eign Interests (DD Form 441s). In the case of a multiple facility organization, 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 cognizant security office of each cov- ered facility. Before a contractor is eligible for custody of classified information, he shall, in addition to having a facility clearance, have storage capability as prescribed in paragraph 14 and be prepared to apply the other safeguards prescribed by this Manual. Classified information which is of a higher security classification than the contractor's facility clearance may not be disclosed to the contrator. b. Licensing, Patent and Trade Secret Agreements. Licensing, patent and trade se- cret agreements with a foreign entity may render a contractor ineligible for a facility security clearance unless appropriate pro- cedures are established in the facility's SPP to insure that such agreements will not jeopardize the security of classified informa- tion 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 Regulation 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 ap- proval, 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 a facility security clearance. Agreements with a for- eign interest may make a contractor ineli- 3220.22-M gible for a facility security clearance. Exe- cution of a DD Form 441s in accordance with instructions set forth in paragraph M, Ap- pendix I, is required in connection with a determination of the degree, if any; of FOCI. The contractor must execute a new DD Form 441s when there is any change in the information previously submitted on the DD Form 441s. Any investor who has ac- quired a direct or indirect beneficial owner- ship interest of five percent or more of any class of stock of a registered company or any investor who plans to make a tender of- fer to purchase securities which is reason- ably expected to result in such an ownership interest is required to file a Schedule 13 D report with the Securities and Exchange Commission, the company whose securities are involved and 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 a Schedule 13 D from the inves- tor, a copy of the Schedule 13 D will be for- warded with the DD Form 441s or, if appro- priate, with the report (notification letter) required by paragraph 6a(4) (f). A new DD Form 441s shall also be executed by the con- tractor whenever advised that the form is required for an official purpose. It is the con- tractor's responsibility to provide complete information to assure that the degree of FOCI to which the facility may be subjected is fully explained so that the Government can ascertain that the security of the classi- fied information in the possession of the con- tractor will not be jeopardized. A copy of the DD Form 441s and instructions for its com- pletion are contained in paragraph M, Ap- pendix I. 22. Personnel Clearances Required in Connection with Facility Clearances The following individuals shall be cleared by the cognizant security office in connection with the facility security clearance, unless notified by the cognizant security office that such clearances are not required. Pars. 21 & 22 69 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 q~pproved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Ool) 5220.22-M a. Corporations, Associations and Non- Profit Organizations. (1) Chairman of the board and all principal officers, such as president, senior vice president, secretary, treasurer, and those occupying sim- ilar positions see paragraph 3au). Other officers, 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 per- formance of classified contracts, are not required to be cleared, pro- vided the organization complies with the provisions of paragraph e, below. (2) All directors, unless one of the fol- lowing options is elected : (a) Directors, who shall not re- quire access to classified infor- mation 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 per- formance of classified con- tracts, are not required to be cleared, provided at least a legal quorum of the board of directors or similar executive body shall be cleared and, if the corporation or association conducts meetings with a pro tem chairman or by a rotating chairmanship, all board mem- bers who are eligible for or who could sit as board chair- man shall be cleared ; and, with respect to all uncleared directors, the organization complies with the provisions of paragraph e, below ; or (b) If the board has seen fit to delegate certain of its duties and responsibilities to a legally constituted executive commit- tee, all members of this com- mittee shall be cleared. Other directors are not required to be cleared provided the com- mittee has full executive au- thority to exercise management control and supervision for the corporation, including respon- sibility over all matters involv- 4? ing the security of classified information in the possession of the organization, and pro- vided further, with respect to all uncleared directors, the or- ganization complies with the provisions of paragraph e, be- low. Directors who are not members of this executive committee may be cleared but only at the same level as the facility clearance and when this is done, paragraph e, be- low, would not be applicable. Two copies of the board of di- rectors' resolution delegating this authority to the committee shall be furnished to the cog- nizant security office. (3) Executive Personnel (see para- graph 3aa). The management offi- cial in charge at the facility and the security supervisor shall always be cleared in connection with the facility security clearance. (4) The corporation shall furnish a list of all officers, directors and execu- tive personnel to the cognizant se- curity office. The list-shall designate by name those individuals granted a Letter of Consent, those who are being processed for a security clear- ance, and those who have been ex- cluded from the requirement for a security clearance pursuant to the provisions of paragraph e, below. Such lists shall be signed by an offi- 70 pp Approved For Release 2002/08/21 : CIA-RDP94B01041R00030004000?'222 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040QQII 2 DoD 5220.22-M cer, director or executive personnel of the corporation. b. For Sole Proprietorships. (1) The Owner. (2) All Officers, if applicable. (3) Executive Personnel (see para- graph 3aa). The management offi- cial in charge at the facility and the facility security supervisor shall always be cleared in connection with the facility security clear- ance. (4) The sole proprietorship shall fur- nish a list of the owners, officers and executive personnel to the cog- nizant security office. The list shall designate by name those individ- uals granted a Letter of Consent, those who are being processed for a security clearance, and those who have been excluded from the re- quirement for a security clearance pursuant to the provisions of para- graph e, below. A current list shall be furnished once each year. Such lists shall be signed by the owner or by an officer or executive per- sonnel of the sole proprietorship. c. For Partnerships. (1) All General Partners. If the part- nership has seen fit to delegate certain of its duties and responsi- bilities to a legally constituted ex- ecutive committee, the members of this committee shall be cleared. Other partners, who shall not re- quire access to classified informa- tion, are not required to be cleared provided the committee has full --*-executive authority to exercise management control and supervi- sion for the organization, including --- responsibility over all matters in- volving the security of classified in- formation in the possession of the organization and, provided further, paragraph e, below is complied with in respect to all uncleared general partners. (General partners who are not members of this executive committee may be cleared but only at the same level as the facility clearance and when this is done paragraph e, below would not be applicable.) Two copies of the part- nership's resolution delegating this authority to the committee shall be furnished to the cognizant security office. (2) All Other Partners. Partners, other than general partners, who shall not require access to classi- fied 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, by official action of the general partners complies with the provi- sions of paragraph e, below. All partners who are cleared shall be cleared to the same level as the fa- cility clearance. (3) Executive Personnel (see para- graph 3aa). The management offi- cial in charge of the facility and the facility security supervisor shall al- ways be cleared in connection with the facility security clearance. (4) The partnership shall furnish a list of all partners and executive per- sonnel to the cognizant security of- fice. The list shall designate by name those individuals granted a Letter of Consent, those who are being processed for a security clear- ance and those who have been ex- cluded from the requirement for a security clearance pursuant to the provisions of paragraph e, below. A current list shall be furnished once Par. 22 71 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M each year. Such lists shall be signed by a partner or executive personnel of the partnership. d. Colleges and Universities. (1) The Chief Executive Officer. (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 type execu- tive body in accordance with the institution's requirement, as the managerial group having the au- thority and responsibility for the negotiation, execution, and admin- istration of User Agency contracts. The institution shall furnish the cognizant security office a copy of such designation of authority, from which the particular officers who are to be processed in conjunction with a facility security clearance can be determined, and thereafter a current list shall be provided once each year. If this requirement is not met, all officers shall be proc- essed for personnel security clear- ances. (3) All regents, trustees, or directors, unless one of the following options is elected : (a) Regents, trustees, or directors, who shall not require access to classified information in the conduct of the organization's business and who do not oc- cupy positions that would en- able them to affect adversely the organization's policies or practices in the performance of classified contracts, are not required to be cleared, provided at least a legal quorum of the board of regents, board of trus- tees, board of directors or simi- lar executive body shall be cleared and, if the college or university conducts meetings with a pro tern chairman or by a rotating chairmanship, all board members who are eligi- ble for or could sit as board chairman shall be cleared ; and, with respect to all uncleared regents, trustees or directors, the organization complies with the provisions of paragraph e, below ; or (b) If the board has seen fit to delegate certain of its duties and responsibilities to a legally constituted executive commit- tee, all members of this com- mittee shall be cleared. Other regents, trustees or directors are not required to be cleared, provided the committee has full executive authority to exercise management control and super- vision for the organization, in- cluding responsibility over all matters involving the security of classified information in the possession of the organization, and provided further, with re- spect to all uncleared regents, trustees or directors, the orga- nization complies with the pro- visions of paragraph e, below. Regents, trustees, or directors, who are not members of this executive committee, may be cleared but only at the same level as the facility clearance and when this is done para- graph e, below would not be applicable. Two copies of the board of directors' or similar executive body's resolution, del- egating this authority to the committee shall be furnished to the cognizant security office; or (c) If the board has seen fit to delegate all of its duties and responsibilities pertaining to Approved For Release 2002/08/21 : CIA-RDP94B0l041 R00030004000- r2 22 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040LOII142 DoD 5220.22-M the protection of classified in- formation to a managerial group comprised of officers or officials of the college or uni- versity, and if because of this delegation the board will not be in a position to affect ad- versely the performance of classified contracts, the board may exclude itself from the requirement for its members to be processed for a personnel security clearance by comply- ing with the provisions of paragraph e, below. Election of this alternative will not pre- clude a regent, trustee or direc- tor from being processed for a personnel security clearance, if such clearance is necessary in connection with the individ- ual's duties other than in the capacity of a regent, trustee or director. However, in such cases the clearance shall be at the same clearance level as the facility clearance. Two copies of the resolution by the board of regents, trustees, directors or similar executive body ex- cluding the board members from access to classified infor- mation and delegating such authority to the managerial group shall be furnished to the cognizant security office. (4) Executive Personnel. The manage- ment official in charge of the facility and the facility security supervisor shall always be cleared in connec- tion with the facility security clear- ance. (5) The college or university shall fur- nish a list of all personnel required to be cleared in connection with the facility security clearance pursu- ant to paragraphs (1) thru (4) above, or excluded to the cognizant security office. The list shall desig- nate by name those individuals granted a Letter of Consent, those who are being processed for a se- curity clearance and those who have been excluded from the re- quirements for a security clearance pursuant to the provisions of para- graph e, below. A current list shall be furnished once each year. Such lists shall be signed by a regent, trustee, director or executive per- sonnel of the college or university. e. Exclusion Procedures. Those officers, di- rectors, partners, regents and trustees who, pursuant to the provisions set forth above, can be excluded from the requirement for a personnel security clearance need not be processed for a clearance provided the orga- nization, by formal action of the board of directors, all general partners or similar type executive body, affirms that- (1) Such officers, directors, partners, regents or trustees (designated by name) shall not require, shall not have, and can be effectively ex- cluded from, access to all classified information in the possession of the organization and do not occupy positions that would enable them to affect adversely the organiza- tion's policies or practices in the performance of classified contracts or programs for the User Agencies. This action shall be made a matter of record in the organization's minutes of the partnership, board of directors, regents, trustees, or similar type executive body. Two copies of such minutes, dated and identified by the name and address of the facility, shall be furnished to the cognizant security office. (2) In case the organization does not comply with this requirement, all officers, directors, partners, regents, or trustees shall be processed for Par. 22 73 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M clearances. Personnel who have been excluded from the requirement for a personnel security clearance in accordance with this paragraph shall not be processed for a clear- ance at a level lower than the fa- cility clearance. f. Representative of a Foreign Interest. When a representative of a foreign interest (see paragraph 3bb) is required to be cleared in connection with a facility clear- ance, and the representative of a foreign in- terest has not been excluded in accordance with paragraph e, above, the following pro- cedures 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 type executive body. Two copies of the minutes shall be furnished the cog- nizant security office. (2) Failure to obtain a personnel se- curity clearance for, or to exclude a representative of a foreign inter- est, shall make the facility ineligi- ble for clearance, and any existing clearance shall be administratively terminated by the cognizant se- curity office. Such action is not appealable. (3) In those cases where an individual who is cleared in connection with the facility security clearance be- comes a representative of a foreign interest, the contractor shall sub- mit the report required by para- graph 6a(4), in addition to the ac- tions prescribed in this paragraph. quotation may be processed for personnel security clearances concurrent with, but not as a part of, the facility security clearance. A facility security clearance is not dependent upon the clearance of negotiators and changes in negotiators shall not affect the status of a facility security clearance. Sub- sequent to the issuance of a facility security clearance, negotiators are processed for per- sonnel security clearances in the normal manner prescribed by paragraph 26. 24. Security Clearance of Additional Personnel Except in the case of personnel who are required to be cleared in connection with a facility security clearance as prescribed by paragraph 22, and negotiators as prescribed in paragraph 23, the contractor shall not initiate personnel security clearance actions on employees until a facility security clear- ance has been granted to the contractor. Contractor employees, other than those cleared in accordance with the provisions of paragraphs 22, 23, 27, 31, and 41e, 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. The DOD shall grant personnel security clearances for- (1) U.S. citizen employees of the con- tractor who- (a) Require access to information classified TOP SECRET' or SECRET, or to any COMSEC information, regardless of clas- sification, SENSITIVE COM- PARTMENTED INFORMA- '~ MATION or RESTRICTED DATA ; or 23. Security Clearance of Negotiators Negotiators (see paragraph 3at) desig- nated by the contractor as being required to participate in the preparation of a bid or 1 When a TOP SECRET clearance is requested, DISCO will automatically issue a Letter of Consent for SECRET when the investigation necessary for clearance at the SECRET level has been completed with satisfactory results. That Letter of Consent will subsequently be superseded by a Letter of Consent for TOP SECRET when the required additional investigation is completed. 74 22 2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030 8400b132& 24 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300041D(101-2 DoD 5220.22-M (b) Are employed by a college or university ; or (c) Require access to NATO infor- mation classified CONFIDEN- TIAL or higher as described in Section XI ; or (d) Require access to ACDA clas- sified information ; or (e) Make determinations to grant access authorizations in ac- cordance with paragraph b, below ; or (f) Are representatives of a for- eign interest; or (g) Require security clearance as a condition of the Nuclear Weap- on PRP for duties in Critical and Controlled positions under the nuclear weapon security program (see paragraph 3at.1) . (2) Immigrant alien employees of the contractor who require access to SECRET or CONFIDENTIAL in- formation. Immigrant aliens are not eligible for access to SENSI- TIVE COMPARTMENTED INFOR- MATION, COMSEC, NATO infor- mation (see paragraphs 6b(6), 20c, 20m, 75 76, 85d, and 86), or for performance of duties in Critical or Controlled positions under the nu- clear weapon security program (see paragraph 3at.1). Moreover, immi- grant aliens are not eligible to be processed for DoD clearances at the TOP SECRET level. (3) Employees of the contractor whose application for clearance is referred to DISCO according to paragraph b (4), below. b. Clearance by the Contractor. Employees of the contractor not covered by paragraph a, above who are U.S. citizens and who re- quire access to information classified no higher than CONFIDENTIAL, shall be cleared by the contractor as prescribed be- low. Such clearances shall remain valid, un- less otherwise revoked, within any facility of the same organization so long as the indi- vidual continues in the contractor's employ- ment. However, if the employee no longer has or requires access to classified informa- tion and no future requirement for such ac- cess is anticipated in the foreseeable future, clearance can be administratively termi- nated by complying with paragraph 29. The contractor is not authorized to grant an in- terim CONFIDENTIAL clearance. Con- tractor granted CONFIDENTIAL clearances are not valid for access to RESTRICTED DATA, COMSEC information, SENSITIVE COMPARTMENTED INFORMATION, ACDA classified information ; or NATO in- formation; except for NATO RESTRICTED information. (1) The clearance shall be based upon the contractor's determination that- (a) The employment records of the employee are in order ; and (b) The Application and Author- ization for Access to Confiden- tial Information (Industrial) (DI) Form 48-2) executed by the employee indicates that (i) the employee is a U.S. citizen and. not a representative of a foreign interest; (ii) the in- formation furnished in item 8, if any, does not reflect that a personnel security clearance has been suspended, denied, or revoked in his case. (c) There is no information known to the contractor which would Par. 24 75 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M indicate that the employee's access to classified information is not clearly consistent with the national interest. (2) When the response to item 7 indi- cates that the applicant has applied for or received a previous security clearance, and there is no indica- tion in the applicant's response to item 8 that a prior clearance has ever been suspended, denied, or re- voked, the contractor may grant the CONFIDENTIAL clearance if otherwise appropriate. However, a copy of the DD Form 48-2 shall be sent to DISCO for a check of the PSCF. (3) Before an individual signs the DD Form 48-2 he should read the cer- tification statement. After he signs in the presence of the witness, the witness shall affix his signature and address. (4) When the determination required in paragraph (1) above cannot be made, or if the employee will not sign the DD Form 48-2, the con- tractor shall forward the applica- tion for CONFIDENTIAL clear- ance, together with the forms pre- scribed in paragraph 26c, to DISCO for appropriate action. (5) An affirmative answer to question 11 or an answer to question 12 in- dicating that the applicant has rela- tives living in a Communist coun- try will not, in itself, preclude a determination by the contractor that an employee is eligible for a CONFIDENTIAL clearance, where all other available information in- dicates that access is clearly con- sistent with the national interest. In such cases, where the contractor grants a CONFIDENTIAL clear- ance, he shall forward promptly to DISCO one copy of DD Form 48-2 together with the forms prescribed in paragraph 26c, for further evalu- ation and determination of con- tinued eligibility for access to CON- FIDENTIAL information. c. The contractor is not authorized to re- voke a clearance that he has granted. 25. Preemployment Clearance Application-Prohibited The contractor shall not initiate any pre- employment clearance action. An applicant for employment in a position which requires access to classified information may be in- formed that a security clearance will be re- quired and that a security clearance can only be granted to: (i) U.S. citizens; (ii) immi- grant aliens who reside and intend ,to reside permanently in the U.S. (including Puerto Rico, Guam and the Virgin Islands) ; or (iii) citizens of Canada or the U.K. A Per- sonnel Security Questionnaire (Industrial) (DD Form 48), DD Form 48-2, Personnel Security Questionnaire (Updating) (DD Form 48-3), Personnel Security Question- naire (Industrial) (Multiple Purpose) (DD Form 49), or Worksheet for the Prepara- tion of Personnel Security Questionnaires (DLA Form 707) shall not be offered to or be required to be completed by an individual until he is employed by the contractor in a position requiring access to classified infor- mation and placed on the payroll. However, in exceptional cases where a written contract for future employment in a position which requires access to classified information has been executed by both parties with a fixed date for entry on the payroll, the personnel security clearance application forms may be furnished to and executed by the employee prior to the date of entry on duty provided the actual date of entry on duty under such written contract is not contingent upon issu- ance of a personnel security clearance. 76 Pars. 24 & 25 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved 26. Application for Personnel Security Clearance (1) Contractors shall make application for DoD security clearances in ac- cordance with the provisions of this Section. For personnel clear- ances required in connection with a facility security clearance under paragraph 22, applications shall be submitted to the cognizant security office. Application for all other per- sonnel clearances shall be submitted to DISCO, P.O. Box 2499, Colum- bus, Ohio 43216. In addition to the forms required in connection with the application for a personnel se- curity clearance, the forms re- quired by paragraph c, below shall be accomplished and submitted when 'requested to satisfy an offi- cial requirement by DISCO or the cognizant security office. Failure by the employee concerned to fur- nish the` forms when requested or when required by this Manual, in connection with a clearance appli- cation, shall preclude the granting of any new security clearance with respect to the employee concerned, and shall constitute sufficient rea- son for considering revocation with respect to any outstanding security clearance covering the employee concerned. Whenever a contractor employee has submitted forms pre- scribed by this paragraph to DISCO but subsequently objects, for any reason, to be processed for a clear- ance or to have an existing clear- ance continued, the contractor shall submit a report to DISCO. Verifica- tion of such objectiow shall be made by the Government. After verification, any pending clearance shall be terminated and any secur- ity clearance then held by the em- ployee shall be administratively terminated by the Government without prejudice to the employee. (2) The contractor shall establish ade- quate procedures to assure that Part II of the DD Form 48, or the DD Form 49; or Part I of the DD Form 48-3, as appropriate, is com- pleted prior to completion of any other part of the form by the em- ployee. Additionally, the contractor will insure that Part III, DD Forms 48, 49, or 48-3, as appropriate, is completed by the employee in pri- vate. Moreover, the employee shall be advised of the instructions which preface Part III, relating to the completion of Part III in private, and the provision for adding any additional information which he may consider to have a bearing on his security clearance. (3) Moreover, the employee shall be advised that prior to affixing his signature to the form, the form shall be folded so that the witness to his signature will not see any portion of Part III of the completed PSQ. After the employee signs the original in the presence of the wit- ness, the witness shall affix his sig- nature Pnd address. (4) The employee shall be further ad- vised that, upon completion of the above, the form shall be inserted by him in the pre-addressed envelope (DLA Form 703) provided, to- gether with the previously com- pleted Fingerprint Card (FD Form 258). For personnel security clear- ances required in connection with a facility security clearance, the application shall be submitted to the cognizant security office by use of the envelope (DLA Form 704) provided which requires affixing the address of the appropriate cog- nizant security office together with Par. 26 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 77 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DooD 5220.22-M the previously completed FD Form 258. (The Fingerprint Card is not required when a DD Form 48-2 or DD Form 48-3 is submitted. It is re- quired in connection with all other submissions.) The employee shall be advised that: (i) the envelope shall be sealed by him; (ii) his signature shall be affixed across the envelope flap on the line provided ; (iii) the date of the signature will be inserted on the line provided; and (iv) the envelope shall be im- mediately returned to the employer for mailing. (5) The employer shall assure that the Fingerprint Card, if required, is completed prior to completion of the DD Form 48 or DD Form 49 so that it will be available for the employee to insert in the pre-addressed en- velope upon completion of the DD Form 48 or DD Form 49. In addi- tion, the contractor shall establish procedures to assure that an em- ployee of the contractor will wit- ness the taking of the employee's fingerprints on the card, to insure that the persons fingerprinted is, in fact, the same as the employee being processed for the clearance. The employer shall witness the placing of the Fingerprint Card in the envelope and the sealing of the envelope, to assure substitutions do not occur. (6) When the sealed envelope contain- ing the completed personnel secur- ity forms is received from the em- ployee by the contractor, it shall be forwarded unopened to DISCO, or to the cognizant security office, as provided in paragraph (1). (7) All forms required by this Section in connection with personnel se- curity clearances shall be obtained from DISCO. Instructions for corn- pletion of such forms are contained in pamphlets, which are also ob- tained from DISCO. These pam- phlets are entitled: (i) Instruc- tions for Completion of DD Form 48 or DD Form 49; (ii) Instruc- tions for Completion of DD Form 48-3; and (iii) Instructions for Completion of DD Form 48-2. b. Immigrant Aliens. Prior to submitting an application for a personnel security clear- ance for an immigrant alien, the contractor shall require the alien to produce for the contractor's review, the Alien Registration Receipt Card (Form No. 1-151) which has been issued to the individual. This card is issued only to aliens who have been lawfully admitted to the U.S. under an immigration visa for permanent residence. c. New Clearances. Application for an ini- tial clearance, for upgrading an existing clearance, or for requesting,.,a clearance in situations where other provisions of this Manual are not applicable, shall be made by the contractor by submission of the following forms: (1) A DD Form 4',$.2 completed and executed by U.S. citizens who are to be processed for a DoD issued CONFIDENTIAL or SECRET clearance unless paragraph (2) be- low applies. (2) A DD Form 491 completed and executed in the following cases : (a) Immigrant aliens who are to be processed for SECRET or CONFIDENTIAL clearance. (b) U.S. citizens who are to be 2 The DD Form 48 packet is composed of the PSQ and one copy of the NAC Request (DD Form 1584). a The DD Form 49 packet is similar to the DD Form 48 packet but contains five copies of the PSQ and additional questions regarding citizenship status. 78 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2I'ar. 26 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 processed for TOP SECRET clearance. (c) U.S. citizens who are to be processed for any level of clearance when the applicant lists relatives or relatives of his spouse who are residing in Communist countries (Commu- nist countries are listed in footnote 10 to paragraph 5u). (d) U.S. citizens who are to be processed for any level of clearance when the applicant advises he is a representative of a foreign interest. (3) A properly completed and executed FD Form 258 with each request submitted pursuant to paragraph (1) or (2). Care shall be exercised to instu e that fingerprints are au- thenticlegible and complete, as those which do not meet prescribed standards shall be returned for re- execution which will result in clearance delays. The employee being processed for access shall in. sert all the forms in the pre- addressed envelope (DLA Form 703) provided, and then seal. The employee shall then place his signa- ture and the date across the enve- lope flap on the line provided. The employee shall deliver the sealed, signed and dated envelope immedi- ately to the designated company representative, who will insure mailing. d. Interim Clearance. Except as author- ized below, requests for interim personnel security clearances must be approved by the contracting officer. Contracting officer ap- proval 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 interim clearance, or (ii) forward the application for interim clearance through the contracting officer. An application for an interim SECRET or CON- FIDENTIAL clearance shall not be made when a request for a SECRET or CONFI- DENTIAL clearance is already in process based on a previously submitted clearance application. The application for interim clearance shall consist of the forms pre- scribed by paragraph c, above. The words "Interim TOP SECRET," "Interim SE- CRET," or "Interim CONFIDENTIAL," as appropriate, shall be placed in bold letters in the lower right-hand corner of the "Job Title and Description of Duties" block of the DD Form 48 or 49. The approval letter from the contracting officer shall be attached be- hind the FD Form 258. As an exception to the foregoing procedures, and paragraph i., below, when an emergency situation exists which would render the facility incapable of adequately safeguarding classified material in its possession and no contracting officer is available to approve the interim clearance request within the time required to negate the threat, the cognizant security office is authorized to approve interim personnel se- curity clearance requests being forwarded to DISCO. Interim SECRET clearances for immigrant aliens are not authorized. Access limitations applicable in the case of interim clearances are set forth in paragraph 20c. e. Clearance Transfers. Application for a security clearance may be made by the con- tractor for employees for whom a Letter of Consent was previously issued while the in- dividual was employed by another contractor provided there has not been a lapse of more than 12 months since termination of the em- ployment for which the Letter of Consent was issued. Application is made by submit- ting one copy of an executed DD Form 48-3. f. Clearance Transfers - Multiple Facility Organizations. When an employee for whom a Letter of Consent has been issued is trans- ferred from one facility to another in a multiple facility organization with the same Par. 26 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.22-M or higher level of facility security clearance, the contractor shall- (1) Forward to the gaining facility either a copy of the Letter of Con- sent for the employee being trans- ferred, which shall be certified by the contractor of his authorized representative as a true copy; or the original Letter of Consent, if it lists only the employee being trans- ferred. temporary or part-time basis, who is also employed by or acting as a consultant to another contractor, and who has a current Letter of Consent, an additional Letter of Consent shall be requested if the individual requires access to classi- fied information. Application for a Letter of Consent will be made by the submission of one copy of ail executed DD Form 48-3. The "Con- current Clearance" block shall be marked on the DD Form 48-3. (2) Promptly submit two copies of DLA Form 562-R to DISCO as notifica- tion of the transfer. However, when an employee is transferred to an uncleared facility or a facility with a lower level facility security clearance than the employee's clearance, and if the employee will continue to require access at the level of his clearance at another cleared facility or a Government installation, or if the con- tractor desires to retain the Letter of Con- sent at the higher level so it will be available in the event the individual is transferred back to a facility at which the clearance will be needed, the Letter of Consent shall be forwarded to the home office facility or the appropriate principal management fa- cility of the multiple facility organization rather than to the gaining facility. If an employee is transferred to a facility with a lower level facility clearance than his per- sonnel clearance and the contractor desires to retain the Letter of Consent only at the lower level, the contractor shall amend the Letter of Consent to reflect the lower level of the access authorization and include a statement to this effect in the "Remarks" block of the DLA Form 562-R which is sub- mitted to DISCO. Clearance transfer action under this paragraph may be initiated after determination to reassign has been made, but prior to the actual transfer. g. Concurrent Clearances (1) When a contractor hires an indi- vidual or engages a consultant on a (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 concur- rently 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 subsid- iary) to whom the existing clear- ance has been issued, will submit a letter to the cognizant security of- fice of the facility (subsidiary or parent) to which the new clearance is to be issued setting forth full name, date and place of birth, So- cial 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 clearance was issued. That facility in turn will furnish to the other facility, a re- production of Part I of the DLA Form 482. If the OODEP'S em- ployment is terminated at either facility, the cognizant security of- 80 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R00030004000FF. 26 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DOD 5220.22-M fice of that facility will be advised in accordance with established pro- cedures. In addition, Part II of the DLA Form 482 will be completed and maintained in the records of that facility. If employment with the parent and subsidiary is termi- nated, their respective cognizant security offices will be notified in ac- cordance with established proce- dures. Only one debriefing state- ment (Part II of DLA Form 482) need be completed, but a reproduc- tion will be furnished the other facility. (3) Any action by the Government to suspend or revoke a clearance will be equally applicable to all concur- rent clearances issued for the con- sultant or OODEP. Concurrent no- tices of such action will be provided each employer by the Government. h. Reemployment of Cleared Personnel. When, within a period of 12 months, a con- tractor reemploys an individual for whom he had previously been issued a Letter of Con- sent, the contractor may reactivate the Let- ter of Consent by submitting a notice of re- employment on DLA Form 562-R to DISCO. Two copies of the form shall be submitted. Contractor-granted CONFIDENTIAL clear- ances of individuals who are reemployed within a period of 12 months may be rein- stated by the contractor without notification to DISCO. Where the previously issued Let- ter of Consent was at the TOP SECRET level, and there is no valid requirement to reinstate the clearance at that level, the con- tractor may request a Letter of Consent at the SECRET level for the individual within a 12-month period by submitting two copies of DLA Form 562-R to DISCO, annotated in the "Remarks" section to indicate the lower level of clearance to be reinstated. i. Formerly Cleared Personnel. In cases involving U.S. citizens where a final SE- CRET or final TOP SECRET clearance can- not be transferred or cannot be reactivated because there has been a lapse of more than 12 months since termination of the employ- ment for which the Letter of Consent was issued, the contractor may request an in- terim SECRET clearance without obtaining approval from the contracting officer, pro- vided application is made within 25 months from the date of termination of the employ- ment for which the Letter of Consent was issued. The application will be made by sub- mitting the forms specified in paragraph c, above, to DISCO. Applications submitted pursuant to this paragraph shall be anno- tated in the "Job Title and Description of Duties" block of the DD Form 48 to indicate that interim clearance pursuant to para- graph 26i is requested. Where the previous clearance was issued at the CONFIDEN- TIAL level by the DoD, the contractor may request an interim CONFIDENTIAL clear- ance under the provisions of this paragraph. j. Change of Name. The contractor shall submit one copy of DLA Form 562--R to DISCO whenever a change occurs in the legal name of an employee for whom the DoD has issued a Letter of Consent. Upon receipt of this report a new Letter of Con- sent will be issued. k. Issuance of Letter of Consent. (1) Except as authorized below, Letters of Consent are issued to the facility at which the individual is principally employed and the name and address of this facility shall be entered in the "Name and Address of Employer" block of the DD Form 48 or 49. The exceptions applicable only in the case of multiple facility organizations are: (a) The employee (i) who, in con- nection with the performance of his duties at another cleared facility or Government instal- lation, requires access to a higher category of classified information than the facility Par. 26Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 81 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M clearance of the facility at which he is employed or physi- cally located, or (ii) who is employed or physically located at an uncleared facility. In such cases the Letter of Con- sent is issued to the home office or the appropriate principal management facility of the multiple facility organization and it may not be for a higher category of access than the facility clearance of the home office or the principal manage- ment facility. (b) When the contractor elects to have Letters of Consent issued to the home office or a princi- pal management facility rather than to the facility at which the individuals are employed or physically located. Prior to re- questing DISCO to send Let- ters of Consent to a home of- fice or principal management facility, the contractor shall de- velop a proposed SPP or a proposed procedure for inclu- sion in the existing SPP and forward it to the cognizant se- curity office of the home office or the principal management facility for review. The SPP shall identify (i) each facility of the multiple facility organi- zation, or (ii) each facility of the multiple facility organiza- tion which is located within the geographical or functional area for which the principal management facility is admin- istratively responsible. Upon receipt of notice from the cognizant security office that the SPP is adequate, the con- tractor may request DISCO to issue Letters of Consent to the home office or principal management facilty. (c) When the individual is required to be cleared in connection with the home office facility clearance and his principal place of work is at another fa- cility of the multiple facility organization. In this case, Let- ters of Consent are issued to both the home office facility and the facility where the in- dividual is principally em- ployed or physically located, or to the appropriate principal management facility. An addi- tional Letter of Consent may be issued upon submission of a DLA Form 562-R which shall indicate in the "Remarks" sec- tion the reasons therefor. (2) When the Letter of Consent is issued to the home office or principal man- agement facility rather than the fa- cility at which the individual is prin- cipally employed or physically located, the contractor is required to: (a) Maintain a clearance record at the facility where the individ- ual is employed or physically located. In addition, the home office or principal management facility shall maintain records which reflect : 1. The facility at which the in- dividual is employed or physically located ; 2. The date (s) of initial and recurrring security brief- ings, and the name (s) of the briefer (s) ; and 3. The date(s) and name(s) of the officials conducting visits to the uncleared fa- cilities pursuant to para- graph 73. 82 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004000I . 26 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DOD 5220.22-M (3) (b) Report transfers within the multiple facility organization in accordance with paragraph f, above ; and, (c) Process visits to other facili- ties of the multiple facility or- ganization in accordance with paragraphs 41a and 73. On the application for clearance sub- mitted pursuant to paragraphs k (l) (a) and (b) above, the DD Forms 48, 49, or 48--3, or DLA Form 562-R shall clearly indicate the name and address of the facility at which the individual is employed or physically located in the "Name and Address of Employer" block of the form. In addi- tion, the name and address of the facility to which the Letter of Con- sent is to be mailed shall be placed in the "Job Title" block of the DD Form 48, 49, or 48-3, or the DLA Form 562--R. The facility name and address shall be preceded by the words "MAIL TO" in bold letters. `Q' (or `L') Conversion Requested." The DISCO will obtain verification of the current "Q" or "L" clearance and the investigative basis thereof from the ERDA. Following this verification DISCO will issue a Letter of Consent to the contractor. 27. Clearance of Present and Former Civilian and Military Personnel of the DoD and Certain Other Government Agencies a. Personnel security clearances issued by a User Agency to civilian or military per- sonnel who are U.S. citizens may be con- verted to industrial personnel security clear- ances as follows: 1. ERDA Clearances. A contractor who is engaged in classified work with the ERDA may request a DoD industrial personnel se- curity clearance for an employee who holds a "Q" or "I." clearance in connection with the contractor's work for the ERDA. In such cases, the "Q" clearance shall be con- sidered as an authoritative basis for a DoD clearance at the SECRET level provided the investigative basis of the "Q" clearance meets DoD investigative requirements. The "L" clearance shall be considered as an au- thoritative basis for a DoD clearance at the CONFIDENTIAL level, provided the inves- tigative basis of the "L" clearance meets DoD investigative requirements. Application for an industrial personnel security clear- ance based on a "Q" or "L" clearance may be made by the submission of one copy of DD Form 48-3 to DISCO. The "Job Title and Description of Duties" block in Part I of the DD Form 48-3 will be annotated "ERDA (1) Top-level civilian or military person- nel-18 months from the time of separation from active Federal serv- ice. (2) Retired civilian and military person- nel of any grade with 19 years or more of Federal service-18 months from the date of retirement from ac- tive Federal service. (3) For other civilian or military person- nel separated or retired from active Federal service-12 months from the time of separation or retirement from active Federal service. (4) Reserve military personnel who, are not on extended active duty but who actively, participate in a Reserve pro- gram requiring that they hold a valid security clearance, may have such clearance converted to an industrial security clearance. Clearances granted to such personnel who have trans- ferred to the standby or retired Re- serve also may be converted to in- dustrial security clearances within 12 months of a person's being placed in the standby or retired Reserve. Clear- ances granted to members of the Na- Pars. p }rS ied For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 83 00 5220.22-proved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 tional Guard are not convertible to industrial security clearances. b. Personnel security clearances issued by other Departments or Agencies of the Execu- tive Branch of Government to personnel who are U.S. citizens, may be converted to in- dustrial personnel security clearances when: (1) A determination can be made, based upon a review of the prior investiga- tion, 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 ap- pointees of the supergrades (GS-16 and above) and members of Industry Advisory Committees who have been duly appointed by Secretariat levels of the User Agencies. Top-level military personnel are those of the general and flag officer grades. d. Contractors employing personnel eligi- ble for conversion of clearance under the provisions of this paragraph may request clearance to the level of access required in the assignment of their duties by submitting the following information: (1) One signed copy of DD Form 48-3. (2) For former civilian personnel-an exact reproduction of the Notification of Personnel Action (Standard Form 50) which terminated his employment with the Government. (3) For former military personnel-an exact reproduction of the Armed Forces of the United States Report of Transfer or Discharge (DD Form 214). (4) For civilian or military personnel presently employed by or on active duty with a User Agency, the forms prescribed by paragraph (2) or (3) above are not required. However, in the case of military personnel the in- dividual's service number shall be placed in Item 18 of the DD Form 48-3. (5) For Reservists participating in a Re- serve Program and for those who have transferred to the standby or re- tired Reserve within the past 12 months, the forms prescribed by paragraph (2) or (3) above are not required. However, the individual's service number, the identity and ex- act address of the unit to which as- signed and the date such participation commenced shall be placed in item 18 of the DD Form 48-3. In addition, for those individuals who have trans- ferred to the standby or retired Re- serve, a copy of the orders effecting such a transfer shall be attached to the DD Form 48-3. e. The complete set of forms required by paragraph 26c shall be accomplished when : (1) The clearance requirement is for a higher level than is reflected in the clearance records; or (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 of all employees and consultants located at the facility who have been cleared for access to classified informa- 84 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R00030004g _17, 28 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 CH 1 DoD 5220.22-M tion. The record will indicate the level and date of clearance and whether cleared by a specific military department, DISCO or the contractor. 29. Administrative Termination of Personnel Security Clearances a. The contractor, under the conditions stated below, may request the administrative termination of SECRET and Government granted security clearances 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 fu- ture, administrative termination of a Gov- ernment issued clearance is accomplished by submission of a properly completed Request for Administrative Termination of Person- nel Security Clearance (DLA Form 683) to DISCO. Contractor granted CONFIDEN- TIAL clearances may be administratively terminated by the contractor in accordance with the procedures and criteria of this para- graph. The contractor shall process for ad- ministrative termination, or downgrading to a lower level (see paragraph 30) all TOP SECRET clearances which are no longer re- quired. When an individual with a TOP SE- CRET clearance has not had access to TOP SECRET information in the previous 18 months, but the contractor anticipates a re- quirement for access to TOP SECRET in- formation in the foreseeable future, justi- fication for retention of a TOP SECRET personel clearance shall be provided the cognizant security office. If a contractor fails to take action to terminate a TOP SECRET personnel security clearance under the con- ditions described above, and fails to submit justification for retention of the clearance, the cognizant security office shall submit a recommendation to the EDIS, HQ DLA, for processing pursuant to the provisions of paragraph f., below. individual previously cleared in connection with the facility clearance no longer requires clearance and can be excluded from access in accordance with the procedures set forth in paragraph 22e, a recommendation for ad- ministrative termination of the clearance may be submitted to the cognizant security office by submission of a properly completed DLA Form 683 and two copies of the organi- zation's minutes attesting that the exclu- sion action required by paragraph 22e (1) has been completed. c. In connection with the preparation of the DLA Form 683 the contractor shall ad- vise the employee as follows : (1) The personnel security clearance shall be administratively terminated since there is no current or forseeable fu- ture requirement for access to classi- fied information ; (2) The proposed action in no way re- flects adversely upon the employee's personnel security eligibility ; (3) The employee may be processed for a new personnel security clearance with a minimum of delay when the occasion and need arise for the em- ployee to require access to classified information; and (4) The employee's signature on the DLA Form 683 will certify that he under- stands and acknowledges this action. d. At the time the employee signs DLA Form 683 he will also be debriefed in ac- cordance with paragraph 5g and requested to sign Part II of DLA Form 482. On com- pletion of DLA Form 683 by the employee the contractor will forward the form to DISCO. (In the case of an OODEP the DLA Form 683 shall be forwarded to the cognizant security office.) The completed DLA Form 482 will be retained by the contractor in accordance with paragraph 5g. In the case of the administrative termination of a con- tractor granted CONFIDENTIAL clearance, Pars. 28 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 85 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M DLA Form 683 will be retained by the con- tractor for 2 years along with DLA Form 482. The administrative termination of a contractor granted CONFIDENTIAL clear- ance is completed at the time the employee .no,signs DLA Form 683. As provided for in paragraphs 29 and 30, if subsequent to such termination it becomes necessary to revali- date the clearance, Part I of the DLA Form 482 will be executed prior to the person hav- mmo access to classified information. e. If the employee will not sign the DLA Form 683, the contractor shall refer the matter to the cognizant security office for determination. Included with the letter of referral shall be the partially completed DLA Form 683. The contractor shall also furnish the home address of the employee. The cognizant security office will contact the employee and request him to show cause as to why the recommended action should not be completed. If the individual fails to re- spond within 30 days from receipt of such request to show cause, the Government will consider such failure as notice to the Gov- ernment that the individual no longer objects to the administrative termination of the clearance. f. In those rare and exceptional cases where DASD (SP), or higher authority, de- termines that a personnel security clearance was granted in error or is not required, he may, at his option, administratively termi- nate the clearance or clearance action in process without prejudice to the individual concerned or jeopardy to his employer's op- erations. g. In the event a need arises for an em- ployee to have access to classified informa- tion subsequent to the administrative termi- nation of his clearance, and such need oc- curs within 24 months from date of notice from the Government. that the previous clearance was administratively terminated, the previous clearance may be revalidated --*-immediately provided (i) the individual has been continuously employed by the same con- ...s tractor, and (ii) the contractor knows of no questionable or adverse information concern-*-- ing the employee. Revalidation will be ef- fected by submission of two copies of DLA Form 562-R to DISCO or the cognizant se- curity office, as appropriate. The DISCO will revalidate the clearance. The statement, 4~ "This is a request for revalidation of a clear- ance administratively terminated on (date)" shall be included in item 13, "Remarks." h. In the event an employee for whom a Letter of Consent was administratively terminated is transferred from one facility to another in a multiple facility organization with the same or higher level of facility secu- rity clearance, and the gaining facility has a need for the employee to have access to classified information, and such need occurs within 24 months from date of notice from the Government that the previous clearance was terminated, the previous clearance may be revalidated provided (i) the individual has been continuously employed by the same contractor, and (ii) the contractor knows of no questionable or adverse information con- cerning the employee. Revalidation will be ef- fected by submission of two copies of DLA r"" Form 562-R to DISCO or the cognizant se- curity office, as appropriate. The DISCO will revalidate the clearance. The block "multiple facility transfer" will be checked in item 1, and the statement, "This is a request for re- validation of a clearance administratively terminated on (date)" shall be included in item 13, "Remarks." i. In the event an employee for whom a Letter of Consent was administratively terminated is employed by another contrac- tor in a position requiring access to classified information, and such employment 'occurs within 12 months from date of notice from the Government that the previous clearance was terminated, the previous clearance may be revalidated by submission of one copy of an executed DD Form 48-3. The DISCO will reissue the clearance by forwarding a new Letter of Consent to the contractor. j. If the previous clearance which was ad- ministratively terminated was a contractor- 86 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Par. 29 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040ew1 DoD 5220.22-M granted CONFIDENTIAL clearance, and a new need arises 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 other than an OODEP, cleared at the TOP SECRET level, has not had access to TOP SECRET in- formation during the preceding 18 months, and a requirement for such access is not anticipated, but access to a lower category of classified information is required, the per- sonnel security clearance shall be down- graded without prejudice to a lower level by submission of a DLA Form 562-R, in dupli- cate, to DISCO. The properly completed form shall set forth in the "Remarks" block, item 13, a request to downgrade the. TOP SECRET clearance without prejudice to the appropriate level. Upon receipt of a copy of the DLA Form 562-R from DISCO, anno- tated to reflect that the requested action has been completed, the contractor shall annotate the previously issued Letter of Consent to reflect the new level of access, and the date such action was taken by DISCO. The Letter of Consent retains the original date of issu- ance. b. TOP SECRET personnel security clear- ances downgraded in accordance with the paragraph can be reinstated summarily upon request of the contractor, when a require- ment for such access exists, provided (i) .?- there has not been a lapse of more than 24 months from the date of the downgrading or termination action, (ii) the individual has been continuously employed by the same con- tractor/multiple facility organization, (iii) the contractor knows of no questionable or adverse information concerning the employee and (iv) that a valid need exists for the re- --validation of the TOP SECRET clearance. Application is made by submission of DLA Form 562-R, in duplicate, to DISCO setting forth in the "Remarks" block, item 13, a request to reinstate the previous TOP SE- CRET clearance. Upon receipt of a copy of the DLA Form 562-R from DISCO, anno- tated to reflect that the requested action has been completed, the contractor shall anno- tate the previously issued Letter of Consent to reflect the new level of access and the date such access was authorized by DISCO. c. When there has been a lapse of more than 24 months from the date the TOP SE- CRET clearance was downgraded to a lower level clearance, DISCO will issue a new Let- ter of Consent provided (i) the individual has been continuously employed by the same contractor/multiple facility organization since the date of the downgrading action, (ii) the contractor knows of no questionable or adverse information, and (iii) that a valid need exists for the TOP SECRET clearance. Application for the new Letter of Consent shall be made by submitting one copy of DD Form 48-3 to DISCO. 31. Canadian and U.K. Reciprocal Clearances a. Pursuant to the provisions of The United States-Canada Industrial Security Agreement, employees of the contractor who are citizens of Canada, except- those individ- uals who have status as aliens admitted to the U.S. under an immigration visa for per- manent residence, may be processed for a Canadian Reciprocal clearance authorizing access to classified information in connec- tion with the performance of classified work at a facility located in the U.S. or Canada. b. Under the provisions of the U.S.-U.K. Industrial Security Agreement, employees of the contractor who are citizens of the U.K., except those individuals who have status as aliens admitted to the U.S. under an immi- gration visa for permanent residence, may be processed for a U.K. Reciprocal clearance authorizing access to classified information in connection with the performance of clas- Pars. 29, 30 & 31 87 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B0l041R000300040001-2 DoD 5220.22-M sified work at a facility located in the U.S. c. Application for Canadian or U.K. Re- ciprocal clearances for employees in the cate- gories described in paragraphs a, and b, above shall be made by the contractor by submission of the DD Form 49 and three copies of executed FD Form 258. The follow- ing items on the DD Form 49 need not be completed and the notation "not applicable" may be used in lieu thereof : 13d(1) ; 13d (4) thru 13d(7) ; and 15b. Item 19 need only be answered with respect to non-U.S. or non- Canadian organizations where the applica- tion is for a Canadian Reciprocal clearance; and non-U.S. and non-U.K. organizations where the application is for a U.K. Recip- rocal clearance. The words "RECIPROCAL CLEARANCE" shall be placed in bold, block letters in the lower right-hand corner of the "Job Title and Description of Duties" block of the DD Form 49. d. Limitations on Access Under Reciprocal Clearances (Both Facility and Personnel Se- curity Clearances). (1) Canadian and U.K. Reciprocal clearances granted under the provi- sions of this paragraph are not valid for access to : (a) RESTRICTED DATA, as de- fined in the U.S. Atomic En- ergy Act of 1954, as amended ; (b) FORMERLY RESTRICTED DATA removed from the RE- STRICTED DATA category pursuant to Section 142 (d) of the U.S. Atomic Energy Act of 1954, as amended ; (c) COMSEC information; (d) Any ACDA classified informa- tion ; (e) Information for which foreign dissemination has been pro- hibited in whole or in part ; (f) Any information for which a special access authorization is required ; and (g) Any information which has not been specifically authorized for release to either Canada or the U.K. as the case may be. (2) In addition, Canadian Reciprocal clearances are not valid for access to classified atomic energy data as defined in the Atomic Energy Con- trol Act (Revised Statutes of Can- ada 1952) and the Atomic Energy Control Regulations, Order-in-Coun- cil PC, 1959-1643. e. Individuals who have been granted Canadian or U.K. Reciprocal clearances, and who subsequently become immigrant aliens or U.S. citizens, need not be processed for regular clearance, pursuant to paragraph 26, unless a requirement arises for access to information set forth in paragraph d, above or for information of a higher clas- sification category than covered by the Cana- dian or U.K. Reciprocal clearance. 88 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001F r. 31 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 DoD 5220.22-M SECTION IV CONTROL OF AREAS 32. Purpose Normally, the contractor shall protect clas- sified material in the manner prescribed in paragraphs 14, 15, and 16. If, however, be- cause of the nature, size or unique char- acteristics of the classified material, unau- thorized personnel cannot be effectively denied access to such material by the safe- guards set forth in the above paragraphs, the material shall be safeguarded by con- trolling the area in which it is located., Con- trolled areas shall consist of Closed and Restricted Areas as defined in paragraphs 3h and 3bc, respectively. c. Area designations shall be promptly re- moved or covered if and when the original need for the creation of the area no longer exists (e.g., all classified material removed from the area for delivery to the customer). d. To avoid confusion with restricted areas established on military installations for purposes other than the protection of classified material, Restricted Areas created in contractor facilities or activities located on such installations shall be designated "RESTRICTED AREA-AUTHORITY DoD MANUAL 5220.22-M." 34. Area Controls 33. General a. A controlled area shall not be estab- lished for the sole purpose of storing classi- fied documents (see paragraph 14a(3) (f) for guidance on use of "other vaults and strongrooms" for the storage of classified documents). b. The frequency of the guard patrols (see paragraph 34a(3) below) shall be de- termined primarily by the construction fea- tures of the area. If the area is constructed as described in Appendix. V, a patrol of the area once every two hours is sufficient. If the area is constructed using standards les- ser than in Appendix V, then. the frequency of patrol has to be increased. I The entry into a controlled area, per se, will not con- stitute 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 security clearance. (1) Shall be separated from adjacent areas by a physical barrier capable of preventing unuthorized entry and, when visual access to classified material is a factor, observation by unauthorized persons. The physical barrier shall be substantially con- structed of materials which provide protection against surreptitious en- try or removal of classified material and which offers visual evidence of attempted surreptitious or forced entry (see Appendix V for con- struction criteria). (2) During Working Hours. (a) Open or unlocked entrance. If the material within the area is classified no higher than CON- FIDENTIAL, admittance shall be controlled by a properly Pars. 32, 33 & 34 89 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DOD 5220.22 pproved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 cleared contractor authorized employee or guard stationed so as to supervise the entrance to the area. If the material is classified SECRET or TOP SECRET, admittance shall be under the direct and continu- ous supervision of a properly cleared guard posted at the en- trance. (b) Locked entrance. If the ma- terial within the area is classi- fied no higher than SECRET, admittance shall be under the direct. and continuous super- vision of a properly cleared contractor authorized employee or guard, except as may be provided for by complying with paragraph 36. The em- ployee or guard designated to control the entrance shall be required to unlock and open the entrance, remain at the en- trance, while it remains open, supervise the passage of ma- terial .or authorized personnel through the entrance, and to lock the entrance immediately thereafter. If the material is classified TOP SECRET, ad- mittance shall be under the direct and continuous supervi- vision of a properly cleared guard posted at the entrance. (8) During non-working hours admit- tance shall be controlled by locked entrances and exits, secured with either a built-in, three-position, dial- type, changeable combination lock, or a padlock as described in para- graph 14a(3) (d). However, doors secured from the inside with a panic bolt, a dead bolt, a rigid wood or metal bar, or other means ap- proved by the cognizant security office, will not require additional locking devices. In addition, guards on patrol shall be utilized, unless. the contractor complies with the provisions of paragraph 35. The extent of such patrols shall be com- mensurate with the accessibility and size of the area, but as a mini= mum, the guard shall at all times be able to control ingress to and egress from the area, and to determine the presence of any unauthorized person. (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. (2) During nonworking hours, the same controls as prescribed by paragraph 14. (3) Areas shall be designated and marked "Restricted Area." c. Area Approval. The cognizant security office and the contractor shall agree upon 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 become apparent during the perform- ance on the contract. Where the costs of con- struction and/or maintenance of the con- trolled areas are to be charged against a User Agency contract, the cognizant security office shall obtain and furnish to the con- tractor written authorization from the con- tracting officer concerned for the expendi- ture of necessary funds. This authorization shall only be required when the contractor is performing on cost-reimbursement type Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040000a2. 34 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M contracts as opposed to fixed-price type con- tracts in which such security costs would be included in the initial contract price. d. Reports. The cognizant security office shall be advised in accordance with para- graph 6a (5) of the creation of any new con- trolled 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 re- quired under paragraph 34a(3), and those which supplement and extend the capability of guards. (1) When used to supplant guards, the electrical protective alarm system shall be connected to a central con- trol station. (a) The central control station may be located at the contrac- tor's facility or at the facility of a subcontractor who main- tains and operates the electri- cal protective alarm system and responds to alarms .2,3 2 A direct-connect or remote station alarm system (i.e., a system connected by direct wire to alarm receiving equipment located in a local police department headquarters, which is activated and deactivated by the using contractor 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 pro- prietary or in-plant alarm system in accordance with the provisions of paragraph 35a(1) (c) ; (iii) the material and in- stallation 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 repre- sentative of the contractor (preferably the facility security supervisor) upon 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 insure the security of the area con- cerned. Approval of the cognizant security office 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 sub- mitted in duplicate to the cognizant security office, including sufficient justification for the granting of an exception and the full name and address of the police department which 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 equip- ment shall also be furnished, if applicable. (b) Such a subcontractor and its employees shall have facility and personnel security clear- ances prescribed in paragraph 20e. (c) Additional requirements for a central control station are: 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 opera- tion. The device which sig- nals alarms shall be con- tinuously monitored. 2. Trained and appropriately cleared guards, sufficient in number to dispatch imme- diately a guard to investi- gate each alarm, shall be in attendance at the central station at all times when the electrical protective alarm system is in opera- tion. 3. A signal shall be main- tained at the central sta- tion 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. k. Response time to an acti- vated alarm (i.e., the time required for guards to reach the area) shall not exceed 15 minutes from the 3 Central station burglar alarm systems classified by the UL, Inc. as Grade A shall satisfy the requirements of this para- graph. 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 811, Central Station Burglar Alarm Systems and list relating to authorized burglary protection equipment and Installing companies in UL publication "Accident, Auto- motive, and Burglary Protection Equipment List"). Pars. 34 rDrpoved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 91 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M time the alarm was first registered. 5. Records shall be main- tained 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 one year. (2) When used to supplement guards required by paragraph 34a (3), electrical protective alarm systems of the central station type, de- scribed in paragraph a (1) above, and systems not connected to a central control station may be used. However, if a central control sta- tion is not employed, the system shall provide an audible or visible alarm signal which shall be capable of attracting the immediate atten- tion 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 provi- sions of Interim Federal Specifica- tion W-A-00450 "(GSA-FSS), Alarm Systems, Protective, Interior (Security), 3 November 1965", or (ii) Underwriters' Laboratories Standards for Intrusion-Detection Units, UL-639, and Underwriters' Laboratories Standards for Instal- lation, Classification and Certifica- tion of Burglar Alarm Systems, UL-681.'1,5' (2) When individual alarms are in- stalled on classified storage con- tainers in accordance with para- graph 14a(2) (c) or 14a(4) (c), the installation shall provide "com- plete" protection of the top, bottom, sides and outer drawers or doors of the container (see Interim Fed- eral 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 cognizant security of- fice 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 consid- erations). 36. Supplanting and Supplemental Elec- tronic, Mechanical, and Electro- Mechanical Access Control Devices a. Supplanting Devices. Provided that the material within the controlled area is classi- fied no higher than SECRET, electronic, mechanical, or electro-mechanical devices which meet the criteria stated below may be used to supplant contractor authorized em- ployees or guards required under paragraph 34a(2) (b) to control admittance to the area during working hours. (1) Security enclosures (i.e., an en- closed metal booth, having an inner ' The minimum required standard for installation on premises shall be Installation No. 3 (see UL-681). New installations shall conform to Interim Federal Specification W-A00450 to the maximum extent permitted by availability of qualified equipment. 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., 207 East Ohio Street, Chicago, Illinois 60611. 92 Approved For Release 2002/08/21 : CIA-RDP94BOl041 R0003OGMQO43-& 36 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400(%' 5220.22-M and an outer door, inserted into an opening in the perimeter barrier for. ingress to and egress from a controlled area. Access to the con- trolled area through the booth is restricted to authorized persons having knowledge of the combina- tion on which the access control de- vice is set to operate): nated representative who is au- thorized to enter the area. The combination shall be changed at least once every 3 months. The control panel shall be secured, by a three-position dial-type, changeable combina- tion padlock as specified in paragraph 14a(3)(d). (a) Control cards, if used in con- junction with the combination control panel, shall be rigidly controlled and accounted for by use of consecutive numbering system and promptly recovered upon termination or transfer of the holder to duties no longer requiring access to the controlled area involved. (En- closures operated by a control card alone shall not be ap- proved to supplant contractor authorized employees or guards required under paragraph 34a (2) (b).) (b) Possession of the combination on which the booth is set to operate and, if used, the control cards shall be limited to a mini- mum number of authorized personnel consistent with op- erational requirements. (c) The combination on which the booth is set to operate shall be classified in accordance with the classification of the highest classified material within the controlled area. (d) The selection and setting of the combination in the control panel shall be accomplished by an employee of the contractor who is authorized to enter the area in the performance of his duties, or by the facility secu- rity supervisor or his desig- (e) Except as provided in para- graph b, below, the person en- tering or leaving the area through the security enclosure shall be responsible for insur- ing that the inner and outer doors are securely shut. In ad- tion, only one authorized per- son may pass through the secu- rity enclosure at a time. (f) If an alternate entrance is used to transport bulky classified material to and from the area, a contractor authorized em- ployee or guard shall be desig- nated to unlock and open the entrance, remain at the en- trance while it remains open, supervise the passage of the material and authorized per- sonnel and lock it immediately thereafter. (g) During shift changes and emergency situations, when the fast exit switch in the control panel is set to allow both the inner and the outer doors of the booths to be opened at the same time, admittance shall be controlled by a contractor au- thorized employee or guard sta- tioned so as to supervise the entrance to the area. (h) Electrical gear, wiring in- cluded, shall be accessible only from inside the area. Par. 36 93 pproved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.2URroved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 (2) Electronic, Mechanical, and Elec- tro-Mechanical Door Devices (i.e., a system which operates 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 which operates solely by the use of a control card.) : (a) The control panel shall be in- stalled in such a manner or have a shielding device mount- ed so that an unauthorized person in the immediate vicin- ity cannot observe the selection of the correct combination of the push buttons. (b) The electronic control box in which, or the mechanical mech- anism by which the combina- tion is set shall be secured by a three-position dial-type, changeable combination pad- lock as specified in paragraph 14a(3) (d), and shall be se- curely fastened or attached to the perimeter barrier of the area. To meet this require- ment mechanical devices may be modified (e.g., by removal of the latching hold-back, addi- tion of a hasp for securing the padlock to the backplate, and substitution of one-way screws). (c) The combination, and if also used, the control cards shall be controlled in the manner pre- scribed by paragraphs (1) (a), (b), (c) and (d) above. (d) Authorized personnel entering or leaving the area shall be re- quired to immediately lock the entrance behind them. (e) During shift changes and emergency situations, if the door remains open, admittance shall be controlled by a con- tractor authorized employee or guard stationed so as to super- vise the entrance to the area. (f) In all cases when used, electri- cal gear, wiring included, or mechanical links (cables, rods, etc.) shall be accessible only from inside the area, or shall be secured within a protective covering to preclude surrepti- tious manipulation of such components. b. Supplemental Devices. A number of electro-mechanical security devices for in- dividual identification and authentication are currently available. These devices, such as those involving hand or fingerprint scan- ning and comparison, may be used to sup- plement the access control systems described in paragraphs a(l) and (2) above. c. Approval. The approval by the cog- nizant security office is required before ef- fecting the installation of either a supplant- ing or supplemental access control device to meet a requirement of this Manual (see paragraph 34c regarding cost considera- tions). 94 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004000R? 36 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400w1 DoD 5220.22-M 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 informa- tion. Access to information classified higher than the level in the visit authorization will not be granted regardless of the level of the visitor's personnel security clearance. The contractor or activity being visited shall take such security measures as may be required to preclude visitors from having unauthor- ized access to classified information. Nothing in this Section will limit the requirements of paragraph 5c. 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. (2) That the purpose of the visit can- not be achieved without access to classified information by the visitor. (1) Name and address of the contrac- tor or User Agency activity to be visited. (2) Name and title of person(s) to be visited, if known. (3) Name of the proposed visitor, his date and place of birth and citizen- ship. (If immigrant alien, so indi- cate.) (4) Job title or position of the proposed visitor. (5) Requesting contractor's or User Agency activity's certification of the level of clearance of the pro- posed visitor (see paragraph 38). If the clearance is an interim clear- ance, company CONFIDENTIAL or Canadian or U.K. Reciprocal clearance, so indicate (see para- graph e., below for Special Access requirements). 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 con- tractor or User Agency activity being visited in advance of the proposed visit. In excep- tional cases, the telephone may be used pro- vided the visit request is confirmed in writ- ing. Under no circumstances, however, may employees hand carry their own visit re- quests to the place being visited. All Cate- gory 1 and 2 visit requests shall contain the following information : (6) Purpose and justification for the visit, in detail, including contract, project or program under which the visit is necessary and identifica- tion of classified information to which access is required, if known. (7) Date or period during which the request is to be valid. (8) Name and address of the request- ing contractor or User Agency ac- tivity. (9) Requesting contractor's certifica- tion of his facility security clear- ance (not required for representa- Par. 37 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 95 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.2'2-M ~- tives of the U.S. Government) (see paragraph 38). If the contractor has a Canadian or U.K. Reciprocal facility clearance, so state. (10) Name, address and telephone num- ber (if known) of requesting con- tractor's cognizant security office. e. When visits involve access to classified information requiring a Special Access Au- thorization (e.g., CRYPTO, NATO, military space project or other special or limited ac- cess 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 informa- tion. (4) Identify the office or User Agency activity granting such authoriza- tion. f. When appropriate, the visit request shall ask for approval for subsequent visits within a 12-month period. The contractor or User Agency activity initiating the visit re- quest 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 clear- ance which will require the visit authoriza- tion to be cancelled prior to its normal ter- mw?- mination date. In the event the initiating con- tractor's facility clearance, as indicated in paragraph d(9) above, changes to a Cana- dian or U.K. Reciprocal clearance, the initia- ting contractor shall immediately notify con- tractors or User Agencies honoring current visit requests so as to preclude the visitor's access to certain types of classified informa- tion as set forth in paragraph 31d. A down- grading of the facility security clearance also requires an immediate notification to contractors and User Agencies honoring cur- -?*rent visit requests. g. Machine-run or other rosters of em- ployees, limited to those personnel who are authorized access to particular levels of clas- sified information and who occupy positions which require classified visits, may be used for establishing 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 employee status which will affect his visit authorization. Use of such a procedures must be acceptable to the facility being visited and such records and control shall be maintained in a current status at all times. h. Representatives of the following Gov- ernment agencies, when acting in their offi- cial capacities, are not visitors. (1) Industrial Security Representatives of the DoD and other User Agen- cies. (2) Defense 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 Depart- ment) (7) Federal Bureau of Investigation. The contractor shall grant access to classi- fied 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 credentials and level of clearance will be verified by contact with the agency or activ- ity concerned. 38. Identification and Control of Visitors a. Contractors being visited by represen- tatives of another contractor are responsible 96 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040&fs237 & 38 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 DoD 5220.22-M for determining that the requesting contrac- tor has been granted an appropriate facility security clearance, based either on an exist- ing contractual relationship involving classi- fied information of the same or higher cate- gory or otherwise by verification from the cognizant security office of the requesting contractor and certainly of the visitor's iden- tity and authorization prior to any disclos- ure. When the requesting contractor's facil- ity security clearance status has been deter- mined, his certification as to the proposed visitor's personnel security clearance status may be accepted. If, however, there is any question as to the validity of a visit request or identity of the visitor, appropriate con- firmation shall be obtained from the con- tractor or User Agency activity which ini- tiated the visit request. facility except in accordance with other pro- visions of this Manual and specifically para- graphs 5x and 17. 39. Visitor Record a. Except when the visitor is issued an identification card or badge in accordance with the provisions of paragraph 8a(7), the contractor shall maintain a record of all visitors to the facility for the purpose of having access to classified information. The record will indicate (i) the visitor's full name ; (ii) the name of the contractor or activity he represents ; and (iii) the date (s) of his arrival at and departure from the facility. A separate set of visitor records shall be maintained for NATO visitors in accordance with paragraph 54. b. The contractor shall establish such con- trols over the movement of approved visitors as are necessary to insure that the visitors are only afforded access to classified informa- tion consistent with the authorized purpose of the visit. Particular care shall be taken to assure that his procedures for the control of Category 4 (foreign national) visitors are 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 em- ployee who has been informed regarding the visitor's access limitations or restrictions on the visitor's movements. c. Visitors shall be prohibited from mak- ing records of classified discussions or tak- ing photographs in areas where classified information might be recorded on the film without the express permission of the con- tractor being visited. d. Classified material shall not be released to the visitor to take outside the contractor's b. A NATO visit shall be considered to be (i) a visit by a person from a NATO coun- try to a contractor in connection with pre- contract negotiations or contract perform- ance on a NATO classified contract; (ii) a visit between a U.S. prime contractor and a subcontractor performing a NATO classi- fied contract ; and (iii) other visits in which access to NATO classified information has been specifically authorized. Representatives of the cognizant security office, whose re- quirement for access to NATO classified in- formation is only incidental to the accom- plishment 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 visitor records. c. 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 un- classified visits. Records of authorized visit requests for visits actually consummated shall be maintained by the contractor for a minimum of 2 years. Visit requests sub- mitted in accordance with this Section may be retained in lieu of a visitor record if they also contain the information required in Pars. 38 &Aroved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 97 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M items (i), (ii) and (iii) of paragraph a, above, and are retained for the required period. 40. Long-Term Visitors When employees of one contractor are temporarily stationed at a facility of an- other 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 contractors shall prepare an agreement delineating their respective responsibilities and encompassing the procedures to be followed. This agree- ment must conform to the provisions of this Manual and a copy shall be furnished to the cognizant security office of the host contrac- tor. The cognizant security office of the host contractor is responsible for conducting periodic inspections to insure that classified information in the possession of the visiting employees is properly safeguarded, and for notifying the host contractor of security de- ficiencies. 41. Visitor Categories and Procedures a. Category 1. This category applies (i) where a contractual or prospective contrac- tual relationship exists between contractors or between a contractor and a User Agency, and visits to a contractor by representatives of the GAO for auditing purposes, author- ized 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 which are participating under Government direction in contracts pertaining to research, development or pro- duction of a weapon system (see paragraph 3bw) ; (iii) to employees of contractors pro- ducing items furnished to assembling con- tractors (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 which receive only abstracts of classified reports or which re- ceive 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 which the visi- tor 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 para- graph 37. (3) The prime contractor or assembling contractor, as the case may be, may initiate visit requests for employees of a subcontractor or contractors supplying GFP in accordance with paragraph 37 when he is in posses- sion of the information required by paragraph 37d. (4) Employees of a temporary help supplier working for the contractor at his facility shall be treated as regular employees of the using con- tractor for the purpose of security orientation in facility practices, procedures and pertinent reports while working at his facility under his direction and control (see para- graphs 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 facility security clearances where a contractual relationship does not exist or which do not otherwise meet the require- ments of Category 1. (1) The requesting contractor will ob- 98 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003 ($ j 1 & 41 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M tain in writing a verification of the visitor's need-to-know from his con- tracting officer and include it with the visit request. (2) The contractor to be visited will ap- prove the request if he desires the visit. (3) The visiting contractor may sub- stitute another cleared employee to make the visit without additional verification of the need-to-know if acceptable to the contractor being visited. Information about the sub- stitution shall be furnished the con- tractor being visited as required in paragraph 37d. c. Category 3. Representatives or employ- ees of the ERDA and its contractors whose visits require access to other than RE- STRICTED DATA. (1) The activity requesting the visit will furnish the required informa- tion to the contracting officer of the User Agency whose information is involved, using ERDA Form 277. (2) If approved, the contracting offi- cer will notify the contractor of the scheduled visit including required information concerning the visit (ERDA Form 277). d. Category 4. Foreign Nationals (see paragraph 3ae). Visits by foreign nationals will not normally involve access to classified information and may be arranged directly between the foreign activity proposing the visit and the contractor to be visited. The contractor shall be responsible for insuring that such visitors are effectively denied ac- cess to classified information in the facility's possession and to unclassified technical data on the U.S. Munitions List for which an export license or letter has not been issued by the State Department under the ITAR or other unclassified information for which the Government has prescribed dissemina- tion limitations. In those cases when the for- eign activity has requested a User Agency's approval for the visit and the visit has been approved on an unclassified basis, the User Agency will advise the contractor that the foreign activity has been authorized to con- tact the contractor directly to arrange the visit. In the latter case an export license or letter is not required. (1) Foreign nationals shall not be af- forded access to classified informa- tion unless specifically authorized in writing by the User Agency (U.S. host military department). (2) The User Agency (host military department) will send the visit au- thorization which will contain the level and scope of classified infor- mation to be released (visual and/ or oral only) as well as any other limitations, to the contractor facil- ity to be visited through the cog- nizant security office. The contrac- tor will notify the User Agency (host military department) wheth- er or not the visit is desired. When the purpose of the visit cannot be accomplished without upgrading the level and scope of classified information authorized for release, or without modifying other limita- tions, the contractor will so advise the User Agency (host military de- partment). The contractor will not advise the foreign government con- cerned, or its representative of the level or scope of access authorized by the User Agency (host military department), nor will the foreign government or its representative be induced to seek a higher access level than that previously approved by the User Agency (host military department). (3) An export license is not required to release unclassified technical data Par. 4Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 99 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DOD 5220.22-M covered by the ITAR for visits ap- proved as in paragraph (2), above, unless prohibited by the visit re- quest. (4) Prior to disclosure to visitors in this category, the contractor being visited shall advice the visitor of his continuing responsibility to safe- guard the information to be dis- closed. He shall also inform him that the information affects the na- tional defense of the U.S. within the meaning of the espionage laws of the U.S., that unauthorized dis- closure violates international agree- ments and is inimical to the in- terests of national security. e. Category 5. This is a miscellaneous category which is used only if Categories 1 through 4 do not apply. Justification for this category of visit must be approved by the cognizant security office. Thereafter, individ- uals making Category 5 visits must be au- thorized by DISCO. (1) Persons, other than employees of the contractor, whose visit is considered necessary by the contrator and who cannot be denied some degree of ac- cess to classified information by escort or other procedures because of the nature of their presence in the area. The contractor to be visited will fur- nish the cognizant security office the following information: (a) The information specified in paragraphs 37d(1), (2), (3), (4) and (7). (b) Justification for the visit and the reason access to classified in- formation cannot be prevented. Interim visit approval, based on requirements for interim clear- ance as set forth in paragraph 26d, is authorized in emergency situations so as to avoid crucial delays in the fulfillment of con- tractual obligations. (c) Personnel security clearance forms specified in paragraph 26. Contractors to be visited will act as sponsors instead of employers in the completion of the clear- ance forms. (2) If the cognizant security office dis- approves the request, it shall so advise the contractor. If the cognizant secu- rity office approves the need and justification for access to classified information, it will forward the re- quest to DISCO, which will notify the contractor of the authorization or dis- approval of the visit. A DISCO Form 560 shall not be used. (3) Category 5 visits are normally au- thorized for one-time visits only, but may be approved by the cognizant security office for periods up to 1 year, when justified. Such visit au- thorizations may be renewed by for- warding a request to the cognizant security office with appropriate justi- fication for the renewal and the in- formation specified in paragraphs 37d (1), (2), (3), (4) and (7). When the requirement for a Category 5 visit authorization ceases to exist prior to expiration of the period for which it is valid, notice of termination shall be provided to DISCO by forwarding one copy of the DLA Form 562-R, annotated in the "Remarks" section to reflect the action taken. The sponsor- ing contractor being visited shall han- dle the briefing, debriefing, reporting, and other provisions of this Manual as he would for his own employees. 42. Visits Involving Access to RESTRICTED DATA a. Visits to a DoD or NASA contractor by a DoD or NASA representative or contrac- 100 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300 O'O0412& 42 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040696-%220.22-M tor shall be processed as prescribed in para- graph 37. have been made and that the visit has re- ceived ERDA approval. b. Visits to a DoD or NASA contractor by representatives of User Agencies other than DoD and NASA and their contractors require prior approval of the ERDA. The ERDA visit request form (ERDA Form 277) shall reflect this approval in Part B of the form. Contractors submitting visit re- quests in this category shall, after certifying to the clearance status of the proposed visi- tor(s) in Part A of the ERDA Form 277, for- ward the form to the contracting officer for certification of the visitor's need-to-know and further processing in accordance with the User Agency's regulations. The contractor receiving a visit request in this category shall insure that the required certifications c. Visits to a User Agency contractor, other than to a DoD or NASA contractor by representatives of the contracting User Agency and between a prime contractor and his subcontractor on such a User Agency contract, shall be processed as prescribed in paragraph 41. d. Visits to a User Agency contractor, other than to a DoD or NASA contractor, by representatives of User Agencies other than the contracting User Agency and by contrac- tors other than under a prime-subcontract relationship require prior approval of the ERDA and shall be processed in the manner prescribed in paragraph b, above. Par. 42 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 101 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040aM25220.22-M Part 2. VISITS TO USER AGENCY ACTIVITIES 43. General Rules-In addition to paragraph 37 a. Contractors shall comply with any re- quests received from the Commander or Head of User Agency activities for addi- tional 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 twelve months, when necessary and con- sistent with the purpose of the initial visit. Arrangements for continuing visits will be made between the contractor and the Com- mander or Head of the User Agency activity. Final approval is the prerogative of the Com- mander or Head of the User Agency 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 User Agencies involving access to RE- STRICTED DATA shall be processed in the manner prescribed in paragraph 42b. d. Contractor employees shall comply with written regulations and operating instruc- tions issued by User Agency activities con- cerning visitors to such activities. b. Visits to User Agency Activities in the Washington, D.C. Area. Requests to visit offices of headquarters activities of the User Agencies in the Washington, D.C., area shall be submitted in writing addressed to the specific office to be visited. Whenever pos- sible, the exact code number, division, branch, etc., of the activity or office to be visited shall be included in the address of the request. Visit requests shall be accom- panied by a statement from the contracting officer that the release of classified informa- tion is required in connection with a specified classified contract or program. (Visit re- quests normally will be sent via the contract- ing 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 offi- cer when the classified information to be dis- closed and the determination as to the con- tractor'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 intel- ligence information as set forth in para- graph e, below. d. The contractor's request shall contain the information specified in paragraph 37d. 44. Visits to User Agency Activities in the U.S. a. Visits to Field Activities. Contractors desiring to have an employee or consultant visit a User Agency activity involving access to classified information shall address a re- quest 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 connec- tion with a specified classified contract or program. (Visit request normally will be sent via the contracting officer.) e. If a contractor contemplates discussion or viewing of classified intelligence in the custody of a User Agency activity, the con- tractor's visit request shall be forwarded in all cases to the contracting officer of the User Agency activity authorized to release classi- fied intelligence to contractors for the re- quired need-to-know verification and routing to the User Agency to be visited. In addition to the information specified in paragraph 37d, the visit request shall contain : (1) The contractor's certification that (i) access to classified intelligence is required for contract perform- Pars. 43 & 44 103 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.2Ary1roved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 ance and (ii) the contract is a classified contract (see paragraph 3f). (2) Sufficient additional information concerning classified intelligence required to permit the agency or activity receiving the visit request to assess: (a) Applicability of available clas- sified intelligence to the con- tractor's needs. (b) Whether available intelligence may be released to the con- tractor without permission of the originator and/or sanitiza- tion of the material. 45. Visits to User Agency Activities Outside the U.S. This paragraph is applicable when a con- tractor desires to have an employee make a classified or unclassified visit to a User Agen- cy activity outside the U.S. The information required by paragraph 37d shall be fur- nished for the visits enumerated in this paragraph. a. Contractor Sponsored Visits. A contrac- tor shall process a request for his employee to visit a User Agency activity outside the U.S. through DISCO to the User Agency activity concerned if the visit is on the initia- tive of the contractor. The Commander or Head of the activity to be visited will notify the contractor of the approval or disapproval of the visit request. (See paragraph 50 for an employee based in Europe.) b. User Agency Sponsored Visits. A visit request for a contractor employee sponsored by a User Agency other than under a DCAS administered contract and traveling on the User Agency's orders, will be processed by the User Agency in accordance with the regu- lations 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 re- quest for such visit directly to the User Agency activity concerned. c. Visits Under DCAS Administered Con- tracts. A visit in this category shall be proc- essed concurrently to DISCO and the ACO at the DCASR as early as possible. For ad- vance notice or lead time see paragraph 49. (1) DISCO shall request visit authori- zation and verify the contractor employee's personnel security clear- ance to the overseas activity or ad- vise the activity that the employee does not have a clearance. The DISCO shall request the overseas activity to forward approval or dis- approval of the visit request to the ACO at the DCASR. (2) Concurrent with the processing of the visit request to DISCO, the con- tractor shall execute Part I of Re- quest and Authorization for Over- seas Travel-Contractor Personnel (DLA Form 437) in duplicate and forward it to the ACO at the DCASR. The contractor will be ad- vised of the approval or disapproval of the visit by the ACO. (Copies of DLA Form 437 shall be obtained from the DCASR.) Part 3. VISITS TO GOVERNMENT ACTIVITIES OTHER THAN USER AGENCIES 46. Visits to ERDA Installations or ERDA Contractors Requests for visits to ERDA installations or to ERDA contractors which will require access to ERDA classified information shall be prepared utilizing ERDA Form 277. (Copies of this form may be obtained from any ERDA installation.) In addition to com- pleting the appropriate portions of the 104 Approved For Release 2002/08/21 : CIA-RDP94BOl041 R0003( 0 14 & 46 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R0003000400Qj0,5 5220.22-M ERDA Form 277, the contractor (usually the facility security supervisor) shall in- clude, in the first block of the form imme- diately after the personnel clearance data, a certification of the prospective visitor's per- sonnel security clearance. The ERDA Form 277 shall then be forwarded for the required official certification to the contracting officer of the User Agency who signed the DD Form 254 which was issued in connection with the contract for which the ERDA classified in- formation is required. 47. Visits to Activities Other Than ERDA Requests for visits to Government activi- ties, other than User Agencies and the ERDA which involve the release of classified information to such activities in connection with a User Agency contract, require the approval of the 'contracting officer and, if the classified information to be released in- cludes RESTRICTED DATA, the approval of the ERDA. Such requests shall be sub- mitted by the contractor to his contracting officer who will process to request. The con- tractor shall provide evidence of the fact that the activity to be visited had either re- quested the proposed visit or else consented to the contractor's request for the visit. In addition, a statement shall be included ex- plaining: (i) the purpose of the visit in de- tail; (ii) a description of the classified in- formation 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 classi- fied contract involved. Part 4. VISITS TO FOREIGN GOVERNMENTS AND ACTIVITIES 48. General (c) foreign government contract) or a. Contractor visits to foreign govern- ments or activities or to international bodies fall into three categories: (1) Visits which involve the disclosure of U.S. classified information : (a) In connection with a govern- ment-to-government agreement to furnish U.S. military equip- ment to the foreign govern- ment (i.e.., the purchase of the equipment is under a U.S., not a foreign government con- tract) ; or (b) In connection with explora- tory sales visits, precontract negotiations or contract per- formance, other than those covered under paragraph (a) above (i.e., the purchase of the U.S. military equipment or services when and if consum- mated will be or is under a In connection with U.S. Gov- ernment presentations to for- eign governments and interna- tional pact organizations when the U.S. Government has re- quested the contractor's par- ticipation. (2) Visits which do not involve dis- closure of U.S. classified informa- tion but where the foreign govern- ment 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 dis- closure of technical data on the U.S. Munitions List. (3) Visits on a commercial basis (i.e., do not involve disclosure of U.S. Pars. 46, 47 & 48 105 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.2Ai#roved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 classified information and do not re- quire a U.S. security assurance on the visitor). These visits may or may not involve disclosure of un- classified data on the U.S. Muni- tions List. Visits in this category are not processed under the provi- sions of this Manual. However, the contractor is responsible for com- pliance with the ITAR and for ob- taining 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) Visit requests in the categories de- scribed in paragraphs a (l) (b) and a(2) (a) and (b) above shall be processed by the contractor through DISCO. (2) Visits in the categories described in paragraphs a(l) (a) and (c) above shall be processed by the con- tractor in accordance with the regu lations of the User Agency which.is dealing with the foreign govern- ment. The contractor shall certify visit clearance information directly to the User Agency concerned. Such visits are not proceesed through DISCO. (1) Disclosure of classified information in connection with visits in the category described in paragraphs a(1) (a) and (c) above does not re- quire an export license. (2) Except as specified in paragraph (3) below, disclosure of unclassi- fied 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 User Agen- cy 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 pro- visions of the ITAR. c. Requests for visits to foreign govern- ments or activities shall be processed only for an employee who is the subject of a Let- ter of Consent. Contractor issued CONFI- DENTIAL clearances are not valid for such visits, d. Visit requests shall be processed as fol- lows : 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 pro- posed visitor's passport or identification card number, date and place of issue. In ad- dition, the contractor shall specify the cate- gory of visit which is involved (see para- graph a, above) and, for a visit of the type described in paragraphs a(1) (b) or a(2) (a) above shall enclose a copy of his export license or letter. For visits to the Swiss Gov- ernment 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 30 days in advance of the proposed travel date for all countries and U.S. over- seas Commands. Exceptions are travel to Switzerland, which requires 49 days advance notice; and the following, which normally can be processed in less than 30 days: Belgium ........ .......... 21 days Canada ............ ...... 10 days France .... 21 days (France will not accept visits for 6 106 Pars. 48 & 49 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040 1-? DoD 5220.22-M months. It will accept visits only for specific dates.) Netherlands ............................ 21 days United Kingdom Ministry of Defense ............ 21 days Ministry of Technology ...... 16 days Royal Navy .......................... 28 days 50. Use of OISE If the U.S. contractor employee making the visit is based in Europe, or in an ad- jacent non-European country, the visit re- quest may be submitted through OISE rather than through DISCO. The informa- tion required in paragraph 48e shall be in- cluded with the request. The OISE 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 re- sponsible 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 VISIT 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 bi- lateral agreements involving a foreign clas- sified 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 purposes in connection with precontract nego- tiations or contract performance. When requested, the authority to visit the facility of the prime con- tractor may include authorization to have access to or to disclose clas- sified information at the facility of a subcontractor engaged in per- formance of work in connection with the same contract. (2) A list may be developed to indicate those individuals who are author- ized to visit the facility for ex- tended periods of time, not to ex- ceed six months, as may be neces- sary in the performance of the con- tract. 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 Government granted security clearances. b. U.S. contractor visits in conection with foreign classified contracts shall be proc- essed 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 para- graph 41d if the U.S. classified information is involved in the foreign government's con- tract. 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. con- tractor by a NATO government other than the U.S., a contractor of such NATO coun- try, or a NATO international body. a. Visits by Representatives of a U.S. Contractor to the NATO Contracting Officer, Pars. 49, 0$0r1o &RFor Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 107 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M 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 con- tracting office or to the NATO management office and will be processed together with a Certificate of Security Clearance (see para- graph 55). The Certificate of Security Clear- ance shall indicate whether or not the visitor has received a NATO security briefing. Whenever posible, the NATO security brief- ing will be accomplished prior to the sub- mission of the visit request and the certifi- cate will so state. When this is not practical, the visit reques witll include a statement as o when and by whom he 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 issue and the NATO contract or program on which he is engaged. b. Visits- by Representatives of NATO Contracting Officer, a NATO Management Office, or of a Contractor of a NATO Coun- try to the U.S. Contractor. Such requests shall be processed by the NATO activity con- cerned as a Category 4 visit (see paragraph 41d) through the appropriate User Agency actiivty. Such visit requests will contain the information specified in paragraph a, above. c. Visits in Conection with NATO Con- tracts by Representatives of a U.S. Contrac- tor 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 per- forming on the same NATO con- tract in a prime contractor to sub- contractor or subcontractor to sub- contracort relationship. A state- ment on NATO security briefing shall be included in the visit re- quest. (2) If no contractual relationship exists between the contractors, the visit request shall be processed as a Cat- egory 2 visit (see paragraph 41b) requiring the approval of the NATO contracting officer whose in- formation is involved. Supporting information on NATO briefing and Certificate of Security Clearance shall be included in such visit re- quests. The visit request, together with two copies of Certificate of Security Clearance, will be proc- essed through DISCO to the NATO Contracting Officer. d. Recurring Visits. Subsequent visits shall be processed in accordance with para- graph 37f. Authorization for subsequent visits shall not exceed a period of 12 months, but may bes ubject to renewal for succeeding periods of 12 months, if required (see para- graph 53b for NPLO visit requests). 53. NPLO Programs Clearance and Visit Procedures Clearance and visit control procedures in effect fort ontractors performing on specific NPLO programs are different from other NATO visit procedures. Current, NPLO programs are HAWK, F-104G, NAMSA, and NISCO. As an ai dtos implifying visit pro- cedures, it is necessary to establish the vis- iting contractor employee's clearance in con- nection with a specific NPLO program. This may be accomplished prior to the initial visit or concurrently with the request for such visit. (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 to- gether with a Certificate of Secu- rity Clearance (see paragraph 55). The visit request shall include the information specified in paragraph 108 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000 o' I & 53 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000408606220.22-M 37d, the visitor's passport or iden- tity card number, date and place of issue, and the NPLO program with which he is concerned. (2) The DISCO will forward the visit request to the Management Office of the NPLO which will inform ap- propriate NATO and foreign ac- tivities of its action ; i.e., approval or disapproval. (3) The Certificate of Security Clear- ance will be forwarded by DISCO to the NATO Office of Security, In- dustrial Security Section, for re- cording and dissemination of the in- formation to the NATO member countries and NPLO Management Offices concerned. (4) In case of urgency when a Cer- tificate of Security Clearance has not been forwarded to the NATO Office of Security, Industrial Secu- rity Section, in advance, DISCO will attach a copy of the Certificate of Security Clearance to the visit request for onward 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 ac- tivity will notify the contractor of the ap- proval of the visit. These subsequent visit requests will contain the information re- quired by paragraph 37d and will include the visitor's passport or identity card number, date and place of issue. 55. - Certificate of Security Clearance a. A standard format Certificate of Secu- rity Clearance has been adopted for use within the NATO community in connection with visits from one NATO country to an- other, or to a NATO office, agency, command or to or between contractors when a visit will involve access to NATO classified in- formation. b. The Certificate of Security Clearance shall be completed on plain bond paper by the contractor for his 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 contractor through DISCO so as to assure receipt by the foreign officials of the NATO offices, agencies, commands, or contractors before arrival. In exceptional circumstances, the information required by the certificate may be supplied by other means of communication but must be con- firmed in writing. Normally a copy of this certificate should not be given the traveler. DEFENSE INDUSTRIAL SECURITY CLEARANCE OFFICE DEFENSE LOGISTICS AGENCY Certificate of Security Clearance (Authorizing access to NATO Classified Information) Issued by - Data and place of issue - Valid until (If issued to an individual this certificate should be returned to the granting authority on the termina- tion of the mission for which issued) 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. Date of birth Place of birth - Nationality - Where employed Pars 5 109 l~l -o% For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M Programme (s) Holder of passport/ identity card No. Issued at Military rank and number (where applicable) has been cleared for access to information clas- sified up to and including in accordance with current NATO Security Regu- lations. (Has) (Has not) received a NATO Security briefing. Signature and title of granting Authority (seal or stamp) 110 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Par. 55 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040apf1 1 DoD 5220.22-M SECTION VI SUBCONTRACTORS, VENDORS AND SUPPLIERS 56. Application to Subcontractors The provisions of this Manual apply to subcontractors, vendors or suppliers of prime contractors (hereinafter referred to as a subcontractor). A subcontractor shall submit requests through the prime contrac- tor to the contracting officer for an authori- zation 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 pre- viously given in writing to the prime con- tractor 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. Re- quests involving release of U.S. classified information to foreign subcontractors must be forwarded to the User Agency for au- thorization. terial.) If physical possession of any classi- fied material is to be granted to the prospec- tive subcontractor, the procedures outlined in paragraph 59 shall be followed. b. If the prospective subcontractor does not have an appropriate facility security clearance, the prime contractor may request the cognizant security office over the geo- graphic area in which the subcontractor is located to initiate clearance action. 59. Safeguarding Ability a. Prime contractors having complied with paragraph 58a, shall obtain written approval from the contracting officer or his desig- nated representative prior to the disclosure of TOP SECRET information to prospective subcontractors. 57. Application to Sub-Contractors For the purposes of this Manual, each sub- contractor shall be considered as a prime contractor in relation to his subcontractors. 58. Determination of Clearance Status a. The prime contractor shall determine from the cognizant security office of the pro- spective subcontractor that the prospective subcontractor has been granted an appro- priate facility security clearance prior to disclosure of any classified information, un- less there is an existing contractual relation- ship between the parties involving classified information of the same or higher category. (A facility security clearance is not prima facie evidence that a facility has the capabil- ity to physically safeguard classified ma- b. Prime contractors, having complied with paragraph 58a, shall determine that prospective subcontractors meet the require- ments of this Manual for safeguarding TOP SECRET, SECRET, and CONFIDENTIAL material prior to granting physical posses- sion of such material to prospective subcon- tractors. (This determination may be made at the same time as the facility clearance determination is made under paragraph 58a.) Such determination shall be based on : (1) The prime contractor's knowledge of the ability of the prospective subcontractor to safeguard ade- quately the material to be released and produced under the subcontract based upon a current contractual relationship involving classified ma- terial of the same or higher cate- Pars. 56A$7p ?cPPor Release 2002/08/21 : CIA-RDP94BOl041 R000300040001-2 111 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M gory as that to be released or pro- duced under the new subcontract; or (2) The written authorization of the cognizant security office of the pro- spective subcontractor. In this con- nection, the prime contractor shall furnish the cognizant security office of the prospective subcontractor, information available to him, such as description, quantity, end-item, and classification of information related to the proposed subcontract and any other factors, in order to assist the cognizant security office in determining whether the pro- spective subcontractor meets the safeguarding requirements of. this Manual. (3) The cognizant security office of the prospective subcontractor shall ad- vise the prime contractor in writ- ing that the prospective subcon- tractor 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 cognizant security office of the prospective subcontrac- tor shall immediately inform the prime contractor. (4) In exceptional cases, where the situation dictates, the data required by this paragraph and paragraph 58 may be furnished by telephone or other rapid means of communi- cation, provided the request and substantiating facts are confirmed later in writing. (5) Clearance status and safeguarding capabilities of facilities shall be ob- tained only when a specific procure- ment need exists. A compilation or indices of such information for pos- sible future use shall be prohibited. 60. Classification Guidance a. Prime contractors have a requirement to inform prospective subcontractors 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 subcontracts may extract pertinent data from the DD Form 254 pertaining to the prime contract. The DD Form 254 pre- pared by the prime contractor shall be sub- mitted to the official shown in item 16e of the prime contract DD Form 254 for approval and distribution or authorization and in- structions for distribution by the prime con- tractor. In the absence of exceptional cir- cumstances which clearly support classifica- tion, the DD Form 254 will not be classified. If classified supplements are required as part of the security classification, they shall be identified in item 15 of the DD Form 254 and forwarded in separate correspondence. Clas- sified 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 subcon- tract and to make the required distribution. However, with the agreement of the con- tract activity, the prime contractor may ac- complish 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 shall prepare a revised DD Form 254 for each 112 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004&6bT 21160 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004Q112 DOD 5220.22-M subcontractor whose DD Form 254 requires a related change. An ACO/PCO authentica- ing signature, and distribution or instruc- tions for distribution of the contractor's DD Form 254, are required. When the prime contractor receives notice that a review has reaffirmed his existing guidance, or receives a revised DD Form 254 that does not require a related change in any subcontractor's DD Form 254, he shall promptly give written notice of reaffirmation of guidance to each subcontractor involved. This notice of re- affirmation to subcontractors does not re- quire ACO/PCO authenticating guidance. Instead, a true copy of the notice of reaffir- mation 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 ......................." in either case attached to a signed transmittal letter from the prime contractor, will suffice. Dis- tribution of this written notice of reaffirma- tion to subcontractors shall be in accordance with paragraph b., above. With respect to a multiple facility organization, the home office shall provide the revised guidance, or the written notice of reaffirmation of existing guidance, above described, as applicable, to each of its operating facilities affected by the revised guidance or involved in the no- tice, as the case may be. d. The prime contractor will receive from the User Agency a DD Form 254 for each classified item of GFP or GFE issued or au- thorized 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 classification specification necessary for each subcontractor requiring use of classified GFP of 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 subcontract when the procurement is of a recurring nature or the end item is not changed and there is no change in the security classication require- ments 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 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 limitation in preparing his response to a request for proposal, invitation for bid, or similar solicitation to a User Agency. In such cases the prime contractor, concurrent with dispatching the DD Form 254 for official Government approval and signature, may supply an unofficial copy of the same guidance to a prospective subcon- tractor 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 specification 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 ap- plicable to service, graphic arts, research, or commercial carrier classified contracts : (1) A DD Form 254 which specifies the highest level of classification in- volved, but does not provide de- tailed classification guidance, will be issued when : (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 Government activity which has and makes available, for use by the contractor per- Par. 60 113 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M forming the service, a current- ly valid Contract Security Clas- sification Specification which includes complete guidance for the service to be performed. In such cases, item 15 of the DD Form 254 will be anno- tated "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 SE- CRET, SECRET, or CONFI- DENTIAL). Contract per- formance is restricted to (name of facility or loca- tion)." (b) The contractor has no per- formance requirement invol- ing actual knowledge of, gen- eration or production of classi- fied information, but has only a requirement to be physically present in an area where clas- sified information is located. Examples include, but are not limited to, contracts calling for guard, alarm, 'alternate stor- age, or equipment maintenance services. In these cases, item 15 of the DD Form 254 will be annotated "Actual knowl- edge of, generation, or produc- tion of classified information NOT REQUIRED. This docu- ment serves as written notice of the letting of a classified service contract. The highest level of classification for the contract is (TOP SECRET, SECRET, or CONFIDEN- TIAL)." terial to be reproduced. These classification markings consti- tute the required Contract Se- curity Classification Specifica- tion. In these cases, item 15 of the DD Form 254 will be an- notated "Reproduction service only. The highest level of clas- sification for the contract is (TOP SECRET, SECRET, or CONFIDENTIAL). Classifica- tion markings on material to be reproduced specify the re- quired security classification." (2) Where a cleared commercial car- rier 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 pur- pose, will issue a DD Form 254 to that cleared facility. In any such case, the requirements of para- graphs (1) (b) above, and (3) be- low, 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 subcon- tract will not require authentica- tion by the signature of an ACO/ PCO. Instead, the contractor who is the principal prime, or who serves as a prime in relation to a sub 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- subcontrac- tor involved, his cognizant security office, and the contract administra- tion office (9), if designated, of the immediate prime and subcontractor involved. (c) The contract requirement is limited to graphic arts re- production and classification markings appear on the ma- (4) Where a contract involves research services requiring detailed classi- fication guidance, but it is too early 114 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004000'P- . 60 Approved For Release 2002/08/21 : CIA-RDP94B01041R0003000#"0j1-2 DoD 5220.22-M to determine these detailed require- ments, item 15 of the DD Form 254 will be annotated "This is a re- search contract. The highest level of classification for the contract as a whole is (TOP SECRET, SE- CRET, or CONFIDENTIAL). A revised DD Form 254 will be issued as soon as possible to provide de- tailed security classification guid- ance." i. In the case of a subcontract which is ex- pected to require access only to classified reference material (see paragraph 3az) an original DD Form 254 will be issued to de- scribe the highest category or various cate- gories of classification of such material to which access will be required and to provide other instructions, as appropriate, for ex- ample, the protection of information ex- tracted from such material. Classification guidance concerning reference material over which the User Agency which awarded the prime contract does not have classification jurisdiction, is the responsibility of the DoD component having classification jurisdiction over such material at the time it was pre- pared, or of the current successor in interest of that component. When the prime contrac- tor requires clarification of the classification specification regarding reference material in order to prepare a DD Form 254 for the sub- contractor, or for other reasons, and desires assistance in identifying the responsible DOD component, he shall, by direct communica- tion, seek assistance from : (1) The secondary distribution source from which the material was re- ceived. Examples of secondary dis- tribution sources are : DDC, Alex- andria, Virginia 22314 and its field extensions; DOD Information Anal- ysis Centers ; and the Redstone Scientific Information Center, U.S. Army Missile Command, Redstone Arsenal, Alabama 35808. (2) The User Agency contracting office last involved with the contractor concerning the subject matter of the material. (3) The DASD(SP). 61. Required Distribution Original, Final and Revised DD Forms 254, supplements, attachments, and written confirmation of existing classification specifi- cations are to be distributed as follows: I a. For prime contracts : (1) Prime contractor. (2) Cognizant security office of prime contractor only. (3) Appropriate ACO. (.4) Quality assurance representative. (5) Official identified in item 12b, DD Form 254. (6) Others as necessary. r b. For subcontracts : (1) Prime contractor. (2) Appropriate ACO. (3) Subcontractor. (4) Cognizant security office of subcon- tractor only. (5) Quality assurance representative. (6) Official identified in Item 12b, DD Form 254. (7) Others as necessary. 4-0 , Reflect the distribution of the "Required Distribution" block of the DD Form 264. For SENSITIVE COMPARTMENTED INFORMATION contracts, distribution of the DD Form 264 and attachments will be as prescribed by the procuring contracting agency concerned. In those instances in which the ACO, the quality assurance representative and the cognizant security office are a part of the same DCASR, separate copies shall be furnished to each so that they may discharge their individual responsibili- ties. Pars. 60 44proved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 115 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M (1) Prime contractor. (2) Appropriate ACO. (3) Subcontractor. (4) Sub-subcontractor. (5) Cognizant security office sub-sub- contractor only. (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 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 de- veloped thereunder. 63. Unsatisfactory Security Conditions If notified by a cognizant security office of unsatisfactory security conditions within a subcontractor's facility, contractors shall fol- low 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 sub- contract. 64. Disposition of Classified Information ~--~ The subcontractor shall destroy classified' material as provided by paragraph 19 unless the prime contractor requests return or au- thorizes retention. However, the prime con- tractor shall obtain the approval of the con- tracting officer or his designated representa- tive authorizing a subcontractor to retain classified information. 65. Subcontracting With Foreign Industry The U.S. has Industrial Security Agree- ments with Canada, the U.K., Australia, Sweden, Switzerland, the Netherlands, and the Federal Republic of Germany. Under the agreements with these nations, subcon- tracts involving U.S. classified information may be placed with industry in these coun- tries. The security of the subcontracts will be governed by the appropriate regulations of the foreign governments concerned. How- ever, before classified information may be released to a firm in one of these countries, approval must be obtained from the con- tracting officer. In addition, special security requirements clauses shall be incorporated in all subcontracts awarded to firms in these countries. Copies of these clauses may be obtained from the contracting officer. 66. Subcontracts Arising From Foreign Classified Contracts A U.S. contractor awarded a foreign clas- sified contract by a government with which the DoD has entered into a bilateral indus- trial security agreement may, unless specifi- cally prohibited therein, subcontract within the U.S. in accordance with the provisions of this Manual; within the country of the contracting foreign government in accord- ance with instructions furnished by the designated agency of that government through the EDIS, HQ DLA ; and within any other country only with the permission 116 pp Approved For Release 2002/08/21 : CIA-RDP94B0'I a FgdoWd48 oV2& 66 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400D112i DOD 5220.22-M of, and under conditions agreed to by, the contracting government, and the government of the country of the subcontractor, which shall be furnished to the contractor through the EDIS, HQ DLA. In those cases where U.S. classified information is involved in the subcontract, the contractor or foreign gov- ernment, 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. User Agency which originated the information. Par. 66 117 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.22-M SECTION VII CONSULTANTS 67. General a. Facility security clearance require- ments for consultants to User Agency activi- ties and contractors shall be determined in accordance with this Section. b. In all cases, consultants shall have valid personnel security clearances issued in ac- cordance with the requirements of this Manual. (1) If a consultant is cleared as a facility, he assumes complete responsibility for safeguarding of classified infor- mation in accordance with the provi- sions of this Manual. (2) If a consultant is not cleared as a facility and is performing under the provisions of paragraph 68, for pur- poses of briefing, debriefing, visiting, and reporting under provisions of this Manual, the consultant shall be considered to be an employee of the using contractor or User Agency ac- tivity. For consultants performing under the provisions of paragraph 70, the consultant's regular or full-time employer shall perform these duties on behalf of the contractor or User Agency activity for whom the em- ployee is acting as a consultant. c. The clearance status and safeguarding ability of a Type C consultant's regular em- ployer shall be obtained from the employer's cognizant security office prior to the dis- closure or release of any classified informa- tion to the consultant. 68. Consulant-Type A The consultant does not possess classified material except at the using contractor's cleared facility, on the premises of a User Agency activity or while on visits authorized under Section V. a. The requirement for a separate facility security clearance for the consultant (in- cluding the execution of the DD Form 441 and the DD Form 441s by the consultant), or to have an existing facility security clear- ance raised, shall be waived provided the using contractor or User Agency activity, the consultant (and the chief executive of the consulting firm, if they are not one and the same), and all the consultant's employees who shall have access to classified informa- tion (such as employees shall be designated by name), 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 User Agency ; the using contractor or User Agency shall not furnish classi- fied material to the consultant at any other location than the premises of the using contractor or User Agency, and performance of the consulting services by the consultant shall be ac- complished at the activity of the using contractor or User Agency; and clas- sification guidance will be provided by the using contractor or User Agency. (2) The consultant and his certifying employees shall not disclose classified information to unauthorized persons. (3) The using contractor or User Agency shall brief the consultant as to the security controls and procedures ap- plicable to the consultant's perform- ance. Pars. Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 119 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M b. One copy of such certificate shall be furnished by the using contractor to his cognizant security office. In the case of a consultant to a User Agency activity, the certificate shall be retained by the Com- mander or Head of that activity. 70. Consultant-Type C The consultant possesses classified ma- terial at his regular employer's cleared facil- ity, the consultant and his employer having agreed as to their respective responsibilities for security of the classified material. c. The consultant (and the chief executive of the consulting firm, if they are not one and the same), and all certifying employees, shall complete the forms required by para- graph 26. These forms shall be submitted to DISCO through the User Agency activity or the contractor for which the consulting serv- ice is to be performed. Each application for clearance shall be accomplished by a copy of the certificate prescribed by paragraph a, above. The Letter of Consent shall be issued to the using contractor or User Agency ac- tivity, as appropriate. d. Failure to accomplish the certification described above shall require the processing of a facility security clearance as prescribed by paragraph 21. 69. Consultant-Type B The consultant possesses classified ma- terial at his place of business or residence, the consultant having full responsibility for security of the classified material. a. A facility security clearance is required for the consultant to cover the premises at which he will possess the classified material and perform the consulting services. b. Consultants of this type shall be con- sidered to be prime contractors to the User Agency activity or subcontractors to the using contractor. c. The provisions of this Manual pertain- ing to contractors or subcontractors, as ap- propriate, shall apply. a. No requirement exists for a separate facility security clearance for the consultant (including execution of the DD Form 441 and the DD Form 441s for the consultant), or to have an existing facility security clear- ance raised, provided the employing facility and the employee who is acting as a con- sultant to another contractor or to a User Agency activity are both cleared for access to at least the category of classified informa- tion as that to which the consultant will re- quire access, and provided the employing fa- cility and the employee jointly execute a Let- ter Agreement to Safeguard Classified In- formation for an Employee Performing Consultant Services (see Appendix I, para- graph W) by which the employing facility and the employee agree : (1) To place classified material which the consultant-employee must have in his possession into the employing facil- ity's accountability system. (2) To incorporate procedures in the em- ploying facility's SPP which prohibt the dissemination of the classified ma- terial within the facility, except that appropriately cleared personnel of the facility may be designated in writing on a strict need-to-know basis to pro- vide the consulting employee cleri- cal, destruction, and reproduction services necessary to his performance as a consultant. (3) To furnish the employee who is act- ing as a consultant a storage con- tainer so that the classified material may be stored under his control. Ac- cess to the storage container shall be limited to the employee who is acting 120 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0004092& 70 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004006JD2 5220.22-M as a consultant and the minimum number of employees designated in accordance with paragraph (2) above, which are essential to support the consultant. (4) To advise its cognizant security office immediately upon any change in the consultant's status as an employee of the facility. DISCO with a copy of the Letter Agreement prescribed in paragraph a., above. (If re- quired to be cleared to a higher level than that of the employing facility, the consultant shall be processed for a separate facility security clearance in accordance with para- graph 67 and be required to maintain a secu- rity program fully independent of that of his employer.) . b. One copy of the Letter Agreement de- scribed in paragraph a., above, shall be fur- nished by the employing facility to its cognizant security office, and one copy to the contractor or User Agency employing the consultant. c. In the event it is necessary to raise the consultant's personnel security clearance to a higher level (not above that of the employ= ing facility), the consultant shall complete the forms required by paragraph 26 and sub- mit them through the employing facility to 71. Consultants to User Agencies Employed Under Civil Service Procedures Security clearances for persons employed as consultants to User Agencies under Civil Service procedures normally will be issued under the separate regulations of the User Agency concerned. However, User Agencies may process such a consultant for a person- nel and/or facility clearance under the provi- sions of paragraphs 68-70 when deemed desirable. Pars. 121 ~$Prgled For Release' 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004008fi-21 DoD 5220.22-M SECTION VIII PARENT-SUBSIDIARY AND MULTIPLE FACILITY ORGANIZATIONS 72. Parent-Subsidiary Relationship a. When a parent-subsidiary relationship exists between two companies, the parent company must have a facility security clear- ance 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 ex- cluded from access to classified information held by the subsidiary company which is of a higher classification level than the parent company's facility security clearance. How- ever, if the ,parent company is foreign owned, controlled, or influenced, exclusion action may not be taken. In such circumstances, the subsidiary company is ineligible for a facility security clearance. (Certan excep- tions to this rule can be made when the foreign ownership or control is exercised by a Canadian or U.K. interest. Consult the cognizant security office 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 sub- sidiary company. Two copies of both sets of minutes shall be furnished to the cognizant security office of each cleared subsidiary com- pany, along with a copy of the DD Form 441s, executed independently by the ex- cluded parent company and the subsidiary company. In addition, when officers or di- rectors of a subsidiary hold similar positions with the excluded parent company, they shall execute one of the following certificates, as appropriate ; (i) I understand that the (name of parent company) is not cleared for access to classified information and I cer- tify that I shall not disclose classified in- formation 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 (appropriate clas- sification level) is the highest level of clas- sified 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 cer- tificate shall be made a matter of record in the minutes of the executive body of the sub- sidiary company and two copies of the minutes shall be furnished to the cognizant security office of the subsidiary. Two copies of each certificate executed in accordance with the requirements of this paragraph shall be furnished to the cognizant security office of the subsidiary. b. Interchange of classified information and visits between a parent and its subsidi- aries or between the subsidiaries shall be accomplished in the same manner as an in- terchange 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 perform- ance of the contract, may release classified information to the parent when required pro- vided the parent company has an appro- priate facility security clearance and safe- guarding 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 au- thority of the contracting User Agency. 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 Par. proved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 123 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M the contract of the subsidiary to other sub- sidiaries of the parent without specific ap- proval of the contracting officer or his desig- nated representative or unless within the provisions for exception set forth in para- graph 5x. c. In the case of two or more collocated cleared facilities (occupying the same office space or located side by side) consisting of a parent corporation and one or more wholly owned subsidiaries. (100% stock ownership), the parent may request cognizant security office approval of a formal written agree- ment between the parent corporation and the subsidiary(ies) to utilize common se- curity services for : (i) personnel security administration, (ii) document control (to in- clude storage), (iii) reproduction, (iv) visi- tor control and, (v) other similar adminis- trative services. In all cases the agreement shall be incorporated into the SPP (or appro- priate supplement to an SPP) applicable to the facilities involved. The proposed SPP shall be submitted to the cognizant security office as part of the request. The SPP shall establish workable security procedures and clearly fix responsibility for security admin- istration within the collocated facilities. The procedures shall be structured (e.g., sepa- rate accountability systems) to ensure that the need-to-know principles outlined in the previous paragraph are not violated. One facility security supervisor shall be desig- nated 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 speci- fic services agreed to. Additionally, proce- dures may be incorporated into the SPP whereby a machine run or other roster (e.g., record of clearance) may be used in lieu of a visit letter provided such records are main- tained in a current status at all times. When combined, the SPP and the roster shall pro- vide the essential information required in paragraph 37d. 73. Multiple Facility Organizations In the case of a multiple facility organiza- tion the contractor (HOF) is responsible for insuring the adherence, by each of its cleared operating locations, to the terms of the DD Form 441 and the security require- ments of each classified contract being performed. A copy of the basic Security Agreement, with Appendage, shall be fur- nished to each facility listed in the Append- age and to each cognizant security office concerned. The HOF shall have a facility security clearance of the same or higher level as any cleared facility within the orga- nization. Classified information may be in- terchanged among the cleared facilities of a multiple facility organization when the con- tractor determines that such interchange is essential to the fulfillment of a contract. Be- fore the contractor places classified informa- tion or work in a facility of his organization, it shall have been determined that it has an appropriate facility security clearance and the capability to safeguard the classified ma- terial. The contractor shall provide the facil- ity performing the work and its cognizant security office with classification specifica- tions extracted from the DD Form 254 or other appropriate classification guidance. Re- vised guidance or notice of the reaffirmation of existing guidance, as applicable, shall also be provided. The SPP of a contractor having two or more facilities shall include security instructions which provide the controls nec- essary to protect classified information with- in the organization. These, among other pro- cedures shall include, but not be limited to, instructions for the transmission of classified information and for visits of his employees between his cleared facilities. Such visits shall be considered as Category 1 visits as defined in paragraph 41a. Within each facil- ity the SPP shall be adapted, as necessary, to meet local conditions, as prescribed by para- graph 5s. If the contractor elects to have Letters of Consent issued to (i) the HOF or 4- (ii) one or more PMFs of the multiple facil- ity organization, the SPP shall identify each subordinate facility (both cleared and un- 124 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030flOi 0Q1&273 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004Q 112 DoD 5220.22-M cleared) within their respective area of cog- nizance wherein a cleared individual (s) is employed or physically located. When a PMF(s) is established the HOF SPP will specifically reflect that all associated security responsibilities have been delegated to the PMF(s) for its specifically definied geo- graphical or functional area. In all cases where the aforementioned cleared individ- uals are employed by or physically located at uncleared facilities falling under the cogni- zance of the respective HOF or PMF(s), the SPP shall reflect that the HOF or PMF, as appropriate, is responsible for personnel security administration. Such responsibili- ties will include meeting security education and paragraph 6 reporting requirements for all cleared personnel located/employed at these uncleared locations. In order to assure the security awareness of these cleared per- sonnel, at their respective U.S. uncleared facilities falling within the set DCASR boundaries, (see Appendix VIII) the respec- tive HOF or PMF security supervisor, or his appropriately cleared representative, shall visit each of these locations on an annual basis. Regarding the briefing of cleared per- sonnel employed or physically located outside of the DCASR boundaries, such briefings will be handled as required in paragraph 97. Other considerations applicable to visits to b. Records which reflect the accomplish-1"" ment of these requirements will be main- tained as provided for in paragraph 26k. 74. Temporary Help Suppliers a. General. A temporary help supplier is a subcontractor who dispatches personnel on his payroll to perform work on the premises of the using contractor or User Agency (see paragraph 5ab). A temporary help supplier and his field, branch or associate offices having a valid parent-subsidiary or multiple facility relationship are covered in para- graphs 72 and '73 respectively. The following paragraphs are concerned with : (1) A temporary help supply licensor (hereinafter referred to as the li- censor) who grants licenses or franchises to other individuals or firms to use the name, administra- tive support, methods of operation or style of the licensor in a specific geographic area ; or (2) A license or franchise. holder (hereinafter referred to as a li- censee) that is owned and operated by a legal entity separate and dis- tinct from the licensor, and is li- censed or franchised to do business under the name, method of opera- tion or style of the licensor. --- uncleared facilities are as follows : mow a. As an alternative to annual visits to the aforementioned uncleared U.S. locations the HOF or PMF(s) may develop procedures which provide (i) equal or better assurance than annual visits, (ii) that all aspects of personnel security administration will be properly accomplished, (iii) that proper management attention is directed on a con- tinuing basis to this area, and (iv) that re- sponsibility and authority for accomplish- ment is formally assigned to cleared man- agerial personnel. Such procedures will be clearly set forth in the HOF or PMF(s), as appropriate, SPP and shall require the ap- proval of their cognizant security office prior --- to being placed into effect. b. Where the temporary help personnel are actually employees of, and on the pay- roll of the licensee, the licensee may be granted a facility security clearance as pro- vided for in this Manual. c. Where the temporary help personnel are employees of, and on the payroll of the licensor, normally there would be no valid basis for the licensee to be granted a facility security clearance. As an alternative, a facility security clearance 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 Pars. 7340oved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M classified information at a contractor facility or User Agency activity, provided that : (1) The licensor has a facility security clearance at its home office; and (2) An employee of the licensor lo- cated on the premises of the licensee is appointed as security supervisor 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 be- tween the parties or by insertion of a clause in the franchise or li- cense agreement. The agreement or clause shall specifically provide that, for a consideration, one or more employees of the licensee will act as security supervisor 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 fur- nished by the licensor to the cog- nizant security office concerned. d. If the provisions of paragraphs CM and (2) or c(1) and (3) above, are followed, a facility security clearance may be granted to the licensor at the address of the licen- see. This location will, for industrial secur- ity purposes, be considered as an operating facility of a multiple facility organization. Among other things, the SPP of the operat- ing facility shall specify the functions and responsibilities of the security supervisor and the procedures for : (1) Processing personnel security clear- ances, including the granting of company CONFIDENTIAL clear- ances by the security supervisor. (2) Accomplishing the requirements of paragraphs 5 and 6 which relate to its (temporary help) personnel. (3) Processing visit requests dispatch- ing its temporary help personnel to the using contractor's facility as Category 1 visits (see paragraphs 5ab and 41a). e. When a licensee has a license or fran- chise agreement with more than one licen- sor, a facility security clearance may be is- sued in the name of each licensor. Similarly, if a contractor is engaged in a business which requires a facility security clearance in connection with such business and, in addition, is a licensee for a temporary help supplier, a facility security clearance may be issued in his own firm's name and one in the name of the licensor. 126 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040ftt-24 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300Q#O0D1-2 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 INFOR- MATION. In addition, special security re- quirements supplementing this Manual will be prescribed by the contracting department for SENSITIVE COMPARTMENTED IN- FORMATION contracts, except that for SENSITIVE COMPARTMENTED INFOR- MATION contracts awarded by military de- partment procurement activities for the NSA, the NSA will prescribe the special se- curity requirements. _ b. In the case of SENSITIVE COMPART- MENTED INFORMATION contracts awarded by military department procure- ment activities for the NSA, the NSA shall be responsible for exercising security con- trols over the contract. MENTED INFORMATION contracts smm 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 exercising security controls over the contract. 4- d. Access to SENSITIVE COMPART- 40" MENTED INFORMATION will be granted to contractor employees requiring access by the activity designated to exercise security controls over the contract as provided above. -emn e. Denial or revocation of authorization for access to SENSITIVE COMPART- MENTED INFORMATION is not appeal- able. 76. COMSEC Information The contractor shall protect classified COMSEC information in accordance with the requirements of the COMSEC Supple- ment to this. Manual. 27 Pars. 75 &Approved 1 For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040B 1220.22-M SECTION X GRAPHIC ARTS 77. Special Requirements for Graphic 79. Area Controls-Additional Require- Arts ments This Section of the Manual provides spe- cific security measures for the safeguarding of classified information during the develop- ment stages, performance of service, or pro- duction of material by the graphic arts in- dustry. The security measures apply whether the work is performed by the prime contrac- tor on his premises or subcontracted to a graphic arts facility. 78. Production Control Records During the layout, composition, platemak- ing, 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 pre- scribed 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 : While the production control records re- main with the classified job to which they relate, they shall be (i) plainly and conspicu- ously marked or stamped (not typed) at the top and bottom with the same classification as the material being produced, or (ii) un- less the production control record itself con- tains classified information, covered over with a cover sheet conspicuously marked or stamped (not typed) at the top and bottom with the same classification as the material being produced. In either case, the additional markings required by paragraph 11b shall be applied as appropriate. Such production con- trol records or cover sheets, unless they con- tain or have permanently attached thereto classified information, shall be marked with a notation indicating that they are unclassi- fied when separated from the classified ma- terial being produced. The contractor may, at his discretion, use the production control records as the records required by para- graphs 12 and 18, provided they contain the required information and are retained for the period of time specified in paragraph 12. 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 information 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 working day. Plates, blan- kets, chases, etc., 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 (e.g., intertype, 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 (i.e., lines cast on a linecasting machine), coded tapes, ribbons, negatives, etc., need not be removed from the machines Pars. 77 78 & 79 129 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 DoD 5220.22A1roved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 at the close of the working day when the composition is not completed, provided the area meets the requirements of paragraph 34x(3). c. Bindery Area. Bindery areas shall be secured by the same method as pressroom areas. ci. Darkrooms. Admittance to all film proc- essing units shall be restricted 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 capa- ble of preventing visual or audio access and entrance by unauthorized persons. f. Shipping Entrances. Shipping entrances shall be secured when classified information is in the area. Loading and unloading oper- ations shall be performed under the super- vision of a cleared employee of the contrac- tor. 80. Special Conditions a. Overruns. All assembled copies of print- ed 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 mini- mum. An exact count of the overruns shall be maintained and they shall be accounted for as prescribed 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 para- graphs 19a through e.' 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 then be returned to the customer along with the original manuscripts.' 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 makeready, spoilage during running, printed copies spoiled during bindery make- ready, or excess copies of individual pages which are not to be assembled to form a complete product. Waste containers shall be adequately safeguarded and the waste promptly destroyed in accordance with para- graph 19f. Waste shall not be retained in production areas during nonworking hours. d. Return of Samples. All graphic arts samples (i.e., classified material furnished by the customer for reproduction) shall be returned to the customer immediately after the completion of the work., e. Bulk Shipment. Graphic arts products that are shipped in bulk in double contain- ers will be stacked in the inner container face up. A cover sheet shall be placed on top of the material before sealing the inner con- tainer. The contractor shall maintain a rec- ord of the quantity shipped in each contain- er, and when copies are serially numbered, the contractor shall number the inner con- tainers, and the record shall show which serial numbers were packed in each con- tainer. Such records shall be incorporated into the control station records maintained in accordance with paragraph 12. The classi- fication markings, and if appropriate, the notations prescribed in pragraph 11b, shall be stamped 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 con- tains classified material. Address labels will be placed on the top surface of both contain- ers, and receipts will be placed inside the inner container. 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. f. Materials Used in Production. (1) All materials used in production which contain classified informa- 130 Approved For Release 2002/08/21 : CIA-RDP94B01041R0003000P4ftg92& 80 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400d . 5220.22-M tion, (i.e., negative flats, layouts, masters, dummies, vellums, stencils, composition tapes, proofs, tympan sheets, negatives, type, plates, etc.) shall be safeguarded in accordance with paragraphs 14 and 16 and im- mediately after completion of the work shall be destroyed in accord- ance with paragraph 81 or returned to the customer along with the job on which they were used 1 (see par- agraph 12f for accountability re- quirements). (2) Plates and rubber blankets, after use on a classified production, may be re-used only on. classified produc- tion, provided they are stored be- tween runs as specified in para- graph 14. The plates and rubber blankets shall be identified as pro- vided in paragraph 11a(8), and the classification marking shall at all times reflect the highest category of classified information for which the plate or rubber blanket has been used (see paragraph 12f for ac- countability requirements). Plates and rubber blankets used for classi- fied productions, when no longer serviceable, or re-use is not de- sired, shall be destroyed as pre- scribed in paragraph 81. A con- tractor is not authorized to turn over classified plates to a subcon- tractor for the sole purpose of re- graining such plates. Moreover, the regraining of plates shall not be considered as an authorized method of destruction under paragraph 81. (3) Blankets, other than rubber, used on classified productions, shall not be re-used and shall be destroyed as prescribed in 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 upon completion of the run. 81. Destruction-Special Requirements Classified material used in the reproduc- tion process shall be destroyed in accordance with paragraph 19c, except that: a. Classified information on metal foundry and wooden type shall be considered as hav- ing been destroyed when the type is redis- tributed in the type case. b. Classified information on glass nega- tives shall be destroyed by dissolving the emulsion or by pulverizing. 82. Mailing Lists a. Classified. When a mailing list, used for the distribution of unclassified material, is classified, the material shall be protected as though classified (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 mail- ing 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 safe- guarded accordingly. Pars. 80, 81 & 82 131 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004666112 DoD 5220.22-M SECTION XI NATO INFORMATION 83. Application This Section of the Manual provides for the additional security measures which 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 infor- mation is in the possession of the prime con.- tractor or in the possession of his subcon- tractor(s). (1) The term "NATO classified infor- mation" used in this Section applies to classified information circulated within and by NATO, including in- formation received from member nations as well as information orig- inated in the organization itself. However, classified information contributed by a member nation re- mains the property of the originat- ing nation even though it is circu- lated in a document belonging to NATO. 84. Authority The requirements of this Section reflect the security procedures established by the U.S. Security Authority for NATO affairs for the safeguarding of NATO classified in- formation in the possession of U.S. industry. 85. Supervision and Orientation Requirements a. The contractor who receives NATO classified information shall appoint a re- sponsible officer (one who is required to be cleared as part of the facility security clear- ance) to supervise and direct the security measures in relation to NATO classified in- formation. b. The contractor shall maintain a sepa- rate 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 c. The contractor shall notify all of his personnel who will have access to NATO classified information that: (2) The marking "NATO" on a docu- ment is used to signify that the document is the property of NATO. The marking "COSMIC" is also used on a NATO (TOP SECRET) document to signify that it is the property of NATO and that it is subject to special security controls. (3) COSMIC TOP SECRET docu- ments, NATO SECRET documents and [NATO CONFIDENTIAL doc- uments shall be protected accord- ing to the rules in other Sections for TOP SECRET, SECRET, and CONFIDENTIAL material and the additional rules prescribed in this Section. NATO documents marked "RESTRICTED" which are fur- nished to the contractor shall be marked and protected as prescribed in paragraph 11d. d. The contractor shall bring to the atten- tion of all of his personnel who will be au- thorized access to NATO classified informa- tion their continuing individual responsi- bilities for safeguarding NATO classified in- formaton ; further, they shall be advised that when they are in other NATO countries Pars. 83 84 & 85 133 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M they may be subject to the laws of those countries which pertain to the handling of classified information. When access to COSMIC TOP SECRET information is in- volved, the employee shall sign a certificate to the effect that he has been briefed on his responsibilities for safeguarding COSMIC TOP SECRET information. 86. Security Clearances a. A final personnel security clearance 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 U.K. or Canadian Reciprocal clearances are not au- thorized access to NATO classified informa- tion (see paragraphs 20c, 24a(2) and 31d). b. All contractor employees who require access to NATO information classified CON- FIDENTIAL shall be cleared by DISCO (see paragraph 24a(1) (c)). tion X apply equally to 'the reproduction of NATO classified documents. However, ex- cept for COSMIC TOP SECRET informa- tion, no special permission is needed to include references to, extracts from, or para- phrases of NATO classified documents in other documents which the contractor must prepare in the performance of the contract. In the case of COSMIC TOP SECRET in- formation, reproduction requests shall be forwarded to the Central U.S. Registry for authorization. Address : Central U.S. Regis- try, Washington, D.C. 20310. b. Requirements in paragraph 11 apply equally to the marking of NATO classified documents. A SECRET, CONFIDENTIAL, or RESTRICTED document which is repro- duced from a NATO document shall be marked NATO at the top and bottom, in addition to the classification markings, and a TOP SECRET document which is repro-, duced from a NATO document shall be marked COSMIC at the top and bottom in addition to the TOP SECRET marking. c. Application for a security clearance for employees requiring access to NATO CON- FIDENTIAL information shall be made by the contractor as provided for in paragraphs 24, 26 and 27 for U.S. citizens. d. An interim CONFIDENTIAL or in- terim SECRET clearance granted by DISCO is not valid for access to NATO information classified CONFIDENTIAL or SECRET. e. Contractor employees who require ac- cess to NATO RESTRICTED information shall be cleared by the contractor in accord- ance with paragraph 24b. 87. Reproduction, Preparation, and Marking a. Requirements in paragraph 18 and Sec- 88. Transmission of NATO Material a. When NATO SECRET or CONFIDEN- TIAL material is prepared for transmission and an inner container is required by para- graph 17a, that container shall be marked NATO in addition to the classification mark- ing. When transmitting NATO TOP SE- CRET material the inner container shall be marked COSMIC in addition to TOP SE- CRET. b. The transmission of NATO classified information within the U.S. shall be in ac- cordance with the procedures set forth in paragraphs 17b, c., and d. except that the minimum requirement for mailing NATO CONFIDENTIAL information is U.S. Reg- istered Mail. c. All NATO classified information fur- nished to a U.S. contractor in connection 134 Approved For Release 2002/08/21 : CIA-RDP94BOl041 R tffiJp b#1? $' 88 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040gB25220.22-M with a U.S. classified contract shall be trans- mitted to destinations outside the U.S. only with 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 going from or being sent to the U.S. shall be transmitted to the Chief, Central U.S. Registry, The Pentagon, Washington, D.C. 20310 by one of the methods authorized by para- graph 17b for forwarding to the in- tended destination. (2) NATO SECRET and NATO CON- FIDENTIAL information going from or being sent to the U.S. shall be transmitted by the con- tractor via one of the means au- thorized in paragraph 17e. Infor- mation going to a NATO activity outside the U.S. shall be trans- mitted to an appropriate U.S. ac- tivity for forwarding to the NATO activity. NATO classified informa- tion 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, or NATO member country, classified contract or project shall be transmitted to destinations outside the continental limits of the U.S. only with the authority of the con- tracting officer. If such information is re- turned to the U.S., approval of the contract- ing officer is not required. (1) COSMIC TOP SECRET shall be transmitted as prescribed in para- graph c(1) above. e. All NATO classified bulky material, of any category, shall be sent through channels established by the cognizant security office on instructions from the EDIS, HQ DLA. 89. Functions of the Contracting Officer a. When a U.S. contractor enters into pre- contract negotiations involving NATO classi- fied information with a U.S. contracting offi- cer, the contractor shall obtain his instruc- tions from the contracting officer concerned as prescribed in this Manual. b. When a U.S. contractor enters into pre- contract negotiations with a NATO govern- ment other than the U.S., a contractor of such NATO country, or a NATO interna- tional body requiring that the contractor have possession and access to NATO classi- fied information in the U.S., the U.S. con- tractor shall request necessary instruction from the contracting officer of such NATO country or international body. 90. NATO Reporting Requirements The contractor shall immediately report through the cognizant security office to the Chief, Central U.S. Registry, 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 Central U.S. Registry. A copy of the report shall be sent to the EDIS, HQ DLA. The contractor shall report to the cognizant security office re- ceipt of NATO SECRET or CONFIDEN- TIAL information from any source other than through a U.S. Government activity unless the information is received in con- nection with approved visits (e.g., attend- ance at a bidders' conference). (2) NATO SECRET and NATO CON- FIDENTIAL information shall be transmitted as prescribed in para- graph c(2) above. 91. Subcontracting Prior to negotiating a NATO classified Pars. 88, 89, 90 & 91 135 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.21 roved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 subcontract in the U.S. or in another NATO tract from the contracting officer who let the country, a U.S. prime contractor shall ob- prime contract or his designated representa- tain permission to negotiate such a subcon- tive. 136 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Par. 91 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300 0101-2 DoD 5220.22-M SECTION XII OVERSEAS OPERATIONS Part 1. ACCESS TO U.S. CLASSIFIED INFORMATION 92. General a. This Part sets forth access, safeguard- ing 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. citi- zens who, in addition to being cleared as employees of cleared U.S. contractors, are also dual-status employees of foreign sub- sidiaries which are wholly owned and con- trolled by cleared U.S. facilities. b. This Part does not apply to : (1) Uncleared employees of cleared U.S. contractors who are stationed out- side the U.S.; (2) U.S. citizens who are representa- tives of any foreign interest or em- ployees of foreign subsidiaries of (.4) cleared U.S. facilities but do not hold dual-status employment with (5) the owning or controlling U.S. fa- cility ; 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 con- ducted by the OISE. These briefings are de- signed to familiarize the employees with the international aspects of the Defense Indus- trial 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, sub- j ect to the following : a. Access to U.S. classified information identified in this paragraph shall be granted only with the prior written approval of the User Agency having primary interest if the information concerned is: (1) TOP SECRET information. (2) RESTRICTED DATA or FOR- MERLY RESTRICTED DATA. (3) COMSEC and SENSITIVE COM- PARTMENTEDINFORMATION (see paragraph 6, CSISM). Special Access Programs informa- tion (see paragraph 5t). Information for which foreign dis- semination has been prohibited in whole or in part. b. Access shall be limited strictly to that information required by the employee for performance of the specific duties or con- tracts for which he 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 saf e- guarding provisions set forth in paragraph 94, shall be strictly complied with. 137 Pars. 92 & 93 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M 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 facility is granted only in his capacity as an employee of the cleared U.S. facility. The contractor granting the access is responsible for assuring that his employee provides adequate safeguards for any classified information disclosed to such employee. In addition, the contractor shall take action, as appropriate, to insure 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. contractor overseas operations : a. Security Classification Guidance. The contractor shall provide security classifica- tion guidance to employees performing out- side of the U.S. on a classified contract, proj- ect or mission. As a minimum, such guidance shall consist of the DD Form 254, when a classified contract is involved, and shall cover all classified information relating thereto. b. Transmission. Transmission of classi- fied material to a cleared contractor 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 whom it is intended. The U.S. Government activity will notify the con- tractor 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 ARFCOS. 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 ob- tained, 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 in- stallation, the OISE, a military attache, a MAAG, an ODC, or a U.S. diplomatic or con- sular officer prior to transmitting U.S. classi- fied material overseas. 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 ma- terial overseas at any location other than a U.S. military installation or U.S. Government-controlled instal- lation is prohibited. (2) If in the performance of a contract, project, or mission, it is necessary for a contractor employee to phy- sically require temporary custody of U.S. classified material, authoriza- tion for removal shall be obtained from the U.S. Government activity. When such custody is authorized, the employee is responsible for per- sonal possession and surveillance of the material at all times. Immedi- ately following the purpose for which the material was needed and the removal was authorized, but in all cases prior to the end of the work day, 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, 138 Approved For Release 2002/08/21 : CIA-RDP94BOl041 R00030dfO0 4 94 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400blt3 5220.22-M contractor personnel are not authorized to disclose classified information to any foreign government, commercial activity or entity, or to an international pact organization or to its representatives. Cleared contractor personnel overseas may, however, disclose classified information: (1) To other cleared personnel within their company who have been granted a Letter of Consent at the required level and who have a need- to-know for access to the informa- tion concerned. (0) To any appropriately cleared mili- tary or civilian member of a U.S. User Agency who has a valid need- to-know. (3) Outside the contractor's organiza- tion within the U.S. only in accord- ance with this Manual, and outside the U.S. only in accordance with instructions from the contracting officer of the User Agency. 95. Overseas Assistance a. The DoD has established the OISE to provide administrative assistance for indus- trial security purposes to U.S. industry in their marketing, liaison, and technical assist- ance activities in Europe and adjacent geo- graphical areas. The OISE is a field extension of the EDIS, HQ DLA-N, and functions under its operational and administrative control. The OISE acts as the central file in Europe for information pertaining to security clear- ances and security assurances for U.S. citi- zen contractor employees located outside the U.S. Such information from the file is avail- able for official use by agencies and activities of the U.S. Government, foreign governments and NATO. b. The OISE assists U.S. industry by (i) arranging classified visits for U.S. contrac- tor employees; (ii) providing storage for classified material; (iii) providing mail channels for transmission of classified ma- terial between a contractor in the U.S. and an approved destination in Europe when specifically authorized by HQ DLA-N; (iv) providing security briefings and security cer- tificates as appropriate; and (v) providing assistance on security matters, such as visits to military activities or contractors in Europe. c. The civilian street address of OISE is Office of Industrial Security, Europe, U.S. Defense Logistics Agency, 13 Chaussee de Louvain, 1940 St. Stevens-Woluwe, Belgium; telephone 720-8259. The APO address is: OISE, APO New York 09667; U.S. Govern- ment cable address is: OISE, BRUSSELS, BELGIUM ; other cables : OISE, American Embassy, Brussels, Belgium ; TELEX ad- dress is: OISE, American Embassy, 21336, Brussels, Belgium. 96. Notification of Overseas Assignment a. Whenever a contractor assigns a cleared employee to an overseas duty station the contractor shall furnish the following in- formation to DISCO on DLA Form 562-R: full name, Social Security Number, date and place of birth, level of access to U.S. classi- fied information required overseas, passport or ID number, name and address of his new duty station overseas and, notice that the briefing required by paragraph 97 has been accomplished. b. Upon receipt of this information, DISCO will forward a copy of the employee's Letter of Consent to OISE when the em- ployee is assigned to an overseas location within the geographical jurisdiction of OISE. Subsequently, the contractor is required to provide written notice to DISCO, and OISE when appropriate, of any permanent change of mailing address in the overseas duty sta- tion of its employees, the reassignment of an employee to the U.S. or other changes in status as reflected in paragraph 6b(2). 139 ParsA4rVwdd9l6or Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-01D proved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 c. Residence or assignment of cleared im- migrant aliens outside the U.S., Puerto Rico, Guam, or the Virgin Islands for a period of 90 consecutive days or more in any 12-month period negates the basis upon which the Letter of Consent was issued, and the Letter of Consent will be administratively termi- nated without prejudice by DISCO upon re- ceipt of contractor notification as outlined in paragraph 6b(6). 97. Security Briefings and Certificates a. Cleared employees who are to be as- signed to duty stations outside the U.S. are to be briefed on the security aspects of their new positions. These briefings are the re- sponsibility 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 over- seas shall execute and have witnessed a certi- ficate attesting that: (1) He has received a security briefing and understands his responsibilities. ject to action under the espionage statutes of the U.S. with respect to the classified information to which access is granted. (6) He understands that upon termina- tion of the purpose for which he has been granted access, his responsi- bilities for safeguarding the classi- fied information continue unabated until the security classification. is removed by appropriate Govern- ment authority. The executed and witnessed briefing certificate shall be retained by the contractor for the duration of the overseas assign- ment. c. Subsequent to the initial security brief- ing, each individual shall be given an annual refresher briefing. A certificate similar to that described above shall be executed an- nually and maintained as long as the indi- vidual is assigned overseas. The certificate shall be modified as necessary to reflect any change in the nature and extent of the clas- sified information to which the individual requires access, and the scope and nature of the threat to which the overseas activity may expose the individual. (2) He will safeguard classified informa- tion in accordance with prescribed security standards. (3) The classified information to which he has been granted access will be used only for the purpose for which released. (4) He understands and accepts the fact that his Letter of Consent may be suspended or revoked for violation of security regulations or improper use of classified information. (5) He understands that he may be sub- d. Normally, refresher briefings should be accomplished on the temporary return of employees to the U.S. or by a security repre- sentative of the contractor stationed over- seas or on visits overseas. When this is not practical, the briefing and execution of the certificate may be accomplished by OISE at the request of the contractor. Outside areas serviced by OISE, the contractor may obtain a written briefing statement by mail from the employee. e. The contractor shall assure that a com- pany SSP, or supplement thereto, is pre- pared to cover security procedures at the contractor's overseas locations. 140 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003& O%A 17 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001 1 DoD 5220.22-M 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 where- by each signatory government agrees to safe- guard the classified information released to it by the other government. These range from simple bilateral agreements providing only that each government will safeguard, in accordance with mutually agreed procedures, the classified information released to it by the other government, and that the informa- tion will not be disclosed to a third country without the consent of the originating gov- ernment to multilateral treaties establishing international organizations for concerted de- fense. Such treaties usually contain either a technical annex establishing the detailed pro- cedures and standards for safeguarding clas- sified information originated or disseminated by the organization, or provisions authoriz- ing the organization to establish mutually agreeable regulations for safeguarding such information. a. Access to classified information of a foreign government or international pact or- ganization (e.g., 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 classified information of foreign governments or inter- national pact organizations which may be afforded an individual under a Security As- surance determination. The responsibility for release of the information rests with the foreign activity or international pact organi- zation, or with the contractor if the informa- tion had previously been released to him directly by the foreign government, the prime contractor, or an international pact organization without going through Govern- ment channels. b. A contractor, or contractor employee, granted access to foreign or international pact organization classified information must take note of the limitations prescribed rela- tive 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 dis- semination of their classified information to nationals of a third country. 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. Upon ap- plication by the U.S. contractor, DISCO will issue a Security Assurance (DISCO Form 382) for currently cleared contractor em- ployees. If the employee does not have a valid Letter of Consent, the contractor will submit the following to DISCO: (1) The forms prescribed in paragraph 26c,1 or; 1 Under Item 9 of DD Form 48 or 49 or Item 7 of DD Form 48-3, the applicant shall list both his overseas residence and permanent U.S. residence if one is maintained. In addition, under Item- 12 of DD Form 448-3, the applicant shall list all previous overseas residences. Under Item 1.9 of DD Form 48 or DD Form 49, or Item 11 of DD Form 418-3, the applicant shall show the names and addresses of all firms or foreign govern- ment activities with which the applicant is associated, the rela- tionships and duties in connection therewith and the nationality of the controlling interests of the firms involved. Pars. 98 & 99 141 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M (2) Two copies of DD Form 48-31 if there has been less than a 12-month lapse in a prior employment at which time the employee was granted a Letter of Consent; and, (3) A written request containing the following information : ing certificate prescribed by paragraph 97. (k) In the case of persons who are em- ployees of foreign subsidiaries, the application shall be sent through the parent organization or the PMF. (a) The title of the position and summary of the duties of the individual for whom the re- quest is made. (b) The name and location of the overseas office or activity to which the individual is as- signed or attached for duty. (c) The employee's passport or ID card number, if available. (d) A justification2 for the request which identifies the activity or the subject matter of the pro- posed visit, sales activity, or contract which will require a Security Assurance. (e) A statement providing the name and address of the for- eign government activity or in- ternational pact organization requesting the U.S. Security Assurance and the level of ac- cess required. If access to U.S. originated, and appropriately marked, classified information will be granted to the employee by the foreign requestor, the contractor will execute and maintain one copy of the brief- 2 The need and justification may be stated in general terms. For example: in order to participate in the negotiation of con- tracts with foreign governments or international pact organiza- tions it will be necessary for him to have access to classified information of those countries and organizations (identify coun- tries and/or organizations) ; or as our overseas electronics engi- neer, it will be necessary for him to have access to foreign classified information in order to service equipment sold by our company to (identify country or countries concerned). (5) Upon termination of employment or assignment overseas, the Se- curity Assurance determination is void and the contractor shall imme- diately notify DISCO of the indi- vidual's changed status by means of DLA Form 562-R, and return the individual's Security Assurance de- termination to DISCO. (6) Requests for reinstatement of a Security Assurance determination will be processed in the same man- ner as an original request. (7) If an individual on whom a Security Assurance has been given is subse- quently employed by a cleared con- tractor 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 prescribed by paragraph 26c shall be submitted. b. Normally, requests for Security Assur- ance determinations will be limited by the foreign government or international pact or- ganization to CONFIDENTIAL, or SECRET access. In exceptional cases, requests for 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 granted. 142 Pars. 99 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M SECURITY REQUIREMENTS FOR ADP SYSTEMS SECTION XIII 100. Application and Purpose a. Establishes security measures for pro- tecting classified information stored, proc- essed or used in, and classified information communicated by ADP systems in the cus- tody and control of contractors including computer service organizations providing contractual ADP services to the DoD or its contractors. Security measures for User Agency ADP systems operated by contrac- tors are the responsibility of the controlling User Agency. wise make use of any material or component in an ADP system. b. ADP System. An assembly of computer equipment, facilities, personnel, software, and procedures configured for the purpose of classifying, sorting, calculating, computing, summarizing, storing, and retrieving data and information with a minimum of human intervention. An ADP system as defined for purposes of this Manual is the totality of ADP equipment and includes : (1) General and special purpose com- puters (e.g., digital, analog, or hy brid computer equipment) ; b. Specifies conditions and prescribes se- curity requirements under which ADP systems will be operated when handling classified material. Additional security re- quirements may be levied for processing information associated with Special Access Programs as defined in paragraph 3bm (e.g., COMMUNICATIONS ANALYSIS and COMSEC information in accordance with Section IX). c. Provides for the application of admin- istrative, physical and personnel security measures required to protect classified mate- rial processed or resident in ADP systems from inadvertent or deliberate compromise. d. Requires the initial approval, in writ- ing, of the cognizant security office prior to processing any classified information in an ADP system. 101. Definitions a. ADP System Access. The ability and the means to approach, communicate with (input to or receive output from), or other- (2) Commercially available compo- nents, those produced as a result of research and development, and the equivalent systems created from them, regardless of size, capacity, or price, which are utilized in the creation, collection, storage, proc- essing, communication, display and dissemination of classified informa- tion ; (3) Auxiliary or accessorial equipment such as data communications termi- nals, source data automation re- cording equipment (e.g., optical character recognition equipment, paper tape typewriters, magnetic tape cartridge typewriters, and other data acquisition devices), data output equipment (e.g., digi- tal plotters and computer output microfilmers), etc., to be used in support of digital, analog, or hybrid computer equipment, either cable- connected or self-standing. (4) Electrical accounting machines used in conjunction with or inde- 143 ParsAW. M1For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M pendent of digital, analog, or hy- brid computers; and (5) Computer equipment which sup- ports or is integral to a weapons system. c. ADP System Security. Includes all hardware/software functions, characteris- tics and features, operational procedures, accountability procedures, and access con- trols at the central computer facility, re- mote computer and terminal facilities, and the management constraints, physical struc- tures and devices; personnel and communi- cation controls needed to provide an accept- able level of protection for classified mate- rial to be contained in the computer system. d. Central Computer Facility. One or more computers with their peripheral and storage units, central processing units, and commu- nications equipment in a single controlled area. This does not include remote computer facilities, peripheral devices, or terminals which are located outside the single con- trolled area even though they are connected to the central computer facility by approved communication links. e. Complex. A facility, or any element thereof, which consists of one or more buildings or structures physically enclosed within a common perimeter barrier supple- mented by protective measures which pre- vent unauthorized entry and control author- ized entry. f. Contained. "Contained" refers to a state-of-being within limits, as within sys- tem bounds, regardless of purpose or func- tions, and includes any state of storage, use or processing. g. Dedicated Mode. An ADP system is operating in a dedicated mode when the central computer facility and all of its con- nected peripheral devices and remote termi- nals are exclusively used and controlled by specified users or groups of users having the same security clearances and access ap- provals for the processing of a particular type (s) and category (ies) of classified ma- terial. h. Disconnect. A remote terminal or, pe- ripheral device is considered to be discon- nected when at the Central Computer Fa- cility: (1) It is unplugged, or (2) The power to the channels or trans- mission lines is switched off, or (3) When software disconnect routines are employed. However, software disconnect routines shall be used only in the case of information classified no higher than SECRET and which does not have Special Access requirements. Software dis- connect routines must be: (a) Documented so as to clearly indicate detail logic processes employed. (b) Approved initially in writing by the cognizant security office. (c) Verified by the contractor via written certification at least once every 90 days to insure continued effectiveness. (d) Reapproved by the cognizant security office after ADP sys- tem modifications. i. Escort. Escorts are duly designated personnel who have appropriate clearances and access authorizations for the material contained in the systems, and are sufficiently knowledgeable to understand the security implications of, and to control the activities and access of the individual being escorted. .. Multi-Level Security Mode. An opera- tion under an operating system (supervisor 144 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Par. 101 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M or executive program) which provides a cap- ability permitting various levels and cate- gories or compartments of material to be concurrently stored and processed in an an ADP system. In a remotely accessed re- source-sharing system, the material can be selectively accessed and manipulated from variously controlled terminals by personnel having different security clearances and ac- cess approvals. This mode of operation can accommodate the concurrent processing and storage of (i) two or more levels of classi- fied data, or (ii) one or more levels of classi- fied data with unclassified data depending upon constraints placed on the systems by the cognizant security office. k. Operating System. An integrated col- lection of service routines for supervising the sequencing and processing of programs by a computer. Operating systems control the allocation of resources to users and their programs, and play a central role in assuring the security operation of a com- puter system. Operating systems may per- form debugging, input/output, accounting, resource allocation, compilation, storage as- signment tasks, and other system-related functions. (Synonymous with monitor, ex- ecutive, control program and supervisor.) it. Software. A set of computer programs, procedures and documentation concerned with the operation of an ADP system. o. Transmission. For the purposes of this Section, the term includes radio, microwave, laser or other methods of transmissions, as well as cable and wire transmission. 102. General a. The procedures and methods to be employed in safeguarding classified informa- tion will depend upon the nature of the ADP system and the use to which it is put. Accordingly, it is the contractor's responsi- bility to safeguard all classified information contained in the ADP system and insure that approved security controls are in effect and working satisfactorily. The contractor shall prepare an SPP defining personnel responsi- bilities and detailed security control proce- dures to be followed in the processing of all classified data in each ADP system. This SPP shall encompass, as a minimum, all of the pertinent elements contained in this Section plus all hardware and software verification and certification procedures required to in- sure initial and continued safeguarding of classified information in the system. 1. Remote Terminal. A device for commu- nicating with an automatic data processing system from a location that is time, space or electrically distant. m. Resource-Sharing Computer System. A computer system which uses its resources, including input/output devices, storage, central processor (arithmetic and logic units), control units, and software process- ing capabilities, to enable one or more users to manipulate data and process coresident programs in an apparently simultaneous manner. The term includes systems with one or more of the capabilities commonly referred to as time-sharing, multi-programming, multi-accessing, multi-processing, or con- current processing. b. The contractor shall appoint an ADP systems security supervisor for each facility and an ADP systems security custodian for each ADP system approved for the handling of classified material. The ADP systems security supervisor, where different from the facility security supervisor, shall be respon- sible to the facility security supervisor for implementation of procedures and practices prescribed for the safeguarding and control of his respective ADP system. 103. Personnel and Physical Controls a. Personnel. (1) Those personnel who develop, test and maintain application software pro- Pars. 1 pr1?M Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 145 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M grams, or use software systems which are classified, or which will be used to access or develop classified material shall have a personnel security clear- ance and need-to-know for the highest and most restrictive category of classi- fied material which they can access under system constraints. (2) Personnel operating the system and controlling access to its entry points to that system, or those who design, develop, install, modify, service or maintain the security features of the software in the operating system which controls user program access to the system (input/output, storage or use) shall have a security clearance for the highest and most restrictive category of material contained or processed in the system, and shall be indoctrinated in appropriate security procedures for the particular ADP system and facility before assuming their duties. Temporary or permanent modification of the operating system shall be tested by appropriately cleared and specifically designated personnel to assure that the security features are effective. Audit trail rec- ords of these transactions shall be maintained. (3) Unescorted entry to the Central Com- puter Facility or access to any of its ADP system components (hardware or software) shall be controlled and limited to personnel who are cleared for access to the highest clas- sification and most restrictive cate- gory of classified material contained or processed in the ADP system, and where need-to-know has been ascer- tained by the responsible ADP system security supervisor. All persons in- volved in maintenance or repairs re- quiring access to any part or compo- nent of the ADP system (central or remote) which could affect or modify the secure operation of the system or permit access to classified data, shall have a security clearance for the high- est and most restrictive category of classified information contained in or processed by the system. Shall it be- come necessary for maintenance per- sonnel not possessing such clearances to access the system, they shall be accompanied by an escort duly desig- nated by an ADP security supervisor for that purpose. (4) Other persons whose access to the area is required on a one-time or infrequent basis, and who will not have access to classified material or to the system's hardware or software, may be ad- mitted to the area when accompanied by an escort who will be responsible for the visitor's activities while in the area. b. Physical. (1) Closed Areas in conformance with paragraph 34a, shall be established for the Central Computer Facility and for rooms housing remote terminals authorized to access or process classi- fied data. To maintain the integrity of the system, the controls of the areas will be maintained even during those periods when there is no classified in- formation in the system. An exception to the requirement for continuous Closed Area controls can be made for systems in which all operations take place within the Central Computer Fa- cility and all remote terminals are dis- connected provided the following con- ditions are met : (a) That Closed Area controls are in effect during periods when classi- fied information is being pro- cessed, is on line or is otherwise available. (b) That all internal memory and circuitry used for the storage of 146 Approved For Release 2002/08/21 : CIA-RDP94B0l041 R000300040001-2 ar. 103 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M classified data is cleared and veri- fied by a responsible individual designated in the SPP prior to removal of Closed Area controls. All data storage devices (drums, discs, tapes, etc.) must be stored in accordance with paragraph 14, or be declassified in accordance with paragraph 105. All docu- mentation on which classified in- formation is recorded, including carbons and printer ribbons, must be removed and properly stored or destroyed. A log must be main- tained to record the date and time the above actions were taken, and by whom. (c) That all other applicable provi- sions of this Manual apply. (2) Before the ADP system is placed in an unclassified mode (unapproved re- motes reconnected and/or processing performed other than in accordance with paragraph 103b), all internal storage and circuitry shall either be cleared of classified data and verified by a responsible individual designated in the SPP or disconnected. In addi- tion, all media on which classified data has been recorded shall be removed or disconnected or properly stored or cleared. Area controls shall remain in effect except as specified in paragraph 103b(1). 104. Clearance of Main Memory, Other Magnetic Media, and Equipment a. In a controlled ADP environment, each memory location, register and other internal circuitry used for the storage of classified data shall be overwritten or otherwise cleared once when no longer required, before reutili- zation, or before the content of the memory location, register, or internal circuitry may be read to preclude the unauthorized dis- closure of classified data. Acceptable methods to accomplish the above are by program in- struction, clear switch action, or power-on reset cycle or a combination of these meth- ods. Verification of the clearance action will be accomplished to insure that all applicable portions of memory have been cleared. b. Magnetic media on which classified information has been recorded shall be dis- connected and properly stored, or shall be declassified in accordance with paragraphs 105a and b. Discs and drums which have been overwritten once with unclassified data may be utilized for processing data in an unclassi- fied mode, but they will be handled and accounted for in accordance with the highest classification of information ever recorded thereon until the medium or device is de- classified in accordance with paragraph 105. Magnetic media containing operational COM- SEC keying material may not be cleared for reuse by the above procedure and must re- tain their classification until properly de- stroyed. c. Should memory units or magnetic stor- age media be removed from the controlled environment, the provisions of paragraph 105 apply. d. Punch card or card reader equipment must be physically examined as a part of the process of clearing the equipment of classi- fied information. This will include visual examination of the normal card path through the equipment and the operation of the equipment for three or more card cycles with input hopper empty to detect the possible presence of punched cards which have not been processed. In addition, such an exami- nation must include a search of the locations of the equipment where, because of a mal- function, a punched card or portion of a punched card may have become lodged. This procedure necessitates the removal or open- ing of equipment access panels and/or other removable components to perform a visual inspection. Pa -pl &e fb or Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 147 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M 105. Declassification Procedure The eventual temporary or outright release of a storage device or a system, including storage media, should be anticipated. Due to the physical properties and retentive capa- bilities of magnetic media and devices (e.g., cores, drums, discs, tapes) used to store, record or manipulate classified data in a com- puter system, special precautions must be taken in the release of such media to safe- guard possible residual classified information until adequate declassification procedures de- scribed below have been executed. Except as authorized below,i3 all storage media and internal memory on which classified infor- mation is magnetically recorded shall be safeguarded and accounted for according to the requirements prescribed in this Manual for the highest level of classified information ever recorded thereon. Procedures for de- classification are as follows : a. Magnetic Tapes. When all classified information has been eradicated from a mag- netic tape through the use of degaussing equipment authorized by the cognizant security office,' 1 the tape may be handled on an unclassified basis, provided further that: (1) All markings identifying previous source, subject matter, use or classi- fication of the information previously recorded thereon are removed ; (2) The contractor establishes such proce- dure as is required to insure strict compliance with the manufacturer's instructions for operating the de- gaussing equipment; and 19 For specific guidance- regarding the eradiction of SIOP, COMSEC and similar type Special Access Program information magnetically recorded on a tape, disc or drum, see the appro- priate User Agency publications pertaining to that particular subject matter. 14 The cognizant security office will, upon request, advise the contractor of currently authorized magnetic tape, card and cassette degaussing equipment and any conditional instructions regarding their use promulgated by HQ DLA. Special instruc- tions issued by manufacturers of approved degaussers must be precisely followed in order to insure complete degaussing. Re- quests for approval to use other degaussing equipment may be submitted in duplicate to the cognizant security office, including a full description of the equipment and operating procedures. (3) The destruction records and certifi- cates required by paragraph 19e are executed upon eradication of the classified information and are main- tained at the control station (s) estab- lished under paragraph 12. b. Magnetic Disc, Disc Pack and Drum. Magnetic discs, disc packs, drums and other similar rigid magnetic storage devices shall be overwritten a minimum of three times, once with the binary digit "1", once with the binary digit "0", and once again with a single numeric, alphabetic, or special character (other than blank). When the capability exists as an integral part of the storage subsystem, an AC/DC erase will be applied to all data tracks before the tracks are over- written. Verification of the overwrite action must be accomplished to insure that the sto- rage device has been declassified. Unclassi- fied data used in the final overwrite shall be left on the device. The current used in over- writing must be equal to that used in record- ing the information. If the storage device has failed in such a manner that it cannot be overwritten, the device may be declassified by exposing the recording surface(s) to a permanent magnet having a field strength at the recording surface of at least 1,500 OERSTED. Care must be taken to insure the entire surface is wiped at least three times by a nonuniform motion of the magnet. A thin sheet of clear plastic (a 1-5 mil sheet) should be used to prevent damage to the re- cording surface(s). c. Magnetic Core. Magnetic core must be declassified by setting each addressable memory location alternately to all "ones" and all "zeros" for 1000 cycles until the state is changed at least 999 times. d. Thin Film and Plated Wire. Non- mechanical flat thin film and plated wire memories which have been used to store classified data may be declassified after recording unclassified data in all storage locations and allowing such data to remain on the device for 72 hours at temperatures matching or exceeding those extant during 148 Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004D91A5 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M the period of classified storage. Other types of thin film memories must be handled on a case-by-case basis with provision of full details to the cognizant security office. e. Magnetic Storage Media Used to Store Analog, Video, or Similar Non-Digital Infor- ?nation. Magnetic tape may be declassified by degaussig as in paragraph 105a. Rigid magnetic storage surfaces may be declassi- fied as in paragraph 105b, except that the unclassified overwriting signal must be ana- log instead of binary. The overwrite record- ing must be left intact on the device. In the case of failure of the degausser or over- writing methods, a permanent magnet must be used as in paragraph 105b. for rigid re- cording devices. f. Printer Ribbons. Printer ribbons shall be considered declassified when they have been cycled through the printer and the in- formation is obliterated. In no case will this be less than five cycles. "One-time" printer ribbons may be handled as classified waste as provided in paragraph 19. g. Destruction Certificates. Destruction certificates must be executed and retained in accordance with paragraph 19. h. Records of Release. Records of release of declassified storage media shall be main- tained for a period of 2 years after disposi- tion of the device or equipment. 106. Dedicated Mode There are three conditions normally en- countered when considering processing data in a dedicated mode; (i) self-contained, (ii) intra-complex, and (iii) inter-complex, a. Self-Contained. In this type of condition all operations take place within the controlled Central Computer Facility. All remote termi- nals must be disconnected. b. Intra-Complex and Inter-Complex. In these situations all classified data processing takes place within the controlled Central Computer Facility, and in controlled areas housing remote terminals. Transmission to and/or from such terminals and the computer must be in conformance with paragraph 107. All other remote terminals, regardless of location must be disconnected. Requests for approval to use either of these "Dedicated Mode" type systems shall be submitted in writing to the cognizant security office and shall include a complete description of the ADP system, including the category of classified information to be processed. In- cluded in the request should be a description of procedures for: (1) Personnel and physical controls (see paragraph 103) and of the procedural and administrative security controls to be placed in effect for the ADP sys- tem and for each location where a remote terminal is connected. (2) Transmission Controls. If the trans- mission is by means other than ap- proved CRYTOGRAPHIC systems, a complete description of the in-depth physical controls of the transmission lines is to be included. (3) Authentication of each authorized user or group of users. One acceptable method would be the use of a unique random six alphanumeric character password classified the same as the highest category of information to which the user (or group) is au- thorized access in the system. Such a password would need to be changed at least every 3 months and upon termi- nation or reassignment of any user possessing knowledge of the password or when the password is believed to have been compromised or subjected to compromise. To further improve the reliability of the procedure for iden- tification of the user (or group) indi- vidual identification devices may be used in conjunction with the six al- phanumeric character password iden- Pars.A1r&vg For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 149 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M tification procedure. This can include the entry into the system of a series of facts from the individual's personal background which generally would not be information known to anyone else, and which would be called up on a random basis and would require a specific answer by the user. Other augmenting individual identification devices, such as the use of hand geo- metry (fingerprint scanner or hand scanner), voice or signature compari- son devices may also be utilized as additional safeguards to supplement access control procedures. (4) An SPP detailing the exact procedures the contractor will employ in operat- ing the proposed system. the cognizant security office. Such circuits must be protected by an in-depth physical security system and include the following: (1) Dedicated Lines. The transmission line (s) must be dedicated to the com- puter and the remote terminal(s). A remote terminal (s) must be approved for the handling of classified data. A transmission line (s) shall be dedi- cated to computer/terminal traffic and be separated from and not included in a cable which contains other lines not dedicated to the transmission of classified data. The line may not be connected to or through telephone frames, switching equipment or any other telephone equipment. (5) Other security factors that have a bearing and which will assist in an evaluation of the overall system. The contractor's proposed system must include provisions for control of the entire complex. 107. Transmission Classified data may be transmitted as follows : a. Inter-Complex. Only over approved CRYPTOGRAPHIC communication circuits, and only with the prior written approval and in accordance with instructions of the con- tracting officer. b. Intra-Complex. Over approved CRYP- TOGRAPHIC communication circuits with the prior written approval and in accordance with the instructions of the contracting offi- cer. In the event the contracting officer ad- vises that CRYPTOGRAPHIC equipment is not available, other approved circuits may be used with the prior written approval of (2) Line Surveillance. The transmission lines should all remain in secure areas certified for the safeguarding of the highest level of classified informaton transmitted. In the event these lines cannot be contained entirely within secure areas, continual surveillance as defined below must be maintained. Surveillance must be accomplished by one of the following: (i) alarming the transmission line itself with an alarm system which will provide a central station response time which is not greater than 15 minutes, and by con- ducting checks of the line and alarm integrity at least once daily; or (ii) continual surveillance of the lines by appropriately cleared guards, indoc- trinated as to the significance of the lines. Indoctrination must be sufficient to enable the guards to detect at- tempts to compromise the security of the sysem, and to determine the action to be taken in the event of compromise or suspected compromise; or (iii) a combination of protected transmission lines and guard patrols, in which event the frequency of guard patrols will be determined by the degree of line protection and any other pertinent security features. 150 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Pars. 106 & 107 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040OQ1- 5220.22-M (3) Physical Security and Terminal Sta- tions. As a general rule, the physical security of the line terminal blocks and repeater stations should, as a minimum, be equal to a strongroom (paragraph F, Appendix IV). Sup- plemental controls shall provide for either an alarm system with a 15- minute control station response time or irregularly scheduled hourly pa- trols. Junction boxes and manholes should be secured and locked with a three-position, dial type, changeable combination lock. 108. Subcontracting Classified Data Processing a. Processing by Subcontractor. A con- tractor may subcontract with another cleared contractor on an exclusive-use basis for the processing of classified data. Subcontracting under this category encompasses job shops which process individual jobs on an "across- the-counter" basis, and subcontractors who provide the complete software package as well as the actual processing of the classified programs. The provisions of this Section and Section VI apply. After processing any class- ified data for a contractor, the subcontractor shall clear and verify the memory of the computer and all other addressable areas on which classified data has been recorded prior to processing any data for another contractor. hi. Use of an ADP System on a Leased Basis (see paragraph 5b). A contractor may use the ADP system of another cleared contractor on a leased, exclusive-use basis (facilities which rent time on computers are often classed "service centers" or "service bureaus"), provided : (1) The lessor is responsible for assuring that the integrity of the ADP system is maintained at all times; (2) The using contractor establishes ade- quate physical and personnel security controls, including provisions for clearing the equipment of the classi- fied data prior to relinquishing physi- cal control, and the incorporation of such procedures in his SPP (or sup- plement thereto) ; and (3) The cognizant security office approves such procedures. Prior to granting approval, the cognizant security office shall assure that adequate security measures will be placed into effect by the using contractor while classified data is being processed, and that resi- dual classified information will not be retained in the ADP system. In many instances, a representative of the less- or contractor remains in the com- puter area during the run for equip- ment maintenance purposes. The using contractor therefore is respon- sible for insuring that the lessor's em- ployee has the appropriate clearance and need-to-know. In addition, all classified material belonging to the using contractor shall be removed from the lessor's premises at the end of the lease period. 109 Audit Trail Unauthorized attempts to change, circum- vent, or otherwise violate security features of the Operating System should be detectable and reported within a known time by the Operating System, causing an abort or sus- pension of the responsible user activity. In addition, the incident shall be recorded in the audit log, and the ADP system security supervisor shall be notified. An audit log or file (manual, machine or a combination of both) shall be maintained as a history of the use of the ADP system to permit a regu- lar security review of system classified ac- tivity. The log should record as a minimum security related transactions, including each access to a classified file and the nature of the access (e.g., log-ins, production of ac- Pars. 107 108 oved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 151 Approved For Release 2002/08/21 DoD 5220.22-M countable classified outputs and creation of new classified files, start/stop time of process, identity of user, files deleted, file classifica- tion and processing anomolies). Each classi- fied file successfully accessed, regardless of the number of individual references, during each "job" or "interactive session" will also be recorded in the audit log. The ADP se- curity supervisor shall review the log at least weekly to assure that all pertinent activity is properly recorded and that appropriate ac- tion has been taken to correct any anomoly. 110. Multi-Level Resource-Sharing Systems The objective of this paragraph is to pro- vide guidelines and establish techniques and procedures which can be used to secure re- source-sharing ADP systems for the multi- level security mode so that, with reasonable dependability, deliberate or inadvertent ac- cess to classified material by unauthorized personnel or the unauthorized manipulation of the computer and its associated peripheral devices, which could lead to the compromise of classified information can be prevented. A number of hardware and software require- ments are being developed. However, an es- sential element necessary for decision by the approving authority is the security test- ing and evaluation of such systems. Security testing and evaluation techniques are under development by the Government. Pending the development and implementation of testing and evaluation, approval to use re- source-sharing ADP systems for processing classified information in the multi-level se- curity mode is being held in abeyance. Re- quests for exceptions to the dedicated se- curity mode of operation, along with full descriptive details, including a general SPP, must be submitted 90 days prior to proposed start of operation to the cognizant security office for case-by-case consideration. 152 Approved For Release 2002/08/21 : CIA-RDP94BOl041 R00030 0 111 & 110 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040060-3220.22-M APPENDIX I INDUSTRIAL SECURITY FORMS A. Application The purpose of this Appendix is to describe the forms used by DoD contractors in indus- trial security matters and to provide instruc- tions for the use and completion of each. A copy of each form is included. These forms shall not be used for any purpose or in any other manner except as provided for in this Manual or for training purposes. B. Department of Defense Personnel Security Questionnaire (Industrial) (DD Form 48) This form is used to obtain personal data from a U.S. citizen being considered for a DoD CONFIDENTIAL or SECRET person- r nel security clearance. 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 where the person concerned is being proc- essed for a clearance. The completed form should be forwarded to the DISCO, P.O. Box 2499, Columbus, Ohio 43216. However, forms which pertain to OODEPs and which are submitted in conjunction with the facility security clearance application, or as a change thereto, shall be mailed to the cognizant security office, AppeiPPSoved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 153 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M PERSONNEL SECURITY QUESTIONNAIRE (INDUSTRIAL) I OMB NO. 22-KU40 DD 1 FJ AN 74 48 USE I JUL 69 EDITION UNTIL EXHAUSTED PART I MONTH. DAY. YEAR OF BIRTH 19 PI-ACL OF BIRTH INSTRCC'I IONS TO EMPLOYEE: DO NOT FILL IN ANY PORTION OF 'I'll EMPLOYED AND ON THE PAYROLL OF THE EMPLOYER FROM WHOM This form is in four (4) parts. Part if must be completed by your employe parts. You must complete Part Ill in private. Before filling in any part, you t ' ?n this form without first reading the instructions in Part P 1 ll YOU RECEIVE THIS FORM. before you complete the other should familiarize yourself with 5 o no s all questions. TYPE OR PRINT ALL ANSWERS If more space is required, attach additional sheets, identifying by corres- ponding block number. FORM Wll.l, NOT BE ACCEPTED l'NLESS COMPLETELY AND PROPERLY EXECUTED. Questions which do not apply shall be marked "None." b. M0 T HER (Full Moide', Norm) c. SPOUSE.(Pul! Maiden Na?-) s, whirheoer is .shorter If under I RESIDENCES (List a21 from 161/1 hirthdny or during J-1 i:- 9' .----~-- d. CITY r. STATE 'FROM b FT 0 STREET NL..IR AND u 7-o -EMPLOYMENT (List ufl from 18th hirthdoy r r duriuK pull 1,1 yrn re, whirhrocr is sh urlrr, If n der 18. lust precrN ^nd nro .r( recerr ! empl oernrnO r TO b OYER EM PL d. PLACE n. FROM . N SC HOOL 11. LAST CIVILIA _ a, FROM b. TO + ~ . NAME d. PLACE PART II (TO BE COMPLETED BY EMPLOYER) NAME AND AD D R E 5 5 OF EMPLOYER (If a.sub.sidiarY. include more of TO: parer! canrpnny) Defense Industrial security clearance Office Defense Supply Agency Box 2499 Columbus, Ohio 43216 OYEE'S DUTIES WHICH REQUIRE ACCESS TO CLASSIFIED CONTRACTE NUMBER, WHEN P L APPLI JOB TITLE AND DESCRIPTION OF EM INFORMATION SECURITY CLASSIFICATION OF MATERIALS OR INFORMATION EMPLOYEE WILL HAVE ACCESS TO SIGNATURE OF EMPLOYER OR DESIGNATED REPRESENTATIVE 1 CERTIFY THAT THE ENTRIES MADE By ME ABOVE PRE TRUE. COMPL ET E,AND CORRECT TO THE BEST OF MY KNOWLEDGE AND BELIEF AND ARE MADE IN GOOD FAITH. Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 155 Appendix I DoD 5220.22- Nf proved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 EDUCATION (Arcountf r a(l civi ian and mrli(orY "ad, m"') L NAME AND LOCATION OF SCHOO * ES , cantpmle f(ant n and h or c. iJ apprnpriale. If answer is 'NO', do not complete this form. Obtain DD Form 49 from your employer.)',a, I r I AM A CITIZEN OF THE UNITED STATES BY REASON OF O By BIRTH IN THE UNITED STATES O BY NATURALIZED CITIZENSHIP O BY BIRTH IN A FOREIGN COUNTRY OF UNITED STATES PAR E C O BY DERIVATIVE CITIZENSHIPi If checked complete either "Cilizenshlp by Nalura(tialion"ter ^Car>~.,~a.:.. -------------- LIST ALL ORGANIZATIONS EXCEPT LABOR UNIONS AND EXCEPT ORGANIZATIONS REFERRED TO IN YOU HOLD OR HAVE HELD MEMBERSHIP. IF NONE. 50 STATE ITEM 27 BELOW IN WHICH b. ARE YOU A MEMBER OF A RESERVE COMPONENT? current status under Item 21, Remarks'.) GRADUATE YES NO DEGREE DATE NATURALIZED CERTIFICATE NUMBER PARENTS CERTIFICATE NUMBER FROM (Dale) TO (Dine) d. SELECTIVE DLA551F1 SERVICE NO. CATION 0. HAVE YOU EVER BEEN PREVIOUSLY GRANTED A SECURITY CLEARANCE? granted, by whom and where employed at that lime under hem 21 Remarks" OYES ONO b. HAVE YOU EVER TERMINATED EMPLOYMENT WHILE A REQUEST OR APPLICATION FOR A SECURITY CLEARANCE WAS PENDING? (If answer is "YES', furnish name and address of employer under 'Remarks'. If termination resulted from a reduction in force. so indicate and furnish details under "Remarks'. If you since have been granted a clearance by the Government, indicate under Item 21, 'Remarks' the date, level of clearance aad where employed.) OYES NO 156 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Appendix I Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 LIST CHILDREN, BROTHERS. SISTERS (IByears and older) AND FORMER SPOUSE( S) RELATION NAME IN FULL ADDRESS (EII(e 'dt'rrrr.st?d'r/>n langrl'111(ng) PLACE AND DATE OF BIRTH PRESENT CITIZENSHIP b. LIST OTHER LIVING RELATIVES AND RELATIVES OF SPOUSE WHO ARE NOT UNITED S TATES CITIZENS 18. FOREIGN COUNTRIES VISITED OR RESIDED IN CITY AND COUNTRY DATE LEFT US. DATE RETURNED U5. PURPOSE AND TYPE OF VISA 19. LIST EACH FOREIGN GOVERNMEN r, FIRM, CORPORAT ION OR PERSON FOR WHOM YOU AC I OR HAVE ACTED AS A REPRESENT- ATIVE, OFFICIAL. OR EMPLOYEE IN THE PAST 5 YEAR5. LIST ALL COMMUNIST GOVERNMENTS IRMS OR CORPORATIONS FOR WHOM YOU HAVE EVER ACTED IN SUCH CAPACITY ATTACH A STATEMENT. AS REQUIRED BY PARAGRAPH ZOK ISM. FULLY DESCRIBING EACH AFFILIATION. (ifnone, soindn?Rte.) 20. REFERENCES (Gioe five P?rsonnl rrJerrnres, sl((Pig businrsa uddre.+s of all rr{erence.s, If knauUI or persons living outside the United Slates) Do not inetudr rrivt+I,,, /a, nu?renrirluvers, NAME YEARS KNOWN STREET AND NUMBER CITY STATE 2 1 . REMARKS (I(udditiontrl spare rs >eerled, FOntinne On plain paper ) Appendix I 157 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 RTHER INSTRUCTIONS: NOT COMPLETE PARTS III OR IV AT THIS TIME. Return this partially completed form to your employer who will review it to assure all entries are complete and the form is properly filled in. After return, proceed with completion of Parts III and IV. PART III Complete the items below in private. The answers or statements in this part are privileged information between you and the Government. You should enter in Item 28 any information relating to your answers which might require further explanation, or .ay additional information which may have a bearing on our security clearance. 22. HAVE YOU EVER BEEN ARRESTED, CHARGED, OR HELD BY ANY LAW ENFORCEMENT AUTHORITIES FOR ANY VIOLATION OF ANY LAW, REGULATION OR ORDINANCE' INCLUDE ALL COURTS-MARTIAL. DO NOT INCLUDE ANYTHING THAT HAPPENED BEFORE YOUR 16TH BIRTHDAY. DO NOT INCLUDE TRAFFIC VIOLATIONS FOR WHICH THE ONLY PENALTY IMPOSED WAS A FINE OF 525.00 OR LESS. ALL OTHER CHARGES MUST BE INCLUDED EVEN IF THEY WERE DISMISSED. YES E] NO IF "YES", GIVE DATE AND PLACE, CHARGE, AND DISPOSITION: 23. WHAT TYPE OF DISCHARGE DID YOU RECEIVE, IF ANY, FROM MILITARY SERVICE' 24. HAVE YOU EVER HAD A SECURITY CLEARANCE SUSPENDED, DENIED, OR REVOKED' (11 answer is "YES", indicate level of clearance, when suspended, denied or revoked, by whom and where employed under Item 28, "Remarks". If you since have been granted e clearance by the government, indicate under Item 28, "Remarks", the date, level of clearance and activity which restored the clearance.) O YES a N O 25. YES NO 00 YOU HAVE A HISTORY OF MENTAL OR NERVOUS DISORDERS' b. ARE YOU NOW OR HAVE YOU EVER BEEN ADDICTED TO THE USE OF HABIT FORMING DRUGS SUCH AS NARCOTICS OR BARBITURATES' c. ARE YOU NOW OR HAVE YOU EVER BEEN A CHRONIC USER TO EXCESS OF ALCOHOLIC BEVERAGES' (If answer to any of the above is "YES". explain. Give names and addresses of hospitals, clinks, sanitorium s, and physicians who have examined or treated you for such conditions.) 26. AUTHORITY TO RELEASE MEDICAL INFORMATION I HEREBY GRANT PERMISSION TO THE DEPARTMENT OF DEFENSE TO OBTAIN AND REVIEW COPIES OF MY MEDICAL AND INSTITUTIONAL RECORDS RELATING TO CONDITIONS LISTED IN ITEM 25 AND TO QUESTION THOSE WHO HAVE EXAMINED OR TREATED ME THEREFOR. SIGNATURE OF EMPLOYEE DATE 27. ORGANIZATIONAL MEMBERSHIP YES NO a. ARE YOU NOW, OR HAVE YOU EVER BEEN, A MEMBER OF THE COMMUNIST PARTY. U.S.A.. THE COMMUNIST POLITICAL ASSOCIATION. THE YOUNG COMMUNIST LEAGUE. OR ANY COMMUNIST ORGANIZATION' b. AREYOU NOW OR HAVE YOU EVER BEEN A MEMBER OF ANY FOREIGN OR DOMESTIC ORGANIZATION. ASSOCIATION. MOVEMENT. GROUP. OR COMBINATION OF PERSONS WHICH IS TOTALITARIAN. FASCIST, COMMUNISTIC. OR SUBVER- SIVE, OR WHICH HAS ADOPTED, OR SHOWS. A 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' IF YOUR ANSWER TO EITHER OF THE. ABOVE QUESTIONS 15 "YES", LIST IN ITEM 28. THE NAMES OF ALL SUCH ORGANIZATIONS, ASSOCIATIONS, MOVEMENTS. GROUPS OR COMBINATION OF PERSONS AND DATES OF MEMBERSHIP. GIVE COMPLETE DETAILS OF YOUR ACTIVITIES THEREIN AND MAKE ANY EXPLANATION YOU DESIRE REGARDING YOUR MEMBERSHIP OR ACTIVITIES. 28. REMARKS (Use the space provided below and attach additional sheets, if necessary,) 158 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040UUe,pdjx I Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M must witnes IMPORTANT NOTICE: Your f removeolalow lt certificationons, fold the ormbso that sthed; e w ine eetentos your sibe an gnatu re pwillenotf see anyf portlonf of to a x ng your a gpn eture to the he C arm, _ks presence of the witness. Have the witness affix his Part III of the co m address tPersonnel Securite Questioon the formn and date the form in , blor gn ature and his NOTE: PENALTY FORM IS REP RES ENTAT ION - Failure to answer all questions, or any misrepresentation (by omission or concealment, Defense omisleading, false, or partial answers) may serve as a basis for denial of clearance for to classified Deyears imprisonment, eat, information. In addition, Title 18, United States Code 1001, makes it a criminal offense, punishable by a maximum of $10,000 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 jurisdiction 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 incorrect, incomplete or mis- riot more states than three years, or both'. represents himself to be a citizen of than United r o imprisoned Code not more itle 18 the Unitein any d States shall be fined fined particular l CERTIFICATION WARNING: Read every sentence of the Certification before signing. I certify that my above answers are true, com lete, and correct to the statemen met herein may subject me to belief, an are good of thI e Un tedt Stars Criminal Code, with penaltiesoupto fiivee(5) yearst Impmade ia n- ment and $10,000 fine, and provide a basis for denial of security clearance. I certify that I have read and understand each sentence of this Certification. INSTRUCTIONS TO EMPLOYEE UPON COMPLETION OF ABOVE Now that the form is signed and witneased, place It in the pre-addressed envelope furnished (DSA Form 703), together with the completed FD Form 258 (Fingerprint Card), seal the envelope, sign across the envelope nap on the line provided, and affix the date of signature. Deliver the sealed envelope to your employer Immediately. Appp11--ovEd For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 159 Apps io. t Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DOD 5220.22-M C. Application and Authorization for Access to Confidential Information (DD Form 48-2) This form is used to obtain personal data from a U.S. citizen being considered for a CONFIDENTIAL personnel security clear- ance by a contractor. The form is prepared jointly by the person being considered for the clearance and by the contractor. Com- pletion 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 grant...^d a CONFIDENTIAL clearance by the cc- ctor, so long as they are continuously f_-- toyed by the same con- tractor or there has been no break in employ- ment in excess of 12 months. Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Appendix 1 161 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.23-M APPLICATION AND AUTHORIZATION FOR TYPE OR PRINT Form Approved ACCESS TO CONFIDENTIAL INFORMATION (INDUSTRIAL) ALL ANSWERS OMB No. 22.11230 NOTE: PENALTY- Failure to answer all questions, or any misrepresentation (by omission or concealment, 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 imprisonment, $10,000 fine, or both, knowingly and willfully to make a false statement or representation to any Department 4 or Agency of the United States as to any matter within the jurisdiction 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 incorrect, d States Code 911 states "whoever falsely and willfully 18 U it Titl i l n e ar - e cu incomplete or misleading in any important part represents himself to be a citizen of the United States shall be fined not more than $1,000 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 a 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. citizen employees ' s provided their employer determines that access to Confidential Information is required In the performance of the employee assigned duties. Part II Is the employee's authorization for access to Confidential Information and shall be completed by the Copy of this form shall be maintained by the contractor for all employees granted a security clearance for Confidential employer . 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 NAME ? FIRST NAME - MIDDLE NAME 2. ANY OTHER NAME BY WHICH KNOWN (Alias maiden or former legal name) 3. DATE OF BIRTH (Month, Day & Year) 4. PLACE OF BIRTH (City, County, State) E. SOCIAL SECURITY NUMBER e. SEX 7. HAVE YOU EVER APPLIED FOR OR RECEIVED A SECURITY CLEARANCE? YES NO 8. IF THE ANSWER TO ITEM 7 IS "YES", INDICATE BELOW THE LEVEL OF CLEARANCE, WHEN APPLIED FOR. WHEN GRANTED, BY WHOM, AND WHERE EMPLOYED AT THAT TIME. 9. ORGANIZATIONS WITH WHICH AFFILIATED (past and present) OTHER THAN RELIGIOUS OR POLITICAL ORGANIZATIONS OR THOSE WHICH SHOW RELIGIOUS OR POLITICAL AFFILIATION. (If none, so stale) 10. ARE YOU A CITIZEN OF THE UNITED STATES? Q YES Q NO. (If answer is "Yes", complete the following: if answer is 'No, return this form to your employer.) Q I AM A CITIZEN OF THE UNITED STATES BY REASON OF MY BIRTH IN THE UNITED STATES MY NATURALIZED Q CITIZENSHIP* MV BIRTH IN A FOREIGN COUNTRY OF UNITED STATES PARENTS MY DERIVATIVE CITIZENSHIP* *If checked complete either "Citizenship by Naturalization" or "Citizenship by Derivation' Section below. CITIZENSHIP BY NATURALIZATION* WHERE NATURALIZED (City, County, State) DATE NATURALIZED COURT CERTIFICATE NO. CITIZENSHIP BY DERIVATION a{: _ PARENT'S NAME PARENT'S CERTIFICATE NO. 11. HAVE YOU RESIDED AT ANY TIME DURING THE PAST 15 YEARS OR SINCE YOUR 18TH BIRTHDAY, WHICHEVER IS LATER, IN COMMUNIST COUNTRIES LISTED UNDER PART III? (If answer is "Yes, indicate city and country, dates of residence, under Item 14 "Remarks.') Q YES Q NO 12. LIST RELATIVES AND RELATIVES OF SPOUSE KNOWN TO BE LIVING IN COMMUNIST COUNTRIES LISTED UNDER PART III. PLA TE RELATION NAME ADDRESS OF RTH CITIZENSHIP 13. ARE YOU A REPRESENTATIVE OF A FOREIGN INTEREST? YES NO 14, REMARKS ld ne I Fold Line Append IDaprloved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 163 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M INSTRUCTIONS: Read every sentence of the Certification before signing in the presence of a witness who may be a member of your firm. If you cannot sign the certification for any reason, return this form to your employer who will have you complete a different form. - - - CERTIFICATION iI certify that I have never been, past or present, a member in any organization, association, movement, group, or combination of persons, (1) which advocates the overthrow of our constitutional form of government, (2) or which had adopted a 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, (3) or which seeks to alter the form of Government of the United States by unconstitutional means. I certify that I know that any misrepresentation or false I certify that.I have read and understand each sentence of this statement made by me herein may subject me to prosecution Certification. under Title 18, United States Criminal Code, Sections 911 and 1001, with penalties up to five (5) years imprisonment and $10,000 fine. 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. I certify that I am a citizen of the United States. SIGNATURE OF WITNESS SIGNATURE OF PERSON MAKING CERTIFICATION DATE OF SIGNATURE ADDRESS 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 to Its contractors (employers) authority to grant access authorization for access to Confidential information to his employees who require access in the performance of the employee's assigned duties; the undersigned, a duly authorized representative of the contractor, certifies that he has examined Part I of this form and the employment records pertaining to the employee executing Part I of this form, and has determined that: - (Check the appropriate block(s) 1. The employee is a United States citizen; and that Th ED 2 l . e emp oyee may be granted a security clearance for Confidential information in accordance with the provisions of paragraph 24b, Industrial Security Manual for Safeguarding Classified Information and such authorization is hereby granted this date; and/or 3. The application Is required to be referred to the military cognizant security office for determination. Date By (Signature) (Name of Cwltraetor) (Typed name and title of authorized representative) PART III - LIST OF COMMUNIST COUNTRIES Albania Bulgaria Chinese Peoples Republic (Communist China) (including Tibet) Cuba Czechoslovakia Democratic Peoples Republic of Korea (North Korea) Democratic Republic of Vietnam (North Vietnam) German Democratic Republic (GDR) (East Germany, including the Soviet Sector of Berlin) Hungary Mongolian Peoples Republic (Older Mongolia) Poland Rumania Yugoslavia Kurile Islands South Sakhalin (Karafuto) Union of Soviet Socialist Republics (USSR) (includingEstonio, Latvia, Lithuania, and all other constituent republics) 164 Approved For Release 2002/08/21 : CIA-RDP94BOl 041 R000300040001-2. I Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040 ?J b2522o.22-M D. Department of Defense Personnel Security Questionnaire (Updating) (DD Form 48-3) This form is used to obtain current and up- dating 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 security clearance in his new employment. It is also used in converting a User Agency clearance to an industrial security clearance. This form is prepared jointly by management and the individual being processed for the new clear- ance. 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 which pertain to OODEPs which are submitted in conjunction with the facility security clearance applica- tion, or as a change thereto, shall be mailed to the cognizant security office. Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 165 Appendix I Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004008;t? 5220.22-M DEPARTMENT OF DEFENSE DATE Fonn A Appeared PERSONNEL SECURITY QUESTIONNAIRE (UPDATING) OM1fA No. 22-RO46 PENALTY - Failure to answer all question., or any misrepresentation (by omission or concealment, or by misleading, false, or partial answers) may serve as a basis for dental of clearance for access to classified Department of Defense Information. In addition, Title 18, United States make. It a criminal offense, punishable by a maximum of S years Imprisonment, $10,000 fine, or both, knowingly and willfully to make Code 1001 , e late e statement or representation to any Department or Agency of the United States as to any matter within the jurisdiction of any Department or Agency of the United States. This includes any statement made herein which is knowingly and willfully incorrect, incomplete or misleading in any important particular. - RUCTIONS: ne copy o accomplishe form will be submitted by the contractor when prescribe by t e n ustrial Security Manual for Safeguarding Classified Information to request transfer of clearance. Type or print all answers; form will not be accepted unless completely and properly executed. Use blank sheets for additional information, identifying by item number. Questions which do not apply will be marked "None." INSTRUCTIONS TO EMPLOYEE: This form is in three parts. Part I must be completed by your employer before you complete the other parts. You must complete Part III in private. Before filling in any part, you should familiarize yourself with all questions. Do not sin this form without first reading the instructions in Part III. PART I TO BE COMPLETED BY EMPLOYER - TO: a subsidiary, include name of NAME: AND ADDRESS OF EMPLOYER (if parent company) Defense Industrial Security Clearance Office Defense Supply Agency Box 2499 Columbus, Ohio 43216 JOB TITLE AND DESCRIPTION OF EMPLOYEE'S DUTIES WHICH REQUIRE ACCESS TO CLASSIFIED CONTRACT NUMBER, WHEN INFORMATION APPLICABLE SECURITY CLASSIFICATION OF MATERIALS OR INFORMATION EMPLOYEE WILL HAVE ACCESS TO rr,, CLEARANCE REQUESTED IS: LI TRANSFER Q CONVERSION IJ CONCURRENT 1 CERTIFY THAT THE ENTRIES MADE BY ME ABOVE ARE TRUE, SIGNATURE OF EMPLOYER OR DESIGNATED REPRESENTATIVE COMPLETE, AND CORRECT TO THE BEST OF MY KNOWLEDGE AND 1 BELIEF AND ARE MADE IN GOOD FAITH PA RT II TO BE COMPLETED BY EMPLOYEE LAST NAME - FIRST NAME - MIDDLE NAME 1 2. ANY OTHER NAME BY WHICH KNOWN (Alias, maiden, former . legal name; designate which) 3. OF BIRTH 48. PLACE OF BIRTH 4 CITIZEN OF WHAT COUNTRY 5. SOCIAL SECURITY NUMBER a. SEX RESIDENCE (Present Address Only) STREET, CITY. STATE OR OTHER POLITICAL SUBDIVISION, AND COUNTRY FROM (Date) a ORGANIZATIONAL MEMBERSHIP (List the name and address of each organization of which you have become a member since the data of your last clearance application. Also " 11 ' " " professlonsl, indicate fraternal, type .how the full name of national organization with which the local organization is affiliated. Under etc. Do not abbreviate. List the approximate dates of membership it the exact dates are not known. You are not I. list labor unions, religious " column. organizations, or political parties. It you do not belong to any organization, enter "none" I,nd,r the "Name d Address NAME AND ADDRESS TYPE OFFICE HELD FROM (Date) TO (Date) q, LAST EMPLOYMENT (At Which Clearance Was Granted) _ _ POSITION HELD EMPLOYER AND IMMEDIATE SUPER- ADDRESS ___ FFR&M (Date) TO (Date) J VISOR j 10. HAVE YOU EVER BEEN PREVIOUSLY GRANTED A SECURITY CLEARANCE' (11 answer Is "Yea", indicate level of clearance, when granted, by whom and where employed at that time under Item 12, "Remarks") YES Q NO LIST EACH FOREIGN GOVERNMENT, FIRM, CORPORATION OR PERSON FOR WHOM YOU ACT OR HAVE ACTED AS A REPRE- II . SENTATIVE, OFFICIAL OR EMPLOYEE IN THE PAST 5 YEARS. LIST ALL COMMUNIST GOVERNMENTS. FIRMS OR CORPORATIONS INDUSTRIAL ATTACH A STATEMENT AS REQUIRED BY PARAGRAPH 2Ok P T , ACI Y. FOR WHOM YOU HAVE EVER ACTED IN SUCH CA SECURITY MANUAL, FOR EACH AFFILIATION. 12. REMARKS FURTHER INSTRUCTIONS: Do not complete PART III or the Certification at this time. After completing PART If return the form to your employer who will review it to assure that all entries are complete and the form is filled out properly. After your employer returns the form to you, then start PART III and follow instructions on reverse side. ,` FORM A DD I FEB 75 48"3 Appet#prbved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 167 DO 5220.22-A4) proved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001-2 PART III INSTRUCTIONS: Complete the items below in private. The answers or statements in this Part are privile ed info ti n b g rma o etween you and the Government. You should enter in Item 18 below any information relating to your answers which might require further explanation, or any additional informatio hi h h n w c may ave a bearing on your security clearance. 53. HAVE YOU EVER BEEN ARRESTED. CHARGED, OR HELD BY ANY LAW ENFORCEMENT AUTHORITIES FOR ANY VIOLATION OF ANY LAW. REGULATION, OR ORDINANCE' INCLUDE ALL COURTS-MARTIAL . DO NOT INCLUDE ANYTHING THAT HAPPEMED BEFORE YOUR 16TH BIRTHDAY. DO NOT INCLUDE TRAFFIC VIOLATIONS FOR WHICH THE ONLY PENALTY IMPOSED WAS FINE OF $25.00 OR LESS. ALL OTHER CHARGES MUST BE INCLUDED EVEN IF THEY W ERE DISMISSED. (From data of lest clearance application) D YES O NO (11 "Yea", give data and place, charge, and dleposltlon.) 14. WHAT TYPE OF DISCHARGE DID YOU RECEIVE. IF ANY. FROM MILITARY SERVICE? 15, H AVE YOU EVER HAD A SECURITY CLEARANCE SUSPENDED. DENIED, OR REVOKED? (Ii answer ]a -Yes", indicate under Item J8 below, level nied d e e e clearnce e,m, , by the Cove ant, indicate nd r item o h 18 below the date level of cl B d it t er e , , earnce, an t e activi y which restored h cl arance.) - YES Q NO 16. YES NO a. DO YOU HAVE A HISTORY OF MENTAL OR NERVOUS DISORDERS? b. ARE YOU NOW OR HAVE YOU EVER BEEN ADDICTED TO THE USE OF HABIT FORMING DRUGS SUCH AS NARCOTICS OR BARBITURATES' c. ARE YOU NOW OR HAVE YOU EVER BEEN A CHRONIC USER TO EXCESS OF ALCOHCLIC BEVERAGES' ,it answer to any of the above is "YES". explain. Give names and addresses of hospitals, clinics, senltoriums, and physicians ohs have examined or t reated you for such conditions.) t7. AUTHORITY TO RELEASE MEDICAL INFORMATION I hereby grant permission to the Department of Defense to obtain and review copies of my medical and institutional records relating to conditions listed in Item 16 and to question ihose who have examined or lrea'ed t c t' ttcf StNAT!IRF nF FMPI.OYEF ,A ,. ..-. '1a. REMARKS IMPORTANT IJOTICE: Your Signature on the following certification must be witnessed, the witness may be an employee of your firm. Prior to affixing your signature to the form, fold the form so that the witness to our si n t ill y g a ure w not see any portion of Part III of the completed Personnel Security Questionnaire. Sign and date the form in the presence of the witness. Have the witness affix his signature and his address to the appropriate blocks on the form. CERTIFICATION WARNING1 Read every sentanCo of the Certification before signing. I certify that my above answers are true, complete, and correct to the best of my knowledge and belief, and are made in good faith. I certify that I know that any misrepresentation or false t t s a ement made by me herein may subject me to prosecution under Section 1001 of the United States Criminal Code with enalties u t fi 5 ' , p p o ve ( ) years imprisonment and $10,000 fine, and provide a basis for denial of security clearance. I certify that I have read and understand each sentence of the Certification. SIGNATURE OF WITNESS SIGNATURE OF EMPLOYEE DATE OF SIGNATURE ADDRESS OF WITNESS (City, County, State) INSTRUCTIONS TO EMPLOYEE UPON COMPLETION OF ABOVE CERTIFICATION When the form is signed and witnessed, place the completed form into the pre-addressed envelope furnished, (DSA Form 703), seal the envelope si n across the l fl , g enve ope ap on the line provided, and affix the date of -signature. Deliver the sealed envelope to your employer Immediatel y. 168 diy Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000`A#6~ r Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040001D&D 5220.22-M E. Department of Defense Personnel Security Questionnaire (Industrial) (Multiple Purpose). (DD Form 49) tives of his spouse who are residing in Com- munist countries. d. An immigrant alien being considered for a personnel security clearance. This form shall be used in making applica- tion for: a. A U.S. citizen being considered for a TOP SECRET personnel security clearance. b. A U.S. citizen being considered for any level of clearance when the individual advises he (she) is a representative of a foreign interest. e. A citizen of Canada or the U.K. being processed for a Reciprocal clearance. 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. How- ever, forms which pertain to OODEPs and which are submitted in conjunction with the facility security clearance application, or as a change thereto, shall be mailed to the cog- nizant security office. Append Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 169 Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400M 5220.22-M DEPARTMENT OF DEFENSE I FORM OP PROVED DATE PERSONNEL SECURITY QUESTIONNAIRE (INDUSTRIAL) (Multiple Purpose) OMB NO, 22-R003 FORM 49 DD 7 I. LAST NAME - FIRST NAME - MIDDLE NAME 2. SEX 1 FEB 74 USE 1 JUL 69 EDITION UNTIL EXHAUSTED 3. ALIASES/ AND ALL FORMER NAME(S) 4. SOCIAL SECURITY NUMBER PART I 5. MONTH, DAY, YEAR OF BIRTH 6, PLACE OF BIRTH 7. SERVICE NUMBER INSTRUCTIONS TO EMPLOYEE: DO NOT FILL IN ANY PORTION OF THIS FORM UNLESS YOU ARE EMPLOYED AND ON THE PAYROLL OF THE EMPLOYER FROM WHOM YOU RECEIVE THIS FORM. This form is in four (4) parts. Part II must be completed by your employer before you complete the other parts. You must complete Part III in private. Before filling in any part, you should familiarize yourself with all questions. Do not sign this form without first reading the instructions in Part IV. TYPE OR PRINT ALL ANSWERS. If more space is required, attach additional sheets, identifying by corresponding block number. FORM WILL NOT BE ACCEPTED UNLESS COMPLETELY AND PROPERLY EXECUTED. Questions which do not apply shall be marked "None." 8. RELATIVES DATE AND PLACE OF BIRTH PRESENT ADDRESS CITIZENSHIP a. FATHER b. MOTHER (Full Maiden Name) c. SPOUSE (Full Maiden Name) 9. RESIDENCES (List all from 18th birthday or during past 15 years, whichever is shorter. If under 18, list present and most recent addresses.) a. FROM b. TO c. NUMBER AND STREET d. CITY e. STATE 10. EMPLOYMENT (List all from 18th birthday or during past 15 years, whichever is shorter. If under 18, list present and most recent employment) a. FROM b. TO C. EMPLOYER d. PLACE it. LAST CIVILIAN SCHOOL a. FROM b. TO IC,NAMF- d. PLACE PART II (TO BE COMPLETED BY EMPLOYER) ND ADD ADDRESS OF EMPLOYER (11 a Subsidiary, Include name of NA E c TQt pa rent o Defense Industrial Security Clearance Office Defense Supply Agency Box 2499 Columbus, Ohio 43216 JOB TITLE AND DESCRIPTION OF EMPLOYEE'S DUTIES WHICH REQUIRE ACCESS TO CLASSIFIED CONTRACT NUMBER. WHEN INFORMATION APPLICABLE SECURITY CLASSIFICATION OF MATERIALS OR INFORMATION EMPLOYEE WILL HAVE ACCESS TO IF SUBJECT IS AN IMMIGRANT ALIEN, HAS HE PRESENTED ALIEN REGISTRATION RECEIPT CARD (Form 1-151)? Q YES Q NO I CERTIFY THAT THE ENTRIES MADE BY ME ABOVE ARE TRUE' SIGNATURE OF EMPLOYER OR DESIGNATED REPRESENTATIVE COMPLETE, AND CORRECT TO THE BEST OF MY KNOWLEDGE AND BELIEF AND ARE MADE IN GOOD FAITH. Append oved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 171 DOD 5220.22-approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 PART I (Continued) 12, EDUCATION (Account for all civilian schools and military academies) YEARS (Month if known) GRADUAT E FROM TO A N D YES NO DEGREE 13. CITIZENSHIP ARE YOU A CITIZEN OF THE UNITED STATES? Q YES Q NO (If answer is "YES", complete Item a and b or c, if appropriate.. If answer is "NO", complete it.. d.) a. I AM A CITIZEN OF THE UNITED STATES BY REASON OF, 0 BY BIRTH IN THE UNITED STATES 0 BY NATURALIZED CITIZENSHIP* Q BY BIRTH IN A FOREIGN COUNTRY OF UNITED STATES PARENTS Q BY DERIVATIVE CITIZENSHIP e 4 if checked complete either "Citizenship by Naturalization" or "Citizenship by Derivation" Section below. b. CITIZENSHIP BY NATURALIZATION e WHERE NATURALIZED (City, County, State) DATE NATURALIZED COURT CERTIFICATE NUMBER c? CITIZENSHIP BY DERIVATION4 PARENT'S NAME PARENT'S CERTIFICATE NUMBER d. IMMIGRANT ALIENS ONLY COMPLETE THIS ITEM. U. S. CITIZENS SEE ITEM 13a. (1) ALIEN REGISTRATION NO. 121 CITIZEN OF WHAT COUNTRY ( 3) DATE AND PLACE OF LAST ENTRY INTO U. S. (4) DATE PETITION OF NATURALIZATION FILED (e) DATE AND COURT OF ISSUANCE le) NUMBER 17) DO YOU INTEND TO BECOME A UNITED STATES CITIZEN? 0 YES ONO 14. ORGANIZATIONAL MEMBERSHIP LIST ALL ORGANIZATIONS EXCEPT LABOR UNIONS AND EXCEPT ORGANIZATIONS REFERRED TO IN ITEM 27 BELOW IN WHICH YOU HOLD OR HAVE HELD MEMBERSHIP. IF NONE. SO STATE. NAME AND ADDRESS TYPE OFFICE HELD FROM (Date) TO (Date) IS. MILITARY SERVICE a. COUNTRY BRANCH OF SERVICE SERVICE NUMBER FROM (Date) TO (Date) b. ARE YOU A MEMBER OF A RESERVE COMPONENT? O YES NO (It answer Is "YES", furnish service, component and current status under Item 21, "Remarks",) c. LOCAL DRAFT BOARD (United States) AND ADDRESS d. SELECTIVE C SERVICE NO. . CLASSI FI? CATION 172 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040 p1,ildix I Approved For Release 2002/08/21 : CIA-RDP94B01041 R0003000400&1025220.22-M IC. PREVIOUS CLEARANCE a. HAVE YOU EVER BEEN PREVIOUSLY GRANTED?A SECURITY CLEARANCE? (1f answer I. "YES", indicate level of clearance, when granted, by whom end where employed of that it.. under It.. 21, "Remark.".) 0 YES ONO b. HAVE YOU EVER TERMINATED EMPLOYMENT WHILE A REQUEST OR APPLICATION FOR A SECURITY CLEARANCE WAS PENDING? (11 answer In "YES", furnish name and address of employer under "Remarks". If termination resulted from a reduction in force, ea indicate And furnish details under "Remrks". If you since have been granted a clearance by the Government, indicate under Item 21, "Remarks" the data, level of clearance and where employed.) Q YES Q NO 17. OTHER RELATIVES LIST CHILDREN, BROTHERS. SISTERS (16 year. and older) AND FORMER SPOUSEISI, RELATION NAME IN FULL (Enter "decc..sad" tl nc PLACE AND DATE PRESENT on .I living) OF BIRTH CITIZENSHIP b. LIST OTHER LIVING RELATIVES AND RELATIVES OF SPOUSE WHO ARE NOT UNITED STATES CITIZENS. IS. FOREIGN COUNTRIES VISITED OR RESIDED IN CITY AND COUNTRY T PURPOSE AND TYPE OF VISA LEFT U.S. RETURNED U. .. 19. LIST EACH FOREIGN GOVERNMENT, FIRM, CORPORATION OR PERSON FOR WHOM YOU ACT OR HAVE ACTED AS A REPRESEN- TATIVE OFFICIAL OR EMPLOYEE IN THE FAST S YEARS. LIST ALL COMMUNIST GOVERNMENTS, FIRMS OR CORPORATIONS WH6M O MSCRIBANG EACH AFFILIACTED IN IO ISUC CAPACITY. AT ACH A STATEMENT. AS REQUIRED, EY PARAGRAPH 20k. SM. FO 20. REFERENCES (Oive five personal referenc Stating business address of all referencos, if known. Do not include relative., former employer.. or persons living outside the United State..) NAME YEARS STREET AND NUMBER CITY STATE KNOWN 21. REMARKS (If additional apace to needed, Door nue on plain paper. FURTHER INSTRUCTIONS: DO NOT COMPLETE PARTS III OR IV AT THIS TIM.. Return this partially Complete.' form to er who will review it to assure all entries are complete and the form i> properly filled in. After return, proceed with our em lo y p y f P t d IV l i III an on o ar s . comp et Apperk Rroved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 173 DOD 5220.22-Ipproved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 PART III Complete the items below in private. The answers or statements in this Part are privileged in ormation between you and the Government. You should enter in Item 28 any information relating to your answers which might require further explanation, or any additional information which may have a bearing on your security clearance, 22. HAVE YOU EVER BEEN ARRESTED, CHARGED, OR HELD BY ANY LAW ENFORCEMENT AUTHORITIES FOR ANY VIOLATION O ANY LAW, REGULATION OR ORDINANCE? INCLUDE ALL COURTS-MARTIAL. DO NOT INCLUDE ANYTHING THAT HAPPENED BEFORE YOUR 16TH BIRTHDAY. DO NOT INCLUDE TRAFFIC VIOLATIONS FOR WHICH THE ONLY PENALTY IMPOSED WAS A FINE OF $25.00 OR LESS. ALL OTHER CHARGES MUST BE INCLUDED EVEN IF THEY WERE DISMISSED. Q YES NO IF "YES", GIVE DATE AND PLACE, CHARGE, AND DISPOSITION: 23, WHAT TYPE OF DISCHARGE DID YOU RECEIVE, IF ANY, FROM MILITARY SERVICE? 24. HAVE YOU EVER HAD A SECURITY CLEARANCE SUSPENDED, DENIED, OR REVOKED' (lf answer I. "YES", indicate level of clearance, when suspended, denied or revoked, by whom and where employed under Item 28, "Remarks". If you since have been granted a clearance by the government, Indicate under Item 28, "Remarks", the date, level of clearance and activity which restored the clearance.) __ ~ YES n NO [ 25. YES NO u. DO YOU HAVE A HISTORY OF MENTAL OR NERVOUS DISORDERS' 6. ARE YOU NOW OR HAVE YOU EVER BEEN ADDICTED TO THE USE OF HABIT FORMING DRUGS SUCH AS NARCOTICS OR BARBITURATES' ARE YOU NOW OR HAVE YOU EVER BEEN A CHRONIC USER TO EXCESS OF ALCOHCLIC BEVERAGES' (If answer to any of the above is 11YES"". explain. Give names and addresses of hospitals, clinics, sen itorium s, and physicians who have examined or treated you for such conditions.) 26. AUTHORITY TO RELEASE MEDICAL INFORMATION I HEREBY GRANT PERMISSION TO THE DEPARTMENT OF DEFENSE TO OBTAIN AND REVIEW COPIES OF MY MEDICAL ANO INSTITUTIONAL RECORDS RELATING TO CONDITIONS LISTED IN ITEM 25 AND TO QUESTION THOSE WHO HAVE EXAMINED OR TREATED ME THEREFOR. SIGNATURE OF EMPLOYEE DATE 27. ORGANIZATIONAL MEMBERSHIP YES NO a. ARE YOU NOW. OR HAVE YOU EVER BEEN A MEMBER OF THE COMMUNIST PARTY U.S.A.. THE COMMUNIST POLITICAL ASSOCIATION. THE YOUNG COMMUNIST LEAGUE, OR ANY COMMUNIST ORGANIZATION, b. AREYOU-NOW OR HAVE YOU EVER BEEN A MEMBER OF ANY FOREIGN OR DOMESTIC ORGANIZATION. ASSOCIATION MOVEMENT. GROUP. OR COMBINATION OF PERSONS WHICH IS TOTALITARIAN, FASCIST, COMMUNISTIC. OR SUBVER. SIVE. OR WHICH HAS ADOPTED. OR SHOWS. A 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' IF YOUR ANSWER TO EITHER OF THE ABOVE QUESTIONS IS"YES", LIST IN ITEM 28, THE NAMES OF ALL SUCH ORGANIZATIONS, ASSOCIATIONS. MOVEMENTS. GROUPS OR COMBINATION OF PERSONS AND CATES OF MEMBERSHIP GIVE COMPLETE DETAILS OF YOUR ACTIVITIES THEREIN AND MAKE ANY EXPLANATION YOU DESIRE REGARCING YOUR MEMBERSHIP OR ACTIVITIE5. 28. REMARKS (Use the space provided below and attach additional sheets, if necessary.) (COMPLETE PART IV ON REVERSE SIDE OF ORIGINAL COPY) 174 Appendix I Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M PART IV IMPORTANT NOTICE: Your signature on the following certification must be witnessed; the witness may be an employee of your firm. Prior f d h f l f not see any portion o ol t e orm so that the witness to your signature wil to s x ng your signature to the form, remove all carbons, Part III of the completed Personnel Security Questionnaire. Sign and date the form In the presence of the witness. Have the witness affix his signature and his address to the appropriate blocks on the form. NOTE: PENALTY FOR MISREPRESENTATION- Failure to answer all questions, or any misrepresentation (b omission or concealment, serve as a basis for d adi r arti s r b i l fal l i l f l f t l ifi d D t t D ng, p an wers) may en a earance or access epar efense o y m s e se, o a o c o c ass e men of information. In addition. Title 18, United States Code 1001, makes it a criminal offense, punishable by a maximum of 5 years imprisonment, t l k l h d l ll D A d S e a fa se sta , knowing y an y to ma ement or representation to any epartment or gency of the Unite tates $10,000 fine, or bot wil fu t c D t A h U i hi h i di i i d S epar men or gen e jur on of any y of t e as to any matter w t n t s ct n te tates. This includes any statement knou-ingly and willfully made by employer or employee herein which is knowingly incorrect, incomplete or mis- resents himself to be a articular - Title 18 United States Code 911 states "whoever falsel and willfull re citizen of leadin in an im ortant y y p . y p p g the United Stales shall be fined not more than $ 1,000 or imprisoned not more than three years, or both'. CERTIFICATION WARNING: Read every sentence of the Certification before signing. I certify that my above answers are true, complete, and correct to the b i f l t t d e se sta ma y on or a emen tbes of my knowledge and belief, and are made In good falth I certify that (know that any misrepresentat me herein may subject me to prosecution under Section 1001 of the United States Criminal Code, with penalties up to five (5) years imprison- ment and $1Q,000 fine, and provide a basis for denial of security clearance. I certify that I have read and understand each sentence of this Certification. SIGNATURE OF WITNESS SIGNATURE OF EMPLOYEE DATE OF SIGNATURE ADDRESS OF WITNESS(City, County, State) INSTRUCTIONS TO EMPLOYEE UPON COMPLETION OF ABOVE Now that the form is signed and witnessed, place It in the pre-addressed envelope furnished (DSA Form 703). together with the completed FD Form 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. Appe f5rloved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 175 Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040?R1 12 DoD 5220.22-M F. Contract Security Classification Specification (DD Form 254) 1. The completed DD Form 254, attach- ments and supplements, as applicable, is the basic document by which classification, re- grading and declassification specifications are documented and provided to prime and subcontractors. It is designed to indicate by a combination of a check list and narrative comment, the classified areas of information involved in the classified effort,, and par- ticularly to identify the specific items of information which require security classifica- tion protection. Responsibility for prepara- tion of the prime contract DD Form 254 rests with the contracting officer or his designated representative of the User Agency concerned but the assistance of the contractor is en- couraged. Based upon the classification guid- ance 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 classi- fied subcontract, other than service, graphic arts, research or commercial carrier sub- contracts (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 annual. review has re- sulted in no change in the existing specifica- tion, he shall reaffirm guidance to each sub- contractor. The prime contrdctor does this by providing a true copy of the notice of reaffirmation received by the prime con- tractor 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 func- tional matter which is to be protec, thus providing, for example, the answer to the question of "What is there about a specific item of hardware which causes it to be classi- fied?" 3. Whenever the prime contractor will be required to use classified GFE or GFP in the performance of the contract, the contracting officer or his representative shall inform the prime contractor what information requires protection by furnishing a DD Form 254 or other appropriate notification for each item of classified GFE or GFP to be used. The same procedure shall be followed in those instances where previously classified equip- ment is not Government furnished but where the prime contractor is authorized to pur- chase such classified equipment for use in the performance of his contract. 4. Items 1 through 14 and item 16 of the DD Form 254 provide the general adminis- trative and contractual information pertain- ing to the classification specification of the classified effort. Item 15 of DD Form 254 and any supplements and attachments are used to provide the specified classification, downgrading and declassification informa- tion. Each item of the DD Form 254 is to be completed ; N/A shall be shown for items which are not applicable. Classified informa- tion should not be entered on the DD Form -own 254. Classified information should be trans- mitted separately and appropriate reference entered in item 15 of the DD Form 254. The following numbered instructions correspond to the numbered items on the DD Form 254: a. 1. Insert highest level of clearance re- quired for access to classified in- formation in performance of the classified effort. Appendix I 177 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M If the facility requires a clearance higher than the current clearance, the prime contractor may request the appropriate cognizant security office to upgrade the subcontrac- tor's facility clearance. swo b. 2. Check item a., b., or c., as applica- ble. .m- c. 3. In item 3a, enter the User Agency prime contract identification num- ber. In addition, if this DD Form 254 is for a subcontract of the first tier, enter in item 3b the identifi- cation number of the first tier sub- contract. For second tier and be- yond subcontracts, enter in item 9a or 15, as applicable, the identification number and esti- mated date of completion or ter- mination of the subcontract. If item 3c is used, enter appropriate data identifying 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/subcontract to be awarded, annotate item 110 "Re- marks" to indicate that pre-award access is not required and the DD Form 254 indicates classification guidance for the contract/subcon- tract to be awarded. When re- issuing a currently valid subcon- tract DD Form 254 for a follow-on subcontract, indicate the new sub- contract number in item 3b. d..4. Furnish date for a, b., or c., as ap- plicable. w.y e. 5. Check item a., b., or c., as appli- - f. 6. cable and provide complete date. For item b., also show revision number. Check "yes" or "no", as applicable. If "yes", complete items a., and b., and in item c., indicate whether ac- countability is or is not transferred. ..,,,,W g. 7. If there is a prime contract, com- plete items a., b., and c., to show the complete name, address and FSC number of the prime contractor's facility which will receive classi- fied information in the performance of the prime contract listed in item 3a., and the cognizant security office of that facility. If there is no prime contract and item 3c is completed, enter instead in items a., b., and c., the name, address and FSC num- ber of the contractor's facility to which this DD Form 254 is to be sent in connection with the FRP, RFQ, or IFB, and the cognizant security office of that facility. h. 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 subcontractor's facility which will receive classified information in performance of the subcontract listed in item 3b. If there is no first tier subcontract and item 3c is completed, enter in- stead the name, address, and FSC number of the subcontractor's fa- cility to which this DD Form 254 is to be sent in connection with the RFP, RFQ, or IFB, and the cogni- zant security office of that facility. 4mm i. 9. If there is a second tier subcon- 0- tract, complete items a., b., and c., to show the complete name, ad- dress and FSC number, and cog- nizant security office of the sub- contractor's facility which will receive classified information in performance of the subcontract listed in item 3b. In item 9a., also provide the second tier- subcontract number and estimated date of com- pletion. If there is no second tier subcontract and item 3c is com- pleted, enter instead the name, ad- dress and FSC number of the fa- cility to which this DD Form 254 is to be sent in connection with the RFP, RFQ, or IFB, and the cog- w 178 p Approved For Release 2002/08/21 : CIA-RDP94B01041 R00030004~~?b - I Approved For Release 2002/08/21 : CIA-RDP94B01041 R000300040ffi112 DoD 5220.22-M ..., . nizant security office of that fa- cility. 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 cogniz- ant security office of that facility. 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 DoDAAD number of the Government procuring activity (identified in item 16d). For sub- contracts the DoDAAD number will be that assigned. the ACO. Where DD Forms 254 are approved by a contractor, item b will be an- notated "N/A". Information per- taining to the DoDAAD number, six digits, is published in the DoD Activity Address Directory, DoD 4000.25-D, and a microfiche listing may be purchased from the GPO. The contractor may also contact his cognizant security office which has the listing. Under item c., check appropriate block to indicate whether or not contract prescribes security requirements which are additional to those described in the DD Form 441 and this Manual. If applicable, the User Agency shall furnish a copy of the special se- curity requirements to the contrac- tor, the ACO, if any, and the cog- nizant security office. Under item d., check appropriate box to indi- cate if any elements of the contract are outside the inspection responsi- bility of the cognizant security office. 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 re- strictions are respected. Appendix I k. 11. Check appropriate box for each a item listed. Use the "Remarks" block to elaborate as necessary.' If DDC or Defense Information Analysis Center services are re- quested, the DD Form 1540 and DD Form 1541 should be prepared and processed in accordance with corn- ponent implementations of DoD In- struction 5200.21. Whenever pos- sible, the DD Form 1540 should be prepared and forwarded simul- taneously with the DD Form 254. : i. 12. In subcontracting situations, item b will contain the signature and typed name and title of the security supervisor of the facility issuing the subcontract. Inquiries pertain- ing to classification guidance, deter- minations or interpretations shall be directed to this official. m. 13. Subcontractors of all tiers shall be 4- instructed via item b., to submit proposed public releases through the prime contractor listed in item 7a., who will process the release in accordance with the guidance pro- vided in the DD Form 254 for the prime contract. n. 14. Read and closely observe the in- r structions 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 classi- fied effort. Classified narratives or guides shall always be transmitted under 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 z 1The 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 security clearance. Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 CH 1 Approved For Release 2002/08/21 : CIA-RDP94B01041R000300040001-2 DoD 5220.22-M 15 the appropriate instructions from paragraph 60h or paragraph 7-102d(4), ISR. (See paragraph 5 below for an explanation of com- monly 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 annual review of DD Form 254 is required. --w o. 15. To be used for remarks, as ap- propriate. 16. The contracting officer or his au- thorized designee, after reviewing the DD Form 254 to insure ade- quacy, will affix his signature in item c., and items b., d., and e., will be completed to furnish ap- propriate identifying information concerning the approving official. -0 5. Narratives or classification guides used to provide 'the security classification specifi- cation and the downgrading/declassification instructions should clearly identify the spe- cific details of information which warrant security protection against unauthorized dis- closure. It is important to assure that state- ments of classification are clear enough to be easily understood and applied readily in de- termining which items of information in the contractual effort require a security classifi- cation. To assist the writer and user of the security classification specification, there are listed below several terms which are com- monly used in the description of that infor- mation which may require classification, together with their generally accepted mean- ings. However, this does not preclude in- clusion of terms devoted to a particular classified effort or an additional page (s) of the narrative/guide. -wo a. Accuracy. Precision with which the de- signed function is performed. .*.o b. Altitude. The vertical distance of a level, a point, or an object considered as a (1) Maximum-altitude beyond which performance is not possible. (2) Minimum-altitude below which performance is not possible. (3) Optimum-altitude spread at which 4 performance is most satisfactory or effective. c. Blast Effect. Destruction of or damage r 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 groundshock effects of a projectile or charge which goes off beneath the surface. d. Circular Error Probability. An indi- cator of the delivery accuracy of a weapon system, used as a factor in determining prob- able damage to a target. It is the radius of a circle within which half of the missiles/pro- jectiles are expected to fall. Ono e. Command and Control System. The fa- 0- cilities, equipment communications, proced- ures, and personnel essential to a commander for planning, directing and controlling oper- ations of assigned forces pursuant to the mis- sions assigned. f.. f. Counter- Countermeasures Capability. r Design features of the end item which are intended specifically to overcome enemy in- terference. (Electronic counter-countermea- sures is that division of electronic warfare involving actions taken to insure friendly effective use of the electro-magnetic spec- trum despite the enemy's use of electronic warfare. Electronic countermeasures is that division of electronic warfare involving ac- tions taken to prevent or reduce an enemy's effective use of the electro-magnetic spec-
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