NATIONAL SECURITY INFORMATION HANDBOOK
440-3-H
Prepared by the Administrative Division
February 1991
FOREWORD
This National Security Information Handbook (440-3-H) supplements SM 440.3, National Security Information and establishes uniform standards and operating procedures for safeguarding and controlling classified documents and information. No information contained in the Handbook is intended to alter any provision of any Federal law or executive order, or national or Department of the Interior directive. Users of this Handbook are encouraged to submit suggestions for its improvement to the USGS Security Officer.
Date:
TABLE OF CONTENTS
1 CLASSIFICATION, DECLASSIFICATION AND DOWNGRADING
Duration of Original Classification
Authority to Apply Derivative Classification
Derivative Classification Procedures
Reporting Derivative Classification Decisions
Limitations on Classifying Information
Classification Authority and Declassification or Downgrading Instructions
Dissemination and Reproduction Limitations
Changes in Classification Markings
Foreign Government Information
Intelligence Sources or Methods
Not Releasable to Foreign Nationals(NOFORN)
Not Releasable to Contractors/Consultants
(NOCONTRACT)
Dissemination and Extraction Information Controlled by Originator(ORCON)
Photographs, Films, and Recording
Motion Picture Films and Video Recordings
Decks of Machine Punched Cards
ADP and Word Processing Storage Media
Documents Produced by ADP Equipment
Material Used for Training Purposes
Working Papers and Classified Waste Materials
Special Access Program Materials
Marking Information Extracted from Old Material
Visit Request from Other Agencies
Figure 3-1 Sample Classified Visit Request
Figure 3-2 Sample Department of Energy Request for Visit or Access Approval
Transmittal Outside USGS Facilities
Transmittal Within USGS Facilities
Hand-carrying Classified Information
Hand-carrying Classified Information Aboard Commercial
Passenger Aircraft
Figure 4-1 Sample Authorization to Handcarry Classified Information
Figure 4-2 Sample Classified Information Courier Designation
Accountability of Classified Information
Unclassified Title or Description
Serialization and Copy Numbering
Secret and Confidential Information
Unclassified Title or Description
Figure 5-1 Classified Document Register
Figure 5-2 Top Secret Disclosure Record
Figure 5-3 Classified Material Receipt
Figure 5-4 Certificate of Destruction for Classified Material
Figure 6-1 Activity Security Checklist
7 REPRODUCTION AND DESTRUCTION
Reproduction of Classified Information
Destruction of Classified Information
Melting, Chemical Decomposition,
Mutilation
Storage of Top Secret Information
Storage of Secret and Confidential
Security Repository Information
Security Container Information
Security Container Check Sheet
Figure 8-1 Sample Security Container Information
Figure 8-2 Sample Security Container Check Sheet
Figure 8-3 Sample Open-Closed Signs
9 SECURITY VIOLATIONS AND COMPROMISE
Violations Subject to Sanctions
Figure 9-1 Format for Loss or Compromise Investigation
Sensitive Compartmented Information
Sensitive Decompartmented Information
Request for Special Access to SCI and SDI
11 AUTOMATED INFORMATION SYSTEMS PROCESSING
Automated Data Processing (ADP) Security
Office Information Systems Security
Standalone Office Information Systems
Secure Telephone Unit III (STU-III)
Crypto Ignition Key (CIK) Protection
Use with Facsimile (FAX) Machines
Determination of the Facility Security Clearance and/or Safeguard Ability of a Contractor
Request for Facility Security Clearance for Uncleared Contractors
Responsibilities Prior to Award of a Classified
Contract
Contract Messenger and Mail Room Services
15 SECURITY INSPECTION/PROGRAM EVALUATIONS
Custodians, Control Officers, and Special Security Officers
FIGURES
Figures 3-1 Sample Classified Visit Request
Figures 4-1 Sample Authorization to Hand-carry Classified Information
4-2 Sample Classified Information Courier Designation
Figures 5-1 Classified Document Register
5-2 Top Secret Disclosure Record
5-3 Classified Material Receipt
5-4 Certificate of Destruction for Classified Material
Figure 6-1 Activity Security Checklist
Figure 8-1 Sample Security Container Information
8-2 Sample Security Container Checksheet
8-3 Sample Open-Closed Sign
Figure 9-1 Format for Loss or Compromise Investigation
APPENDIXES
Appendix A SM 440.3 National Security Information
Appendix B Security Inspection Checklist
CHAPTER 1. CLASSIFICATION, DECLASSIFICATION AND DOWNGRADING
A. Except as provided in the Atomic Energy Act of 1954, Executive Order 12356 provides the only basis for classifying national security information. Responsible individuals shall make USGS information available to the public to the extent possible consistent with the need to protect the national defense or foreign relations as required by the interest of the United States and its citizens. Accordingly, security classification must be applied only to protect the national security.
B. Original classification determination may only be made by designated classification authorities and delegated by specifically designated officials pursuant to Executive Order 12356. Before an original classification determination is made, the classification authority must identify exactly each item of information that requires protection. This requires identification of that specific information which comprises the basis for a particular national advantage which, if the information was compromised, would or could be damaged, minimized, or lost, thereby adversely affecting the national security.
A. Information which requires protection against unauthorized disclosure in the interest of national security is classified at one of the following three levels:
(1) Top Secret is applied only to information, the unauthorized disclosure of which reasonably could be expected to cause exceptionally grave damage to the national security.
(2) Secret is applied only to information, the unauthorized disclosure of which reasonably could be expected to cause serious damage to the national security.
(3) Confidential is applied only to information, the unauthorized disclosure of which reasonable could be expected to cause damage to national security.
B. Terms other than "Top Secret," "Secret," and "Conf idential" shall not be used to identify National Security Infor mation. No other term or phrase shall be used in conjunction with those markings, such as "secret sensitive", or "agency confidential" to identify non-classified executive branch information.
A. Authority. Only officials specifically designated in Executive Order 12356, may exercise or delegate original classification of information as Top Secret, Secret, or Confidential. Original Classification authority has not been delegated to any Department of the Interior official.
B. Exceptional Cases. When an employee, contractor, licensee, or grantee of the USGS originates information believed to require classification, the information will be protected in a manner prescribed by SM 440.3 and this Handbook. The information will be transmitted promptly under safeguards to the agency having appropriate subject matter interest and classification authority with respect to this information. If it is not clear which agency should review the information, it will be sent through the USGS Security Officer to the Director of the Information Security Oversight Office for a determination. Requests for classification determination will include the degree of classification the originator believes shall be assigned and the rationale. In any such case, the following marking will be placed on a cover sheet with the subject or title:
CLASSIFICATION DETERMINATION PENDING
PROTECT AS THOUGH CLASSIFIED
(CONFIDENTIAL, SECRET, TOP SECRET)
(cross out as applicable)
Additional markings are not required until the classification opinion is received.
(1) Information may be classified when it concerns one or more of categories (a) through (j) below, and when the unauthorized disclosure of the information, either by itself or in the context of other information, reasonably could be expected to cause damage to the national security. The criteria for classification include:
(a) military plans, weapons, or operations;
(b) the vulnerabilities or capabilities of systems, installations, projects, or plans relating to the national security;
(c) foreign government information;
(d) intelligence activities (including special activities), or intelligence sources or methods;
(e) foreign relations or foreign activities of the United States;
(f) scientific, technological, or economic matters relating to the national security;
(g) United States Government programs for safeguarding nuclear materials or facilities;
(h) cryptology;
(i) a confidential source; or
(j) other categories of information that are related to the national security and that require protection against unauthorized disclosure as determined by the President or by other officials who have been delegated original classification authority by the President.
(2) A compilation of unclassified items of information may be classified if the compilation provides an added factor which warrants classification under paragraph 4C(1) above. Information associated with other unclassified or class ified information may also warrant classification. Class ification on this basis must be supported by a written explanation maintained with the file or referenced on the record copy of the information.
(3) Unauthorized disclosure of foreign government information, the identity of a confidential foreign source, or intelligence sources or methods is presumed to cause damage to the national security. (NOTE: Information provided to the USGS by a foreign government
official or agency with a request that the information be held in confidence is by definition classified national security information and the provision of paragraph 3B above applies).
(4) Foreign government information need not fall within any other classification category listed in paragraph 3C(1) above to be classified.
(5) Information classified in accordance with paragraph 3C(1) above must not be declassified automatically as a
result of any unofficial publication or inadvertent or unauthorized disclosure in the United States or abroad of identical or similar information.
D. Duration of Original Classification.
(1) Information shall remain classified as long as its unauthorized disclosure would result in damage to the national security. The original classification authority should determine a specific date or event for declassification at the time the information is originally classified.
(2) Automatic declassification markings applied under predecessor orders will remain valid unless the classification is extended by an authorized declassification authority. These extensions can be by individual documents or categories of information. The declassification authority must notify holders of the information of any such extensions.
(3) Information classified under Executive Order 12065 or other predecessor orders and marked for declassification shall remain classified until reviewed for declassification under the Systemic or Mandatory Review provisions of Executive Order 12356.
4. Derivative Classification. Unlike original classification, derivative classification is an incorporation, paraphrasing, restatement, or generation in new form of information that is already classified.
A. Authority to Apply Derivative Classification. Employees originating the production or generation of classified
information must be specifically designated in writing, and possess an appropriate level of security clearance. Deriv ative Classification Authority designations shall be submitted by supervisors to the USGS Security Officer with the identificat ion of the classified project(s), sponsor agency(s), and highest classification level to be applied.
B. Derivative Classification Procedures.
(1) Classification is derived from information in a previously classified source document or from a classification guide. However, derivative classification
still requires that judgments be made, such as whether the new document actually contains specific information which the original classification authority considered to be classified. The derivative classifier must respect and comply with the classification decision reflected in the source document or classification guide.
(2) The overall classification markings and portion markings of the source document should supply adequate classification guidance to the derivative classifier. If portion markings or classification guidance are not found in the source and no reference is made to an applicable classification guide, obtain guidance from the originator of the source document. In the absence of such markings or guidance, classify the extracted information using the overall classification of the source document.
(3) Carry forward the declassification date or event assigned to the source information to the newly created document. In the case of multiple source documents, use the declassification date covering the greatest duration.
(4) Maintain a copy of the source document(s), or information identifying the source document(s), with the record or file copy of the newly created document.
C. Reporting Derivative Classification Decisions. The number of derivative classified documents generated will be reported annually for the period ending September 30, by classification category to the USGS Security Officer for consolidation and forwarding to the Chief, DESM, DOI, in accordance with the provisions of SM 440.3.16C(2).
5. Classification Guides. A classification guide is written guidance that is issued for particular programs, projects, or classes of document by the original classification authority to ensure proper and uniform classification of information. Project managers of classified projects sponsored by other Government agencies should request appropriate classification guides for the projects undertaken by USGS components. Each guide should:
A. state exactly what information is classified as national security information;
B. state which classification level applies to the information;
C. state the duration of classification in terms of a period of time or future event, or a notation that the information
should not be automatically declassified without the approval of the originating agency, and;
D. if applicable, cover specifically each phase of transition, i.e., research, development, test and evaluation, procurement, production, service use, and obsolescence, with changes in classification to reflect the changing sensitivity of the information involved.
6. Limitations on Classifying Information.
A. Classification may not be used to conceal violations of law, inefficiency, or administrative error; to prevent embarrassment to a person, organization, or agency; to restrain competition; or to prevent or delay the release of information that does not require protection in the interest of national security.
B. Information may be classified or reclassified after receipt of a request for it under the Freedom of Information Act, or the Privacy Act of 1974, or the mandatory review provision of Executive Order 12356, if its classification is consistent with Executive Order 12356 and is authorized personally on a document-by-document basis by the original classification authority.
C. Classification may be restored by the original classification authority to documents already declassified and
disclosed if a determination is made in writing that the information requires protection in the interest of national security, and it can reasonably be recovered.
D. Basic scientific research information not clearly related to the national security may not be classified.
7. Declassification Authority.
A. Information that continues to meet the classification requirements prescribed in paragraph 3C despite the passage of time must continue to be safeguarded. However, information that is properly classified at the time it is developed may not necessarily require protection indefinitely.
B. If the Director of the Information Security Oversight Office determines that information is classified in violation of Executive Order 12356, the Director may require the agency that originally classified the information to declassify it. Any such decision by the Director can be appealed to the
National Security Council. Information must remain classified until the appeal is decided.
8. Declassification Procedure.
A. Information marked with a specific declassification date or event will be declassified on the date or upon occurrence of that event. Line through the overall classification markings and place a statement on the cover or first page to indicate the declassification authority, by name and title, and the date of declassification. If practicable, cancel the classification markings on each page; otherwise, the statement on the first page should indicate that the declassification applies to the entire document.
B. When information is determined to be no longer damaging to national security, it may continue to be exempt from public disclosure by law, i.e., Privacy Act. If so, when the information is declassified, it should be provided appropriate protection. In some instances, it may be necessary to indicate that all or portions of the information are For Official Use Only or Limited Official Use and to cite the authority which prohibits disclosure.
C. Notification to Holders.
(1) When classified information has been properly marked with specific dates or events for declassification, it is not necessary to issue notices of declassification to any holders. However, when declassification action is taken earlier than originally scheduled, or the duration of classification is extended, the authority making such changes must promptly notify all holders to whom the information was originally transmitted.
(2) This notification should include the marking action to be taken, the authority for the change (name and title), and the effective date of the change.
(3) Upon receipt of notification, recipients should make the proper changes and should notify holders to whom they have transmitted the classified information.
A. Information designated a particular level of classification may be assigned a lower classification level by the original classifier or by an official authorized to declassify the same information.
B. Information marked with a specific downgrading date or event will be downgraded to the lower classification on the date or upon occurrence of that event. On the cover or first page, line through the old classification markings and stamp the material with the new lower classification level above the old markings. If practicable, line through the old classification and stamp the new classification level on each page; otherwise, the statement on the first page should indicate that the downgrading applies to the entire document. Upon receipt of notification that downgrading action is to be taken earlier than originally scheduled, place a statement on the cover or first page to indicate the downgrading authority, by name and title, and the date of downgrading.
1. Marking and Identification. Classified information must be marked, or otherwise identified, to inform and warn the holder of the information about its sensitivity. The classifier is responsible for ensuring that proper classification markings are applied.
(1) Overall Markings. Conspicuously mark, stamp, or permanently affix the highest level of classification of information in a document, i.e., Top Secret, Secret, or Confidential, at the top and bottom on the front cover (if any), on the title page (if any), on the first page, and on the outside of the back cover (if any). Apply classification markings in letters larger than three-eights inch in height.
(2) Page Marking. Mark or stamp each interior page of a classified document at the top and bottom with the overall classification of the document or the highest classification level of the content of the page, i,e., Top Secret, Secret, Confidential, or Unclassified.
(3) Portion Marking. Mark each section, part, paragraph, subparagraph, or similar portion of a classified document to show the level of classification of that portion or that it is unclassified. Show classification of portions of documents by placing the appropriate classification symbol immediately before or after the portion. In marking sections, parts, paragraphs, subparagraphs, or similar portions use the parenthetical symbols "(TS)" for Top Secret, "(S)" for Secret, "(C)" for Confidential, and "(U)" for Unclassified. Mark classified and unclassified subjects and titles with the appropriate symbol placed immediately following or to the right of the subject or title. Use an unclassified short title for reference purposes.
B. Classification Authority and Declassification or Downgrading Instructions. In addition to the classification level, all classified documents are marked on the face of the document by the original classification authority with the following:
(a) If the original classifier is other than the signer or approver of the document, the identity is shown on the document as follows:
"CLASSIFIED BY (name and title)"
(b) If the identify of the originating agency and office is not apparent on the face of a document, it shall be placed below the "CLASSIFIED BY" line.
(2) Derivative Classification.
(a) Documents classified derivatively by an authorized USGS derivative classifier on the basis of source documents or classification guides shall be marked on the face of the document as follows:
"DERIVATIVE CL BY (name and title)
$$$$ $$$$
$$$$DECL $$$$REVW ON (date or OADR) DERIVED FROM (Description of source document, classification guide, or multiple source)"
(b) Carry forward from the source document "Declassify on" line, or as directed by a classification guide the date or event for automatic declassification, or the notation "Originating Agency's Determination Required" (OADR) which indicates that the document is not to be automatically declassified.
(c) When deriving the classification from more than one source document, indicate "Multiple Sources" on the "Derived From" line, and identify the source documents on the file copy. If a single source document is marked, "Classified by Multiple Sources," identify the single source document on the "Derived From" line. The declassification date or event that provides the longest period of classification shall be used for documents classified on the basis of multiple sources.
(3) Downgrading Instructions. In addition to the derived classification markings, information to be downgraded automatically to a lower classification on a specific date
or upon occurrence of a specific event shall be shown on the face of the document as follows:
"DOWNGRADED TO (Classification level)
On (date or description of events)"
(4) Dissemination and Reproduction Limitations. Any special dissemination and reproduction limitations, if applicable.
2. Changes in Classification Markings. Whenever classified information is downgraded or declassified or the initial classification changes, mark the information to reflect the change as well as the authority for and date of the action. However, when the volume of information is such that remarking each classified item would interfere with operations, the custodian can attach downgrading, declassification, or upgrading notices to the storage unit. The notice should indicate the change, the authority for the action, the date of the action, the identity of the person taking the action, and the storage units to which it applies. When individual documents or other materials are withdrawn from such storage units, they should be promptly remarked or have the old markings cancelled. See Chapter 1, paragraph 8, for declassification procedures and Chapter 1, paragraph 9, for downgrading procedures.
A. A transmittal document is marked to show the highest level of classification of the information contained in the transmittal itself, it applicable, and in the material attached. A transmittal document that does not contain classified information must be marked with the highest level of classification of the attachments. The marking should appear at the top and bottom of the first page only. In addition to the classification marking place the statement, "Unclassified When Classified Enclosures are Removed," in the lower right corner of the first page.
B. Mark a transmittal document containing classified information, top and bottom, with the highest classification of the information transmitted by it, and a legend showing the classification of the transmittal document standing alone. For example, if the removal of the transmitted material will change the classification of the transmittal document itself, mark it: "Upon Removal of Attachments This Document Is (classification)." The transmittal must also be portion marked as prescribed for other classified documents.
A. Foreign Government Information.
(1) Mark documents that contain foreign government information with the marking, "Foreign Government Information." the abbreviation, "FGI," can be used. If the fact that the information is foreign government information must be concealed, the marking should not be used; the document would then be marked as if it were of U.S. origin.
(2) Documents need not be remarked as foreign government information when they bear foreign government or international organization markings such as, "NATO," OR "CENTO."
B. Intelligence Sources or Methods. Mark classified information relating to intelligence sources or methods, "Warning Notice--Intelligence Sources or Methods Involved," (abbreviated: WNINTEL). Information bearing this marking should not be disseminated in any manner to employees who do not have a need to know as determined by the Special Security Officer.
C. Restricted Data. Mark classified information containing Restricted Data, (Abbreviation: RD) as defined in the Atomic Energy Act of 1954, as amended, with the statement:
"RESTRICTED DATA"
This document contains Restricted Data as defined
in the Atomic Energy Act of 1954. Unauthorized disclosure
subject to Administrative and Criminal Sanctions."
D. Formerly Restricted Data. Mark classified information containing Formerly Restricted Data (Abbreviated: FRD), as defined in Section 142.d of the Atomic Energy Act of 1954, as amended, with the statement:
"FORMERLY RESTRICTED DATA"
Unauthorized disclosure subject to
Administrative and Criminal Sanctions.
Handle as Restricted Data in Foreign Dissemination,
Section 144.b., Atomic Energy Act, 1954."
E. Special Notations. Place any appropriate notations (e.g., special handling requirements, dissemination limitations, etc.) on the face of the document. Common caveats are as follows:
(1) Not Releasable to Foreign Nationals (NOFORN). This marking is used with security classification to identify intelligence information that cannot be released in any form to foreign governments, foreign nationals, or non-US citizens without the permission of the originator.
(2) Not Releasable to Contractors/Consultants (NOCONTRACT). This marking is used with a security classification to prohibit the dissemination of intelligence information to contractors or consultants with the permission of the originator.
(3) Dissemination and Extraction of Information Control by Originator (ORCON). This marking is used with a security classification to enable the originator to continually supervise the use the information.
5. Files, Folders, and Binders. Mark files, folders, and binders which contain classified information conspicuously on the exterior (front and back) according to the highest classification of the contents.
6. Other Materials. If possible, security classification and declassification instructions must be conspicuously stamped, printed, written, painted, or affixed by means of a tag, sticker, decal, or similar device on classified material other than paper copies of documents, and on containers of such material. If marking the material or container is not practicable, furnish written notification of the security classification and declassification instructions to recipients. The following procedures for marking various kinds of material containing classified information are not all inclusive and can be varied to accommodate the physical characteristics of the material containing the classified information. Safes and other security containers, which are routinely used to store classified documents, shall not bear a classification marking.
A. Charts, Maps, and Drawings. Charts, maps, and drawings must bear the appropriate overall classification marking under the legend, title block, or scale. Use portion marking to indicate the highest level of classification of the legend or title itself. Inscribe the highest level of classification at the top and bottom of each document. When folded or rolled
charts, maps, or drawings cover the classification markings, apply additional markings that are clearly visible when the document is folded or rolled.
B. Photographs, Films, and Recordings. Mark photographs, films (including negatives), recordings and their containers to alert a recipient or viewer that classified information is involved.
(1) Photographs. Mark negatives and positives whenever practicable with the appropriate classification level, authority, and declassification instructions. Mark the classification level at the beginning and end of each strip. All markings must be placed on containers of negatives and positives. When self-processing film or paper is used to photograph or reproduce classified information, remove all parts of the last exposure from the camera and destroy them as classified waste, or the camera should be protected as classified material. Mark prints and reproductions with the appropriate classification level; downgrading, if applicable; and declassification instruction on the face side of the print, if possible. Where markings cannot be applied to the face side, they should be stamped on the reverse side or affixed by pressure tape label, stapled strip, or comparable means.
(2) Transparencies and Slides. Classified markings must be shown clearly on the image of each transparency or slide or on its border, holder, or frame.
(3) Motion Picture Films and Video Recordings. Mark classified motion picture films and video tapes at the beginning and end of each reel with titles bearing the appropriate classification and, if applicable downgrading markings.
(4) Recordings. Sound, magnetic, or electronic recordings must contain, at the beginning and end, a clear statement of the assigned classification level. Keep recordings in containers or on reels that bear conspicuous classification, declassification and, if applicable downgrading markings.
(5) Microfilm. Microfilm contains images in sizes too small to be read by the unaided eye. Accordingly, mark the classification conspicuously on the microfilm medium or its container, so as to be readable by the unaided eye.
Also include these markings on the image so that when the image is enlarged and displayed or printed, the markings will be conspicuous and readable.
C. Decks of Machine Punched Cards. A deck of classified machine punched cards should be treated as a single document. Only the first and last cards require classification markings. Add an additional card (or the job control card modified) to identify the contents of the deck (at a minimum, the number of cards) and the highest classification therein. Alternatively, use a manual log for decks undergoing frequent changes. Individually mark the cards that are removed for separate processing and are not immediately returned to the deck.
D. ADP and Word Processing Storage Media.
(1) Storage media that contain classified information must bear external markings and internal notations as to the classification level, authority, and declassification instructions. Labels shall be used to externally mark ADP media, other non-paper media, and equipment for which cover sheets are inappropriate. The following Standard Forms shall be used: Standard Form 706, Top Secret Label; SF 707, Secret Label; SF 708, Confidential Label; and SF 710 Unclassified Label.
(2) Standard Form 709, Classified Label, shall be used to identify and protect ADP storage media and other media that contain classified information pending a determination by an original classifier of the specific classification level of the information. Stand Form 711, Data Descriptor Label, shall be used to record additional safeguarding controls that pertain to classified information that is stored on ADP storage media or other non-paper media.
E. Documents Produced by ADP Equipment. At a minimum, the first page, and the front and back covers, if any, of documents produced by ADP equipment must bear classification markings. Mark interior pages by automated or manual means. Also, mark individual pages when they are separated from the original text.
F. Material Used for Training Purposes. When using unclassified materials to simulate classified documents or materials for training purposes, mark them "(Classification) for training purposes only, otherwise Unclassified."
G. Working Papers and Classified Waste Materials. Materials such as rejected copies, typewriter ribbons, carbons, and similar items developed in connection with the handling, processing, production, and development of classified information must be handled in a manner that assures adequate protection of the classified information involved and destroyed when no longer needed. Working papers retained for more than 180 days, transmitted, or permanently filed must be accounted for, controlled, and marked as a finished document.
H. Special Access Program Material. Apply additional markings as prescribed in directives, regulations, and instructions relating to a special access program to materials containing information protected by the special access program. These additional markings should not serve as the sole basis for continuing classification of the information to which the markings have been applied.
7. Marking Information Extracted from Old Material. Information extracted from material marked under Executive Orders 10964, 11652 or 12065, as amended, shall carry the downgrading/declassification instructions forward to the new material. Old material that does not specify a date for declassification may not be declassified without authorization of the originating agency.
A. Mark information extracted from material classified from 1961 to 1972 under Executive Order 10964 as follows:
(1) Material marked "Group 1," and "Group 2;" shall be marked on the "Declassify on" line with the notation "Originating Agency's Determination Required" or "OADR".
(2) Material marked "Group 3," shall be marked on the "Declassify on" line with the notation "OADR" and downgrading instructions shall be added on the "Downgraded To" line with the notation "Automatically downgraded at 12 Years Intervals."
(3) Material marked "Group 4", regardless of classification level, became declassified
December 31, 1982, which was ten years from the last possible date of origin. Other than cancelling the page classification marking, Group 4 material does not require classification marking.
B. Mark information extracted from material classified from 1972 to 1978 under Executive Order 11652 as follows:
(1) Material marked "ADS" (Advanced Declassification Schedule) and "GDS" (General Declassification Schedule), regardless of classification level, became declassified December 31, 1988, which was ten years from the last possible date of origin. Other than cancelling the page classification markings with "Unclassified", GDS material does not require classification marking.
(2) Material marked "XGDS", with a date for declassification shall have the date or event carried forward to any new document or material.
C. Information extracted from material classified from 1978 to 1982 under Executive Order 12065 and marked for automatic downgrading or automatic declassification on a specific date or event shall be carried forward to the new material.
D. Documents and material classified that are not marked for automatic declassification on a specific date or event shall not be downgraded or declassified without authorization of the originator. Information extracted from these documents or material for use in new documents or material shall be marked for declassification upon the determination of the originator, that is, the "Declassify on" line shall be completed with the notation "OADR."
CHAPTER 3. ACCESS AND DISSEMINATION
(1) An employee is eligible for access to classified information provided (a) the employee has been determined to be trustworthy and (b) access is essential to the accomplishment of lawful and authorized Government purposes. A national security clearance is an indication that a trustworthiness decision has been made by the USGS Security Officer in accordance with SM 440.7. A need for access to classified information must be demonstrated before a request for a security clearance can be initiated. The number of people cleared and granted access to classified information shall be maintained at the minimum number that is consistent with operational requirements and needs. Division Security Officers must ensure that access to classified information by unauthorized persons is prevented and that an initial briefing in accordance with Chapter 13 of this handbook is provided to each employee prior to the issuance of a security clearance.
(2) No one has a right to have access to classified information solely by virtue of title, position, or level of security clearance. The final responsibility for determining whether an individual requires access to classified information and whether the individual has been granted the appropriate security clearance, rests upon the individual who has possession, knowledge, or control of the information and not upon the prospective recipient. The fact that an individual is a Federal employee does not mean that he or she has been cleared for access to classified information. Before you disclose classified information, advise the recipients of the classification level of the information and verify their security clearance through your Division Security Officer.
(1) A Division Security Officer or the USGS Security Officer may determine that a currently cleared employee or contractor no longer requires access to classified information in connection with the performance of official duties or contractual obligations and, upon written notification to the holder, may administratively withdraw
the security clearance. When a person no longer needs access to a particular security classification level, the
security clearance should be adjusted, or downgraded, to
the classification level still required for the performance of the persons duties and obligations. The administrative downgrade or withdrawal of an individuals security clearance does not prejudice the persons eligibility for future security clearance.
(2) The USGS Security Officer shall revoke a security clearance when the clearance or access is no longer consistent with the interests of national security. Procedures for revocation of a security clearance for cause are prescribed in SM 440.7.
(3) Upon termination of security clearance, the holder must receive a formal security debriefing describing his continuing responsibility to protect the information to which he had access. The Division Security Officer must establish a procedure to administer the security debriefing. Form SF-312 must be used for this purpose in accordance with Chapter 13, paragraph 6.
A. Discuss classified information only with persons who are properly cleared and who have a need to know the information. Discussing classified information in homes with relatives or friends, in public places or on public conveyances, or anywhere unauthorized persons may have access, is strictly prohibited. Employees or other persons cannot have classified information for their private use.
B. A standard telephone shall not be used for discussing classified information. Conversations over telephones or inter-office communications systems can be overheard or intercepted by unauthorized persons. Intercepting telephone communication is a common means by which classified information can be obtained. See Chapter 12 for Secure Telephone Unit-III (STU-III) procedures.
A. Visits to Other Agencies. Any employee, contractor, or consultant of the USGS who has a need to visit an agency or facility involving access to classified information must initiate a Visit Authorization and Clearance Certification Request. See Sample (Figure 3-1). The use of other specific visit request forms, when required by other agencies, such as
the Department of Energy, Request for Visit or Access Approval, Form DOE F 5631.20 (Figure 3-2), is authorized. The request shall be completed, and signed by a designated Security Officer, and submitted to the agency or facility two weeks prior to the visit or period of clearance certification. Designated Security Officers may certify only those USGS Security clearances contained in Personnel Security Clearance System (PSCS) reports provided by the USGS Security Officer.
B. Visit Request from Other Agencies.
(1) The number of visitors requiring access to classified information shall be held to a minimum, and the following requirements must be established:
(a) that the visit is necessary, and
(b) that the purpose of the visit cannot be achieved without access to classified information by the visitors.
(2) In the event the visit is disapproved, the requester shall be promptly notified by the activity which made the decision.
(3) Requests for visits shall be furnished in writing (mail, facsimile, etc.) and in advance of the proposed visit to the USGS Security Officer who is responsible for notifying the office to be visited. In exceptional cases, the telephone may be used, provided the visit request is confirmed in writing. Under no circumstances, however, may visit requests be approved when hand-carried to the USGS activity by the visitor. All visit requests should contain the following information:
(a) name and address of the activity to be visited;
(b) name and title of the person(s) to be visited, if known;
(c) name of the proposed visitor, his or her date and place of birth, and citizenship;
(d) job title or position of the proposed visitor;
(e) certification of the level of clearance of the proposed visitor;
(f) purpose and justification for the visit in sufficient detail to allow for a determination for necessity of the visit; and
(g) date or period during which the request is to be valid.
C. Special Access Program Visits. All visit requests involving the special access program shall be processed through the appropriate Special Security Officer.
4. Third Agency Rule. Classified information originated in another agency may be disseminated outside USGS only with the consent of the originator. Consent must be maintained in writing as a matter of record. This restriction does not apply to additional distribution within USGS, or to distribution to contractors who require the information in performance of contracted services for USGS. The employee who furnishes the classified information to another agency or contractor must verify through the USGS Security Officer the recipient's security clearance and classified level of safeguarding capabilities, if not known.
A. Managers are responsible for controlling the dissemination of classified information received or generated in their offices to other persons or agencies.
B. The manager who hosts or convenes a meeting (conference, symposium, seminar, exhibit, convention, scientific or technical gathering) at which classified information is disclosed must take the following steps.
(1) Satisfy third agency rule, if applicable.
(2) Verify the security clearance and need to know of all persons attending the meeting.
(3) Positively identify attendees before admitting them to the meeting room.
(4) Advise persons who will present classified information of any limitations on their presentations which may be necessary because of the level of clearance or the need-to-know of certain members of the audience. The speaker is also responsible for seeking such guidance, for keeping disclosures within the prescribed limits, and for advising the audience of the level of, the authority for, and the duration of classification of the information disclosed.
(5) Employees who attend meetings where classified information is disclosed should obtain adequate information on the classification level, duration, and
authority for classification of such information so they may appropriately classify any documentation resulting from the meeting.
(6) Notes, minutes, summaries, recordings, proceedings, reports, etc., on the classified portions of the meeting
should be safeguarded and controlled throughout the duration of the meeting. At the conclusion of the meeting, material should be forwarded to attendees by approved transmission means rather than being hand-carried by them from the meeting site.
(7) Physical and technical security controls should be established as appropriate to the classification and sensitivity of the information to be discussed. Because of inherent security hazards, classified meetings or classified sessions of meetings shall be held only in U.S. Government or cleared contractor facilities.
In Reply Refer To:
Mail Stop 250 Date
Defense Department
000 Half Street
Washington, D.C. 00000
Dear Sir:
U.S. Geological Survey (USGS) awarded security clearance is forwarded for the following USGS employee(s) to effect visitation(s) outlined below:
Name, Citizenship, Date, Place Date, Degree
Job Title, and SSN of Birth of Clearance Basis
John Doe 00/00/00 00/00/00 OPM LBI
USA Uniontown, PA SECRET dated
Problem Solver 00/00/00
000-00-0000
Person(s) to be contacted: Mary Doe
Duration of visit(s): (Indicate up to 1 year)
Purpose of visit: To attend meeting on problem solving
Unless otherwise notified, this office will consider visit(s) approved.
If you have any questions, please call me on (703) 648-4467.
Sincerely yours,
Manager,
Security Management Office
cc: Division Security Officer
Security File
SAMPLE VISIT AUTHORIZATION AND CLEARANCE CERTIFICATION
See printed handbook for Figure 3-2.
SAMPLE DEPARTMENT OF ENERGY REQUEST FOR VISIT OR ACCESS APPROVAL
1. Transmittal Outside USGS Facilities.
A. All classified information transmitted outside a USGS building or facility must be enclosed in opaque inner and outer covers (e.g., sealed envelopes, wrappings, or locked container). Mark the inner sealed opaque cover plainly on both sides with the assigned classification and complete forwarding and return addresses. Address the outer sealed opaque cover in the same manner, but do not include any classification markings or other indication that classified information is enclosed. Markings on the inner cover must not show through the outer cover.
B. Mail or shipments containing classified material shall be addressed on the outer cover to the agency, activity or facility head, using the appropriate business name and address and not to an individual. This does not prevent use of office code letters or numbers, or such phrases in addition to the address as, "ATTN: Research Dept.," or similar aids in expediting internal routing. When it is considered appropriate to direct classified material to the attention of a particular individual, the identity of the intended recipient shall be indicated on an attention line on the inner cover or on an attention line placed in the letter of transmittal. This procedure is intended to preclude delivered classified mail or shipments left unprotected when the recipient is absent.
C. Material used for packaging must be strong and durable to provide protection in transit and to prevent items from breaking out of the covers. Seal bulky packages with tape laminated with asphalt and containing rayon fiber or nylon filament tape, or equivalent.
2. Transmittal Within USGS Facilities. All classified information transmitted between offices or divisions within a USGS owned or leased building must be shielded to prevent inadvertent disclosure. Affix the proper cover sheet to the top of the classified document. The cover sheet may either remain attached until the document is destroyed or may be removed before classified information is filed to conserve filing space. When not attached to classified documents, cover sheets are unclassified. The only approved cover sheets are Standard Form 703 for Top Secret, Standard Form 704 for Secret, and Standard Form 705 for Confidential.
3. Classified Material Receipt. DI-1835, Classified Material Receipt, shall be completed for all transmissions of Top Secret and Secret information and inserted in the inner envelope with the material being transmitted. When transmitting Confidential information, a return receipt is an option of the sender.
A. Top Secret Information. Before being transmitted, Top Secret information shall be cleared through the responsible Top Secret Control Officer (refer to 5.1A(1) for control and accountability purposes. Top Secret Information can be transmitted by:
(1) Hand-carrying by an appropriately cleared and authorized employee within USGS facilities;
(2) Hand-carrying by a cleared and designated courier traveling on a surface conveyance owned, controlled, or chartered by USGS or other Federal agency within a metropolitan area, or over a USGS Security Officer approved route, provided the information is delivered before the close of business;
(3) The Armed Forces Courier Service (ARFCOS);
(4) Diplomatic pouch through the Department of State Diplomatic Courier System; or
(5) A cryptographic system authorized by the Director, National Security Agency, or via a protected distribution system designed and installed to meet the standards included in the National COMSEC and EMSEC (Emanations Security) issuance system.
B. Secret Information. Transmit Secret information by:
(1) Any of the means approved for the transmission of Top Secret information, except that Secret information can only be introduced into the ARFCOS system when its control cannot be maintained in U.S. custody. This restriction does not apply to Sensitive Compartmented Information and COMSEC information.
(2) Hand-carrying by a cleared and designated employee or contracted individual traveling on a surface conveyance within a metropolitan area provided that: (a) the information is not transported across international borders, (b) the courier maintains custody of the
information at all times, and (c) the transmission is begun and completed during normal business hours of the same day.
(3) United States Postal Service registered mail or express mail within and between the United States and its territories;
(4) U.S. registered mail through Military Postal Service facilities outside the United States and its territories provided that the information does not at any time pass out of the control of a United States citizen and does not pass through a foreign postal system or any foreign inspection.
(5) United States Postal Service and Canadian registered mail with registered mail receipt between United States Government and Canadian Government facilities in the United States and Canada; or
(6) A cleared and designated employee on scheduled commercial passenger aircraft within and between the United States and its territories subject to the procedures and restriction set forth in paragraph 5 below. Designated employees must be briefed by the security officer on their responsibilities as couriers for protecting classified information. The classified information must remain under the constant custody and protection of the courier at all times.
(1) Transmit confidential information by the means approved for the transmission of Top Secret or Secret information and by the United States Postal Service certified mail within and between the United States and its territories.
(2) Use a United States Postal Service Return Receipt on the outside envelope for Confidential mail addressed to contractors and to agencies outside the Executive Branch.
(3) While not authorized in the Department of Interior, most Executive Branch agencies permit the transmission of Confidential information by United States Postal Service first class service. A security violation report should not be initiated when Confidential information is received by one of these methods.
5. Hand-carrying Classified Information. Appropriately cleared personnel can be authorized to hand-carry classified information outside the confines of USGS controlled space subject to the following conditions:
A. Seal classified materials within two opaque wrappers in compliance with paragraph 1. Packages carried within a pouch, briefcase, or similar device must be sealed within two opaque wrappers.
B. The storage provisions of Chapter 8 apply at all stops enroute to the destination, unless the information is retained in the personal possession and constant surveillance of the individual at all times. The hand-carrying of classified information on trips that involve an overnight stopover is not permissible without advance arrangements for proper overnight storage in a Government facility or cleared contractor's facility.
C. Classified information must not be read, studied, displayed, or used in any manner in public conveyance or places.
D. When carrying classified information in a private, public, or Government conveyance, do not store it in any detachable storage compartments such as automobile trailers, luggage racks, aircraft travel pods, or drop tanks.
E. Carry on your person a written authorization as prescribed in paragraph 6 or 7, as appropriate, for carrying classified information.
F. Each control station must maintain a list of all classified information carried or escorted by traveling personnel.
6. Hand-carrying Classified Information Aboard Commercial Passenger Aircraft.
A. Classified information may be hand-carried aboard commercial passenger aircraft only when there is neither time nor means available to properly transmit the information. Permission to hand-carry must be granted on a case-by-case basis by the USGS Security Officer. See sample (Figure 4-1).
B. The traveler must be briefed by the responsible security officer on security safeguards, must possess Department of the Interior photo identification, and must be authorized in
writing (Figure 4-1) by the USGS Security Officer to carry classified information. Display these items upon request to appropriate airline personnel.
C. Seal all classified information in double wrappings, as prescribed in paragraph 1, and carry in a briefcase or other carry-on luggage. The briefcase or luggage should be offered for inspection upon request. The airport screening officials may check the envelope by X-ray machine, flexing, feel, weight, etc., without opening the envelopes. Opening or reading the classified document in an area not under U.S. Government control is not permitted.
A. The USGS Security Officer may authorize an employee to hand-carry classified information, up to the Top Secret level, within the United States and its territories. To be an authorized courier, the employee must possess an appropriate security clearance and be issued a courier authorization signed by the USGS Security Officer. See sample (Figure 4-2).
( Airlines and Address)
FAA ADVISORY CIRCULAR AC 108-3, DATED 11/6/81
(employee), a courier of the U.S. Department of the Interior, U.S. Geological Survey (USGS), is hereby authorized to handcarry U.S. government classified material from Reston, Virginia to (destination).
For identification, this employee will present color photo Department of the Interior, USGS Identification Card Number
. He/she will depart (airport) on
Airlines Flight # , at (time) on
(date). This authorization is valid through
(date).
The classified material will be carried in double wrapper envelopes measuring approximately (size). They will be carried in a briefcase measuring approximately (size) addressed as follows:
(employee)
U.S. Geological Survey
Security Management Office, Mailstop 250
12201 Sunrise Valley Drive
Reston, VA 22092
This material affects the nation security of the United States and must remain in the personal custody of this individual at all times.
If necessary, this authorization may be confirmed by contacting me at (703) .
Manager,
Security Management Office
SAMPLE AUTHORITY FOR HAND-CARRYING CLASSIFIED INFORMATION
ABOARD COMMERCIAL PASSENGER AIRCRAFT
AUTHORITY TO HAND CARRY CLASSIFIED DOCUMENTS AND/OR MATERIALS WITHIN CONTINENTAL UNITED STATES
In accordance with Department of the Interior, Departmental Manual (DM) 442 and 441, you are authorized to remove SECRET and CONFIDENTIAL documents and/or material from a security area. Procedural requirements of USGS Handbook 440-3-H, Chapter 4, as applicable, must be followed when handcarrying classified documents and/or classified material between security facilities.
Expires on: Manager, U.S. Geological
Survey, Security
Management Office
1. Accountability of Classified Information. The responsible manager or supervisor must establish procedures for the accountability of Top Secret and Secret information and the control of Confidential information. Such procedures must provide for tracing the movement of classified information, limited dissemination, prompt retrieval of documents, detection of the loss of information, and prevention of excessive production and reproduction of documents.
(1) Control Officers. Top Secret Control Officers and alternates shall be designated within offices with approved Top Secret Control Stations to be responsible for receiving, dispatching, and maintaining accountability registers of Top Secret documents. Such individuals shall be selected on the basis of experience and reliability, and shall have Top Secret security clearances.
(2) Top Secret Registers. Top Secret accountability registers using Classified Document Register, Form DI- 1834, shall be maintained by each Top Secret Control Station originating or receiving Top Secret information (see Figure 5-1). USGS Security Officer may approve automated control system in lieu of Form DI-1834, when such systems meet the minimum requirements of the Top Secret register. Such registers shall be retained for 5 years from the date of the disposition of the last item on each sheet. As a minimum the Top Secret Register shall reflect the following:
(a) Document Control Number. A control number identifiable with the Top Secret Control Station will be assigned to all Top Secret documents upon receipt. While not recommended, past practice has permitted assigning the same control number to all copies of the document. The control number will consist of the organizational code, a sequentially assigned number beginning with "0001" and the last two digits of the calendar year in which received.
(b) Date of Receipt. The date of the document or date the material was received.
(c) Classification. In addition to the classification level, the abbreviated form of declassification or downgrading instructions will be indicated.
(d) Unclassified Title or Description. Sufficient information to identify adequately the Top Secret document or material to include the unclassified title or appropriate short title, date of the document, serial number, and copy number(s).
(e) Originating Agency. The originating agency and the agency the document was received from, if different from the originator.
(f) Disposition. Indicate as appropriate the file location, receipt number, destruction certificate, downgrading or declassification disposition and disposition date.
(3) Serialization and Copy Numbering. Top Secret documents originated and derivatively classified by USGS activities shall be numbered serially. In addition, each Top Secret document shall be marked to indicate its copy number, for example, copy 1 of 2 copies.
(4) Disclosure Records. Each Top Secret document or item of material shall have appended to it a Top Secret Access Record, Form DI-1836. (See Figure 5-2). Record the name, title, and signature of all individuals, including stenographic and clerical personnel, to whom information in the document has been disclosed, and the date of disclosure. The DI-1836 should remain attached to the document until the document is downgraded, transmitted outside USGS, or destroyed. The DI-1836 shall be retained 5 years from the disposition date.
(5) Inventories. All Top Secret documents and material shall be inventoried semi-annually and more frequently where circumstances warrant. The inventory shall reconcile the Top Secret accountability register with the documents or material on hand. At such time, each document or material shall be examined for completeness. A report shall be submitted to the USGS Security Officer through the Division Security Officer within three (3) working days from the periods ending March 31 and September 30 and shall include any unresolved discrepancies, total number of documents by location, and
the total number of documents derivatively classified during the previous 6 months.
(6) Retention. Top Secret information shall be retained only to the extent necessary to satisfy current
requirements. Top Secret Control Officers shall destroy nonrecord copies of Top Secret documents when no longer
needed. Record copies of documents that cannot be destroyed shall be, when appropriate, retired to designated records centers.
(7) Receipt. Top Secret documents and material will be accounted for by a continuous chain of receipts using Form DI-1835. (See Figure 5-3). Receipts shall be maintained for 5 years.
(8) Reproduction. Top Secret documents or portions of documents containing Top Secret information must not be reproduced without the consent of the originator. The number of copies of documents containing Top Secret information must be kept to an absolute minimum. Records must be maintained of reproduced Top Secret document to show the number, distribution, and authority for reproduction.
(9) Destruction. A Certificate of Destruction of Classified Material, Form DI-229, is required for Top Secret information. (See Figure 5-4). The record must include a full description of the material, the date of actual destruction, and the signatures of two witnesses to a page count and the actual destruction. Destruction records shall be maintained for 5 years. The destruction will be completed in accordance with the provisions of Chapter 7.
B. Secret and Confidential Information.
(1) Custodian. A Custodian and alternates shall be designated within offices with approved classified material Control Stations to be responsible for receiving, dispatching, and maintaining accountability registers of Secret and Confidential documents. Such individuals shall be selected on the basis of experience and reliability, and shall have a Secret security clearance.
(2) Classified Document Register. An accountability register using a Classified Document Register, Form DI- 1834, shall be maintained by each Control Station
originating or receiving Secret and Confidential information. (See Figure 5-1). USGS Security Officer may approve an automated control system in lieu of Form DI-1834, when such systems meet minimum listed requirements of the Classified Document Register. Form DI-1834 shall be retained for 2 years from the date of the disposition of the last item on each sheet and shall, as a minimum, reflect the following:
(a) Document Control Number. A control number identifiable with the Control Station will be assigned to all Secret documents upon receipt. Only the receipt and disposition of Confidential material is required and the assignment of a document Control Number is optional. While not recommended, past practice has permitted assigning the same control number to all copies of the document. The control number will consist of the organizational code, a sequentially assigned number beginning with "0001" and the last two digits of the calendar year in which received.
(b) Date of Receipt. The date of the document or date material was received.
(c) Classification. In addition to the classification level, the abbreviated form of declassification or downgrading instructions will be indicated.
(d) Unclassified Title or Description. Sufficient information to identify adequately the classified document or material to include the unclassified title or appropriate short title, date of the document, and copy number(s).
(e) Originating Agency. The originating agency and the agency the document was received from, if different from the originator.
(f) Disposition. Indicate as appropriate the file location, receipt number, destruction certificate, downgrading or declassification disposition, and disposition date.
(3) Inventories. All Secret and Confidential documents and material shall be inventoried semi-annually and more frequently when circumstances warrant. The inventory shall reconcile the classified document register with the documents or material on hand. A report shall be submitted to the USGS Security Officer through the
Division Security Officer within three (3) working days
from the periods ending March 31 and September 30 and shall include any unresolved discrepancies, total number of documents by classification level and location, and the total number of documents for each classification derivatively classified during the previous 6 months.
(4) Retention. Classified information shall be retained only to the extent necessary to satisfy current
requirements. Custodians shall destroy nonrecord copies of classified documents when no longer needed. Record copies of documents that cannot be destroyed shall be, when appropriate, retired to designated records centers.
(5) Receipt. Internal office receipts for Secret and Confidential documents and material are optional. When Secret documents or material are transmitted, a Classified Material Receipt Form DI-1835 will be prepared to identify the material being transmitted, the original (white) and the second copy (yellow) will be inserted in the inner envelope with the material being transmitted. The third copy (pink) will be retained in a suspense file until receipt of the signed original. (See Figure 5-3). Receipts shall be maintained for 2 years.
(6) Reproduction. The number of copies of documents containing classified information must be kept to an absolute minimum. Secret and Confidential documents that bear special dissemination and reproduction limitations shall be reproduced only with the consent of the originator. Records must be maintained of reproduced documents with special limitations to show the number, distribution, and authority for reproduction.
(7) Destruction. A Certificate of Destruction of Classified Material, Form DI-229, is required for Secret information. (See Figure 5-4). The record must include a full description of the material, the date of actual destruction, and the signatures of two witnesses to the
actual destruction. The completed destruction certificate shall be retained for 2 years after the date of destruction. A certificate of destruction for Confidential material is optional and only the disposition column of the Classified Document Register need be annotated with the destruction fact and date. The destruction of both Secret and Confidential material will be completed in accordance with the provisions of
Chapter 7.
C. Working Papers. Working papers are documents and material accumulated or created in the preparation of finished
documents and materials. Working papers containing classified information shall be:
(1) Dated when created;
(2) Marked with the highest classification of any information contained therein;
(3) Protected in accordance with the assigned classification;
(4) Destroyed when no longer needed; and
(5) Accounted for, controlled, and marked in the manner prescribed for a finished document of the same classification when:
(a) Released by the originator outside the USGS;
(b) Retained more than 30 days from date of origin;
(c) Filed permanently; or
(d) Containing Top Secret Information.
See printed handbook for Figures 5-1, 5-2, 5-3, and 5-4
CHAPTER 6. CUSTODIAL PRECAUTIONS
1. Responsibilities. Any person who has possession of, or is charged with responsibility for, classified information must protect and account for that information. The following measures must be taken to properly protect classified information.
A. Provide protection and accountability for classified information at all times and lock classified information in appropriate security equipment whenever it is not in use or under direct supervision of authorized persons.
B. Classified documents removed from storage shall be kept under constant surveillance and covered when not in use. Cover sheets, Standard Forms 703, 704, and 705 for, respectively, Top Secret, Secret, and Confidential documents shall be used.
C. An office that receives a classified document and has no authorized Control Station or authorized storage equipment available must either return the document or arrange with an established Control Station to properly store or destroy the document by an approved method.
D. Under no circumstances should classified information be left unattended, be left in an unauthorized storage container, or be left in the custody of a person who does not have a proper security clearance and need to know the information.
E. Classified information must be delivered to or left with cleared recipients only.
F. Ensure that uncleared persons assigned to or visiting your office do not take or read classified information, overhear classified discussions, or have visual access to classified information. Do not place or display classified information in a manner where it can be seen through a window or doorway.
G. Discuss classified information with cleared persons only. Do not discuss classified information in public or other places where it can be heard by unauthorized persons.
H. Do not check classified documents with baggage or leave in such places as private residences, automobiles, hotel rooms and hotel safes, aircrafts, train compartments, buses, or public lockers.
I. Do not read, study, display, use, or discuss classified information in any manner in a public conveyance or place.
J. Preliminary drafts, carbon sheets, plates, stencils, stenographic notes, worksheets, typewriter ribbons, and other items containing classified information shall be either destroyed immediately after they have served their purpose; or shall be given the same classification and secure handling as the classified information they contain.
K. Destruction of typewriter ribbons from which classified information is obtained shall be accomplished in the manner prescribed for classified working papers of the same classification. After the upper and lower section have been cycled through and overprinted five times in all ribbon or typing positions, fabric ribbons may be treated as unclassified regardless of their classified use thereafter. Carbon and plastic typewriter ribbons and carbon paper that have been used in the production of classified information shall be destroyed in the manner prescribed for working papers of the same classification after initial usage. However, any ribbon in a typewriter that uses technology which enables the ribbon to be struck several times in the same area before it moves to the next position may be treated as unclassified.
2. End-of-Day Security Checks.
A. The supervisor of offices wherein classified material is handled or stored shall establish a system of security checks at the close of each working day to ensure that:
(1) all classified information has been returned and is properly stored;
(2) all typewriter ribbons, floppy disks, carbons, and working materials which may contain classified information are properly stored;
(3) classified waste is properly stored or destroyed;
(4) wastebaskets do not contain classified information;
(5) security containers are checked to be sure that they are locked; and
(6) all doors to the area are locked.
B. As a method to ensure that an end-of-day security check has been made, an Activity Security Checklist, Standard Form-701, (Figure 6-1) may be used. The last employee should thoroughly check the entire work area and annotate the form, when used.
C. The office should retain the completed SF-701 for 90 days.
3. Custody During Emergencies.
A. In the event of fire, natural disaster, civil disturbance, or an evacuation of office spaces, classified information must be protected either by removing it under secure means, by placing it in locked storage cabinets or safes, or by properly destroying the information. Persons who are away from their offices and have classified information in their possession at the time should properly safeguard such information.
B. Each office head shall prepare a plan for the emergency protection, removal, or destruction of classified information in the case of fire, natural disaster, or civil disturbance. The location and identity of the information to be destroyed, priorities for destruction, persons responsible for destruction, and recommended place and method of destruction shall be predetermined and persons appropriately indoctrinated.
See printed handbook for Figure 6-1.
SAMPLE ACTIVITY SECURITY CHECKLIST
CHAPTER 7. REPRODUCTION AND DESTRUCTION
1. Reproduction of Classified Information.
A. Minimizing Reproduction. Copying documents that contain classified information should be held to a minimum. Custodians and control officers shall review the need for reproduction of classified documents with a view toward minimizing reproduction.
B. Access Controls. Equipment used to reproduce classified information must be housed within a controlled or restricted area or procedures must exist to control access to the reproduction equipment while operating in a classified mode.
C. Approved Equipment. Reproduction of classified material will be made only on equipment specifically approved by the responsible security officer.
D. Accountability. All copies of classified documents are subject to the same controls as the document from which the reproduction is made.
E. Reproduction Limitations. Maintain records to show the number and distribution of reproduced copies of all Top Secret documents, of all classified documents covered by special access programs, and of all Secret and Confidential documents that bear special dissemination and reproduction limitations.
(1) Reproduction equipment will be cleared of classified information immediately following reproduction and examined to assure that no classified material remains in the mechanism.
(2) Following the last operation, a plain sheet should be run from the machine to assure that the latent image is not retained. Security Officers approving equipment shall establish procedures which ensure belts, rollers, cylinders, and other parts of the equipment are thoroughly cleaned.
(3) Rubber blankets used for classified reproduction will be marked or stamped with the highest classification of
the material reproduced, and will be afforded the storage and recording required for a classified document of equal classification. Such blankets will not be used for subsequent unclassified reproduction.
2. Destruction of Classified Information.
A. Methods. When no longer needed, destroy classified documents in a manner sufficient to preclude recognition or reconstruction of the classified information. Procedures shall be established for the proper destruction of classified information. Such procedures must ensure that adequate destruction records are maintained, that authorized methods are used, that information is protected during transport, and that the destruction is properly witnessed. Destroy classified document by one of the following methods:
(1) Shredding. Use shredders for routine destruction of classified information. The strips must not exceed 1/32" in width and 3/8" in length. A sufficient volume of material of the same type and color paper must be shredded at the same time and the residue thoroughly mixed. Use only equipment listed on the GSA Federal Supply Schedule as approved security destruction devices. Shredded material meeting the above specifications needs no further destruction.
(2) Burning. Documents must be burned completely. No unburned pieces can remain or be allowed to escape by wind or draft.
(3) Melting, Chemical Decomposition, Mutilation. Material other than paper can be destroyed by these processes provided reconstruction is not possible. Where feasible, only those portions of the material which actually contained classified information need be destroyed. Methods of destruction other than shredding and burning require the approval of the USGS Security Officer.
(1) Waste material, such as handwritten notes, carbon paper, typewriter and printer ribbons, and working papers,
that contain classified information must be protected. Destroy classified waste when no longer needed. Destruction records are not required for this type of material.
(2) Typewriter ribbons may contain classified information and must be destroyed in the manner prescribed for classified documents.
(3) Working papers which have not been entered into the accountability system must be destroyed as classified waste.
1. General. Classified information must be stored under conditions that will provide adequate protection against access by unauthorized persons. Whenever classified information is not under the personal control and observation of a cleared person, it must be guarded by cleared personnel or stored in a locked security container. The USGS Security Officer may determine that more stringent requirements need to be imposed depending on the volume, nature, and sensitive of information to be protected in relation to other factors such as type of containers, presence of guards, vault-type space or intrusion alarms.
2. Facilities. Classified material will be maintained only in those control stations approved by the USGS Security Officer for the storage of specific levels of national security information. Special Access program material will be maintained only in those facilities approved by the originating agency. Foreign intelligence material will be maintained only in those facilities approved by the CIA for the storage of intelligence of a specific level of classification and/or compartmentation. A record of the formal accreditation will be maintained in each approved facility.
3. Standards. The General Services Administration (GSA) establishes and publishes minimum standards, specifications, and supply schedules for containers, vaults, alarm systems, and associated security devices suitable for the storage and protection of classified information. The USGS Security Officer may establish additional supplementary controls to prevent unauthorized access. Safe-type filing cabinets conforming to Federal specifications bear a Test Certification Label on the locking drawer attesting to the security capabilities of the container and lock. On some early safes, this label was located on the wall inside the locking drawer. Safes manufactured after February 1962 will also be marked "General Services Administration Approved Security Container" on the outside of the top drawer. The Art Metal Security Containers (Class 5, two and four-drawer models) are no longer approved for storage of classified material. Remove the GSA Approval Label from all two and four-drawer, Class 5 filing cabinets manufactured by Art Metal.
4. Storage of Top Secret Information.
A. Cabinets and Vaults. When not in use, Top Secret information must be stored in either a GSA-approved security container or vault with an approved, built-in, three-position, dial-type changeable combination lock.
(1) The building or room in which Top Secret material is stored will be protected by either an alarm system with a response time not in excess of 10 minutes, or cleared guard service to control access to the room or building.
(2) Admittance to a Top Secret storage area must be limited to cleared and authorized personnel. Persons not authorized access but whose presence in the area is temporarily required must be escorted and kept under constant observation. All classified information must be covered or otherwise protected from observation, disclosure, or removal.
5. Storage of Secret and Confidential. Store Secret and Confidential information as prescribed for Top Secret information, or in a container, vault, and/or alarmed area adjudged by the USGS Security Officer to meet minimum GSA standards, or one of the following exceptions to standards:
A. Secret and Confidential information may be stored in a safe-type filing cabinet having a built-in, three-position, dial-type changeable combination lock, or a steel filing cabinet equipped with a steel lock bar secured by a GSA-approved three-position changeable combination padlock. The only GSA-approved combination locks are the Sargent and Greenleaf (S&G) Model 8077, S&G Model 8077AB, and S&G Model 8065 (concealed shackle).
B. Bulky Secret and Confidential information may be stored in strongrooms or other closed areas which have been approved for this purpose by the USGS Security Officer. Access openings to such areas shall be sealed or secured by changeable combination high-security padlocks which have GSA approval.
A. Combination Changes. Combinations to security containers shall be changed by security officers or appropriately cleared employees. Contract locksmiths are not authorized to change combination to classified containers. Combinations shall be changed:
(1) when a container is placed in use;
(2) when an individual knowing the combination no longer requires access to the combination;
(3) when the combination has been subjected to possible compromise;
(4) at least once a year;
(5) when a container is taken out of service. Built-in combination locks must be reset to the standard combination 50-25-50 (10-20-30 for padlocks) prior to removal from office space.
B. Protecting Combinations. The combination of a lock used for the storage of classified information must be afforded protection equal to that given the highest level of the classified information stored therein. Combinations must be memorized or recorded and stored in an approved security container; not on calendars, in desk drawers, in wallets, etc.
(1) A central record of all combinations shall be ma intained by each Top Secret and classified material contr ol station and SCIF. The record of combinations shall be classified in accordance with the highest classification level and category of information contained in the security container or vault. Care shall be exercised to ensure that access to combinations of containers holding classified documents or materials are limited to individuals with an appropriate access authorization that permits access to the container's contents on a need-to-know basis.
(2) Each Control Station with more than one security container shall designate one of the containers as the central repository for safe combinations. The SCIF master list of combinations will be stored in one security container and the storage of keyed list of locks in another container.
(3) At the National Center, The Security Management Office Control Station and the Eastern Mapping Center SCIF have been designated as master repositories. When a combination to a designated central repository is changed in accordance with paragraph 6 above, a new record of combination shall be prepared and transmitted to the appropriate master repository.
D. Security Repository Information.
(1) Security Container Information. A record shall be maintained for each vault, secure room, or container used for storing classified information, showing location of the container, the names, home addresses, and home telephone numbers of the individuals having knowledge of the combination. Security Container Information, Form SF- 700 (Figure 8-1) shall be used for this purpose.
(a) SF-700 shall be completed according to the instructions contained thereon and retained until the
combination is changed.
(b) Part I of SF-700 (Figure 8-1) shall be affixed to security containers to ensure high visibility. On vaults, Part I of SF-700 shall be affixed to the inside of the door containing the combination lock. On security containers, it shall be placed on the inside of the locking drawer.
(c) Part 2 and 2A (Figure 8-1) of each completed copy of SF-700 shall be classified at the highest level of classification of the information authorized for storage in the repository and shall be transmitted to the master repository.
(2) Security Container Check Sheet. An integral part of the security check system shall be the security of all vaults and containers used for the storage of classified material. A Security Container Check Sheet, SF-702, (Figure 8-2) shall be placed on the exterior of each container to record each time the container is opened and closed, by whom, and a closing check. The office should retain the completed SF-702 for 90 days.
(3) Open-Closed Signs. Reversible Open-Closed signs, (Figure 8-3) or similar signs, shall be used as reminders on all classified storage containers each time they are locked or unlocked.
7. Surplus Security Containers. Security containers no longer used for the storage of classified information may be transferred to other areas where they are needed or to surplus. Before moving
any container, thoroughly search it for documents. Areas to be searched include between, behind, underneath, and on the sides of all drawers. The appropriate security officer must declare the container empty by placing a written statement on the outside front of container indicating the date of the check, the person conducting the check, and the division and office last using the container. Also, before moving any container with a built-in combination lock, reset the combination to 50-25-50.
See printed handbook for Figure 8-1, 8-2, and 8-3.
CHAPTER 9. SECURITY VIOLATIONS AND COMPROMISE
1. Responsibility of Discoverer.
A. Any person who has knowledge of the loss or possible compromise of classified information shall immediately report such fact to the responsible Division or USGS Security Officer.
B. Any person who discovers classified information out of proper control shall take custody of such information and safeguard it in an appropriate manner, and shall notify immediately the responsible Division or USGS Security Officer.
2. Initial Reporting. The Division Security Officer, upon receiving a report of loss or possible compromise of classified information shall relay the information to the USGS Security Officer who shall immediately telephonically report to the Chief, DESM, DOI, any violations of law, to include any action resulting in unauthorized disclosure of properly classified information; knowing and willful violations as described in Executive Order 12356; and any evidence reflected in classified information which reveals possible violations of law.
A. The responsible Division Security Officer shall immediately conduct a preliminary inquiry to determine the circumstances surrounding the violation, loss, or possible compromise of classified information. A preliminary inquiry report shall be prepared and submitted within 24 hours to the USGS Security Officer, to include the following:
(1) the identity of the information involved to include the date, subject, originator, classification level, and type of material (e.g., telegram, memorandum, notebook, etc.);
(2) a detailed narrative statement providing the circumstances of the violation or possible compromise, the identity of person(s) who had or may have had access to the information, and a determination as to whether an unauthorized disclosure in fact occurred;
(3) the dissemination of the material beginning with the time it was received by the control point, the time and
date and circumstances under which the loss was realized, and the steps taken to locate the material; and
(4) the identity of the person or procedure responsible for the loss or violation and the action taken to prevent a recurrence of the loss or violation to include any appropriate proposed discipline or adverse actions.
B. Upon receipt of a preliminary inquiry, the USGS Security Officer shall establish one of the following:
(1) That a loss or compromise of classified information did not occur.
(2) That a loss or compromise of classified information did occur but the compromise reasonably could not be expected to cause damage to the national security. If, in such instances, the USGS Security Officer finds no indication of significant security weakness, the report of preliminary inquiry will be sufficient to resolve the incident and, when appropriate, support any administrative sanction under 370 DM 752.
(3) That the loss or compromise of classified information did occur and that the compromise reasonably could be expected to cause damage to the national security or that the probability of damage to the national security cannot be discounted.
4. Investigation. Upon a determination that a loss or compromise occurred and that it could be expected to cause damage to national security or damage to the national security cannot be discounted, the USGS Security Officer shall:
A. Determine whether further investigation is warranted, and if appropriate, conduct an internal investigation or seek investigative assistance from other appropriate agencies.
B. The USGS Security Officer will establish the facts and must access all records relevant to the investigation. Employees shall fully cooperate with the investigating security officer during the conduct of investigations to include providing information, records, and other documentation applicable to the loss or compromise. A written investigative report will be provided to the Chief, DESM, DOI. See Figure 9-1 for the format for reporting such investigation.
(1) Notification of other Government agencies of unauthorized disclosure of classified information originating from those agencies by Department of Interior employees or its assignees is a responsibility of the Chief, DESM, DOI. Additionally, the Chief, DESM, DOI, is responsible for notifying the Department of Justice for a determination if an FBI investigation is warranted and for providing a written report to the Information Security Oversight Office.
(2) The original classifying authority, upon notification by the Chief, DESM, DOI, that a loss or possible compromise of specific classified information has occurred prepares a written damage assessment. The assessment reevaluates the information involved and determines whether (a) its classification should be continued without change; (b) the specific information, or parts thereof, should be modified to minimize or nullify the effects of the reported compromise and the classification retained; (c) declassification, downgrading, or upgrading is warranted; and (d) countermeasures are appropriate and feasible to negate or minimize the effect of compromise.
5. Violations Subject to Sanctions.
A. USGS employees, contractual representatives, or agents may be subject to administrative sanctions if they:
(1) knowingly and willfully classify, or continue classification of, information in violation of Executive Order 12356 and any implementing directives;
(2) knowingly, willfully and without authorization disclose information properly classified under Executive Order 12356 or prior orders;
(3) compromise properly classified information through negligence; or
(4) knowingly and willfully violate any other provision of Executive Order 12356, any implementing directives, or this handbook.
B. Sanctions include but are not limited to warning notice, admonition, reprimand, termination of derivative
classification authority and/or national security clearance, suspension without pay, forfeiture of pay, removal, or discharge. (See Part 370 DM 752).
C. National defense information is expressly exempt from public disclosure by Section 552(b)(1) of Title 5 U.S.C. Release of classified information by a Government employee to a foreign agent is prohibited by Title 50 U.S.C., Section 783(b). An employee gathering, transmitting, losing, or delivering national defense information or involved in the disclosure of certain classified information may violate provisions of Title 18 U.S.C., Sections 793, 794, and 798.
D. Security Violations. Occasionally, employees, contractual representatives, or agents may deviate from established security procedures in instances where the action does not result in a possible compromise of classified information. Such procedural noncompliance may also warrant corrective action. A copy of any security violation report received shall be provided to the USGS Security Officer. The USGS Security Office shall evaluate the circumstances and determine what, if any, corrective action is needed. The USGS Security Officer may issue an oral warning or admonishment or issue a written notice of violation with a recommendation for proposed discipline or adverse action.
Memorandum
To: Chief, Division of Enforcement and Security Management
Office of Administrative Services
Through:
From:
Subject:
ISSUE.
CHRONOLOGY OF EVENTS.
DOI EMPLOYEES AND/OR OTHERS INVOLVED.
CLEARANCE LEVEL.
INVESTIGATIVE FINDINGS.
DAMAGE ASSESSMENT.
ACTIONS REQUIRED.
(Signature)
Attachments (if any)
FORMAT FOR LOSS OR COMPROMISE INVESTIGATION
CHAPTER 10. SPECIAL ACCESS PROGRAM
1. General. Special access programs have been established to impose access controls beyond those normally provided for access to Confidential, Secret, or Top Secret information. Such programs include special clearances, investigative requirements, or special lists of persons determined to require special access.
A. An interagency Memorandum of Understanding on Security of Foreign Intelligence furnished to the Department of the Interior by Member Agencies of the National Foreign Intelligence Board (NFIB), establishes the procedures and conditions under which the NFIB agencies will provide foreign intelligence information to the Department of the Interior. The memorandum also furnishes the procedures and standards by which the Department of the Interior will receive, process, and store foreign intelligence information. This agreement obligates Department of the Interior to maintain effective security of classified intelligence information.
B. This agreement requires implementation of appropriate provisions of the following (including any amendments, revisions, or successor provisions):
(l) National Security Act of 1947
(2) Title 18, U.S. Code, Sections 793 through 798
(3) Executive Order 10450, Security Requirements for Government Employment
(4) Executive Order 12036, United States Foreign Intelligence Activities
(5) Executive Order 12356, National Security Information
(6) Director of Central Intelligence Directive (DCID) 1/7, Control of Dissemination of Foreign Intelligence
(7) DCID 1/14, Minimum Personnel Security Standards and Procedures Governing Eligibility for access to Sensitive Compartmented Information (SCI)
(8) DCID 1/16, Security of Compartmented Computer Operations.
(9) DCI Communication Intelligence Security Regulations
(10) Security Control Manuals for systems prescribed to protect Sensitive Compartmented Information
C. Primary Control Officer. The Chief, National Mapping Division shall appoint the Primary Control Officer, as established by this agreement, to act as a single point of contact for the security administration of all Special Access Programs within the USGS.
D. Special Security Officer. This agreement establishes a Special Security Officer for each accredited Sensitive Compartmented Information Facility (SCIF). The Special Security Officer has full authority to implement and require compliance with the security measures established by this agreement, including the authorities cited in paragraph B above. The Special Security Officer is responsible for the security of foreign intelligence materials and exercises security controls over a SCIF.
E. Foreign Intelligence Registry. A custodian will be designated for each accredited SCIF and will maintain the Foreign Intelligence Registry and serve as the initial receiving point for foreign intelligence materials.
3. Responsibility. The intelligence community agencies have responsibility for maintaining the security control of classified foreign intelligence materials furnished to government organizations which are not part of the "intelligence community," such as the Department of the Interior. The Central Intelligence Agency has been designated to maintain cognizance over the security aspects of Department of the Interior approvals for access to and receipt, handling, storage, and destruction of foreign intelligence information.
4. Sensitive Compartmented Information. Particular categories of classified intelligence information require special security clearances, special handling, and special storage facilities not normally covered by procedures for Confidential, Secret, and Top Secret information.
5. Sensitive Decompartmented Information (SDI). Particular sub-category of Sensitive Compartmented Information which has been altered to remove the compartmented sensitivity and requires less stringent special security clearances, special handling, and special storage facilities normally required for Sensitive Compartmented Information.
6. Request for Special Access to SCI and SDI.
A. Requests for approval of access to SCI and SDI shall be submitted in accordance with the procedures contained in SM 440.7. The USGS Security Officer shall ensure that personnel requiring access to SDI and SCI have been afforded appropriate investigations and granted the appropriate security clearance. Adjudication of nominations of USGS personnel for access to SCI will be performed by the CIA. The USGS Security Officer has authority to authorize access to SDI.
B. The USGS Security Officer will maintain a current SCI and SDI access list.
C. A Special Security Officer shall indoctrinate USGS personnel for access to SCI or SDI. An SCI or SDI Nondisclosure Agreement shall be signed by the employee after receiving an SCI or SDI security briefing or receiving a security debriefing. The Security debriefing will be given to the employee upon expiration of the need for access, either by separation, transfer, or change in duties. The nondisclosure agreements will be provided to the Primary Security Officer. The original SCI nondisclosure agreement will be forwarded to the CIA, Special Security Center. A copy of the SCI nondisclosure agreement and the original SDI nondisclosure agreement will be forwarded to the USGS Security Officer for retention in the employee's security file.
7. Accreditation of Facilities. SCI and SDI can be maintained only in facilities approved by the CIA for its receipt, storage,
and handling. The Eastern Mapping Center SCIF (EMC) is the only
accredited initial receiving point and Master Registry for foreign intelligence materials for all activities in the USGS. Employees are prohibited from accepting intelligence material which has not been properly transmitted through the EMC SCIF.
CHAPTER 11. AUTOMATED INFORMATION SYSTEMS PROCESSING
1. Automatic Data Processing (ADP) Security. ADP is the processing of data performed largely by automated means, e.g., by a system of electronic or electrical machines by which input, processing, and output operations are performed. Special security measures are required before classified information can be stored, used, processed, or communicated by ADP systems or equipment. The USGS does not require processing of classified information on ADP systems, and consequently, security requirements have not been established. The Director of Central Intelligence Directive No. 1/16 establishes the minimum security requirements and accreditation process to ensure adequate protection of intelligence information processed or stored in ADP systems.
2. Office Information Systems Security. An office information system is equipment that employs automation technology, systematic procedures, and trained personnel for the electronic processing of information through the storage and manipulation of textual material. This chapter establishes minimum security requirements for the safeguarding of classified information contained in or processed by office information systems. These provisions apply to all information systems defined herein as "standalone" office information systems.3. Approval. An office supervisor who requires the use of an office information system for processing classified material shall request prior approval from the USGS Security Officer to ensure that the system is a standalone office information system. Such request shall include a proposed security procedure as required by paragraph 5 below. The USGS Security Officer in conjunction with the Information Resources Security Administrator, Information Systems Division, shall provide guidance for evaluating office information systems on which classified information will be processed and will prescribe security precautions and procedures to be followed.
4. Standalone Office Information Systems.
A. For the purpose of this handbook a standalone office information system is a system which is designed to be or can be operated independently and exclusively by one person at a time. For instance, such equipment may have memory and processing units not concurrently shared with any other system or device, and the equipment does not communicate with any
other system. Some examples of office information system equipment are standalone word processing terminals, automatic
repetitive typewriters, text editing typewriters, "shared"
capability word processing and office automation systems, video display text editing typewriters, and attached peripheral equipment such as printers, tape drives, and flexible ("floppy") disc drives and their storage media.
B. If a piece of equipment, such as a video terminal, has the capability of operating both independently and as part of a data processing system, it shall be covered by this handbook when operating independently.
C. Standalone office information systems and equipment can generally be protected in accordance with the existing provisions of this handbook when operated in a classified mode. However, special precautions are required depending on the specific capabilities of the equipment under consideration. Special security requirements for such equipment include:
(1) Internal Storage. At the completion of the processing of classified information, sanitize system internal (non-removable) storage media by overwriting or otherwise clear the computer by a method listed in paragraph 6 below and approved by the Information Resource Security Administrator.
(2) Removable Media. At the completion of the processing of classified information, or at the end of the work day, removable storage media must be removed from the system and marked and safeguarded in accordance with this handbook.
(3) Visual Displays. When classified information is visually displayed, unauthorized or uncleared persons must not be allowed to view the display.
(4) External Markings. Removable storage media and devices must bear external markings indicating the highest classification level of the information contained on the media. Examples of removable storage media are magnetic tape reels, cartridges and cassettes, removable discs, disc cartridges, disc packs, diskettes, paper tape reels, and magnetic cards. Removable storage media that have
been properly sanitized need not be marked. Labels or marking storage media are described in Chapter 2, paragraph 6D.
(5) Printer Ribbons. At the completion of the processing of classified information or prior to the end of each work day, the printer ribbon must be removed and safeguarded in a manner appropriate for the level of classification of the information printed.
A. Procedures shall be established to ensure that all classified standalone office information systems have adequate administrative controls for the controlled access to and the appropriate handling of classified information. These procedures shall be documented for each approved classified office information system.
B. The site-specific procedures will provide all users with a basic understanding of their responsibilities and local security procedures. The information in this procedure shall be included in user training. The Division Security Officer shall establish a formal mechanism to ensure that each user acknowledges his or her responsibilities, prior to operating a classified office information system. The following specific areas shall be addressed in the procedure:
(1) Identification. Identify the office information system used for classified processing, its physical location, the level of classified information to be processed, and the appropriate custodian.
(2) Summary of System Usage. Describe the classified used or purpose of the office information system, hours of operation, and when classified processing will occur.
(3) Hardware. List and describe all equipment comprising the office information system, including the size and type of internal memory and other storage media. Describe disconnect methods and switching devices for disabling equipment not to be used during classified processing periods.
(4) Software. Identify system software used during classified processing, how maintained and how safeguarded.
Describe security/protective features available in system software, how they are used during classified processing, and the means to ensure that they are functioning effectively.
(5) Teleprocessing. Identify all teleprocessing equipment and transmission lines employed with the system and indicate methods of disconnecting during classified processing.
(6) General Access Controls. Describe controls which restrict access into the system during classified processing periods.
(7) Operating Procedures. Describe start-up procedures for classified processing (such as clearing the area, physical safeguards, disconnection, and loading the system), procedures during classified processing (such as handling of input/output, audit trails, and emergency procedures), and procedures for shut-down of classified processing (such as clearing or sanitizing, removal of classified media, unloading the system and reconnections).
(8) General Storage, Protection and Control. Describe the control, handling, marking, storage, and accountability of classified materials such as software, input data, output products and storage media, and procedures for declassification and destruction of storage media containing classified information.
(9) Emergency Plan. Describe additional procedures not covered above to be employed in case of security violations, system crashes, or other emergencies during classified processing (such as personnel to notify, protection of hardware and classified materials, and control of uncleared emergency personnel).
6. Clearing and Sanitization. When a computer resource has been used to process classified information, all residual data must be sanitized before returning to processing in an unclassified mode. One of the following sanitization procedures shall be used as appropriate:
A. Magnetic disks, drums, and other similar rigid storage de vices shall be sanitized by overwriting all
storage location with any character, then the complement of the character (e.g., binary ones and binary zeros) alternating a minimum of three times. If overwriting all storage locations cannot be performed, the device shall be sanitized by exposing the reading surface to a permanent magnet having a field strength at the recording surface greater than the magnet intensity at which it was recorded.
B. Magnetic core memory shall be sanitized by alternately ov er-writing 1,000 times all addressable data locations with any character, followed by its complement (e.g., binary ones and binary zeros).
C. Magnetic tapes, cards, cassettes, floppy disks, and other magnetic memory (e.g., plated wire, thin film, and magnetic bubble) shall be sanitized by erasing with approved degaussing equipment. The Information Resource Security Administrator shall approve degaussing equipment prior to its use.
D. Volatile memory shall be sanitized by removing power to the unit for a minimum of 1 minute. If the memory has a battery backup, the battery must also be disconnected during the same 1-minute interval.
E. Printers, plotters, terminals, or other peripheral devices containing cache memory shall be sanitized by removing power to the device for a minimum of 1 minute. If the device has a battery backup, the battery must also be disconnected during the same 1-minute interval.
F. To complete sanitization of a system, any classified media such as diskettes, disk cartridges, disks, tapes, printer ribbons, and hard-copy output, shall be physically removed and protected commensurate with the highest classification of information stored on or processed by the media.
CHAPTER 12. COMMUNICATIONS SECURITY
1. General. National security information must not be discussed over, or otherwise transmitted or processed by, any form of telecommunications unless approved measures are taken to protect the information. Communication Security (COMSEC) is the system of security measures used to protect classified information by using cryptographic material and equipment. Policies dealing with the security of Federal telecommunications are developed and issued under the purview of the National Security Council. Implementing instructions are issued by the National Security Agency.
2. Secure Telephone Unit III (STU-III). This section sets forth guidelines for use of third generation "user friendly" STU-III's, when used to transmit classified information. The provision of this section has been developed to conform with and complement the National Security Agency's "Operational Doctrine for the STU-III Type I Terminal" which promulgates security requirements for operation and control of the terminal unit and its encryption keys.
A. Types of Equipment. Two types of STU-III telephone instruments (terminals), are produced:
(1) Type I: These terminals are Controlled Cryptographic Items (CCI) Type I STU-III used to secure classified information, or unclassified but sensitive, voice or data communications when keyed with an appropriate level of keying material. STU-III terminals are considered keyed when keying material has been loaded and an authorized Crypto Ignition Key (CIK) is inserted. When keyed, they must be safeguarded to the same classification level that the keying material being used is authorized to protect. When unkeyed, they are considered high-value property and are to be protected as standard government property.
(2) Type II: These terminals may only be used with unclassified keying material. Use of these terminals does not fall within the scope of this handbook.
B. Models of Equipment. The STU-III family of equipment consists of a number of different models of telephone terminals.
(1) The STU-III Low-Cost Terminal, currently being produced by four vendors, is a replacement for the
standard office telephone. Available in single-line or five-button models, it functions in both secure and non-secure modes and may be ordered with many modern telephone features, such as last number redial, repertory dialing, colors, etc.
(2) In addition to the Low-Cost Terminal, the STU-III is also manufactured in Cellular, Mobile/Portable, and STU-II compatible models. The STU-III Cellular Terminal will provide secure voice/data capability to the mobile radio-telephone environment using the standard commercial cellular radio system employed in the U.S. They are interoperable with all other STU-III's.
C. General Requirements. Basic security procedures for transmitting classified information via the STU-III Type I terminal when keyed with classified keying material are as follows:
(1) Written Procedures. The office must include security instructions which describe the specific office controls and individual responsibilities necessary to protect classified information before, during, and after transmission.
(2) Security Education. All STU-III users must be educated, as a minimum in:
(a) the need for sound security practices in protecting information transmitted over the STU-III;
(b) the specific security requirements associated with the STU-III;
(c) the security reporting procedures in the event of STU-III terminal malfunctions or COMSEC incidents (formerly called insecurities by the National Security Agency), and
(d) what constitutes an unauthorized action with regard to STU-III utilization.
D. Clearance and Need-to-Know.
(1) All STU-III terminals are interoperable with one another in the secure mode. However, during secure calls, the chara cter display on each STU-III terminal will show only the highe st clearance level common to both terminals. Therefore, users must limit the clearance level of information transmitted during the call to that indicated in the display.
(2) The terminals will also display some identifying infor mation about the person/organization at the distant terminal. The persons using STU-III terminals are responsible for verifying the clearance and need-to-know of the individual on the distant terminal. Personal/voice recognition or working relationship may be used for additional identification and need-to-know verification, as appropriate.
E. Safeguarding During Use. A STU-III terminal is considered keyed when keying material has been loaded, and an authorized Crypto Ignition Key is inserted. When keyed, the terminal must be kept under constant surveillance of an appropriately cleared person who is in the physical position to exercise direct security control over the unit, unless it has been installed in an approved restricted or closed area, or is otherwise safeguarded commensurate with the level of classified operations. Constant surveillance includes preventing unauthorized personnel from overhearing classified conversations or seeing classified materials if visual access is a factor.
F. STU-III Terminal Installation. STU-III terminals shall be installed only in private offices or work areas where access to the STU-III may be controlled in keeping with the requirements to protect government property.
G. Crypto Ignition Key (CIK) Protection.
(1) Because CIK's enable operation of the STU-III terminal in the secure mode, they must be protected against loss and unauthorized access or use.
(2) Master CIK's are those which may be used to create additional CIK's. Because of the potential to create unauthorized CIK's, master CIK's will be safeguarded in a
manner commensurate with the highest classification level of the information that the master enables the STU-III to protect.
(3) CIK's created for operational use, when not inserted in a STU-III terminal, will be kept in the immediate personal possession of an authorized user, or stored as indicated below.
(a) If the CIK is to be stored in the same room as the STU-III terminal, it must be stored in a manner commensurate with the highest classification level of the information that the CIK enables the STU-III terminal to protect. See Chapter 8 for minimum storage requirements.
(b) If the CIK is to be stored in a facility or location where a STU-III has been installed but in an area apart from the STU-III terminal, it must, as a minimum, be stored in a locked cabinet or desk, sufficient to reasonably preclude the ability of an unauthorized person to use the CIK in its associated STU-III terminal.
H. Use with Facsimile (FAX) Machines. Facsimile machines may be used to transmit classified information via the STU-III Type I terminal between and among cleared users. FAX machines increase the difficulty of maintaining accountability and control of classified information. Therefore, users must be made aware of the vulnerabilities, and familiarize themselves with procedures that ensure the requirements in Chapters 5 and 8 are followed. Such FAX machines must be safeguarded the same as the associated STU-III terminal during classified transmissions. Hard copy material receipts and acknowledgement of receipt back to the sender are not required for classified material transmitted by the STU-III Type terminals. All other requirements of this handbook apply.
CHAPTER 13. SECURITY EDUCATION
1. Responsibility and Objective. Division Security Officers shall establish security education programs for their employees in accordance with the provisions of this chapter. Such programs shall stress the objectives of improving the protection of information that requires it. The USGS Security Officer shall support the division security education programs by providing training materials and assistance and, when appropriate, consolidate and present periodic refresher training at central locations.
2. Scope and Principles. The security education program shall include all personnel authorized or expected to be authorized access to classified information. Each Division Security Officer shall design its program to fit the requirements of their various national security information programs. Care must be exercised to assure that the program does not evolve into a perfunctory compliance with formal requirements without achieving the real goals of the program. The program shall, as a minimum, be designed to:
A. Advise employees of the adverse effects to national security that could result from unauthorized disclosure and of their personal, moral, and legal responsibility to protect classified information within their knowledge, possession, or control.
B. Indoctrinate personnel in the principles, criteria, and procedures for the classification, downgrading, declassification, marking, control and accountability, storage, destruction, and transmission of classified information and material, as prescribed in this Handbook, and alert them to the strict prohibitions against improper use and abuse of the classification system.
C. Familiarize personnel with procedures for challenging classification decisions believed to be improper.
D. Familiarize personnel with the security requirements of their particular assignment.
E. Inform personnel of the techniques employed by foreign intelligence activities in attempting to obtain classified information, and their responsibility to report such attempts.
F. Advise personnel of the penalties for engaging in espionage activities.
G. Advise personnel of the strict prohibition against discussing classified information over an unsecure telephone or in any other manner that permits interception by unauthorized persons.
H. Inform personnel of the penalties for violation or disregard of the provisions of this handbook (see Chapter 9).
I. Instruct personnel that individuals having knowledge, possession, or control of classified information must determine, before disseminating such information, that the prospective recipient has been cleared for access by a competent authority; needs the information in order to perform his or her official duties; and can properly protect (or store) the information.
3. Initial Briefings. USGS employees shall not be granted a security clearance (See SM 440.7) or permitted to have access to classified information until they have received an initial security briefing on the elements outlined in paragraph 2 above and have signed a Classified Information Nondisclosure Agreement, Standard Form 312, in accordance with the provisions of SM 440.7. Division Security Officers have been provided copies of "Information Security Briefing" and "Classified Information Nondisclosure Agreement Briefing" video tapes to assist in this purpose.
4. Refresher Briefings. Division Security Officers shall establish a program to provide, at a minimum, annual security training for personnel having continued access to classified information. Employees, as a minimum, will attend refresher security training at least biennially. Employees failing to attend refresher security training may have their security clearance administratively suspended. The USGS Security Officer shall support the division security education programs by providing training materials, assistance, and at central locations, such as the USGS National Center, present annual refresher training to all cleared USGS employees.
5. Termination Briefings. Upon termination of employment or administrative withdrawal of a security clearance, employees shall be given a termination briefing, return all classified material, and execute the Security Debriefing Acknowledgement portion of a Classified Information Nondisclosure Agreement, Standard Form 312, in accordance with the provisions of SM 440.7.
CHAPTER 14. INDUSTRIAL SECURITY
1. General. This chapter sets forth the procedures for USGS participation in the Department of Defense Industrial Security Program (DISP), pursuant to Executive Order 10865. By an agreement between the Departments of Defense and Interior, the DISP has been extended to include USGS contracts that require access to national security information by the contractor or the contractor's employees. The Department of Defense Industrial Security Regulation (ISR), DOD 5220.22-R, and Department of Defense Industrial Security Manual (ISM), DOD 5220.22-M, are used as guidance in USGS and are supplemented by this chapter.
A. USGS Security Officer. The USGS Security Officer, or de signee, shall:
(1) Furnish assistance and guidance to contracting and program personnel relating to the security requirements of any procurement action involving classified information or sensitive information.
(2) Receive and process requests for verification of facility security clearances for prospective contractors or consultants.
B. Contracting Officer. The contracting officer shall accomplish the responsibilities assigned to the contracting agency by the ISR. The contracting officer shall:
(1) Assure protection of classified information in the possession of contractors incident to USGS contracts.
(2) Obtain verification of the USGS Security Officer of a facility security clearance prior to the disclosure or release of any classified information to a contractor.
(3) Initiate a request to the DOD cognizant security officer for the issuance of a facility security clearance for an uncleared contractor.
(4) Review and approve the Contract Security Classification Specification, DD Form 254, and shall:
(a) Issue a revised DD Form 254 anytime a change or additional classification guidance is found necessary.
(b) Review, in coordination with the responsible office initiating the procurement or contacting officer's technical representative, the existing classification specification during the term of the contact and at least once every two years.
(c) Issue a final DD Form 254 upon delivery of goods or services and upon termination of the contract. The final DD Form 254 shall provide disposition instructions for any classified information the contractor may possess incident to the contract.
(5) Authorize the contractor, upon receipt of written justification, to retain classified information when one of the conditions outlined in paragraph 5m, ISM, exists.
(6) Authorize release of classified information by contractors at seminars, meetings, and symposia when such authorization is required and after coordination with the USGS Security Officer.
(7) Determine a visitor's need for access at USGS contractor facilities when classified information will be disclosed. Visit requests from foreign nationals involving the release of classified information will be forwarded to the USGS Security Officer for appropriate coordination and/or approval.
(8) Certify a contractor's need for access concerning requests by USGS contractors for their employees to visit the facility of another contractor, a military installation, or other Government agency when classified information will be disclosed.
(9) Report immediately to the USGS Security Officer the public release of classified information or the disclosure of classified information at meetings without the prior written approval of the contracting officer, or without an appropriate visit authorization.
(10) Review and approve or disapprove requests for classified documents provided by the Defense Technical
Information Center submitted on Registration for Scientific and Technical Information Services, DD Form 1540.
(11) Forward to the USGS Security Officer justification received from contractors to process immigrant alien contractor employees for national security clearances.
3. Determination of the Facility Security Clearance and/or Safeguard Ability of a Contractor. Prior to the disclosure of any classified information to a contractor, the responsible USGS office must obtain verification that the contractor's facility possesses a valid facility security clearance equal to or higher than the level of classified information to be disclosed. Similarly, prior to the transmission of classified material to a contractor, the responsible USGS office must obtain verification that the contractor meets the requirements for safeguarding classified material equal to or higher than the level of classified information to be transmitted. Contact the USGS Security Officer to verify any facility security clearance or safeguard ability. Requests for verifications shall be submitted in writing and contain the following information:
A. Name and location of the Contractor facility;
B. Brief description of the work to be performed;
C. Level of access to classified information required;
D. A statement as to whether or not the facility is to receive and store classified information in connection with the contract;
E. The estimated volume of classified information, segregated by classification level, to be provided to and/or generated by the contractor; and
F. The name and telephone number of the individual to contact at the contractor facility who is knowledgeable of the contract.
4. Requests for Facility Security Clearance for Uncleared Contractors.
A. When no facility security clearance has been issued contracting officer shall submit requests for the issuance of
a facility security clearance directly to the cognizant security officer for the area in which the contract facility is located. (See Appendix B, ISR) A copy of the request will be provided to the USGS Security Officer.
B. Each request must contain the following information:
(1) Complete name and address of the contractor;
(2) Highest security classification of the information involved;
(3) Contract number, if applicable, and a general description of the scope of the contract;
(4) Anticipated date of release of classified information to the contractor or, if known, date when contractor will start generating classified information; and
(5) If the time required for normal processing of a final clearance will result in a crucial delay of a USGS program, a request shall be submitted with a specific justification of the need for an interim Confidential or Secret facility clearance.
C. Requests for interim Top Secret facility and personnel security clearances must be provided to the USGS Security Officer for approval.
5. Responsibilities Prior to Award of a Classified Contract.
A. For each classified contract the United States Department of the Interior Requisition, Form DI-1, must include a statement that the contractor will require access to classified information and/or will generate classified information in the performance of such contract. If the contract will involve access to classified information or cause the generation of classified information, the request for verification of a facility security clearance will be attached to the material submitted to the contracting officer who will negotiate the contract.
B. The office responsible for initiating the procurement request will prepare the Contract Security Classification Specification, DD Form 254, and forward it to the contracting
officer for review and approval. The USGS Security Officer shall be provided a copy of the completed DD Form 254 and Item 16 of the DD Form 254 shall be appropriately annotated. Instructions for preparation of the DD Form 254 are contained in the ISR and ISM; assistance is available from the USGS Security Officer. This action should be taken sufficiently in advance to permit forwarding a copy with each Invitation for Bid (IFB), Request for Proposal (RFP), or Request for Quotation (RFQ). The USGS Security shall approve any special security requirements in addition to those in the ISM.
6. Contract Messenger and Mail Room Services. USGS contractors who provide services for the handling and transmission of registered or certified mail at activities that customarily receive and transmit classified material must be cleared under the DISP to at least Secret.
7. Contract Guard Services. Contract guard services assigned to safeguard USGS activities in possession of classified material must be cleared under the DISP. Contracts for this service will be submitted for review and approved by the Chief, DESM, DOI in accordance with 442 DM 8.4(B).
CHAPTER 15. SECURITY INSPECTIONS/PROGRAM EVALUATIONS
1. General. An annual national security information program evaluation shall be conducted in each division where classified information and material are received, and recurring security inspections shall be conducted at each Top Secret Control Station, Classified Control Station, Sensitive Compartmented Information Facility, and Sensitive Decompartmented Information Facility to ensure compliance with the requirements of SM 440.3 and this Handbook. Such program evaluations and inspections shall ensure that procedures, methods, and physical safeguards employed are adequate for the protection of classified information entrusted to them. In addition, the program evaluation and inspection shall serve as a method for providing recommendations and suggestions to improve security procedures.
(1) A program evaluation of division national security information programs shall be conducted annually by USGS Security Officer. A formal report shall be prepared, including a consolidation of appropriate Top Secret Control Station, Classified Material Control Station, and Sensitive Compartmented Information Facility inspection reports, and submitted to the appropriate division chief with a copy to the Chief, DESM, DOI.
(2) Annually the USGS Security Officer in conjunction with the Division Security Officer shall coordinate a schedule of recurring inspections of Top Secret Control Stations, Classified Material Control Stations, and Foreign Intelligence Registries. The schedule, based upon budget or other constraints, shall generally establish a program of alternating inspections by the USGS Security Officer and Division Security Officer. By October 30 each year, the appropriate regional manager shall be provided the schedule of the designated activities to be inspected and the USGS or Division Security Officer responsible for conducting the inspection.
B. Division Security Officers. The Division Security Officer shall assure that a formal inspection is conducted on the Top
Secret Control Stations, Classified Material Control Stations and Foreign Intelligence Registries designated by the annual inspection schedule as established by the USGS Security Officer.
C. Custodians, Control Officers, and Special Security Officers. Each Top Secret control officer, classified material control station custodian, and special security officer is required to conduct a self-inspection program for evaluation of all security procedures applicable to their operation. The self-inspection shall be conducted prior to any scheduled inspections by the USGS or division security officers.
(1) In order to assist the self-inspector in assessing the security posture of his or her facility, the Security Inspection Check List, Appendix B, is provided.
(2) A formal report including the completed security inspection check list shall be prepared and submitted at the time of the self-inspection to the division security officer and a copy provided to the USGS Security Officer.
3. Notification of Inspection. Prior to visiting a facility for the purpose of a recurring inspection, the facility manager shall be notified approximately 30 days in advance of the impending inspection to ensure responsible managers are available for discussion and for the post inspection critique and that other key personnel, such as the custodian, will be available. Unless warranted, unannounced inspections shall be avoided.
A. The responsible manager shall be notified in writing of the results of all inspections. A copy of the report may be sent to the responsible custodian, control officer, or primary security officer. The report shall identify all significant security deficiencies noted during the inspection with specific reference to the appropriate regulation and paragraph. The manager shall be given a specific date by which all deficiencies cited shall be corrected and requested to notify the inspecting office when the corrections have been accomplished.
B. Depending on the severity of the deficiencies, the USGS Security Officer may either conduct a special inspection to determine whether the deficiencies have been corrected or accept management's written statement that the corrective action has been accomplished subject to verification at the next inspection.
5. Close-Out Inspections. A close-out self-inspection shall be accomplished immediately prior to the action to administratively terminate an authorized Top Secret control station, classified material control station, or sensitive compartmented information facility. When conducting a close-out self-inspection, all areas and containers authorized for the storage of classified material shall be checked. The report shall include a statement regarding the location where accountability records will be retained for the prescribed retention period.
Appendix A is a copy of SM 440.3.
Appendix B follows - Security Inspection Checklist
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$SECURITY INSPECTION CHECK LIST $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$Name and Location of Activity: $ Head of Activity: $
$ $ $
$ $ $
$ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$Custodian: $Alternate Custodian: $Security Officer: $
$ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$Inspected By: $Date: $ Name and Location of Inspection Activity $ $ $ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $
$Inspection Rating: $ $
$ $$$ $$$ $ $
$ $$$ Satisfactory $$$ Unsatisfactory $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
CLASSIFICATION/DECLASSIFICATION: $ $ $
$ $ $
1. Classification is only applied to $ $ $
National Security Information. (HB1,1A)* $ $ $
$ $ $
2. Derivative classifiers are designated in $ $ $
writing. (List name and program.) (HB1,4B) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ NAME $LEVEL$ PROJECT $SPONSOR$$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $ $ $$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $ $ $$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $ $ $$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $ $ $$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $
3. Project classified guides are on hand, $ $ $
when available. (HB1,5) $ $ $
$ $ $
4. Material is properly declassified on date$ $ $
or event. (HB1,8A) $ $ $
$ $ $
5. Material is properly downgraded on date $ $ $
or event. (HB1,9) $ $ $
* USGS Handbook 440-3-H, Chapter 1, Paragraph 1, Subparagraph A
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$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
MARKINGS: $ $ $
$ $ $
6. Overall markings are correctly applied to$ $ $
cover, title page, first page and back $ $ $
cover. (HB2,1A(1)) $ $ $
$ $ $
7. Page markings are correctly applied to $ $ $
each interior page. (HB2,1A(2)) $ $ $
$ $ $
8. Portion markings are correctly applied to$ $ $
each section, part, paragraph and subject or $ $ $
title with parenthetical symbols. (HB2,1A(3))$ $ $
$ $ $
9. The name and title of derivative $ $ $
classifier is correctly applied on face of $ $ $
document. (HB2,1B(2)(a)) $ $ $
$ $ $
10. Declassification date or event is $ $ $
carried forward from source document and $ $ $
correctly applied on face of document. $ $ $
(HB2,1B(2)(b)) $ $ $
$ $ $
11. Longest declassification date or event $ $ $
is used with multiple sources. (HB2,1B(2)(c))$ $ $
$ $ $
12. When deriving the classification from $ $ $
multiple sources, each source document is $ $ $
identified on file copy. (HB2,1B(2)(c)) $ $ $
$ $ $
13. When required, downgrading date or event$ $ $
is carried forward from source document and $ $ $
correctly applied on face of document. $ $ $
(HB2,1B(3)) $ $ $
$ $ $
14. When required, dissemination and $ $ $
reproduction limitations are carried forward $ $ $
from source document and correctly applied. $ $ $
(HB2,1B(4) $ $ $
$ $ $
15. Unclassified transmittal documents are $ $ $
marked with highest level of classification $ $ $
transmitted and unclassified when enclosure $ $ $
removed statement. (HB2,3) $ $ $
$ $ $
16. When required, other markings such as $ $ $
FGI, WNINTEL, RD, FRD, NOFORN, NOCONTRACT, $ $ $
and ORCON are carried forward from source $ $ $
document and correctly applied. (HB2,4) $ $ $
2
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
17. Files, folders, and binders which con- $ $ $
tain classified information are conspicuously$ $ $
marked on exterior front and back. (HB2,5) $ $ $
$ $ $
18. Security classification and declassifi- $ $ $
cation instructions are conspicuously affixed$ $ $
on classified material other than paper $ $ $
copies of documents. (HB2,6) $ $ $
$ $ $
19. ADP and word processing storage media $ $ $
bears an internal notation as to the $ $ $
classification level. (HB2,6D) $ $ $
$ $ $
20. ADP and word processing storage media $ $ $
classification markings are applied using $ $ $
Forms SF 706, (TS) Label; SF 707, (S) $ $ $
Label; SF 708, (C) Label; or SF 709, (U) $ $ $
Label. (HB2,6D) $ $ $
$ $ $
21. Working papers and classified waste $ $ $
material are safeguarded and destroyed $ $ $
when no longer needed. (HB2,6G) $ $ $
$ $ $
22. Working papers retained for more than $ $ $
180 days, transmitted, or permanently filed $ $ $
are accounted for, controlled, and marked. $ $ $
(HB2,6G) $ $ $
$ $ $
23. When information is extracted from $ $ $
material classified under previous Executive $ $ $
Orders the old downgrading and declassifica- $ $ $
tion instructions are properly carried $ $ $
forward to the new material. (HB2,7) $ $ $
$ $ $
ACCESS AND DISSEMINATION: $ $ $
$ $ $
24. Access to classified information is $ $ $
restricted to individuals with a security $ $ $
clearance and a need-to-know. (HB3,1A(1)) $ $ $
$ $ $
25. The number of people cleared and granted$ $ $
access to classified information is maintain-$ $ $
ed at the minimum number consistent with $ $ $
operational requirements. (List number $ $ $
cleared by clearance level.) (HB3,1A(1)) $ $ $
3
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ NUMBER CLEARED $ LEVEL $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ TS-SCI $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ S-SDI $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ TS $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ S/Q/L $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
26. Individual security clearances are $ $ $
withdrawn, downgraded or adjusted when an $ $ $
employee no longer need access. $ $ $
(HB3,1B(1)) $ $ $
$ $ $
27. A visit authorization and clearance $ $ $
certification is prepared and processed $ $ $
through the USGS Security Office for visit $ $ $
to other agencies involving access to $ $ $
classified information. (HB3,3A) $ $ $
$ $ $
28. Visit requests received from other $ $ $
agencies are processed through the USGS $ $ $
Security Office. (HB3,3B(3)) $ $ $
$ $ $
29. Special Access Program visit requests $ $ $
involving access to SCI are processed $ $ $
through the Special Security Officer. $ $ $
(HB3,3C) $ $ $
$ $ $
30. A consent record is maintained for $ $ $
disseminating an originating agency`s $ $ $
classified information outside the USGS to a $ $ $
third agency. (HB3,4) $ $ $
$ $ $
31. Required safeguards are taken during $ $ $
hosted meetings, conferences, seminars, etc.,$ $ $
at which classified information is disclosed.$ $ $
(HB3,5) $ $ $ $ $ $
TRANSMISSION: $ $ $
$ $ $
32. Classified material is transmitted $ $ $
outside the facility in opaque double covers,$ $ $
both fully addressed and only the inner cover$ $ $
marked with the highest classification of $ $ $
the material transmitted. (HB4,1A) $ $ $
4
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
33. Classified mail is addressed on both $ $ $
covers to the activity head using appropriate$ $ $
business name and address and, when $ $ $
appropriate, only the inner cover indicates $ $ $
the identity of the intended recipient. $ $ $
(HB4,1B) $ $ $
$ $ $
34. Material used for packaging provides $ $ $
sufficient protection during transit. $ $ $
(HB4.1C) $ $ $
$ $ $
35. Approved cover sheets (SFs 703, 704 & $ $ $
705) are used when classified information is $ $ $
transmitted between offices. (HB4,2) $ $ $
$ $ $
36. Classified Material Receipt (DI-1835) $ $ $
is completed and inserted in the inner $ $ $
envelope for transmission of TS and S $ $ $
material. (HB4,3) $ $ $
$ $ $
37. All TS material is transmitted by the $ $ $
TS Control Officer using approved methods. $ $ $
(HB4,4A) $ $ $
$ $ $
38. All S material is properly transmitted $ $ $
using approved methods. (HB4,4B) $ $ $
$ $ $
39. All C material is properly transmitted $ $ $
using approved methods. (HB4,4C) $ $ $
$ $ $
40. Classified information hand-carried $ $ $
outside the confines of USGS controlled $ $ $
space is properly safeguarded. (HB4,5) $ $ $
$ $ $
41. Before classified information is hand- $ $ $
carried aboard commercial passenger aircraft $ $ $
written authorization is obtained from the $ $ $
USGS Security Officer. (HB4,6) $ $ $
$ $ $
42. Classified information is hand-carried $ $ $
within the U.S. and its territories only by $ $ $
designated couriers authorized by the USGS $ $ $
Security Officer. (HB4,7) $ $ $
$ $ $
ACCOUNTABILITY: $ $ $
$ $ $
43. A TS Control Station has been $ $ $
established at the activity. (If No, go to $ $ $
item 56.) $ $ $
5
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$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
44. A cleared TS Control Officer and $ $ $
alternate have been properly designated in $ $ $
writing. ( SM 440.3.6B(3) & HB5,1A(1)) $ $ $
$ $ $
45. A TS accountability register, Form $ $ $
DI-1834, is correctly maintained. (HB5,1A(2)$ $ $
$ $ $
46. USGS originated TS documents are $ $ $
serialized and marked with copy numbers. $ $ $
(HB5,1A(3)) $ $ $
$ $ $
47. A properly completed TS Access Record, $ $ $
DI-1836, is appended to each TS document. $ $ $
(HB5,1A(4)) $ $ $
$ $ $
48. The DI-1836 is retained 5 years after $ $ $
disposition of the document. (HB5,1A(4)) $ $ $
$ $ $
49. An inventory is conducted semi-annually $ $ $
and all TS documents are page checked. (List$ $ $
last inventory data.) (HB5,1A(5)) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$DATE $No. TS DOCUMENTS $DISCREPANCIES$ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
50. TS material is properly destroyed or $ $ $
retired to a records center when no longer $ $ $
needed. (HB5,1A(6)) $ $ $
$ $ $
51. TS material is accounted for by a $ $ $
continuous chain of receipts using DI-1835. $ $ $
(HB5,1A(7)) $ $ $
$ $ $
52. The DI-1835 is retained for 5 years $ $ $
after the date of receipt. (HB5,1A(7)) $ $ $
$ $ $
53. A record is maintained of the number, $ $ $
distribution, and authority for reproduction $ $ $
of TS material. (HB5,1A(8)) $ $ $
$ $ $
54. A Certificate of Destruction of $ $ $
Classified Material, DI-229, is completed $ $ $
and signed by two witnesses to a page count $ $ $
and the actual destruction. (HB5,1A(9)) $ $ $
6
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$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
55. The DI-229 is retained for 5 years after$ $ $
the date of destruction. (HB5,1A(9)) $ $ $
$ $ $
56. A Classified Material Control Station $ $ $
has been established at the activity. (If $ $ $
No, go to item 68.) $ $ $
$ $ $
57. A cleared custodian and alternate have $ $ $
been properly designated in writing. $ $ $
( SM 440.3.6B(4) & HB5,1B(1)) $ $ $
$ $ $
58. A classified document register, Form $ $ $
DI-1834, is correctly maintained. (HB5,1B(2))$ $ $
$ $ $
59. The DI-1834 is retained for 2 years $ $ $
after disposition of last item. (HB5,1B(2)) $ $ $
$ $ $
60. An inventory is conducted semi-annually $ $ $
of all classified documents. (List last $ $ $
inventory data.) (HB5,1B(3)) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$DATE $No. S $No. C $DISCREPANCIES$ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
61. Classified material is properly $ $ $
destroyed or retired to a records center when$ $ $
no longer needed. (HB5,1B(4)) $ $ $
$ $ $
62. The DI-1835 is retained for 2 years $ $ $
after the date of receipt. (HB5,1B(5)) $ $ $
$ $ $
63. A record is maintained of the authority $ $ $
for reproduction of classified material with $ $ $
dissemination or reproduction limitations. $ $ $
(HB5,1B(6)) $ $ $
$ $ $
64. A Certificate of Destruction of $ $ $
Classified Material, DI-229, for S material $ $ $
is completed and signed by two witnesses to $ $ $
the actual destruction. (HB5,1B(7)) $ $ $
$ $ $
65. The DI-229 for S material is retained $ $ $
for 2 years. (HB5,1B(7)) $ $ $
$ $ $
66. A Certificate of Destruction of $ $ $
Classified Material, DI-229 for C material $ $ $
7
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$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
is completed or the disposition column of $ $ $
the Classified Document Register annotated. $ $ $
(HB5,1B(7)) $ $ $
$ $ $ 67. Working papers are properly safeguarded $ $ $
and, when appropriate, entered in the $ $ $
Classified Document Register. (HB5,1C) $ $ $
$ $ $
CUSTODIAL PRECAUTIONS: $ $ $
$ $ $
68. Classified material is either locked in $ $ $
an approved container or under the direct $ $ $
supervision of an authorized person. $ $ $
(HB6,1A) $ $ $
$ $ $
69. Classified documents removed from $ $ $
storage are protected with a SF 703, 704, $ $ $
or 705 cover sheet. (HB6,1B) $ $ $
$ $ $
70. Typewriter ribbons used in the $ $ $
production of classified documents are $ $ $
properly safeguarded or destroyed. (HB6,1K) $ $ $
$ $ $
71. An end-of-day security check is $ $ $
conducted in each office wherein classified $ $ $
material is handled. (HB6,2A) $ $ $
$ $ $
72. An emergency plan has been prepared for $ $ $
the protection, removal, or destruction of $ $ $
classified material in the case of fire, $ $ $
disaster, or disturbance. (HB6,3B) $ $ $
$ $ $
REPRODUCTION AND DESTRUCTION: $ $ $
$ $ $
73. Copying of classified documents is held $ $ $
to a minimum. (HB7,1A) $ $ $
$ $ $
74. Access to equipment is restricted while $ $ $
it is used to reproduce classified $ $ $
information. (HB7,1B) $ $ $
$ $ $
75. The responsible security officer $ $ $
has approved all equipment used for the $ $ $
reproduction of classified material. $ $ $
(HB7,1C) $ $ $
$ $ $
76. Reproduced copies of classified material$ $ $
are promptly entered in the Classified $ $ $
Document Register. (HB7,1D) $ $ $
8
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
77. Reproduction equipment is cleared of $ $ $
classified information immediately following $ $ $
reproduction and examined. (HB7,1F) $ $ $
$ $ $
78. An approved method is used to completely$ $ $
destroy classified material. (List method, $ $ $
manufacture, model, and location.) (HB7,2A) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$METHOD $MANUFACTURE/MODEL $LOCATION $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
79. Classified waste material is safeguarded$ $ $
and properly destroyed. (HB7,2B) $ $ $
$ $ $
STORAGE: $ $ $
$ $ $
80. The control station has been approved $ $ $
for the storage of classified information $ $ $
by the USGS Security Officer. (HB8,2) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$DATE $LEVEL $ROOM/BUILDING$ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
81. The control station/intelligence $ $ $
registry has been accredited for by an $ $ $
outside agency for a Special Access Program $ $ $
(SAP) or foreign intelligence material. $ $ $
(HB8,2) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$DATE $AGENCY $SAP/SCI $ROOM/BUILDING$ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
82. An approved container or an authorized $ $ $
exception to the standard is used for the $ $ $
storage of classified material. (HB8,3, 4, $ $ $
& 5) $ $ $
9
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$DESCRIPTION $CLASS $HIGHEST LEVEL$ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
83. Combinations to security containers are $ $ $
changed on the occasions required. (HB8,6A) $ $ $
$ $ $
84. Combinations are memorized and afforded $ $ $
protection equal to that of the highest $ $ $
level stored. (HB8,6B) $ $ $
$ $ $
85. A central record of all combinations $ $ $
is maintained. (HB8,6C(1)) $ $ $
$ $ $
86. A central repository for combinations $ $ $
has been established for the secure storage $ $ $
of safe combinations. (HB8,6C(2)) $ $ $
$ $ $
87. The combination to the central $ $ $
repository has been transmitted to a master $ $ $
repository. (HB8,6C(3)) $ $ $
$ $ $
88. A Security Container Information, Form $ $ $
SF 700, is used to record the combination, $ $ $
with Part I affixed to the inside of the $ $ $
control drawer and Part 2 and 2A completed, $ $ $
classified, and stored in a repository. $ $ $
(HB8,6D(1)) $ $ $
$ $ $
89. A Security Container Check Sheet, Form $ $ $
702, is on all classified security containers$ $ $
and properly annotated. (HB8,6D(2)) $ $ $
$ $ $
90. The completed SF 702 is retained for $ $ $
90 days. (HB8,6D(2)) $ $ $
$ $ $
91. Reversible Open-Closed Signs are used on$ $ $
all security containers (HB8, 6D(3)) $ $ $
$ $ $
92. Surplus containers are searched for $ $ $
documents and reset with the factory $ $ $
combination. (HB8,7) $ $ $
10
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
SECURITY VIOLATIONS AND COMPROMISE: $ $ $
$ $ $
93. Reports of loss or possible compromise $ $ $
have been immediately reported to the USGS $ $ $
Security Officer. (List any security $ $ $
violations or compromise during past 12 $ $ $
months.) (HB9,1) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$DATE $DESCRIPTION VIOLATION/COMPROMISE $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
SPECIAL ACCESS PROGRAM: $ $ $
$ $ $
94. A SCIF has been established at the $ $ $
activity. (If No, go to Item 99. If yes, $ $ $
list SAP, accreditation authority, and $ $ $
date.) (HB10,3) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $DATE $ $ $ $
$SAP $AGENCY $ACCREDITED $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
95. A cleared Special Security Officer has $ $ $
been properly designated in writing. ( SM $ $ $
440.3.6B(5) and HB10,2D) $ $ $
$ $ $
96. A cleared Custodian, Foreign $ $ $
Intelligence Registry, has been designated in$ $ $
writing. ( SM 440.3.6B(6) and HB10,2C) $ $ $
$ $ $
97. The procedures and standards for $ $ $
receiving, process, and storing SCI material $ $ $
have been followed. (HB10,2) $ $ $
$ $ $
98. All SCI and SDI material have been $ $ $
properly transmitted through the EMC Master $ $ $
Foreign Intelligence Registry. (HB10,8) $ $ $
11
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
AUTOMATED INFORMATION SYSTEMS PROCESSING: $ $ $
$ $ $
99. Standalone office information system(s) $ $ $
is used to process classified material. (If $ $ $
no, go to item 105. If yes, list identifica-$ $ $
tion, location, authorized classification $ $ $
level, and date approved by USGS Security $ $ $
Officer.) (HB11,3) $ $ $
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$IDENTIFICATION $LOCATION $LEVEL $APPROVED $$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $ $ $$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $ $ $$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $ $ $$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $
$ $ $
100. Internal storage media is cleared or $ $ $
sanitized at the completion of processing. $ $ $
(HB11,4C(1)) $ $ $
$ $ $
101. Removable media removed, marked, and $ $ $
safeguarded at the completion of processing. $ $ $
(HB11,4C(2)) $ $ $
$ $ $
102. Visual displays are protected from $ $ $
unauthorized viewing when processing $ $ $
classified information. (HB11,4C(3)) $ $ $
$ $ $
103. Written site-specific procedures have $ $ $
been published. (HB11,5) $ $ $
$ $ $
104. An approved method is used to clear or $ $ $
sanitize residual data from equipment used to$ $ $
process classified information. (HB11,6) $ $ $
$ $ $
COMMUNICATIONS SECURITY: $ $ $
$ $ $
105. STU-III telephone instruments have been$ $ $
installed. (If no, go to item number 110. $ $ $
If yes, list classification level, location, $ $ $
and terminal display data.) $ $ $
12
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$LEVEL $LOCATION $ ID DISPLAY $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
106. Written STU-III procedures have been $ $ $
published which include office controls and $ $ $
individual responsibilities. (HB12,2C(1)) $ $ $
$ $ $
107. Security education is provided on the $ $ $
proper operation and reporting procedures. $ $ $
(HB12,2C(2)) $ $ $
$ $ $
108. When keyed, the terminal is provided $ $ $
with required safeguards. (HB12,2E) $ $ $
$ $ $
109. The CIK is kept in the immediate $ $ $
personal possession of a user or properly $ $ $
stored. (HB12,2G(3)) $ $ $
$ $ $
SECURITY EDUCATION: $ $ $
$ $ $
110. Prior to granting access to classified $ $ $
information an Initial Briefing is given to $ $ $
cleared employees and a SF 312 signed. $ $ $
(HB13,3) $ $ $
$ $ $
111. The ISOO "Information Security Brief- $ $ $
ing" video is used for the initial briefing. $ $ $
(If no, list briefing method.) (HB13,3) $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $
$ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
112. The ISOO "Classified Information Non- $ $ $
disclosure Agreement Briefing" video is used $ $ $
in conjunction with obtaining a signed $ $ $
SF-312. (If no, list briefing method.) $ $ $
(HB 13,3) $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $ $ $
$ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
13
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ $ $
113. Annual refresher briefings are provided$ $ $
to employees with continued access to class- $ $ $
ified information. (HB 13,4) $ $ $
$ $ $
114. Cleared employees attend a refresher $ $ $
briefing a least biennially. (HB13,4) $ $ $
$ $ $
115. Foreign Travel Briefings are provided $ $ $
to employees with access to classified $ $ $
information as required. (HB13,5A) $ $ $
$ $ $
116. Termination Briefings are provided in $ $ $
conjunction with withdrawal of a security $ $ $
clearance and employees sign a Security $ $ $
Debriefing Acknowledgement portion of the $ $ $
SF 312.) (HB13,6) $ $ $
$ $ $
INDUSTRIAL SECURITY: $ $ $
$ $ $
117. Verification of a valid facility $ $ $
security clearance and safeguarding $ $ $
capability is obtained prior to disclosure $ $ $
of classified information to a contractor. $ $ $
(HB14,3) $ $ $
$ $ $
118. Contract Security Classification $ $ $
Specification, DD Form 254, has been $ $ $
submitted for all contracts involving $ $ $
access to classified information. (HB13,5) $ $ $
$ $ $
119. USGS contract messenger and mail room $ $ $
services that handle classified material in $ $ $
registered or certified mail are cleared $ $ $
under the DISP. (HB14,6) $ $ $
$ $ $
120. USGS contract guard services assigned $ $ $
to safeguard USGS activities in possession of$ $ $
classified material are cleared under the $ $ $
DISP. (HB14,7) $ $ $
$ $ $
SECURITY INSPECTIONS: $ $ $
$ $ $
121. An annual self inspection and biennial $ $ $
USGS and Division Security Officers inspec- $ $ $
tion has been conducted. (List dates of last$ $ $
inspections.) (HB15,2) $ $ $
14
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$DATE $ TYPE $ RATING $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ Self-Inspection $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ Division SO $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ USGS SO $ $ $ $ $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $ $ $
$ $ $
122. A close-out inspection is conducted in $ $ $
conjunction with terminating a control $ $ $
station or SCIF. (HB15,5) $ $ $
$ $ $
123. Accountability records are retained 5 $ $ $
years for terminated TS Control Stations and $ $ $
2 years for terminated Classified Control $ $ $
Stations. (HB15,5) $ $ $
$ $ $ CLASSIFIED PROJECTS: $ $ $
$ $ $
124. Agreements for classified projects $ $ $
sponsored by another agency stipulate which $ $ $
agency's security regulations apply. $ $ $
( SM 440.3.8) $ $ $
$ $ $
125. Copies of agreements are provided to $ $ $
the USGS Security Officer. ( SM 440.3.8) $ $ $
$ $ $
126. Atomic energy materials designated RD $ $ $
and FRD material is safeguarded in accordance$ $ $
with DOE Order 5635.1A. ( SM 440.3.10) $ $ $
$ $ $
REPORTING REQUIREMENTS: $ $ $
$ $ $
127. Classified document inventory reports $ $ $
are timely submitted semi-annually. $ $ $
( SM 440.3.16C(1)) $ $ $
$ $ $
128. Reports of persons cleared for access $ $ $
to classified information are timely $ $ $
submitted semi-annually. ( SM 440.3.16C(2)) $ $ $
$ $ $
129. The number of derivatively classified $ $ $
documents generated are timely reported $ $ $
annually. ( SM 440.3.16C(2)) $ $ $
15
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
$ITEM $ YES $ NO $ REMARKS $
$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$$ $$$$$$$$$$$$$$$$$$$$$$$$$
130. The information required by the SF-311 $ $ $
is timely submitted annually. $ $ $
( SM 440.3.16C(2) $ $ $
$ $ $
$ $ $
$ $ $
$ $ $