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