AR 380-5 Figures and Appendixes A - F
AR 380-5 Figures and Appendixes A - F
AR 380-5 Figures
A-1
A-2
A-3
A-4
A-5
AR 380-5 Appendix B
General Accounting Office Officials Authorized To Certify Security
Clearances
(See paragraph 7-105c)
The Comptroller General, Deputy Comptroller General and Assistant
Comptroller General and Assistants to the Comptroller General
The General Counsel and Deputy General Counsel
The Director and Deputy Director, Personnel; the Security Officer
The Director and Deputy Director, Office of Internal Review
The Director and Assistants to the Director of the Office of
Program Planning and the Office of Policy
The Director and Deputy Directors of the Community and Economic
Development Division
The Director, Deputy Directors, Associate Directors, Deputy
Associate Directors, Senior Group Directors, and the Assistant
to the Director for Planning and Administration of the Energy
and Minerals Division
The Director, Deputy Directors, Associate Directors and Division
Personnel Security Officer of the Human Resources Division
The Directors, Deputy Directors, and Associate Directors, of the
following Divisions:
Claims
Field Operations
Financial and General Management
Studies
General Government
International
Logistics and Communications
Procurement and Systems Acquisition
Program Analysis Division
Directors and Managers of International Division Overseas Offices
as follows:
Director, European Branch,
Frankfurt, Germany
Director, Far East Branch, Honolulu,
Hawaii
Manager, Sub Office, Bangkok,
Thailand
Regional Managers and Assistant Regional Managers of the Field
Operations
Division's Regional Offices as follows:
Atlanta, Georgia
Boston, Massachusetts
Chicago, Illinois
Cincinnati, Ohio
Dallas, Texas
Denver, Colorado
Detroit, Michigan
Kansas City, Missouri
Los Angeles, California
New York, New York
Norfolk, Virginia
Philadelphia, Pennsylvania
San Francisco, California
Seattle, Washington
Washington, D.C.
AR 380-5 Appendix C
Instructions Governing Use of Code Words, Nicknames, and Exercise
Terms
(See subsection 7-209)
1. Definitions
a. Using component. The DoD Component to which a code word is
allocated for use, and which assigns to the word a classified
meaning, or which originates nicknames and exercise terms using
the procedure established by the Joint Chiefs of Staff.
b. Code word. Word selected from those listed in Joint Army-Navy-
Air Force Publication (JANAP) 299 (reference (aa)) and later
volumes, and assigned a classified meaning by appropriate
authority to insure proper security concerning intentions, and to
safeguard information pertaining to actual military plans or
operations classified as Confidential or higher. A code word shall
not be assigned to test, drill or exercise activities. A code word
is placed in one of three categories:
(1) Available. Allocated to the using component. Available code
words individually will be unclassified until placed in the active
category.
(2) Active. Assigned a classified meaning and current.
(3) Canceled. Formerly active, but discontinued due to
compromise, suspected compromise, cessation, or completion of the
operation to which the code word pertained. Canceled code words
individually will be unclassified and remain so until returned to
the active category.
c. Nickname. A combination of two separate unclassified words
which is assigned an unclassified meaning and is employed only for
unclassified administrative, morale, or public information
purposes.
d. Exercise term. A combination of two words, normally
unclassified, used exclusively to designate a test, drill, or
exercise. An exercise term is employed to preclude the possibility
of confusing exercise directions with actual operations
directives.
2. Policy and procedure
a. Code words. The Joint Chiefs of Staff are responsible for
allocating words or blocks of code words from JANAP 299 to DoD
Components. DoD Components may request allocation of such code
words as required and may reallocate available code words within
their organizations, in accordance with individual policies and
procedure, subject to applicable rules set forth herein.
(1) A permanent record of all code words shall be maintained by
the Joint Chiefs of Staff.
(2) The using Component shall account for available code words
and maintain a record of each active code word. Upon being
canceled, the using component shall maintain the record for 2
years; thence the record of each code word may be disposed of in
accordance with current practices, and the code word returned to
the available inventory.
(3) The Deputy Chief of Staff for Operations and Plans (DCSOPS),
HQDA will control and allot blocks of code words from JANAP 299 to
MACOMs and U.S. Army commands on request. Commands are authorized
to make assignments from these code word blocks, subject to rules
in this regulation. The DCSOPS will allocate code words to HQDA
agencies, as needed. Requirements will be submitted in writing to
HQDA(DAMO-ODS), WASH DC 20310-0440.
b. Nicknames
(1) Nicknames may be assigned to actual events, projects,
movement of forces, or other nonexercise activities involving
elements of information of any classification category, but the
nickname, the description or meaning it represents, and the
relationship of the nickname and its meaning must be unclassified.
A nickname is not designed to achieve a security objective.
(2) Nicknames, improperly selected, can be counterproductive. A
nickname must be chosen with sufficient care to ensure that it
does not:
(a) Express a degree of bellicosity inconsistent with traditional
American ideals or current foreign policy;
(b) Convey connotations offensive to good taste or derogatory to
a particular group, sect, or creed; or,
(c) Convey connotations offensive to our allies or other Free
World nations.
(3) The following shall not be used as nicknames:
(a) Any two-word combination voice call sign found in JANAP 119
(reference (aa)) or ACP 110 (reference (vv)). (However, single
words in JANAP 119 or ACP 110 may be used as part of a nickname if
the first word of the nickname does not appear in JANAP 299
(reference (aa)) and later volumes.)
(b) Combination of words including word ""project,''
""exercise,'' or ""operation.''
(b) Words that may be used correctly either as a single word or
as two words, such as ""moonlight.''
(d) Exotic words, trite expressions, or well-known commercial
trademarks.
(4) The Joint Chiefs of Staff shall:
(a) Establish a procedure by which nicknames may be authorized
for use by DoD Components.
(b) Prescribe a method for the using Components to report
nicknames used.
(5) The heads of DoD Components shall:
(a) Establish controls within their Components for the assignment
of nicknames authorized under subparagraph 2.b.(4)(a), above.
(b) Under the procedures established, advise the Joint Chiefs of
Staff of nicknames as they are assigned.
(c) All requests for and changes in nicknames, including
assignments, meanings, changes to meanings, cancellations,
deletions, and possible compromises will be submitted in writing
to HQDA (DAMO-ODS), WASH DC 20310-0440.
c. Exercise term
(1) Exercise terms may be assigned only to tests, drills, or
exercises for the purpose of emphasizing that the event is a test,
drill, or exercise and not an actual operation. The exercise term,
the description or meaning it represents, and the relationship of
the exercise term and its meaning can be classified or
unclassified. A classified exercise term is designed to simulate
actual use of DoD code words and must be employed using identical
security procedures throughout the planning, preparation, and
execution of the test, drill, or exercise to ensure realism.
(2) Selection of exercise terms will follow the same guidance as
contained in subparagraphs 2.b.(2) and (3), above.
(3) The Joint Chiefs of Staff shall:
(a) Establish a procedure by which exercise terms may be
authorized for use by DoD Components.
(b) Prescribe a method for using Components to report exercise
terms used.
(4) The heads of DoD Components shall:
(a) Establish controls within their Component for the assignment
of exercise terms authorized under subparagraph 2.c.(3), above.
(b) Under the procedures established, advise the Joint Chiefs of
Staff of exercise terms as they are assigned.
(c) Exercise terms will be reported as specified in paragraph
b(5), above. All requests for and changes in exercise terms,
including assignments, meanings, changes to meanings,
cancellations, deletions, and possible compromises, will be
submitted in writing to HQDA (DAMO-ODS) WASH DC 20310-0440 in
accordance with AR 525-1 and JCS PUB 6, Vol II.
3. Assignment of classified meanings to code words
a. The DoD Component responsible for the development of a plan or
the execution of an operation shall be responsible for determining
whether to assign a code word.
b. Code words shall be activated for the following purposes only:
(1) To designate a classified military plan or operation;
(2) To designate classified geographic locations in conjunction
with plans or operations referred to in subparagraph 3.b.(1),
above; or,
(3) To conceal intentions in discussions and messages or other
documents pertaining to plans, operations, or geographic locations
referred to in subparagraphs 3.b.(1) and (2), above.
c. The using Component shall assign to a code word a specific
meaning classified Top Secret, Secret, or Confidential,
commensurate with military security requirements. Code words shall
not be used to cover unclassified meanings. The assigned meaning
need not in all cases be classified as high as the classification
assigned to the plan or operation as a whole.
d. Code words shall be selected by each using Component in such
manner that the word used does not suggest the nature of its
meaning.
e. A code word shall not be used repeatedly for similar purposes;
that is, if the initial phase of an operation is designated
""Meaning,'' succeeding phases should not be designated ""Meaning
II'' and ""Meaning III,'' but should have different code words.
f. Each DoD Component shall establish policies and procedures for
the control and assignment of classified meanings to code words,
subject to applicable rules set forth herein.
4. Notice of assignment, dissemination, and cancelation of code
words and meanings
a. The using Component shall promptly notify the Joint Chiefs of
Staff when a code word is made active, indicating the word, and
its classification. Similar notice shall be made when any changes
occur, such as the substitution of a new word for one previously
placed in use. MACOMs, Army Staff agencies, and Field Operating
Agencies will notify HQDA (DAMO-ODS), WASH DC 20310-0440, of all
codeword transactions as specified above.
b. The using Component is responsible for further dissemination
of active code words and meanings to all concerned activities, to
include classification of each.
(1) Dissemination of the code word and its meaning to other DOD
agencies will be made by ODCSOPS at the request of the assigning
authority.
(2) The assigning authority is responsible for disseminating code
words and their meanings to activities within its jurisdiction.
(3) When a MACOM or HQDA Agency receives classified meanings and
related code words from an agency outside DA, the receiving
activity will provide this information to activities under its
jurisdiction when needed for security reasons.
(4) A MACOM that receives a code word and its classified meaning
from an agency outside of the U.S. Army, for which there is no
required action, will retain that information in the office
responsible for maintaining records of code words. No internal
distribution of the meaning will be made without approval from the
original using agency.
(5) If MACOMs or HQDA agencies receive documents or messages that
contain code words but do not have the associated meaning, that
information may be requested, in writing, from the DCSOPS if
officially needed. Requests for the classified meaning will
contain justification for the need.
(6) When a non-DOD Government agency furnishes a word that has a
special meaning for use within DOD, recipients will be informed
that it originated outside the Department and is not subject to
the Department's code word policy. Words of this type will be
safeguarded if required by the classification assigned by the
originator.
c. The using Component is responsible for notifying the Joint
Chiefs of Staff of canceled code words. This cancellation report
is considered final action, and no further reporting or accounting
of the status of the canceled code word will be required.
5. Classification and downgrading instructions
a. During the development of a plan, or the planning of an
operation by the headquarters of the using Component, the code
word and its meaning shall have the same classification. When
dissemination of the plan to other DoD Components or to
subordinate echelons of the using Component is required, the using
Component may downgrade the code words assigned below the
classification assigned to their meanings in order to facilitate
additional planning implementation, and execution by such other
Components or echelons, but code words shall, at a minimum, be
classified Confidential.
b. A code word which is replaced by another code word due to a
compromise or suspected compromise, or for any other reason, shall
be canceled, and classified Confidential for a period of 2 years,
after which the code word will become unclassified.
c. When a plan or operation is discontinued or completed, and is
not replaced by a similar plan or operation but the meaning cannot
be declassified, the code word assigned thereto shall be canceled
and classified Confidential for a period of 2 years, or until the
meaning is declassified, whichever is sooner, after which the code
word will become unclassified.
d. In every case, whenever a code word is referred to in
documents, the security classification of the code word shall be
placed in parentheses immediately following the code word, for
example, ""Label (C).''
e. When the meaning of a code word no longer requires a
classification, the using Component shall declassify the meaning
and the code word and return the code word to the available
inventory.
6. Security practices
a. The meaning of a code word may be used in a message or other
document, together with the code word, only when it is essential
to do so. Active code words may be used in correspondence or other
documents forwarded to addressees who may or may not have
knowledge of the meaning. If the context of a document contains
detailed instructions or similar information which indicates the
purpose or nature of the related meaning, the active code word
shall not be used.
b. In handling correspondence pertaining to active code words,
care shall be used to avoid bringing the code words and their
meanings together. They should be handled in separate card files,
catalogs, indexes, or lists, enveloped separately, and dispatched
at different times so they do not travel through mail or courier
channels together.
c. Code words shall not be used for addresses, return addresses,
shipping designators, file indicators, call signs, identification
signals, or for other similar purposes.
7. All code words formerly categorized as ""inactive'' or
""obsolete'' shall be placed in the current canceled category and
classified Confidential. Unless otherwise restricted, all code
words formerly categorized as '"canceled'' or ""available'' shall
be individually declassified. All records associated with such
code words may be disposed of in accordance with current
practices, provided such records have been retained at least 2
years after the code words were placed in the former categories of
""inactive,'' ""obsolete,'' or ""canceled.''
AR 380-5 Appendix D
Federal Aviation Administration Air Transportation Security Field
Offices
(See paragraph 8-302 a.1)
-------------------------------------------------------------------------------
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City State
Anchorage Alaska
Atlanta Georgia
Baltimore Maryland
Boston Massachusetts
Chicago (O'Hare) Illinois
Cleveland Ohio
Dallas Texas
Denver Colorado
Detroit Michigan
Honolulu Hawaii
Houston Texas
Kansas City Missouri
Las Vegas Nevada
Los Angeles California
Miami Florida
Minneapolis Minnesota
Newark New Jersey
New Orleans Louisiana
New York (John F. Kennedy) New York
New York (La Guardia) New York
Philadelphia Pennsylvania
Pittsburgh Pennsylvania
Portland Oregon
Saint Louis Missouri
San Antonio Texas
San Diego California
San Francisco California
San Juan Puerto Rico
Seattle Washington
Tampa Florida
Tucson Arizona
Washington (Dulles) Washington, D.C.
Washington (National) Washington, D.C.
AR 380-5 Appendix E
Transportation Plan
(See subsection 8-104)
The provisions of subsection 8-104 of this Regulation require that
transmission instructions or a separate transportation plan be
included with any contract, agreement or other arrangement
involving the release of classified material to foreign entities.
The transportation plan is to be submitted to and approved by
applicable DoD authorities. As a minimum, the transportation plan
shall include the following provisions:
a. A description of the classified material together with a
brief narrative as to where and under what circumstances transfer
of custody will occur:
b. Identification, by name or title, of the designated
representative of the foreign recipient government or
international organization who will receipt for and assume
security responsibility for the U.S. classified material
(person(s) so identified must be cleared for access to the level
of the classified material to be shipped);
c. Identification and specific location of delivery points and
any transfer points;
d. Identification of commercial carriers and freight forwarders
or transportation agents who will be involved in the shipping
process, the extent of their involvement, and their security
clearance status;
e. Identification of any storage or processing facilities to be
used and, relative thereto, certification that such facilities are
authorized by competent government authority to receive, store, or
process the level of classified material to be shipped;
f. When applicable, the identification, by name or title, of
couriers and escorts to be used and details as to their
responsibilities and security clearance status;
g. Description of shipping methods to be used as authorized by
the provisions of Chapter VIII, together with the identification
of carriers (foreign and domestic);
h. In those cases when it is anticipated that the U.S.
classified material or parts thereof may be returned to the United
States for repair, service, modification, or other reasons, the
plan must require that shipment shall be via a carrier of U.S. or
recipient government registry, handled only by authorized
personnel, and that the applicable Military Department (for
foreign military sales (FMS)) or Defense Investigative Service
(for commercial sales) will be given advance notification of
estimated time and place of arrival and will be consulted
concerning inland shipment;
i. The plan shall require the recipient government or
international organization to examine shipping documents upon
receipt of the classified material in its own territory and advise
the responsible Military Department in the case of FMS, or Defense
Investigative Service in the case of commercial sales, if the
material has been transferred enroute to any carrier not
authorized by the transportation plan; and
j. The recipient government or international organization also
will be required to inform the responsible Military Department or
the Defense Investigative Service promptly and fully of any known
or suspected compromise of U.S. classified material while such
material is in its custody or under its cognizance during
shipment.
AR 380-5 Appendix F
Program Evaluation Guide
(Note: This appendix lists questions designed to assist Army
activities in their monitorship responsibilities under the
Information Security Program. This is not an all-inclusive
checklist, but can form the basis for locally developed inspection
checklists or self-evaluation guides.)
AR 380-5 F-1. Assign authority to classify
a. Is original classification authority limited to the minimum
number of officials whose duties involve the origination and
evaluation of material requiring protection in the interest of
national security?
b. Is original classification authority exercised only by
officials authorized by the Deputy Chief of Staff for
Intelligence?
c. Are listings of original classification authorities reviewed
at least annually to ensure listed officials have demonstrated a
continuing need for such authority?
d. Are changes to the original classification authority list
forwarded to HQDA (DAMI-CIS) as they occur?
e. Are desk-side briefings given all approved original
classification authorities before they exercise such authority?
AR 380-5 F-2. Originally or derivatively classify information
a. Is information only within authorized categories classified?
b. Are classification guides developed for all Army classified
projects/programs?
c. Is newly created material classified as reflected in the
approved project/program classification guide?
d. If no classification guide exists, has the material been
reviewed for classification by an original classification
authority?
e. If information is extracted from a classified source document,
are all markings carried forward on newly created material?
f. Are classification decisions challenged when material appears
to be unnecessarily classified?
g. Is unclassified material that may be classified referred to an
original classification authority for review?
AR 380-5 F-3. Perform downgrading and declassification
a. Has a particular date or event been determined for the
downgrading or declassification of classified material?
b. Is material marked OADR only when a specific date for
downgrading/declassification cannot be determined?
(1) If declassification action is taken sooner than originally
scheduled, or if duration of classification is extended, are all
holders of the material promptly notified?
(2) Is the material remarked promptly according to the
instructions provided by the originator?
(3) Are permanently valuable classified documents reviewed and
remarked as necessary prior to transfer to records centers?
(4) Are requests for declassification and/or release of
classified information reviewed by the originating agency?
(1) Are program/project classification guides reviewed every 2
years by the proponent?
(2) After the review, are all holders of guides advised in
writing of changes in classification or that the guide is still
current?
AR 380-5 F-4. Properly mark classified material
a. Do all newly created classified documents contain the
following mandatory markings:
(1) Highest overall classification (TOP SECRET, SECRET,
CONFIDENTIAL) on the front cover (or face), title, and first page
of the document?
(2) Agency and office of origin?
(3) Date of document?
(4) Position title of the original classification authority on
""Classified By'' line? Or other source of classification, such as
the title of an approved classification guide?
(5) Specific date or event for downgrading or declassification
(as appropriate)?
(6) If 5 above cannot be determined, OADR?
(7) If the document is classified by ""multiple sources,'' a list
of all such sources on the record file copy of the document?
(8) If information is derived from a source document classified
by ""multiple sources,'' the title of the source document in the
""Classified By'' line of the new document?
(9) Additional warning notices/caveats, (e.g., RESTRICTED DATA)
when reflected on source document(s)?
b. Is every internal paragraph, part, section, portion,
subparagraph, drawing, graph, illustration, etc., of each document
marked with its individual classification (TS), (S), or (C), as
appropriate?
c. Are unclassified portions also individually marked (U) as
appropriate?
(1) Are the markings (TS), (S), (C), or (U) following, and to the
right of, the document subject or title (e.g., The Information
Security Program (U))?
(2) Are unclassified short titles used in lieu of classified
document titles to expedite administrative handling?
(3) Is each interior page of each classified document marked top
and bottom with the highest overall classification of the material
contained on that page (front and back)?
(4) For published documents, in lieu of marking each page
according to its individual classification, is each page of the
published classified document marked top and bottom (front and
back) with the highest overall classification of the entire
document?
(5) Are major components of a complex document (e.g., the
bibliography, index, or glossary) which are likely to be separated
and used individually, marked as separate documents?
(6) If a chapter of a classified document is unclassified in its
entirety, does the first page of the chapter contain a statement
reflecting this fact?
(7) Do electronically transmitted messages contain proper overall
and portion markings?
(8) Do record copies of messages reflect the source of original
or derivative classification?
(9) Are markings applied to special types of classified
materials, such as charts, maps, drawings, photographs, films,
recordings, transparencies and slides, microforms and microfiche,
etc.?
(10) Does the first page of an unclassified transmittal document
(such as a cover letter) reflect the highest classification,
classified by line, downgrading instructions, and special
caveats/markings contained on the enclosed classified document?
(11) Does the unclassified transmittal document also contain a
notation advising that the cover letter is unclassified when the
classified enclosure is removed?
AR 380-5 F-5. Transmit classified information properly
a. Is TOP SECRET information transmitted by Courier Service (DCS)
or an appropriately cleared courier?
b. Is SECRET information transmitted by U.S. Postal Service
REGISTERED mail or an appropriately cleared courier?
c. Is CONFIDENTIAL information transmitted between government
entities via U.S. Postal Service FIRST CLASS mail or EXPRESS mail?
d. Is CONFIDENTIAL information forwarded to or from defense
contractors transmitted via U.S. Postal Service CERTIFIED mail or
EXPRESS mail?
e. Is Federal Express used for overnight delivery of CONFIDENTIAL
information within the United States only?
f. Is U.S. Postal Service REGISTERED mail used to forward:
(1) All NATO CONFIDENTIAL materials?
(2) All CONFIDENTIAL to and from APO/FPO addresses?
(3) All CONFIDENTIAL material dispatched to and from U.S.
activities in Panama?
(4) All CONFIDENTIAL COMSEC materials?
g. Is classified information handcarried only when absolutely
necessary?
h. Are records kept of all classified material being handcarried?
i. Is the handcarrying of classified material outside the U.S.
and on board commercial aircraft-
(1) Limited to emergency situations when the material is not
available at the destination?
(2) Approved only by a MACOM or ARSTAF G2 or Director of Security
and authorized in writing?
(3) Limited to handcarrying to the destination whenever possible
(material mailed back)?
j. Are couriers for classified information:
(1) Cleared to the level of material to be handcarried?
(2) Briefed by the security manager concerning their duties and
procedures to be followed?
(3) Designated in writing by the security manager?
k. Is the courier designation limited to a specific event or
period?
l. Are all term courier designations reviewed and recertified
annually to ensure a bonafide need?
m. Is the handcarried material reconciled with office records to
ensure all information has been returned?
n. Have arrangements been made for authorized storage for
classified material upon arrival at the destination?
o. Is classified information transmitted to a foreign government:
(1) After release to the specific government involved has been
approved by HQDA (DAMI-CIT)?
(2) Only through approved government-to-government channels?
(3) Released to an embassy, official agency, or representative of
the recipient government?
(4) Via direct on-loading by ship, aircraft, or other carrier
designated by the recipient government, provided a recipient
government representative is present at the point of departure?
p. Is all classified material to be handcarried or forwarded
through the U.S. Mail:
(1) Enclosed in two opaque, sealed envelopes or other double
package?
(2) Addressed on the outer envelope to an official government or
DOD contractor with a facility clearance (not to an individual)
and the sender's return address?
(3) Addressed on the inner envelope as in 2 above and marked with
the highest classification of the package contents as well as
applicable caveats/markings?
q. Has a classified document receipt (DA Form 3964) been included
in SECRET packages sent through a mailroom or the U.S. Postal
Service?
r. Did the receiving command retain one copy of the DA Form 3964
as its record of receipt of SECRET material in addition to
forwarding one copy back to the sending activity?
s. Is a receipt also obtained for all SECRET material handcarried
or forwarded by mail to a contractor?
t. Has a classified material receipt been obtained for all TOP
SECRET information, whether transmitted by courier or ARFCOS?
u. Are all DA Forms 3964 and 969s retained for 2 years?
AR 380-5 F-6. Classified information access, dissemination, and
accountability
a. Does the government individual desiring access to classified
information-
(1) Have an official reason for requiring access to classified
material?
(2) Need access to the classified information to accomplish a
bonafide job requirement (need-to-know)?
(3) Possess a security clearance at an appropriate level,
verified by his/her security manager?
(4) Have a courier authorization if material is to be released?
b. Does the defense contractor desiring access to classified
information:
(1) Have a current Army or other government contract requiring
access to the material?
(2) Have a written certification of need-to-know for the material
from the government contracting officer?
(3) Have an approved visit request on file from his/her security
manager with security clearance certification at the appropriate
level?
c. Have arrangements and approvals been obtained in advance prior
to release of classified information to contractors?
d. Does the contractor possess a written courier authorization
from the security manager?
e. Has a receipt been obtained for all classified information
released to contractors?
f. Have procedures been established within the command to
preclude unnecessary access to classified information?
g. Are security clearances revoked for cause when necessary?
h. Have proper procedures been established for the dissemination
of classified material?
i. Is classified information released to foreign nationals only
when authorized under the provisions of the National Disclosure
Policy?
j. Are special restrictions on dissemination of intelligence
information (e.g., Originator Controller (ORCON), No Contractor
Release (NOCONTRACT), etc.) observed?
k. Is consent of the originator or higher authority obtained
before reproduction of TOP SECRET material?
l. Have officials been designated by position title to approve
the reproduction of TOP SECRET and SECRET information?
m. Is copying of classified information kept to the absolute
minimum?
n. Are operators assigned to classified reproduction machines
wherever possible?
o. Has specific reproduction equipment been designated for
copying classified materials?
p. Have the rules for reproduction of classified material been
posted with designated reproduction equipment?
q. Are notices prohibiting classified reproduction posted on
equipment used only for reproduction of unclassified materials?
r. Are copies of classified documents subjected to the same
controls as the originals?
s. Are TOP SECRET accountability registers and access rosters
maintained?
t. Are TOP SECRET documents inventoried annually and excess
material destroyed?
u. Are only mission essential TOP SECRET documents retained?
v. Are SECRET and CONFIDENTIAL documents reviewed annually and
excess materials destroyed?
w. Are classified documents which cannot be destroyed reevaluated
for possible downgrading or declassification?
x. Is a continuous chain of receipts established for all TOP
SECRET documents?
y. Are all TOP SECRET documents numbered serially?
z. Have procedures been established to protect incoming mail
until a determination is made as to whether it contains classified
information?
aa. Are working papers accounted for and controlled in the same
manner as a finished document of the same classification under the
conditions specified in paragraph 7-304a5?
ab. Is the two person rule followed in areas where TOP SECRET and
Special Access Program (SAP) information is stored and accessible?
ac. Are individuals prohibited from working alone after hours in
areas where TOP SECRET and SAP information is stored and
accessible?
ad. Has an exception to policy been submitted and approved for
TOP SECRET and SAP areas where the two-person rule cannot be
implemented?
AR 380-5 F-7. Ensure security of meetings and conferences
a. Have all personnel been advised of the procedures for
obtaining approval to sponsor a classified meeting, conference, or
symposium?
b. Are all classified meetings (non in-house) sponsored by an
Army activity which accepts responsibility for meeting the
security requirements of paragraph 5-205?
c. Has a request for sponsorship approval been submitted to HQDA
(DAMI-CIT) no later than 120 days prior to the planned conference
date?
d. Is the classified conference to be held in a government or
cleared contractor facility?
e. If the answer to 4 above is no, has a request for exception to
policy been submitted to HQDA (DAMI-CIS) no later than 120 days
prior to the conference date?
f. Have authorized foreign industry representatives been included
in all acquisition-related classified meetings?
g. Has approval been obtained from HQDA (DAMI-CIT) for attendance
by foreign representatives?
h. Has approval to sponsor the classified meeting been obtained
from HQDA (DAMI-CIT) prior to making any public announcements or
issuing invitations?
i. Has a security manager for the conference been appointed?
j. Have security measures/access procedures for the conference
been developed?
k. Does the meeting site meet the physical security requirements
for control, storage, and protection of the classified information
to be presented?
l. Are GSA-approved safes available for overnight storage of
classified notes, papers, etc.?
m. Is access to classified sessions limited to government persons
and defense contractors whose security clearance and need-to-know
have been positively established by a written visit request
furnished in advance?
n. In addition, do all contractors' visit requests contain:
(1) The contract number, project or program which pertains to the
subject matter of the classified meeting?
(2) The level of classified access authorized under the contract?
(3) The purpose/justification for attendance?
(4) The government contracting officer's certification of the
person's need to attend?
o. Has approval been obtained from HQDA (DAMI-CIT) for disclosure
of classified information to representatives of the foreign
countries expected to attend?
p. Are only foreign nationals approved by HQDA (DAMI-CIT) allowed
to enter classified sessions?
q. Are all cleared/certified personnel meeting the need-to-know
requirements included on the conference access roster?
r. Is proper identification (driver's license, ID card, etc.)
shown by each person to establish their identity before entering
classified sessions?
s. Are all announcements, invitations, etc. reviewed and approved
by security in advance of issuance to ensure they are
unclassified?
t. Is the loss or compromise of classified information at
conferences or symposia promptly reported by message to HQDA
(DAMI-CIS) and investigated?
u. Are classified symposia conducted by contractors approved in
advance by the Army proponent for the discussion topics?
v. Do contractor requests include the names of proposed attendees
who are not U.S. citizens?
w. Does the request for sponsorship of a classified meeting
(addressed to HQDA (DAMI-CIT)) include:
(1) Subject of meeting, topical outline, and classification of
each topic?
(2) Date and location?
(3) Identity of sponsoring Army activity?
(4) Name, grade, and telephone number of activity point of
contact?
(5) Foreign countries the sponsor desires to invite (or a fully
justified proposal to exclude foreign nationals)?
x. If non-government associations (such as ADPA, AUSA, etc.) are
involved in the conduct of a classified meeting:
(1) Has HQDA (DAMI-CIT) been notified of the non-government
organization involved?
(2) Has HQDA approved the non-government association's
participation?
y. If a non-government association is involved, did the Army
activity's request for sponsorship sent to HQDA (DAMI-CIT)
include:
(1) A summary of subjects, level, and source of classified
information?
(2) The name of the association holding the meeting?
(3) Location of the meeting, including a physical security
certification for the site?
(4) The name, address, and phone number of the point of contact
at the Army sponsoring activity?
(5) The reason for having the classified meeting, conference, or
symposium?
AR 380-5 F-8. Prevent compromise of classified information
a. Are persons aware of their responsibilities in the event of an
actual or possible compromise?
b. Once reported, is a preliminary inquiry immediately conducted
into the circumstances of the incident?
c. Does the preliminary inquiry report include:
(1) Where and when the violation occurred?
(2) Who reported the violation, to whom, and when?
(3) A summary of the incident, identity of the document or
material, and its classification?
(4) An estimate of the cause of the violation, including
contributing factors and identity of the person(s) responsible if
known?
(5) A summary of corrective and/or disciplinary action taken or
anticipated, if applicable?
(6) A recommendation on the need for further investigation (if
further investigation would reasonably reveal the cause(s),
responsibility, and/or compromise aspects of the case)?
d. Does the preliminary inquiry report establish one of the
following findings?
(1) Compromise did not occur?
(2) Compromise did occur?
(3) Probability of compromise is remote?
(4) Probability of compromise is not remote?
e. If a compromise is positively established, or the probability
of compromise is not remote:
(1) Has an estimate of the damage to the national security been
made?
(2) Has the proponent for the compromised information been
advised?
(3) Has a damage assessment been conducted of the compromised
material?
(4) Has mitigating action been taken as a result of the
compromise?
f. Is a formal investigation initiated whenever the preliminary
inquiry is insufficient or if otherwise required?
g. Are formal investigation reports reviewed, approved, and
closed by a final approval authority?
h. Has one copy of the completed report of investigation
involving compromise of TOP SECRET and/or SECRET material been
forwarded through command channels to HQDA (DAMI-CIS)?
i. Are persons aware that they must report unauthorized
disclosures of classified information in newspapers, magazines,
etc. to the commander or security manager?
j. Once notified, is HQDA (DAMI-CIS) promptly advised of the
unauthorized disclosure?
k. Does the report of unauthorized disclosure by HQDA include:
(1) Identification of the classified information involved?
(2) The nature and circumstances of the incident?
(3) The exact identification of the publication or public
broadcast in which the information appeared?
l. If the reporting activity is the proponent of the information,
does the report also include:
(1) An assessment of the accuracy of the information?
(2) The level and source of classification of the information?
(3) A preliminary estimate of the nature and degree of damage to
the national security caused by the disclosure?
(4) Any available information regarding the probable source of
the leak (document, briefing, etc.) and the extent to which the
material was disseminated?
(5) Any available information concerning individuals who may have
been responsible for the disclosure?
m. Has the unauthorized disclosure report been classified to
prevent further dissemination of the information leaked?
n. Has a classification reevaluation of the disclosed information
been accomplished by the proponent?
o. Are all damage assessments developed as a result of probable
or actual compromise, and/or the unauthorized disclosure of
classified information, retained by the proponent?
AR 380-5 F-9. Disposal and destruction of classified information
a. Are all personnel aware that classified material must be
destroyed by either burning, shredding, or other authorized
methods?
b. Has the facility established procedures for the pick up and
destruction of classified waste?
c. Do all personnel follow local procedures for disposal of
classified waste?
d. Is nonrecord classified information and other material of
similar temporary nature destroyed when no longer needed?
e. Is classified material destroyed in the presence of two
witnesses for TOP SECRET information and one witness for SECRET?
f. Do those witnessing classified destruction ensure the method
used precludes later recognition or reconstruction of the
material?
g. Are records of destruction prepared when required?
h. Are records of destruction retained for 2 years?
i. Are waste materials such as handwritten notes, carbon paper,
and working papers containing classified information also
destroyed by authorized methods?
AR 380-5 F-10. Safekeeping and storage of classified information
a. Do containers, vaults, alarm systems, and associated security
devices used for storage and protection of classified material
meet GSA standards?
b. Is information and material afforded protection equal to the
level of classification assigned?
c. Are surveys made of on-hand security storage equipment and
classified records before procurement of new storage equipment?
d. Are exemptions obtained from HQDA (DAMI-CIS) before
procurement of security containers not listed in the GSA Federal
Supply Schedule?
e. Are combinations to security containers changed at least
annually, and as otherwise required?
f. Are records of combinations assigned a security classification
equal to the highest category of information stored in the
containers?
g. Are combinations to security containers disseminated on a
need-to-know basis?
h. When taken out of service, are built-in combination locks
reset to a standard combination of 50-25-50 and combination
padlocks reset to a standard combination of 10-20-30?
i. Do local procedures provide for only cleared or continuously
escorted persons to neutralize lockouts or repair damage to a
container authorized to store classified information?
j. Do custodians of classified material understand their
responsibilities and carry them out?
k. Are procedures established for controlling the removal of
classified information from the facility?
l. Has a briefcase inspection program been established at the
facility and has the policy on the program been prominently
posted?
m. Have all personnel been advised in writing of the intent of
the briefcase inspection policy?
n. Have inspectors been trained in procedures to follow should
individuals attempt to remove classified material without
authorization?
o. When inspections are conducted after normal duty hours,
weekends and holidays, are they conducted at all entry/exit
points?
p. Have courier authorizations been issued to individuals who
have a legitimate need to remove classified material?
q. Have procedures for end-of-day security checks been
established in all offices handling classified material?
r. Have emergency destruction plans been developed and tested?
s. Is security practiced in telephone conversations on nonsecure
telephones?
t. Are classified documents removed from storage kept under
constant surveillance and/or covered?
u. Are preliminary drafts, carbon sheets, work sheets, stencils,
etc. protected according to their content? Are they destroyed
after they have served their purpose?
v. Are appropriate measures taken to protect classified
information located in foreign countries?
AR 380-5 F-11. Provide security education
a. Has a security education program been established?
b. As a minimum, are all personnel familiar with:
(1) The adverse effects caused by unauthorized disclosure of
classified material and their responsibilities for protecting it?
(2) The principles, criteria, and procedures for the
classification, downgrading, declassification, marking, and
dissemination of information?
(3) Procedures for challenging classification decisions?
(4) The specific security requirements of their particular job?
(5) The techniques employed by hostile intelligence to obtain
classified information?
(6) The penalties for engaging in espionage activities?
(7) The strict prohibition against discussing classified
information over an unsecure telephone?
(8) The penalties for violation of this regulation?
(9) The requirement to determine a person's need-to-know and
security clearance prior to allowing them access to classified
information?
(10) The channels for reporting matters of security interest?
(11) The reasons why intelligence information is especially
sensitive?
(12) The objectives of the Army's Operation Security (OPSEC)
Program?
c. Are all personnel aware they must report to their security
manager-
(1) Physical security deficiencies?
(2) The possible or actual loss of classified material?
(3) Adverse information concerning other individuals who possess
a security clearance?
(4) Unauthorized disclosures to the public media?
d. Are foreign travel briefings given to personnel before travel
to alert them to possible exploitation?
e. Are termination briefings given to employees separating from
the Army, or upon termination of employment?
f. Is a Security Termination Statement executed?
g. Are Security Termination Statements retained for 2 years?
h. Have all classified materials in the individual's possession
been recovered?
i. Is CCF notified if an individual refuses to sign a Security
Termination Statement?
j. Are special, in-depth briefings given to personnel who must:
(1) Act as couriers for classified material?
(2) Handcarry classified material outside the U.S. on commercial
aircraft?
(3) Have access to SCI or SAP materials?
(4) Act as Original Classification Authorities (OCAs)?
AR 380-5 F-12. Monitor and manage information security program
a. Have all Army activity commanders and agency heads-
(1) Designated a properly cleared professional commissioned
officer (O-3), warrant officer, or DA civilian (GS-080-9 or above)
as the MACOM or ARSTAF security manager? (Note: Subordinate
element security managers may be of lesser rank/grade than above.)
(2) Established security policy and procedures which comply with
this regulation?
(3) Allocated resources to manage information security program
requirements?
(4) Integrated the security program with mission requirements of
the activity?
b. Have all designated security managers-
(1) Established an activity Information Security Program?
(2) Established an activity program to train employees in the
proper handling, marking, storage, classification,
declassification, upgrading, and downgrading of classified
information?
(3) Established procedures to ensure all personnel with access to
classified information are properly cleared with a need-to-know?
(4) Established a program for self-inspections and periodic
oversight inspections of subordinate elements?
c. Does the security manager ensure the protection of classified
information presented during meetings, symposia, conferences,
etc., sponsored by the activity?
d. Does the security manager act as single point of contact for
coordinating, challenging, and resolving classification and
declassification problems?