AR 380-5 Chapter XII Special Access Programs

AR 380-5 12-100. Policy It is the policy of the Department of Defense to use the security classification categories and the applicable sections of E.0. 12356 (reference (b)) and its implementing ISOO Directive (reference (c)), to limit access to classified information on a ""need-to-know'' basis to personnel who have been determined to be trustworthy. It is further policy to apply the ""need-to-know'' principle in the regular system so that there will be no need to resort to formal Special Access Programs. In this context, Special Access Programs may be created or continued only on a specific showing that: a. Normal management and safeguarding procedures are not sufficient to limit ""need-to-know'' or access; and b. The number of persons who will need access will be reasonably small and commensurate with the objective of providing extra protection for the information involved. No person will receive access to a Special Access Program simply because of rank, title, or position. 1. Favorable consideration for access will be based on a need-to- know determination that access clearly benefits the Special Access Program activity. 2. Army employees officially charged with ensuring legal, fiscal, investigative, or operational oversight of Special Access Programs will be deemed to have a need to know sufficient for access to those programs for which they are responsible. AR 380-5 12-101. Establishment of Special Access Programs Army programs meeting the criteria above will be submitted to the Chief, Technology Management Office (TMO), HQDA (DACS-DMP), WASH DC 20310-0200, for approval as Special Access Programs by the Secretary of the Army. Army Special Access Programs are governed by the provisions of AR 380-381, DA Pamphlet 380-38l (reference (aaaa)), and this regulation. All Army activities involved in Special Access Programs will follow the guidance contained in these publications for managing such programs. a. Procedures for the establishment of Special Access Programs involving NATO classified information are based on international treaty requirements (see DoD Directive 5100.55 (reference (z)). b. The policies and procedures for access to and dissemination of Restricted Data and Critical Nuclear Weapon Design Information are contained in DoD Directive 5210.2 (reference (y)). c. Special Access Programs for foreign intelligence information under the cognizance of the Director of Central Intelligence, or those of the National Telecommunications and Information Systems Security Committee originate outside the Department of Defense. Within Army, such programs are the responsibility of the DCSINT. However, coordination with the DUSD(P) and the Component's central point of contact is necessary before the establishment or implementation of any such Programs by any DoD Component. The information required by paragraph 12-105 a. will be coordinated, and provided for reporting purposes to the Chief, TMO by the Office of the DCSINT. d. Excluding those Programs specified in paragraphs a., b., and c., above, Special Access Programs shall be established within the Military Departments by: 1. Submitting to the Secretary of the Department of the Army, through the Chief, TMO, HQDA (DACS-DMP), WASH DC 20310-0200, the information required under paragraph 12-105 a.; 2. Obtaining written approval from the Secretary of the Department; 3. Providing to the DUSD(P) a copy of the approval; and 4. Maintaining the information and rationale upon which approval was granted within the Military Department's central office. (The Chief, TMO will maintain necessary records of approved Army Special Access Programs. Approval records for each active Special Access Program will be available for review by appropriate officials during the life of the program and for at least 1 year thereafter.) e. Special Access Programs, other than those specified in paragraphs a., b., and c., above, that are desired to be established in any DoD Component other than the Military Departments shall be submitted with the information referred to in paragraph 12-105 a. to the DUSD(P) for approval. AR 380-5 12-102. Review of Special Access Programs a. Excluding those Programs specified in paragraphs 12-101 a., b., or c., each Special Access Program shall be reviewed annually by the DoD Component responsible for establishment of the Program. The Chief, TMO will ensure that Army Special Access Programs are reviewed and revalidated annually. To accommodate such reviews, DoD Components shall institute procedures to ensure the conduct of annual security inspections and regularly scheduled audits by security, contract administration, and audit organizations. In addition, the Chief, TMO will establish special management procedures to ensure: 1. Security for soliciting, awarding, and administering contracts and purchase requests. 2. Compliance with applicable provisions of laws and regulations. 3. Financial accountability and effective oversight on security vulnerabilities, including a method for Special Access Program personnel to report irregularities. 4. Involvement of authorities (such as cognizant security officials, contracting officers, and procurement officials) in the decisionmaking process for establishment of Special Access Program procedures. 5. Compliance with the applicable requirements of AR 380-35 (DoD C-5105.21-M-1, DoD TS-5105.22-M-2, and DoD TS-5205.21-M-3) (references (ccc), (bbb), and (ddd)) for all Special Access Programs that use, handle, store, or develop SCI. 6. Coordination with the DCSINT, as the Senior Official of the Intelligence Community for the Army, on all Special Access Programs involving SCI materiel or requiring participation by the intelligence community. b. Special Access Programs, excluding those specified in paragraphs 12-101 a., b., or c., or those required by treaty or international agreement, shall terminate automatically every 5 years unless reestablished in accordance with the procedures contained in subsection 12-101. AR 380-5 12-103. Control and administration a. Each DoD Component shall appoint an official to act as a single point of contact for information concerning the establishment and security administration of all Special Access Programs established by or existing in the Component. The Chief, TMO is the single point of contact for the establishment and administration of Army Special Access Programs. Such official shall report to the DUSD(P): 1. The establishment of a Special Access Program as required by paragraph 12-101 d.3.; and 2. Changes in Program status as required by paragraphs 12-105 b. or c. b. Officials serving as single points of contact, as well as members of their respective staffs and other persons providing support to Special Access Programs who require access to multiple sets of particularly sensitive information, shall be subject to a counterintelligence-scope polygraph examination periodically but not less than once every 5 years. Additionally, such testing will be subject to the limitations imposed by Congress. The DCSINT is the proponent for the Army counter-intelligence scope polygraph program for SAPs. The program for each DoD Component, as well as requests for waiver, shall be submitted for approval by the DUSD(P). Army requests will be forwarded to HQDA (DAMI-CIS) WASH DC 20310-1051 for coordination with the Chief, TMO, and submission to the DUSD(P). AR 380-5 12-104. Codewords and nicknames Excluding those Programs specified in paragraphs 12-101 a., b., and c., each Special Access Program will be assigned a codeword, a nickname, or both. Codewords and nicknames for Special Access Programs shall be allocated solely by the DUSD(P) through the official appointed under subsection 12-103 (the Army official for allocation of Special Access Program codewords and nicknames is the Chief, TMO). DoD Components may request codewords and nicknames individually or in block. If codewords or nicknames are obtained in block, however, the issuing Component shall promptly notify the DUSD(P) upon activation and assignment. AR 380-5 12-105. Reporting of Special Access Programs a. Report of establishment. Reports to the Secretary of the Military Department or the DUSD(P) required under subsection 12-101 for Special Access Programs shall include: 1. The responsible department, agency, or DoD Component, including office identification; 2. The codeword and/or nickname of the Program; 3. The relationship, if any, to other Special Access Programs in the Department of Defense or other government agencies; 4. The rationale for establishing the Special Access Program including the reason why normal management and safeguarding procedures for classified information are inadequate; 5. The estimated number of persons granted special access in the responsible DoD Component; other DoD Components; other government agencies; contractors; and the total of such personnel; 6. A summary statement pertaining to the Program security requirements with particular emphasis upon those personnel security requirements governing access to Program information; 7. The date of Program establishment; 8. The estimated number and approximate dollar value, if known, of carve-out contracts that will be or are required to support the Program; and 9. The DoD Component official who is the point of contact (last name, first name, middle initial; position or title; mailing address; and telephone number). b. Annual Reports. Annual reports to the DUSD(P) shall be submitted by the Chief, TMO not later than 31 January of each year, showing the changes in information provided under paragraph a., above, as well as the date of last review. Annual reports shall reflect actual rather than estimated numbers of carve-out contracts and persons granted access and shall summarize the results of the inspections and audits required by paragraph 12-102 a. The effective date of information in the annual report shall be 31 December. c. Termination Reports. The DUSD(P) shall be notified immediately by the Chief, TMO, upon termination of a Special Access Program. AR 380-5 12-106. Accounting for Special Access Programs The DUSD(P) shall maintain a listing of approved Special Access Programs. Within Army, the Chief, TMO will coordinate approvals for, and maintain a list of, approved Special Access Programs. AR 380-5 12-107. Limitations on access Access to data reported under this Chapter shall be limited to the DUSD(P) and the minimum number of properly indoctrinated staff necessary to perform the functions assigned the DUSD(P) herein. Access may not be granted to any other person for any purpose without the approval of the DoD Components sponsoring the Special Access Programs concerned. AR 380-5 12-108. ""Carve-out'' contracts a. The Secretaries of the Military Departments and the DUSD(P), or their designees, shall ensure that, in those Special Access Programs involving contractors, special access controls are made applicable by legally binding instruments. The DD Form 254 (Contract Security Classification Specification), classified if necessary, will be used for this purpose. The Chief, TMO, will ensure that: 1. A DD Form 254 is issued for each Special Access Program involving a contractor; each DD Form 254 identifies the specific areas or locations within a contractor's plant that define the extent of the carve-out. 2. A DD Form 254 is provided to the cognizant Defense Investigative Service (DIS) security office, and if applicable, to the Director, Defense Audit Agency. 3. Other appropriate notification is conveyed to the Director, Defense Investigative Service, and to the Director, Defense Audit Agency, in those rare instances when an unusual sensitivity surrounds the Special Access Program. b. To the extent necessary for DIS to execute its security responsibilities with respect to Special Access Programs under its security cognizance, DIS personnel shall have access to all information relating to the administration of these Programs. c. Excluding those Programs specified in paragraph 12-101 c., the use of ""carve-out'' contracts that relieve the DIS from inspection responsibility under the Defense Industrial Security Program is prohibited unless: 1. Such contract supports a Special Access Program approved and administered under subsection 12-101; 2. Mere knowledge of the existence of a contract or of its affiliation with the Special Access Program is classified information (the fact that a classified contract is part of an approved Special Access Program is not sufficient justification for carve-out status); and 3. Carve-out status is approved for each contract by the Secretary of a Military Department, the Director, NSA, the DUSD(P), or their designees. A determination on carve-out status will be based upon a case-by-case assessment coordinated by the Chief, TMO as follows: (a) Contract security administration by the Defense Investigative Service would pose an unacceptable risk to the security of the program. (b) Contract security may be administered effectively and completely by the Army under DoD standards. d. Approval to establish a ""carve-out'' contract must be requested from the Secretary of a Military Department, or designee(s), the Director, NSA, or designee(s) or in the case of other DoD Components, from the DUSD(P). Army activities will submit fully justified requests through the Chief, TMO, HQDA (DACS-DMP) WASH DC 20310-0200 for consideration. Approved ""carve- out'' contracts shall be assured the support necessary for the requisite protection of the classified information involved. The support shall be specified through a system of controls that shall provide for: 1. A written security plan; 2. Professional security personnel at the sponsoring DoD Component performing security inspections at each contractor's facility which shall be conducted, at a minimum, with the frequency prescribed by paragraph 4-103 of DoD 5220.22-R (reference (e)); 3. ""Carve-out'' contracting procedures; 4. A central office of record; and 5. An official to be the single point of contact for security control and administration. DoD Components other than the Military Departments and NSA shall submit such appropriate rationale and security plan along with requests for approval to the DUSD(P). e. An annual inventory of carve-out contracts shall be conducted by each DoD Component which participates in Special Access Programs. HQDA (DACS-DMP) will conduct the annual carve-out inventory and submit reports to DUSD(P), as necessary. f. This subsection relates back to the date of execution for each contract to which carve-out contracting techniques are applied. The carve-out status of any contract expires upon termination of the Special Access Program which it supports. AR 380-5 12-109. Oversight reviews a. The DUSD(P) shall conduct oversight reviews, as required, to determine compliance with this Chapter. The Chief, TMO will coordinate the annual DUSD(P) reviews of Army Special Access Programs. b. Pursuant to statutory authority, the Inspector General, Department of Defense, shall conduct oversight of Special Access Programs.