Attachment 10 Fort Rucker Reg 380-1 Security Procedures (23 December 2016).pdf

Fort Rucker Reg 380-1 • 23 December 2016

*Fort Rucker Reg 380-1

DEPARTMENT OF THE ARMY

HEADQUARTERS, U.S. ARMY GARRISON, FT RUCKER

FORT RUCKER, ALABAMA 36362-5105

Fort Rucker Regulation 23 December 2016 No. 380-1

Security

SECURITY PROCEDURES

Paragraph Page

CHAPTER 1. INTRODUCTION

References ................................................................................... 1-1 5 Purpose ........................................................................................ 1-2 6 Applicability ............................................................................... 1-3 6 Responsibilities ........................................................................... 1-4 6 Waivers ....................................................................................... 1-5 6 Program Management ................................................................. 1-6 6

CHAPTER 2. SECURITY EDUCATION

Initial Security Orientation Training ........................................... 2-1 8 Annual Security Refresher Training ........................................... 2-2 8 Annual Awareness – Managing Soldiers and Civilians with Security Clearance/Access ........................................................ 2-3 8 Threat Awareness and Reporting Program (TARP) ................... 2-4 8 Derivative Classification Training .............................................. 2-5 8 Security Manager Training ......................................................... 2-6 8 Controlled Unclassified Information (CUI) Training ................. 2-7 8 Initial and Refresher Foreign Disclosure (FD) Training ............. 2-8 9 North Atlantic Treaty Organization (NATO) Brief Acknowledgement Statement ................................................... 2-9 9 Supplemental Training ................................................................ 2-10 9 Documentation of Training ......................................................... 2-11 9

CHAPTER 3. PERSONNEL SECURITY PROGRAM

Authority ..................................................................................... 3-1 10 Joint Personnel Adjudication System (JPAS) ............................. 3-2 10 Electronic Questionnaires for Investigations Processing (e-QIP) ...................................................................................... 3-3 10 Initial Investigations .................................................................... 3-4 10 Periodic Reinvestigations (PRs) .................................................. 3-5 11 Position Designation ................................................................... 3-6 11 Harmful Delay in Appointment of Civilians ............................... 3-7 12 Investigation Results ................................................................... 3-8 12 Nondisclosure Agreement ........................................................... 3-9 13 Security Debriefing ..................................................................... 3-10 13 *This regulation supersedes Fort Rucker Reg 380-1, 22 Apr 15

Paragraph Page

Derogatory Information .............................................................. 3-11 13 Commander’s Recommendation ................................................. 3-12 15 DOD CAF Correspondence ........................................................ 3-13 15 Request for Reconsideration/Reinstatement ............................... 3-14 15 Request Copy of Dossier or Letter of Intent (LOI)/ Statement of Reason (SOR) ...................................................... 3-15 16 Risk Analysis .............................................................................. 3-16 16

CHAPTER 4. CLASSIFIED INFORMATION

Safeguarding ............................................................................... 4-1 18 Appointments .............................................................................. 4-2 18 Classification ............................................................................... 4-3 18 Challenging Classification .......................................................... 4-4 19 Receipt and Dispatch .................................................................. 4-5 19 Storage ........................................................................................ 4-6 22 Control When Not Stored ........................................................... 4-7 24 Access Control ............................................................................ 4-8 25 Discussions ................................................................................. 4-9 26 Meetings/Conferences/Classes .................................................... 4-10 26 Telephone and Facsimile (Fax) ................................................... 4-11 27 Marking ....................................................................................... 4-12 27 Electronic Transmission (NIPRNET and SIPRNET) ................. 4-13 28 Portable Electronic Devices ........................................................ 4-14 30 Reproduction ............................................................................... 4-15 30 Upgrading/Downgrading ............................................................ 4-16 30 Hand-Carrying ............................................................................ 4-17 30 Destruction .................................................................................. 4-18 31 Purchase/Transfer/Turn-In of Security Equipment ..................... 4-19 32 Publications Account .................................................................. 4-20 32 Foreign Government Classified Information .............................. 4-21 32 NATO Classified Information .................................................... 4-22 32 Self-Inspections ........................................................................... 4-23 32 Security Violation, Loss or Compromise, or Appearance of Classified in Public Media ........................................................ 4-24 32 Security Reminder Notice ........................................................... 4-25 33

CHAPTER 5. CONTROLLED UNCLASSIFIED INFORMATION (CUI)

For Official Use Only (FOUO) ................................................... 5-1 34 Personally Identifiable Information (PII) .................................... 5-2 34 Privacy Act .................................................................................. 5-3 35 Distribution Restrictions ............................................................. 5-4 35 Safeguarding ............................................................................... 5-5 35 Processing on Information Systems ............................................ 5-6 36 Loss or Unauthorized Disclosure ................................................ 5-7 36

Paragraph Page

CHAPTER 6. CONTACTS WITH FOREIGN NATIONALS AND FOREIGN

DISCLOSURE

Foreign Nationals Not Serving as Representatives of Their Government ............................................................................... 6-1 37 Foreign Government Representatives ......................................... 6-2 37 Foreign Students ......................................................................... 6-3 38 Disclosure of Information to Foreign Representatives During Training and Official Visits ...................................................... 6-4 39 Training Product Disclosure Statement ...................................... 6-5 39

CHAPTER 7. INDUSTRIAL SECURITY

Contractor Security Oversight .................................................... 7-1 40 Responsibilities ........................................................................... 7-2 40 Access to Information ................................................................. 7-3 41 Sharing Classified Security Containers ....................................... 7-4 42 Contacts with Foreign Nationals ................................................. 7-5 42 Reporting Derogatory Information ............................................. 7-6 42 Inspections .................................................................................. 7-7 42

CHAPTER 8. THREAT AWARENESS AND REPORTING PROGRAM (TARP)

Briefing/Debriefing Requirement for All DA Personnel ............ 8-1 43 TARP Incidents ........................................................................... 8-2 43 How to Report ............................................................................. 8-3 44

CHAPTER 9. INSPECTIONS

Access ......................................................................................... 9-1 45 Staff Compliance Inspections ..................................................... 9-2 45 After-Hours Inspections .............................................................. 9-3 45

CHAPTER 10. INFORMATION ASSURANCE (IA)

Duty Positions ............................................................................. 10-1 46 IT Categories ............................................................................... 10-2 46 Access Suspended/Denied/Revoked ........................................... 10-3 46 Questions ..................................................................................... 10-4 46

APPENDIX A. Security Program Implementation Format B. Security Manager/Controlled Unclassified Information (CUI) Officer/Contact Officer Appointment Format C. JPAS Procedures D. e-QIP Procedures E. Harmful Delay in Appointment F. Security Debriefing - Termination of Access G. Notification of Security Clearance Access Suspension H. Commander’s Reporting of Derogatory Information I. Commander’s Access Decision Memorandum J. Risk Analysis Certification K. Security Equipment Inspection Certification

Paragraph Page

L. Courier Briefing M. Request for Continental United States (CONUS) Courier Authorization N. Request for Outside the Continental United States (OCONUS) Courier Authorization O. Preliminary Inquiry Report Format P. Security Reminder Notice Q. SIPRNET Access Procedures R. Security Container Locking Instructions

CHAPTER 1

INTRODUCTION

1-1. REFERENCES.

a. Army Regulation (AR) 12-7, Security Assistance Teams, 23 July 2009.

b. AR 12-15, Joint Security Cooperation Education and Training, 3 January 2011.

c. AR 25-2, Information Assurance, 24 October 2007, Rapid Action Revision, issued 23 March 2009.

d. AR 25-30, Army Publishing Program, 3 June 2015.

e. AR 25-50, Preparing and Managing Correspondence, 17 May 2013.

f. AR 25-55, The Department of the Army Freedom of Information Act Program, 1 November 1997.

g. AR 25-400-2, The Army Records Information Management System (ARIMS), 2 October 2007.

h. AR 340-21, The Army Privacy Program, 5 July 1985.

i. AR 360-1, The Army Public Affairs Program, 25 May 2011.

j. AR 380-5, Department of the Army Information Security Program, 29 September 2000.

k. AR 380-10, Foreign Disclosure and Contacts with Foreign Representatives, 14 July 2015.

l. AR 380-49, Industrial Security Program, 20 March 2013.

m. AR 380-67, Personnel Security Program, 24 January 2014.

n. AR 381-10, U.S. Army Intelligence Activities, 3 May 2007.

o. AR 381-12, Threat Awareness and Reporting Program, 1 June 2016.

p. AR 530-1, Operations Security, 26 September 2014.

q. AR 550-51, International Agreements, 2 May 2008.

r. AR 614-10, Army Military Personnel Exchange Program with Military Service of Other Nations, 14 July 2011.

s. Department of Defense (DOD) Manual 5200.01, Volume 1, DoD Information Security Program:

Overview, Classification, and Declassification, 24 February 2012.

t. DOD Manual 5200.01, Volume 2, DoD Information Security Program: Marking of Classified Information, 24 February 2012, with Change 2, 19 March 2013.

u. DOD Manual 5200.01, Volume 3, DoD Information Security Program: Protection of Classified Information, 24 February 2012, with Change 2, 19 March 2013.

v. DOD Manual 5200.01, Volume 4, DoD Information Security Program: Controlled Unclassified Information (CUI), 24 February 2012.

w. DOD 5220.22-M, National Industrial Security Program Operating Manual (NISPOM), 28 February 2006, with Change 1, 28 March 2013, and Change 2, 18 May 2016.

x. DOD Directive 5230.20, Visits and Assignments of Foreign Nationals, 22 June 2005.

y. DOD Directive 5230.25, Withholding of Unclassified Technical Data From Public Disclosure, 6 November 1984, with Change 1, 18 August 1995.

z. DOD Instruction 5230.24, Distribution Statements on Technical Documents, 23 August 2012, with Change 1, 28 April 2016.

1-2. PURPOSE. This regulation establishes procedures that implement referenced Information, Personnel, and Industrial Security and Foreign Disclosure Programs at Fort Rucker, Alabama. Questions should be directed to Security Division, Directorate of Plans, Training, Mobilization, and Security (DPTMS), building 5700, room 260, telephone 334-255-2200.

1-3. APPLICABILITY.

a. Procedures in this regulation are applicable to all organizations and activities located on or visiting federal property which is owned by or leased to Fort Rucker. Tenant organizations will comply with Army regulations, parent organization policies, and Fort Rucker security procedures.

b. Although the IA, PII, Special Security Office, and Special Access Programs do not fall under the cognizance of the Security Division, the applicable portions that pertain to information, personnel, and industrial security and foreign disclosure are addressed accordingly in this regulation.

1-4. RESPONSIBILITIES. Every person will safeguard sensitive unclassified and classified information, material, and operations related to national defense. Compliance with the requirements of referenced security regulations and this regulation is mandatory. Noncompliance may result in administrative or Uniform Code of Military Justice action.

1-5. WAIVERS. Requests for waivers of requirements contained in references and this regulation will be submitted to Security Division for appropriate coordination. Waivers approved under previous editions must be resubmitted not later than 90 days from this regulation’s published date.

1-6. PROGRAM MANAGEMENT.

a. Security Division will provide security program management that includes establishing security procedures, training personnel, and providing compliance oversight.

b. Directors, brigade/battalion commanders, and heads of activities will document their organization’s security program. The template and recommended format is at appendix A. A security manager, alternate security manager, and CUI officer will be appointed to accomplish the requirements of referenced regulations and this regulation. The format at appendix B will be used for appointment, with a copy provided to Security Division. The security manager will have access to the director, commander, or head of activity; hold a security clearance of Secret or higher, and be of sufficient rank or grade to perform the duties.

NOTE: The security manager and CUI officer may be the one and the same.

CHAPTER 2

SECURITY EDUCATION

2-1. INITIAL SECURITY ORIENTATION TRAINING.

a. U.S. Military and Civilian staff will complete initial on-line security training within 30 days of assignment and before access to classified information is granted.

b. Contractor employees requiring access to classified information will receive initial security training from their contracting company or training approved by the Security Division before access to classified information is granted.

NOTE: If an individual’s security clearance and/or access is reinstated after being suspended, denied, or revoked, he/she must retake the initial on-line security training before access is reinstated.

2-2. ANNUAL SECURITY REFRESHER TRAINING. U.S. Military, Civilian, and contractor staff will complete annual on-line security refresher training. Annual refresher on-line training will be completed within 12 months of initial on-line training or the previous annual refresher training.

2-3. ANNUAL AWARENESS - MANAGING SOLDIERS AND CIVILIANS WITH SECURITY

CLEARANCE/ACCESS. U.S. Military (officers and enlisted personnel in the grade of corporal and above) and Civilian supervisors who manage personnel with clearances/access to classified information will complete annual on-line awareness.

2-4. THREAT AWARENESS AND REPORTING PROGRAM (TARP). TARP training will be provided at the Post Theater or via a method approved by the Security Division. Foreign nationals are not authorized to attend security training.

2-5. DERIVATIVE CLASSIFICATION TRAINING. Military, Civilian, and contractor staff whose responsibilities include derivative classification will complete training approved by the Security Division before producing a derivatively classified document or product. Derivative classifiers are required to receive training at least every 2 years. Derivative classifiers who do not receive training at least every 2 years shall not be authorized or allowed to derivatively classify information until they receive training.

The derivative classification training and exam may be found at http://www.cdse.edu/stepp/index.html.

2-6. SECURITY MANAGER TRAINING.

a. Organization security managers, alternate security managers, Classified Custodians, and U.S.

Army contact officers will receive security management training provided or approved by Security Division within 30 days of appointment. These persons are also encouraged to request funding and attend formal security courses.

b. Security managers and alternate security managers require a JPAS account and must take the JPAS/Joint Clearance and Access Verification System, Virtual Training for Security Professionals course and pass the exam found at http://www.cdse.edu/stepp/index.html.

2-7. CONTROLLED UNCLASSIFIED INFORMATION (CUI) TRAINING. All individuals will complete initial and annual CUI training approved by Security Division.

http://www.cdse.edu/stepp/index.html http://www.cdse.edu/stepp/index.html

2.8. INITIAL AND REFRESHER FOREIGN DISCLOSURE (FD) TRAINING. All individuals will complete initial and annual foreign disclosure training approved by Security Division.

2-9. NORTH ATLANTIC TREATY ORGANIZATION (NATO) BRIEF ACKNOWLEDGEMENT

STATEMENT. All Military and Civilian personnel who require access to classified information. We do not provide NATO briefings for contractor personnel or trainees/students.

NOTE: All cleared Military and Civilian personnel who require access in JPAS are required to receive a NATO briefing and sign an acknowledgement statement. The NATO briefing and acknowledgement statement are located at attachment 1 to appendix Q.

2-10. SUPPLEMENTAL TRAINING. The organization security manager will provide supplemental training of sufficient scope and depth to cover security responsibilities related to a specific position or work location.

2-11. DOCUMENTATION OF TRAINING. Organization security managers will track and maintain a record of personnel who have completed security training. This documentation will be in a format and location that is easily accessible for inspection. U.S. Military, Civilian, and contractor personnel will provide the certificate of completion for each on-line training course to their security manager.

CHAPTER 3

PERSONNEL SECURITY PROGRAM

3-1. AUTHORITY.

a. Based on AR 380-67, the Chief, Security Division has been delegated the authority to make interim eligibility and access determinations in accordance with (IAW) Army regulatory and policy guidance.

b. The Chief, Security Division may suspend access to classified information when there is noncompliance with a security requirement or when significant credible derogatory information is reported.

3-2. JOINT PERSONNEL ADJUDICATION SYSTEM (JPAS). JPAS is the Web-based system of record for documentation of security eligibility and access level. Primary and alternate security managers must obtain and maintain JPAS accounts to ensure personnel have the appropriate security clearance and access level. Security Division is the functional administrator to establish JPAS user accounts and procedures. Procedures are located in appendix C. The JPAS Web site may be found at https://www.dmdc.osd.mil/psawebdocs/docPage.jsp?p=JPAS.

3-3. ELECTRONIC QUESTIONNAIRES FOR INVESTIGATIONS PROCESSING (e-QIP).

e-QIP is the Web-based system for completion of investigative forms. The Personnel Security Investigation-Center of Excellence (PSI-COE) is used for submission of personnel security and suitability investigations. Once PSI-COE grants the individual e-QIP access, he/she must complete the required forms within 5 calendar days. Procedures are at appendix D.

3-4. INITIAL INVESTIGATIONS. In order to obtain a security clearance, the requisite investigation must be completed. Listed below are the types of investigations required for each level of security clearance:

a. TOP SECRET: A favorable Tier 5 (T5), Tier 5R (T5R) or Single Scope Background Investigation (SSBI).

b. SECRET: An existing favorable T5, T5R, SSBI or:

(1) Military personnel: A favorable Tier 3 (T3), Tier 3R (T3R), or National Agency Check with Local Agency and Credit Check (NACLC).

(2) Civilian personnel: A favorable T3, T3R, or Access National Agency Check and Inquiries

(ANACI).

(3) Contractor personnel: A favorable T3, T3R, NACLC, or ANACI.

c. CONFIDENTIAL: Any investigation under the appropriate category (Military, Civilian, or contractor) listed for Top Secret or Secret security clearance.

NOTE: The contracting company’s facility security officer submits investigation requests for contractor personnel who require a security clearance.

https://www.dmdc.osd.mil/psawebdocs/docPage.jsp?p=JPAS

3-5. PERIODIC REINVESTIGATIONS (PRs).

a. PRs are required to update previously completed investigations for all personnel who require access to classified information. The submission and completion of PRs ensure continued access for individuals who require access to classified information. PRs will not be submitted for personnel who are within 12 months of retirement.

b. There are two types of PRs:

(1) Top Secret PRs: T5R will be submitted to Security Division 30 days prior to the 5-year anniversary date of the last investigation. Fort Rucker Form 2740-E (Security Investigation Request Data Sheet) will be used. See attachment 1 to appendix D.

(2) Secret PRs: T3R will be submitted to Security Division 30 days prior to the 10-year anniversary date of the last investigation. Fort Rucker Form 2740-E will be used. See attachment 1 to appendix D.

c. Security managers and/or Security Management Offices will conduct JPAS PR queries and follow the procedures outlined in appendix D.

3-6. POSITION DESIGNATION. Each duty position is designated a degree of security sensitivity, which identifies the level of security clearance and investigation required for that position.

a. Military Positions: Security clearances and investigations for Military personnel are based on the assigned duty position listed on tables of distribution and allowances and/or the military occupational specialty (MOS).

b. Civilian Positions: Each Civilian position is designated a position sensitivity level. Position sensitivity levels are based on the duties and responsibilities required for a particular position. The supervisor determines the position sensitivity level; therefore, it is imperative that the position is coded properly on recruitment actions. Position sensitivity levels will not be downgraded or upgraded to accommodate a recruitment action. The three types of position sensitivity are:

(1) Critical-Sensitive/Special Sensitive: This designation is determined by positions with duties that involve:

(a) Access to Top Secret information.

(b) Developing or approving plans, policies, or programs that impact the operations of DOD.

(c) Developing or approving war plans or future special operations of war.

(d) Investigative or certain investigative support duties, the adjudication process, access authorization, or making personnel security determinations.

(e) Fiduciary or public trust.

(f) The Special Access Program.

(g) IT-I. The definition of this designation is provided in chapter 11. (AR 380-67 identifies it as ADP-I. AR 380-67 has not been updated to reflect the new designation per AR 25-2.)

(2) Noncritical-Sensitive: This designation is determined by positions with duties that involve:

(a) Access to Secret or Confidential information.

(b) Security police/provost marshal/law enforcement.

(c) IT-II. The definition of this designation is provided in chapter 11. (AR 380-67 identifies it as ADP-II. AR 380-67 has not been updated to reflect the new designation per AR 25-2.)

(d) Educating and orientating DOD personnel.

(e) Designing, operating, or maintaining intrusion detection systems.

(3) Nonsensitive: This designation is given to all other positions.

c. Contractor Positions: Security clearances and investigations for contractor personnel are based on contract requirements.

3-7. HARMFUL DELAY IN APPOINTMENT OF CIVILIANS. Appointment to a noncritical-sensitive position may be made when the appropriate investigation has been initiated but not completed if the director, brigade/battalion commander, or head of activity makes a harmful delay determination.

Appointment to a critical-sensitive or special sensitive position may be made after favorable completion of a National Agency Check (NAC) but before completion of the T5 or SSBI if the director, brigade/battalion commander, or head of activity makes a harmful delay determination. The memorandum at appendix E will be used to coordinate and document a harmful delay.

3-8. INVESTIGATION RESULTS.

a. When a security clearance is required, the investigation results are sent to the DOD Consolidated Adjudications Facility (DOD CAF) for adjudication.

b. If a Civilian employee is in a non-sensitive position, the investigation results are returned to the requesting agency for a suitability/trustworthiness determination. The investigation results are forwarded to the Civilian Personnel Advisory Center (CPAC) for the determination, and the determination will be filed in the employee’s official personnel folder.

c. It is the contracting company’s responsibility to submit investigation requests for contractor employees who require a security clearance. After the investigation is complete, the investigation results are forwarded to the DOD CAF for a security clearance determination.

d. If a contractor employee is working on an “unclassified” contract, which does not require a security clearance, a suitability/trustworthiness investigation, Tier 1, is required. The U.S. Army organization security manager is required to submit the investigation request to Security Division. The DOD CAF will adjudicate favorable investigation results. Unfavorable investigation results will be returned to Security Division. Security Division will forward the results to the organization for the Government’s certifying official to make a suitability/trustworthiness determination. The certifying official is usually the contracting officer’s representative (COR).

3-9. NONDISCLOSURE AGREEMENT.

a. A Classified Information Nondisclosure Agreement must be documented in JPAS before access to classified information is granted. If not previously entered, the organization security manager will request that the individual provide identification and read, date, and sign the Standard Form (SF) 312 (Classified Information Nondisclosure Agreement). The organization security manager will sign in the “witness block” and in the “acceptance block” if an oral attestation is not required.

b. An oral attestation must be documented in JPAS before access to Top Secret information is granted. If not previously entered, the individual will read the following statement in the presence of the organization security manager and a witness: “I accept the responsibilities associated with being granted access to classified national security information. I am aware of my obligation to protect classified national security information through proper safeguarding and limiting access to individuals with the proper security clearance and official need-to-know. I further understand that, in being granted access to classified information, a special confidence and trust has been placed in me by the U.S. Government.”

The organization security manager will enter “Attestation completed on (date)” in block 12 of the SF 312.

The witness will sign in the “witness block” and the organization security manager will sign in the “acceptance block.”

c. The organization security manager will document the signing of the SF 312 and the oral attestation date in JPAS and forward the original SF 312 to Security Division. Security Division will provide original SFs 312 to the Personnel Management Branch to be loaded in the Interactive Personnel Electronic Records Management System (i-PERMS) for entry to Soldiers’ official military personnel file, and to CPAC for Civilian employees, except intelligence-related positions which will be retained in Security Division files for 70 years.

3-10. SECURITY DEBRIEFING.

a. When a Soldier or Civilian employee who holds a security clearance transfers from one Fort Rucker organization to another Fort Rucker organization, a security debriefing is not required. The losing organization security manager will remove the individual’s access in JPAS and notify Security Division of the transfer. If access is required, the gaining organization security manager will submit a request to Security Division.

b. When a Soldier or Civilian employee who holds a security clearance leaves Government service, or when a security clearance is suspended, revoked, denied, or administratively terminated, the organization security manager will provide the security debriefing located in appendix F and request the Soldier or Civilian employee to sign the Security Debriefing Acknowledgement section of the SF 312. If the original SF 312 is not available, the individual will sign a Department of the Army (DA) Form 2962 (Security Termination Statement). The original SF 312 or DA Form 2962 will be forwarded to Security Division. Security Division will be notified if a person refuses to sign.

c. When the SF 312 or DA Form 2962 debriefing portion is signed by the individual, the losing organization security manager will out-process him/her in JPAS (Debrief Non-SCI [Enter Debrief Date and Reason for Debrief] and remove ownership).

3-11. DEROGATORY INFORMATION.

a. Any person learning of credible derogatory information regarding personnel assigned to Fort Rucker will report that information to Security Division. The provost marshal will provide a daily copy of the Military Police Blotter Report to the Chief, Security Division.

b. Upon receipt of credible derogatory information within the scope of AR 380-67, paragraph 2-4, directors, brigade/battalion commanders, and heads of activities will determine if suspension of access to classified information and performance of sensitive duties is necessary. Security Division will be notified of the derogatory information and the suspension decision. The organization will submit an initial report when the incident occurs. Follow-up reports will be submitted every 90 days. A final report will be submitted when final disposition is completed.

c. There are two types of suspensions:

(1) Informal Suspension: The individual’s access to classified information may be informally suspended until receipt of all pertinent information. The individual will not be allowed access to classified or sensitive information or areas that maintain classified or sensitive information, and unclassified computer access will be terminated. Security Division will notify the U.S. Army Signal Network Enterprise Center (NEC) to terminate network access. Security Division will remove the individual’s access in JPAS. If access is reinstated after all pertinent information is received and determined not to warrant suspension, the organization security manager will notify Security Division and request access be reinstated in JPAS.

(2) Formal Suspension: The individual’s access to classified information may be formally suspended, if warranted. If access is formally suspended, the individual’s supervisor will be notified and the individual will not be allowed access to classified or sensitive information or areas that maintain classified or sensitive information, and unclassified computer access will be terminated. Security Division will notify the NEC to terminate network access. Security Division will notify the DOD CAF of the formal suspension via JPAS and update JPAS with the suspended access. If access is formally suspended, only the DOD CAF can reinstate it.

d. If access to classified information is suspended, the organization security manager will—

(1) Inform the subject of the suspension and obtain acknowledgement using the memorandum located in appendix G.

(2) Provide the briefing located in appendix F.

(3) Forward details of the derogatory information and a copy of the suspension memorandum/acknowledgement to Security Division.

e. The derogatory information provided to Security Division will—

(1) Inform Security Division of the final disposition of the derogatory issue, to include military and civil actions.

(2) Provide copies of relevant documents such as letters of reprimand, Articles 15, or military and civil court verdicts.

(3) Provide the director’s, brigade/battalion commander’s, or head of activity’s recommendation regarding revocation or retention of security clearance. Security Division will forward this information to the DOD CAF with a request for adjudication and their decision to grant, deny, or revoke the security clearance.

f. If the individual’s security clearance is reinstated, he/she must retake initial on-line security training prior to access being granted.

3-12. COMMANDER’S RECOMMENDATION. After the director, brigade/battalion commander, or head of activity makes the suspension determination, that information will be reported to the DOD CAF as a security clearance recommendation. The director, brigade/battalion commander, or head of activity will provide a recommendation using the format located in appendix H for proposed security clearance access suspension.

3-13. DOD CAF CORRESPONDENCE.

a. Documents Received from the DOD CAF. When Security Division receives correspondence from the DOD CAF, the appropriate security manager will be notified. Appointments are required for all correspondence delivered. The security manager or the individual’s supervisor must be present.

b. Documents Sent to the DOD CAF.

(1) When submitting documents to Security Division to be forwarded to the DOD CAF (rebuttals to LOIs), responses to requests for information, follow-up or final incident report memorandums), scan and e-mail the documents to Security Division’s point of contact (POC). If the organization does not have a scanner, the security manager may deliver hardcopy documents to Security Division. When the security manager delivers the documents, a security specialist will review the documents, initial and date the commander’s memorandum, and provide a copy of the initialed memorandum to the security manager.

(2) List of documents required:

(a) Rebuttals to DOD CAF LOIs: Commander’s signed recommendation, individual’s signed memorandum, and supporting documentation.

(b) Responses to DOD CAF Requests for Information: Appropriate documents requested, with signatures if applicable.

(c) Follow-up or Final Incident Reports: Commander’s signed memorandum with details surrounding the allegation/offense, disposition/action taken, and supporting documentation.

c. If an individual receives a LOI to revoke/deny security clearance, within 5 days the director, brigade/battalion commander, or head of activity will provide a written determination to Security Division stating if access to classified information is suspended until a final determination is made by the DOD CAF. The format located in appendix I will be used.

NOTE: The individual should never deliver his/her own paperwork to Security Division. The individual will give his/her documents to the organization security manager. The security manager will obtain the necessary documents from the organization’s commander and submit them.

3-14. REQUEST FOR RECONSIDERATION/REINSTATEMENT.

a. If a security clearance has been denied or revoked and the investigation is over 5 years old, a new investigation request must be submitted. If the investigation is within 5 years, the organization’s commander/director may submit a request for reconsideration/reinstatement. Below are the proper procedures:

(1) If the individual needs copies of the required documents (e.g., LOI, SOR, etc.), he/she must contact the U.S. Army Intelligence and Security Command Freedom of Information/Privacy Office.

Instructions are located in paragraph 3-15.

(2) The individual must prepare a signed rebuttal, answer all issues from the original LOI, and provide supporting documentation. When the rebuttal packet is complete, provide it to the organizations security manager.

(3) The security manager will obtain a commander’s recommendation memorandum and attach it to the individual’s rebuttal.

NOTE: The commander’s signed memorandum must state that it is a request for reconsideration/ reinstatement and address the original revocation/denial issues. The complete packet will be delivered by the security manager to Security Division.

b. Security Division will submit a request for action via the CAF Portal as a reconsideration/ reinstatement and submit the provided documents.

3-15. REQUEST COPY OF DOSSIER OR LETTER OF INTENT (LOI)/STATEMENT OF

REASON (SOR).

a. After an individual’s security clearance is denied or revoked, it is his/her responsibility to obtain a copy of his/her dossier or LOI/SOR, if so desired. To obtain a copy of these documents, the individual must submit a notarized request. If he/she does not have access to a notary service, he/she may submit an unsworn declaration IAW 28 U.S. Code 1746 (see paragraph 3-15b below).

b. If executed within the U.S., its territories, possessions, or commonwealths, the unsworn declaration must state: “I declare (or certify, verify, or state) under penalty of perjury that the forgoing is true and correct. Executed on (date) and include (Signature).”

c. Requests must contain:

(1) Individual’s mailing address. If requesting an electronic copy of records, a valid e-mail address must be provided.

(2) Individual’s personal identifying data: date of birth (DOB), place of birth (POB), and social security number (SSN).

(3) Type of records being requested (dossier or LOI/SOR).

d. Requests will be mailed to the U.S. Army Intelligence and Security Command Freedom of Information/Privacy Office, 4552 Pike Road, Fort Meade, MD 20755.

e. Individuals may e-mail requests to usarmy.meade.902-mi-grp.mbx.inscom-foia-ccf-foia-service-center@mail.mil or fax them to (301) 677-2956.

3-16. RISK ANALYSIS.

a. Each absence without leave will be evaluated by the director, commander, or head of activity to determine if there is a risk of improper disclosure of classified information.

b. Each involuntary separation for cause will be evaluated by a field grade officer or Civilian equivalent in the chain of command to determine if there is a risk of improper disclosure of classified information based on anger, resentment, or perceived mistreatment. This evaluation is to determine if mailto:usarmy.meade.902-mi-grp.mbx.inscom-foia-ccf-foia-service-center@mail.mil mailto:usarmy.meade.902-mi-grp.mbx.inscom-foia-ccf-foia-service-center@mail.mil there is a reasonable basis to believe that the individual may improperly disclose classified information in retaliation for the separation. The initial determination is based on the attitude displayed by the individual and any other information available to management officials. Initial assessment is not intended to be scientifically conclusive, and no specific assessment criteria are provided. The assessment should, however, be based on reasoned judgment. Few, if any, personnel are happy about an involuntary separation; additional indicators must be present to provide a basis for security risk. A favorable determination will be documented using the memorandum located in appendix J from the determining official to the Military Personnel Division (MPD) or CPAC, as appropriate.

c. Security Division will be informed when a risk of improper disclosure is present. Processing of a separation for cause will not be delayed pending resolution of a security issue.

CHAPTER 4

CLASSIFIED INFORMATION

4-1. SAFEGUARDING. Each holder/user of classified information is considered the custodian of the information. Custodians of classified information have a personal, moral, and legal responsibility at all times to protect classified information, whether oral or written, within their knowledge, possession, or control. They are responsible for locking classified information in a General Services Administration (GSA) approved security container whenever it is not in use or under the direct supervision of an authorized person. Further, they must follow procedures to ensure unauthorized persons do not gain access to the classified information in their custody.

4-2. APPOINTMENTS.

a. The Director, NEC, will appoint a Top Secret control officer and alternate. These persons will maintain accountability records for collateral Top Secret that include the title, date of document, identification of originator, copy number, receipt, custodian, disclosure, reproduction, and disposition;

these records will be retained for 5 years.

b. A Classified Custodian is any person who has a valid security clearance, access, and need-to-know and handles classified information. Classified Custodians who are given combinations to security containers or open storage areas will be identified on the SF 700 (Security Container Information) for each security container and open storage area. The Classified Custodian will implement security procedures for security containers and classified information under his/her cognizance. Classified Custodians will hold a security clearance equivalent to the highest classification of information held.

4-3. CLASSIFICATION. Security classifications are applied to information that, if subjected to unauthorized disclosure, could cause damage to national security. Information may be classified in one of two ways: original or derivative.

a. Fort Rucker no longer has an original classification authority (OCA). The Commanding General, U.S. Army Training and Doctrine Command, is the OCA for Confidential and Secret information requiring original classification.

b. Derivative classification is incorporating, restating, paraphrasing, or generating in new form information that has already been determined to be classified. All personnel who have a security clearance and access have the ability to create derivative classification.

(1) Persons who generate material to be derivatively classified will ensure the classification is properly applied based on the original source material marking and security classification guides. Care must be taken to determine whether the paraphrasing, restating, or summarizing of classified has removed or changed the basis for classification; certain information that would otherwise be unclassified may require classification when combined or associated with other unclassified information.

(2) A list of sources will be made when material is derivatively classified based on multiple sources. The list will include the following from each source document: title, publication date, proponent/agency, overall classification level, and point of contact (name, email, and duty phone, if available). This list will be included in, or attached to, all copies of the derivatively classified document or product.

(3) The person who approves derivatively classified material, regardless of media, is responsible for the accuracy of the derivative classification. Each derivatively classified product will identify the person responsible.

4-4. CHALLENGING CLASSIFICATION. Authorized holders who believe classification is unnecessary or inappropriate may challenge classification. The material in question will be safeguarded as classified until the challenge is resolved. The security manager of the organization challenging classification should contact the originator informally to resolve before a formal challenge. Formal challenges will be coordinated through Security Division.

4-5. RECEIPT AND DISPATCH.

a. Top Secret material will be received and dispatched only at the Telecommunications Center or through the Defense Courier Service. The Top Secret control officer will be notified upon receipt.

Receipt by any other means will be immediately reported to Security Division.

b. Secret and Confidential U.S. mail and Defense Message System (DMS) messages will be received through the Directorate of Human Resources (DHR) Official Mail and Distribution Center or the Telecommunications Center and dispatched by persons with the appropriate security clearance.

(1) Individuals authorized to receive classified material from/at the DHR Official Mail and Distribution Center and/or the Telecommunications Center will be designated on a DD Form 577 (Appointment/Termination Record - Authorized Signature) with the following typed in block 14 of the form:

(a) Certification of security clearance.

(b) Security clearance.

(c) Date granted.

(d) Type of investigation.

(e) Date completed.

(f) PR submission date (if submitted).

(g) Signature of organization security manager.

(2) Organization security managers must submit the DD Form 577 directly to the DHR Official Mail and Distribution Center and/or the Telecommunications Center. Forms will be retrieved when personnel leave or authorization is terminated. A complete update of DD Forms 577 will be made during the month of June each year. On 1 July each year, all DD Forms 577 more than 30 days old will be deleted by DHR Official Mail and Distribution Center and Telecommunications Center staff.

(3) Mail.

(a) Incoming. The DHR Mailroom will separate incoming registered and first-class mail marked “Postmaster: Return Service Requested.” This mail will be handled only by DHR Official Mail and Distribution Center staff with a Secret or higher security clearance and will be protected as classified.

Mail that is opened and determined to contain classified and mail that is not opened will be released only to a person with a Secret or higher security clearance authorized to receive classified as designated on DD Form 577. Persons picking up classified at the DHR Official Mail and Distribution Center must possess a courier card. Procedures for hand-carrying classified material are located in paragraph 4-17.

(b) Outgoing.

1. The person mailing the classified material will coordinate with the organization security manager to ensure the document/material is properly marked and wrapped and a DA Form 3964 (Classified Document Accountability Record) has been properly completed. Completion of DA Form 3964 is required for all SECRET material sent by mail and for CONFIDENTIAL material mailed to cleared contractor facilities.

2. The classified material and two copies of the completed DA Form 3964 will be placed in an inner opaque envelope (or container) addressed to the recipient. The envelope will be sealed and marked on both sides with the highest classification of material contained within.

3. The inner envelope will be placed in an outer opaque envelope (or wrapped) and addressed. The outer opaque envelope or wrapping will not have classification markings and will not be addressed to an individual.

4. An additional copy of the completed DA Form 3964 will be retained in a suspense file until the original form is signed and returned by the recipient. If the original form is not received within 30 days of transmittal, the sender will initiate a tracer action to locate the material.

5. Classified information will not be sent to a specific individual or to any non-official address (business, post office box, or home).

6. Detailed below are the specific guidelines for each level of classification:

-- SECRET information may be transmitted by:

--- Any means approved for TOP SECRET information. See AR 380-5, chapter 8.

--- U.S. Postal Service registered mail within and between the 50 states, the District of Columbia, and the Commonwealth of Puerto Rico.

--- U.S. Postal Service express mail within and between the 50 states, the District of Columbia, and the Commonwealth of Puerto Rico. The “Waiver of Signature and Indemnity” block on the U.S. Postal Service express mail label 11-B will not be executed under any circumstances. The use of external, street side, express mail collection boxes is prohibited.

--- U.S. Postal Service registered mail through Army, Navy, or Air Force Postal Service facilities, provided it does not pass out of U.S. control or through any foreign postal service.

--- U.S. Postal Service and Canadian registered mail, with registered mail receipt between U.S. Government and Canadian Government installations in the U.S. and Canada.

--- An overnight or next-day delivery service only in urgent situations requiring next-day delivery. The service must be a current holder of a GSA contract for overnight delivery, be U.S. owned and operated, and provide automated in-transit tracking of the material. This should be used only in exceptional circumstances when no other method of transmission is acceptable and only when authorized by Security Division.

-- CONFIDENTIAL information may be transmitted by:

--- Any means approved for SECRET. However, U.S. Postal Service registered mail will be used for CONFIDENTIAL material only as indicated below:

-- NATO CONFIDENTIAL (NC) information. If NC material is sent between U.S. Government activities within CONUS, its territories, and the District of Columbia, it can be sent by first-class mail.

The caveat “POSTMASTER: RETURN SERVICE REQUESTED” will be affixed to the outer wrapper.

--- U.S. Postal Service certified mail (or registered mail, if required above) for material addressed to DOD contractors and non-DOD agencies.

--- U.S. Postal Service…