CHAPTER 5
Safeguarding Classified Information
Section 1. General Safeguarding Requirements
5-100. General.
Contractors shall be responsible for safeguarding classified
information in their custody or under their control. Individuals
are responsible for safeguarding classified information entrusted
to them. The extent of protection afforded classified information
shall be sufficient to reasonably foreclose the possibility of its
loss or compromise.
5-101. Safeguarding Oral Discussions.
Contractors shall ensure that all cleared employees are aware of
the prohibition against discussing classified information over
unsecured telephones, in public conveyances or places, or in any
other manner that permits interception by unauthorized persons.
5-102. End of Day Security Checks.
a. Contractors that store classified material shall establish a
system of security checks at the close of each working day to
ensure that all classified material and security repositories have
been appropriately secured.
b. Contractors that operate multiple work shifts shall perform
the security checks at the end of the last working shift in which
classified material had been removed from storage for use. The
checks are not required during continuous 24-hour operations.
5-103. Perimeter Controls.
Contractors authorized to store classified material shall establish
and maintain a system to deter and detect unauthorized introduction
or removal of classified material from their facility. The
objective is to discourage the introduction or removal of
classified material without proper authority. If the unauthorized
introduction or removal of classified material can be reasonably
foreclosed through technical means, which are encouraged, no
further controls are necessary. Employees who have a legitimate
need to remove or transport classified material should be provided
appropriate authorization media for passing through designated
entry/exit points. The fact that persons who enter or depart the
facility are subject to an inspection of their personal effects
shall be conspicuously posted at all pertinent entries and exits.
a. All persons who enter or exit the facility shall be subject to
an inspection of their personal effects, except under circumstances
where the possibility of access to classified material is remote.
Inspections shall be limited to buildings or areas where classified
work is being performed. Inspections are not required of wallets,
change purses, clothing, cosmetic cases, or other objects of an
unusually personal nature.
b. The extent, frequency, and location of inspections shall be
accomplished in a manner consistent with contractual obligations
and operational efficiency. Inspections may be done using any
appropriate random sampling technique. Contractors are encouraged
to seek legal advice during the formulation of implementing
procedures and to surface significant problems to the CSA.
5-104. Emergency Procedures.
Contractors shall develop procedures for safeguarding classified
material in emergency situations. The procedures shall be as simple
and practical as possible and should be adaptable to any type of
emergency that may reasonably arise. Contractors shall promptly
report to the CSA, any emergency situation which renders the
facility incapable of safeguarding classified material.
Section 2. Control and Accountability
5-200. General.
Contractors shall establish an information management system and
control the classified information in their possession.
5-201. Policy.
The document accountability system for SECRET material is
eliminated as a security protection measure, except for highly
sensitive program information and where special conditions exist as
approved by the GCA. Contractors shall ensure that classified
information in their custody is used or retained only in
furtherance of a lawful and authorized U.S. Government purpose. The
U.S. Government reserves the right to retrieve its classified
material or to cause appropriate disposition of the material by the
contractor. The information management system employed by the
contractor shall be capable of facilitating such retrieval and
disposition in a reasonable period of time.
5-202. External Receipt and Dispatch Records.
Contractors shall maintain a record that reflects: (a) The date of
the material; (b) The date of receipt or dispatch; (c) The
classification; (d) An unclassified description of the material;
and (e) The identity of the activity from which the material was
received or to which the material was dispatched. Receipt and
dispatch records shall be retained for 2 years.
5-203. Accountability for TOP SECRET.
a. TOP SECRET control officials shall be designated to receive,
transmit, and maintain access and accountability records for TOP
SECRET information. An inventory shall be conducted annually unless
written relief is granted by the GCA.
b. The transmittal of TOP SECRET information shall be covered by
a continuous receipt system both within and outside the facility.
c. Each item of TOP SECRET material shall be numbered in series.
The copy number shall be placed on TOP SECRET documents and on all
associated transaction documents.
5-204. Receiving Classified Material.
All classified material shall be delivered directly to designated
personnel. When U.S. Registered Mail, U.S. Express Mail, U.S.
Certified Mail, or classified material delivered by messenger is
not received directly by designated personnel, procedures shall be
established to ensure that the material is received by authorized
persons for prompt delivery or notice to authorized personnel. The
material shall be examined for evidence of tampering and the
classified contents shall be checked against the receipt.
Discrepancies in the contents of a package, or absence of a receipt
for TOP SECRET and SECRET material, shall be reported promptly to
the sender. If the shipment is in order, the receipt shall be
signed and returned to the sender. If a receipt is included with
CONFIDENTIAL material, it shall be signed and returned to the
sender.
5-205. Generation of Classified Material.
a. A record of TOP SECRET material produced by the contractor
shall be made when the material is: (1) Completed as a finished
document; (2) Retained for more than 30 days after creation,
regardless of the stage of development; or (3) Transmitted outside
the facility.
b. Classified working papers, such as, notes and rough drafts
generated by the contractor in the preparation of a finished
document shall be: (1) Dated when created; (2) Marked with its
overall classification, and with the annotation "WORKING PAPERS;"
and (3) Destroyed when no longer needed.
Section 3. Storage and Storage Equipment
5-300. General.
This Section describes the uniform requirements for the physical
protection of classified material in the custody of contractors.
Where these requirements are not appropriate for protecting
specific types or forms of classified material, compensatory
provisions shall be developed and approved by the CSA. Nothing in
this Manual shall be construed to contradict or inhibit compliance
with the law or building codes. Cognizant security officials shall
work to meet appropriate security needs according to the intent of
this Manual and at acceptable cost.
5-301. General Services Administration (GSA) Storage Equipment.
GSA establishes and publishes uniform standards, specifications,
and supply schedules for security containers, vault door and frame
units, and key-operated and combination padlocks suitable for the
storage and protection of classified information. Manufacturers,
and prices of storage equipment approved by the GSA, are listed in
the Federal Supply Schedule (FSS) catalog (FSC GROUP 71-Part III).
Copies of specifications and schedules may be obtained from any
regional office of the GSA.
5-302. TOP SECRET Storage.
TOP SECRET material shall be stored in a GSA-approved security
container, an approved vault or an approved Closed Area.
Supplemental protection is required.
5-303. SECRET Storage.
SECRET material shall be stored in the same manner as TOP SECRET
material without supplemental protection or as follows:
a. A safe, steel file cabinet, or safe-type steel file container
that has an automatic unit locking mechanism. All such receptacles
will be accorded supplemental protection during non-working hours.
b. Any steel file cabinet that has four sides and a top and
bottom (all permanently attached by welding, rivets or peened bolts
so the contents cannot be removed without leaving visible evidence
of entry) and is secured by a rigid metal lock bar and an approved
key operated or combination padlock. The keepers of the rigid metal
lock bar shall be secured to the cabinet by welding, rivets, or
bolts, so they cannot be removed and replaced without leaving
evidence of the entry. The drawers of the container shall be held
securely, so their contents cannot be removed without forcing open
the drawer. This type cabinet will be accorded supplemental
protection during non-working hours.
5-304. CONFIDENTIAL Storage.
CONFIDENTIAL material shall be stored in the same manner as TOP
SECRET or SECRET material except that no supplemental protection is
required.
5-305. Restricted Areas.
When it is necessary to control access to classified material in an
open area during working hours, a Restricted Area may be
established. A Restricted Area will normally become necessary when
it is impractical or impossible to protect classified material
because of its size, quantity or other unusual characteristic. The
Restricted Area shall have a clearly defined perimeter, but
physical barriers are not required. Personnel within the area shall
be responsible for challenging all persons who may lack appropriate
access authority. All classified material will be secured during
non-working hours in approved repositories or secured using other
methods approved by the CSA.
5-306. Closed Areas.
Due to the size and nature of the classified material, or
operational necessity, it may be necessary to construct Closed
Areas for storage because GSA-approved containers or vaults are
unsuitable or impractical. Closed Areas must be approved by the CSA
and be constructed in accordance with Section 8 of this Chapter.
Access to Closed Areas must be controlled to preclude unauthorized
access. This may be accomplished through the use of a cleared
employee or by a supplanting access control device or system.
Access shall be limited to authorized persons who have an
appropriate security clearance and a need-to-know for the
classified material/information within the area. Persons without
the appropriate level of clearance and/or need to know shall be
escorted at all times by an authorized person where inadvertent or
unauthorized exposure to classified information cannot otherwise be
effectively prevented. The Closed Area shall be accorded
supplemental protection during non-working hours. During such
hours, admittance to the area shall be controlled by locked
entrances and exits secured by either an approved built-in
combination lock or an approved combination or key-operated
padlock. However, doors secured from the inside with a panic bolt
(for example, actuated by a panic bar), a dead bolt, a rigid wood
or metal bar, or other means approved by the CSA, will not require
additional locking devices.
a. Open shelf or bin storage of classified documents in Closed
Areas requires CSA approval. Only areas protected by an approved
intrusion detection system will qualify for such approval.
b. The CSA and the contractor shall agree on the need to
establish, and the extent of, Closed Areas prior to the award of
the contract, when possible, or at such subsequent time as the need
for such areas becomes apparent during performance on the contract.
5-307. Supplemental Protection.
a. Intrusion Detection Systems as described in Section 9 of this
Chapter shall be used as supplemental protection for all storage
containers, vaults and Closed Areas approved for storage of
classified material following publication of this Manual.
b. Security guards approved as supplemental protection prior to
publication of this Manual may continue to be utilized. When guards
are authorized, the schedule of patrol is 2 hours for TOP SECRET
material and 4 hours for SECRET material.
c. GSA-approved security containers and approved vaults secured
with a locking mechanism meeting Federal Specification FF-L-2740,
do not require supplemental protection when the CSA has determined
that the GSA-approved security container or approved vault is
located in an area of the facility with security-in-depth.
5-308. Protection of Combinations to Security Containers, Cabinets,
Vaults and Closed Areas.
Only a minimum number of authorized persons shall have knowledge of
combinations to authorized storage containers. Containers shall
bear no external markings indicating the level of classified
material authorized for storage.
a. A record of the names of persons having knowledge of the
combination shall be maintained.
b. Security containers, vaults, cabinets, and other authorized
storage containers shall be kept locked when not under the direct
supervision of an authorized person entrusted with the contents.
c. The combination shall be safeguarded in accordance with the
highest classification of the material authorized for storage in
the container. Superseded combinations shall be destroyed.
d. If a record is made of a combination, the record shall be
marked with the highest classification of material authorized for
storage in the container.
5-309. Changing Combinations.
Combinations shall be changed by a person authorized access to the
contents of the container, or by the FSO or his or her designee.
Combinations shall be changed as follows:
a. The initial use of an approved container or lock for the
protection of classified material.
b. The termination of employment of any person having knowledge
of the combination, or when the clearance granted to any such
person has been withdrawn, suspended, or revoked.
c. The compromise or suspected compromise of a container or its
combination, or discovery of a container left unlocked and
unattended.
d. At other times when considered necessary by the FSO or CSA.
5-310. Supervision of Keys and Padlocks.
Use of key-operated padlocks are subject to the following
requirements: (i) a key and lock custodian shall be appointed to
ensure proper custody and handling of keys and locks used for
protection of classified material; (ii) a key and lock control
register shall be maintained to identify keys for each lock and
their current location and custody; (iii) keys and locks shall be
audited each month; (iv) keys shall be inventoried with each change
of custody; (v) keys shall not be removed from the premises; (vi)
keys and spare locks shall be protected equivalent to the level of
classified material involved; (vii) locks shall be changed or
rotated at least annually, and shall be replaced after loss or
compromise of their operable keys; and (viii) making master keys is
prohibited.
5-311. Repair of Approved Containers.
Repairs, maintenance, or other actions that affect the physical
integrity of a security container approved for storage of
classified information shall be accomplished only by appropriately
cleared or continuously escorted personnel specifically trained in
approved methods of maintenance and repair of containers.
a. An approved security container is considered to have been
restored to its original state of security integrity if all damaged
or altered parts are replaced with manufacturer's replacement or
identical cannibalized parts.
b. GSA-approved containers manufactured prior to October 1990,
and often referred to as BLACK labeled containers, can be
neutralized by drilling a hole adjacent to or through the dial ring
of the container, thereby providing access into the locking
mechanism to open the lock. Before replacement of the damaged
locking mechanism, the drill hole will have to be repaired with a
plug which can be: (1) A tapered, hardened tool-steel pin; (2) A
steel dowel; (3) A drill bit; or (4) A steel ball bearing. The plug
must be of a diameter slightly larger than the hole, and of such
length that when driven into the hole there shall remain at each
end a shallow recess not less than 1/8 inch or more than 3/16 inch
deep to permit the acceptance of substantial welds. Additionally,
the plug must be welded on both the inside and outside surfaces.
The outside of the drawer or door must then be puttied, sanded, and
repainted in such a way that no visible evidence of the hole or its
repair remains after replacement of the damaged parts with the new
lock.
c. GSA-approved containers manufactured after October 1990 and
containers equipped with combination locks meeting Federal
specification FF-L-2740 require a different method of repair. These
containers, sometimes referred to as RED labeled containers, have
a substantial increase in lock protection which makes the
traditional method of drilling extremely difficult. The process for
neutralizing a lockout involves cutting the lock bolts by sawing
through the control drawerhead. The only authorized repair is
replacement of the drawerhead and locking bolts.
d. Approved security containers that have been drilled or
repaired in a manner other than as described above, shall not be
considered to have been restored to their original integrity. The
"Protection" label on the outside of the locking drawer's side and
the "General Services Administration Approved Security Container"
label on the face of the top drawer shall be removed.
e. A container repaired using other methods than those described
above shall not be used for storage of TOP SECRET material, but may
be used for storage of Secret material with the approval of the CSA
and for storage of CONFIDENTIAL material with the approval of the
FSO.
f. A list shall be maintained by the FSO of all approved
containers that have sustained significant damage. Each container
listed shall be identified by giving its location and a description
of the damage. There shall also be on file a signed and dated
certification, provided by the repairer, setting forth the method
of repair used.
5-312. Supplanting Access Control Systems or Devices.
Automated access control systems and electronic, mechanical, or
electromechanical devices which meet the criteria stated in
paragraphs 5-313 and 5-314, below, may be used to supplant
contractor-authorized employees or guards to control admittance to
Closed and Restricted Areas during working hours. Approval of the
FSO is required before effecting the installation of a supplanting
access control device to meet a requirement of this Manual.
5-313. Automated Access Control Systems.
The automated access control system must be capable of identifying
the individual entering the area and authenticating that person's
authority to enter the area.
a. Manufacturers of automated access control equipment or devices
must assure in writing that their system will meet the following
standards before FSO's may favorably consider such systems for
protection of classified information:
(1) Chances of an unauthorized individual gaining access
through normal operation of the equipment are no more than one
in ten thousand.
(2) Chances of an authorized individual being rejected for
access through normal operation of the equipment are no more
than one in one thousand.
b. Identification of individuals entering the area can be
obtained by an identification (ID) badge or card, or by personal
identity.
(1) The ID badge or card must use embedded sensors,
integrated circuits, magnetic stripes or other means of encoding
data that identifies the facility and the individual to whom the
card is issued.
(2) Personal identity verification identifies the individual
requesting access by some unique personal characteristic, such as,
(a) Fingerprint, (b) Hand geometry, (c) Handwriting, (d) Retina, or
(e) Voice recognition.
c. In conjunction with an ID badge or card or personal identity
verification, a personal identification number (PIN) is required.
The PIN must be separately entered into the system by each
individual using a keypad device. The PIN shall consist of four or
more digits, randomly selected with no known or logical association
with the individual. The PIN must be changed when it is believed to
have been subjected to compromise.
d. Authentication of the individual's authorization to enter the
area must be accomplished within the system by comparing the inputs
from the ID badge or card or the personal identity verification
device and the keypad with an electronic database of individuals
authorized into the area. A procedure must be established for
removal of the individual's authorization to enter the area upon
reassignment, transfer or termination, or when the individual's
personnel clearance is suspended or revoked.
e. Locations where access transactions are, or can be displayed,
and where authorization data, card encoded data and personal
identification or verification data is input, stored, displayed, or
recorded must be protected.
f. Control panels, card readers, keypads, communication or
interface devices located outside the entrance to a Closed Area
shall have tamper resistant enclosures, be securely fastened to a
wall or other structure, be protected by a tamper alarm or secured
with an approved combination padlock. Control panels located within
a Closed Area shall require only a minimal degree of physical
security protection sufficient to preclude unauthorized access to
the mechanism. Where areas containing TOP SECRET information are
involved, tamper alarm protection is mandatory.
g. Systems that utilize transmission lines to carry access
authorization, personal identification, or verification data
between devices/equipment located outside the Closed Area shall
receive circuit protection equal to or greater than that specified
as Grade A by UL.
h. Access to records and information concerning encoded ID data
and PINs shall be restricted to individuals cleared at the same
level as the highest classified information contained within the
specific area or areas in which ID data or PINs are utilized.
Access to identification or authorization data, operating system
software or any identifying data associated with the access control
system shall be limited to the least number of personnel possible.
Such data or software shall be kept secured when unattended.
i. Records reflecting active assignments of ID badges/cards,
PINs, levels of access, personnel clearances, and similar system
related records shall be maintained. Records concerning personnel
removed from the system shall be retained for 90 days.
j. Personnel entering or leaving an area shall be required to
immediately secure the entrance or exit point. Authorized personnel
who permit another individual entrance into the area are
responsible for confirming the individual's clearance and
need-to-know. During shift changes and emergency situations, if the
door remains open, admittance shall be controlled by a
contractor-authorized employee or guard stationed to supervise the
entrance to the area.
5-314. Electronic, Mechanical, or Electro-mechanical Devices.
Provided the classified material within the Closed Area is no
higher than SECRET, electronic, mechanical, or electro-mechanical
devices that meet the criteria stated in this paragraph may be used
to supplant contractor authorized employees or guards to control
admittance to Closed Areas during working hours. Devices may be
used that operate by either a push-button combination that
activates the locking device or by a control card used in
conjunction with a push-button combination, thereby excluding any
system that operates solely by the use of a control card.
a. The electronic control panel containing the mechanical
mechanism by which the combination is set may be located inside or
outside the Closed Area. When located outside the Closed Area, the
control panel shall be securely fastened or attached to the
perimeter barrier of the area and secured by an approved
combination padlock. If the control panel is located within the
Closed Area, it shall require only a minimal degree of physical
security designed to preclude unauthorized access to the mechanism.
b. The control panel shall be installed in a manner that
precludes an unauthorized person in the immediate vicinity from
observing the selection of the correct combination of the push
buttons, or have a shielding device mounted.
c. The selection and setting of the combination shall be
accomplished by an employee of the contractor who is authorized to
enter the area. The combination shall be changed as specified in
paragraph 5-309. The combination shall be classified and
safeguarded in accordance with the classification of the highest
classified material within the Closed Area.
d. Electrical gear, wiring included, or mechanical links (cables,
rods, etc.) shall be accessible only from inside the area, or shall
be secured within a protective covering to preclude surreptitious
manipulation of components.
e. Personnel entering or leaving the area shall be required to
immediately lock the entrance or exit point. Authorized personnel
who permit another individual entrance into the area are
responsible for confirming the individual's personnel clearance and
need-to-know. During shift changes and emergency situations, if the
door remains open, admittance shall be controlled by a contractor
authorized employee or guard stationed to supervise the entrance to
the area.
Section 4. Transmission
5-400. General.
Classified material shall be transmitted outside the contractor's
facility in a manner that prevents loss or unauthorized access.
5-401. Preparation and Receipting.
a. Classified information to be transmitted outside of a facility
shall be enclosed in opaque inner and outer covers. The inner cover
shall be a sealed wrapper or envelope plainly marked with the
assigned classification and addresses of both sender and addressee.
The outer cover shall be sealed and addressed with no
identification of the classification of its contents. A receipt
shall be attached to or enclosed in the inner cover, except that
CONFIDENTIAL information shall require a receipt only if the sender
deems it necessary. The receipt shall identify the sender, the
addressee and the document, but shall contain no classified
information. It shall be signed by the recipient, returned to the
sender, and retained for 2 years.
b. A suspense system will be established to track transmitted
documents until a signed copy of the receipt is returned.
c. When the material is of a size, weight, or nature that
precludes the use of envelopes, the materials used for packaging
shall be of such strength and durability to ensure the necessary
protection while the material is in transit.
5-402. TOP SECRET Transmission Outside a Facility.
Written authorization of the GCA is required to transmit TOP SECRET
information outside of the facility. TOP SECRET material may be
transmitted by the following methods within and directly between
the U.S., Puerto Rico, or a U.S. possession or trust territory.
a. The Defense Courier Service (DCS), if authorized by the GCA.
b. A designated courier or escort cleared for access to TOP
SECRET information.
c. By electrical means over CSA approved secured communications
security circuits provided such transmission conforms with this
Manual, the telecommunications security provisions of the contract,
or as otherwise authorized by the GCA.
5-403. SECRET Transmission Outside a Facility.
SECRET material may be transmitted by one of the following methods
within and directly between the U.S., Puerto Rico, or a U.S.
possession or trust territory:
a. By the methods established for TOP SECRET.
b. U.S. Postal Service Express Mail and U.S.Postal Service
Registered Mail. NOTE: The "Waiver of Signature and Indemnity"
block on the U.S. Postal Service Express Mail Label 11-B may not be
executed and the use of external (street side) express mail
collection boxes is prohibited.
c. A cleared "Commercial Carrier."
d. A cleared commercial messenger service engaged in the
intracity/local area delivery (same day delivery only) of
classified material.
e. A commercial delivery company, approved by the CSA, that
provides nation wide, overnight service with computer tracing and
reporting features. Such companies need not be security cleared.
f. Other methods as directed, in writing, by the GCA.
5-404. CONFIDENTIAL Transmission Outside a Facility.
CONFIDENTIAL material shall be transmitted by the methods
established for SECRET material or by U.S. Postal Service Certified
Mail.
5-405. Transmission Outside the U.S., Puerto Rico, or a U.S.
Possession or Trust Territory.
Classified material may be transmitted to a U.S. Government
activity outside the U.S., Puerto Rico, or a U.S. possession or
trust territory only under the provisions of a classified contract
or with the written authorization of the GCA.
a. TOP SECRET may be transmitted by the Defense Courier Service,
Department of State Courier System, or a courier service authorized
by the GCA.
b. SECRET and CONFIDENTIAL may be transmitted by: (1) Registered
mail through U.S. Army, Navy, or Air Force postal facilities; (2)
By an appropriately cleared contractor employee; (3) By a U.S.
civil service employee or military person, who has been designated
by the GCA; (4) By U.S. and Canadian registered mail with
registered mail receipt to and from Canada and via a U.S. or a
Canadian government activity; or (5) As authorized by the GCA.
5-406. Addressing Classified Material.
Mail or shipments containing classified material shall be addressed
to the Commander or approved classified mailing address of a
federal activity or to a cleared contractor using the name and
classified mailing address of the facility. An individual's name
shall not appear on the outer cover. This does not prevent the use
of office code letters, numbers, or phrases in an attention line to
aid in internal routing.
a. When it is necessary to direct SECRET or CONFIDENTIAL material
to the attention of a particular individual, other than as
prescribed below, the identity of the intended recipient shall be
indicated on an attention line placed in the letter of transmittal
or on the inner container or wrapper.
b. When addressing SECRET or CONFIDENTIAL material to an
individual operating as an independent consultant, or to any
facility at which only one employee is assigned, the outer
container shall specify:
"TO BE OPENED BY ADDRESSEE ONLY" and be annotated: "POSTMASTER-DO
NOT FORWARD. IF UNDELIVERABLE TO ADDRESSEE, RETURN TO SENDER."
5-407. Transmission Within a Facility.
Classified material may be transmitted within a facility without
single or double-wrapping provided adequate measures are taken to
protect the material against unauthorized disclosure.
5-408. SECRET Transmission by Commercial Carrier.
SECRET material may be shipped by a commercial carrier that has
been approved by the CSA to transport SECRET shipments. Commercial
carriers may be used only within and between the 48 contiguous
States and the District of Columbia or wholly within Alaska,
Hawaii, Puerto Rico, or a U.S. possession or trust territory. When
the services of a commercial carrier are required, the contractor,
as consignor, shall be responsible for the following.
a. The material shall be prepared for transmission to afford
additional protection against pilferage, theft, and compromise as
follows.
(1) The material shall be shipped in hardened containers
unless specifically authorized otherwise by the contracting agency.
(2) Carrier equipment shall be sealed by the contractor or a
representative of the carrier, when there is a full carload, a full
truckload, exclusive use of the vehicle, or a closed and locked
compartment of the carrier's equipment is used. The seals shall be
numbered and the numbers indicated on all copies of the bill of
lading (BL). When seals are used, the BL shall be annotated
substantially as follows:
DO NOT BREAK SEALS EXCEPT IN CASE OF EMERGENCY OR UPON PRIOR
AUTHORITY OF THE CONSIGNOR OR CONSIGNEE. IF FOUND BROKEN OR IF
BROKEN FOR EMERGENCY REASONS, APPLY CARRIER'S SEALS AS SOON AS
POSSIBLE AND IMMEDIATELY NOTIFY BOTH THE CONSIGNOR AND THE
CONSIGNEE.
(3) For DoD contractors the notation "Protective Security
Service Required" shall be reflected on all copies of the BL. The
BL will be maintained in a suspense file to follow-up on overdue or
delayed shipments.
b. The contractor shall utilize a qualified carrier selected by
the U.S. Government that will provide a single-line service from
point of origin to destination, when such service is available, or
by such transshipping procedures as may be specified by the U.S.
Government.
c. The contractor shall request routing instructions, including
designation of a qualified carrier, from the GCA or designated
representative (normally the government transportation officer).
The request shall specify that the routing instructions are
required for the shipment of SECRET material and include the point
of origin and point of destination.
d. The contractor shall notify the consignee (including U.S.
Government transshipping activity) of the nature of the shipment,
the means of the shipment, numbers of the seals, if used, and the
anticipated time and date of arrival by separate communication at
least 24 hours in advance, (or immediately on dispatch if transit
time is less than 24 hours) of the arrival of the shipment. This
notification shall be addressed to the appropriate organizational
entity and not to an individual. Request that the consignee
activity (including a military transshipping activity) notify the
consignor of any shipment not received within 48 hours after the
estimated time of arrival indicated by the consignor.
e. In addition, the contractor shall annotate the BL:
"CARRIER TO NOTIFY THE CONSIGNOR AND CONSIGNEE (Telephone
Numbers) IMMEDIATELY IF SHIPMENT IS DELAYED BECAUSE OF AN
ACCIDENT OR INCIDENT. IF NEITHER CAN BE REACHED, CONTACT
(Enter appropriate HOTLINE Number). USE HOTLINE NUMBER TO
OBTAIN SAFE HAVEN OR REFUGE INSTRUCTIONS IN THE EVENT OF A
CIVIL DISORDER, NATURAL DISASTER, CARRIER STRIKE OR OTHER
EMERGENCY."
5-409. CONFIDENTIAL Transmission by Commercial Carrier.
CONFIDENTIAL material may be shipped by a CSA or GCA-approved
commercial carrier. For DoD contractors a commercial carrier who is
authorized by law, regulatory body, or regulation to provide the
required transportation service shall be used when a determination
has been made by the Military Traffic Management Command (MTMC)
that the carrier has a tariff, government tender, agreement, or
contract that provides Constant Surveillance Service. Commercial
carriers may be used only within and between the 48 contiguous
states and the District of Columbia or wholly within Alaska,
Hawaii, Puerto Rico, or a U.S. possession or trust territory. An
FCL is not required for the commercial carrier. The contractor, as
consignor, shall:
a. Utilize containers of such strength and durability as to
provide security protection to prevent items from breaking out of
the container and to facilitate the detection of any tampering with
the container while in transit;
b. For DoD contractors indicate on the BL, "Constant Surveillance
Service Required." In addition, annotate the BL as indicated in
5-408e.
c. Instruct the carrier to ship packages weighing less than 200
pounds gross in a closed vehicle or a closed portion of the
carrier's equipment.
5-410. Use of Couriers, Handcarriers, and Escorts.
Contractors who designate cleared employees as couriers,
handcarriers, and escorts shall ensure that:
a. They are briefed on their responsibility to safeguard
classified information.
b. They possess an identification card or badge, which contains
the contractor's name and the name and a photograph of the
employee.
c. The employee retains classified material in his or her
personal possession at all times. Arrangements shall be made in
advance of departure for overnight storage at a U.S. Government
installation or at a cleared contractor's facility that has
appropriate storage capability, if needed.
d. If the classified material is being handcarried to a
classified meeting or on a visit an inventory of the material shall
be made prior to departure. A copy of the inventory shall be
carried by the employee. On the employee's return to the facility,
an inventory shall be made of the material for which the employee
was charged. If the material is not returned, a receipt shall be
obtained and the transaction shall be recorded in the dispatch
records. A receipt is not required for CONFIDENTIAL material.
5-411. Use of Commercial Passenger Aircraft for Transmitting
Classified Material.
Classified material may be handcarried aboard commercial passenger
aircraft by cleared employees with the approval of the FSO. The
contractor shall adhere to the procedures contained in FAA Advisory
Circular (AC 108-3), "Screening of Persons Carrying U.S. Classified
Material." A copy of AC 108-3 is available from the CSA.
a. Routine Processing. Employees handcarrying classified material
will be subject to routine processing by airline security agents.
Hand-held packages will normally be screened by x-ray examination.
If air carrier personnel are not satisfied with the results of the
inspection, and the prospective passenger is requested to open a
classified package for visual examination the traveler shall inform
the screener that the carry-on items contain U.S. Government
classified information and cannot be opened. Under no circumstances
may the classified material be opened by the traveler or air
carrier personnel.
b. Special Processing. When routine processing would subject the
classified material to compromise or damage; when visual
examination is or may be required to successfully screen a
classified package; or when classified material is in specialized
containers which due to its size, weight, or other physical
characteristics cannot be routinely processed, the contractor shall
contact the appropriate air carrier in advance to explain the
particular circumstances and obtain instructions on the special
screening procedures to be followed.
c. Authorization Letter. Contractors shall provide employees with
written authorization to handcarry classified material on
commercial aircraft. The written authorization shall:
(1) Provide the full name, date of birth, height, weight, and
signature of the traveler and state that he or she is
authorized to transmit classified material;
(2) Describe the type of identification the traveler will
present on request;
(3) Describe the material being handcarried and request that
it be exempt from opening;
(4) Identify the points of departure, destination, and known
transfer points;
(5) Include the name, telephone number, and signature of the
FSO, and the location and telephone number of the CSA.
5-412. Use of Escorts for Classified Shipments.
A sufficient number of escorts shall be assigned to each classified
shipment to ensure continuous surveillance and control over the
shipment while in transit. Specific written instructions and
operating procedures shall be furnished escorts prior to shipping
and shall include the following:
a. Name and address of persons, including alternates, to whom the
classified material is to be delivered;
b. Receipting procedures;
c. Means of transportation and the route to be used;
d. Duties of each escort during movement, during stops en route,
and during loading and unloading operations; and
e. Emergency and communication procedures.
5-413. Functions of an Escort.
Escorts shall be responsible for the following.
a. Accept custody for the shipment by signing a receipt and
release custody of the shipment to the consignee, after obtaining
a signed receipt.
b. When accompanying a classified shipment in an express or
freight car, provide continuous observation of the containers and
observe adjacent areas during stops or layovers.
c. When traveling in an escort car accompanying a classified
shipment via rail, keep the shipment cars under observation and
detrain at stops, when practical and time permits, in order to
guard the shipment cars and check the cars or containers locks and
seals. The escort car (after arrangements with the railroad) should
be pre-positioned immediately behind the car used for the
classified shipment to enable the escort to keep the shipment car
under observation.
d. Maintain liaison with train crews, other railroad personnel,
special police, and law enforcement agencies, as necessary.
e. When escorting classified shipments via motor vehicles,
maintain continuous vigilance for the presence of conditions or
situations that might threaten the security of the cargo, take such
action as circumstances might require to avoid interference with
continuous safe passage of the vehicle, check seals and locks at
each stop where time permits, and observe vehicles and adjacent
areas during stops or layovers.
f. When escorting shipments via aircraft, provide continuous
observation of plane and cargo during ground stops and of cargo
during loading and unloading operations. The escort shall not board
the plane until after the cargo area is secured. Furthermore, the
escort should preferably be the first person to depart the plane to
observe the opening of the cargo area. Advance arrangements with
the airline are required.
g. Notify the consignor by the fastest means available if there
is an unforeseen delay en route, an alternate route is used, or an
emergency occurs. If appropriate and the security of the shipment
is involved, notify the nearest law enforcement official.
Section 5. Disclosure
5-500. General.
Contractors shall ensure that classified information is disclosed
only to authorized persons.
5-501. Disclosure to Employees.
Contractors are authorized to disclose classified information to
their cleared employees as necessary for the performance of tasks
or services essential to the fulfillment of a classified contract
or subcontract.
5-502. Disclosure to Subcontractors.
Unless specifically prohibited by this Manual, contractors are
authorized to disclose classified information to a cleared
subcontractor when access is necessary for the performance of tasks
or services essential to the fulfillment of a prime contract or a
subcontract.
5-503. Disclosure between Parent and Subsidiaries.
Disclosure of classified information between a parent and its
subsidiaries, or between subsidiaries, shall be accomplished in the
same manner as prescribed in 5-502 for subcontractors.
5-504. Disclosure in an MFO.
Disclosure of classified information between cleared facilities of
the MFO shall be accomplished in the same manner as prescribed in
5-501 for employees.
5-505. Disclosure to DoD Activities.
Contractors are authorized to disclose classified information
received or generated under a DoD classified contract to another
DoD activity unless specifically prohibited by the DoD activity
that has classification jurisdiction over the information.
5-506. Disclosure to Federal Agencies.
Contractors shall not disclose classified information received or
generated under a contract from one agency to any other federal
agency unless specifically authorized by the agency that has
classification jurisdiction over the information.
5-507. Disclosure of Classified Information to Foreign Persons.
Contractors shall not disclose classified information to foreign
persons unless release of the information is authorized in writing
by the Government Agency having classification jurisdiction over
the information involved, e.g. DOE or NRC for RD and FRD, NSA for
COMSEC, and the DCI for SCI, and all other Executive Branch
Departments and agencies for classified information under their
jurisdiction. The disclosure must also be consistent with
applicable U.S. laws and regulations.
5-508. Disclosure of Export Controlled Information to Foreign
Persons.
Contractors shall not disclose export-controlled information and
technology (classified or unclassified) to a foreign person,
whether an employee or not, or whether disclosure occurs in the
United States or abroad, unless such disclosure is in compliance
with applicable U.S. laws and regulations.
5-509. Disclosure to Other Contractors.
Contractors shall not disclose classified information to another
contractor except (a) In furtherance of a contract or subcontract;
(b) As authorized by this Manual; or (c) With the written approval
of the agency with classification jurisdiction over the information
involved.
5-510. Disclosure to Courts and Attorneys.
Contractors shall not disclose classified information to federal or
state courts, or to attorneys hired solely to represent the
contractor in a criminal or civil case, except in accordance with
special instructions of the agency that has jurisdiction over the
information. (see paragraph 1-209).
5-511. Disclosure to the Public.
Contractors shall not disclose classified or unclassified
information pertaining to a classified contract to the public
without prior review and clearance as specified in the Contract
Security Classification Specification for the contract or as
otherwise specified by the CSA or GCA.
a. Requests for approval shall be submitted through the activity
specified in the GCA-provided classification guidance for the
contract involved. Each request shall indicate the approximate date
the contractor intends to release the information for public
disclosure and identify the media to be used for the initial
release. A copy of each approved request for release shall be
retained for a period of one inspection cycle for review by the
CSA. All information developed subsequent to the initial approval
shall also be cleared by the appropriate office prior to public
disclosure.
b. The following information need not be submitted for approval
unless specifically prohibited by the CSA or GCA:
(1) The fact that a contract has been received, including the
subject matter of the contract and/or type of item in general
terms provided the name or description of the subject matter
is not classified.
(2) The method or type of contract; such as, bid, negotiated,
or letter.
(3) Total dollar amount of the contract unless that
information equates to, (a) A level of effort in a sensitive
research area or (b) Quantities of stocks of certain weapons
and equipment that are classified.
(4) Whether the contract will require the hiring or
termination of employees.
(5) Other information that from time-to-time may be
authorized on a case-by-case basis in a specific agreement
with the contractor.
(6) Information previously officially approved for public
disclosure.
c. The procedures of this paragraph also apply to information
pertaining to classified contracts intended for use in unclassified
brochures, promotional sales literature, reports to stockholders,
or similar type material.
d. Information that has been declassified is not automatically
authorized for public disclosure. Contractors shall request
approval for public disclosure of "declassified" information, in
accordance with the procedures of this paragraph.
Section 6. Reproduction
5-600. General.
Contractors shall establish a reproduction control system to ensure
that reproduction of classified material is held to the minimum
consistent with contractual and operational requirements.
Classified reproduction shall be accomplished by authorized
employees knowledgeable of the procedures for classified
reproduction. The use of technology that prevents, discourages, or
detects the unauthorized reproduction of classified documents is
encouraged.
5-601. Limitations.
a. TOP SECRET documents may be reproduced as necessary in the
preparation and delivery of a contract deliverable. Reproduction
for any other purpose requires the consent of the GCA.
b. Unless restricted by the GCA, SECRET and CONFIDENTIAL
documents may be reproduced as follows:
(1) Performance of a prime contract or a subcontract in
furtherance of a prime contract.
(2) Preparation of a solicited or unsolicited bid, quotation,
or proposal to a Federal agency or prospective subcontractor.
(3) Preparation of patent applications to be filed in the
U.S. Patent Office.
c. Reproduced copies of classified documents shall be subject to
the same protection as the original documents.
5-602. Marking Reproductions.
All reproductions of classified material shall be conspicuously
marked with the same classification markings as the material being
reproduced. Copies of classified material shall be reviewed after
the reproduction process to ensure that these markings are visible.
5-603. Records.
Contractors shall maintain a record of the reproduction of all TOP
SECRET material. The record shall be retained for 2 years.
Section 7. Disposition and Retention
5-700. General.
Classified information no longer needed shall be processed for
appropriate disposition. Classified information approved for
destruction shall be destroyed in accordance with this Section. The
method of destruction must preclude recognition or reconstruction
of the classified information or material.
a. All classified material received or generated in the
performance of a classified contract shall be returned on
completion of the contract unless the material has been
declassified, destroyed, or retention of the material has been
authorized.
b. Contractors shall establish procedures for review of their
classified holdings on a recurring basis to reduce these classified
inventories to the minimum necessary for effective and efficient
operations. Multiple copies, obsolete material, and classified
waste shall be destroyed as soon as practical after it has served
its purpose. Any appropriate downgrading and declassification
actions shall be taken on a timely basis to reduce the volume and
to lower the level of classified material being retained by the
contractor.
5-701. Disposition of Classified.
Contractors shall return or destroy classified material in
accordance with the following schedule:
a. If a bid, proposal, or quote is not submitted or is withdrawn,
within 180 days after the opening date of bids, proposals, or
quotes.
b. If a bid, proposal, or quote is not accepted, within 180 days
after notification that a bid, proposal, or quote has not been
accepted.
c. If a successful bidder, within 2 years after final delivery of
goods and services, or after completion or termination of the
classified contract, whichever comes first.
d. If the classified material was not received under a specific
contract, such as material obtained at classified meetings or from
a secondary distribution center, within 1 year after receipt.
5-702. Retention of Classified Material.
Contractors desiring to retain classified material received or
generated under a contract may do so for a period of 2 years after
completion of the contract, provided the GCA does not advise to the
contrary. If retention is required beyond the 2 year period, the
contractor must request and receive written retention authority
from the GCA.
a. Contractors shall identify classified material for retention
as follows:
(1) TOP SECRET material shall be identified in a list of
specific documents unless the GCA authorizes identification by
subject matter and approximate number of documents.
(2) SECRET and CONFIDENTIAL material may be identified by
general subject matter and the approximate number of
documents.
b. Contractors shall include a statement of justification for
retention based on the following:
(1) The material is necessary for the maintenance of the
contractor's essential records.
(2) The material is patentable or proprietary data to which
the contractor has title.
(3) The material will assist the contractor in independent
research and development efforts.
(4) The material will benefit the U.S. Government in the
performance of other prospective or existing Government agency
contracts.
(5) The material is being retained in accordance with the
"records retention clause" of the contract.
(6) The material will benefit the U.S. Government in the
performance of another active contract and will be transferred
to that contract (specify contract).
5-703. Termination of Security Agreement.
Notwithstanding the provisions for retention outlined above, in the
event that the FCL is to be terminated, the contractor shall return
all classified material in its possession to the GCA concerned, or
dispose of such material in accordance with instructions from the
CSA.
5-704. Destruction.
Contractors shall destroy classified material in their possession
as soon as possible after it has serves the purpose for which it
was, (a) Released by the government, (b) Developed or prepared by
the contractor, and (c) Retained after completion or termination of
the contract.
5-705. Methods of Destruction.
Classified material may be destroyed by burning, shredding,
pulping, melting, mutilation, chemical decomposition, or
pulverizing (for example, hammer mills, choppers, and hybridized
disintegration equipment). Pulpers, pulverizers, or shedders may be
used only for the destruction of paper products. High wet Strength
paper, paper mylar, durable-medium paper substitute, or similar
water repellent type papers are not sufficiently destroyed by
pulping; other methods such as disintegration, shredding, or
burning shall be used to destroy these types of papers. Residue
shall be inspected during each destruction to ensure that
classified information cannot be reconstructed. Crosscut shredders
shall be designed to produce residue particle size not exceeding
1/32 inch in width (with a 1/64 inch tolerance by 1/2 inch in
length. Classified material in microform; that is, microfilm,
microfiche, or similar high data density material may be destroyed
by burning or chemical decomposition, or other methods as approved
by the CSA.
a. Public destruction facilities may be used only with the
approval of, and under conditions prescribed by, the CSA.
b. Classified material removed from a cleared facility for
destruction shall be destroyed on the same day it is removed.
5-706. Witness to Destruction.
Classified material shall be destroyed by appropriately cleared
employees of the contractor. These individuals shall have a full
understanding of their responsibilities. For destruction of TOP
SECRET material, two persons are required. For destruction of
SECRET and CONFIDENTIAL material, one person is required.
5-707. Destruction Records.
Destruction records are required for TOP SECRET material. The
records shall indicate the date of destruction, identify the
material destroyed, and be signed by the individuals designated to
destroy and witness the destruction. Destruction officials shall be
required to know, through their personal knowledge, that such
material was destroyed. At the contractor's discretion, the
destruction information required may be combined with other
required control records. Destruction records shall be maintained
by the contractor for 2 years.
5-708. Classified Waste.
Classified waste shall be destroyed as soon as practical. This
applies to all waste material containing classified information.
Pending destruction, classified waste shall be safeguarded as
required for the level of classified material involved. Receptacles
utilized to accumulate classified waste shall be clearly identified
as containing classified material.
Section 8. Construction Requirements
5-800. General.
This Section describes the construction requirements for Closed
Areas and vaults. Construction shall conform to the requirements of
this Section or, with CSA approval, to the standards of DCID 1/21
(Manual for Physical Security Standards for Sensitive Compartmented
Information Facilities.)
5-801. Construction Requirements for Closed Areas.
This paragraph specifies the minimum safeguards and standards
required for the construction of Closed Areas that are approved for
use for safeguarding classified material. These criteria and
standards apply to all new construction and reconstruction,
alterations, modifications, and repairs of existing areas. They
will also be used for evaluating the adequacy of existing areas.
a. Hardware. Only heavy duty builder's hardware shall be used in
construction. Hardware accessible from outside the area shall be
peened, pinned, brazed, or spotwelded to preclude removal.
b. Walls. Construction may be of plaster, gypsum wallboard, metal
panels, hardboard, wood, plywood, glass, wire mesh, expanded metal,
or other materials offering resistance to, and evidence of,
unauthorized entry into the area. If insert-type panels are used,
a method shall be devised to prevent the removal of such panels
without leaving visual evidence of tampering. If visual access is
a factor, area barrier walls up to a height of 8 feet shall be of
opaque or translucent construction.
c. Windows. The openings for windows which open, that are less
than 18 feet from an access point (for example, another window
outside the area, roof, ledge, or door) shall be fitted with
1/2-inch bars (separated by no more than 6 inches), plus crossbars
to prevent spreading, 18 gauge expanded metal, or wire mesh
securely fastened on the inside. When visual access of classified
information is a factor, the windows shall be covered by any
practical method, such as drapes, blinds, or painting or covering
the inside of the glass. During nonworking hours, the windows shall
be closed and securely fastened to preclude surreptitious entry.
d. Doors. Doors shall be substantially constructed of wood or
metal. When windows, louvers, baffle plates, or similar openings
are used, they shall be secured with 18 gauge expanded metal or
with wire mesh securely fastened on the inside. If visual access is
a factor, the windows shall be covered. When doors are used in
pairs, an astragal (overlapping molding) shall be installed where
the doors meet.
e. Door Locking Devices. Entrance doors shall be secured with
either an approved built-in combination lock, an approved
combination padlock, or with an approved key-operated padlock.
Other doors shall be secured from the inside with a panic bolt (for
example, actuated by a panic bar); a dead bolt; a rigid wood or
metal bar, (which shall preclude "springing") which extends across
the width of the door and is held in position by solid clamps,
preferably on the door casing; or by other means approved by the
CSA consistent with relevant fire and safety codes.
f. Ceilings. Ceilings shall be constructed of plaster, gypsum
wall board material, panels, hardboard, wood, plywood, ceiling
tile, or other material offering similar resistance to and
detection of unauthorized entry. Wire mesh, or other non-opaque
material offering similar resistance to, and evidence of,
unauthorized entry into the area may be used if visual access to
classified material is not a factor.
g. Ceilings (Unusual Cases). When wall barriers do not extend to
the true ceiling and a false ceiling is created, the false ceiling
must be reinforced with wire mesh or 18 gauge expanded metal to
serve as the true ceiling. When wire mesh or expanded metal is
used, it must overlap the adjoining walls and be secured in a
manner that precludes removal without leaving evidence of
tampering. When wall barriers of an area do extend to the true
ceiling and a false ceiling is added, there is no necessity for
reinforcing the false ceiling. When there is a valid justification
for not erecting a solid ceiling as part of the area, such as the
use of overhead cranes for the movement of bulky equipment within
the area, the contractor shall ensure that surreptitious entry
cannot be obtained by entering the area over the top of the barrier
walls.
h. Miscellaneous Openings. Where ducts, pipes, registers, sewers,
and tunnels are of such size and shape as to permit unauthorized
entry, (in excess of 96 square inches in area and over 6 inches in
its smallest dimension) they shall be secured by 18 gauge expanded
metal or wire mesh, or, by rigid metal bars 1/2-inch in diameter
extending across their width, with a maximum space of 6 inches
between the bars. The rigid metal bars shall be securely fastened
at both ends to preclude removal and shall have crossbars to
prevent spreading. When wire mesh, expanded metal, or rigid metal
bars are used, they must ensure that classified material cannot be
removed through the openings with the aid of any type instrument.
Expanded metal, wire mesh or rigid metal bars are not required if
an IDS is used as supplemental protection.
5-802. Construction Required for Vaults.
This paragraph specifies the minimum standards required for the
construction of vaults approved for use as storage facilities for
classified material. These standards apply to all new construction
and reconstruction, alterations, modifications, and repairs of
existing vaults. They will also be used for evaluating the adequacy
of existing vaults. In addition to the requirements given below,
the wall, floor, and roof construction shall be in accordance with
nationally recognized standards of structural practice. For the
vaults described below, the concrete shall be poured in place, and
will have a compressive strength of 2,500 pounds per square inch.
a. Floor. The floor must be a monolithic concrete construction of
the thickness of adjacent concrete floor construction, but not less
than 4 inches thick.
b. Walls. Wall must be not less than 8-inch-thick hollow clay
tile (vertical cell double shells) or concrete blocks (thick
shells). Monolithic steel-reinforced concrete walls at least 4
inches thick may also be used. Where hollow clay tiles are used and
such masonry units are flush, or in contact with, facility exterior
walls, they shall be filled with concrete and steel-reinforced
bars. Walls are to extend to the underside of the roof or ceiling
above.
c. Roof/Ceiling. The roof or ceiling must be a monolithic
reinforced concrete slab of thickness to be determined by
structural requirements.
d. Vault Door and Frame Unit. A GSA-approved vault door and frame
unit shall be used.
e. Miscellaneous Openings. Omission of all miscellaneous openings
is desirable, but not mandatory. Openings of such size and shape as
to permit unauthorized entry, (normally in excess of 96 square
inches in area and over 6 inches in its smallest dimension) and
openings for ducts, pipes, registers, sewers and tunnels shall be
equipped with man-safe barriers such as wire mesh, 18 gauge
expanded metal, or rigid metal bars of at least 1/2 inch in
diameter extending across their width with a maximum space of 6
inches between the bars. The rigid metal bars shall be securely
fastened at both ends to preclude removal and shall have crossbars
to prevent spreading. Where wire mesh, expanded metal, or rigid
metal bars are used, care shall be exercised to ensure that
classified material within the vault cannot be removed with the aid
of any type of instrument. Pipes and conduits entering the vault
shall enter through walls that are not common to the vault and the
structure housing the vault. Preferably such pipes and conduits
should be installed when the vault is constructed. If this is not
practical, they shall be carried through snug-fitting pipe sleeves
cast in the concrete. After installation, the annular space between
the sleeve and the pipe or conduit shall be caulked solid with
lead, wood, waterproof (silicone) caulking, or similar material,
which will give evidence of surreptitious removal.
Section 9. Intrusion Detection Systems
5-900. General.
This Section specifies the minimum standards for an approved
Intrusion Detection System (IDS) when supplemental protection is
required for TOP SECRET and SECRET material. The IDS shall be
connected to, and monitored by, a central monitoring station. Alarm
system installation shall conform to the requirements of this
Section or to the standards set forth in DCID 1/21 (Physical
Security Standards for Sensitive Compartmented Information
Facilities). The CSA will approve contingency protection procedures
in the event of IDS malfunction.
5-901. CSA Approval.
CSA approval is required before installing an IDS. Approval of a
new IDS shall be based on the criteria of DCID 1/21 or UL Standard
2050, as determined by the CSA. IDSs currently in use that do not
meet either of these standards, such as those certified to meet
Grade A service and those installed by a non-UL listed company, may
continue in use until January 1, 2002.
5-902. Central Monitoring Station.
a. The central monitoring station may be located at a UL listed:
(1) Defense (Government) Contractor Monitoring Station (DCMS or
GCMS) formerly called a proprietary central station; (2) Cleared
commercial central station; (3) Cleared protective signal service
station (e.g., fire alarm monitor); or (4) Cleared residential
monitoring station. For the purpose of monitoring alarms, all
provide an equivalent level of monitoring service.
b. Trained alarm monitors, cleared to the SECRET level, shall be
in attendance at the alarm monitoring station at all times when the
IDS is in operation.
c. The central monitoring station shall be required to indicate
whether or not the system is in working order and to indicate
tampering with any element of the system. Necessary repairs shall
be made as soon as practical. Until repairs are completed, periodic
patrols shall be conducted during non-working hours, unless a
SECRET cleared employee is stationed at the alarmed site.
d. When an IDS is used, it shall be activated immediately at the
close of business at the alarmed area or container. This may
require that the last person who departs the controlled area or
checks the security container notify the central monitoring station
to set the alarm. A record shall be maintained to identify the
person responsible for setting and deactivating the IDS. Each
failure to activate or deactivate shall be reported to the FSO.
Such records shall be maintained for 30 days.
e. Records shall be maintained for 90 days indicating time of
receipt of alarm; name(s) of security force personnel responding;
time dispatched to facility/area; time security force personnel
arrived; nature of alarm; and what follow-up actions were
accomplished.
5-903. Investigative Response to Alarms.
a. The following resources may be used to investigate alarms:
proprietary security force personnel, central station guards, and
a subcontracted guard service.
(1) For a DCMS or GCMS, trained proprietary security force
personnel, cleared to the SECRET level and sufficient in number to
be dispatched immediately to investigate each alarm, shall be
available at all times when the IDS is in operation.
(2) For a commercial central station, protective signaling
service station, or residential monitoring station, guards
dispatched shall be cleared only if they have the ability and
responsibility to access the area or container(s) housing
classified material; i.e., keys to the facility have been provided
or the personnel are authorized to enter the building or check the
container or area that contains classified material.
(3) Uncleared guards dispatched by a commercial central
station, protective signaling service station, or residential
monitoring station to an alarm shall remain on the premises until
a designated, cleared representative of the facility arrives, or
for a period of not less than 1 hour, whichever comes first. If a
cleared representative of the facility does not arrive within 1
hour following the arrival of the guard, the central control
station must provide the CSA with a report of the incident that
includes the name of the subscriber facility, the date and time of
the alarm, and the name of the subscriber's representative who was
contacted to respond. A report shall be submitted to the CSA within
24 hours of the next working day. (NOTE: The primary purpose of any
alarm response team is to ascertain if intrusion has occurred and
if possible assist in the apprehension of the individuals. If an
alarm activation resets in a reasonable amount of time and no
physical penetration of the area or container is visible, then
entrance into the area or container is not required. Therefore, the
initial response team may consist of uncleared personnel. If the
alarm activation does not reset or physical penetration is
observed, then a cleared response team must be dispatched. The
initial uncleared response team must stay on station until relieved
by the cleared response team. If a cleared response team does not
arrive within one hour, then a report to the CSA must be made by
the close of the next business day.)
(4) Subcontracted guards must be under contract with either the
installing alarm company or the cleared facility.
b. The response time shall not exceed 15 minutes. When
environmental factors (e.g., traffic, distance) legitimately
prevent a 15 minute response time, the CSA may authorize up to a 30
minute response time. The CSA authorization shall be in writing and
shall be noted on the alarm certificate. (NOTE: The UL standard for
response within the time limits is 80%. That is the minimum
allowable on-time response rate. Anything less than 80% is
unacceptable. However, in all cases, a guard or cleared employee
must arrive at the alarmed premises.)
5-904. Installation.
The IDS at the facility, area or container shall be installed by a
UL listed alarm installing company or by a company approved by the
CSA. When connected to a commercial central station, DCMS or GCMS
protective signaling service or residential monitoring station, the
service provided shall include line security (i.e., the connecting
lines are electronically supervised to detect evidence of tampering
or malfunction). If line security is not available, then two
independent means of transmission of the alarm signal from the
alarmed area to the monitoring station must be provided. In all
cases, the extent of protection for a container shall be "Complete"
and for an alarmed area shall be "Extent No. 3."
5-905. Certification of Compliance.
Evidence of compliance with the requirements of this Section will
consist of a valid (current) UL Certificate for the appropriate
category of service. This certificate will have been issued to the
protected facility by UL, through the alarm installing company. The
certificate serves as evidence that the alarm installing company:
(a) Is listed as furnishing security systems of the category
indicated; (b) Is authorized to issue the certificate of
installation as representation that the equipment is in compliance
with requirements established by UL for the class; and (c) Is
subject to the UL field countercheck program whereby periodic
inspections are made of representative alarm installations by UL
personnel to verify the correctness of certification practices.
5-906. Exceptional Cases.
a. If the requirements set forth above cannot be met due to
extenuating circumstances, the contractor may request CSA approval
for an alarm system that is:
(1) Monitored by a central control station but responded to
by a local (municipal, county, state) law enforcement organization.
(2) Connected by direct wire to alarm receiving equipment
located in a local (municipal, county, state) police station or
public emergency service dispatch center. This alarm system is
activated and deactivated by employees of the contractor, but the
alarm is monitored and responded to by personnel of the monitoring
police or emergency service dispatch organization. Personnel
monitoring alarm signals at police stations or dispatch centers do
not require PCL's. Police department response systems may be
requested only when: (a) the contractor facility is located in an
area where central control station services are not available with
line security and/or proprietary security force personnel, or a
contractually-dispatched response to an alarm signal cannot be
achieved within the time limits required by the CSA, and, (b) it is
impractical for the contractor to establish a DCMS or proprietary
guard force at that location. Nonetheless, installation of these
type systems must use UL listed equipment and be accomplished by an
alarm installation company that is listed by UL for any of the
following categories:
1 Defense (National) Industrial Security Systems
2 Proprietary Alarm Systems
3 Central Station Burglar Alarm Systems
4 Police - Station - Connected Burglar Alarm Systems
b. An installation proposal, explaining how the system would
operate, shall be submitted to the CSA. The proposal must include
sufficient justification for the granting of an exception and the
full name and address of the police department that will monitor
the system and provide the required response. The name and address
of the UL listed company that will install the system, and inspect,
maintain, and repair the equipment, shall also be furnished.
c. The contractor shall require a 15-minute response time from
the police department. Arrangements shall be made with the police
to immediately notify a contractor representative on receipt of the
alarm. The contractor representative is required to go immediately
to the facility to investigate the alarm, and to take appropriate
measures to secure the classified material.
d. In exceptional cases where central station monitoring service
is available, but no proprietary security force of central station
or subcontracted guard response is available, and where the police
department does not agree to respond to alarms, and no other manner
of investigative response is available, the CSA may approve cleared
employees as the sole means of response.