and irregularities, and maintain at DDC the central authority file of eligible

users.

(3) Provide the central file with a DD Form 1541 to certify the security classification of information for which an applicant contractor facility is cleared to receive and store DoD classified materials.

(4) Report immediately to the central file any change affecting the facility clearance through submission of a revised DD Form 1541.

(5) Expeditiously notify affected dissemination activities of each new eligible user, along with conditions and scope of coverage, and of any subsequent changes thereto. The central file will also answer specific inquiries from dissemination activities for certification data.

(6) Release information products from DDC to eligible users as follows:

(1) Unclassified technical information in all subject fields-of-interest listed on DD Form 1540 subject to any approvals that may be required for controlled information.

(11) Classified technical information in those subject fields-of-interest authorized on DD Form 1540 and in accordance with any approvals that may be required for controlled information.

(7) Refer certification matters to the Director of Technical Information, Office of the Director of Defense Research and Engineering, in instances where approval or decision of that office is required.

(8) Revise and maintain the Industrial Security Manual and related security procedures in conformance with this Part.

(b) Each DoD component conducting, administering, or sponsoring R.D.T. & E. work will:

(1) In advance of requesting reports or information from dissemination activities, submit to DDC an approved DD Form 1540 with only Part I and Part III of the form completed.

(2) Review, approve, modify, or disapprove DD Form 1540 submitted by non-DoD activities or organizations under its cognizance. Personnel selected to authorize DD Form 1540 shall have the technical competence and familiarity with contractor or grantee programs

necessary to judge the subject fields-ofinterest of the applicant.

(3) Instruct and assist, wherever necessary, its sponsored activities in filling out and submitting DD Form 1540.

(4) Promptly report to DDC any changes in the status of previous certification resulting from such events as change in mission of the DoD component, contract termination, and contract or grant revision.

(5) Designate an office at each appropriate level of the organization with responsibility for:

(1) Promulgation and maintenance of procedures which are responsive to this part and applicable security regulations.

(11) Review of special cases, such as referral of questions on DD Form 1540 data from DDC, and appropriate modifi, cation and resubmittal.

(c) Each dissemination activity will, within the scope of its mission, and upon receipt of an eligible user certification from DDC, make its technical information available to that eligible user in accordance with the terms of the certification and the applicable security and distribution controls.

§ 157.6 Agencies outside DoD.

(a) Components of those Executive Branch Agencies (non-DoD) who participate in the Industrial Security program of DoD and who are in need of technical information, or whose contractors or grantees need such information, will follow the procedures prescribed for DoD components in § 157.5 (b).

(b) Components of those Executive Branch Agencies (non-DoD) who do not participate in the Industrial Security program of DoD and who are in need of technical information, or whose contractors or grantees need such information, shall make specific arrangements with DSA for certification of DD Form 1540 and DD Form 1541.

(c) Components of the Legislative and Judicial Branches, their contractors, and their grantees in need of unclassified information may process the portion of DD Form 1540 indicated for unclassified information and submit it directly to the Defense Documentation Center. Certification for classified information, if needed, must be approved by the Director of Technical Information, O.D.D.R.

& E., DoD Instruction 5100.38, "Defense Documentation Center for Scientific and Technical Information (DDC)," March 29, 1965. In these cases, submission of the completed DD Form 1540 must be accompanied by DD Form 1541.

§ 157.7 Cancellations.

Before 1 January 1966, all existing certifications on DDC Form 20 (Registration Application) and DDC Form 62 (Facility Clearance Register) will be converted to the new forms, DD Form 1540 and DD Form 1541, and DDC Forms 20 and 62 will be canceled on that date.

It is the policy of the Department of Defense to make available to the public such information, pertaining to defense construction projects as will not disclose classified information taking into consideration such matters as missions, organizations, equipments, operations and design data of defense installations.

§ 158.4 Security classification guidance.

(a) General. Information about construction projects, per se, usually does not meet the prerequisites for security classification, inasmuch as the techniques and materials used are normally common to the construction trade and have widespread application.

(1) Security classification may be applied to information revealing the objective, purpose and design criteria of the construction and the equipments housed therein, if unauthorized disclosure could or would negate national defense objectives.

(2) Classification also may be necessary to assure protection of information concerning bilateral and multilateral agreements or commitments between the United States and foreign countries which could be prejudicial or damaging to U.S. interests.

(b) Association of information. (1) The security significance of each item of information, directly or indirectly connected with the construction, must be evaluated, both on its own merit and in the setting of its particular usage and association with other available information pertaining to the overall plan, project or operation.

(1) In some cases, adding an apparently innocuous segment of information to that already released may unwittingly permit formation of a critical complex of information by unauthorized persons.

(ii) In other cases, information may lose its security significance in dissociated or fragmented usage.

(2) Personnel classifying information, therefore, must recognize both the technical and operational significance of the information involved in the construction project and the implications of its contemplated use and assign an appropriate classification to provide necessary protection.

(c) Criteria for classifying. Classification of identified information involved in a construction activity may be required only if unauthorized disclosure could or would prejudice or damage the interests of national defense by:

(1) Providing a potentially hostile person, force or nation with:

(1) A basis for invoking or planning effective countermeasures.

(11) Strategic or tactical data useful in the defense of, or in offense against, the United States or a U.S. ally.

(iii) A basis for planning espionage or sabotage activities against the United States or a U.S. ally.

(2) Causing loss of a valuable element of surprise or other U.S. advantage.

(3) Jeopardizing or harming U.S. foreign relations.

(d) Classifiable information. To prevent unwitting or inadvertent disclosure of information which could or would prejudicially affect or negate the interests of national defense, information pertaining to the following four areas of interest should be considered for possible classification:

(1) Disclosure of U.S. capabilities and limitations. (1) Purpose and need for the construction.

(ii) The interdependence or interface with similar programs, projects or construction.

(iii) Availability and use of particular equipments or systems and wherewithal to operate the completed installation.

(iv) Purpose, status or direction of research, development or testing effort. (v) Any unique construction techniques or material used.

(vi) Construction or program schedules.

(2) Disclosure of international considerations. (1) Requirements of the foreign Government concerned.

(ii) International agreements, commitments or local arrangements permitting construction and operation of the facility on foreign soil.

U.S.

(iii) Information harmful to foreign relations, in general, and to U.S. relationship with allies, in particular.

(3) Disclosure of target or military data. (1) Specific individual geodetic site locations, or individual locations coupled with a complex.

(ii) Vital details of construction of the military installation; i.e., special design or structural characteristics revealing offensive or defensive capability.

(iii) Design criteria revealing vulnerability or survivability; 1.e., special design or structural characteristics; degree of hardness; facilities for survival included in construction; source and location of standby water and power units; and susceptibility to ground shock, dynamic overpressure, initial and residual nuclear radiation, or static overpressure.

(iv) Design criteria revealing basic operational concepts and equipments housed; i.e., lay out, equipments installed and operational techniques.

(v) Command and control system used in an installation.

(vi) Communications system in an installation; i.e., location of communication equipment, cables and wires; types of communication used; and networks and procedures.

(vii) Physical security measures established; i.e., guard stations; types and locations of alarms; circuitry and system used.

(4) Disclosure of operational data. (1) Functions and performance (limitations and capabilities) of the installation.

(1) Purpose and scope of operations. (iii) Military unit, number and type of personnel operating the facility. (iv) Anticipated occupancy dates. (v) Classified equipments housed. (vi) Command and control system; 1.e., applied control techniques

measures.

or

(vii) Communication network; i.e., location of equipment, cables, wires and types of communications and networks used.

(viii) Physical security measures applied; i.e., number of guard posts, types

of alarms used, circuitry and techniques employed.

(e) Reasons for classifying. Information set forth in this § 158.4 may warrant classification if unauthorized disclosure could or would reveal:

(1) The same or closely related information currently classified;

(2) Basis for; direction; substance of U.S. military planning or operations, defensive or offensive, strategic or tactical; or purpose and direction of U.S. military effort;

(3) U.S. intelligence interest or direction of the effort;

(4) Status and direction of a specific research, development or testing effort;

(5) Critical construction details of the installation from which the operational capabilities, vulnerability or survivability might be discerned;

(6) Availability of particular equipment and operating personnel in the geographic area;

capability-limita

(7) Performance tion or identity of equipments used; or (8) International agreements and commitments; foreign relations between U.S. and foreign countries, in general, and the countries involved, in particular; or relations between foreign countries, particularly U.S. allies.

(f) Cost factor. (1) The determination to classify information shall be based ultimately on the criteria defined in paragraph (c) of this section, but initially without regard to cost of providing for its protection.

(2) When cost resulting from classification in terms of time, money or personnel becomes a critical factor and actually might impede or prevent attainment of the desired mission or objective of the program or project, it will be necessary to consider:

(1) Value to national defense of accomplishing the desired mission or objective.

(ii) Risk attendant upon nonclassification of certain information in order to attain the desired goal.

(iii) Maximum extent to which classification can be employed without actually impeding attainment of the goal.

(iv) Alternatives which will provide a degree of protection for any information not protected by security classification.

(3) Whenever responsible officials involved in a construction effort consider that the cost factor resulting from classification may impede or prevent attainment of the desired mission or objective, the matter shall be referred, with appropriate explanations and recommendations, to the official who has been designated responsibility for the program, project or operation.

(4) Final determinations of the effect of the cost factor on classification under circumstances set forth in subparagraph (2) of this paragraph shall be made only at or above the level of the official having original classifying authority.

(g) Feasibility of classifying. The degree of exposure of the construction project to the public view may render effective security control over certain items of information impractical. This does not preclude classification, but it does force consideration of the extent to which classification may degrade the classification system by attempting to impose security controls in impractical situations particularly during latter phases of construction. Determinations significantly dependent upon these factors shall be made only at or above the level of the official having original classification authority.

§ 158.5 Preparing classification guid

ance.

(a) Requirements. (1) In accordance with section IX of DoD Instruction 5210.47, classification guidance shall be prepared by the official who has been designated responsibility under regulations of the Department of Defense component initiating each program, project or operation involving military construction in which security is a consideration, in coordination with other Department of Defense organizations having an interest in or control over (1) operations and functions of the completed installation; (ii) intelligence aspects; (iii) international aspects; (iv) construction design criteria, plans and specifications; (v) material and techniques used in construction; and (vi) equipments to be used in installation operation.

(2) Such guidance shall:

(1) Identity clearly (a) items pertaining to the overall plan; (b) design criteria, plans and specifications; and (c) ultimate operations at the installation