AR 380-5 Appendix G Security Classification Guide Preparation
AR 380-5 Section I General G-1. This appendix discusses preparation of security classification guides. Due to the wide variety of systems, plans, and projects for which guides must be published, this appendix provides very general guidance only. The effort must be tailored to fit the specific nature of the guide subject and the classification guidance which must be provided. G-2. This appendix supplements DOD 5200.1-H (Department of Defense Handbook for Writing Security Classification Guidance), which is included as section II. DOD 5200.1-H has not yet been revised to include new classification criteria and marking requirements of Executive Order 12356. But it still provides useful guidance on preparing classification guides. When DOD 5200.1-H is revised, a change to this regulation will be published; this change will include the revised Handbook. G-3. The question of classifying guides themselves requires careful consideration. a. Guides should be published in unclassified form if possible; however, classified guides may be published if necessary. To avoid classifying a guide, it is sometimes possible to include all necessary classified information in a classified supplement. This is also a good method of dealing with Special Access Program information. b. Preparers of guides must be careful that descriptions of classified information in the guide do not inadvertently disclose classified information. c. Like any other classified document, classified guides must be- (1) Portion marked. (2) Marked with the identity of the classifier and declassification instructions. G-4. The sample format in section III provides somewhat more detailed guidance than DOD 5200.1-H, appendix D, and has been tailored for use within DA. This format is in the form of selected portions of a hypothetical missile system guide. (Note: Except for sections 1, 2, 6, and 7, the guide contains only a sampling of topics that normally would be included. Comments are enclosed in parentheses. References are to this regulation. G-5. Section IV provides instructions on changing and reissuing guides. G-6. Section V contains instructions for preparing and submitting DD Form 2024. These instructions supplement those found on the reverse of the form and in paragraph 2-406 of this regulation. AR 380-5 Section II DOD 5200.1-H Department of Defense Handbook for Writing Security Classification GuidanceAR 380-5 Section III Sample Format for a Classification Guide Date: 20 September 1982 (The date of approval.) Project/Program Number(s): (Enter number(s), if appropriate.) Supersession(s): XXXXX Security Classification Guide dated 12 May 1976 and Project YYYYY Security Classification Guide dated 3 July 1981. (Use only if appropriate.) Action Officer: LTC John Doe, (101) 222-2222, AUTOVON 112-2222. Distribution: DOD and DOD Contractors Only. (Enter the correct distribution statement from paragraph 2-405b.) (Note: The above information should appear on the title page or first page. If there is a cover on the guide, the distribution statement must appear on the cover.) AR 380-5 Section 1-General Information 1. Purpose: To provide instructions and guidance on the security classification of information and material pertaining to the XXXXX Missile System. 2. Authority: This guide is issued under the authority of AR 380-5. It constitutes authority and may be cited as the basis for classification, regrading, or declassification of information concerning the XXXXX Missile System. Unless otherwise noted, information or material identified as classified in this guide is classified by authority of the approving official identified on the title page. 3. Application: Changes in classification required by this guide will be made immediately. (Any discussion of retroactive application, if appropriate, should be inserted here.) 4. Questions and Recommendations: Questions concerning the content and interpretation of this guide should be directed to the issuing activity. If the security classifications imposed by this guide are considered impractical, documented and justified recommendations should be made through appropriate channels to the issuing activity. If current conditions, progress made in this effort, scientific or technological developments, advances in the state of the art, or other factors indicate a need for changes, similar recommendations should be made. Pending a final decision, the information involved will be protected at either the currently specified level or the recommended level, whichever is higher. All users of this guide are encouraged to assist in improving its currency and adequacy. Any overclassification or incorrect classification should be brought to the attention of the issuing activity. 5. Public Release: The fact that certain details of information are shown to be unclassified does not authorize automatic public release. Proposed public releases of unclassified information must be processed through appropriate channels for approval for publication. Within the Department of the Army, the procedures specified in AR 360-5 (reference (iii) in AR 380-5) will be followed. Other DOD activities will comply with DODD 5230.9 (reference (iii) in AR 380-5) and applicable Service regulations. Defense contractors will comply with DOD 5220.22-M (reference (f) in AR 380-5) and other contractual requirements. (This paragraph should be included in guides as written here. Be careful not to impose unrealistic or impractical clearance requirements.) 6. Definitions: (Include here, if necessary, definitions of terms which are unique to the subject of the guide. If there are many definitions, they may be included in an appendix.) 7. Foreign Government Information and Foreign Military Sales: (This paragraph may be included, when necessary, to provide guidance on marking and protecting foreign government information involved in the project or program, or to make reference to the Military Assistance and Sales Manual.) (Usually, the best method for organizing the body of a guide is to arrange the information in columns. The first column should identify the item of information involved. The second column, headed ""Classification,'' should indicate the classification of the item (""U,'' ""C,'' ""S,'' or ""TS'') and, when appropriate, ""RD'' for Restricted Data, ""FRD'' for Formerly Restricted Data, or ""N'' for CNWDI (Critical Nuclear Weapon Design Information). Other special access designations or dissemination caveats (""NOFORN,'' ""WNINTEL,'' etc.) should be shown in the ""Remarks'' column. The third column should be headed ""Declassification,'' and should contain dates or events for declassification (for example, ""DECL 20 Aug 94'' or ""DECL on first firing'') or the notation ""OADR.'' If information is to be downgraded, the downgrading instructions should be placed in the ""Remarks'' column. The fourth column should be headed ""Remarks,'' and should include any comments needed to make the classification instructions clear and specific. There are two methods of using the ""Remarks'' column. One is to insert brief statements clarifying the classification, noting exceptions, or providing additional information. This should be done when the statement applies to only one or two items in the guide and is relatively short. When a statement is long, or when it applies to several items, it should be included in a separate section, ""Notes,'' at the end of the guide and referenced as appropriate in the ""Remarks'' column. The sample sections illustrate these suggestions.) AR 380-5 Section 2-Overall Effort ------------------------------------------------------------------------------- ----------------- Classification Declassification or review Remarks ------------------------------------------------------------------------------- ----------------- 8. Identification (nomenclatures, U part and stock numbers, etc.) 9. Goal, mission, purpose, military U Unless informa- application tion classified by other por- tions of this guide is re- vealed. 10. End Item a. External view U b. Internal view U (1) Missile U See Note 11. (2) Warhead and guidance pack- U See Note 11. age (3) IR seeker assembly C DECL 1 Oct 83 See Note 11. (4) Launcher, radars, and U ground support equipment -----SPECIAL NOTE: Designs, drawings, photographs, reports, test data, and system specifications will be classified only if they contain or reveal information classified elsewhere in this guide. AR 380-5 Section 3-Performance and Capabilities ------------------------------------------------------------------------------- ----------------- ------------------------------------------------------------------------------- ----------------- Classification Declassification or review Remarks ------------------------------------------------------------------------------- ----------------- 31. Missile a. Altitude (1) Maximum C DECL 10 Jun 92 (2) Minimum U b. Range (1) Maximum S OADR ""In excess of 10 km'' is UNCLASSIFIED. (2) Minimum U c. Velocity C OADR See Note 9. d. Acceleration C OADR See Note 9. e. Maneuverability S DECL 10 Jun 92 Downgrade to CONFIDENTIAL upon IOC. ------------------------------------------------------------------------------- ----------------- ------------------------------------------------------------------------------- ----------- AR 380-5 Section 4-Specifications (As suggested in DOD 5200.1-H, this section should address the characteristics of the system and how it operates-not its capabilities or level of performance, which should be covered in Section 3. For example, for our imaginary XXXXX Missile System, ranges, velocities, and acceleration are discussed in Section 3. Details of rocket motor functioning, though, are included in this section.) ------------------------------------------------------------------------------- ----------------- Classification Declassification or review Remarks ------------------------------------------------------------------------------- ----------------- 40. Rocket motor a. Size, weight, details of U construction b. Fuel (1) Components of Mixture U (2) Proportion of Components C DECL 3 May 93 in Mixture c. Burn rate C DECL 3 May 93 d. Thrust Achieved C DECL 3 May 93 Thrust, stated alone, is UN- CLASSIFIED un- less it is the maximum achieved in flight. Thrust in terms of time from ig- nition or launch is CONFIDENTIAL. e. Fuel capacity, fuel load U weight, and volume (Physical characteristics such as size, weight, power output, transportability, etc., should also be discussed here.) AR 380-5 Section 5-Critical Elements (The identification of ""critical elements'' of an effort is a matter of judgment. Sometimes, it serves no real purpose. It may be more useful to include classification instructions for information about ""critical elements'' in other sections (2, 3, 4, 6, or 8) of the guide. In such cases, this section should be included in the guide for the sake of format consistency, but should contain only the words, ""NOT APPLICABLE.'' If this section is used, the format is similar to that of other sections.) AR 380-5 Section 6-Vulnerabilities and Weaknesses ------------------------------------------------------------------------------- ----------------- Classification Declassification or Review Remarks ------------------------------------------------------------------------------- ----------------- 54. Operational countermeasures (target tactical employment techniques which degrade system performance) a. Identification of techniques C OADR See Notes 21, 25. b. Description of effects of techniques (1) Quantitative S OADR (2) Nonquantitative C OADR See Notes 21, 25. 55. Electronic and electro-optical countermeasures (ECM and EOCM) a. Identification of possible U ECM and EOCM b. Description of effects (1) Quantitative S OADR (2) Nonquantitative C OADR See Notes 22, 25. 56. Nuclear hardening and NEMP vul- nerability a. The fact that the XXXXX U Missile System is nuclear hardened b. Nuclear hardening techniques S OADR employed c. Information revealing degree S OADR of hardening of NEMP vulnera- bility 57. Antiradiation missile (ARM) vul- nerability a. The fact that ARMs are a U See Notes 24, recognized threat to the 25. system b. Any statement revealing the S OADR degree of ARM vulnerability c. Identification of ARM coun- C OADR See Note 26. termeasures employed d. Qualitative or quantitative S OADR information revealing effec- tiveness of countermeasures 58. Electronic counter-countermea- sures (ECCM) a. Identification of ECCM inher- U ent in or proposed for appli- cation to the system b. Description of ECCM effec- tiveness (1) Quantitative S OADR (2) Nonquantitative C OADR See Note 23. c. ECCM design or operating See paras 41c principles and 50. --------(As with other sections in this sample format, this section should not be interpreted as imposing or suggesting classification requirements for any actual system. It is intended, in- stead, to indicate the minimum level of detail that should be included. In some cases, even more detailed or specific information may be necessary.) AR 380-5 Section 7-Administrative Data ------------------------------------------------------------------------------- ----------------- ------------------------------------------------------------------------------- ----------------- Classification Declassification or review Remarks ------------------------------------------------------------------------------- ----------------- 61. Research and Development Program a. Budget year and prior year U dollars and quantities b. Future years and total U dollars and quantities 62. Procurement, Production and Programing a. Quantities (1) Assets C DECL 10 Aug 87 (Worldwide)/Authorized Acquisition Objective (AAO)/Total Program (2) Assets or programed C DECL 10 years from date quantities by theater or of information command (3) Foreign Military Sales See Note 3. (FMS) and Military Assistance Program (4) Program quantities for U See Note 4. budget year, authorization year and prior years (5) Future years quantities C DECL 10 Aug 87 See Note 4. (FYDP or total program beyond those displayed in Exhibit P-1) b. Funds See Note 35. (1) Budget year, authorization U year and prior years dollars (2) Future years dollars U (beyond those displayed in Exhibit P-1) (3) Total procurement dollars U (4) Unit cost as listed in U Exhibit P-1 (5) Program unit cost C DECL 10 Aug 87 (6) Design-to-cost goal and U See Note 5. other unit cost estimates c. Production and delivery (1) Numbers contracted U See Note 5. (2) Production and delivery U See Note 5. schedules (3) Rate of delivery U (4) Production capability, or C capacity (5) Equipment distribution U OADR plans 63. Key Scheduling Dates a. Initial Operating Capability U (IOC) b. Developmental milestones U other than IOC c. Individual test/demonstration C DECL on date of test See Note 7. dates d. Future schedule of C DECL upon completion of See Note 7. test/demonstration dates schedule e. Theater deployment dates C DECL when announced by theater commander f. Phase-out date C DECL when announced ------------------------------------------------------------------------------- ----------------- ------------------------------------------------------------------------------- ----------- AR 380-5 Section 8-Hardware (This section is appropriate only for guides dealing with systems and equipment. Each item of classified hardware must be identified along with its declassification date or event. In some cases, it may be best to list only classified hardware items. In other situations it might be necessary to list both classified and unclassified items to avoid confusion. US Army part numbers and national stock numbers should be included, when possible, but should not be used as a substitute for item nomenclature. If all hardware is unclassified, a simple statement to that effect should be made here.) (When writing guides for systems which use electronic data processing equipment, the classification of software must be included. In such cases, this section should be titled ""HARDWARE AND SOFTWARE,'' with each type of item addressed separately. You must discriminate between programs, data, and media. A portion of a section dealing with software is shown below.) AR 380-5 Section 8-Hardware and Software ------------------------------------------------------------------------------- ----------------- Classification Declassification or review Remarks ------------------------------------------------------------------------------- ----------------- 64. Programs U 65. Data files a. Standard (furnished) files S See Note 32. b. Locally generated files (1) TACEMP, CDEPI, CDEP2, S DECL 3 Aug 95 TARGDF (2) TARGID, REL1, REL2 Classified if classified in- formation con- cerning target performance data is entered, oth- erwise UNCLASSI- FIED. (3) All others U 66. Storage and data entry media a. Storage media (1) Standard (furnished) tapes S See Note 32. (2) Locally generated tapes See Note 33. b. Data entry cards (1) Program change and system U controlcards (2) File change and parameter See Note 34. cards ------------------------------------------------------------------------------- ----------------- ------------------------------------------------------------------------------- ----------- AR 380-5 Section 9-Notes 3. Classify in accordance with Chapter G, Military Assistance and Sales Manual, the classification of the request for assistance from the foreign government involved, or other appropriate guidance. 4. Information for the budget year and authorization year is declassified upon submission to Congress as a part of the DA FY Procurement Program, The President's Budget (Exhibit P-1) unless the year in question is the last (or ""buy-out'') year. That year's information would reveal the AAO or total program and must remain classified until the AAO is declassified. 5. UNCLASSIFIED only if the information does not reveal and cannot be used to compute the AAO or total program quantities, otherwise CONFIDENTIAL, declassify 10 Aug 87. 7. Classification applies to missile firing tests only, and only when the scheduled date of firing is revealed. Other test schedules are UNCLASSIFIED. 9. Applies only to velocities/acceleration attained within system performance envelope. Velocities/acceleration attained at minimum range altitude and below are UNCLASSIFIED. 11. External and internal views of the IR modulator assembly are CONFIDENTIAL. Internal views of the missile and warhead/guidance package are UNCLASSIFIED unless the IR modulator assembly is shown. 21. The statement that the XXXXX Missile System is ""highly effective against high-G maneuvering targets and targets in NOE flight'' is UNCLASSIFIED. 22. Statements that system performance is ""degraded'' or ""affected'' by a particular ECM or EOCM, without further elaboration, are UNCLASSIFIED. 23. Statements that ECCM features are ""effective'' against a specific ECM or EOCM are UNCLASSIFIED. Any further elaboration of such statements or statements that reveal a lack of ECCM effectiveness are CONFIDENTIAL. 24. This information is UNCLASSIFIED since it is well known that any radiating system may be targeted by ARMs. Since the XXXXX Missile System includes dedicated target acquisition and tracking radars, and since the missile itself uses radar and active IR homing devices, ARMs must logically be considered a threat. 25. Data concerning specific threat capabilities and tactics may be classified at a higher level by the originator. This information will be derivatively classified according to the originator's instructions. 26. The fact that ARM countermeasures are being applied to the system is UNCLASSIFIED. 31. No XXXXX Missile System operating programs are classified in themselves. The following programs access classified files: MIX1, MIX2, REFIRM, SYNC6, and OPORD2. 32. All standard files furnished to using units will be classified SECRET, since they will contain SECRET range and maneuverability data. Declassification instructions will be provided with each file. 33. Locally generated tapes will be classified according to the information they contain, as described in paragraph 65b. 34. File change and parameter cards will be classified according to the information they contain, as specified in other portions of this guide. Cards furnished as part of a general system update will be pre-marked by the preparer. 35. A breakout of UNCLASSIFIED yearly funding or cost estimates which would prejudice negotiations with a contractor and which qualify for exemption from mandatory public disclosure under the provisions of AR 340-17 should be marked ""FOR OFFICIAL USE ONLY.'' If furnished to the Congress of the United States, this information must be marked ""NSE'' (""Non-Security Exemption''). AR 380-5 Section IV Changing Security Classification Guides G-9. Whenever a security classification involving a guide subject changes, that change must be reflected by revision or reissuance of the guide. It may also be necessary to clarify or correct information in the guide or provide additional information or instructions. G-10. The terms ""revision'' and ""reissuance'' have specific meanings which must be understood because they are used differently on DD Form 2024 (DOD Security Classification Guide Data Elements). a The term ""revision'' includes the following three types of actions: (1) A change, which actually modifies some provision(s) of a guide (e.g., a classification, declassification or review date, the description of an item of information, a note). (2) An errata sheet, which corrects an error (typographical or otherwise) in a guide. (3) An addendum, which adds new material to a guide. b A single revision may serve more than one of these purposes (e.g., add new material and correct an error). A revision may be titled ""change,'' ""errata sheet,'' or ""addendum,'' but in the interests of clarity the term ""revision'' is recommended. Each revision should bear an identifying number. Revisions may be pen- and-ink changes or page changes whichever is more efficient. Revisions will show the date of approval. G-11. The term ""reissuance'' applies only to republication of an entire guide to incorporate modifications. The date of the reissued guide will be the date of approval of the reissuance. The original issue of the guide or the latest prior reissuance (if any) will be shown under ""Supersessions.'' G-12. Revisions and reissued guides must be approved, distributed, and reported as required in paragraphs 2-400d, 2-405 and 2-406 of DOD 5200.1-R. AR 380-5 Section V Instructions for Preparing DD Form 2024 (DOD Security Classification Guide Data Elements) G-13. Submission of DD Form 2024, required by paragraph 2-406 of this regulation, allows the listing of a security classification guide (SCG) in DOD 5200.1-I, the DOD Index of Security Classification Guides. G-14. DD Form 2024 must be prepared at least in four copies. The original and two copies are forwarded to HQDA (DAMI-CIS), WASH, DC 20310-1051. One copy is to be retained with the record copy of the SCG. In the case of new guides, revisions, or reissuances, the DD Form 2024 submitted to HQDA should accompany the copies of the SCG or change sent to DAMI-CIS. G-15. DD Form 2024 was revised on 1 February 79. The previous edition of 1 July 76 is obsolete and should not be used. G-16. The reverse side of DD Form 2024 provides instructions for completing the form. The following guidance supplements and clarifies these instructions. a. Paragraph B of the instructions defines the meanings of the six blocks in Item 1 of the form. (1) The ""new guide'' block should be checked when reporting any of the following: (a) The issue of a guide covering a subject on which no previous guide has been issued. (b) Publication of a guide under the circumstances described in paragraph E-18b. (c) Reissue of a guide which is not currently indexed in DOD 5200.1-I. (2) Do not check the ""new guide'' block just because the title of a guide has been changed. The ""revision'' block should be checked when the form is prepared to reflect a partial change (errata sheet, addendum, page change) to an SCG. The ""reissuance'' block should be checked when the entire guide is republished to include changes. The ""correction'' block is used when DD Form 2024 is submitted to correct information entered on a previous DD Form 2024, not to correct information in the SCG itself. b. Item 2 of the form should show only numbered publications which contain or transmit SCGs (for example, ARs, TBs, LOIs, major command or local regulations). If the guide is separately published, letters of transmittal, etc., should not be listed; ""NONE'' should be entered in Item 2. c. Never complete Item 3 by entering ""Security Classification Guide for .'' The item or project name should be entered as it appears on the guide; the phrases ""Security Classification Guide'' or ""Classification Guidance for'' are unnecessary. d. Item 4 must contain a date as shown in paragraph D on the back of the form. For a new guide, enter the date of its approval. When reporting a reissuance, enter the date of approval of the reissued guide. For other submissions, enter the date of the latest issue of the guide. e. In Item 7, enter a date two years from the date of issue, reissue, or the last biennial review, whichever is latest. f. When completing Item 8, enter ""NONE'' if no revisions to the SCG have been published. Record revisions according to this example: A guide was issued on 5 May 76. A revision was issued on 12 Jul 77; the DD Form 2024 for the revision showed ""01770712'' in Item 8. A second revision was issued on 20 Nov 78; Item 8 of that DD Form 2024 read ""02781120.'' g. Item 9, ""Subject Matter Index Terms,'' is an extremely important portion of the form, since the accuracy and validity of these terms determine the usefulness of DOD 5200.1-I. Carefully study the list of index terms found in DOD 5200.1-I and select terms that best apply to the SCG subject. Within the Department of the Army, only terms listed in the current edition of the index will be used. Other terms may not be used without the permission of the Directorate of Counterintelligence and Security Countermeasures, ODSCINT, (OACSI), HQDA. If none of the current terms is appropriate, submit recommended additions to HQDA (DAMI-CIS), WASH, DC 20310-1051. Insure that the index terms do not disclose classified information about the SCG subject. h. The index sequence number entered in Item 11 is essential to the accuracy of DOD 5200.1-I. If DD Form 2024 reflects a revision, reissuance, biennial review, cancellation, or correction, the index sequence number following the SCG title in the current edition of DOD 5200.1-I must be entered in Item 11. Two special circumstances deserve mention: (1) If a guide is to be reissued with a new title (due to a change in equipment nomenclature or project title), the index sequence number of the old guide must be entered in Item 11. The computer program used to compile the index will key on that number, delete the old title, and replace it with the new title. Do not submit a DD Form 2024 to list it under its new title. This might cause the SCG to be deleted from the index entirely. (2) In a very few cases, a revision or correction to a recently issued SCG which has not yet been listed in DOD 5200.1-I will be issued. In such cases, leave item 11 blank. i. Item 12, ""Remarks,'' may be used to advise the recipients of DD Form 2024 of any additional information considered appropriate. Information placed in Item 12 will not appear in DOD 5200.1-I. Item 12 may be left blank. j. DD Form 2024 states that completing Item 14a, ""Action Officer,'' is optional. Within the Department of the Army, an action officer will be indicated in Item 14a each time DD Form 2024 is prepared. The person listed should be the current action officer for the SCG. G-17. Sometimes an SCG will be replaced by two or more SCGs dealing with individual projects or items of equipment. For example, an SCG dealing with aircraft survivability equipment was replaced with separate SCGs for each item of equipment. In other cases, two or more SCGs may be combined. For example, SCGs covering two pieces of equipment may be replaced by one SCG for a system in which both items are included. When this occurs, the proponent of each superseded SCG must submit a DD Form 2024 to cancel the old SCG. A statement in Item 12 of the DD Form(s) 2024 for the new SCG(s) will not cancel the superseded SCG(s). G-18. When the proponent of a SCG changes due to organizational changes or progress in system development, the following instructions apply: a. If responsibility is transferred from one U.S. Army element to another, a ""correction'' or ""cancellation'' DD Form 2024 will not be submitted. The change of proponent should not be reported until the SCG is revised or reissued by the new proponent. b. If responsibility is assumed by a U.S. Army element from an agency outside the US Army, the change should be reflected when the gaining activity revises the SCG. The ""new guide'' block in Item 1 of the DD Form 2024 will be checked; no index sequence number will be entered. Cancelling the old SCG is the responsibility of the former proponent. c. If responsibility is assumed by a non-Army agency from a U.S. Army element, the losing element should make sure they know when the new proponent republishes the SCG. The losing U.S. Army element is responsible for submitting a ""cancellation'' DD Form 2024 when, but not before, the gaining agency republishes the SCG.