1750.1 REV-1

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CHAPTER 6. SAFEGUARDING

6-1. GENERAL.

a\. Minimum Risk. Absolute security for an item of

information can be achieved only if the information is

known by only one person, if it is never revealed to a

second person, and if it is never physically recorded in

any way. For Government operations, this is impractical

because it would render the information unusable.

Accordingly, the HUD Security Program cannot and does not

seek to obtain absolute security. Rather, it must permit

the accomplishment of essential functions while affording

selected items of information various reasonable degrees

of security with a minimum amount of calculated risk.

b\. Safeguarding in Depth. All safeguards for classified

information in storage are designed to protect the

information from one or both of two types of threats,

i.e., from inadvertent disclosure to an unauthorized

individual who has not necessarily sought access, and

from deliberate attempts to gain access either by

surreptitious or forced entry to the storage area. While

most types of locked containers provide acceptable

protection against inadvertent disclosure, no known type

of container can be considered absolutely secure against

a determined effort to gain access to classified

information stored inside.

6-2. STORAGE OF CLASSIFIED MATERIAL. Classified information not in

use by or under the direct observation of an authorized person

in the same room or enclosure will be stored in a locked

container. The requirements specified in this Handbook

represents the minimum requirements for physical barriers.

a\. Top Secret. Top Secret information shall be stored in a

GSA-approved security container with an approved built-in,

three position, dial-type changeable combination lock.

b\. Secret And Confidential. Secret and Confidential information

shall be stored in a manner and under the conditions

prescribed for Top Secret information, or in a steel file

cabinet equipped with a steel lock bar secured by a

GSA-approved three position changeable combination padlock.

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1750.1 REV-1

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6-3. DESIGNATION AND RESPONSIBILITIES OF CUSTODIANS OF SECURITY

EQUIPMENT.

a\. Designation.

\(1\) Headquarters. The head of the principal staff element

responsible for possession of classified information

will designate in writing and forward to the Assistant

Director for Security, Office of Investigation the

name of a primary custodian and one or more alternate

custodians for each unit of security storage

equipment. Designated personnel must be cleared for

access up to and including the highest degree of

information stored in the container(s), prior to the

assumption of their duties as custodians.

\(2\) Regional Offices. Regional Administrators and Area

Managers shall be responsible for maintaining a list

of primary and alternate custodians for each staff

element responsible for possession of classified

material.

b\. Custodial Responsibilities. Custodians of classified

information shall be responsible for providing the best possible

protection for such information at all times and particularly

for securely locking classified documents in approved

safe-keeping equipment whenever it is not in use or under

direct supervision of authorized personnel. Custodians of

classified storage containers will assure that combinations

of containers in their custody are changed in accordance

with the provisions of paragraph 6-5d. Classified

information shall not be discussed with or in the presence

of unauthorized persons. The first designated alternate

will assume responsibility for the container in the

absence of the custodian and first alternate.

c\. Emergency Planning.

\(1\) Custodians of classified information shall develop

plans for the protection, removal, or destruction of

classified material in case of fire, natural disaster,

civil disturbance, or enemy action.

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1750.1 REV-4

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\(2\) Emergency plans shall provide for the protection of

classified material in a manner that will minimize

the risk of injury or loss of life to personnel. In

the case of fire or natural disaster, the immediate

placement of cleared personnel around the affected

area, preinstructed and trained to prevent the removal

of classified material by unauthorized personnel, Is

an acceptable means of protecting classified material

and reducing casualty risk.

6-4. PREPARING A CONTAINER FOR CLASSIFIED STORAGE USE. Several

administrative actions are required to prepare a container for

the storage of classified information. These actions are

effected through the use of Form HUD-1442, Classified Container

Information, and Form HUD-1443, Classified Container Locking

Record. Each is described below with instructions for its use:

a\. Form HUD-1442, Classified Container Information

(Appendix 2). Form HUD-1442, is a three-part form, each

part having a specific purpose and disposition, as follows:

\(1\) Part 1 is used to to identify the designated custodian

and alternate(s) and, when space permits, other persons

having knowledge of the contents of the container or

its combination. Names, addresses, and home telephone

numbers of these individuals will be recorded in

appropriate spaces. Information typed on Part 1 will

appear as a carbon copy on Part 2 in its entirety, and

on Part 3 minus the names of the custodian and others.

Part 1 will be attached conspicuously to the outside

of each piece of equipment used to store classified

information.

\(2\) Part 2 is used for the registration of the container.

Names, addresses, and home telephone numbers of

additional personnel having knowledge of the

combination of the container may be recorded on an

extension or attached to Part 2. Part 2 will be

taped, glued, or stapled to the envelope containing

Part 3 (see below).

\(3\) Part 3 is used to record the combination of the

container. When the combination has been initially

set, or changed as required, it is recorded as

indicated on the form. Part 3 will be folded and

sealed in an opaque envelope. Since the combination

of a container requires the same defense classification

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as that of the highest classified material authorized

to be stored therein, Part 3 and the front and back of

the envelope will be marked with the appropriate

security classification. When Part 2 has been affixed

to the envelope containing Part 3, the envelope will

be hand carried to a central control office for control

and safekeeping, in accordance with paragraph 6-5e

below.

b\. Form HUD-1443, Classified Container Locking Record

(Appendix 3). Form HUD-1443 is used to certify opening and

locking of the container and checking the container at the

end of each working day. The form will be attached

conspicuously to the outside of each storage container and

used in accord with paragraph 6-6 below.

c\. Use of \"CLOSED-OPEN\" SIGNS. This sign will be used on all

classified containers to indicate at a glance whether the

container is open or closed. (Classified containers will

be kept fully locked when not under direct supervision of

appropriately cleared personnel). These red and white

reversible cardboard signs are available through normal

supply channels identified as Federal Stock Number

9905-286-7021.

6-5. COMBINATIONS - CLASSIFICATION AND SAFEGUARDING.

a\. Classifying Combinations. The combination of a vault or

container used for the storage of classified information

will be assigned a classification equal to the highest

designation of classified information authorized to be

stored therein. Until changed, combinations are subject to

the safeguards, controls, and accounting requirements of

this Handbook. When changed, the superseded combinations

automatically become declassified and a destruction

certificate, for the HUD Form 1442 is unnecessary.

b\. Access to Combinations. Knowledge of or access to the

combination of a container used for the storage of

classified information will be given only to those

appropriately cleared persons who are authorized access to

the information stored therein and must have it for

efficient performance of their duties. Secretarial,

administrative, and clerical personnel should have knowledge

of the combination only when responsible for the contents of

the safe, and will not be designated as custodian for

convenience purposes.

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c\. Responsibility for Changing Combinations.

\(1\) Headquarters. Combinations to locks will be changed,

upon request, by a representative of the Office of

Assistant Director for Security, Office of

Investigation.

\(2\) Regional Offices. Combinations to locks will be

changed only by persons designated by the Regional

Administrators. Such persons must have a security

clearance equal to the highest designation of

classified information stored therein.

d\. When Combinations are Changed. Combinations to dial-type

locks and combination padlocks shall be changed only by

persons having appropriate security clearance, and shall

be changed whenever: (1) such equipment is placed in use;

\(2\) a person knowing the combination no longer requires

access to the combination; (3) a combination has been

subjected to possible compromise; (4) the equipment is

taken out of service; and (5) at least once every year.

Knowledge of combinations shall be limited to the minimum

number of persons necessary for operating purposes. In

addition, when security equipment is taken out of service,

a representative of the Office of Assistant Director for

Security, Office of Investigation, will reset the built-in

combination lock to the standard combination 50-25-50 and

combination padlocks to the standard combination 10-20-30.

e\. Central Record of Combinations.

\(1\) Headquarters. A current record of the numerical

designation, location, and combination of all

containers plus a record of the names, home addresses

and telephone numbers of all persons having knowledge

of the combination (Part 2 and 3 of Form HUD-1442) will

be maintained by the Office of Assistant Director for

Security, Office of Investigation.

\(2\) Regional Offices. Regional Administrators and Area

Managers shall be responsible for maintaining a

current record of the required information as indicated

in e (1) above for all security storage containers in

possession of their respective offices.

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f\. Additional Safeguards.

\(1\) Combinations will not be carried on one\'s person,

written on calendar pads, desk blotters, or other

exposed items, nor will they be kept in desk drawers

(locked or unlocked), even if \"hidden\" among other

seemingly innocuous numbers.

\(2\) When selecting a combination to be set on a container

or padlock, the following numbers will not be used:

\(a\) Standard manufacturer s settings of 50-25-50 for

built-in locks, or 10-20-30 for padlocks;

\(b\) Zero, or numbers between 0 and 20, for the last

number of the combination (a common source of

lock malfunction);

\(c\) Numbers in straight ascending or descending order,

such as 29-37-51 or 51-37-29;

\(d\) Numbers ending in 5 or 0 (e.g., 35, 60, etc.);

\(e\) Numbers derived from birthdates, addresses,

telephone numbers, license numbers, or the like.

\(3\) To minimize the possibility of compromise of

classified information as an incidence to burglary,

such items as money, radios, or other items of

personal property will not be placed in any security

storage equipment in which classified information is

stored.

6-6. DAILY CERTIFICATIONS AND INSPECTIONS OF CONTAINERS AND WORK

AREAS.

a\. Unlocking. A classified container may be unlocked by

anyone who is authorized access to the contents and to whom

knowledge of the combination has been released. The

individual who unlocks the container will indicate that he

or she has done so by an appropriate entry (time, date and

his or her initials on Form HUD-1443. (See Appendix 3).

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b\. Locking and Checking. At the close of each normal workday,

or when a container is locked at times other than normal

duty hours, the person who has locked the container will

indicate that he or she has done so by making an appropriate

entry on Form HUD-1443. Finally, a person other than the

one who has locked the container will be required to check

it to insure that it is locked and will indicate that he or

she has done so by affixing the time he or she checked it

and his or her initials under the appropriate column on the

Form HUD-1443. The following guidelines apply:

\(1\) To lock or to check a container which is protected by a

dial-type combination lock, each drawer must be

completely closed and latched, and the dial of the lock

rotated a minimum of four times in the same direction.

\(2\) Normally, the \"checker\" will be the custodian of the

container, and the \"locker\" one of the alternate

custodians. In the absence of the primary custodian,

the container may be locked by any authorized

individual and checked by an alternate custodian.

\(3\) Checking is required for each normal working day,

regardless of whether or not a container was opened

on that particular day. When a container has not been

opened during the day, the checker will make the only

entry on the Form HUD-1443 for that day. The notation

\"NOT OPENED\" will be placed through the columns headed

\"UNLOCKED BY\" and \"LOCKED BY\" and the checker will

indicate the time the container was checked and his or

her initials in the column headed \"CHECKED BY\" (See

illustration in Appendix 3).

\(4\) A container will not be left unattended until it has

been locked by an authorized person and checked by a

second person.

c\. Inspections of Containers and Classified Work Areas. Every

container will be inspected at the end of each workday to

assure that it has been securely locked, checked, and the

Form HUD-1443 appropriately annotated. Similar inspections

will be made of areas or rooms in which classified

information is developed or used, to assure that no

classified information has been left out of a locked

container.

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6-7. INSPECTION.

a\. Headquarters. Personnel designated by the Assistant

Inspector General for Investigation will thoroughly inspect

security storage equipment at times and under conditions

prescribed to insure that the equipment working areas are

adequately secured or otherwise protected during both work

and nonwork hours. If any security storage equipment or

classified information is found not to be protected in

accordance with the requirements of this Handbook, the

Assistant Inspector General for Investigation will be

notified.

b\. Regional Offices. Regional Administrators and Area Managers

shall be responsible for insuring the adequate protection

and inspection of classified information and security

storage equipment in the possession of their respective

offices.

6-8. VIOLATIONS. Violations of these security regulations or

improper conduct on the part of employees which may tend to

compromise national security shall be reported by the head of

the principal staff element responsible for possession of

classified material directly to the Assistant Inspector General

for Investigation with a report (Appendix 4) of the circumstances

of the alleged offense and such other information as

may be appropriate. The Assistant Inspector General for

Investigation will notify the agency that originated the

information of the loss or possible compromise so that a

damage assessment may be conducted and appropriate measures

taken to negate or minimize any adverse effect of the

compromise.

6-9. REPRODUCTION CONTROLS.

a\. The Assistant Director for Security, Office of Investigation,

will be responsible for the reproduction of all

classified documents in the Department and will obtain

prior approval from the original classification authority

prior to the reproduction of such classification

information.

b\. Reproduced copies of classified documents shall be subject

to the same accountability and controls as the original

documents.

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