ST 
Headquarters 
Department  of  the  Army 
Washington,  DC 
1  June  1986 
•Army  Regulation  380-381 
Effective  1  June  1986 
Security 
Special  Access  Programs  (SAPs) 
(U)  Summary.  This  regulation  establishes  policies  and  prescribes 
procedures  for  establishing,  administratively  controlling,  and  sup- 
porting Special  Access  Programs  (SAPs)  and  SAPs  with  "carve- 
out"  contracts. 
(U)  Applicability.  This  regulation  applies  to  the  Active  Army. 
It  does  not  apply  to  the  Army  National  Guard  (ARNG)  or  U.S. 
Army  Reserve  (USAR). 
(U)  Impact  on  New  Manning  System.  This  regulation  does 
not  contain  information  that  affects  the  New  Manning  System. 
(U)  internal  control  systems.  This  regulation  is  not  subject  to 
the  requirements  of  AR  11-2.  It  does  not  contain  internal  control 
provisions. 
(U)  Committee  continuance  approval.  The  DA  Committee 
Management  Officer  concurs  in  the  continuance  of  the  Special  Ac- 
cess Programs  Oversight  Committee  (SAPOC)  which  was  estab- 
lished by  AR  380-381  (C),  15  August  1983. 
(U)  Supplementation.  Supplementation  of  this  regulation  and 
establishment  of  forms  other  than  DA  Forms  are  prohibited,  unless 
prior  approval  is  obtained  from  HQDA(DACS-DMP).  WASH  DC 
20310-0200. 
(U)  Interim  changes.  Interim  changes  to  this  regulation  are  not 
official  unless  they  are  authenticated  by  The  Adjutant  General.  Users 
will  destroy  interim  changes  on  their  expiration  dates  unless  sooner 
superseded  or  rescinded. 
(U)  Suggested  improvements.  The  proponent  agency  of  this 
regulation  is  the  Office  of  the  Chief  of  Staff,  Army.  Users  are  in- 
vited to  send  comments  and  suggested  improvements  on  DA  Form 
2028  (Recommended  Changes  to  Publications  and  Blank  Forms) 
directly  to  HQDA(DACS-DMP),  WASH  DC  20310-0200. 
(U)  Distribution  restriction.  This  publication  contains  opera- 
tional information  that  is  for  official  use  only.  Distribution  is  limited 
to  U.S.  Army  agencies.  Requests  from  outside  the  U.S.  Army  for 
release  of  this  publication  must  be  made  to  HQDA(DACS-DMP), 
WASH  DC  20310-0200. 
•This  regulation  supersedes  AR  380-381  (S),  I  March  1985,  and 
rescinds  DA  Form  5400,  March  1985.
UNgUASWFIED 
*•»  *•'»»***     :  - 
1  Juno  1986 
AR  380-381 
Contents  (U) 
PttttQMptl  r9Q9 
Purpose         1  3 
References           2  3 
Explanation  of  abbreviations  and  terms         3  3 
Appendix 
A.  References    A-I 
B.  Format  for  Reporting  Special  Access  Programs    B-l 
C.  Special  Access  Program  Oversight 
Committee  Charter    C-l 
0.  Special  Access  Program  Determination  Criteria    D-l 
Paragraph  P»g* 
Policy         4  3 
Responsibilities         5  5 
Procedures         6  7 
E.  Technology  Management  Office  Responsibilities    E-l 
F.  Limited  Special  Access  Program    F-l 
G.  Format  for  Annual  SAPOC  Revalidation    G-l 
H,  Special  Access  Program  Disestablishment    H-l 
I.  Information  Systems  Requirements  Package    M 
Glossary   Glossary  1 
1.  (U)  Purpose 
a.  (U)  This  regulation  establishes  policies  and  prescribes 
procedures  for  establishing,  administratively  controlling,  and 
supporting  Special  Access  Programs  (SAPs)  and  SAPs  with 
"carve-out"  contracting.  The  following  terms  apply: 
(1)  (U)  Special  Access  Program  (SAP).  Any  program 
imposing  a  must  "need-to-know"  or  access  controls  beyond 
those  normally  provided  for  access  to  CONFIDENTIAL, 
SECRET,  or  TOP  SECRET  information  under  provisions 
.of  AR  380-5.  Such  a  program  may  include,  but  is  not  limited 
to,  access  clearance,  adjudication  or  investigative  require- 
ments, special  designation  of  officials  authorized  to  deter- 
mine a  must  "need-to-know,**  or  special  lists  of  persons 
determined  to  have  a  must  "need-to-know."  The  justification 
for  a  SAP  must  establish  that: 
(a)  (U)  Normal  management  and  safeguarding  pro- 
cedures are  not  sufficient  to  limit  access;  and 
(b)  (U)  The  number  of  persons  who  need  access  will 
be  reasonably  small  and  commensurate  with  the  objective 
of  providing  extra  protection  for  the  information  involved. 
(2)  (U)  Cane-Out.  A  classified  contract  issued  in  con- 
nection with  an  approved  SAP  in  which  the  Defense  In- 
vestigative Service  (DIS)  has  been  relieved  of  contractor 
security  inspection  responsibility  in  whole  or  in  pan  under 
the  Defense  Industrial  Security  Program  (DOD  5220.22-M). 
h.  (U)  The  types  of  activities  which  may  be  governed  by 
this  regulation  include: 
(1)  (U)  Research,  development,  and  acquisition  of 
systems,  items  or  services. 
(2)  (U)  Modifications  to  existing  systems  in  which  a 
significant  vulnerability  has  been  discovered. 
(3)  (U)  Intelligence  collection  and  exploitation. 
(4)  (U)  Foreign  materiel  procurement  and  exploitation. 
(5)  (U)  Strategic  and  tactical  operational  concepts  and 
plans. 
(6)  (U)  Activities  and  organizations  involved  in  the  con- 
duct of  covert  or  clandestine  operations. 
2.  (UJ  References 
(U)  Required  and  related  publications  and  prescribed  forms 
are  listed  at  appendix  A. 
3.  (U)  Explanation  of  abbreviations  and  terms 
(U)  Unless  explained  in  the  text  of  this  regulation  or  cited 
references,  abbreviations  and  special  terms  are  defined  in 
the  glossary. 
4.  (U)  Policy 
a.  (U)  The  creation  of  SAPs  and  the  utilization  of  "carve- 
out"  contracts  dictate  that  extraordinary  management 
measures  be  applied  to  ensure: 
(1)  (U)  Strict  compliance  with  the  provisions  of  law  and 
applicable  regulations. 
(2)  (U)  Propriety  in  solicitation  and  awarding  of  con- 
tracts and  purchase  requests. 
(3)  (U)  Financial  accountability. 
(4)  (U)  Involvement  of  appropriate  authorities  in  the 
decisionmaking  process. 
(5)  (U)  Security  controls  are  established  and  enforced. 
b.  (U)  It  is  the  policy  of  the  Department  of  the  Army  to 
use  the  security  classification  categories  and  the  applicable 
sections  of  E.O.  12356,  DOD  Directive  5200. 1-R  and  AR 
Regulation  380-5  to  limit  access  to  classified  information. 
The  "need-to-know"  principle  in  the  regular  classification 
system  will  normally  supply,  so  there  will  be  ho  need  to  resort 
UNCLASSIFIED
AR  380-381 
to  formal  SAP  provisions.  The  granting  of  SAP  status, 
therefore,  will  not  be  a  routine  action.  It  must  be  specifi- 
cally demonstrated  that: 
(1)  (U)  The  proposed  activity  could  not  be  accom- 
plished or  would  incur  unacceptable  security  risks  unless 
granted  SAP  status. 
(2)  (U)  The  proposed  activity  is  so  sensitive  that  the 
cost,  loss  of  advantage,  or  damage  to  national  defense  which 
would  result  from  compromise  is  unacceptable. 
(3)  (U)  The  provisions  of  the  Army  Information  Secu- 
rity Program  (AR  380-5)  are  not  sufficient  to  ensure  the 
necessary  limitations  on  access  to  program  information. 
(4)  (U)  The  proponent  is  prepared  to  incur  the  addi- 
tional restrictions  and  costs  inherent  in  a  SAP. 
c.  (U)  While  not  all  inclusive,  the  following  conditions 
provide  guidelines  for  determining  what  type  activity  or  pro- 
gram shnyJH  be  considered  for  SAP  approval. 
t  June  1986 
through   the   appropriate  Army  'Stiff  element  to 
HQDA(DACS-DMP),  WASH,  DC20310-0200,  in  accor- 
whh  appendix  B.  Requests  wUl  be: 
(1)  (U)  Accompanied  by  a  security  plan,  classification 
guide,  billet  structure  and  information  systems  requirements 
package  (app  I). 
(2)  (U)  Coordinated  by  the  requestor  with  the  Army 
Staff  and  appropriate  MACOMs. 
(4)  (U)  Forwarded  by  the  TMO  for  Secretary  of  the 
Army  approval  and  necessary  reporting  to  the  Deputy  Under 
Secretary  of  Defense  (Policy)  (DUSD(P)J. 
e.  (U)  The  use  of  a  "carve-out"  contract  is  prohibited 
unless  such  contract  supports  an  approved  SAP.  The  fact  that 
a  classified  contract  is  a  part  of  an  approved  SAP  is  not,  of 
itself,  sufficient  justification  for  a  "carve-out"  contract. 
(1)  (U)  Requests  for  approval  of  a  SAP  with  a  "carve- 
out"  contract  must  include  rationale  for  use  of  "carve-out" 
contracting  and  proposed  "carve-out"  contracting  proce- 
dures. These  procedures  must  comply  with  DOD 
522Q.22^M,  AR  380-49,  appendix  B,  and  with  Federal, 
Defense,  and  Army  acquisition  regulations.  Program 
managers  and  proponents  for  SAPs  must  specify  what 
;anization  is  assuming  the  security  responsibilities  which 
are  "carved-out"  of  DIS. 
(2)  (U)  Commanders  or  heads  of  DA  activities  spon- 
soring a  SAP  supported  by  a  contractor  will  use  DD  Form 
254  (Contract  Security  Classification  Specification)  when 
establishing  a  "carve-out"  contract.
1  June  1986 
g.  (U)  The  range  of  extraordinary  security  protections  and 
access  controls  afforded  to  approved  SAPs  may  not  be  ap- 
plied to  other  programs,  even  though  such  programs  other- 
wise meet  the  definition  of  a  SAP  in  paragraph  1  of  this 
regulation.  Specifically,  no  collaterally  classified  programs 
other  than  an  approved  SAP  may  control  access  through 
signed  nondisclosure  statements  or  use  "carve-out" 
contracting. 
h.  (U)  Requests  for  waivers  to  policy  as  set  forth  in  this 
regulation  may  be  submitted  to  HQDA(DACS-DMP). 
5.  (U)-  Responsibilities         
A.  (U)  The  Secretary  of  the  Army  (SA)  is  responsible  for 
ail  matters  related  to  compartmented  activities  within  the 
Department  of  the  Army  .The  Secretary  may  delegate  por- 
tions of  those  responsibilities  to  the  Under  Secretary  of  the 
Army,  Assistant  Secretaries  of  the  Army.  General  Counsel, 
or  others. 
b.  (U)  The  Assistant  Secretary  of  the  Army  (Research. 
Development,  and  Acquisition)  [ASA(RDA)]  is  designated  as 
the  principal  assistant  to  the  Secretary  and  Under  Secretary 
of  the  army  for  matters  related  to  RDA  compartmented  ac- 
tivities, including  those  funded  by  RDTE  or  procurement  ap- 
propriation funds.  The  Assistant  Secretary  shall  assist  in 
policy  direction  and  oversight,  unless  specifically  exempted 
by  the  Secretary  of  the  Army  or  Under  Secretary  of  the  Army 
and  be  responsible  for: 
(1)  (U)  Oversight  of  research  and  development,  the 
technology  base,  and  hardware  systems  issues,  specifically 
including  examination  of  technology  feasibility,  related  to 
compartmented  programs. 
(2)  (U)  Oversight  of  compartmented  systems  acquisi- 
tion and  related  procurement  procedures. 
(3)  (U)  Acquisition  of  systems,  components,  and 
modifications  developed  under  a  Special  Access  Program 
which  must  be  protected  by  SAP  procedures  during  procure- 
ment and  fielding. 
(4)  (U)  Coordination  with  OACSI  to  ensure  that 
technology  transfer  issues  are  addressed  during  development 
of  technical  programs. 
c.  (U)  The  General  Counsel  (GC).  will  provide  legal  and 
policy  advice  on  SAP  matters. 
d.  (U)  Vie  Chief  of  Staff.  Army  (CSA)  will  be  responsi- 
ble for  the  development,  coordination,  review,  and  execu- 
tion of  all  compartmented  activities  within  the  Army. 
AR  380-381 
e.  (U)  Tne  Vice  Chief  of  Staff.  Army  (VCSA)  will  be 
responsible  for  the  management  of  compartmented  program.1 
and  the  implementation,  through  the  SAPOC,  of  policies 
assigned  in  paragraph  4.  The  Vice  Chief  of  Staff  of  the  Arrm 
responsibilities  include: 
(2)  (U)  Ensuring  that  the  TMO: 
(b)  tU)  Institutes  proceduresTO  coordinate  all  actions 
related  to  SAPs. 
(3)  (U)  Serving  as  the  chairman  of  the  SAPOC  (appC). 
/  (U)  The  Deputy  Chief  of  Staff  for  Personnel  (DCSPER) 
will  provide  the  necessary  personnel  management  system  for 
classified/compartmented  programs  and  activities. 
g.  (U)  The  Deputy  Chief  of  Staff  for  Operations  and  Plans 
(DCSOPS)  will- 
(1)  (U)  Coordinate  user  review  and  analysis  of  can- 
didate SAPs,  unless  this  responsibility  is  specifically  assigned 
to  another  agency. 
(2)  (U)  Provide  policy  guidance  and  standards  for 
operations  security  (OPSEC)  measures  appropriate  for  SAPs. 
h.  (U)  The  Deputy  Chief  of  Staff  for  Research.  Develop- 
ment, and  Acquisition  (DCSRDA)  will: 
(1)  (U)  Provide  SAP  life  cycle  management  policy  and 
support. 
(2)  (U)  Coordinate  with  other  DOD  compon- 
ents/departments to  ensure  no  duplication  of  efforts  or  dif- 
ferences in  security  protection  for  multi-service  programs. 
(3)  (U)  Coordinate  a  technical  review  of  candidate 
SAPs,  unless  this  responsibility  is  specifically  assigned  to 
another  agency. 
/.  (U)  The  Deputy  Chief  of  Staff  for  Logistics  (DCSLOG) 
will: 
(1)  (U)  Provide  SAP  contracting  and  procurement 
policy  and  support. 
(2)  (U)  Ensure  that  appropriate  Army  management  of 
the  contracting  function  is  in  place  and  operative  for  all  con- 
tracts in  support  of  SAPs. 
(3)  (U)  Ensure  the  concept  of  Integrated  Logistics  Sup- 
port is  included  in  all  materiel  development  or  materiel  ac- 
quisition SAPs.
AR  380-381 
j.  (U)  The  Assistant  Chief  of Staff for  Intelligence  (ACS1) 
will— 
(1)  (U)  Provide  policy  for  intelligence  and  counter- 
intelligence support  to  SAPs,  to  include  enemy  threat  and 
countcrmeasures,  assessment  of  the  foreign  intelligence 
threat,  assessments  of  the  net  security  risk  to  SAPs,  and 
counterintelligence  support  to  the  OPSEC  process. 
(2)  (U)  Provide  preliminary  intelligence  assessments  of 
candidate  SAPs  to  support  the  decisionmaking  process  of  the 
SAPOC. 
(3)  (U)  Maintain  the  capability  to  analyze  and  evaluate 
potential  adversaries'  technologies. 
k.  (U)  The  Assistant  Chief  of  Staff  for  Information 
Management  (ACSIM).  The  ACSIM  wiU  coordinate  infor- 
mation systems  aspects  of  SAP  support. 
/.  (U)  Chief  of  Engineers  (COE\.  In  discharging  respon- 
sibilities for  military  construction,  the  COE  will  provide 
reimbursable  construction  support  for  secure  facilities  when 
requested  by  commanders  of  host  commands  having  respon- 
sibility for  providing  those  facilities. 
m.  (U)  Comptroller  of  the  Army  (COA).  The  CO  A  will— 
(1)  (U)  Develop  a  system  and  implement  procedures 
to  provide  financial  and  budgeting  guidance.  Army  Staff  sup- 
port and  execution  review  for  SAPs  at  an  appropriation  pro- 
gram level. 
(2)  (U)  Monitor  Congressional  reprogramrning  of  SAP 
funds  and  ensure  these  actions  receive  review  at  the  ap- 
propriate levels. 
(3)  (U)  Provide  cost  analysis/pricing  support  for 
selected  SAPs. 
n.  (U)  The  Inspector  General  (TIC).  TIG  will  provide  in- 
spector general  oversight  of  SAPs. 
o.  (U)  The  Judge  Advocate  General  (TJAG).  TJAG  will 
provide  legal  and  policy  advice  on  SAP  matters. 
p.  (U)  Chief  of  Legislative  Liaison  (CLL).  The  CLLwill 
coordinate  Congressional  interest  in  and  briefings  on  Army 
SAPs  and  ensure  that  appropriate  committees  are  k?pt  in- 
formed of  SAP  status. 
q.  (U)  Director,  Program  Analysis  and  Evaluation  Direc- 
torate (PAED).  The  Director,  PAED,  will— 
(1)  (U)  Ensure  that  SAPs  compete  with  other  Army 
programs  for  resourcing  in  the  POM  development  process. 
(2)  (U)  Notify  the  TMO  of  all  approved  SAP  program 
and  funding  profiles. 
r.  (U)  Commanding  General,  U.S.  Army  Training  and 
Doctrine  Command  (CG.  TRADOC).  The  CG,  TRADOC 
will— 
(1)  (U)  Institute  procedures  to  ensure  early  identifica- 
tion and  protection  of  combat  developments,  concepts,  and 
systems  with  SAP  potential. 
1  June  1386 
(2)  (U)  Support  user  review  and  analysis  of  candidate 
SAPs,  unless  this  responsibility  is  specifically  assigned  to 
another  agency. 
s.  (U)  Commanding  General,  U.S.  Army  Materiel  Com- 
mand (CG.  AMC).  The  CG,  AMC  will- 
(1)  (U)  Institute  procedures  to  ensure  early  identifica- 
tion and  protection  of  any  potential  R&D  breakthrough  or 
significant  vulnerability  of  an  existing  or  proposed  U.S. 
Army  system  with  SAP  potential. 
(2)  (U)  Support  a  technical  review  of  candidate  SAPs, 
unless  this  responsibility  is  specifically  assigned  to  another 
agency. 
/.  (U)  Commanding  General.  U.S.  Army  Forces  Com- 
mand (CG.  FORSCOM).  The  CG,  FORSCOM  will  institute 
procedures  to  ensure  early  identification  and  protection  of 
activities,  operational  concepts,  and  combat  developments 
requiring  SAP  status. 
u.  (U)  Commanding  General.  U.S.  Army  Information 
Systems  Command  (CG.  USAISC).  The  CG,  USAISC  will 
coordinate  information  systems  aspects  of  SAP  support  and 
provide  technical  support,  as  required,  for  SAPs  that  require 
secure  information  systems.  The  Commanding  General,  7th 
Signal  Command  is  designated  as  the  executive  agent  respon- 
sible to  the  CG,  USAJSC. 
v.  (U)  Commanding  General.  U.S.  Army  Strategic 
Defense  Command  (CG.  USASDC).  The  CG,  USASDC,  will 
institute  procedures  to  ensure  early  identification  and  pro- 
tection of  any  R&D  breakthrough  of  significant  vulnerabil- 
ity of  an  existing  or  proposed  U.S.  Army  effort  within  the 
Strategic  Defense  Initiative  Program  with  SAP  potential. 
w.  (U)  Commenting  General,  U.S.  Army  Intelligence  and 
Security  Command  (CG.  INSCOM).  The  CG,  INSCOM 
will- 
(1)  (U)  Institute  procedures  to  ensure  early  identifica- 
tion and  protection  of  sensitive  intelligence  activities  and 
capabilities. 
(3)  (U)  Provide  counterintelligence  and  security  sup- 
port to  commanders  or  heads  of  DA  activities  having  pro- 
ponency  for  approved  SAPs. 
(5)  (U)  Assist  proponent  agencies  in  preparing  secur- 
ity classification  guides  and  prescribe  cover  and  passive 
counter-measures  for  approved  SAPs  and  LSAPs. 
(6)  (U)  Maintain  the  capability  to  collect  information 
relevant  to  potential  adversaries*  technologies. 
(7)  (U)  Provide,  in  coordination  with  OACSI,  HOIS
1  June  1986 
threat  information  to  organizations  and  installations  support- 
ing SAPs. 
(8)  (U)  Provide  comments  in  each  case  on  the  feasibility 
of  using  "carve-out"  contracts  for  specific  SAPs. 
x.  (V)  All  Department  of  Army  Staff  elements.  MACOAf 
commanders,  and  Special  Access  Program  proponents  will, 
for  the  SAPs  for  which  they  have  proponency: 
(1)  (U)  Designate  a  single  point  of  contact  for  SAPs. 
This  ?OC  will  serve  as  the  central  point  for  initial  inquiries 
and  responses  on  SAPs. 
(2)  (U)  Manage  the  planning,  programming,  budgeting, 
accountability,  and  execution  of  SAPs. 
(3)  (U)  Coordinate  with  OACSI  for  intelligence  and 
counterintelligence  support  to  OPSEC  and  threat  support 
necessary  for  execution  of  SAPs. 
(4)  (U)  Coordinate  with  ODCSRDA  and  AMC  for 
RDA  SAPs. 
(6)  (U)  Maintain  a  file  of  security  plans,  classification 
guides  and  billet  structures  on  SAPs  for  which  they  have  the 
lead. 
(7)  (U)  Assist  in  the  discharge  of  responsibilities  for 
SAPs  and  adherence  to  the  policies  stated  in  this  regulation. 
(8)  (U)  Coordinate  with  USAISC  for  secure  com- 
munications advice  and  support. 
(9)  (U)  Nominate  activities,  systems,  concepts,  or 
operations,  as  described  in  paragraphs  1  and  4  of  this  regula- 
tion, for  SAP  approval. 
(10)  (U)  Notify  the  TMO  and  all  effected  agencies  upon 
program  termination.  Insure  no  funds  are  expended  on  pro- 
grams after  their  termination. 
6.  (U)    Procedures 
(U)  It  is  essential  that  candidate  Special  Access  Programs 
be  identified  as  early  as  possible  and  that  they  be  given  special 
protection  from  concept  through  a  point  where  a  determina- 
tion is  consciously  made  that  special  protection  is  no  longer 
warranted.  Special  protective  procedures  include: 
a.  (U)  Security.  Security  is  the  responsibility  of  the  pro- 
gram manager  or  proponent,  who  must  provide  the  required 
personnel  and  financial  resources  to  support  the  security  plan 
for  the  SAP.  Sound  and  continuous  security  planning  is  essen- 
tial to  successful  execution  of  a  SAP.  Program  managers  and 
proponents  should  recognize  that  special  security  provisions 
generally  have  resource  implications  for  their  program  and 
should  plan  accordingly.  Program  managers  or  proponents 
are  encouraged  to  request  CG,  INSCOM  to  provide  advice 
AR  380-381 
and  assistance  in  planning  for  these  special  provisions.  Tf*. 
SAPOC  will  evaluate  special  security  provisions  and  overal 
security  planning  in  conjunction  with  the  processes  of  initia 
approval  and  annual  revalidation  of  SAPs.  Enhanced  security 
measures  incorporated  into  security  planning  and  procedure; 
for  a  SAP  include: 
(1)  (U)  Only  those  persons  essential  to  the  conduct  oi 
the  program  to  include  those  involved  in  management  anc 
oversight  will  be  granted  access  to  program  information.  That 
information  will  be  segregated  by  levels  with  individuals 
read-on  to  the  level  justified  by  a  roost  need-to-know  criteria 
only. 
(2)  (U)  As  a  minimum  a  SECRET  clearance  with  a 
favorable  National  Agency  Check  is  required  for  access  to 
Army  SAP  information.  This  may  be  supplemented  with  local 
agency  checks,  credit  checks,  and  letters  to  past  and  present 
employers. 
(4)  (U)  A  billet  structure  for  each  Army  SAP  will  be 
established  by  the  proponent  or  program  manager  and  ap- 
proved by  the  SAPOC.  SAP  proponents  or  program 
managers  will  manage  access  to  their  SAPs  within  the  ap- 
proved billet  constraints.  The  billet  structure  will  identify 
the  access  control  authorities  and  access  approval  authorities 
necessary  for  the  accomplishment  of  required  SAP  briefings 
and  debriefings.  The  billet  structure  will  be  briefed  in  the 
annual  SAP  revalidation  and  may  be  adjusted  at  that  time, 
as  necessary.  Based  on  urgent  need,  requests  to  grant  addi- 
tional access  beyond  the  number  authorized  for  a  SAP  will 
be  submitted  to  HQDA(DACS-DMP)  for  approval  by  the 
SAPOC  or  by  the  Vice  Chief  of  Staff,  Army.  The  billet  struc 
ture  will  consist  of  those  positions  identified  by  the  program 
manager/proponent  necessary  for  the  successful  execution 
of  the  SAP  and  those  identified  in  the  Army  SAP  baseline. 
The  Army  SAP  baseline  includes  those  positions  at  all  com- 
mand levels  necessary  to  manage  and  oversee  SAPs.  The 
Army  SAP  baseline  will  be  provided  to  program 
managers/proponents  by  HQDA(DACS-DMP)  and  the  per- 
sonnel on  this  baseline  will  be  briefed  on  the  SAP  when  it
UNCLASSIFIED 
AR  380-381 
is  approved.  The  program  manager/proponent  will  determine 
when  other  personnel  in  the  SAP  billet  structure  will  be 
briefed  and  provide  access  approval  authorities  with  SAP 
briefing  materials. 
(5)  (U)  Voluntary  acceptance  in  writing  of  specific  ad- 
ministrative restrictions  and  liability  for  unauthorized 
disclosure  is  required  as  a  prerequisite  for  receiving  access. 
DA  Form  Form  5399-R  (Special  Access  Program  Initial 
Security  Briefing)  will  be  used  for  SAP  indoctrinations.  DA 
Form  5399-R  will  be  reproduced  locally  on  8VS  X  11  inch 
paper.  A  copy  for  reproduction  purposes  is  located  at  the 
back  of  this  regulation. 
(6)  (U)  Operations  security  (OPSEC)  constitutes  a  key 
factor  in  management  of  SAPs  and  is  the  responsibility  of 
the  program  manager  or  proponent  of  a  SAP.  Security  pro- 
cedures established  for  each  program  in  a  security  plan  and 
classification  guide  will  be  followed.  One  copy  of  the  plan 
and  guide  will  be  provided  to  the  TMO  with  the  initial  re- 
quest for  SAP  approval  and  will  be  evaluated  by  the  TMO 
and  staffed  to  ACS1  and  INSCOM  for  review  and  comment. 
Individuals  approving  classification  guides  must  have  original 
TOP  SECRET  classification  authority.  Program  security  pro- 
visions to  include  proposed  billet  structure  will  be  briefed 
to  and  approved  by  the  SAPOC.  Security  classification  guides 
for  programs  where  DIS  has  contractor  security  inspection 
responsibility  will  be  provided  to  appropriately  accessed  DIS 
personnel.  AR  380-5,  appendix  E,  contains  guidance  on  the 
preparation  of  a  security  classification  guide. 
(7)  (U)  Information  systems  security  is  a  critical  con- 
sideration. Provisions  and  requirements  for  secure  informa- 
tion systems  will  be  identified  and  described  in  each  SAP 
request  (app  I).  Acquisition  of  secure  information  systems 
equipment  is  a  program  manager  or  proponent  responsibil- 
ity. The  ACSIM  and  CG,  USAISC  will  provide  advice  and 
assistance,  as  necessary,  to  meet  this  requirement. 
(8)  (U)  An  aggressive  program  will  be  maintained  to 
terminate  accesses  upon  completing  the  work  for  which  those 
accesses  were  originally  granted  using  DA  Form  540 1-R 
(Special  Access  Program  Security  Termination  Guide). 
Generally,  the  larger  the  number  of  persons  with  access,  the 
greater  the  risk  of  program  compromise.  The  number  of  per- 
sons with  access  will  be  one  of  the  principal  program  issues 
reviewed  in  the  annual  SAP  revalidation  process.  DA  Form 
5401 -R  will  be  reproduced  locally  on  8  ft  x  11  inch  paper. 
/.  copy  for  reproduction  purposes  is  located  at  the  back  of 
this  regulation. 
(9)  (U)  SAP  proponents  or  program  managers  are 
responsible  for  ensuring  that  all  prime  contractor  and  sub- 
contractor facilities  are  inspected  by  U.S.  Army  or  Defense 
1  June  1986 
Investigative  Service  personnel  at  least  twice  a  year.  Prime 
contractor  inspections  of  their  subcontractors  for  compliance 
with  SAP  security  requirements  are  not  authorized. 
(10)  (U)  Security  violations,  compromises,  vulner- 
abilities, and  weaknesses  detected  by  whomever  will  be 
reported  to  the  SAP  program  manager  or  proponent  and  the 
SAP  security  manager.  The  report  will  include  recommended 
corrective  action.  The  program  manager  and  SAP  security 
manager  will  evaluate  the  recommendation  and  take  prompt 
action  to  resolve  the  reported  security  problem  per  AR  380-5 
or  DOD  5220.22-M.  Significant  security  violations  or  com- 
promises will  be  expeditiously  reported  by  the  program 
manager  or  proponent  through  appropriately  accessed  per- 
sonnel in  the  chain  of  command  to  KQDA(DAMI-CI), 
WASH  DC  20310-1054,  who  will  notify  the  TMO.  The  in- 
itial report  will  include  all  known  details  of  the  violation  or 
compromise,  to  include  investigative  or  corrective  action 
taken  to  date.  An  interim  damage  assessment  will  be  ex- 
peditiously forwarded.  Failure  to  resolve  the  security  pro- 
blem will  be  reported  through  the  SAP  proponent's  chain 
of  command  to  the  TMO  by  the  supporting  INSCOM  ele- 
ment. Significant  or  recurring  security  problems  which  result 
in  a  SAP  security  compromise  will  be  an  issue  for  SAPOC 
review. 
(11)  (U)  DA  Pamphlet  380-381,  Security  for  Special 
Access  Programs,  provides  additional  guidance  and  infor- 
mation on  the  security  provisions  appropriate  for  SAPs. 
b.  (U)  Information.  Dissemination  of  information  pertain- 
ing to  specific  SAPs  will  be  handled  case-by-case.  The 
originating  control  specified  in  paragraph  6a(3)  retains 
authority  for  approving  access  to  SAPs. 
(1)  (U)  No  SAP  may  be  openly  identified  in  DA  press 
releases  or  Congressional  budget  data  or  reports.  However, 
appropriate  authorities  will  be  briefed  in  sufficient  detail  to 
satisfy  all  legal  and  program  review  requirements.  These 
authorities  will  be  added  to  access  control  rosters.  Informa- 
tion (vocal  or  written)  concerning  specific  SAPs  will  be  pro- 
vided to  the  Congress  through  the  Chief,  Legislative  Liaison 
(CLL).  Congressional  staff  members  will  be  given  a  pro- 
gram security  briefing,  execute  an  initial  security  briefing 
statement,  and  be  added  to  the  program  billet  structure  and 
access  roster.  All  briefings  of  Members  of  Congress  or  their 
staffs  on  SAPs  will  be  reported  to  the  TMO  for  inclusion 
in  the  Congressional  data  book. 
(2)  (U)  Strict  security  requirements  of  SAPs  and 
"carve-out* '  contracts  will  be  written  into  standard  pro- 
cedures for  Army  agencies,  contractors,  and  test  ranges 
engaged  in  these  programs. 
UNCLASSIFIED
1  June  1986 
AR  380-381 
(3)  (U)  SAP  mfonnauonshaU  be  stored,  as  a  minimum, 
in  a  GSA  approved  safe-type  steel  file  container  having  a 
built-in.  three  position,  dial-type,  GSA  approved  combina- 
tion lock  or  a  Class  A  vault  or  vault  type  room  that  meets 
the  standards  established  by  the  head  of  the  DOD  Compo- 
nent concerned.  See  AR  380-5  for  the  standards  applied  to 
DA  agencies  and  DOD  5220.22-M,  Industrial  Security 
Manual,  for  contractor  requirements. 
c.  (U)  Limited  Special  Access  Program.  The  nature  of 
certain  projects,  programs,  and  activities  requires  special  pro- 
tection be  established  expeditiously  to  avoid  compromise. 
This  means  that  these  programs  require  SAP  security  con- 
trols before  they  are  actually  approved  as  SAPs.  In  these  in- 
stances MACOM  commanders  and  Department  of  the  Army 
Deputy  and  Assistant  Chiefs  of  Staff  are  authorized  to  apply 
for  a  Limited  Special  Access  Program  (LSAP)  for  a  period 
not  to  exceed  6  months.  The  procedures  governing  LSAPs 
are  discussed  in  appendix  F. 
d.  (U)  SAP  Approval  Process.  The  processing  of  SAP  ap- 
proval requests  will  be  expedited  to  the  greatest  degree  possi- 
ble. Figure  1  depicts  the  approval  process  flow. 
(1)  (U)  In  general,  the  steps  in  the  approval  process  are: 
(d.)  (U)  Brief  to  SAPOC.  The  proposed  SAP  and  the 
results  of  the  detailed  evaluation  will  be  briefed  to  the  work- 
ing SAPOC,  which  will  make  an  interim  recommendation 
on  SAP  approval.  The  SAPOC  will  be  briefed  and  will  make 
the  final  recommendation  on  SAP  approval.  The  functions 
and  members  of  the  SAPOC  and  working  SAPOC  are  at  ap- 
pendix C. 
(e.)  (U)  Routing  and  Review.  The  SAPOC  recom- 
mendation and  SAP  request  package  are  routed  tc  ine  Under 
Secretary  of  the  Army  and  the  Chief  of  Staff  of  the  Army, 
in  turn.  Questions  that  arise  will  be  staffed  by  the  TMO  for 
resolution.  The  Secretary  of  the  Army  will  then  consider  the 
request  and  approve  or  disapprove  the  action. 
(f.)  (U)  Official  Notification.  If  the  Secretary  of  the 
Army  approves  the  request,  the  TMO  registers  the  SAP  with 
ODUSD(P)  and  notifies  the  submitting  agency,  OACSI,  and 
INSCOM. 
•     (2)  (U)  Administration 
:  recommended 
for  disestablishment  by  the  proponent  or  program  manager 
when  SAP  security  controls  are  no  longer  required.  The 
SAPOC  may  also  recommend  a  SAP  be  disestablished  at  the 
annual  revalidation  or  at  other  times.  Disestablishment  does 
not  mean  the  program  will  be  cancelled.  It  only  means  that 
the  program  will  be  transitioned  to  the  security  controls  of 
AR  380-5  and  SAP  security  controls  will  no  longer  be  ap- 
plied. Guidance  on  SAP  disestablishment  is  found  at  appen- 
dix H.
AR  380-381 
e.  (U)  Nicknames  and  codewords.  All  LSAPs  and  ap- 
proved SAPs  will  be  assigned  an  unclassified  nickname.  The 
request  for  a  nickname  will  be  forwarded  to  HQDA(DACS- 
DMP).  WASH  DC  20310-0200.  When  OPSEC  requires  the 
use  of  a  codeword,  the  request  procedure  is  the  same  as  for 
a  nickname. 
/  (U)  Funding.  Funds  associated  with  the  execution  of 
SAPs  arc  to  be  managed  and  accounted  for  by  the  Army  Staff 
proponent.  MACOM  commander,  or  program  manager  for 
the  respective  SAP  and  monitored  by  the  TMO.  unless  ex- 
empted by  the  Secretary  of  the  Army.  The  sponsoring  agency 
will  provide  appropriate  program  and  budgetary  input  to 
COA  and  PA  ED  dedicated  POCs  to  assure  that  funds  are 
programmed  and  budgeted  each  FY.  Funds  will  be  accounted 
for  in  accordance  with  established  finance  and  accounting 
procedures  or  as  determined  by  the  COA.  Each  Army  Staff 
proponent,  MACOM  commander,  or  program  manager  will 
establish  an  internal  review  and  inspection  plan,  submit  the 
proposed  plan  with  the  request  for  SAP  approval  and  pro- 
vide the  TMO  a  copy  of  the  work  plan  with  the  annuaJ 
revalidation. 
g.  (U)  Contracting. 
(1)  (U)  Contracting  in  a  secure  environment  will  re- 
quire special  procedures.  The  requirements  of  the  Federal, 
Defense,  and  Army  acquisition  regulations  cannot  be  waived 
in  some  cases  and  in  other  cases  may  be  waived  with  the 
specific  approval  of  authorized  contracting  officials  and  with 
substitution  of  adequate  safeguards. 
1  June  1986 
(3)  (U)  Contract  planning  will  be  included  in  the  re- 
quest for  SAP  approval  and  subsequent  approval  briefing. 
h.  (U)  Special  Security  Provisions.  Special  Access  Pro- 
grams are  individually  unique  and  may  require  special  secur- 
ity provisions.  The  use  of  the  Special  Finance  and  Account- 
ing Office,  the  requirement  for  a  secure  facility/vault,  the 
application  of  a  two-man  control  rule,  and  project  informa- 
tion access  procedures  are  examples  of  special  provisions. 
Each  of  these  has  resource  implications  for  the  program 
manager  or  proponent  and  for  other  agencies  within  the 
Department  of  the  Army.  Program  managers  or  proponents 
must  determine  whether  these  special  provisions  have  ap- 
plicability. The  CG.  INSCOM  may  be  requested  to  provide 
advice  and  assistance  in  making  this  determination.  Special 
provisions  for  the  protection  of  program  information  will  be 
evaluated  in  the  SAP  approval  process  and  will  be  briefed 
to  the  SAPOC.  The  SAPOC  may  recommend  these  special 
provisions  in  part  or  in  total  to  the  Secretary  of  the  Army.
1  Juno  1986 
UNCLASSIFIED 
AR  330-381 
By  Order  of  the  Secretary  of  the  Army: 
JOHN  A.  WICKHAM,  JR. 
General,  United  States  Army 
Chief  of  Staff 
Official: 
R.  L.  DILWORTH 
Brigadier  General.  United  States  Army 
The  Adjutant  General 
DISTRIBUTION:  To  be  distributed  in  accordance  with 
DA  Form  12-9B,  requirements  for  AR,  Security.  Active 
Army— B;  ARNG  and  USAR— None. 
UNCLASSIFIED
•      UNCLASSIFIED 
CLASSIFY  WHEN  COMPLETED  (If  required) 
SPECIAL  ACCESS  PROGRAM  INITIAL  SECURITY  BRIEFJNG 
For  um  Of  th*  form.  »•  *r.  380-381.  th«  oroporwnt  «9*r>«v  «»  OCSA.   ^ 
I,  the  undersigned,  certify  that  I  have  received  a  security  brief- 
ing concerning  the  below  listed  Special  Access  Program(s).  I  am  aware 
that  willfull  disclosure  of  classified  Government  information  to  any  un- 
authorized person  may  be  punishable  under  Federal  Criminal  Statutes.  I 
realize  that  the  safeguarding  of  classified  information  or  material  is 
of  the  utmost  importance  and  that  loss  or  compromise  of  this  information 
or  material  could  be  detrimental  to  the  interests  or  national  security. 
Program  (s)     
(Nickname/or  code  word) 
I  understand  that  specific  classification -guidance  exists  for  this 
project  and  is  available  for  reference.   I  have  been  instructed  in  the 
nature  of  this  classified  information  and  the  procedures  governing  its 
safeguarding.   I  understand  that  willfull  violation  or  disregard  of 
security  regulations  may  cause  the  loss  of  my  access  authorization  and 
security  clearance. 
I  agree  that  I  will  never  divulge,  publish,  or  reveal  (either  by 
word,  conduct,  or  other  means)  any  classified  Government  information 
or  knowledge  concerning  the  above  Special  Access  Program (s)  except  in 
the  performance  of  my  official  duties  in  accordance  with  the  laws  of 
the  United  States. 
I  understand  that  no  change  in  my  relationship  and/or  my  organiza- 
tion's relationship  will  relieve  me  of  my  obligation  under  this  agree- 
ment. 
I  take  this  obligation  freely,  without  any  mental  reservation  or 
purpose  of  evasion.   I  understand  that  signing  this  document  constitutes 
agreement  to  undergo  a  counterintelligence  polygraph  examination,  if 
requested  by  proper  authority,  to  determine  my  suitability  for  re- 
ceiving and/or  maintaining  access  to  program  information. 
WITNESS: 
(signature)  (date) 
(signature)  (date)  (printed  name) 
(printed  name)  (SSN) 
(position  and  organization)  (organization,  telephone  0,  position) 
PRIVACY  ACT  STATEMENT 
The  authority  for  obtaining  the  personal  information  is  Title  10,  USC  30i2. 
The  principal  use  of  this  information  is  for  identification  for  granting 
access  to  this  project's  information.   No  other  use  of  this  information  will 
be  made.   Disclosure  of  the  information  is  voluntary;  however,  failure  to 
provide  the  data  may  delay  or  preclude  access  to  this  project's  information. 
DA  FORM  5399-R.  JUN  86       eo.t.on  of  mar  85  .s  obsolete. 
CLASSIFY  WHEN  COMPLETED  (If  required)
UNCLASSIFIED 
CLASSIFY  WHEN  COMPLETED  (Ifrtquirtd) 
SPECIAL  ACCESS  PROGRAM  SECURITY  TERMINATION  GUIOE 
For  um  of  thU  «orm,  m«  AB  380-301;  th«  proponent  agancv  It  OCSA. 
I  che  undersigned,  fully  realize  the  importance  to  the  National  Security  of 
the  requirement  for  the  safeguarding  of  classified  defense  information.   In 
the  fulfillment  of  this  obligation,  I  certify  that: 
a   t  understand  the  appropriate  provisions  of  the  espionage  laws  and 
Federal  criminal  statutes  applicable  to  the  safeguarding  of  classified  defense 
information  or  material. 
**»    * 
b.  I  have  been  advised  that  direct  or  indirect  unauthorized  disclosure, 
unauthorized  retention,  or  negligent  handling  of  the  designated    ^^ 
information  by  me  could  cause  irreparable  injury  to  the  United  States  and  be 
used  to  advantage  for  a  foreign  nation. 
c.  I  have  surrendered  and  no  longer  have  in  my  possession,  custody,  or 
control  any  information  or  material  concerning    .  
d.  I  shall  not  communicate  or  transmit  any  classified  defense  information 
concerning   ,  orally  or  in  writing,  to  any  unauthorized  person 
or  in  writing,  to  any  unauthorized  person  or  agency. 
e.  I  shall  report  to  my  Program  Security  (OPSEC)  Manager,  his  authorized 
representative,  a  local  Federal  Bureau  of  Investigation  office,  or  an 
authorized  official  as  delineated  in  the     LOI .  without  delay, 
any  incident  wherein  an  attempt  is  made  by  an  unauthorized  person  to  solicit 
information  concerning  this  subject. 
f.  I  have  received  an  oral  debriefing. 
WITNESS: 
(signature) 
(date) 
(signature) 
(date) 
(printed  name) 
(printed- name) 
-(position/organization) 
(organization/ telephone  #/position) 
(SSN) 
PRIVACY  ACT  STATEMENT. 
The  authority  for  obtaining  the  personal  information  is  Title  10  USC  3012. 
The  principal  use  of  this  information  is  for  identification  m  connection  with 
limited  access  program  information.   No  other  use  of  this  information  will  be 
made.  
... 
DA  FORM  5401-R,  JUN  86 
EDITION  OF  MAR  85  IS  OBSOLETE. 
CLASSIFY  WHEN  COMPLETED  (If  required) 
IMCA  A^cUPlcr*
UNCLASSIFIED 
1  June  1986 
Appendix  A 
References  (U) 
AR  380-381 
Section  I 
Required  Publications 
(U)  AR  70-9 
(U)  AR  380-5 
(U)  AR  380-49 
Section  il 
Related  Publications 
(U)  AR  37-64 
(U)  AR70-1 
(U)  AR  70-10 
(U)  AR  71-3 
(U)  AR  71-9 
(U)  AR  331-10 
(U)  AR  381-11 
Section  ((I 
Prescribed  Forms 
(U)  DA  Form  5399-R 
Section  IV 
Referenced  Form 
(U)  DD  Form  254 
(Army  Research  Information 
Systems  and  Reports).  Cited 
in  appendix  H,  paragraph 
H-3d(3). 
(Information  Security  Pro- 
gram). Cited  in  paragraphs 
la(l),  Ab,  6a(5),  6o(10), 
6£K3).  and  6d(3).  t 
(Industrial  Security  Program). 
Cited  in  paragraphs  4e,  and 
6a(10). 
(Special  Mission  Funds  (U)). 
(Systems  Acquisition  Policy 
and  Procedure). 
(Test  and  Evaluation  During 
Development  and  Acquisition 
of  Materiel). 
(User  Testing). 
(Materiel  Objectives  and 
Requirements). 
(Intelligence  Activities). 
(Threat  Support). 
(Special  Access  Program  Initial 
Security  Briefing). 
(Department  of  Defense  Con- 
tract Security  Classification 
Specification). 
(C)  AR  715-30 
(U)  DA  Pam  380-381 
(U)  DOD5200.1-R 
(U)  DOD  5220.22-M 
(S)  AR  381-102 
(C)  AR  381-141 
(U)  AR  530-1 
(U)  AR  604-5 
(U)  AR  1000-1 
(U)  DOD  5200.2-R  ' 
(Secure  Environment  Contrac- 
ting (U»-  Cited  in  paragraph 
6g(2). 
(Security  for  Special  Access 
Programs).  Cited  in  paragraph 
MU). 
(Information  Security  Pro- 
gram). Cited  in  paragraphs  46 
and  6J{2)(q). 
(Industrial  Security  Program). 
Cited  in  paragraphs  la(2),  4e, 
6a(l0),  and  66(3). 
(Intelligence  Operational  Sup- 
port Activities  (U)). 
(Intelligence  Contingency 
Funds  (U)). 
(Operations  Security). 
(Personnel  Security  Program). 
(Basic  Policies  for  Systems 
Acquisition). 
(Personnel  Security  Program). 
(U)  DA  Form  5401 -R     (Special  Access  Program 
Security  Termination  Guide), 
A-1 
UNCLASSIFIED
UNCLASSIFIED 
1  June  1986 
AR  380-381 
Appendix  B 
Format  for  Reporting  Special  Access  Programs  (U) 
(U)  Requests  for  establishing  SAPs  will  be  submitted 
through  appropriate  Army  Staff  elements  to  HQDA(DACS- 
DMP),  WASH  DC  20310-0200  in  the  suggested  format 
shown  below. 
a.  (U)  Agency. 
b.  (U)  Unclassified  name  or  short  title  of  program. 
c.  (U)  Date  established  as  a  Limited  Special  Access 
Program.  . 
d.  (U)  Relationship,  if  any,  to  other  programs  in  DOD 
or  other  Government  agency. 
e.  (U)  Rationale  for  establishment  of  the  SAP.  (Why  nor- 
mal management  and  safeguarding  procedures  for  classified 
information  are  inadequate  must  be  explained.)  Include  a 
brief  description  of  project  and  the  specific  requirement  for 
the  project  with  known  or  anticipated  threat. 
/.  (U)  Detailed  draft  billet  structure  which  incorporates 
the  Army  baseline  billet  structure  for  SAPs,  identifies  billets 
by  position,  and  estimates  the  number  of  persons  to  be 
granted  access.  Access  control  authorities  and  access  ap- 
proval authorities  will  be  identified. 
g.  (U)  Draft  program  security  plan,  classification  guide 
and  information  systems  requirements  package  (app  I). 
h.  (U)  Identify  the  program  security  manager,  access  con- 
trol authority,  and  total  resources  dedicated  to  OPSEC. 
L  (U)  Proposed  contracting/acquisition  plan  including 
recommended  contracting  office  and  location.  Format  in  ac- 
cordance with  Federal  Acquisition  Regulation  and  Sup- 
plements, subpart  7.1.  If  "carve-out"  contracting  is  pro- 
posed, provide  rationale. 
;.  (U)  Anticipated  cost  and  proposed  funding  profile.  In- 
clude internal  audit  controls  which  will  be  established. 
Ic  (U)  Agency  POC  (position  or  title,  address,  and 
telephone  number). 
B~1 
UNCLASSIFIED
UNCLASSIFIED 
1  June  1986 
AR  380-381 
Appendix  C 
Special  Access  Programs  Oversight  Committee  (SAPOC)  (U) 
C-1.  (U)  Purpose 
(U)  The  SAPOC  wUl  provide  oversight  for  the  establish- 
ment, management,  and  support  of  SAPs  within  DA  and 
maintain  an  awareness  of  all  sensitive  corapartmented 
activities  within  DA. 
C-2.  (U)  Composition 
a.  (U)  The  SAPOC  will  be  chaired  by  the  Vice  Chief  of 
Staff,  Army  (VCSA).  In  the  absence  of  the  VCSA,  the  Direc- 
tor of  the  Army  Staff  will  chair  the  SAPOC.  Standing 
members  of  the  SAPOC  wjll  be  the  GC,  ACSI.  and  TJAG. 
The  remaining  members  of  the  SAPOC  will  be  determined 
on  a  must  "need-to-know"  basis  from  the  agenda  for  each 
specific  meeting  and  may  include: 
(1)  (U)  The  ASA  (RDA). 
(2)  (U)  The  DCSLOG. 
(3)  (U)  The  DCSOPS. 
(4)  (U)  The  DCSPER. 
(5)  (U)  The  DCSRDA. 
(6)  (U)  The  ACSIM. 
(7)  (U)  The  COA. 
(8)  (U)  The  COE. 
(9)  (U)  The  Dir,  PAED,  OCSA. 
(10)  (U)  The  CLL. 
(11)  (U)  Representative  from  TIG. 
(12)  (U)  Others  as  needed  and  appropriate. 
b.  (U)  Army  Staff  principals  will  ordinarily  attend 
SAPOC  meetings  unless  the  principal  has  delegated  SAP  mat- 
ters to  an  assistant  or  deputy.  In  this  case  the  assistant  or 
deputy  will  be  considered  the  principal  for  SAPs  and  the 
SAPOC  Executive  Secretary  notified  accordingly.  Only  the 
Army  Staff  principal  or  the  designated  principal  for  SAPs 
may  attend  SAPOC  meetings. 
c.  (U)  The  Chief,  Technology  Management  Office,  will 
be  the  Executive  Secretary  of  the  Committee. 
C-3.  (U)  Functions 
a.  (U)  The  SAPOC  will— 
(1)  (U)  Review  requests  for  the  establishment  of  SAPs 
and  forward  these  requests  with  appropriate  recommenda- 
tions through  the  Under  Secretary  of  the  Army  and  Chief 
of  Staff,  Army  to  the  Secretary  of  the  Army  for  approval. 
(2)  (U)  Review,  assess,  and  revalidate  existing  pro- 
grams annually  to  determine  effectiveness  and  need  for 
continuation. 
(3)  (U)  Review  and  recommend  policy  for  management 
of  SAPs. 
b.  (U)  The  committee  is  authorized  to  request  informa- 
tion from  HQDA  agencies  and  MACOMS  in  connection  with 
its  functions. 
C-4.  (U)  Direction  and  control 
The  committee  will  meet  at  the  caE  of  the  chairperson,  who 
will  determine  the  frequency  of  meetings.  After  each 
meeting,  minutes  will  be  prepared  and  submitted  to  all 
members  of  the  committee. 
C-5.  (U)  Administrative  support 
a.  (U)  The  Office  of  the  Chief  of  Staff,  Army  is  respon- 
sible for  administrative  support  of  the  SAPOC. 
b.  (U)  Funds  for  travel,  per  diem,  and  overtime  of 
members,  if  required,  will  be  provided  by  the  organization 
to  which  the  committee  member  is  assigned. 
C-6.  (U)  Correspondence 
All  communication  to  the  SAPOC  will  be  addressed  to 
HQDA(DACS-DMP),  WASH  DC  20310-0200. 
C-7.  (U)  Working  SAPOC 
a.  (U)  The  working  SAPOC  wfll  be  composed  on  a  must 
• 'need-to-know"  basis  from  those  staff  agencies  identified 
in  paragraph  C-2.  The  Chief,  Technology  Management  Of- 
fice, will  serve  as  the  chairman  of  the  working  SAPOC. 
Members  will  be  those  staff  agency  representatives  who  have 
working  knowledge  of  SAPs  and  are  the  dedicated  SAP  POC 
within  their  respective  agency.  These  representatives  must 
possess  a  final  TOP  SECRET  clearance  with  current  Special 
Background  Investigation. 
b.  (U)  The  purpose,  functions,  direction.and  control  for 
the  working  SAPOC  will  be  the  same  as  for  the  SAPOC. 
However,  in  those  instances  where  the  working  SAPOC  has 
convened  and  recommended  action,  the  action  will  be  briefed 
to  the  VCSA  or  the  full  SAPOC  for  final  approval. 
C-1 
UNCLASSIFIED
UNCLASSIFIED 
1  June  1986 
AR  380-381 
*». 
Appendix  D 
Special  Access  Program  Determination  Criteria  (U) 
D-1.  (U)  Criteria   for  Special   Access   Program 
Status 
(U)  The  criteria  discussed  below  will  be  used  to  screen  can- 
didates for  special  access  program  status.  Following  each 
criterion,  a  series  of  questions  relevant  to  that  criterion  is 
listed  to  aid  in  reaching  a  decision. 
D-2.  (U)  Criteria 
a.  (U)  Normal  management  and  safeguarding  procedures 
could  be  insufficient  to  protect  information  from  compro- 
mise. 
(l)'(U)  Would  transmission  of  program  documents 
through  normal  administrative  channels  adequately  restrict 
the  numbers  of  people  gaining  access  to  the  information? 
(2)  (U)  Is  the  sensitivity  of  the  program  such  that  in- 
advertent disclosure  would  endanger  a  major  strategic,  tac- 
tical, or  technological  advantage? 
(3)  (U)  Would  inadvertent  disclosure  permit  a  poten- 
tial adversary  to  develop  a  countermeasure  or  counter- 
countermeasure  so  quickly  as  to  negate  operational  benefit? 
(4)  (U)  Is  the  proposed  activity  or  program  politically 
sensitive  due  to  foreign  policy  considerations? 
(5)  (U)  Will  the  disclosure  of  our  knowledge  of  a 
foreign  technology  compromise  sources? 
(6)  (U)  WUl  the  disclosure  of  information  on  a  specific 
program  have  an  adverse  effect  on  other  SAP  protected 
programs? 
(7)  (U)  Is  there  an  existing  vulnerability  in  the  U.S. 
system  the  disclosure  of  which  would  give  an  adversary  a 
significant  advantage? 
(8)  (U)  Would  acquisition  of  the  technology,  system, 
or  information  by  hostile  elements  endanger  the  military 
capability  of  U.S.  forces  or  create  a  threat  to  national 
security? 
b:  (U)  The  numbers  of  persons  requiring  access  must  be 
reasonably  small  and  comn>  nsurate  with  the  objective  of  pro- 
viding extra  protection  for  the  information  involved. 
(1)  (U)  Is  it  feasible  to  limit  the  number  of  people  both 
within  any  one  organization  and  in  total  who  have  access 
to  the  information? 
(2)  (U)  Is  the  potential  loss  in  efficiency  caused  by  com- 
partmentation  acceptable? 
(3)  (U)  Has  the  proposed  activity  already  received  a 
degree  of  public  or  internal  military  exposure  that  would  be 
infeasible  to  overcome? 
(4)  (U)  Is  it  possible  to  develop,  produce,  or  field  the 
system  without  a  large  number  of  people  gaining  access? 
c.  (U)  Special  access  controls  must  be  needed  to  protect 
the  information  when  balanced  against  the  requirement  to 
disseminate  for  use  that  same  information  and  the  additional 
cost  of  special  access  controls. 
(1)  (U)  Would  the  proposed  activity  conceal  technology 
or  only  a  discrete  application?    . 
(2)  (U)  How  would  the  proposed  activity  interface  with 
related  developments? 
(3)  (U)  Is  the  proposed  activity  of  multi-service  in- 
terest? If  so,  how  are  similar  projects  in  those  services  being 
handled? 
D-3.  (U)  Impact  of  Special  Access  Program  Status 
(U)  A  decision  to  make  an  activity  a  special  access  program 
will  result  in  some  combination  of  the  following  actions, 
which  will  be  restrictive  as  well  as  protective  in  nature. 
a.  (U)  Central  control  will  be  exercised  over  access  to 
information.  Generally,  more  stringent  security  clearance  re- 
quirements will  be  imposed  on  participants.  -a: 
b.  (U)  The  following  information  will  be  concealed  from 
those  not  authorized  access: 
(1)  (U)  The  fact  and  purpose  of  the  undertaking; 
(2)  (U)  The' resources  allocated  to»  ami  the  organiza- 
tions involved  in,  the  undertaking;  and    .- 
(3)  (U)  The  characteristics,  capabilities,  and  effec- 
tiveness of  the  product  developed  by  the  undertaking. 
c.  (U)  Operations  security  measures  will  be  applied. 
D-1 
UNCLASSIFIED
1  June  1986 
Appendix  £ 
Technology  Management  Office  (U) 
(U)  The  Technology  Management  Office  (TMO)  has  been 
established  within  the  Office  of  the  Chief  of  Staff,  Army  and 
reports  directly  to  the  Vice  Chief  of  Staff,  Army.  The  TMO 
charter  includes  the  following  responsibilities: 
a.  (U)  Serve  as  the  central  point  of  contact  for  all  initial 
inquiries  and  correspondence  concerning  Army  sponsored 
or  supported  Special  Access  PrommLiSAP). 
AR  380-381 
d.  (U)  Provide  Executive  Secretary  of  Special  Access 
Program  Oversight  Committee  (Chief,  TMO). 
e.  (U)  Monitor  audit  review,  analysis,  and  oversight  of 
planning,  programming,  budgeting,  and  execution  of  SAPs. 
/  (U)  Coordinate  requirements  for  and  monitor  all  Con- 
gressional SAP  briefings. 
g.  (U)  Coordinate  and  assist  in  the  development  of  models 
for  resourcing  and  financing  SAPs. 
h.  (U)  Monitor  all  program  and  budget  elements  and 
financing  associated  with  SAPs,  unless  exempted  by  the 
Under  Secretary  of  the  Anm, 
k.  (U)  Serve  as  POG  to  DUSD(P)  for  all  Army  initiated 
and  supported  SAPs  and  "carve-out"  contracts. 
L  (U)  Serve  as  proponent  for  AR  380-38 1(C). 
E-1
UNCLASSIFIED 
1  June  1986 
Appendix  F 
Limited  Special  Access  Program  (U) 
F-1 .  (U)  Limited  Special  Access  Programs  (LSAP)  may 
be  applied  for  by  a  MACOM  commander  or  Department  of 
the  Army  Deputy  or  Assistant  Chief  of  Staff  for  a  period 
not  to  exceed  6  months.  Application  is  made  to  the 
Technology  Management  Office  (TMO).  The  TMO  will 
notify  the  SAPOC  at  the  first  meeting  after  an  LSAP  is 
registered  for  SAPOC  approval  to  continue  as  an  LSAP  and 
to  begin  SAP  evaluations. 
a.  (U)  The  LSAP  request  consists  of  no  more  than  a  two- 
page  description  outlining  the  proposed  program,  estimated 
schedule,  estimated  funding,  reason  for  compartmentation, 
and  any  other  relevant  issues. 
b.  (U)  Until  the  LSAP  is  approved,  funds  may  be  ex- 
pended just  as  for  any  other  non-compartmented  program. 
Funds  may  not  be  expended  for  a  program  operated  in  ac- 
cordance with  compartmented  procedures  in  this  regulation 
unless  approved  as  an  LSAP  or  SAP. 
c.  (U)  If  the  SAPOC  approves  continuation  of  an  LSAP, 
the  TMO  will  notify  the  Under  Secretary  of  the  Army.  The 
LSAP  proponent  will  then  prepare  SAP  evaluation  documents 
required  by  appendix  B. 
F-2.  (U)  The  criteria  for  an  LSAP  arc  the  same  as  for  a 
SAP  and  are  discussed  in  paragraphs  1  and  4  and  appendix 
D  of  this  regulation.  The  key  factor  in  determining  whether 
or  not  to  establish  an  LSAP  is  the  potential  for  and  damage 
resulting  from  compromise. 
F-3.  (U)  During  the  6-month  period  authorized  for  an 
LSAP,  the  program  should  be  evaluated  for  approval  as  a 
SAP.  If  at  the  end  of  6  months  the  program  has  not  been 
formally  submitted,  the  LSAP  will  be  terminated,  and  no 
AR  380-3: 
further  resources  will  be  committed  to  or  used  for  wo 
related  to  making  that  program  a  SAP. 
F-4.  (U)  MACOM  commanders  and  Department  of  t: 
Army  Deputy  and  Assistant  Chiefe  of  Staff  must  publish  pr 
gram  management  guidance,  security  plans  and  dassific 
tion  guides,  and  initial  billet  structures  for  the  establishme 
of  LSAPs,  and  this  guidance  must  be  filed  with  tl 
Technology  Management  Office. 
F-5.  (U)  Authorities  granted  in  approval  of  an  LSA 
include: 
a.  (U)  Appointment  of  access  approval  authorities. 
b.  (U)  Access  limitation  based  on  a  must  need-to-know 
c.  (U)  Maintenance  of  knowledgeability  lists. 
d.  (U)  Preparation  of  draft  security  plan,  classificatio 
guide,  and  billet  structure  with  identified  access  contrc 
authorities  and  access  approval  authorities. 
e.  (U)  Use  of  approved  special  markings  along  with  nor 
raal  security  classification. 
/  (U)  Initial  coordination  with  INSCOM  for  counter 
intelligence  support  and  cover  support. 
g.  (U)  Use  of  a  DA  approved  nickname. 
F-6.  (U)  The  following  authorities  are  withheld  pending 
final  approval  of  an  LSAP  as  a  SAP. 
a.  (U)  Use  of  signed  initial  security  briefing  statements. 
b.  (U)  The  use  of  "carve-out"  contracts. 
F-7.  (U)  Request  for  waivers  on  LSAP  requirements  will 
be  submitted  to  HQDA  (DACS-DMP). 
F-1 
UNCLASSIFIED
UNCLASSIFIED 
1  June  1986 
AR  380-381 
Appendix  G 
Format  for  Annual  SAPOC  Revalidation  (U) 
(Classify  when  completed) 
G-1.  (U)  Codeword  (S)  and  nickname  (U). 
G-2.  (U)  State  of  threat  and  enemy  technology. 
G-3.  (U)  Access  and  security  status. 
a.  (U)  Total  number  with  access. 
b.  (U)  Compromises  (actual/potential)  to  date. 
c.  (U)  HOIS  threat. 
d.  (U)  OPSEC  support  to  date  (description  and  cost). 
e.  (U)  Special  security  provisions. 
/.   (U)  "Carve-out"  contract  provisions  and  an  alternate 
security  inspection  plan. 
G-4.  (U)  Description  of  Program. 
a.  (U)  Requirement. 
b.  (U)  How  it  works. 
c  (U)  Potential  value  (tactical  and  technical  lead). 
G-5.  (U)  Program  schedule  with  key  milestones. 
a.  (U)  Status  at  last  review. 
-  b.  (U)  Response  to  actions  directed  by  SAPOC. 
c.  (U)  Status  now. 
G-6.  (U)  Funding  Profile. 
a.  (U)  Indicate  what  is  already  programmed  (amount  and 
how  funded— by  PE,  through  lab,  reprogramming,  etc.). 
b.  (U)  Show  requirements,  if  different  from  programmed 
funding. 
c.  (U)  SMF  status. 
G-7.  (U)  Contracting  Procedures. 
a.  (U)  Ccntraaing  officer  and  location. 
b.  (U)  "Carve-out"  contracting  procedures. 
c.  (U)  Contract  and  its  schedule  and  performance. 
G-8.  (U)  Issues/Problems. 
a.  (U)  Technical. 
b.  (U)  Programmatic. 
c.  (U)  Funding. 
d.  (U)  Legal. 
e.  (U)  Contracting. 
G-9.  (U)  Required  Decisions. 
a.  (U)  Options. 
b.  (U)  Recomroendauons. 
G-1 
UNCLASSIFIED
1  June  1986 
AR  380-381 
Appendix  H 
Special  Access  Program  Disestablishment  (U) 
H-1.  (U)  General 
(U)  This  appendix  provides  policy  and  procedures  for  plan- 
ning and  implementing  disestablishment  of  Special  Access 
Programs  (SAP). 
H-2.  (C)  Rationale 
b.  (U)  The  tactical  or  strategic  impact  or  value  otlhe 
system,  operation,  or  activity  has  significantly  lessened. 
d.  (U)  The  resources  required  for  continued  enhanced 
security  procedures  arc  excessive  compared  to  the  benefits 
achieved  by  the  SAP  process. 
e.  (U)  Similar  technology  and  application  is  being 
developed  openly  by  other  services  or  foreign  nations  or 
being  developed  without  equivalent  levels  of  protection. 
/  (U)  A  compromise  has  occurred  that  obviates  the  pro- 
tection achieved  by  continued  enhanced  security. 
j?.  (U)  The  tactical  or  strategic  mission  of  the  system, 
operation  or  activity  has  been  accomplished  and  there  is  no 
further  mission  requirement. 
h.  (U)  The  system  has  been  fielded  and  operational  use 
at  the  tactical  or  strategic  levels  precludes  compartmentation. 
H-3.  (U)  Procedures 
a 
(1)  (U)  Basis/rationale  for  disestablishment. 
(2)  (U)  Control  of  information  relating  to  disestab- 
lishment. 
(3)  (U)  Fiscal  controls. 
(4)  (U)  Recommended  disposition  of  information  and 
access  knowledgeability  lists  or  rosters. 
(5)  (U)  Disposition  of  hardware  resulting  from  RDT&E 
to  date. 
(6)  (U)  Recommendation  whether  the  program  should 
continue  as  a  classified  program,  be  downgraded  to  an 
unclassified  program,  cease  entirely  or  be  held  in  abeyance 
pending  future  technological  advances. 
(7)  (U)  Legal  considerations. 
(8)  (U)  Verification  that  similar  technology,  develop- 
ment or  application  is  not  underway  elsewhere  within  DOD 
and  receiving  special  access  security  protection. 
(9)  (U)  Review  of  all  contracts  and  recommendations 
made  regarding  termination,  transfer  or  continuation. 
H-1
AR  380-381 
1  June  1988 
(1)  (U)  A  letter  of  instruction  (LOI)  must  be  prepared 
which: 
(a)  (U)  Establishes  administrative  and  operational 
criteria  to  be  effected  during  disestablishment. 
{b)  (U)  Establishes  new  criteria  for  administrative 
and  operational  protection  of  the  program  or  activity. 
(2)  (U)  A  new  classification  guide  must  be  prepared. 
(3)  (U)  Proponents  must  consider  the  inclusion  of  pro- 
gram technical  data  in  Army  research  information  systems 
and  reports  in  accordance  with  AR  70-9  (1  May  81). 
(5)  (U)  Contractual  documents  may  require  modifica- 
tion or  renegotiation.  Modification  must  include  the  ap- 
plicable DD  Form  254  for  revised  security  requirements.  In- 
tegral to  this  consideration  are  the  return  or  reallocation  of 
government  furnished  equipment  (GFE),  (e.g.,  secure  com- 
munications equipment)  and  the  cancellation  of  the  require- 
ment for  a  closed  work  area. 
(6)  (U)  Reprogramming  of  project  funds  and  the 
cancellation  of  letters  of  authorization  (LOA)  and  expenditure 
authorization  documents  (EAD)  pertaining  to  special  mis- 
sion funds  (SMF). 
e.  (U)  Once  disestablishment  has  been  effected,  the  TMO 
will  be  notified  by  record  correspondence. 
H-2
UNCLASSIFIED 
«   ,  «-  «0c  AR  380-38" 
1  June  1986 
Appendix  I 
t 
Information  Systems  Requirements  Package  (U) 
(U)  Early  identification  of  secure  information  requirements  Package,  will  assist  in  providing  these  services  in  a  secure 
is  essential  to  provide  adequate  and  reliable  point  to  point  and  timely  manner.  The  format  and  information  to  be  in 
secure  voice  line,  data  and  facsimile  transmission.  Inclusion  eluded  in  an  Information  Systems  Requirements  Package  i: 
of  the  data  outlined  in  the  Information  Systems  Requirements  shown  at  figure  I- 1 . 
Format  for  an  Information  Systems  Requirements  Package  (U) 
1.  (U)  General. 
a.  (U)  Name  of  project  proponent. 
b.  (U)  Project  participants  (agency  name,  address,  point  of  contact  and  secure/nonsecure  telephone  numbers). 
c.  (U)  Unclassified  name  or  short  title  of  program. 
2.  (U)  Scope  of  Requirement. 
3.  (U)  Urgency. 
a.  (U)  Priority  of  need. 
b.  (U)  Implementation: 
(1)  (U)  Date  of  initial  operational  capability  required. 
(2)  (U)  Date  final  operational  capability  required. 
(3)  (U)  Impact  if  service  is  not  provided. 
4.  (U)  Capability.  .  .... 
a.  (U)  Show  the  common  user  or  dedicated  communication  electronic  capabilities  that  presently  exist  or  are  avauame 
to  proponent  and  participants.  ,'."" 
b.  (U)  Indicate  how  these  capabilities  satisfy  any  portion  of  this  requirement  in  their  present  or  modified  state. 
5.  (U)  Security  Management. 
a.  (U)  Name  of  security  manager. 
b.  (U)  Provide  a  copy  of  the  program  security  plan  and  classification  guide. 
6.  (U)  Financial. 
(U)  Identify  funding  type,  source,  and  control  for  information  systems. 
7.  (U)  Procurement. 
(U)  Identify  unique  security  or  OPSEC  requirements.  -   
- 
8.  (U)  Accountability. 
(U)  Describe  the  desired  or  planned  concept  for  property  accountability. 
9.  (U)  Technical. 
a.  (U)  Show  type  of  service  require*   (Secure  and/or  nonsecure  data,  voice,  facsimile,  radio,  satellite,  AUTOVON, 
or  AUTODIN). 
b.  (U)  Describe  type  of  traffic  to  be  transported.  (Text  or  narrative,  magnetic  tape,  punched  card,  graphic,  maps,  im- 
agery, drawings,  photographic). 
c.  (U)  Identify  interfaces  with  existing  systems,  networks,  or  equipment. 
d:  (U)  Describe  any  different  capabilities  required  for  different  phases  of  the  project. 
Figure  1-1.  (U) 
1-1 
UNCLASSIFIED
UNCLASSIFIED 
1  June  1986 
AR  380-381  °     e        ° 
Format  for  an  information  Syatema  Requirement*  Package  (Continued)  (U) 
10.  (U)  Operations  and  Security. 
a.  (U)  Operational  concept  (fixed,  transportable,  or  mobile). 
b.  (U)  Identify  service  points  or  end  user  locations  (covert,  clandestine  or  clarified). 
c.  (U)  Determine  if  there  is  a  requirement  for  a  Sensitive  Companmented  Information  Facility  (SCIF). 
d.  (U)  Identify  the  program  security  and  OPSEC  parameters  or  restrictions. 
e.  (U)  Classification  level  of  information  to  be  passed. 
/.  (U)  Operating  hours. 
g.  (U)  Operators. 
h.  (U)  Determine  if  redundant  systems  are  required. 
i.  (U)  Identify  the  network  control  facility  (if  needed). 
11.  (U)  Maintenance. 
a.  (U)  Identify  unique  security  or  OPSEC  requirements  for  maintenance. 
b.  (U)  Identify  organic  maintenance  support  capability. 
c.  -(U)  Determine  the  response  time  needed  to  restore  telecommunications  and  meet  mission  requirements. 
Figure  1-1  (Continued)  (U) 
1-2 
UNCLASSIFIED
AR  380-381 
(U)  Covert  operations 
(U)  Operations  that  are  so  planned  and  executed  as  to  con- 
ceal the  identify  of  or  permit  plausible  denial  by  the  spon- 
sor. They  differ  from  clandestine  operations  in  that  the  em- 
phasis is  placed  on  concealment  of  identity  of  sponsor  rather 
than  on  concealment  of  the  operation. 
(U)  intelligence 
(U)  The  product  resulting  from  collection,  processing,  in- 
tegration, analysis,  evaluation,  and  interpretation  of 
available  information  concerning  foreign  countries  or  areas, 
particularly  its  technology  and  weapon  systems. 
1  June  1986 
(U)  Operations  security  (OPSEC) 
(U)  The  process  of  denying  adversaries  information  about 
friendly  capabilities  and  intentions  by  identifying,  control- 
ling, and  protecting  indicators'associated  with  pUnning  and 
conducting  military  operations  and  other  activities. 
(U)  Threat 
(U)  Capability  of  a  potential  enemy  to  limit  or  negate  mis- 
sion accomplishment,  or  to  neutralize  or  reduce  the  effec- 
tiveness of  a  current  or  projected  organization  or  material 
item.  Two  types  of  threat  information  are  required,  as  shown 
below. 
a.  (U)  Intelligence  collection  threat  (efforts  by  HOIS  to 
gain  information  on  U.S  weapon  systems). 
b.  (U)  Combat  capability  threat  (hostile  forces'  weapon 
systems  the  U.S.  Army  will  face  on  the  battlefield). 
Glossary  ?.