Example Written Preliminary Inquiry, Synopsis
INCIDENT: Improper marking and safeguarding of classified material
PERSON(s) RESPONSIBLE: Joe Doe, Sr. Member Engineering Staff
SSN: 123-45-6789, D/POB 29 April 1997, Philadelphia, PA
Clearance: SECRET, granted 01 July 1995
LOCATION: Building 123/106
FINDING: On Monday, January 6, 2007, Mr. Tom Thumb, Manager, Project Engineer advised the writer, that Mr. Joe Doe, a Lockheed Martin employee under his supervision had been storing classified information in an inappropriate manner. Mr. Thumb and Ms. Jane Day, a co-worker were interviewed. Ms. Day notified Mr. Thumb that she had noticed that Mr. Doe has been keeping notes in an unauthorized file cabinet and thought that the notes contained classified information. Therefore, Ms. Day removed the notes from the unauthorized file cabinet and reviewed them. As she suspected, the notes contained SECRET information. Ms. Day turned the notes over to Mr. Thumb.
Mr. Thumb turned the notes over to the writer. The notes were safeguarded in the Information Master Control Center until a complete classification review was conducted by Mr. Sam Smart. On January 7, 2007 Mr. Smart reviewed the notes for classification determination. Mr. Smart found SECRET information on six pages.
Mr. Doe was interviewed by the writer and questioned about the notes (see attached statement. This is where you write your interview with the subject and all witnesses. Note: Make sure you obtain a written statement from each person interviewed bearing the date and their signature.)
If AIS systems are involved, make sure that you include the ISSO and him/her findings and actions.
Identify all contract numbers (Government and subcontracts to CMS.)
In accordance with paragraph 1-303 of the National Industrial Security Program Operating Manual, Mr. Doe is found culpable of the following security violations.
List the security violation(s).
1. Failure to safeguard SECRET information.
2. Improper markings, etc.
Due to the circumstances and extended period of time, the compromise of classified information cannot be ruled out. This statement is your determination of compromise, suspected compromise and or; loss of classified information.
Report submitted by:
Don’t forget to sign and date it.
Your Name Today’s Date:
Initial Report, Example of Letter
(Date)
(DSS Reps Name)
Defense Security Service
Irving Field Office (S21IR)
5800 E. Campus Circle Drive, # 204B
Irving, TX 75063
Subject: Initial Report – Suspected Compromise of Classified Material
Dear (DSS Reps Name):
In accordance with paragraph 1-303 of the National Industrial Security Program Operating Manual, the following written report is submitted (verbally submitted 01/20/07).
Lockheed Martin employee Mr. Jo T. Doe, SSN 123-45-6789, cleared SECRET, 01 Jul 94, D/POB 02 May 1956, Philadelphia, PA was found responsible for the following Security violation.
List the violation(s)
1. /////////////////////////////////////////////
2. /////////////////////////////////////////////
On January 5, 2007, it was reported to the LM Aero Security Department that Mr. Doe had been storing classified notes in an unapproved container. The attached synopsis describes the events and their circumstances in our conclusion. Due to the circumstances and the extended period of time, the compromise of classified information cannot be ruled out.
Mr. Doe worked on the following contracts, ////////////////////////////////, //////////////////////////////// during this period of time.
I will advise your office of the disciplinary action taken. Should you have any questions, please contact the undersigned at (your phone number).
Sincerely,
Your Name
Your Title
Attachments: As Stated
Final Report, Example of Final Report Letter
(Date)
(DSS Reps Name)
Defense Security Service
Irving Field Office (S21IR)
5800 E. Campus Circle Drive, # 204B
Irving, TX 75063
Subject: Final Report – Joe Doe (01/06/07), suspected compromise
Dear (DSS Reps Name):
In accordance with paragraph 1-303 of the National Industrial Security Program Operating Manual, the following Final Report is submitted.
Mr. Joe Doe received the following disciplinary action for the subject security violation. Mr. Doe was suspended without pay from work for five days beginning April 1 through April 6, 2007. Mr. Doe has received remedial training in his responsibilities as a cleared individual, to include proper handling, safeguarding storage and destruction of classified media and information.
He will be monitored on a random recurring basis by his supervisor and from a member of the LM Aero Security Staff.
Should you have any questions, please contact the undersigned at (your phone number).
Sincerely,
Your Name
Your Title