MCI 028B

MARINE CORPS INSTITUTE

INTRODUCTION TO COMBAT INTELLIGENCE

MARINE BARRACKS WASHINGTON, DC

UNITED STATES MARINE CORPS

MARINE CORPS INSTITUTE WASHINGTON NAVY YARD 912 POOR STREET SE WASHINGTON, DC 20391-5680
IN REPLY REFER TO:

028B 17 Dec 99 MCI 02.8B INTRODUCTION TO COMBAT INTELLIGENCE 1. Purpose. The MCI 028B, Introduction to Combat Intelligence, provides all Marines with the general knowledge relevant to the publications and directive systems. Additionally, this course provides guidelines for establishing and maintaining a publications library. 2. Scope. MCI 028B outlines an area that is constantly changing. New publications are added, changes are made to existing publications, and publications are being replaced on a daily basis. Therefore, the establishment of a publications library is only half the battle. It is also necessary and just as vital to your mission to maintain a system that will support the continuing operation of an effective publications library. 3. Applicability. This course is intended for instructional purposes only. This course is designed for all Marines who have access to their publications library. 4. Recommendations. Comments and recommendations on the contents of the course are invited and will aid in subsequent course revisions. Please complete the course evaluation questionnaire at the end of the final examination. Return the questionnaire and the examination booklet to your proctor.

Lloyd Hamashin Lieutenant Colonel, U.S. Marine Corps Deputy Director

INTRODUCTION TO COMBAT INTELLIGENCE CONTENTS Page Contents. . . . . . . . . . . . . . . . . . . . . . . Student Information . . . . . . . . . . . . . . . . . Course Introduction . . . . . . . . . . . . . . . . . Study Guide . . . . . . . . . . . . . . . . . . . . . Preface . . . . . . . . . . . . . . . . . . . . . . . Study Unit 1 Lesson 1 Lesson 2 Lesson 3 Direction of the Intelligence Effort Determining Intelligence Requirements Exercise. . . . . . . . . . . . . . . Planning Collection Activities. . . . Exercise. . . . . . . . . . . . . . . Issuing Orders and Requests to Collection Agencies . . . . . . . . . Exercise. . . . . . . . . . . . . . . Collection: Databases and Assets . . . . . . . . . . . . 2-1 2-10 2-11 2-18 . . . . . . 1-2 1-7 1-7 1-18 1-19 1-28 i iii v vii xi

Study Unit 2 Lesson 1 Lesson 2

The Naval Intelligence Processing System (NIPS) Database. . . . . . Exercise. . . . . . . . . . . . . Aerial Reconnaissance and Surveillance Assets . . . . . . . Exercise. . . . . . . . . . . . . Processing and Production of Intelligence Processing Information. . . . . . Exercise. . . . . . . . . . . . . Recording Information . . . . . . Exercise. . . . . . . . . . . . . Evaluating, Integrating, and Interpreting Information. . . . . Exercise. . . . . . . . . . . . . Analyzing and Testing Information Exercise. . . . . . . . . . . . .

Study Unit 3 Lesson 1 Lesson 2 Lesson 3 Lesson 4

. . . . . . . .

. . . . . . . .

. . . . . . . .

3-1 3-8 3-9 3-19 3-20 2-28 3-29 3-35

CONTENTS--cont'd Page Study Unit 4 Lesson 1 Lesson 2 Lesson 3 Study Unit 5 Lesson 1 Lesson 2 Lesson 3 Study Unit 6 Lesson 1 Lesson 2 Lesson 3 Lesson 4 Dissemination General and Special Considerations. Exercise. . . . . . . . . . . . . . Intelligence Reporting. . . . . . . Exercise. . . . . . . . . . . . . . Intelligence Briefing . . . . . . . Exercise. . . . . . . . . . . . . . Aerial Imagery Terminology, Sensors, and Imagery Exercise. . . . . . . . . . . . . Basic Photographic Requirements . Exercise. . . . . . . . . . . . . Constructing a Graphic Scale. . . Exercise. . . . . . . . . . . . . Information Security Classification Management . . . . . Exercise. . . . . . . . . . . . . . Declassifying, Downgrading, and Upgrading Classified Information. . Exercise. . . . . . . . . . . . . . Marking Classified Materials. . . . Exercise. . . . . . . . . . . . . . Auditing and Controlling Classified Material. . . . . . . . . . . . . . Exercise. . . . . . . . . . . . . . Personnel Security Determining Eligibility for a Personnel Security Clearance. Exercise. . . . . . . . . . . Granting a Security Clearance Exercise. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-1 7-9 7-10 7-16 A-1 B-1 R-1 . . . . . . . . . . . . 6-1 6-12 6-13 6-19 6-20 6-29 6-30 6-47 . . . . . . . . . . . . . . . . . . 5-1 5-7 5-8 5-27 5-29 5-41 . . . . . . . . . . . . 4-1 4-6 4-7 4-30 4-32 4-45

. . . .

Study Unit 7 Lesson 1 Lesson 2 Appendix A Appendix B

The Intelligence Community. . . . . . . Extracts from United States Espionage Laws and Other Statutes . . .

Review Lesson . . . . . . . . . . . . . . . . . . . .

Bibliography. . . . . . . . . . . . . . . . . . . . . . . . .

ii

Student Information

Number and Title

MCI 028B INTRODUCTION TO COMBAT INTELLIGENCE

Study Hours

18

Course Materials

Text

Review Agency

Naval and Marine Corps Intelligence Training Center, Dam Neck, Virginia Beach, VA 22461-5575

Reserve Retirement Credits (RRC)

4 Reserve Retirement Credits

ACE

Not applicable to civilian training/education

Assistance

For administrative assistance, have your training officer or NCO log on to the MCI home page at www.mci.usmc.mil to access the Unit Verification Report (UVR) or MCI Hotline. Marines CONUS may call toll free 1-800-MCIUSMC. Marines worldwide may call DSN 325-7596. For assistance concerning course content matters, call the Distance Learning Technologies Departments Support Division at DSN 325-7516 or commercial (202) 685-7516.

Study Guide

Congratulations

Congratulations on your enrollment in a distance learning course from the Distance Learning and Technologies Department (DLTD) of the Marine Corps Institute (MCI). Since 1920, the Marine Corps Institute has been helping tens of thousands of hard-charging Marines, like you, improve their technical job performance skills through distance training. By enrolling in this course, you have shown a desire to improve the skills you have and master new skills to enhance your job performance. The distance learning course you have chosen, MCI 028B, Introduction to Combat Intelligence, prepares Marines for the job of publications clerk at the unit or commodity level.

Your Personal Characteristics

YOU ARE PROPERLY MOTIVATED. You have made a positive decision to get training on your own. Self-motivation is perhaps the most important force in learning or achieving anything. Doing whatever is necessary to learn is motivation. You have it! YOU SEEK TO IMPROVE YOURSELF. You are enrolled to improve those skills you already possess, and to learn new skills. When you improve yourself, you improve the Corps! YOU HAVE THE INITIATIVE TO ACT. By acting on your own, you have shown you are a self-starter, willing to reach out for opportunities to learn and grow. YOU ACCEPT CHALLENGES. You have self-confidence and believe in your ability to acquire knowledge and skills. You have the selfconfidence to set goals and the ability to achieve them, enabling you to meet every challenge. YOU ARE ABLE TO SET AND ACCOMPLISH PRACTICAL GOALS. You are willing to commit time, effort, and the resources necessary to set and accomplish your goals. These professional traits will help you successfully complete this distance training course.
Continued on next page

Study Guide, Continued

Beginning Your Course

Before you actually begin this course of study, read the student information page. If you find any course materials missing, notify your training officer or training NCO. If you have all the required materials, you are ready to begin. To begin your course of study, familiarize yourself with the structure of the course text. One way to do this is to read the table of contents. Notice the table of contents covers specific areas of study and the order in which they are presented. You will find the text divided into several study units. Each study unit is comprised of two or more lessons, lesson exercises, and finally, a study unit exercise.

Leafing Through the Text

Leaf through the text and look at the course. Read a few lesson exercise questions to get an idea of the type of material in the course. If the course has additional study aids, such as a handbook or plotting board, familiarize yourself with them.

The First Study Unit

Turn to the first page of study unit 1. On this page you will find an introduction to the study unit and generally the first study unit lesson. Study unit lessons contain learning objectives, lesson text, and exercises.

Reading the Learning Objectives

Learning objectives describe in concise terms what the successful learner, you, will be able to do as a result of mastering the content of the lesson text. Read the objectives for each lesson and then read the lesson text. As you read the lesson text, make notes on the points you feel are important.

Completing the Exercises

To determine your mastery of the learning objectives and text, complete the exercises developed for you. Exercises are located at the end of each lesson, and at the end of each study unit. Without referring to the text, complete the exercise questions and then check your responses against those provided.
Continued on next page

vi

Study Guide, Continued

Continuing to March

Continue on to the next lesson, repeating the above process until you have completed all lessons in the study unit. Follow the same procedures for each study unit in the course.

Seeking Assistance

If you have problems with the text or exercise items that you cannot solve, ask your training officer or training NCO for assistance. If they cannot help you, request assistance from your MCI distance learning instructor by completing the course content assistance request form located at the back of the course.

Preparing for the Final Exam

To prepare for your final exam, you must review what you learned in the course. The following suggestions will help make the review interesting and challenging. CHALLENGE YOURSELF. Try to recall the entire learning sequence without referring to the text. Can you do it? Now look back at the text to see if you have left anything out. This review should be interesting. Undoubtedly, youll find you were not able to recall everything. But with a little effort, youll be able to recall a great deal of the information. USE UNUSED MINUTES. Use your spare moments to review. Read your notes or a part of a study unit, rework exercise items, review again; you can do many of these things during the unused minutes of every day. APPLY WHAT YOU HAVE LEARNED. It is always best to use the skill or knowledge youve learned as soon as possible. If it isnt possible to actually use the skill or knowledge, at least try to imagine a situation in which you would apply this learning. For example make up and solve your own problems. Or, better still, make up and solve problems that use most of the elements of a study unit.
Continued on next page

vii

Study Guide, Continued

Preparing for the Final Exam, continued

USE THE SHAKEDOWN CRUISE TECHNIQUE. Ask another Marine to lend a hand by asking you questions about the course. Choose a particular study unit and let your buddy fire away. This technique can be interesting and challenging for both of you! MAKE REVIEWS FUN AND BENEFICIAL. Reviews are good habits that enhance learning. They dont have to be long and tedious. In act, some learners find short reviews conducted more often prove more beneficial.

Tackling the Final Exam

When you have completed your study of the course material and are confident with the results attained on your study unit exercises, take the sealed envelope marked FINAL EXAM to your unit training NCO or training officer. Your training NCO or officer will administer the final examination and return the examination and the answer sheet to MCI for grading. Before taking your final examination, read the directions on the DP-37 answer sheet carefully.

Completing Your Course

The sooner you complete your course, the sooner you can better yourself by applying what youve learned! HOWEVER--you do have 2 years from the date of enrollment to complete this course. If you need an extension, please complete the Student Request/Inquiry Form (MCI-R11) located at the back of the course and deliver it to your training officer or training NCO.

Graduating!

As a graduate of this distance learning course and as a dedicated Marine, your job performance skills will improve, benefiting you, your unit, and the Marine Corps.

Semper Fidelis!

viii

STUDY UNIT 1 DIRECTION OF THE INTELLIGENCE EFFORT Introduction. One thing that you will discover as an intelligence specialist in the Marine Corps is that there is always a need for accurate, timely, and mission-oriented intelligence. This has been especially true during the last two decades in which Marines performing as intelligence specialists have been involved in actions such as those of the multinational peacekeeping force in Lebanon; operations in Monrovia, Liberia; and Operations Desert Shield and Desert Storm. Intelligence specialists must provide accurate and timely intelligence to help the unit accomplish its assigned mission. As you can see in figure 1-1, the intelligence cycle consists of five interrelated phases: direction, collection, processing, production, and dissemination.

Fig 1-1.

The intelligence cycle.

Directing the intelligence effort is a process that enables you to focus collection activity on mission-relevant information. assign specific collection responsibilities to appropriate collection agencies and services. ensure that all relevant information is collected, processed, produced, and disseminated.

In this study unit you will learn how to direct the intelligence effort. There are three activities you must perform to direct that effort: You must determine intelligence requirements, plan collection activities for agencies, and issue orders and requests to those agencies.

1-1

Lesson 1.

DETERMINING INTELLIGENCE REQUIREMENTS

Introduction. Unit commanders and their staff officers identify items of information they need to plan, conduct, and conclude operations. The intelligence section receives these information requests and determines from them the specific information and intelligence required to accomplish the unit's mission. In this lesson, you will learn about information and intelligence requirements, how to determine exactly what must be collected to respond to the requirements, and how to assign a priority for their collection. LEARNING OBJECTIVES 1. 2. 3. 1101. State the three types of intelligence requirements and the one information requirement. List the three steps that must be considered when prioritizing requirements. State the definition of an intelligence indicator. Intelligence and Information Requirements

An information requirement is a piece of information needed to fill a gap in knowledge; intelligence may or may not have to be obtained to fill this knowledge gap. Intelligence requirements, on the other hand, are information requirements which require the collection and production of intelligence to obtain the information needed to fill the particular knowledge gap. The three types of intelligence requirements are essential elements of information (EEI), other intelligence requirements (OIR), and basic intelligence requirements (BIR). Table 1-1 on the next page discusses the functions of each type.

1-2

Table 1-1. REQUIREMENT

The Three Types of Intelligence Requirements FUNTION

Essential Elements of Provide the commander with critical Information (EEI) information about the weather, terrain, and enemy in the area. Commanders need this information to engage in combat operations. Other Intelligence Requirements (OIR) Provide the commander with knowledge of the operating environment, the enemy, and other factors related to the conduct of military operations. Provide the commander with a working knowledge, for planning purposes, of climate, weather, enemy, and terrain conditions in the area of interest.

Basic Intelligence Requirements (BIR)

Essential elements of friendly information (EEFI), on the other hand, is an information requirement, not an intelligence requirement. Table 1-2 discusses its functions. Table 1-2. Essential Elements of Friendly Information FUNCTION Provide your commander with a list of items that the enemy commander would want to know about your unit. In joint operations, the term refers to items of information your commander needs to know about Allied forces to conduct operations with them. Identifying EEFI's helps enhance operational and physical security. It also helps your commander assess your unit's vulnerability to the enemy's collection effort.

REQUIREMENT Essential Elements of Friendly Information (EEFI)

Let's take a minute to review. Can you name the three types of intelligence requirements and give an example of a specific type of information requirement? ___________________________________________________________ ___________________________________________________________

1-3

If you said that the three types of intelligence requirements are the EEI, OIR, and BIR, and that an EEFI is a specific example of an information requirement, you're right; congratulations! If you answered differently, you should review tables 1-1 and 1-2 and paragraph 1101. 1102. Prioritizing Requirements

You must determine which intelligence or information requirements are the most important according to the circumstances of the situation. To do so, follow these three steps: a. Determine the type of requirement. The type of intelligence or information requirement is based on the type of information you need. Determine whether the requirement results from a need for information about the enemy or what the enemy would like to know, the area of interest, or the terrain and weather in the operating environment. b. Determine the urgency of the need for the information. In order of decreasing urgency, the intelligence requirements follow the sequence of EEI, OIR, and BIR; notice that's just how they're listed in table 1-1. The more urgent requirements should be assigned a higher priority for collection. Consider the following factors: (1) The command level (national and theater, task force, or organic) at which the collection will be performed (2) Capabilities of the various assets or systems that will collect the information (3) Date/time when the information is no longer of value (4) Time frame(s) when collection is to occur Note: In general, it takes less time to initiate and complete the collection activities of organic assets than it does to initiate and complete the collection activities of national and theater assets. To offset this delay, you must assign a higher priority to requirements that the higher commands are to collect.

c. Find the information. But, before you do, you must determine whether the information needed is available, where you can find it, and how long it will take to get.

1-4

Do you remember the three steps which must be considered when prioritizing requirements? Write them on the lines below. ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________

I hope you said (1), determine the type of requirement, (2), determine the urgency of the need for the information, and (3), find the information. If you didn't get these answers, you should review paragraph 1102. 1103. Analyzing Intelligence Requirements

In most cases, an EEI or an OIR will present a relatively clear picture of the information needed to respond to (satisfy) an intelligence requirement. In cases like these, intelligence collection is tasked or levied against the condition or situation stated in the requirement. Some EEI's and OIR's relate to actions or conditions that are not directly measurable or observable; a good example is an enemy's intention to mount an attack. For these situations, we must develop a list of distinct items of evidence, called intelligence indicators or, more simply, indicators, that help confirm or negate the condition stated in the intelligence requirement. Let's continue with our example. Since it's impossible to tell what the enemy is thinking, we have to look at concrete items of evidence called intelligence indicators that show what the enemy is doing or might plan to do. In this case, indicators could include the forward movement and/or massing of artillery or armored units, the arrival of reinforcements, the stockpiling of munitions and/or other supplies, and an unusual increase or even a decrease (radio silence) in communications between the field and headquarters. Having collected evidence of the presence or absence of these indicators along with other information, you could then affirm or deny the likelihood that the event or condition you're looking for would take place. At one time or another, you'll analyze an EEI or OIR using this line of reasoning. How do you determine which indicators are related to a specific requirement? You should try to answer these questions:

1-5

What must the enemy do, and when must he do it, to prepare for the possible action? What observable actions or conditions provide evidence that the enemy is (or is not) making those preparations? Appendix J of FMFM 3-21 provides a list of sample indicators that can provide evidence of an enemy's course of action. Do not use these samples, or any similar list, for anything but illustrative purposes. Collecting intelligence against these indicators instead of using a set you develop to meet a specific situation may result in the failure of your unit to accomplish its mission. You may also get your fellow Marines killed too!

Warning:

On the lines below, write the definition for the term intelligence indicator. _____________________________________________________________ _____________________________________________________________

I hope you said something like this: An intelligence indicator is evidence, which, when collected and coupled with other indicators and interpreted, affirms or negates an action stated in an EEI or an OIR. It indicates what an enemy is doing or planning to do. If you got this answer, congratulations! It's a little different from what the text gave. You should remember this statement of the definition as you study the course. Lesson Summary. In this lesson, you learned about the process of determining information requirements. You identified each of the three types of intelligence requirements and a specific example of an information requirement. You learned how to prioritize requirements for collection purposes and how to analyze requirements to obtain intelligence indicators. In the next lesson, you will learn how to plan collection activity to obtain responses to each requirement.

1-6

Exercise:

Complete items 1 through 4 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the three types of intelligence requirements. a. b. c. _________________________________________________ _________________________________________________ _________________________________________________

2.

In the space below, state the definition of an information requirement. _____________________________________________________

3.

List the three steps that must be considered when prioritizing requirements. a. b. c. _________________________________________________ _________________________________________________ _________________________________________________

4.

In the space below, write the definition of intelligence indicator. _____________________________________________________ _____________________________________________________

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Lesson 2. PLANNING COLLECTION ACTIVITIES

Introduction. In this lesson you will learn how to plan collection activities. You will learn the types of collection activities and you will be able to identify the functions of the different agencies and services available for intelligence collection. Specifically, you will examine the basic intelligence disciplines, the basic types of intelligence they provide, and the activities they employ in collection. Next, you will review the principal functions of collection agencies and services in the national and Marine Corps communities. You will also preview national, theater, and tactical collection systems. Finally, you will apply what you have learned to several situations in which you will select agencies to collect intelligence to satisfy a given requirement.

1-7

LEARNING OBJECTIVES 1. 2. 3. 4. 1201. State the one item you must have to collect information properly. List the three intelligence disciplines. List the three types of collection activities. Given an intelligence requirement, select the agency that is best suited to collect the required information. Gathering the Required Information

Gathering the required information is crucial to the intelligence effort. To ensure that all relevant information is collected and processed, submitted to production, and disseminated properly, you must design, implement, and adhere to a collection plan. The main idea in implementing that plan is to collect the required information using the assets that are best able to do so. You'll make your selection based on your knowledge of the capabilities and limitations of each asset and a familiarity with the specific functions which it performs. Doing so will help you acquire, process, and forward the information to your command as quickly as possible.

Do you remember the one item that you must have to collect information properly? Write it in the space provided below. ___________________________________________________________

If you said a collection plan, you're right; congratulations! If you answered differently, go back and study paragraph 1201 again. 1202. Planning Process

a. Planning collection activities. To plan collection activities properly, you must do the following: (1) Determine the specific information required. (2) Determine which of the available collection agencies and services have the capability to collect the required information. (3) Select the agency or agencies that will provide the best chance of collecting the required information. (4) Task the appropriate agencies and services with the collection requirements. 1-8

b. Intelligence disciplines. To plan collection activities, you must know about the three types of intelligence disciplines: signal intelligence (SIGINT), imagery intelligence (IMINT), and human intelligence (HUMINT). Table 1-3 below describes these three disciplines. Table 1-3. DISCIPLINE Signal Intelligence (SIGINT). Includes Communicatins Intelligence and Electronics Intelligence Basic Intelligence Disciplines DESCRIPTION Intelligence derived from the collection of emissions in the electromagnetic spectrum. In more everyday terms, this means getting intelligence information by monitoring telephone, telegraph, and radio transmissions and other electronic signals. Intelligence information obtained from photographic images and from near photographic images which include radar, laser, and infrared pictures. Intelligence derived from human sources. Men and women are the principal information collectors in this oldest of the intelligence disciplines.

Imagery Intelligence (IMINT)

Human Intelligence (HUMINT)

List the three intelligence disciplines on the lines below. _____________________________________________________________ _____________________________________________________________

If you wrote signal intelligence (SIGINT), imagery intelligence (IMINT) and human intelligence (HUMINT), you're right! If you answered differently, you might want to spend some more time studying table 1-3.

1-9

1203.

Types of Collection Activities

If you are to plan the gathering of appropriate information, you must also know about the three types of collection activities. They are overt, covert, and clandestine; table 1-4 gives a definition and example of each. You should realize that details of the processes used in all three of the collection methods may be classified to protect sources of information, the activities used, and the people involved. Table 1-4. TYPE OVERT Types of Collection Activities DESCRIPTION The open collection of information that is freely available from available from public media, through government-to-government dialogue, by request, of from the sharing of data that is openly acquired. Example: A foreign embassy decides to openly Subscribe to a wide variety of scientific magazines that are available to the general public. Representatives from that embassy also look through and purchase books that are available from book stores or through catalogs.

COVERT

The collection of information in a misleading manner. The target may or may not be aware of which agency the information collector represents or that information is even being collected. Example: Several countries send intelligence agents to an international scientific conference. Based on their countries needs, the agents have been instructed to contact a number of the scientists present and to obtain information that may or may not be on the conference agenda. Although intelligence officers from most of the countries participating in the conference suspect that information gathering may be taking place, they dont necessarily know the identities of the agents involved or of the countries those agents represent.

1-10

Table 1-4. CLANDESTINE

Types of Collection Activities--cont'd.

The covert collection of information conducted secretly. If the operation is conducted correctly, the target will not know what agency the collector represents or that information is even being collected in the first place. Example: A country recruits an agent from the group of key scientists who work in its enemy's most important research facility. A citizen and native of the enemy country, the agent passed a background investigation that covered most of his life. This investigation was a part of his pre-employment security clearance and nothing found in it revealed any chance of disloyalty. The agent had been working at the facility for many years before being recruited to gather intelligence. Now, having the implicit trust of his government, he uses his security clearance and access to copy many classified documents. He passes the information to an incountry contact from the intelligence agency that recruited him. During the agent's long years of employment at the facility, his own country never learns that the security of its most vital research work has been compromised.

Note:

Marine Corps intelligence collection agencies may engage in covert or clandestine activities only during declared war or when specifically authorized to do so by the President of the United States.

Write the three types of collection activities on the line below. __________________, ________________, and _________________.

If you wrote overt, covert, and clandestine; you're right; congratulations! If you answered differently, go back and review paragraph 1203.

1-11

1204.

Basic Types of Intelligence

To properly plan collection activities for agencies, you need to know the basic types of intelligence. If you are familiar with the types of intelligence, you will better understand the organizations you will be tasking to collect the intelligence and the methods they in turn use to obtain it. Table 1-5 below contains a description of the basic types of intelligence. Table 1-5. TYPE Stategic Intelligence Basic Types of Intelligence DESCRIPTION Intelligence required to form military policies and plans at the national and international levels. It also involves using politacal, economic, military, and psychological forces in support of defense intiatives. Intelligence required to plan and conduct an intelligence-based campaign or similar operation. Tactical intelligence differs from strategic intelligence primarily in the level of its application; it also may differ in terms of scope and detail. Intelligence that relates to the enemy, the weather, and geographical features the unit commander must know about to be able to plan and conduct combat operations. Intelligence that relates to foreign scientific research and engineering development.

Tactical Intelligence

Combat Intelligence

Scientific & Technical Intelligence (S&TINT) 1205.

Intelligence Collection Agencies

a. National collection agencies and services. These agencies and services provide specific information and report that information to the proper authorities. Each agency or service in this community collects, processes, and disseminates foreign and domestic intelligence to support national defense objectives. Agencies in this intelligence community also collect information on and counteract the intelligence activities of foreign nations against the United States. Other national agencies act to counter international terrorist and narcotics activities and similar hostile actions directed against the U.S. Table 1-6 on the following page is a guide to the national intelligence agencies and services.

1-12

Table 1-6.

National Intelligence Community Agencies and Functions FUNCTION Coordinates and produces intelligence relating to national security Collects and produces intelligence relating to U.S. foreign policy Collects and produces intelligence relating to U.S. foreign economic policy Collects and produces intelligence relating to foreign energy matters and defines U.S. policy on the development, use, and control of nuclear energy Collects and produces foreign intelligence and counterintelligence within the U.S.

AGENCY Central Intelligence Agency Department of State Department of the Treasury Department of Energy

Federal Bureau of Investigation

Department of Defense Collects and produces foreign militaryrelated intelligence and counterintelligence Defense Intelligence Agency Collects and produces foreign military and military-related intelligence for the Secretary of Defense, the Joint Chiefs of Staff, service components and, ad directed, for other agencies Collects and produce SIGINT on foreign sources for national security purpose Conduct consolidated reconnaissance programs for specialized intelligence and direct research, development, and operation of designated reconnaissance systems Collect and produce foreign military and military-related intelligence and counterintelligence and information on the foreign aspects of narcotics production and trafficking

National Security Agency Offices for the collection of specialized intelligence through reconnaisance programs (DOD Recon) Foreign intelligence and counterintelligence elements of the Navy, Marine Corps, Army, and Air Force

Defense Investigative Conducts personnel security investigations Agency

1-13

b. Units in the Marine Corps intelligence community. Now that you have studied the principal functions of the national intelligence community agencies, let's examine table 1-7 which gives a list of Marine Corps intelligence units and their primary functions. Table 1-8 discusses the organization of Marine Corps intelligence units at several different levels. Table 1-7. Units in the Marine Corps Intelligence Community FUNCTION Conducts HUMINT activities to reduce, prevent, or deny hostile intelligence collection activity Plans and conducts HUMINT collection by interrogating PWs, debriefing detainees, escapees, and evacuees; and by translating foreign language documents Provides IMINT by analyzing imagery from various sources; provides first and second phase reports, limited second phase graphics (special studies), and other imagery products Provides intelligence reports and other products relating to terrain, military construction, and natural resources

UNIT Counterintelligence Platoon InterrogatorTranslator Platoon

Force Imagery Interpretation Unit

Topographic Platoon

Intelligence Sections Collect, process, produce, and disseminate mission-relevant combat, tactical, and Ground strategic intelligence for the unit commander and for other users Air MAGTF Table 1-8. Marine Corps Intelligence Unit Organization and Placement

Ground: At battalion, regiment and division staff levels Air: At squadron, group and wing staff levels

Marine Air-Ground Task Forces (MAGTF): Each of the three elements (GCE, ACE, and CSSG) has an intelligence section. The MAGTF command intelligence staff section is set up to provide collection, processing, and production capabilities consistent with the size of the MAGTF.

1-14

Note:

Appendix A contains additional information about the responsibilities and functions of agencies, services, and units in the national and Marine Corps intelligence communities.

c. Marine Corps units with intelligence or intelligence-related missions. Table 1-9 identifies Marine Corps units and their primary functions. Although these are not specifically intelligence units, they may be tasked to perform intelligence missions such as information collection or target surveillance. Other units, such as the artillery battalion's target acquisition battery and light armored vehicle (LAV) battalions, collect and process information to support their particular missions. This information can also have intelligence value to the overall command. Table 1-9. Marine Corps Units With Intelligence or Intelligence Related Missions FUNCTION Conducts COMINT (communications intelligence) collections and other communications warfare activities Conducts deep visual reconnaissance and/or surveillance Conducts deep visual reconnaissance and/or surveillance in support of a Marine regiment and its elements Processes and reports the information relayed from remotely situated seismic and acoustic sensors in support of landing force elements Conducts limited reconnaissance of the battlefield and provides sniper support to a Marine rifle battalion or regiment Conducts aerial electronic reconnaissance and aerial electronic warfare in support of the Marine Expeditionary Force (MEF)

UNIT Radio Battalion

Force Reconnaissance Company Reconnaissance Platoon Sensor Control and Management Platoon (SCAMP) Scout/Sniper Platoon

Marine Tactical Electronic Warfare Squadron (VMAQ-2)

Marine Imagery Provides multisenor imagery reconnaissance Reconnaisance Capable in support or the MEF Aircraft (F-18) Remotely Piloted Provides near real-time target acquisition Vehicle Platoon (RPV) and intelligence collection for the MEF 1-15

Table 1-9.

Marine Corps Units with Intelligence or Intelligence related Missions--cont'd. FUNCTION Provide engineering support and engineer intelligence to elements of the landing force Provide information on the enemy. Marines gain this information from daily contact with the enemy in combat, through ground or aerial patrol, and through contact with civilians.

UNIT Combat Engineers

Individual Marines

d. National and theater collection systems. Although national agencies and theater intelligence elements direct their collection efforts toward strategic requirements, the intelligence they collect and produce also has tactical value to combat units. The standing operating procedures (SOP) for the respective theaters and the Joint Tactical Exploitation of National Systems (J-TENS) Manual contain specific references and procedures for requesting IMINT, SIGINT, and HUMINT collection and processing at these levels. Systems used within national and theater collection organizations include various IMINT and SIGINT satellites, specially configured aircraft, and several HUMINT collection organizations and entities. (1) These systems are designed for the collection of strategic intelligence. Due to that design, the operational characteristics of the systems, and other factors, you will find that the systems are less flexible than tactical systems and have a limited capacity to fill certain combat intelligence requirements. (2) For security reasons, you will not normally see the data collected by these systems. Instead, you will receive a classified message report that interprets the data according to your requirement. e. Tactical collection systems. In most cases, the most responsive and flexible collection systems are the ones that are organic to the task force and within your unit. These airborne, shipborne, and ground-based systems are operated by units in adjacent, parallel, and subordinate commands. Tables 1-7 through 1-9 provide a review of the functions of Marine Corps Tactical collection systems and units. Note: Additional airborne and shipborne collection systems are discussed in SOP's and J-TENS manuals.

1-16

Using information from tables 1-1 through 1-9 and Appendix A, determine which agency, service, or tactical unit is best able to collect, process, and forward intelligence information in response to the following requirements. Write the names of the agency or system you select in the blank spaces. a. Build a terrain model of the area of operations. ________________________________________________ b. Provide a translation of a captured map overlay and accompanying documents. ________________________________________________ Obtain a current photograph of an enemy installation 2,500 miles in the rear of the battle line. ________________________________________________

c.

If you said: a. b. c. Topographic platoon or combat engineers Interrogator-translator platoon A national or theater IMINT system,

you are right. Congratulations! If you answered differently, review the information presented in this lesson and try again. Lesson Summary. In this lesson you learned the basic elements of planning intelligence collection activities. You identified the basic intelligence disciplines, the basic types of intelligence they can provide, and the types of activities they employ. You also reviewed the principal functions of collection agencies and services in the national and Marine Corps communities and national, theater, and tactical collection systems. In the next lesson, you will learn how to task or levy assets and how to document the collection plan.

1-17

Exercise:

Complete items 1 through 6 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

State the one item that you must have to collect information properly. _____________________________________________________

2.

List the three intelligence disciplines. a. b. c. _________________________________________________ _________________________________________________ _________________________________________________

3.

List the three types of collection activities. a. b. c. _________________________________________________ _________________________________________________ _________________________________________________

Items 4 through 6 refer to situations. Determine which agency, service, or tactical unit is best able to collect, process, and forward intelligence information in response to the requirement stated in the situation. Write the name of the agency or agencies you select in the space below each requirement. You may list as many as three agencies for each. 4. Situation: Determine whether or not the bridge at coordinates 19RPG12345678 will bear sustained armored vehicle (tank) traffic. _____________________________________________________ 5. Situation: Determine which radio frequency the enemy is using to direct his tactical air operations. _____________________________________________________ 6. Situation: Determine the location and type of enemy anti-aircraft defenses currently on, and within 25 nautical miles of, R'as al Obiyah port facility and airfield. _____________________________________________________

1-18

Lesson 3.

ISSUING ORDERS AND REQUESTS TO COLLECTION AGENCIES

Introduction. The direction phase of the intelligence cycle merges with the collection phase when you, the intelligence analyst, begin to determine which agencies or systems are best able to collect the required information. You then task (order) or levy (request) those agencies and systems to begin collection. In this lesson you will learn the principal orders and requests that are used to begin collection of specific information. You will learn the procedures used for issuing tasking orders and requests, the type of orders most commonly used, and the procedures for overseeing the collection effort. You will also learn two principal ways to document a collection plan so you can more readily supervise the overall collection effort. LEARNING OBJECTIVES 1. 2. 3. 4. 1301. Given a collection agency or asset, state the order that you would use to task or levy its collection activity. State the two main ways to document a collection plan. List the six recommended column headings for a collection worksheet. State two supervisory tasks you must complete when overseeing the collection effort. Principal Collection Orders and Requests

a. Tasking tactical agencies and services. Table 1-10 provides a reference to the orders used to task tactical intelligence collection agencies and services. Table 1-10. ORDER TYPE Joint Tactical Electronics Reconnaissaince/Surveillance Request (JTER) Joint Tactical Aerial Reconnaissance/Surveillance Request (JTAR) Tasking Orders FUNCTION A preformatted joint service (USN, USMC, USAF, and USA) form used to request the services of tactical SIGINT A preformatted joint service form used to request imagery or visual reconnaissance of an area, route, or other target

1-19

Table 1-10. ORDER TYPE Free text message or verbal request

Intelligence Tasking Orders--cont'd. FUNCTION A non-formatted request that identifies specific targets, required reports, and products. These requests are used when preformatted forms are unavailable or during emergencies. The annex is a standard addendum to an operation order. It publishes intelligence requirements and procedures, assigns specific collection tasks to organic units, and graphically implements the collection plan.

Intelligence Annex

Note:

You'll find instructions for completing the preformatted joint service forms (JTER and JTAR) on the back of each form. To get information on the procedures and to request forms you'll use to levy (request) collection by national or theater HUMINT, SIGINT, and IMINT agencies, consult theater SOPs and the J-TENS manual.

b. Tasking agencies during deployment. Table 1-11 on the next page discusses some of the methods for tasking collection activities. These methods have been tested during several deployments and have worked well in issuing tasking orders and requests to agencies and services. When you use these methods, remember that intelligence assets within your own command will be more responsive to your needs in terms of both the timeliness and quality of the information they give you.

1-20

Table 1-11. Alternate Methods for Tasking Intelligence Agencies During Deployment To. . . task within the task force structure. . . contact the appropriate joint staff officer. For example, the naval air liaison officer can arrange aerial imagery reconnaissance by using secure voice to contact the air wing commander. prepare and transmit appropriate standard forms such as the Annex, JTER, and JTAR. task tactical agencies and services adjacent and senior to your task force. . . prepare and transmit proper joint service forms. (JTER, JTAR). transmit a free-text message using a joint service form. Note:

Transmit emergency requests by a secure voice radio. task national and theater agencies and services. . . prepare and transmit appropriate time-sensitive or routine request forms as provided for in theater SOP and the Joint Tactical Exploitation of National Systems (J-TENS) manual. transmit emergency requests by a secure voice radio or by SATCOM relay. Note: In extreme need, you may levy an asset by public phone following procedures specified in the J-TENS manual.

If you are faced with unusual circumstances and are not sure what to do when your battalion, group, or division is deployed; follow these instructions: (1) Task agencies and services within your command but remain within the structure of the task force. (2) Task theater and national collection agencies in support of your unit's mission as necessary.

1-21

c. Forwarding the collected data. After it has finished collection, the collecting agency forwards its data to a processing or production agency or a service that processes the raw data and reports it to your unit through the chain of command.

Can you state the orders or requests you would use to task or levy the collection activities of the following agencies or systems? You may refer to tables 1-1 through 1-9 and appendix A to answer these questions. Agency or asset a. b. c. d. e. Aerial imagery reconnaissance Tactical electronics reconnaissance Force reconnaissance company Defense attach National imagery system Order or request ___________ ___________ ___________ ___________ ___________

If you said (a) JTAR, (b) JTER, (c) Annex, (d) J-TENS or theater SOP, and (e) J-TENS or theater SOP, you're right. Congratulations! If you answered differently, you may want to go back and review paragraph 1301. 1302. Documenting the Collection Plan

A collection plan is little more than a device you can use to ensure that all the information needed to satisfy your unit's intelligence requirements is collected, submitted to a processing/production activity, and disseminated. The plan itself may be documented on an elaborate collection worksheet or kept in the form of a stack of brief notes. It may also be partially or wholly published in a formal operation order, or, for uncomplicated plans, tracked mentally. The two primary ways to document a collection plan are the intelligence annex (which you will study in greater detail study unit 4) or a collection worksheet. Whichever of the ways you choose to document a plan, you should ensure that plan uses organic and national and theater HUMINT, SIGINT, IMINT agencies and systems in the most efficient manner. in two the and

Notice that the details included in collection plans vary. At higher command levels (division, wing, MEF), collection planning is a major undertaking. The planning includes organic, nonorganic (those systems and agencies belonging to adjacent and senior commands within the task force), and national and theater agencies and systems. 1-22

At lower command levels (regimental, group, battalion, squadron, or MEU), the plan includes mainly organic agencies and systems and involves national and theater agencies and systems only as necessary. Let's take a brief look first at the intelligence annex: a. The intelligence annex. The third paragraph of the annex summarizes the collection plan; various standard appendixes explain it in detail. Appendix 11, for example, is the reconnaissance and surveillance plan. It consists of the following separate plans (tabs): The ground reconnaissance and surveillance plan, the visual aerial reconnaissance and surveillance plan, the aerial imagery plan, the sensor surveillance plan, and the unmanned aerial vehicle plan. In addition, appendixes 1, 2, 3, and 13 further document the collection plan in the annex. Refer to Appendix D of FMFM 3-21, MAGTF Intelligence Operations, for a more complete discussion of these appendixes. b. The collection worksheet. The collection worksheet is the recommended way to document a collection plan because it allows you to track the entire collection effort in a single document. The worksheet, therefore, has value as a supervisory tool at all levels of command. Since commands retain their completed worksheets, they can be valuable references.

Without looking back, can you state the two primary ways of documenting a collection plan? __________________________________________________________ __________________________________________________________

If you said the intelligence annex and the collection worksheet, you're correct. If your answer was different, go back and study paragraph 1302. 1303. Sample Collection Worksheet

A collection worksheet provides a way to minimize error, reduce the omission of details, and prevent conflicts in the tasking and levying of collection activity. While there is no prescribed format for the worksheet, it is usually kept in chart form. Figure 1-2 on the next page shows a sample collection worksheet.

1-23

COLLECTION WORKSHEET

Fig 1-2.

Sample collection worksheet

a. Recommended column headings. Notice that each column (as well as the worksheet itself) is titled so that it may easily be identified. While there are no prescribed elements that must be addressed in individual columns of the worksheet, you should, at the very least, list the requirements that are being collected, the specific information being sought, and the agency or system that is to be employed. You should also have a column for remarks. Figure 1-2 displays the six recommended column headings. can see, the column headings are: As you

(1) Essential Elements of Information and Other Intelligence Requirements 1-24

(2) Indications (3) Specific Information to be Sought (4) Agencies to be Employed (5) Place and Time to Report (6) Remarks

Without looking back, can you list the six recommended column headings? 1 2 3 4 5 6 __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________

If you said (1) EEI's and OIR's, (2) Indications, (3) Specific information to be sought, (4) Agencies to be employed, (5) Place and time to Report, and (6) Remarks, you're right! Congratulations. If you answered differently, go back and review paragraph 1303a. b. Providing information under each column heading. Refer to figure 1-2 as you follow the discussion of what to provide in each of the six column headings. (1) Under EEI's and OIR's (column 1), list each EEI and OIR that is being tasked or levied for collection. The figure lists three related requirements as a consolidated EEI. (a) Determine if the enemy will defend landing beaches against our assault. (b) If there is a defense, what will its strength be? (c) How will the enemy organize his defenses? (2) Under Indications, list the intelligence indicators (if applicable) that you've identified for each EEI/OIR. Note that indications a-f listed under column 2 in the figure apply to the consolidated requirement.

1-25

(3) Under Specific Information to be Sought, list exactly the information you expect to be collected and reported. Note that items 1 through 11 in this column state exactly what is needed, in this instance, to satisfy the stated EEI. (4) Under Agencies to be Employed, you must list all agencies--organic, non-organic, national and theater-that are available to perform collection in support of your command. (a) You must designate which of the agencies can collect the information specified in the EEI/OIR or intelligence indicators. Do this by placing an X in the column beneath each agency that can, according to its functions, collect the required information. (b) You must also designate which agency (or agencies) you have tasked or levied to perform the collection. Do this by placing a circle around the X. Notice in figure 1-2 that several agencies have been tasked to collect and report the specific information sought. Such action, known as collection redundancy, helps ensure that at least one agency collects and reports the information. (5) In the column titled Place and Time to Report, the figure specifies that, as it is obtained, the information sought is to be reported to the headquarters where the plan was constructed. The Commander, Amphibious Task Force (CATF) is to submit negative reports (reports that the information sought has not been obtained) 12 hours before and again 4 hours before the assault (H-12 and H-4). (6) In the Remarks column, you see that the CATF collection activity is clarified. The planning headquarters has requested the CATF to establish contact with friendly agents (ashore). Additionally, the headquarters has announced that collection against the specific requirement (the EEI listed in column 1) is to be cancelled four hours before the assault (H-4). 1304. Overseeing the Collection Effort

The effort does not end when collection orders and requests have been transmitted. Overseeing the effort involves two basic supervisory activities: a. Continuing the effort. You will do this simply by tracking the messages and reports transmitted between your unit and other commands; you may, at times, have to make liaison with other intelligence sections, with processing and/or production units, or with collection agencies themselves. The following is a list of specific items that you will track:

1-26

(1) Make sure that transmitted orders and requests have been received and that they are clearly understood. (2) Frequently check the progress of each agency in its collection activity. (3) Make sure that the collecting agency has forwarded the results of its activity to an appropriate processing unit. (4) Verify that the processing agency has received the collected information and that it submits the processed information to a production unit. (5) Make sure that the production unit receives the processed information and that it produces and disseminates the resulting intelligence. (6) Cancel a requirement (and the collection against it) when it has been satisfied or when the need for that information has expired. (7) Task or levy the collection activity against newly identified requirements. b. Redirecting the effort. You may find that you need to order or request additional or continuing collection activity by an agency or system until you acquire the necessary information. You may have to redirect that requirement to another agency or even start over. When you do, you will re-examine the requirements to further identify the information you are seeking. You will continue to direct the effort by determining new intelligence requirements or indicators, planning how to collect the required information, and ordering or requesting the collection of that information.

Can you state two supervisory activities you must complete when overseeing the collection effort? ___________________________________________________________ ___________________________________________________________

If you said (1), continuing the effort and (2), redirecting the effort, you're right. Congratulations! If you answered differently, go back and study paragraph 1304 again.

1-27

Exercise:

Complete items 1 through 4 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

Write the order or request in column 2 that you would use to task or levy the collection activities of the agencies or assets listed in column 1. Column 2 Order or request _________________ _________________ _________________ _________________ _________________

Column 1 Agency or asset a. b. c. d. e. 2. Defense attach Tactical electronics reconnaissance agency Aerial imagery reconnaissance agency National imagery system Force reconnaissance company

State the two primary ways of documenting a collection plan. a. b. _________________________________________________ _________________________________________________

3.

List the six recommended column headings in a collection worksheet. a. b. c. d. e. f. _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________

4.

State two supervisory activities you must complete when overseeing the collection effort. a. b. _________________________________________________ _________________________________________________

1-28

UNIT SUMMARY You now know that directing the intelligence effort is a continuous process. It includes determining intelligence requirements, planning collection activities, and issuing collection orders and requests. It also includes documenting the collection plan in either the intelligence annex or on a collection worksheet, and overseeing the whole intelligence effort. In the next study unit, you will learn more about collecting intelligence. Lesson 1 Exercise Solutions Reference 1. 2. EEI, OIR, and BIR. An information requirement is a piece of information needed to fill a gap in knowledge; intelligence may or may not have to be obtained to satisfy the requirement. a. b. c. d. 4. Determine the type of requirement Determine the urgency of the need for the information Prioritize the requirement Find the information 1103 1101 1101

3.

1102

An intelligence indicator is evidence which, when coupled with other items of information, indicates what an enemy is doing or planning to do.

Lesson 2 Exercise Solutions Reference 1. 2. 3. 4. A collection plan SIGINT, IMINT, HUMINT, Overt, covert, clandestine Topographic platoon or combat engineers, tactical IMINT system, force reconnaissance company, or reconnaissance platoon Radio Battalion, task force COMINT system, or national and theater COMINT system Task force, and/or national imaging or electronics system 1-29 1201 1202 1203 1201-1204

5.

1201-1204

6.

1201-1204

Lesson 3 Exercise Solutions Reference 1. a. b. c. d. e. J-TENS or Theater SOP JTER JTAR J-TENS or Theater SOP Intelligence Annex 1301

2.

(in any order) a. Intelligence annex b. Collection worksheet a. b. c. d. e. f. a. b. EEI's and OIR's Indications (or indicators) Specific Information to be Sought Agencies to be Employed Place and Time to Report Remarks Continuing the effort Redirecting the effort

1302 1303

3.

4.

1304

1-30

STUDY UNIT 2 COLLECTION: DATABASES AND ASSETS

Introduction. In the second phase of the intelligence cycle--collection--the agencies, services, systems, and assets you tasked or levied during the direction phase begin to actually collect raw information. While they are doing that, you will research various references and databases to respond to basic intelligence requirements (BIR's), formal requests for information (RFI's) and other information requirements. You can retrieve the information to answer these and other requirements from a library of strategic and tactical publications called the Naval Intelligence Processing System (NIPS) Database. In this study unit you will learn how to retrieve information from the miniaturized (mini) and automated forms of the NIPS Database. You will learn about the process of intelligence gathering using aerial reconnaissance and surveillance assets. Finally, you will learn about tactical imagery and electronics reconnaissance assets and you will get an overview of strategic IMINT and SIGINT assets. Lesson 1. THE NAVAL INTELLIGENCE PROCESSING SYSTEM (NIPS) DATABASE

LEARNING OBJECTIVES 1. 2. 3. 4. 2101. State the purpose of the NIPS Miniaturized (Mini) Database. List the six types of files contained in the NIPS Mini Database. Select the purpose of the Automated Database. List the two types of files in the Automated Database. The NIPS Mini Database

The NIPS Mini Database is distributed to using commands (at division or wing level and occasionally at regimental or group level) as a hemispheric database which covers both the Atlantic and Pacific Hemispheres. A typical NIPS Mini Database contains 10 to 15 years of intelligence, but some studies or publications may be considerably older, depending on their subject.

2-1

a. Purpose. The NIPS Mini Database provides a way to store and rapidly retrieve information from a wide range of intelligence publications in a compact, easily transportable reference library.

Let's take a minute to review. In the space provided below, write the purpose for the NIPS Mini Database. ________________________________________________________ ________________________________________________________

If you said that the purpose for the NIPS Mini Database is to provide a way to store and rapidly retrieve information from a wide range of intelligence publications in a compact, easily transportable reference library, you are right. Congratulations! If you answered differently, go back and review paragraph 2101a. b. Files contained in the NIPS Mini Database. The NIPS Mini Database is divided into two major parts, the Reference Directory and the Installation Directory. Each of these directories is further subdivided into several groups of files as explained below. (1) Reference Directory. This directory contains a variety of reference information. There are three types of files in this directory. (a) Reference files. These files contain scientific and technical information, intelligence studies, reports, and information from other publications. (b) Biographic files. These files contain data on prominent foreign personalities. (c) Photographic files. These files contain transparencies of weapons and weapons systems from selected orders of battle. (2) Installation Directory. The files in this directory contain information about military installations and other facilities; the information is used to develop plans for amphibious operations. You will find three types of files in this directory. (a) Amphibious (AMPHIB) files. These files contain Coastal Landing Beach (CLB), Helicopter Landing Area/Drop Zone (HLA/DZ), Urban Area (URB), Lines of Communication (LOC), and Port/Harbor (PRT) studies. (b) Air and Seaplane Stations of the World (ASSOTW) files. These files contain studies and surveys of 2-2

civil and military airfields, seaplane stations, and heliports. (c) Tactical Target Materials (TTM). These files contain target studies that include both textual and graphic information. c. NIPS Mini Database indexes. You will use the indexes to retrieve the files in the Reference and Installation Directories. Note: An index is an alphabetical listing of names, places, and subjects that gives the page on which each item is mentioned in a printed work.

So, to successfully retrieve information from the NIPS Reference or Installation Mini Database Directories, you must be able to use their corresponding indexes, the Reference Index and the Installation Index. (1) Reference Index. This index consists of a number of microfiche cards that cross reference each publication or document in the Reference Directory by the following: (a) Accession number (b) Publication long title (c) Publication short title (d) Subject (e) Object category (f) Object class (g) Topic (h) Photo The table on the next page gives an explanation of the information found on each Reference Index microfiche card.

2-3

Table 2-1.

Contents of the Reference Index Microfiche Cards THEN that microfiche card lists... All publications in the Reference Directory by accession number in alphanumerical order. All publications in the Reference Directory by title in alphabetical order. All publications in the Reference Directory by Document Identification Number (DIAM 57-5, DA PAM 190 50) in alphanumeric order. All publications in the Reference Directory by country and subject of the publication. All technical studies of weapons systems in the Reference Directory by country and by general weapon type (fighter, bomber, armor, etc. All technical studies of weapons systems in the Reference Directory by NATO designation (Bear, Fan Song, Hind D, Hip C, etc.) in alphabetical order. All publications in the Reference Directory by selected topic such as government and politics, armed forces, or key personalities. All photo transparencies in the Reference Directory in numerical order.

IF the microfiche card is titled... Accession number

Publication long title Publication short title

Subject

Object category

Object class

Topic

Photo

(2) Installation Index. This index cross references all records in the Installation Directory by country, facility name, file type, geocoordinate, and basic encyclopedia (BE) number. It contains the AMPHIB, ASSOTW, and TTM files and consists of cross referenced microfiche cards.

2-4

Note:

To extract a record from the Installation Directory, you must know the appropriate country code, major file type, (AMPHIB, ASSOTW, or TTM), and at least one of the following: the geocoordinate, BE number or study number, study type, and/or the installation or facility name.

An explanation of the information on each cross referenced microfiche card in the Installation Index is given in table 2-2. Table 2-2. Contents of the Installation Index Microfiche Cards THEN the microfiche card lists all studies in the Installation Directory by... Country, geocoordinate, and file type. Country, geocoordinate, file (study) type, study name, and study number. Country, BE number, and field or station name. Country, BE number, and facility name.

IF the microfiche card is titled... Installations Amphib ASSOTW TTM

d. Retrieving a document from the NIPS Mini Database. To retrieve a document from the NIPS Mini Database, follow these steps: (1) Determine the type of information that you need and in which directory (Reference or Installation) you will find that information. Note: Table 2-3 explains where to find specific types of information in the NIPS Mini Database.

(2) Once you have decided which directory you will search, refer to the appropriate directory index. Note: Keep in mind that the two indexes are the Reference Index and the Installation Index.

2-5

Table 2-3.

Locating Information in the NIPS Mini Database AND the type of information is... Biographical/other General THEN search the... Reference File Reference File TTM ASSOTW AMPHIB Reference File - - - - Photo File

If the information Concerns... A person

Place

Targeting Air, Seaplane Station, Heliport HLA/DZ, CLB, PRT, URB, LOC Technical data OOB Equipment - - - - - - - - - Photo transparency Organization, Training, Readiness, Logistics, Combat experience, Commanders, Major equipment Natural or cultural terrain features

A thing OOB InforMation

Reference File

NonAmphib GeoGraphic Features

Reference File

(3) Extract the information from the appropriate directory. Note: Before you can search the Reference File, you will have to obtain the accession number from the Reference Index. An explanation of the codes in an accession number follows on the next page.

2-6

Table 2-4.

Meaning of a Sample Accession Number NIS92C123456/12

Sample Accession Number: NIS - producing agency 92 - year microfiche produced C -

produced using collateral information

123456 - publication serial number /12 - total number of fiche comprising the publication (a) Use the instructions in the table below to extract information from the Reference Directory. Extracting Information from the Reference Directory FIND the Accession Number SEARCH the Reference File EXTRACT the Publication or Photograph

Table 2-5.

LOOK IN the Reference Index

(b)

Use the instructions in Table 2-6 on the next page to extract information from the Installation Directory.

2-7

Table 2-6.

Extracting Information from the Installation Directory FIND the

Country Code and BE Number Country Code And BE Number Or Airfield Name And Geocoordinates Country Code, Study type, and Study Number or Country Code, Geocoordinates and Study Name

When you are looking for information on Targets Airfields

SEARCH the
Tactical Target Materials Air and Seaplane Stations Of The World

and EXTRACT the

Target study Airfield study Or survey

Landing Zones

AMPHIB

HLA/DZ, CLB, LOC, PRT RO URB study

2102.

The Automated Database

a. Purpose. The Automated Database makes intelligence more timely by automating research and the recording, updating, and retrieving of information.

Let's take a minute to review. In the space below, write the purpose of the Automated Database. ________________________________________________________ ________________________________________________________

If you said that the Automated Database makes intelligence more timely by automating research and the recording, updating, and retrieving of information; you are right. Congratulations! If you answered differently, go back and review paragraph 2102a. b. Types of files in the Automated Database. The database contains various major and minor order of battle (OOB) files as listed on the next page.

2-8

(1) Major order of battle files include: (a) (b) (c) (d) (e) (f) Naval - (NOB) Electronics - (EOB) Missile - (MOB) Air - (AOB) Ground - (GOB--Troop units) Artillery - (ARB)

(2) Minor order of battle files include: (a) (b) (c) (d) (e) (f) (g) Ground Forces Installations (GFI) Airfield Installations (AFI) Naval/Maritime Installations (NMI) Miscellaneous Installations (MIS) Chokepoints (CHK) Helicopter Landing Areas (HLA) Coast/Landing Beach surveys (CLB) and others

c. Information search. Marines who have access to PC-NIPS can use the Automated Database. In general, Marine intelligence analysts don't operate the computer systems containing the Automated Database. They may access selected portions of that database when on command-configured shipping or when operating various van segments of the Marine Air-Ground Intelligence System (MAGIS). They may also access a tailored portion of the database called a tactical area file (TAF) through personal computer NIPS (PC-NIPS) programs. These programs are part of IBM PC compatible desktop systems such as the Intelligence Analysis System (IAS). (1) Accessing individual records. To access individual records in the database or part of the database, you must know one or more of the following elements: country code, OOB type, BE number, target data inventory number, or geocoordinates. (2) Performing an area search. You may also do a geographical area search--that is, obtain a "data dump" of all records pertinent to a limited circular, square, rectangular, or hexagonal area of interest. Once you have entered the appropriate definitions, that is, Country Code, OOB type, BE Number, and so on, and have defined the area to be searched, the system will automatically search the database, sort records according to the conditions you have entered, and display the information on the monitor or direct the information to a printer or another disk as you select.

2-9

Do you recall the types of files that are contained in the Automated Database? Write your answer on the lines below. ________________________________________________________ ________________________________________________________

If you said that the Automated Database contains both major and minor order of battle files, you are right. Congratulations! If you answered differently, go back and review paragraph 2102b. Lesson Summary. In this lesson you acquired an overview of an important resource--the NIPS Database. You learned the purposes for its two forms, the Mini Database and the Automated Database, the types of intelligence files in each form, and the process of retrieving intelligence information from each database. In the next lesson, you will learn another method of collecting intelligence information--through aerial reconnaissance and surveillance assets. You will learn about two forms of assets, imagery and electronics, and the strategic collection systems that are available to Marine Corps users. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 4 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

State the purpose of the NIPS Mini Database. ________________________________________________________ ________________________________________________________

2.

List the six types of files contained in the NIPS Mini Database. a. b. c. __________________ __________________ __________________ d. e. f. ___________________ ___________________ ___________________

2-10

3.

The purpose of the Automated Database is to a. make intelligence more timely by computer automating researching, recording, updating, and retrieving information. provide a rapid, readily accessible replacement for the Miniaturized Database. provide a computer-accessible database to Marine intelligence units at battalion and squadron command levels. provide deploying Marine and naval units with an easily transported, easily controlled, and rapidly accessible intelligence database.

b. c.

d.

4.

List the two types of files that are contained in the Automated Database. a. b. ___________________ ___________________

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Lesson 2. AERIAL RECONNAISSANCE AND SURVEILLANCE ASSETS

LEARNING OBJECTIVES 1. 2. 2201. List six aerial imagery reconnaissance assets that are available to Marine Corps users. List three aerial electronics reconnaissance assets that are available to Marine Corps users. Introduction to Aerial Imagery and Electronic Assets

Aerial imagery and electronic assets provide another way to collect intelligence information on the terrain and to get an up-to-date status on enemy positions and fortifications. Photographs from aerial imagery provide a permanent record. Since they can be reproduced in quantity, they can be evaluated simultaneously by many users, all of whom may retain the original source of the information. Cameras are unprejudiced, recording everything within their field of view to the limits of their technical capabilities. Photographic imagery also provides precise location data.

2-11

The Marine Corps, however, will not have a dedicated tactical aerial imagery reconnaissance asset until the reconnaissance capable FA-18 is fielded during the mid-1990's. Until then, the Corps will have to rely on Navy, Air Force, or Army assets, or Marine assets that have a secondary imagery capability to perform image gathering reconnaissance missions. In this lesson you will study aerial reconnaissance and surveillance assets and strategic collection systems. You will learn about six imagery assets used to collect intelligence information. These assets are discussed in subparagraphs 2202a through f and are available to Marine Corps users for imagery reconnaissance. The Expeditionary Tactical Aerial Reconnaissance System (ETARS) and the Advanced Tactical Aerial Reconnaissance System (ATARS) imagery systems discussed in paragraph 2202g are developmental systems. They are included in this lesson to show you the future of imagery reconnaissance. Tables 2-6 through 2-10 describe the imagery sensors that selected imagery assets carry. Paragraph 2203 discusses three aerial electronic reconnaissance assets: the EA-6B Prowler, the EP-3E Orion, and the EC-135. Paragraph 2204 discusses three strategic collection systems: strategic imagery assets, strategic SIGINT, and other strategic SIGINT. All these assets are used to collect intelligence information. 2202. Aerial Imagery Reconnaissance Assets

a. RF-4C Phantom II (Air Force). The Phantom II is an allweather, day or night, multisensor imagery reconnaissance aircraft. A variant of the Synthetic Aperture RADAR (SAR) and certain electro-optical (EO) sensors give it the ability to transmit acquired imagery to a remote ground station in real time or near real time. Table 2-7 on the next page details the RADAR, infrared, and photographic sensors that are available with this asset.

2-12

Table 2-7.
RADAR Sensor
Sensor Image Type Sensor

RF-4C Phantom II Imagery Sensors

PHOTOGRAPHIC Sensors (Cameras)
Sensor (Camera) KA-56 KA-87 KA-87 KA-87 KA-87 KA-87 KA-87 KA-1 KC-1/T-11 KA-91 3, 6 3, 6 3 3, 6, 12, 18 6, 18 18 24, 36 6 18 Focal length (inches) 3 Sensor Position Vertical Forward Oblique Vertical Vertical Oblique (L & R) Split Vertical Vertical Vertical Vertical Vertical Image Type Panoramic Oblique Vertical Vertical Oblique Vertical Vertical Vertical Vertical Panoramic

INFRARED Sensor
Image Type

AN/APD-10

RADAR Map

AN/AAD-5

Infrared Map

Table 2-7 discusses the characteristics of the seven different sensors available with the RF-4C. As you can see, the sensors include the AN/AAD-5 and the KA-1, KA-56, KS-87, KA-91, and KC-1/T-11 cameras. The range of sensor configurations available can produce a wide mix of photographic, infrared, and/or RADAR images simultaneously or independently. b. OV-1D Mohawk, (Army). The Mohawk is an all-weather, day/night multisensor (and multispectral) imagery reconnaissance aircraft. Although this asset can perform near real-time acquisition of imagery when the RADAR, EO, or photographic sensors are used with compatible ground station equipment, the Mohawk is not as versatile an imagery asset as is the Phantom II. Table 2-8 provides a reference on the sensors this asset transports. Table 2-8.
RADAR Sensor
Sensor AN/APS-94 (SLARS) Image Type RADAR Map

OV-1D Mohawk Imagery Sensors

PHOTOGRAPHIC Sensors (Cameras)
Sensor (Camera) KA-60 KA-60 KA-30 KA-76 Focal length (inches) 3 3 3, 6, 12, 18 1.75, 3, 6, 12, 18 Sensor Position Forward Oblique Vertical L or R Oblique or Vertical Vertical Image Type Panoramic Panoramic Obique or Vertical

INFRARED Sensor
Sensor AN/AAS-24 Image Type Infrared Map

*The sensor is rotatable from vertical to oblique and back during flight.

As you can see in table 2-8, this platform transports a selection of three standard photographic sensors, an infrared sensor and a side looking airborne radar (SLAR) sensor.

2-13

The range of sensor configurations available can produce a mix of photographic, infrared, and/or RADAR images simultaneously or independently. c. P-3 Orion, (Navy). Although this platform is primarily designed for anti-submarine warfare (ASW), it also has some photographic imagery capability. Table 2-9 provides a reference on the sensors the P-3 transports. Table 2-9. P-3 Orion Imagery Sensors PHOTOGRAPHIC Sensors (Cameras) Sensor (Camera) KA-74 KA-89 or KS-89 KB-10 KB-18 Focal Length (inches) 6 6 Sensor Position Forward Oblique or Vertical L or R Oblique Aft Oblique Forward Oblique or Vertical Forward Oblique Aft Oblique Vertical Image Type Oblique or Vertical Oblique or Vertical Oblique Fore to Aft Panoramic

3 3

Depending on the specific P-3 variant, just a few photographic sensors can provide a wide range of vertical, oblique, and panoramic images to meet your requirements. d. LA-610 Tactical Air Reconnaissance Pod System (TARPS), Navy. Table 2-10 provides a guide to sensors mounted in the TARPS pod that is usually transported aboard an F-14 (Tomcat). This asset can provide a versatile mix of infrared or vertical, oblique, and panoramic photographic images in response to an intelligence requirement. Table 2-10.
INFRARED Sensor Sensor AN/AAD-5 Image Type Infrared Map Sensor(Camera) KS-87 KS-87 KS-99
* *

TARPS Sensors
PHOTOGRAPHIC Sensors (Cameras)

Focal Length (inches) 6 6 9

Sensor Position Vertical* Vertical Vertical

Image Type Oblique or Vertical Vertical Panoramic

In this configuration, the camera can be rotated to forward oblique from vertical and back during flight.

2-14

e.

f.

Pioneer Unmanned Aerial Vehicle (UAV); Navy, Marine Corps. Although the pioneer is primarily a target acquisition and battlefield management asset, it is also the only active real- time imagery asset in the Marine Corps inventory. Sensors available include e a tele-video camera/recorder and an infrared scanner/recorder, either of which can transmit near real-time images to a remote ground station. The pioneer can transport only one sensor at a time.

f. AV-8B Harrier, (USMC). Although the Harrier is a Marine asset, it is not a dedicated imagery asset. Currently, the imaging systems available to the AV-8B include a medium format (70mm) photographic sensor primarily intended to acquire imagery for bomb damage assessment. The sensor produces an oblique image only. An infrared scanner/recorder similar to the FLIR (forwardlooking infrared) systems transported by other USMC aerial platforms is also available. g. Developmental/experimental imagery reconnaissance systems. (1) AV-8B (Harrier) ETARS (Expeditionary Tactical Aerial Reconnaissance System). The ETARS, like the TARPS, is a pod mounted system designed specifically to provide USMC expeditionary forces (MEU, MEF) with an organic, realtime infrared and photographic reconnaissance capability. The digital signal from the system data link can be received at the pioneer UAV ground station. Sensors transported aboard the pod can produce a mix of panoramic, infrared, and video images. (2) ATARS (Advanced Tactical Aerial Reconnaissance System). This system is designed to be transported by platforms such as the Phantom, the Tomcat, the FA-18, the F-16, or a medium range UAV (UAV-MR). The ATARS is intended to provide both low and medium altitude near real-time electro-optical and infrared imagery. Note: A hand-held camera can be used in ground or aerial reconnaissance and surveillance. Before using a hand-held camera to acquire aerial photography, consult knowledgeable personnel such as aerial observers, public affairs office (PAO) or combat photographers, or imagery interpreters.

2-15

Can you recall the names of six aerial imagery reconnaissance assets available for collection purposes? Write them in the spaces provided below. a. b. c. _________________ _________________ _________________ d. e. f. ____________________ ____________________ ____________________

If you answered, in any order, RF-4C (Phantom), OV-1D (Mohawk), P-3 (Orion), TARPS pod, Pioneer UAV, and AV-8B (Harrier), you're right. Congratulations! If you answered differently, go back and review paragraph 2202. 2203. Aerial Electronics Reconnaissance Assets

There are three principal aerial electronics reconnaissance assets available to Marine Corps users: The EA-6B, the EP-3E, and the EC-135. a. EA-6B Prowler, (VMAQ Squadron, USMC). The Prowler carries an array of pod-configured as well as internal sensors that detect and record the signals emitted by radars and other sources. A Prowler squadron also conducts electronics countermeasures (ECM) and electronics counter-countermeasures (ECCM) operations. Other assets and equipment provide communications warfare capabilities. b. EP-3E and EC-135. Sophisticated sensors carried in aircraft like the EP-3E (Navy) or in larger aircraft like the EC-135 collect ELINT and COMINT data. Note: A heliborne electronics/communications sensor suite has been available (on justified request) to deployed units since the late 1980's. Since it isn't generally available, this sensor suite doesn't count as one of the three principal aerial electronics reconnaissance assets available to Marine Corps users. It provides a unit as small as a MEU with organic ELINT and COMINT collection capabilities. Similar equipment may be installed in the Pioneer UAV or on the mid-range UAV (UAV-MR). Various shipborne systems may also be available for units deployed aboard naval vessels. You will find additional information regarding ELINT, COMINT, and other SIGINT reconnaissance assets in the J-TENS manual and other classified references.

2-16

Do you remember the names of three aerial electronics reconnaissance assets available for Marine Corps users? Write your answers in the spaces provided below. a. b. c. _________________________________ _________________________________ _________________________________

If you said the EA-6B Prowler, the EP-3E Orion, and the EC-135; you're right. Congratulations! If you answered differently, go back and review paragraph 2203. 2204. Strategic Collection Systems

Agencies and services in the national intelligence community are the principal collectors of strategic intelligence. Due to the sensitive nature of their collection assets, we will discuss them only in broad terms. For a full discussion, refer to the J-TENS manual. Senior agencies of the community may task tactical assets such as the Phantom or Mohawk to acquire information applicable to strategic objectives. a. Strategic imagery assets. These assets include a variety of EO, IR, Photographic, RADAR and other sensors that are transported by a number of platforms, including satellites. Several of these systems may be data linked to ground stations, providing a capability for real-time or near real-time analysis. Additionally, HUMINT agents may take ground and selected aerial photographs using hand-held cameras. Commercial imaging satellites such as LANDSAT can, with due consideration for operations security, be used for tactical or strategic collection. b. Strategic SIGINT. These assets include many sensors that can be transported by a variety of platforms. Some collect only electronics information, some collect only communications information, and a few can collect both. Many of the assets instantaneously retransmit the collected signals to a ground station where they are analyzed in real time. The SIGINT community often uses tactical sensors and platforms as part of established reconnaissance programs. c. Other strategic SIGINT. These assets transport various highly sensitive sensors that collect information on scientific and technical intelligence objectives. Such sensors can detect and record minor variations in levels of radioactivity, minor differences in thermal (heat) radiation, and differences in gaseous emissions.

2-17

They can also detect and record electronic and non-electronic emissions from the ignition of missile and rocket engines, from the triggering of explosive devices, and similar explosive-like events. Lesson Summary. In this lesson you learned about selected aerial reconnaissance and surveillance assets, including imagery reconnaissance assets and electronics reconnaissance assets that can be used in this effort. You also learned how strategic collection systems collect the intelligence information to be processed for military purposes. In study unit 3 you will learn how to take the raw intelligence information you have collected and process it into usable, mission-relevant, and operationally significant intelligence. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 and 2 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List six of the aerial imagery reconnaissance assets that are available to Marine Corps users. a. ________________________________________________

b.__________________________________________________ c.__________________________________________________ d. e. f. 2. ________________________________________________ ________________________________________________ ________________________________________________

List three of the principal aerial electronics reconnaissance assets that are available to Marine Corps users. a. b. c. ________________________________________________ ________________________________________________ ________________________________________________

2-18

UNIT SUMMARY In this study unit you learned about the Naval Intelligence Processing System (NIPS) Database and you expanded your knowledge of the tactical and strategic collection assets that you will task or levy to perform your commander's intelligence requirements. Next, you will learn how "raw" information--the result of collection activity--is transformed into intelligence. The next study unit, Processing and Production of Intelligence, will provide details on how that transformation is accomplished. Lesson 1 Exercise Solutions Reference 1. The NIPS Mini Database provides a way to store and rapidly retrieve information from a wide range of intelligence publications in a compact, easily transportable reference library. (in a. b. c. d. e. f. 3. 4. a. (in any order) a. Major order of battle files b. Minor order of battle files any order) Reference files Biographic files Photographic files Amphibious files (AMPHIB) Air and Seaplane Stations of the World (ASSOTW) files Tactical Target Materials (TTM) 2101a

2.

2101b

2102a 2102b

Lesson 2 Exercise Solutions Reference 1. (in a. b. c. d. e. f. (in a. b. c. any order) RF-4C (Phantom II) OV-1D (Mohawk) P3 Orion TARPS pod (F-14) Pioneer UAV AV-8B (Harrier) any order) EA-6B EP-3E EC-135 2202

2.

2203

2-19

STUDY UNIT 3 PROCESSING AND PRODUCTION OF INTELLIGENCE Introduction. The result of your collection efforts is a large volume of raw information that relates to your unit's intelligence requirements. Through processing and production, you will be able to transform that large volume of information into mission-relevant and operationally significant intelligence that will be useful to your commander. In this study unit you will learn how to process information and produce intelligence. The steps of processing and production include: processing raw information into a form suitable for recording systematically recording raw information to make study and comparison easier evaluating raw information in terms of its pertinence, reliability, and accuracy integrating the elements of raw information found to be significant with other elements to form a foundation of information concerning enemy activities interpreting that foundation to form a theory about possible enemy activities, and finally, analyzing and testing the theory.

It is this processing, recording, evaluating, integrating, interpreting, and analyzing and testing that converts raw information into intelligence useful to the commander. Lesson 1. PROCESSING INFORMATION

LEARNING OBJECTIVES 1. 2. Match the electrical and optical sensor processing facilities with their functions. Match the automated information processing facilities or systems with their functions.

3-1

3101.

Processing Facilities and Systems

In most circumstances, information reported to an intelligence section has already been converted into a form suitable for intelligence production--a written message, spoken communication, or graphic form (such as a map overlay or photograph). There are several facilities and systems whose function is to convert nonverbal information into a form suitable for use in production. These facilities and systems are explained briefly in subparagraphs 3101 a. and b. As you'll see, table 3-1 contains a fair amount of information. As you study the table, keep in mind that the IIF, by automating the analyst functions of measuring, plotting, and data research, enhances the first phase exploitation of imagery. a. Selected electrical and optical sensor processing facilities. These facilities convert raw data collected by electrical and optical sensors into a form that can be reported to and used by requesting units. Once the raw data has been processed, analysts exploit the information and report IMINT, SIGINT, and ELINT to using commands. The selected electrical and optical sensor facilities and their functions are listed in table 3-1 on the following page.

3-2

Table 3-1.

Selected Electrical and Optical Sensor Facilities FUNCTIONS Develops a negative film record from an exposed aerial imagery film base Produces duplicate negative or positive film records Makes contact photographic prints

FACILITY Imagery processor (IP)

Photo laboratory

If equipped to do so, processes aerial imagery film Processes film from hand-held cameras Produces enlarged prints from developed negatives

Tactical electronic reconnaissance processing site (TERPES)

Receives, processes, and records digital signals acquired by electronic sensors Provides automated assistance to signal analysis and ELINT reporting

Joint source imagery processor (JSIP)

Receives, processes, and records digital signal transmissions from various Provides automated assistance to imagery analysis and IMINT reporting

Imagery interpretation Facility (IIF)

Automates analyst functions such as measuring, plotting, and data research to enhance the first phase exploitation of imagery Produces IMINT reports using specialized software that provides templated report formats Produces hard and paper tape copies of the IMINT report with system hardware

b. Intelligence analysis system. The intelligence analysis system (IAS) runs from a personal computer that can be operated on the battlefield, aboard ship, and in garrison. Its primary job is to help the analyst record information and produce and disseminate intelligence reports in a more timely manner.

3-3

It uses commercial software including word processors, graphics programs, spreadsheets, and database managers; specialized software packages; and peripheral hardware to perform the following functions: (1) Recording and routing messages. (2) Initiating and maintaining an intelligence journal and, in the form of working files, an intelligence workbook. It also generates and reproduces overlays and previews, selects, and reproduces individual map sheets or portions of map sheets. (3) Generating approved templates for various collection orders and requests; for reports such as the SALUTE report, intelligence summary (INTSUM), and intelligence information report (IIR); and for standard documents, such as the intelligence annex and its appendixes. (4) Facilitating the transmission and reception of encrypted and unencrypted message traffic using supplemental hardware to interface with tactical communications equipment. (5) Transmitting and receiving special security communications traffic using supplementary hardware. Table 3-2 gives examples of the intelligence products the IAS can generate. Table 3-2. PRODUCT CATEGORIES: Armed forces IAS Intelligence Products PRODUCT EXAMPLES: Enemy situation overlay Air defense overlay CBR (NBC) overlay Fortifications overlay Minefield overlay Target lists Climate data Weather phenomena report Astronomical data Astronomical phenomena report Topography profile/overlay Relief and drainage overlay Vegetation study/overlay Soil characteristics profile Man-made features overlay Natural and special features overlay 3-4

Climatology and astronomy

Military geography

Table 3-2.

IAS Intelligence Products--cont'd. PRODUCT EXAMPLES: Cover overlay Observation/fields of fire overlay Concealment overlay Obstacles overlay Avenues of approach overlay HLA/DZ report Urban areas study Landing beach study Airfields study/overlay Railways study/overlay Road network study/overlay Waterways study/overlay Pipelines study/overlay Ports and harbors study Weapons studies Industrial capacities study Scientific achievement profile Nuclear power/NBC capability assessment Government structure/type Government policies Key personalities Health and sanitation Terrorism/terrorist assessment Economic and social trends Assessment of national and international radio, television, telephone, and telegraph system capabilities and facilities

PRODUCT CATEGORIES: Military terrain

Military transportation

Science and technology

Sociopolitical factors

Telecommunications

Note:

Many of the products listed in the tables can be assembled using the resident database working files, available software such as PC NIPS, and intelligence reports received from various agencies.

3-5

Let's check your knowledge of the selected electrical and optical sensor processing facilities we talked about in table 3-1 on page 3-3. Write as many of the functions of each facility that you can in the following chart; the number in parentheses gives the number of functions.

FACILITY Imagery processor (IP) (3 functions)

FUNCTION

Photo laboratory (3 functions)

Tactical electronic Reconnaissance Processing (TERPES) (2 functions) Joint source Imagery (JSIP) (2 functions) Imagery interpretation Facility (IIF) (3 funtiions)

Check your responses against the information given in table 3-1 of paragraph 3101. If your answers were much different from the table, study the table again.

3-6

Write the functions of the IAS and IIF in the spaces below. The intelligence analysis system (IAS) _________________ ________________________________________________________ ________________________________________________________ The imagery interpretation facility (IIF) ______________ ________________________________________________________ ________________________________________________________ I hope you said that the IAS assists the analyst in recording information and producing and disseminating intelligence in a more timely manner. The IIF, by automating the analyst functions of measuring, plotting, and data research, enhances the first phase exploitation of imagery. If you did, you are correct; Congratulations! If your answers were much different, go back and review paragraph 3101. Lesson Summary. In this lesson you learned to identify the functions of several processing facilities as well as the functions of the intelligence analysis system (IAS) and the imagery interpretation facility (IIF). In the next lesson you will study the recording of intelligence.

3-7

Exercise:

Complete items 1 through 6 by performing the action required. Check your responses against those listed at the end of the study unit.

Matching: Match the processing facility in column 1 with its function in column 2. Column 1 Facility ___ 1. IP a. Column 2 Function Develops a negative film record from an exposed aerial imagery film base; produces duplicate negative or positive film records, makes contact photographic prints Receives, processes, and records digital transmissions from various imaging systems; provides automated assistance to imagery analysis and IMINT reporting Receives, processes and records digital signals acquired by electronics sensors; provides automated assistance to signal analysis and ELINT reporting If equipped, can process aerial imagery film, film from hand-held cameras and enlarged prints from developed negatives

___ 2.

Photo Laboratory

b.

___ 3.

TERPES

c.

___ 4.

JSIP

d.

Matching: Match the name of the automated processing facility in column 1 with its function in column 2. Column 1 Facility ___ 5. IAS a. Column 2 Function Enhances first phase imagery exploitation by automating analyst functions such as measuring, plotting, and data research Records, produces, and disseminates multiple-source tactical intelligence in a more timely manner

___ 6.

IIF

b.

3-8

Lesson 2.

RECORDING INFORMATION

Introduction. The three standard documents you will use regularly to sort, index, and record information are the Intelligence journal Intelligence workbook Enemy situation map

Additionally, a number of standard files, such as the journal file, target file, and order of battle (OOB) file are available for intelligence research, analysis, and production. In this lesson you will learn the elements you must include in each intelligence journal entry, the information elements you must include in each intelligence workbook entry, and the command elements you must display on the enemy situation map (SITMAP). You will also learn the elements that you must include in the order of battle file. LEARNING OBJECTIVES 1. 2. 3. 4. 3201. List the four information elements that must be recorded in the intelligence journal. List the six information elements that must be recorded in the intelligence workbook. State the levels of command echelons that must be displayed on the enemy situation map (SITMAP). List the eight information elements that must be maintained in the order of battle file. The Journal

The journal is an official, permanent, chronological record. It lists reports and messages that have been received or transmitted, significant events that have occurred, actions taken in response to those events, and other activities that have occurred during a specific period of time. a. General. Everyone in the section who makes journal entries must be sure that those entries are accurate and complete. They must contain references to all messages and reports received by or originated in the section, references to all intelligence activities and actions, and, when applicable, to the actions of individuals in the section. b. Required elements. Journal entries must state essential facts briefly but accurately. Each journal entry must contain the following elements: 3-9

(1) The time that the message or report was received (called the time of receipt (TOR)) or, for outgoing traffic, the time (date/time group (DTG)) that the message was transmitted. You may also make note of the way the message was transmitted. (2) The identity of the originating unit, and, when applicable, a reporting individual's unit, duty position, and section (3) A brief summary of the text (message, report, response, activity, etc.) (4) Disposition of the message or report and a brief reference to intelligence actions taken in response c. Optional elements. The following elements may be included in a journal entry for administrative or information management purposes: (1) Reference to related or supporting information and a notation of duplicate recording (such as in the workbook) (2) Summaries of administrative actions, decisions, conferences, orders, and so on d. Topics addressed. Topics which may be addressed by entries in the intelligence journal include the following: (1) Movements and activities of enemy units (2) Significant friendly patrol activity (3) Summaries of actions taken as a result of enemy or friendly activity (4) Liaison activities by members of the section (5) Changes in personnel within the section, and in personnel holding significant positions within the command e. Time period. A journal covers a specific period of time. In general, one journal is closed, numbered, and filed and another opened on the completion of each exercise or operation. Unit SOP's may, however, establish other periods for the closing/initiation of a journal such as every twenty-four hours, or times that coincide with the dissemination of an INTSUM or DISUM.

3-10

Do you recall the four information elements that must be included in each journal entry? List them here. a. b. c. d. __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________

If you said (a) the time the message was received, (b) the originating unit, and when applicable, the name of the originator, (c) a brief summary of the text, and (d) the disposition of the message or report; you're right. Congratulations! If you answered differently, go back and study paragraph 3102a. 3202. The Workbook

The workbook is a tool that you will use in your analysis of enemy intentions and as a resource for developing intelligence reports. You will catalog, according to subject matter, topic, theme, or outline, items and bits of information gleaned from the reports and messages your section receives. a. Organization. The workbook is shaped to fit the needs of your command. Analysts in sections that use the intelligence summary (INTSUM) as the primary means for disseminating intelligence usually organize the workbook to conform to the paragraphs of the INTSUM. Analysts in sections that use an intelligence briefing as their primary means of dissemination may make the workbook conform to a briefing outline. Refer to Appendix F of FMFM 3-21 to see a workbook formatted to the INTSUM. Regardless of how you shape your workbook, you must ensure that you can readily access and use the information that it contains. b. Required elements. Individual entries in each section of the workbook must contain the following elements: (1) A summary of the item, event, or activity (2) The journal number and journal entry number where the report for that item, event, or activity is located (3) The DTG of the event or observation (4) The originator of the report

3-11

(5) Your evaluation of the information (and, when applicable, your evaluation of the source) (6) Notes regarding your analysis of a report and entries in any other section of the workbook c. Multiple entries. Enter each item of information in every appropriate section of the workbook: For instance, you would enter an item of information concerning an enemy armored unit that has just arrived in your area of operations under workbook sections titled "New Units," "Reinforcements," and "Armored Units." You would also make note of other sections of the workbook where that item of information is entered. Do you remember the six elements that must included in each Individual entry in the workbook? Write them here. 1. 2. 3. 4. 5. 6. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________

If you said (1) a summary of the item, (2) the journal number for that item, (3) the DTG of the event, (4) the originator, (5) your evaluation, and (6) notes regarding your analysis of a report; you're right. Congratulations! If you answered differently, go back and study paragraph 3102b. 3203. Situation Maps (SITMAP's)

A situation map is a graphic portrayal of battle conditions illustrated in terms of the individual units and/or orders of battle that are involved. Of the several possible types, two are most frequently developed and posted. They are the enemy SITMAP, which portrays current enemy activities, and the operations SITMAP, which displays friendly activities. Note: Use only conventional symbols, signs, and abbreviations to represent units, equipment, and terrain features on situation maps.

a. The enemy SITMAP. The intelligence section is normally responsible for creating and maintaining the enemy situation map (or map overlay).

3-12

Under normal circumstances, the SITMAP will display only enemy units or orders of battle. You will normally display enemy command echelons one level higher and two levels lower than those of your own unit. Thus, a battalion's SITMAP would depict enemy regiments and battalions, with individual companies developed to the platoon (or section) level; a regiment's SITMAP would portray enemy brigades (or divisions) and regiments, with individual battalions fully developed to the company level. In rare instances, you may record critical friendly force information on the enemy SITMAP, for instance, control measures such as the force beachhead line (FBHL) or limit of advance (LOA), or points such as OP's or LP's and the locations of reconnaissance teams. (1) Standard symbols. SITMAP's provide a way to display operational plans, concepts, and friendly or enemy battle situations. This positioning of symbolized units and weapons with identified military objectives, force boundaries, routes of march, and so on, creates a tool for quick and accurate analysis of combat actions and activity. The symbols that you must use to depict enemy units, equipment, and activities are explained in detail in FM 101-5-1, Operational Terms and Symbols, and may also be found in an older manual, FM 21-30, Military Symbols. (2) Standard colors. The FM's establish a standardized color code to differentiate symbols for friendly and enemy orders of battle and for specific events and objects. You may also have an explanatory legend or color key to eliminate any possibility of confusion; this is especially important if you depart from the standardized color code or use additional colors to portray symbols, events, or objects. The standardized color code is as follows: (a) Symbols illustrated in blue (or black) represent friendly units, equipment, and activities. (b) Symbols illustrated in red represent enemy units, equipment, and activities. (c) Areas crosshatched or otherwise distinguished in yellow indicate 1. 2. 3. areas that have been contaminated by friendly or enemy nuclear or chemical agents. areas contaminated by enemy biological warfare agents. areas where friendly forces plan to employ nuclear or chemical weapons.

3-13

d)

Symbols illustrated in green represent man-made obstacles of both friendly and enemy construction. Table 3-3. COLOR Blue Red Yellow Green Friendlies Enemy Contaminated Man-made obstacles Standard SITMAP Colors MEANING

Note:

If you need to transfer topographical features (such as water bodies, ridgelines, and wooded areas) onto your overlay, illustrate them as they are symbolized and in the same colors as on maps: blue for water bodies, green for vegetation, brown for relief contour lines, and black for man-made structures (buildings, bridges, tunnels, and so on). FM 101-5-1 and an older manual, FM 21-31 Topographic Symbols, provide detailed illustrations and explanations of the symbols used to portray terrain features and relief on military maps.

If you have only one color to portray enemy and friendly force symbols, or if you are going to transmit the SITMAP (or any color-coded overlay) by facsimile or by imagery transmission system such as PORTS or FIST, you must distinguish between friendly and enemy symbols in some manner because fielded systems do not (as yet) transmit or receive in color. Constructing a box around each enemy symbol and portraying friendly symbols in the normal fashion works well as does annotating enemy symbols with the letters EN. Such departures from the standard, when necessary, are acceptable so long as you provide explanatory notes, keys, or legends. (3) Items to be displayed: The SITMAP must be continually revised so that it displays the most current information about the enemy force; therefore, every individual in the section must assume responsibility for the accuracy of the display even though only one person per watch may actually be designated to update and maintain it. The following items are plotted individually on battalion and regimental enemy SITMAPS--especially when tracing prepared defensive positions and field fortifications, including trench networks: (a) Automatic weapons (b) Supporting mortars

3-14

(c) Antitank guns (d) Artillery positions (e) Air defense weapons (f) Minefields (g) Logistics and command facilities (h) Aircraft and helicopter staging areas and refueling points (i) All NBC contaminated or NBC suspect areas (j) All emplaced obstacles, both friendly and enemy (k) Natural obstacles, especially such local features as depressions, steep slopes, cuts, fills, gullies, urban areas, and so on, that could impede, channelize, or prevent movement if they are not displayed on a separate overlay (a cross-country movement (CCM) overlay or an obstacles overlay). (l) Highways, roads, trails, pipelines, waterways, power transmission lines, fire lanes, and crossing facilities or structures such as bridges, tunnels, viaducts, ferry landings, fords, and bypasses that could serve as routes for the movement of personnel, weapons, and/or equipment if they are not displayed on a separate line of communication (LOC) or on a surface transportation overlay. You may annotate information concerning the military classification of the traced routes in the margin. You can gain such information from an engineer reconnaissance or from a more formal route reconnaissance. (Refer to FM 5-36, Route Reconnaissance and Classification for more information.) b. Avoiding clutter on SITMAP's. At times, the number of conventional symbols on a SITMAP will result in a confusing clutter. While there are no entirely successful methods to reduce this, you are still responsible for portraying enemy information simply and clearly. Use the following methods to reduce clutter: (1) Create several overlays, each representing a particular category of information--obstacles, lines of communication (roads, routes, trails, etc.), enemy air defenses, artillery and mortars, and so on. These different overlays help you track and interpret the enemy situation in each category and get a clear picture of the entire battle situation.

3-15

(2)

Instead of using standard symbols, plot each activity using its journal number and summarize essential facts in the margins of (or on note cards attached to) the SITMAP. This method works because the journal reference allows rapid access to a particular message or report.

c. SITMAP styles. According to individual unit SOP's, you may make and maintain as many as three styles of enemy SITMAP's. As explained below, each style corresponds to a specific type of map or chart. (1) The large scale SITMAP, which portrays the current combat situation, is the most frequently developed and posted type. It is usually created on a military map at a scale of 1:50,000, although larger scales, such as city graphics at 1:12,500 and other special products, have been used. (2) A medium scale SITMAP is usually displayed on a joint operations graphic (air)--JOG(A) or a joint operations graphic (ground)--JOG(G) map at a scale of 1:250,000. These maps portray the current tactical situation. Medium scale and large scale SITMAP's are created and updated at the same time and are frequently posted next to each other. (3) A small scale SITMAP is developed from an aeronautical chart such as a tactical pilotage chart (TPC), global navigation or jet navigation chart (GNC or JNC), or an operations navigational chart (ONC) at 1:500,000 or 1:1,000,000 scale, although charts as small as 1:2,000,000 are also used. Use small scale SITMAP's to illustrate locations of enemy ground, naval, and air bases; logistics and supply centers; command centers; force concentrations, and so on, that are located well away from the battle area. In other words, the small scale SITMAP portrays the strategic battle and strategic targets. As a general rule, small scale SITMAP's are posted and maintained at regimental and higher echelons. Table 3-4. STYLE Large Medium Small SCALE 1:50,000 1:250,000 1:1,000,000 SITMAP Styles

Portrays the. . . Current combat situation Current tactical situation Strategic battle and strategic targets

3-16

d. The operations SITMAP. Originated and updated by the operations section (S-3), this map portrays friendly force positions and activities. Portrayal of enemy information is kept to a minimum. In the Marine expeditionary unit and at battalion or squadron level, overlays portraying the enemy and friendly situations may be affixed to a single map sheet. In this instance, or when the two are combined for display on a single map overlay, the intelligence and operations sections may share responsibility for maintaining and updating both overlays. During battle, messages and reports flow into the operations section in increasing volumes and the demand for information about the enemy becomes greater as the fog of battle increases. In such situations, the normal intelligence routine of recording (journal to SITMAP to workbook), analysis, and formal dissemination is temporarily suspended. Instead, you will record information directly on the SITMAP and perform analysis and dissemination informally, on demand. However, as soon as the crisis is resolved, you must resume routine and update the journal and workbook. Do you remember which command echelons you normally track on the enemy SITMAP? Write your answer below. __________________________________________________________ __________________________________________________________ If you said that you would normally track enemy units at command echelons one level above and two echelons below your own, you are correct! Congratulations! If you answered differently, go back and study paragraph 3201. 3204. Intelligence Files

Each intelligence section maintains a number of materials in its intelligence files, including working and permanent files. The actual files you are to maintain in your section are established in unit and section SOP's. There are, however, four working files you will use wherever you may be assigned. These are the journal file, the information file, the order of battle file, and the administrative file.

3-17

Table 3-5. FILE Journal Information

Four Intelligence Files

Order of Battle

Administrative

PURPOSES Contains a complete record of Events and activities. Each journal Is used as an index. Contains miscellaneous files with Information about the enemy. The information will have combat or combat related value. Contains specific information on enemy units. The information is valuable for direct combat support and as a reference for intelligence reports. Contains general working files with a variety of information. Examples of these general files include correspondence files, files on security clearances and intelligence training, and material receipts.

a. Journal file. This file consists of all previously recorded journal sheets and supporting materials filed in chronological order. The materials include copies of orders, periodic reports, messages, memorandums, map overlays, and so on. The file provides a complete record of events and activities pertinent to the intelligence section. Journal files are usually retained in complete form for the duration of a campaign although this depends on the length of the campaign, the volume of traffic received, and SOP. Each journal serves as an index to the journal file. b. Information file. This file is a collection of miscellaneous files containing both specific and general information about an enemy's population, society, country, economy, sciences, and so on. The information may not have direct combat value but provides a wealth of intelligence that can be combat related. The target file, which contains specific information on existing targets in and around the area of operations, is an example of this type of file. c. Order of battle file. The order of battle file contains specific intelligence about the following: (1) enemy unit organization, (2) strength, (3) commander, (4) unit history and experience, (5) training level and combat readiness, (6) tactics, (7) equipment, and (8) logistics requirements. The file is used in direct support of combat operations and as a reference source for intelligence reports and products.

3-18

d. Administrative files. Perhaps the most common working file is in this general category which includes personnel information files, correspondence files, intelligence training records and requirements, material receipts and requisitions, security clearance and access rosters, foreign language rosters, and other general files. What specific information would you expect to find in an order of battle file? _______________________________________________________ _______________________________________________________ If you said that you would expect to find information concerning (1) an enemy unit's organization, (2) strength, (3) commander, (4) unit history and experience, (5) training level and combat readiness, (6) tactics, (7) equipment, and (8) logistics requirements; you are right. Congratulations! If you answered differently, go back and study paragraph 3204 again. Lesson Summary. In this lesson you learned the essential elements for entries in the intelligence journal, in the intelligence workbook, and on SITMAPS. You learned as well the elements maintained in the order of battle file. In the next lesson you will learn about evaluating, integrating, and interpreting intelligence. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 4 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the four elements that must be included in each journal entry. a. b. c. d. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

3-19

2.

List the six information elements that must be included in each entry in the workbook. a. b. c. d. e. f. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

3.

State the levels of command echelons that must be displayed on the enemy SITMAP. ____________________________________________________

4.

List the eight information elements that must be maintained in the order of battle file. a. b. c. d. e. f. g. h. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Lesson 3. EVALUATING, INTEGRATING, AND INTERPRETING INFORMATION

Introduction. Your duty as an intelligence analyst requires you to convert a volume of information into unbiased and objective intelligence; in short, to produce combat intelligence. Production includes all activities by which processed information is converted into intelligence. The principal activities of production are evaluation, integration, interpretation, and testing. This lesson will introduce you to evaluating, integrating, and interpreting information.

3-20

LEARNING OBJECTIVES 1. 2. 3. 3301. List three tests by which information is evaluated. List two tests by which a source is evaluated for reliability. Define integration and interpretation. Evaluation

The aim of evaluation is to identify the degree of confidence that you place in an item of information. You also evaluate, separately, the source of that information. Evaluate the reported information first; then, if necessary, evaluate the information source. Note: Intelligence information (the end result of processing) is reevaluated at each receiving command.

All evaluation is accomplished at the lowest possible echelon--at whichever level is closest to the source. Thus, an analyst assigned to a battalion's intelligence section evaluates information reported through battalion sources, and an analyst at a regiment evaluates information reported through regimental sources. The only real difference is that higher echelons of command have control of, or access to, a greater number of collection assets and thus have a larger volume of information to evaluate. a. Evaluating information. Evaluate all the information your section receives in terms of pertinence, plausibility, and accuracy. Table 3-6 gives a brief definition of the meaning of these terms. Table 3-6. Summary of the Evaluation Tests MEANING Is the information relevant to the battle situation? Is the information reasonable and believable? How likely is the information To be factual?

EVALUATION TEST Pertinence Plausibility Accuracy

(1) Pertinence. First, determine if the information is relevant to the battle situation or if it is applicable to another situation.

3-21

If it is not relevant to either, you may either drop the matter or, depending on the content, postpone further production, since the information may represent intelligence relevant to an entirely different situation. (2) Plausibility. Next, determine whether or not the information is reasonable and believable based on your knowledge of the enemy. (3) Accuracy. The last step is to establish the degree to which the information can be accepted as fact. You do this by evaluating information sources and placing the degree of accuracy into one of the six categories shown in table 3-7 below. You can make a quick evaluation of accuracy by weighing an item's pertinency and plausibility, and then testing it for compatibility with your knowledge of the enemy. Intelligence resulting from hasty evaluation is categorized in only three categories: probable, possible, or improbable. Table 3-7. Categories of Information Accuracy

1 - CONFIRMED BY OTHER SOURCES 2 - PROBABLY TRUE 3 - POSSIBLY TRUE 4 - DOUBTFUL 5 - IMPROBABLE 6 - CANNOT BE JUDGED (a) Assign confirmed by other sources (1) only when you are certain that another source, or existing intelligence, corroborates (verifies) the information in a report. (b) Assign probably true (2) if you cannot establish that all the information in a report is confirmed by another source, but essential parts of the report are substantiated by available information. In this case, you can categorize even the unconfirmed parts of the report as being probably true. (c) Assign possibly true (3) when you cannot substantiate the reported information by available information, but the reported information agrees with the behavior you have observed from the enemy so far.

3-22

(d) Assign doubtful (4) when unconfirmed information contradicts the estimate, the development of the situation, or known enemy behavior and you cannot disprove the information by other available facts. (e) Assign improbable (5) to reported information that cannot be confirmed by available data and that contradicts previous experience or information that has been accepted as reliable. Improbable is also assigned to reports that contradict information that you have previously rated 1 or 2. (f) Assign cannot be judged (6) to reported information that you cannot rate in categories 1 through 5 using the criteria. If you said pertinency, plausibility, and accuracy, you are right. Congratulations! If you answered differently, go back and study paragraph 3301. b. Evaluating the reliability of information sources. You will normally not evaluate information sources except when an item of information is contradictory to proven intelligence or when an item of information has not been or cannot be confirmed. Usually, only personnel performing specific functions (HUMINT case officers and reporting officers) in the national intelligence community evaluate information sources. One of the most important reasons for following this procedure is that the sources are foreign military officers, social leaders, and political leaders whom our officers contact to obtain specific information. The case officer's evaluation is based entirely on the officer's previous experiences with that person. Tactical HUMINT personnel (CI and ITP) must also rate the information source. Note: When you evaluate the reliability of the source, remember you are actually determining the value of the source as an asset. You must not, in any way, allow your evaluation of that source to influence your evaluation of the information.

The main way to judge the reliability of a source or an agency is to look at your past experience with that source. Other factors that can assist your assessment include your knowledge of an agency's function and of the training and experience of personnel in that agency, unit, or element. As with the evaluation of information, evaluation of a source should be done at the lowest possible level--the one closest to the source. You evaluate source reliability by looking at two factors, credibility and dependability. (1) Credibility. Source credibility depends on the degree of the source's access to information and on the source's 3-23

plausibility. (a) Access. Start by asking yourself the following questions about access. 1. 2. Did the source have access to the information? Does the source hold a position (occupation, profession, office, rank) that would enable him or her to view, or have knowledge of, the reported information? Was the source in a location (place, site) to observe (see, read, inspect, watch) the reported information?

3.

(b) Plausibility (believability) Could the source, reasonably, have obtained the reported information in the given conditions or circumstances? (2) Dependability. Determine the dependability of the source by reviewing and categorizing your previous experiences with it. (a) Ask yourself the following questions about the source: 1. 2. Have you previously used the source to acquire information? If so, how frequently? How does the source react to tasking--does it respond dependably (unfailingly, frequently, occasionally, seldom, never)? Is the source successful--that is, does it report in a timely manner? Does it do so dependably (unfailingly, frequently, occasionally, seldom, never)?

3.

(b) After you've thought about these questions, use the alphabetical classification listed in table 3-8 on the next page to assign a reliability code to a source.

3-24

Table 3-8.

Source Reliability Codes

A - Completely reliable B - Usually reliable C - Fairly reliable D - Not usually reliable E Unreliable F - Reliability cannot be judged 1. Completely reliable (A) refers only to tried and trusted sources that have consistently performed dependably. This rating is assigned to sources that are known to have an extensive background in, long experience with, and current access to, the reported information. Usually reliable (B) refers to a trusted source that you have tasked in the past and that has proved to be dependable; there is, however, some doubt as to whether it could have acquired the information in the particular circumstance or situation. Fairly reliable (C) refers to a source that you task occasionally, and that has performed dependably in the past. In other words, you haven't tasked the source frequently enough to assign an A or B rating. Not usually reliable (D) refers to a source that you have used and has performed undependably more often than it has performed dependably. Unreliable (E) refers to a source that you have used in the past, and has consistently performed undependably. Reliability cannot be judged (F) refers to any source that you have not used in the past, or in such instances that another rating cannot be assigned.

2.

3.

4.

5.

6.

3-25

What are the two tests for evaluating the reliability of a source? ______________________________________________________ ______________________________________________________ If you said credibility and dependability, you're correct. If you answered differently, go back and study paragraph 3301b. c. Rating intelligence agencies and services. Intelligence agencies and services are generally rated A, B, or C, depending on the state of their training and experience. When both the source and a collection agency or production service are subjected to evaluation and they get differing ratings, only the lower rating is assigned. For instance, suppose a national service rated A releases an intelligence report based on information acquired from a defecting agent. The agent, on the other hand, is known to have had an extensive background in, long experience with, and current access to, the reported information but has never before been used as an asset. Since the agent is rated at F, the report must be rated F. d. Coding an evaluation. When you are disseminating intelligence to higher, lower, and adjacent units, you must include your evaluation of each item reported. This evaluation will be coded in letter and number form derived from the rating systems you've just studied. Use an alpha-numeric code based on your evaluation of the information and of the source to give a code which states your overall degree of confidence in an item of information. For example, you'd code an item of information as A-5 that you determine to be improbable based on comparison with other information, yet was reported by a highly reliable source. On the other hand, an item of information that you code E-1 describes your evaluation in a case where an unreliable source reported an item of information that, through confirmation by other sources, proved to be accurate. To reduce the possibility of a mistaken interpretation of the evaluation code, you should also state the meaning of each letter. 3302. Integration

Integration is the stage in production in which evaluated information is assembled, sorted, and combined to indicate patterns of behavior. When you make complete entries in the workbook and journal, you accomplish the physical aspect of integration. All that is left for you to do is to interpret the information you've recorded.

3-26

Write the definition of integration here. ___________________________________________________________ ___________________________________________________________

If you wrote that integration is the stage in production in which evaluated information is assembled, sorted, and combined to indicate patterns of behavior, you're right on target. 3303. Interpretation

Interpretation is the stage in intelligence production in which you identify the meaning of patterns from entries in the journal and workbook. You apply your knowledge of enemy doctrine and operational practices, the enemy situation, the specific area of operations, and the general principles of military operations to form a logical picture of the enemy's likely activities, of the influences of the terrain on his and your unit's operations, and how both can affect your unit's mission. Then, you develop an initial theory on the meaning of the patterns of enemy intentions. Note: The process of interpretation must be as completely objective as possible to avoid tarnishing the intelligence that results. It requires judgment and a suppression of prejudices, desires, preconceived opinions, personal preferences, and other subjective elements of the human character that are a result of our experiences. Integration and interpretation are prerequisites to analysis. a. Determining the significance of information. the significance of information, establish To determine

(1) The meaning of the information in relation to current enemy capabilities and its possible effect on the mission and operations of your unit. (2) Whether, and to what extent, the information alters or adds significantly to existing intelligence. (3) Whether, and to what extent, the information tends to confirm or negate existing intelligence estimates. b. Determining the effect on the current intelligence estimate. Once you determine the significance of the information, you can draw conclusions about the enemy's capabilities.

3-27

These improved interpretations will enable you to alter, confirm, or discard previous theories or improve the intelligence you have previously disseminated. Write the definition of interpretation here. _____________________________________________________________ _____________________________________________________________ If you wrote using the patterns you identified during integration to determine the significance of the information and how it affects the current intelligence estimate, you are right on target. If your answer was much different, you should review paragraph 3303. Lesson Summary. In this lesson you learned the three tests by which information is evaluated and the two tests by which a source is evaluated for reliability. You also defined integration and interpretation as applied to intelligence. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 4 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the three tests by which information is evaluated. a. b. c. ________________________________________________ ________________________________________________ ________________________________________________

2.

List the two tests by which a source is evaluated for reliability. a. b. ________________________________________________ ________________________________________________ _______________________________

3.

Define integration.

____________________________________________________ ____________________________________________________

3-28

4.

Define interpretation.

____________________________

____________________________________________________ ____________________________________________________ Lesson 4 ANALYZING AND TESTING INFORMATION

Introduction. Analysis is, in effect, an extension of interpretation. You will perform analysis using all available means within time limitations imposed by using echelons. The major difference is that analysis, which is begun from intelligence information (instead of raw information) seeks to define specific conditions (components, factors, actions) that must be satisfied or accomplished before a specific circumstance, situation, or event can progress to completion. Analysis is a methodical process which begins with the sifting and sorting of evaluated information to isolate significant patterns of activity and other elements (integration). It continues through the interpretation of those patterns and ends with the dissemination of tested intelligence--the reporting of validated facts to senior echelons and agencies. The process requires a thorough knowledge of the principles of military operations, a knowledge of the enemy situation, the doctrinal characteristics of enemy operations and of his past operating practices, as well as an extraordinary awareness of terrain, climatic, topographic, and other environmental factors in the area of operations. Even at the lowest echelons, analysis, therefore, involves detailed research. To avoid complications and to conserve time and effort, focus your analysis on those factors that pertain to or support your unit's assigned mission. Depending on the nature of a specific problem, you may delegate analysis to attached specialists--to the FIIU, ITP, or TOPO team, or to independent, special purpose teams which may have been assembled at senior echelons. LEARNING OBJECTIVES 1. 2. 3401. List the six principal tasks in analysis. List the steps you must complete to determine an enemy course of action. Analytical Tasks

Analysis is a complex, challenging process. The principal analytical tasks that you will do are listed in the following chart. 3-29

Table 3-9.

Analytical Tasks

Establish a foundation of knowledge Formulate a hypothesis Test the hypotheses Evaluate the results Record the process Disseminate the resulting intelligence Let's look at each of these tasks in greater detail. a. Establish a foundation of knowledge. This foundation of knowledge is based on your study of the enemy, the terrain, and other information. You will have partially established your base of knowledge through recording, evaluating, integrating, and interpreting information. Add to it by studying the historical, sociological, and political origins of the conflict. You should also study friendly force equipment, tactics, and other information. (1) Recognize uncertainties. Identify areas where information is lacking--this involves identifying where the information is needed (database, memory, and so on) and identifying the kind of information needed to help make the information you already have more accurate and complete. (2) Anticipate requirements and objectives. You know that many requirements will be identified during planning. Anticipate others by recognizing plausible specific events and conditions that could affect friendly operations. Filter out events and conditions not likely to affect operations. (3) Gather and evaluate information. Assemble existing information and collect information to satisfy announced and anticipated requirements and objectives. Evaluate all gathered information. b. Formulating a hypothesis. A hypothesis is an informed guess you make to supply a plausible explanation for a specific succession of events or actions. A hypothesis may function as a working guide for analysis of the situation. When appraised in the light of proven facts, the hypothesis may be deemed highly probable if the facts support it. If they don't, you must revise or replace your hypothesis.

3-30

A hypothesis, then, states a reasonable theory regarding a specific enemy operational mission. Supported by your knowledge of the enemy force and the combat situation, you will originate hypotheses from the intelligence you develop. This intelligence will come from messages and reports you receive in your section and from various databases. You will then determine an order of precedence (likelihood of occurrence) for the action proposed in each piece of intelligence and assess the probable effect of the actions or events detailed in the intelligence on your unit's operations. Formulating a hypothesis includes determining the indications that should exist if the hypothesis is valid. The hypothesis should explain why particular events are taking place. c. Testing hypotheses. Use indicators to test, (validate or invalidate) your hypothesis. Indicators are observed events or actual battlefield data that help to confirm or negate propositions you made during your intelligence efforts. Begin formulating your hypothesis with a model, with a list of potential courses of enemy action. Break each course of action into the events (indicators) which must occur before the particular action can take place. Collecting this information permits the testing of your hypothesis that a given course of action is taking place or is being planned. Try to confirm your hypothesis with multiple observations. Collect multiple indicators to document several different propositions. d. Evaluating results. The result of analysis is a collection of accepted and rejected hypotheses supported by measurable, validated indicators. To evaluate the results, you will first review the validity of the analytical steps you followed to arrive at the hypothesis. You will then re-examine the hypothesis for validity. Finally, you will shape the hypothesis and the supporting evidence into a logical sequence e. Recording the process. Make a record of significant information you used to develop and test the hypothesis so that other personnel can use the information. f. Disseminating the resulting intelligence. Lastly, you will communicate, or submit for communication, the intelligence you have produced. (1) Mold the intelligence into the form--a periodic or special report, briefing, and so on--by which the intelligence will be communicated. The form must satisfy the user's requirements, objectives, and time constraints. (2) Communicate the intelligence. Give the briefing, place the report into circulation, etc. (3) The intelligence you produce may be disseminated by message, in a revised intelligence estimate, a formal or informal intelligence briefing, on maps, overlays, and other graphics, or as short answers to specific questions. 3-31

You must, therefore, learn to communicate (that is, speak and write) clearly, effectively, and articulately, because even the most accurate and timely intelligence is worthless if its users cannot understand what is being communicated. Do you recall the six principal skills you will use in analysis? List them in the spaces provided. a. b. c. d. e. f. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________

If you said that the six principal skills are (a) establishing a foundation of knowledge, (b) formulating a hypothesis, (c) testing the hypothesis, (d) evaluating the results, (e) recording the process, and (f) disseminating the resulting intelligence, you are correct. Congratulations! If you answered differently, go back and review paragraph 3401. Intelligence has to be produced. It is sometimes assumed that the analysis is driven mostly by data. This would imply that intelligence can be obtained by examining all relevant information about the battlefield and the enemy, and that the analyst can then construct a model of what is taking place now and what will take place in the future. In truth, intelligence is not found in a database; it is developed and produced by an intelligence analyst. You must select pertinent data. The amount of data generated on the battlefield is too enormous for even a team of analysts to fully process. To help reduce the volume of information to a manageable size, concentrate on those actions and events relevant to current specific circumstances. Note: Remember that intelligence is productive only when it is delivered to its user in time and in a form that can be effectively used.

3-32

3402.

Enemy Course of Action

Use the analytic process you've just studied to determine enemy courses of action. Being able to accurately predict enemy courses of action is a significant advantage on the battlefield. a. Determining a likely enemy course of action. To determine a likely enemy course of action in a given circumstance, you must think through the enemy's war plan, as if you were the enemy commander, to most effectively determine those activities that must occur before a given action or objective can be undertaken. You will use your knowledge of enemy doctrine and character, his past operating practices, your cumulative experience, and the experience of the entire intelligence community to determine what evidence is required before your hypotheses can be accepted or rejected. To determine a likely course of enemy action, take these steps: Table 3-10. Determining Enemy Actions

Identify all actions the enemy could pursue Choose the most likely enemy actions Prioritize each of the most likely enemy actions Develop hypotheses for probable enemy actions Identify patterns for each enemy activity Test your hypotheses (1) Identify the actions that the enemy could realistically pursue at the time in question. (2) Choose the most likely actions. Narrow that field of identified possible actions to those that are important or likely from the enemy commander's perspective. (3) Place actions in their most likely order. Prioritize those probable courses of action in an order ranging from the most advantageous to the least advantageous, again from the enemy's perspective. (4) Develop hypotheses. Develop a statement (your hypothesis) that reveals the enemy's intent for each action. Will the enemy defend, reinforce, attack, withdraw, delay, or employ special weapons (nuclear, biological, or chemical (NBC)). This assessment is known as DRAW-DE. The statement of enemy intent is your working hypothesis.

3-33

(5) Identify patterns of activity (intelligence indicators) that must precede each action described by the hypotheses. (6) Test your hypotheses. Task or levy collection against the intelligence indicators. Continue recording, evaluating, integrating, interpreting, and disseminating the results. d. The analyst's influence. As an analyst, you do not make operational decisions. You will, however, influence operational decisions through the intelligence concerning the enemy's intentions, forces, the operational situation, and the terrain that you produce for your commander. Do you remember how to determine a likely course of enemy action? List the six steps in the spaces provided below. a. _____________________________________________________ b. _____________________________________________________ c. _____________________________________________________ d. _____________________________________________________ e. _____________________________________________________ f. _____________________________________________________

If you answered (a) Identify the actions the enemy could pursue, (b) Choose the enemy's most likely actions, (c) Prioritize each of the most likely actions, (d) Develop a hypothesis to explain the enemy's intent for each action, (e) Identify the patterns for enemy activity, and (f) Test the hypotheses, you are correct. Congratulations! If you answered differently, go back and study paragraph 3402. Lesson Summary. In this lesson, you have examined the analytical process in terms of the principal tasks you will perform when analyzing information. You have also learned how to determine the likely course of enemy action.

3-34

Exercise:

Complete items 1 and 2 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the six principal tasks in analysis. a. b. c. d. e. f. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ _________________________________________________

2.

List the steps you must complete to determine an enemy course of action. a. b. c. d. e. f. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

UNIT SUMMARY In this study unit, you learned how to process information and produce intelligence. You examined selected processing facilities including the IAS and the IIF and you examined the standard documents used to record information. You learned that analysis is an activity through which raw information is converted into intelligence information. You also learned that analysis is a complex process that begins with the sifting and sorting of evaluated information to isolate significant elements and ends with determining the significance of those elements to the mission and operations of your command. In the next study unit you will learn how intelligence and intelligence information is disseminated.

3-35

Lesson 1 Exercise Solutions Reference 1. 2. 3. 4. 5. 6. a d c b IIF IAS Table Table Table Table 3101b 3101a 3-1 3-1 3-1 3-1

Lesson 2 Exercise Solutions Reference 1. a. b. A brief summary of the event The identity of the originating unit, and, when applicable, a reporting individual's unit, duty position, and section The time the message or report was received or transmitted The disposition of the message or report and actions taken in response A summary of the item, event or activity The journal number and journal entry number for that item The DTG of the event or observation The originator of the report Your evaluation of the information and, when applicable, your evaluation of the source Notes on your analysis of the report and entries in any other section of the workbook 3203a 3201b

c. d.

2.

a. b. c. d. e.

f.

3.

The SITMAP displays enemy units at echelons one level higher and two levels lower than your unit.

3-36

4.

a. b. c. d. e. f. g. h.

organization strength commanding officer unit history and experience training status and combat readiness tactics principal equipment logistics requirements

3204c

Lesson 3 Exercise Solutions Reference 1. a. b. c. a. b. pertinency plausibility accuracy credibility dependability 3301a

2. 3.

3301b 3302

Integration is the stage in production in which evaluated information is assembled, sorted, and combined to indicate patterns of behavior. Interpretation is using the patterns you identified during integration to determine the significance of the information and how it affects the current intelligence estimate.

4.

3303

Lesson 4 Exercise Solutions Reference 1. a. b. c. d. e. f. 2. a. b. c. d. e. f. Establishing a foundation of knowledge Formulating a hypothesis Testing the hypothesis Evaluating results Recording the process Disseminating the intelligence Identify actions the enemy could pursue Choose the most likely enemy actions Prioritize each of the most likely enemy actions Develop hypotheses for probable enemy actions Identify patterns for enemy actions Test your hypotheses 3-37 3401

3402c

STUDY UNIT 4 DISSEMINATION Introduction. Dissemination is perhaps the most crucial phase in the intelligence cycle. No matter how detailed and accurate intelligence may be, it has little value until it has been transmitted to other Marines. One of the most commonly heard complaints about intelligence is that the operating unit seldom receives what is actually needed, and, in most cases, when the information arrives, it is too late to be useful. In this study unit you will learn the general and special considerations in the dissemination of intelligence. You will also learn the purposes and natures of the standardized reports and other documents used to disseminate intelligence. Finally, you will learn how to prepare and deliver an intelligence briefing. Note: Failure to disseminate the intelligence you produce can defeat a thorough and successful intelligence effort. The purpose of dissemination is to provide useful intelligence in a timely manner. GENERAL AND SPECIAL CONSIDERATIONS

Lesson 1.

LEARNING OBJECTIVES 1. 2. 3. 4101. List the three general considerations for disseminating intelligence. List the four special considerations for disseminating intelligence. List the two circumstances in which security requirements may be overridden when disseminating intelligence. General Considerations

a. You must ensure that the intelligence in your possession is disseminated to appropriate agencies, services, organizations, and units according to their individual needs and/or interests. The intelligence you disseminate to any unit should contain only those items that satisfy that unit's general and specific intelligence needs and interests. b. Intelligence must be disseminated as soon as possible. The nature of the intelligence, as determined by its specific context and content, will prescribe the urgency (routine, priority, immediate, or flash) and the sequence (precedence) in which it is transmitted. Dissemination of intelligence to senior commands is normally accomplished according to a predetermined reporting schedule. A specific condition or situation, however, may dictate an unscheduled distribution of a report. 4-1

c.

Avoid disseminating unnecessarily bulky or wordy reports. State the information as briefly as possible to avoid tying up the communication link and to help prevent enemy forces from detecting (and compromising) your unit's communications.

In the spaces below, write the three general considerations for disseminating intelligence. 1. ________________________________________________________ ________________________________________________________ 2. 3. ________________________________________________________ ________________________________________________________

That's right, the three general considerations for disseminating intelligence are as follows: (1) The intelligence must satisfy the general and specific intelligence needs of the organizations that receive it, (2) it must be disseminated as soon as possible so that the information can be distributed, and (3), intelligence must be in reports that are as concise as possible. If your answers were very different, please review paragraph 4101. 4102. Special Considerations

The special considerations when disseminating intelligence are timeliness, usability of form, pertinence, and security. A brief definition of each of these considerations follows after this review. Can you remember the four special considerations in dissemination? Write them in the spaces below. ___________________________ ___________________________ _____________________________ _____________________________

If you wrote that the four special considerations in dissemination are timeliness, usability of form, pertinence, and security; you're right. Congratulations! If you answered differently, you should go back and study paragraph 4102 again.

4-2

a. Timeliness. Intelligence and combat information must be disseminated to, and received by, using units in time for them to plan, prepare, and initiate an appropriate reply, action, or counteraction. The standard methods for timely dissemination are as follows: (1) Telecommunications links. During initial planning, planners anticipate and identify the requirements for rapid and timely communications and make arrangements for the necessary equipment. The resulting communication plan satisfies these requirements by using available or, if necessary, augmented communications equipment. FMFM 3-1 addresses planning for intelligence communication. This planning involves using communications links such as telephone and wire networks (nets), command nets, coordination nets (air, fire support, etc.), intelligence nets, imagery dissemination nets, general service (GENSER) nets, and alternate communication links such as special security communications. Even such detailed planning, however, may not always meet the unit's actual needs or ensure the timely dissemination of intelligence, especially in an electronic warfare environment. In this particular environment, the enemy is intruding into, interfering with, or jamming radio frequencies. The detailed planning may also fail to meet intelligence needs when your unit is under an emissions control (EMCON) condition (radio silence) imposed for security reasons or by a senior command. (2) Physical communications links. You may use messengers, couriers, or military mail services when and where they are feasible, especially to disseminate bulky or less time-sensitive intelligence or intelligence products. You should coordinate use of courier (or messenger) and military mail services with the administrative section (S-1). (3) Personnel liaison. If the situation and/or section manpower permit, you can dispatch a member (or members) of the intelligence section to make liaison with subordinate, adjacent, or senior commands to communicate the intelligence. You should also encourage, if not require, appropriate representatives of subordinate units to make liaison with the intelligence section as frequently as the situation permits. Note: The method of dissemination affects timeliness!

b. Usability of form. You must ensure that the intelligence produced in your section is disseminated in an appropriate form. This depends on the urgency of the intelligence (or information), the user's stated or perceived intelligence needs, and all security constraints. 4-3

The format will vary according to the user's specific requirements or preferences, the framework, extent, and character of the intelligence, and the available means for dissemination. To select the most suitable dissemination method, you must match the nature and urgency of the intelligence with the best means of disseminating it. Table 4-1 discusses the standard ways to disseminate intelligence. Table 4-1. MEANS OF DISSEMINATION Written Standard Ways to Disseminate Intelligence DESCRIPTION Includes a variety of intelligence reports, summaries, documents, and studies. Consists of all annotated or unannotated overlays, photographs, sketches, graphs, and other picture-like documents or products. Consists of all spoken communication including formal and informal briefings, question and answer sessions, telephone conversations, radio transmissions, etc. Involves two or more of the first three ways. The traditional intelligence briefing is a classic example of the combined form: The intelligence is communicated orally with graphic reinforcement using photographs, overlays, or other graphic materials as visual aids.

Graphic

Oral

Combined

c. Pertinence. Although you should be eager to disseminate intelligence, you should avoid becoming overly enthusiastic. Some analysts have, in effort to keep everyone informed, attempted to disseminate every item of intelligence to every agency, service, command, organization, and unit in a chain of command. Although their intention may have been good, such action can burden both communications links and operators. Even worse, many of the receiving units have to sort through unnecessary information to get the information they actually need or want. (1) The intelligence you disseminate to subordinate units should be selective. Distribute only those items that are (or could be) important to those units.

4-4

Ensure that the intelligence satisfies the units' stated or perceived needs, and/or supports their operations against the enemy. Information that does not meet these criteria is either "nice to know" (and therefore unneeded) or is totally irrelevant. (2) On the other hand, you must not be selective about the intelligence you disseminate to senior (and adjacent) units. You must communicate all the intelligence you have produced or acquired. (3) The intelligence requirements of subordinate units change rapidly due to changes in the battle situation. Spending a lot of time developing and disseminating highly detailed intelligence causes unnecessary delay which in turn affects both the timeliness and pertinence of the information. This simply means that preparing and disseminating more brief reports is better than preparing and disseminating fewer, longer ones. Note: The pertinence of an item of intelligence to a particular unit will change as the situation changes.

d. Security. Obviously, if you reveal what you know about an enemy, he will either change plans or increase his counterintelligence effort; more than likely, he will do both. Therefore, select a means and form of dissemination that will provide appropriate information security. Deny unauthorized persons any valuable information that they might gain from the improper receipt or interception of your communications. The requirement for information security can be overridden when: (1) The information is so critical that it must be communicated immediately. (2) The unit's need for the information is extremely urgent. List the two circumstances in which security requirements may be overridden when disseminating intelligence. 1. 2. _________________________________________________________ _________________________________________________________

If you answered: (1) when the information is so critical that it must be communicated immediately, and (2) the unit's need for the information is extremely urgent, you are correct. You may continue if you answered correctly; if you didn't, perhaps you should review paragraph 4102d. Other factors relative to dissemination that you should consider but which were not discussed are the user's requirements and the limitations imposed by the means of dissemination. 4-5

Lesson Summary. Intelligence must be disseminated in a form or combination of forms that permits those who will receive it to use the intelligence rapidly. The forms vary according to the user's requirements, the urgency and nature of the intelligence, and the available means of dissemination. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 3 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the three general considerations for disseminating information. a. ________________________________________________ ________________________________________________ b. ________________________________________________ ________________________________________________ c. ________________________________________________ ________________________________________________

2.

List the four special considerations for disseminating intelligence. a. b. c. d. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

3.

List the two circumstances when security requirements during dissemination may be overridden. a. b. ________________________________________________ ________________________________________________

4-6

Lesson 2.

INTELLIGENCE REPORTING

Introduction. You have already learned the general and special considerations for dissemination and the circumstances under which security requirements may be overridden. In this lesson, you will learn the purposes and nature of various reports and documents used to disseminate intelligence. Note: Standardized formats for the reports and documents discussed in this lesson are contained in FMFM 3-21, MAGTF Intelligence Operations.

LEARNING OBJECTIVES 1. 2. 3. 4. List the five paragraph topics of the intelligence annex (annex B). Given a list of standard appendixes to an intelligence annex, match the name of the appendix with its number. List the five principal paragraphs of the intelligence estimate. Name the four reports that are used to disseminate intelligence to senior, adjacent, and subordinate commands. List the five miscellaneous intelligence reports most frequently processed for intelligence value. List three examples of miscellaneous intelligence documents and studies available for your use in production. Intelligence Annex

5. 6.

4201.

The intelligence annex (annex B to an operation order or an operation plan) is prepared in accordance with the standardized format given in FMFM 3-21 or in your unit's SOP for intelligence. In general, it is a planning document that supports the development of concepts of operations in the objective area. The annex lists the command's essential elements of information (EEIs), assigns collection orders to subordinate commands and collection requests to higher commands before or during the initial phases of an operation, provides guidance for the handling of enemy prisoners of war (EPW's), captured documents and material, and confirms orders or guidance that are still current when the annex is issued. 4-7

The intelligence annex also provides for the implementation of security measures. The annex is organized into five paragraphs: a. Mission and concept of intelligence operations. The first paragraph discusses the intelligence mission in relation to the planned operation. The intelligence mission is based on the command's mission statement. The paragraph then addresses the purposes of intelligence operations and summarizes the means and agencies that will be employed to collect information before and during the execution of the operation plan. b. Situation. The second paragraph contains information that summarizes the detailed information presented in the appendixes and other pertinent documents. By presenting a summary of significant details, it simplifies the operational decision making process. Specific factors addressed in the paragraph are illustrated in table 4-2. Table 4-2. Factors Addressed in Paragraph 2 of the Intelligence Annex SUMMARY of CONTENTS Describes conditions in the area of operations in terms of their influence on the commands concept of operations. This factor references Appendix 8, Tactical Analysis of Weather and Terrain. Summarizes enemy capabilities and courses of action, considering the influences of weather, terrain, and other factors addressed in paragraphs 1 and 2. Makes specific reference to Appendix 7, the Intelligence Estimate.

FACTOR Characteristics of the area of operations

Estimate of enemy capabilities

Note:

Each subparagraph refers to specific appendixes, usually 5, 7, 8, 9, and 10, as necessary. The summary information presented in the subparagraphs should not be a duplication of the information presented in an appendix.

c. Intelligence activities. The third paragraph identifies intelligence resources that are not discussed in pertinent appendixes; it also discusses the intelligence efforts required to support the operation plan. In addition, it specifies the intelligence needed to satisfy the command's requirements and identifies aspects of intelligence operations that must be emphasized to support the operation. These aspects include recording, reporting, dissemination, collection, direction, etc.

4-8

As in previous paragraphs, the information presented here is not a repetition of the detailed information contained in the appendixes. d. Assignment of intelligence tasks. The fourth paragraph identifies intelligence tasks that are not discussed in the appendixes. It also provides clarifying and/or amplifying information and instructions that are not discussed in the appendixes. Table 4-3 illustrates the factors addressed. Table 4-3. FACTOR Orders to subordinate Commands and attached units Requests to higher and adjacent units Factors Addressed in Paragraph 4 of the Annex SUMMARY of CONTENTS A list of the specific collection tasks and objectives assigned to each subordinate and attached unit. A list of the specific collection tasks and objectives that are designated for collection by senior agencies and resources. Provides detailed coordinating information concerning the collection, processing, and dissemination of collected information and the dissemination of intelligence produced within the command. These instructions also address specific reporting activities including identifying required reports and their dissemination.

Coordinating Instructions

e. Miscellaneous instructions. The last paragraph lists, in separate subparagraphs, instructions, orders, and items of amplifying information that have not been addressed in the appendixes or in previous paragraphs. It also addresses intelligence procedures that require actions and activities different from those established in SOP's. Table 4-4 provides examples of the topics and factors that may be addressed.

4-9

Table 4-4.

Examples of Factors Addressed in Paragraph 5 of the Annex SUMMARY of CONTENTS Provides details concerning the augmentation of personnel assigned to the command to support the operation. Provides details concerning the coordination of weather forecast support and the dissemination of weather publications, including forecasts and weather reports. It also assigns weather collection and reporting responsibilities and addresses additional topics as needed.

FACTOR Augmentation

Weather Service Plan

Can you recall the topics addressed in the five paragraphs of the intelligence annex? If so, write them in the spaces provided below. a. b. c. _________________________ _________________________ _________________________ d. e. ______________________ ______________________

If you answered (a) mission and concept of intelligence operations, (b) situation, (c) intelligence activities, (d) assignment of intelligence tasks, and (e) miscellaneous instructions, you are correct. Congratulations! If you answered differently, go back and study paragraph 4201. 4202. Appendices to the Annex

There are thirteen standard appendices that are published with the intelligence annex. They may also be disseminated separately, published under another cover, or distributed later. If there is no need for a certain appendix, it may be omitted from the publication. Table 4-5 provides a summary of each of the thirteen appendices; for more detailed information, refer to FMFM 3-21.

4-10

Table 4-5. No 1 APPENDIX NAME Essential Elements of Information

Appendices to the Annex CONTENS

Identifies the intelligence requirements (EEIs and OIRs) that are essential to the successful execution of the planned operation. It also lists all agencies participating in the collection effort. It specifically instructs all elements within the command to report information pertinent to any identified requirements. Provides information and direction about the collection, exploitation, production, and dissemination of signals intelligence and SIGINT activities.

Signals Intelligence

The standard tabs to appendix 2 are: Tab A Tab B Tab C Allocation of SIGINT Units and Resources Special Intelligence Communications (SPINTCOM) Support SIGINT Reporting Instructions

Appendix 2 is usually prepared only in MAGTF headquarters elements and at division/wing level. 3 Counterintelligence Identifies and discusses general counterintelligence objectives and the guidance needed to accomplish the commands mission. It addresses the enemys intelligence situation in detail. The appendix also provides information and operations security programs.

The standard tabs are: Tab A Counterintelligence Estimate. This is similar in purpose and function to the Intelligence Estimate. Passwords and Countersigns. This tab lists the primary and alternate challenges to be used throughout the command.

Tab B

4-11

Table 4-5. No

Appendixes of the Intelligence Annex--cont'd. CONTENTS

APPENDIX NAME

Appendix 3 is usually produced by counterintelligence specialists. It is prepared only at MAGTF headquarters elements and at division/wing level. 4 Targeting Names or identifies potential targets in the objective area that naval gunfire, artillery, and aircraft can engage. It provides an overview of targeting principles, explaining of targeting process and the identification and analysis of targets. It also prescribes responsibilities in the targeting effort. These include mission briefing and debriefing, damage assessment, and special operations targeting.

The standard tabs are: Tab A Tab B Target List. This tab designates the target selected for engagement by units of the command. Target Analysis. This tab provides detailed information concerning the factors and procedures involved in selecting and attacking a target. Special Operations Targeting. This tab provides detailed information about targeting in support of special operations. Provides information about the MC&G requirements of the command, the availability of MC&G products, and the commands MC&G productions capabilities. It assigns specific MC&G and to supporting agencies. It also provides instructions, guidance, also responsibilities for requesting and storing MC&G products.

Tab C

Mapping, Charting, and Geodesy (MC&G)

The standard tabs are: Tab A Tab B Tab C Mapping, Charting, and Geodesy Requirements List Mapping, Charting, and Geodesy Transportation Requirements Mapping, Charting, and Geodesy Reports.

4-12

Table 4-5. No 6

Appendixes of the Intelligence Annex--cont'd. CONTENTS Provides planning guidance and coordinating instructions for HUMINT operations in the objective area. This appendix identifies HUMINT organizations, collection activities, and functions and plans. It identifies the collection requirements that human intelligence assets will fulfill. It also establishes command responsibility for HUMINT in the MAGTF headquarters and prescribes coordination authority for HUMINT operations and activities to the MAGTF headquarters intelligence section.

APPENDIX NAME Human Intelligence

7 8

Intelligence Estimate Tactical Analysis of Weather and Terrain

Refer to paragraph 4203 Gives an analysis of how the anticipated weather will affect terrain conditions in the objective area. It considers the advantages and disadvantages of the anticipated weather and terrain conditions on both enemy and friendly courses of action.

The standard tabs are: Tab A Tab B 9 Terrain Study Climate Study Each subparagraph presents a detailed study of a single landing beach with-in the area of operations. Statistical data, such as beach surveys; and graphics, such as beach diagrams and photographs, may be added to each subparagraph as tabs.

Beach Studies

The standard tabs are: Tab A Tab B Hydrographic Surveys Beach Diagrams or Photographs

A Beach Reconnaissance Report or Engineer's Beach Survey may be substituted for the Hydrographic Survey.

4-13

Table 4-5. No 10

Appendixes of the Intelligence Annex--cont'd. CONTENTS Each subparagraph presents a detailed study of a single area that is a suitable landing site in the area of operations. Applicable supporting information may be added.

APPENDIX NAME Helicopter Landing Zones

The standard tab is: Tab A 11 HLZ Diagrams or Photographs Provides information on the mission(s) and concepts of operations for reconnaissance and surveillance elements.

Reconnaissance and Surveillance Plan

The standard tabs are: Tab Tab Tab Tab Tab A B C D E Ground Reconnaissance and Surveillance Plan Visual Aerial Reconnaissance and Surveillance Plan Aerial Imagery Plan Sensor Surveillance Plan The Unmanned Aerial Vehicle Plan

Information about the employment of each asset and other information may be attached as enclosures to each tab. 12 Interrogator-Translator Platoon Employment Plan Presents information on the use of ITP assets by team. It also gives coordinating instructions for the support of an EPW or interrogation campground. Gives a concise overview of SERE objectives and the ways to accomplish them. It also gives specific guidance, procedures, and responsibilities for SERE within each echelon of the command.

13

Survival, Evasion, Resistance, and Escape (SERE)

The standard tab is: Tab A Safe Areas. Information about dangerous wildlife, poisonous plants, and "survival oriented" material may be presented in additional tabs.

4-14

Try to remember all of the names of the appendixes of the intelligence annex from table 4-5. Write as many of them as you can in the chart below. NO 1 2 3 4 5 6 7 Good! I'll bet you remembered most, if not all, of them. Take a minute to review table 4-5 to check your work. If you need to, spend some more time to study what you missed before continuing the lesson. NAME NO 8 9 10 11 12 13 NAME

4-15

4203.

Intelligence Estimate

The intelligence estimate is a logical and orderly examination of specific factors that can affect mission accomplishment. It provides an analysis of the area of operations (AO), the military situation, and the enemy capabilities. It is also a basis for disseminating intelligence relevant to operational planning. The intelligence presented in the estimate is intended to help the unit commander prepare his estimate of the situation and his intentions or his chosen course of action. Portions of the estimate (paragraphs 4 and 5) are developed and used in hasty planning, especially in crisis situations. The estimate is usually produced at division or higher headquarters and disseminated downward. The intelligence section of an operating regiment, battalion, or expeditionary organization, however, frequently produces intelligence estimates to enable the unit commander to make informed operational decisions. Changing events make it necessary to update intelligence estimates continuously to incorporate changes in the military situation, enemy capabilities, and the area of operations. Overlays, plots, and other graphics are tabbed to the estimate as required. Refer to FMFM 3-21 for additional information. a. Topics addressed in the intelligence estimate. The topics addressed in the five main paragraphs of the intelligence estimate are as follows: (1) Mission. The first paragraph is a restatement of the unit's assigned task. (2) Area of operations. The second paragraph is an assessment of specific operating conditions in the objective area. This paragraph illustrates the effects of those conditions on the enemy's capabilities and courses of action as well as on the ability of friendly forces to accomplish their mission. Tables 4-6 through 4-9 discuss the operating conditions highlighted in this paragraph.

4-16

Table 4-6.

Subparagraph 2a, Characteristics of the Area of Operations CONTENTS Topography, hydrography, and climate and weather in the area of operations Air, ground, and water routes of communication. In particular, the information deals with the availability, capabilities, limitations, and locations of routes including principal terminals. The locations, availability, capabilities and limitations of long-range national and international communications facilities, systems, terminals, interchanges, and stations. In addition to telephone an telegraph facilities, such systems include radio and television transmitters and stations. The form and operation of the foreign government and the personalities involved with it The workings of the foreign economy; its base, how it functions, what it produces, and its capabilities and limitations The forms of the foreign society; its peoples, their educational system and social classes, ethnic groups, customs and courtesies, languages, social problems, and causes of unrest, etc. The nations scientific and technological capabilities and limitations--especially its weapons, production industries (including special weapons), and noteworthy scientific and technological accomplishments

CONDITION ADDRESSED Military Geography Transportation

Telecommunications

Politics

Economics

Sociology

Science and Technology

4-17

Table 4-7.

Subparagraph 2b, The Enemy Military Situation (Ground, Naval, and Air Services) CONTENTS Enemy forces committed to and enemy reinforcements in or near the area of operations. The make-up of enemy forces Locations of enemy force concentrations, defensive positions, etc. Enemy force movements and activities Locations of enemy force concentrations, defensive positions, etc. Assessment of enemy capability to launch tactical or intercontinental ballistic missiles Assessment of the operational rates of the aircraft in the enemy inventory Assessment of each type of the enemys combat vessels Assessment of the characteristics of significant equipment Assessment of enemy capabilities and limitations in this area Assessment of enemy capability to wage NBC warfare, particularly the capabilities of each weapon of each type available to the enemy Location, type, and range Assessment of the enemys significant strengths and weaknesses A brief overview of these activities

CONDITION ADDRESSED Strength

Composition Location and Position

Movements and activities Logistics

Operational capability to launch missiles Serviceability and operational rates of aircraft Operational capabilities of combat vessels Technical characteristics of equipment Electronics intelligence Nuclear and chemical, biological, and radiological weapons Air defense Significant strengths and weaknesses Recent and present significant activities

4-18

Table 4-8.

Subparagraph 2c, Enemy Unconventional and Psychological Warfare Capabilities CONTENTS Existing forces and their ability to wage guerrilla warfare Enemy capabilities in and its potential for subversion Enemy capabilities in and its potential for sabotage Enemy capabilities in and susceptibility to psychological warfare

CONDITION ADDRESSED Guerrilla warfare Subversion Sabotage Psychological Warfare

Table 4-9.

Subparagraph 2d, Enemy Intelligence and Counterintelligence Activities CONTENTS This subparagraph is basically selfexplanatory. It identifies the enemys intelligence and counter- intelligence operating methods, means, and sources.

CONDITION ADDRESSED Intelligence and counterintelligence Activities

(3) Enemy capabilities. The third paragraph of the intelligence estimate addresses individually all of the enemy military courses of action (defend, reinforce, attack, withdraw, delay, employ special weapons) that could affect the accomplishment of the mission. (4) Analysis of enemy capabilities. The fourth paragraph of the intelligence estimate describes the capabilities listed in the previous paragraph and analyzes each capability according to selected conditions in the operational environment; these are the conditions discussed in tables 4-5 through 4-7. Based on these conditions, the analysis also seeks to determine the relative order in which the enemy force is likely to undertake the courses of action just listed in 4203a(3) above. Perhaps most important, the information in this section also demonstrates the effect that each course of action would have on the friendly force and the accomplishment of the assigned mission.

4-19

(5) Conclusions. Having identified and discussed enemy capabilities and courses of action that can affect the accomplishment of the mission, the last paragraph restates the enemy vulnerabilities and most likely courses of action. Recommends friendly actions that would be most likely to succeed, and concludes the discussion of actions and reactions of the enemy force. b. Tabs to the intelligence estimate. Materials necessary to support or clarify the information presented in paragraphs 2 through 5 of the intelligence estimate may be presented as tabs to the estimate. These materials may include such items as a terrain analysis study, graphs, overlays, photographs, plots, extracts from encyclopedic references, statistical data, etc. Do you recall the topics discussed in the five principal Paragraphs of the intelligence estimate? Write them in the Spaces provided below. __________________________ __________________________ __________________________ __________________________ __________________________

If you answered mission, area of operations, enemy capabilities, analysis of enemy capabilities, and conclusions, you are correct. Congratulations! If you answered differently, you may wish to go back and study paragraph 4203. 4204. Standard Intelligence Reports

The four standard reports used to rapidly disseminate intelligence are the intelligence summary (INTSUM), the periodic intelligence summary (PERINTSUM), the daily intelligence summary (DISUM), and the intelligence report (INTREP). Prepare these reports in accordance with FMFM 3-21, your unit intelligence SOP, or as prescribed by a senior command. A successful report communicates the results of your analysis, and, at the same time, quickly transmits intelligence information and combat information to the right people, at the right time, and in a useful format.

4-20

Table 4-10.

Standard Dissemination Reports

TYPE OF REPORT Intelligence Summary (INTSUM)

FUNCTION AND CONTENTS Provides a summary of the battle situation during a specific period. The unit SOP or intelligence or the intelligence annex prescribes the period's length. Contains intelligence relevant to the following items: 1 2 3 4 Enemy ground, air, and naval activity Enemy personnel and equipment losses New obstacles and barriers Enemy administrative activities including personnel replacement supply build-up, etc. New unit identifications Enemy movements Estimated numbers and types of vehicles, ships, and aircraft Weather and terrain conditions Discussion of capabilities and vulnerabilities

5 6 7 8 9

10 Conclusions

4-21

Table 4-10. TYPE OF REPORT

Standard Dissemination Reports--cont'd. FUNCTION AND CONTENTS

Periodic Intelligence An intelligence summary that covers a Summary(PERINTSUM) longer period of time than the INTSUM, a PERINTSUM is the way to disseminate, within a joint command, detailed intelligence about the enemy situation, operations, capabilities, and vulnerabilities. Information on the characteristics of the area of operations and on counterintelligence may also be included in these reports. PERINTSUM's should be concise but complete documents that make maximum use of sketches, annotated maps, and overlays. Additional intelligence documents and weather and/or climate summaries can be disseminated as appendices. Distribution of PERINTSUM's extends downward to battalion/squadron level and may extend as far down as company level if needed. Refer to FMFM 3-21, Appendix DD to obtain an outline for the PERINTSUM. Daily Intelligence Summary (DISUM) An intelligence summary issued from joint force component headquarters once daily at a specific time the joint force commander determines. The DISUM provides higher, lateral, and subordinate commands with a summary of all significant intelligence the reporting unit has produced during the last 24 hours. Refer to Appendix EE, FMFM 3-21 for more information. Intelligence Report (INTREP) Considered the primary way to report time sensitive combat information/ intelligence at battalion/squadron level and higher. It is prepared at the lowest receiving echelon that can process and produce the intelligence. The INTREP rapidly disseminates information that is generally a single item of intelligence, regardless of its source. Refer to Appendix BB, FMFM 3-21 for more information.

4-22

Do your remember the names of the four reports used to disseminate intelligence to senior, adjacent, and subordinate commands? Write them in the spaces provided below. ___________________________ ___________________________ _____________________________ _____________________________

If you answered INTSUM, DISUM, PERINTSUM, and INTREP, you are correct. Congratulations! If you answered differently, go back and review paragraph 4204. 4205. Miscellaneous Intelligence Reports

You will handle various types of incoming reports during the processing and production of intelligence. The first five reports in table 4-11 are those that you will most frequently process for intelligence value.

4-23

Table 4-11. TYPE OF REPORT a. Spot report (SPOTREP)

Miscellaneous Intelligence Reports FUNCTION AND CONTENTS A generic term for reports used to rapidly transmit combat information that has immediate value. This report type generally presents information on what happened, where, when, in what strength, and who observed it. Spot reports are prepared and transmitted upon observation of enemy activity. The SALUTE report, which subordinate units use to report enemy activity to immediately senior commands, is a classic example of a spot report.

b.

Patrol report

Forwards information concerning a combat or reconnaissance patrol. States the size and composition of the patrol, its mission, the times of its departure and return, its routes to and from its objective, the terrain it encountered, the enemy forces it encountered or observed, the results of encounters, and other data. Provides specific information on enemy bombing, shelling, and mortaring and is intended primarily for counterbattery action. The details in the report, such as the angle of fall, the direction from which the fire came, the caliber and type of shell, and the damages sustained, have intelligence value.

c. Bomb, shell, and/or mortar report (BOMBREP/SHELLREP MORTPREP)

4-24

Table 4-11.

Miscellaneous Intelligence Reports--cont'd.

TYPE OF REPORT d. Imagery reports

FUNCTION AND CONTENTS Prepared and disseminated by imagery interpretation units, these reports contain imagery intelligence. The reports include the reconnaissance exploitation report (RECCEXREP), the hot photo report (HOTPHOTOREP), the initial photographic interpretation report (IPIR), and the supplemental photographic interpretation report (SUPIR). 1. The RECCEXREP relates significant information concerning any target acquired during an imagery reconnaissance mission. Report the information using only the jointly interoperable tactical command and control system (JINTACCS). The report forwards information on the nature and location of targets and the approximate applicable OB count, notes any observed defenses, and briefly describes the terrain near the observed event. It may also include a distance and direction from a known point. 2. The HOTPHOTOREP is a concise, free text report on critical information on perishable (moving) targets. The report identifies the mission, the target coordinates, the time the image was obtained, significant results (concise remarks concerning the activity, object, or event being reported); and other information. Information reported in a HOTPHOTOREP will be reported in greater detail in a following IPIR.

4-25

Table 4-11.

Miscellaneous Intelligence Reports--cont'd. FUNCTION AND CONTENTS 3. The IPIR is a detailed report of the order of battle (OOB) acquired in and near the specified target, objective, or objective areas. It reports target location, type, category, and description; BE number, OB type, identity, and count; and other elements related to the tasked mission and to the imagery itself. 4. The SUPIR is a more detailed report of targets acquired during an imagery mission, including specified mission objectives. It may also be disseminated to amend, correct, or expand a previously disseminated IPIR.

TYPE OF REPORT Imagery reports, contd

e.

Interrogation and translation reports

(1) The tactical interrogation report provides information gained during the initial interrogation of EPW's. It transmits information on the prisoner interrogated, the time, place and circumstances of his capture, the documents and equipment the prisoner carried, and specific information gained during the interrogation. ITP elements prepare and transmit the report. The detailed interrogation report forwards more detailed information concerning the prisoner and his unit and includes a detailed evaluation of the prisoner as an information source. (2) A translation report forwards information about captured documents. It describes the documents, gives an Overview of how they were obtained, identifies the capturing unit, and provides one of the following: a summary of the contents, a translation of extracts from the document, or a full (word-for-word) translation.

4-26

Table 4-11.

Miscellaneous Intelligence Reports--cont'd. FUNCTION AND CONTENTS (1) Laser incident report (LIR). This report forwards detailed information concerning the illumination of friendly aircraft by a laser targeting or tracking device and includes information on any tracking or surveillance devices detected at the time of the incident. (2) Mission report (MISREP). The MISREP is disseminated after each debriefing on the return of an aerial reconnaissance or strike mission. It identifies the mission, location of the target and time of sighting, and contains remarks on enemy defenses encountered, weather information, MIJI events, and other data not covered in other parts of the report. The MISREP for a reconnaissance mission contains a brief description of the event observed including the size, location, direction of movement, and estimated speed of the equipment. The MISREP for a strike mission reports the aircrew's evaluation of the mission results, specifically, the percentage of the target destroyed, OOB type and number destroyed, and percentage of the target covered. (3) Nuclear, biological, and chemical reports. These reports are issued before and after the friendly use of special weapons, and before (if known) and following enemy use. The information in these reports has considerable intelligence value. (4) In-flight report. This report transmits critical information while an aircraft is in flight. The information concerns the size, location, direction, and speed of movement of enemy units and equipment. It may contain details on defenses and an account of significant events that occurred during the mission. It may also include damage assessments. 4-27

TYPE OF REPORT f. Other reports you may receive for use in production

Table 4-11.

Miscellaneous Intelligence Reports--cont'd. FUNCTION AND CONTENTS (5) Meaconing, interference, jamming, intrusion (MIJI) report. The MIJI report is a specialized report concerning suspected incidents of hostile or foreign communications and/or electronics warfare activity. (6) The tactical elint (TACELINT) report. This report provides intelligence information concerning the locations and types of electronics emitters found during an electronics reconnaissance.

TYPE OF REPORT Other reportscontd

In the spaces below, list the five miscellaneous intelligence reports you will most frequently process for intelligence value. ____________________________ ____________________________ ____________________________ If your answers were spot report, or SPOTREP; patrol report; bomb, shell, and/or mortar report (or the brief forms BOMBREP/SHELLREP/MORTREP); imagery reports; and interrogation and translation reports, you're correct and you may continue with the lesson. If your answers were different, review paragraph 4205, Miscellaneous Intelligence Reports. 4206. Miscellaneous Documents and Studies ___________________________ ___________________________

A wide variety of documents and studies disseminate valuable intelligence. The documents are available at division and wing echelons and at MAGTF commands; subordinate ground and air units may hold specific publications. Table 4-12 on the next two pages discusses three examples of such miscellaneous documents and studies.

4-28

Table 4-12.

Miscellaneous Documents and Studies CONTENT AND PURPOSE Prepared by the DIA, this study provides basic intelligence on those relatively unchanging aspects of an area of operations that have to be considered when planning amphibious operations. Each AOS covers an individual geographic area that, based on several factors, is considered to be susceptible to seizure through an amphibious operation. The studies discuss the terrain, landing beaches and places, HLZ's, oceanography, and other significant aspects of the area. These aspects include social, economic, and political conditions and military forces in the area. Also, each AOS contains selected maps, charts, photographs, and other graphics if available.

TYPES OF STUDY/DOCUMENT a. Amphibious objective study (AOS)

b.

Tactical commanders terrain analysis (TacCta)

A TacCTA is designed to meet basic terrain intelligence requirements. The data concerns topography, avenues of approach, lines of communication, and other military aspects of terrain in the subject area. Each TacCTA consists of the following four basic parts: an orientation map, an objective area map, a terrain analysis map, and supporting graphs, tables, diagrams, and photographs. The Department of the Army produces TacCTAs.

4-29

Table 4-12.

Miscellaneous Documents and Studies--cont'd. CONTENT AND PURPOSE Essential parts of a NEO package, such handbooks are designed to provide basic intelligence support for the evacuation of U.S. and friendly personnel from the specific area that they cover. A handbook consists of materials on the local U. S. embassy (such as evacuation plans and assigned personnel), the surrounding terrain, and certain sociopolitical aspects of the local population.

TYPES OF STUDY/DOCUMENT c. Noncombatant Evacuation Operations National Intelligence Support Handbook (NEONISH)

Note:

A NEOPACK is a type of contingency support package (CSP). Therefore, it will contain MC&G, imagery, terrain studies, and other intelligence products and publications required to support a NEO operation. Other CSP's contain materials that support the contingency to which the specific package is dedicated.

Lesson Summary. In this lesson you learned about various documents and publications through which intelligence is disseminated. You became familiar with both the intelligence annex and estimate, the four standard reports, and miscellaneous studies and documents. In the next lesson you will learn about intelligence briefings. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 18 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the five principal paragraphs of the intelligence annex. a. b. c. d. e. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ 4-30

Matching: For items 2 through 14, match the appendix name in column 1 to its correct number in column 2. Place your responses in the spaces provided. Column 1 Appendix Name ___ 2. ___ 3. ___ 4. ___ 5. ___ 6. ___ 7. ___ 8. ___ 9. Essential Elements of Information Survival, Evasion, Resistance, and Escape Signals Intelligence Interrogator-Translator Platoon Employment Plan Counterintelligence Surveillance and Reconnaissance Plan Targeting Beach Studies Column 2 Number (4) (2) (8) (10) (1) (9) (7) (5) (11) (3) (13) (12) (6)

___ 10. Tactical Analysis of Weather and Terrain ___ 11. Intelligence Estimate ___ 12. Mapping, Charting, and Geodesy ___ 13. Human Intelligence ___ 14. Helicopter Landing Zones

15. List the five principal paragraphs of the intelligence estimate. a. b. c. d. e. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________

4-31

16. List the four principal reports that you will use to disseminate intelligence to senior, adjacent, and subordinate commands. a. b. c. d. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________

17. List the five principal miscellaneous intelligence reports that you will receive for processing and production purposes. a. b. c. d. e. _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________

18. List three examples of miscellaneous intelligence documents and studies. a. b. c. Lesson 3 _____________________________________________________ _____________________________________________________ _____________________________________________________ INTELLIGENCE BRIEFING

Introduction. In the previous lesson you learned intelligence reporting procedures. This lesson will teach you about the various types of intelligence briefings as well as how to analyze, prepare for, and successfully fulfill briefing requirements. LEARNING OBJECTIVES 1. 2. 3. 4. List the four basic types of intelligence briefings. List the six steps used in preparing an intelligence briefing. List the four elements you must consider when analyzing a briefing. List the four parts of an intelligence briefing. 4-32

4301.

Types of intelligence Briefings

There are four basic types of intelligence briefings. You will find that, although each type has elements in common with the others, each remains distinct. You will learn how to identify each in this section. Table 4-13. TYPE OF BRIEFING Information Types of Intelligence Briefings CHARACTERISTICS Communicates information to the members of a relatively large audience simultaneously in a limited amount of time. Communicates specific information concerning the weather, enemy, and terrain (WET). This can include an estimate of enemy capabilities and course of action, an analysis of the area of operations The mission briefing ensures that: (1) The mission commander and the mission team or crew thoroughly understand the assigned mission. (2) The briefing communicates specific information concerning mission objectives; the military situation; weather and terrain; survival, evasion, resistance and escape (SERE); and other subjects. Message Evaluates the events reported in the most recently available messages by country. The intelligence message briefing is a specialized form of briefing that summarizes current, continuing, and newly completed intelligence activities by region or country.

Tactical

Mission

4-33

Try to answer these questions without looking at the text: Under what conditions would you give the following briefing? 1. Information __________________________________________ ______________________________________________________ 2. Tactical _____________________________________________ ______________________________________________________ ______________________________________________________ 3. Mission ______________________________________________ ______________________________________________________ ______________________________________________________ 4. Message ______________________________________________ ______________________________________________________ ______________________________________________________

If you said you would give (1) an information briefing to communicate information to members of a relatively large audience simultaneously in a limited amount of time, (2) a tactical briefing to communicate specific information concerning the weather, enemy, and terrain (WET) including an estimate of enemy capabilities and courses of action, an analysis of the area of operations, or an analysis of the enemy situation, (3) a mission briefing to ensure that the mission team thoroughly understands the mission and mission objectives as well as to communicate specific information concerning the military situation, and (4) a message briefing to communicate your evaluation of the events reported in the most recent of available messages for each country, you are right; congratulations! If your answers were very different, you should go back and review table 4-13 in paragraph 4301.

4-34

4302.

Briefing Preparation

An intelligence briefing is intended to communicate information rapidly and clearly. To give a successful briefing, you must approach the task in an orderly fashion. The following steps will help you formulate, research, prepare, and deliver a concise and professional intelligence briefing: a. Analyze. Before giving a briefing, determine what information the audience needs to know about the subject of the briefing. In this preliminary step, you will identify the following: (1) The purpose for (and topic of) the briefing. Although the requesting unit or individual usually identifies these items, you should still contact the requestor to acknowledge that you have received the request and to ensure that you fully understand the briefing requirement. (2) The available time. How much time do you have for the briefing and how long do you have to prepare? (3) The audience (audience characteristics). How large will the audience be and who will make it up? What are their ranks, positions, and experiences? How familiar are they with the topic? Are they military or civilians, U.S. citizens or foreign nationals--you may even need a translator. (4) The location. Where will you brief? Check the facility and the equipment personally. Is the facility suitable for the briefing? Is the equipment suitable for your purpose--and does it work? Is spare equipment and/or parts (projector bulbs, etc.) on hand? (Problems can arise at the worst times!) Are equipment operators available if they're needed? Do you recall the four elements that you must consider when Analyzing a briefing? List them on the lines below. 1. 2. 3. 4. _______________________________________________________ _______________________________________________________ _______________________________________________________ _______________________________________________________

If you answered (1) the purpose for (and topic of) the briefing, (2) the available time, (3) the audience characteristics, and (4) the location; you're right. Congratulations! 4-35

If your answers were very different, you should go back and review paragraph 4302a. b. Research, select, and organize materials. Research all the source materials you can in the time available to prepare for the briefing. Choose and begin to organize the appropriate intelligence information and identify the overlays, drawings, charts, photographs, and other graphics you'll need to support the briefing. Choosing all the material carefully will give your briefing good documentary and visual content. c. Write the briefing. Prepare an outline of the information to be presented. If time allows, you may develop a detailed outline of the material for your unit's training records; an annotated speaking outline is a sufficient briefing guide if you are very familiar both with the subject of the briefing and with the graphic support materials. Note: Many intelligence briefings generally follow the outline of the intelligence estimate, the intelligence annex or one of its appendixes, or the INTSUM, INTREP, or PERINTSUM. Whichever format you use, every briefing must include, at minimum, an introduction (opening remarks), a body (specific information), and a conclusion (closing remarks). You may also plan a specific time when you will accept and answer questions from the audience.

Ensure that you brief all essential facts, including those that contradict preconceived conclusions. Should the audience wish to know more than you have presented in the briefing, you may provide additional information right away or tactfully refer the questioner to materials that will provide greater detail. Your briefing should be characterized by conciseness, objectivity, and accuracy. d. Prepare or arrange for appropriate graphic aids. Before you present the briefing, collect and organize the materials you may need to explain or expand key points--identify those key points that require illustration. Illustrations (briefing aids) should be simple, effective, and clear; their titles and captions should assist the audience in comprehending the information. Charts and other graphics should be suited to the size of the audience and the facility. You wouldn't want to use a flip chart if you were giving a briefing in a large auditorium where the closest members of the audience will be 20 feet away and those in the balconies may be 10 to 15 feet above and as much as 70 to 100 feet away from the visual aid. In that case, you should consider using either an overhead projector with prepared transparencies or a slide projector and prepared slides. You could also prepare handouts; if you do, be sure to make enough copies so that each member of the audience can have one.

4-36

e. Rehearse the briefing. Rehearsal is the key to a successful briefing so practice at least once in front of at least one person who can give you constructive criticism. If you can, do this at the site where you will be briefing--it will help you become familiar with the briefing area, presenting your materials, handling the visual aids, and answering questions. f. Present the briefing. When you make a confident, relaxed, and clearly enunciated delivery based on your knowledge of the subject and perfected through rehearsals, you convince the audience that the briefing itself has merit. A good delivery lends credibility to the material; a poor one does just the opposite. During your presentation, strive for a smooth, convincing, and friendly delivery, always maintaining military bearing. Whatever you do, avoid reading directly from a wordfor-word script; you made the script for your training files, not to read from. We all know that talks that are read (often in a monotone) are invariably deadly boring! Important points to remember about presenting a briefing are: 1. 2. The primary purpose of a briefing is to present information so that it is understood. The information, as well as any conclusions and recommendations that are presented, must be developed and supported logically. Anticipate possible questions so that you can develop adequate responses. See if

3.

Do you remember the six briefing preparation steps? you can write them on the lines provided below. 1. 2. 3. _______________________ _______________________ _______________________

4. _________________________ 5. _________________________ 6. _________________________

If you answered (1) analyze, (2) research, select and organize materials, (3) write the briefing, (4) prepare or arrange for appropriate graphic aids, (5) rehearse the briefing, and (6) present the briefing, congratulations! If you didn't get these answers, you should review paragraph 4302.

4-37

As you prepare a briefing, use the briefing checklist provided in table 4-14 to ensure all aspects of each item are covered. Table 4-14.
FACTORS/SITUATIONS

Briefing Checklist
ACTIONS REQUIRED

a.

The audience

(1) Determine the number present. (2) Find out about the audience composition and experience. Answer questions such as: (a) Are other military services involved? (b) Are civilians or foreign nationals present? (c) Who are the ranking members of the audience? What are their official positions and where are they assigned? (d) How knowledgeable of the subject are they? (e) What are their interest(s)? (f) What are their information needs? (3) Find out the purpose and type of briefing requested. (4) Identify the subject of the briefing. (a) Determine the content desired. (b) Find out the time available to present the briefing. (5) Evaluate the physical facilities. (a) (b) (c) (d) (e) Determine the place (physical setting). What arrangements will be required? Determine if visual equipment will be required and, if so, what types. Identify the deficiencies of the facility, visual aids, and equipment. Determine what actions are needed to overcome any of the deficiencies found.

4-38

Table 4-14.
FACTORS/SITUATIONS b. Preparation schedule

Briefing Checklist--cont'd.
ACTIONS REQUIRED

(1) Complete your analysis of the situation. (2) Prepare a draft outline of the briefing. (3) Determine the requirements for visual aids, assistants, and recorders. Recorders write down questions, conclusions, recommendations, etc. Edit the draft briefing outline. Schedule rehearsals, facilities, and evaluators. Arrange for a responsible authority to give the briefing final review and approval. Research materials (a) Assemble available information Familiarize yourself with the subject. Collect authoritative opinions and facts.

(4) (5) (6)

(1)

c.

Write the Briefing

(b) (c) (2)

Prepare first draft (or detailed outline). (a) (b) (c) State the problem (if necessary). Identify key points (facts). Develop key points by including information and appropriate materials. State conclusions or recommendations, the advantages of courses of actions, etc. Prepare the draft speaking outline. Submit to appropriate authority for review.

(d)

(e) (f) (2)

Revise/edit the first draft. (a) Ensure information included is necessary and appropriate. Prepare answers to anticipated questions.

(b) (4)

Plan and prepare visual aids.

4-39

Table 4-14.
FACTORS/SITUATION c. Rehearse (1)

Briefing Checklist--cont'd.
ACTIONS REQUIRED Examine your demeanor and behavior. Maintain an erect posture. Observe military bearing.

(a) (b)

(c)

Use movements and gestures on the podium that will add emphasis to your talk. Avoid distracting or objectionable ones.

(d) Maintain eye contact with the audience. (2) Examine your voice characteristics. (a) Make sure that the volume, rate and pitch of your speech are satisfactory. You must be heard to be understood. (b) Enunciate clearly. (3) Display a positive attitude. (a) Be professional. (b) Show enthusiasm. (c) Be helpful; answer all questions to the best of your ability. (d) Be confident. (e) Be businesslike but display natural humor. e. Present the Briefing Conduct follow up (1) Call for questions. (2) Record decisions, conclusions, and recommendations. (3) Record, research, and disseminate answers to questions not resolved during the briefing. (4) Record and file the briefing.

f.

4-40

4303.

Developing a Briefing Outline

A briefing must be well organized and logically presented to be successful; use the briefing outline in table 4-16 to help you organize yours. Table 4-15 discusses the four principal parts of a briefing: the introduction, body, question period, and conclusion. Table 4-15.
PRINCIPAL PART
a. Introduction

Principal Parts of a Briefing

FUNCTION
(1) Establishes the overall tone the briefing (a) Include a professional, courteous greeting to the audience. (b) Introduce the topic. (c) Present an overview of the significant points to be briefed. (d) Establish appropriate information security measures. This will help show the audience why the information is important. (e) Other information you may want to include: (1) Post a sign or other graphic warning containing the applicable security classification. (2) Introduce yourself by stating your rank and name, unit, section, and billet. Of course, this is not necessary when the audience knows who you are or when you are introduced by another speaker. (3) Tell the audience how you will handle questions. State how you wish to recognize the questioner and when and how you will receive questions: You may have a question period at the end, at designated times during the briefing, or at any time during the briefing. (1) The body is the most important part of the briefing. (2) Present detailed information on each topic or major point.

b.

Body

4-41

Table 4-15.
PRINCIPAL PART
c. Question Period

Principal Parts of a Briefing--cont'd.

FUNCTION

This portion is required only if you do not choose to accept questions from the audience while you are presenting the briefing. Do the following: (1) Recognize each questioner. (2) Receive the question. (a) Repeat or restate the question. Doing so ensures that you understand what is being asked and that the audience hears the question. (b) Verify your understanding of the question by asking the questioner "Is that your question?" If the answer is no, clarify. If yes, do the following: (1) Respond to the question. (2) Verify the response. Ask the questioner "Does that answer your question?" If he says no, try again; if yes, accept the next question. (3) Conclude the question period. (a) Announce the end of the question period or call for a final question. (b) Summarize the significant questions and responses. (c) Restate the information security measures including the security classification (1) Restate the significant points covered during the briefing, including a review of significant questions and responses. (2) State your final evaluation and/or conclusions, and make appropriate recommendations. (3) Reinforce the audience's need for the information. (4) Repeat applicable information security measures including the security classification). (5) State that the briefing is concluded.

4-42

Can you remember the four parts of a briefing? In the spaces provided below. 1. 2. _________________________ _________________________ 3. 4.

Write them

________________________ ________________________

If you wrote (1) introduction, (2) body, (3) question period, and (4) conclusion, you are correct. Congratulations! If you answered differently, go back and review paragraph 4303. You may wish to use the following sample briefing outline (table 4-16) for reference. Table 4-16.
ITEM
a. Introduction (1) (2)

Sample Briefing Outline

CONTENT
Greet your audience. Identify the subject and purpose of the briefing. State the security classification.

(4) NOTE: Transition to first main point. b. Body the

(1)

Make your first main point. (a) (b) Add supporting point. Add supporting point. Include addition supporting point.

NOTE: Transition to the second main point. (2)

(c)

Make your second main point. (a) Add supporting main point. Add supporting point.

NOTE: Transition to the third main point

(b)

(c)

Include additional supporting points (etc.) as needed.

(3)

Make additional main points and supporting points as needed.

4-43

Table 4-16.
ITEM
NOTE: Transition to question period. c. Question Period

Sample Briefing Outline--cont'd. CONTENT

(1) Call for questions. (2) Receive questions. (a) Recognize a questioner.

(b) Repeat/restate the question. Verify your understanding of the question by asking the questioner "Is that your question?" (3) Respond to the question. (a) (b) Answer the question. Verify the questioner's understanding of your response: Ask the questioner, "Does that answer your question?" If your response was not satisfactory, have the questioner rephrase the question; then receive it and respond as above.

(c)

(4) Summarize significant questions and responses. (5) Conclude the question period. (a) Call for the final question or state that the question period is concluded. Summarize significant questions and your responses.

(b) NOTE: Transition to concluding statement d. Conclusion

(1)

Summary (a) (b) Review significant points briefed. Summarize significant points/questions raised by the audience and your responses.

(2) Make the concluding statement (a) Give an appropriate ending statement.

(b) Remind audience of security considerations.

4-44

Lesson Summary. In this lesson you learned that the intelligence briefing is one of the more common means of disseminating intelligence. You learned how to analyze, prepare for, and successfully deliver a briefing. You should also have realized that skill in presenting briefings can be acquired only through practice and experience. By applying the principles you have learned in this lesson, you will be able to organize and prepare an effective briefing. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 4 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the four basic types of intelligence briefings. a. b. c. d. _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________

2.

List the six briefing preparation steps. a. b. c. d. e. f. _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________

3.

List the four elements you must consider when analyzing a briefing. a. b. c. d. _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________

4-45

4.

List the four principal parts of a briefing. a. b. c. d. _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________

UNIT SUMMARY In this study unit, you have learned certain factors to consider in intelligence reporting and the purposes and natures of various reports and documents in which intelligence is disseminated. You have learned that intelligence must be disseminated throughout the chain of command. You have also learned how to analyze, prepare for, and successfully fulfill a briefing requirement. In study unit 5 you will learn the basics of imagery interpretation as well as how to determine the scale of an aerial photograph. Lesson 1 Exercise Solutions Reference 1. a. The intelligence must satisfy the general and specific needs of the organizations that receive it The intelligence must be disseminated as soon as possible so that the information can be distributed Intelligence reports must be as concise as possible Timeliness Usability of form Pertinence Security When the information is so critical it must be communicated immediately When a unit's need for the information is extremely urgent 4102 4101

b.

c. 2. a. b. c. d. a.

3.

4102

b.

4-46

Lesson 2 Exercise Solutions Reference 1. a. b. c. d. e. Mission and concept of intelligence operations Situation Intelligence activities Assignment of intelligence tasks Miscellaneous instructions 4201

(In the following order) 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. (1) (13) (2) (12) (3) (11) (4) (9) (8) (7) (5) (6) (10) Mission Area of operations Enemy capabilities Analysis of enemy capabilities Conclusions INTSUM PERINTSUM DISUM INTREP Spot report (SPOTREP) Patrol report Bomb, shell, and mortar report (BOMBREP/SHELLREP/MORTREP) Imagery reports Interrogation and translation reports Amphibious objective Tactical commander's (TacCTA) Noncombat evacuation intelligence support study (AOS) terrain analysis operation--national handbook (NEONISH) 4202

15. a. b. c. d. e. 16. a. b. c. d. 17. a. b. c. d. e. 18. a. b. c.

4203

4204

4205

4206

4-47

Lesson 3 Exercise Solutions Reference 1. a. b. c. d. a. b. c. d. e. f. 3. a. b. c. d. 4. a. b. c. d. Information Tactical Mission Message Analyze Research, select, and organize materials Write the briefing Prepare or arrange for appropriate graphic aids Rehearse the briefing Present the briefing The purpose for (and topic of) the briefing Available time Audience Location Introduction Body Question period Conclusion 4301

2.

4302

4302

4303

4-48

STUDY UNIT 5 AERIAL IMAGERY Introduction. Commanders at all levels need intelligence and combat information--timely, accurate information is the basis of sound tactical decisions. Aerial imagery intelligence operations focus primarily on supporting field commanders by providing this intelligence information. Although imagery intelligence (IMINT) has certain limitations, it remains an extremely valuable way to gather tactical information concerning enemy capabilities, installations, vulnerabilities, and possible courses of action. In this study unit, you will identify some of the different types and characteristics of aerial imagery assets that can meet a commander's demand. Additionally, you will identify the steps you would use to orient an aerial photograph to a map and identify the required photographic annotations. Lastly, you will perform the calculations used to determine photographic scales and those used to construct a bar graph for an aerial photograph. Lesson 1. TERMINOLOGY, SENSORS, AND IMAGERY

LEARNING OBJECTIVES 1. Given a list of basic terms and a list of definitions associated with imagery intelligence, match each term with its definition. Given a list of different types of imagery and a list of sensors, match each type of imagery with its sensor. Given statements concerning sensor limitations, identify in writing the sensors that the limitations pertain to. Common Terminology

2. 3. 5101.

Let's begin by looking at some of the basic terms associated with imagery intelligence. a. Image. An image is a likeness of an object or objects produced on film, electronic display, or other media such as paper, plastic, etc. b. Imagery sensors/sensors. Sensors are optical or electronic devices used to produce images. The four types of airborne imaging sensors are side-looking airborne radar (SLAR), infrared, optical, and electro-optical. Each of these will be discussed later in the lesson. c. Imagery. Imagery is the collective product that imaging sensors produce. Examples include images produced as film negatives, as photographic prints, or as digital displays. 5-1

d. Platform. The platform refers to the vehicle that imagery sensors are mounted on. A platform is normally an airborne or spaceborne vehicle. e. Multi-sensor imagery. A collection of imagery that has been acquired using a variety of sensors. The sensors may have been operated from a single platform or from multiple platforms. f. Imagery interpretation. This is the act of analyzing imagery to determine its tactical and/or strategic significance. g. Imagery intelligence. Imagery intelligence is a body of evaluated, assembled intelligence information obtained through imagery interpretation. Before continuing on, let's see how well you remember these terms. Fill in the blanks to complete the statements or answer the questions below. 1. 2. 3. A collection of imagery that has been acquired using a variety of sensors is called ________________. Imagery is the collective product that _________________ _____________________ produce. Imagery interpretation is the act of analyzing imagery to determine its ______________________________________ _______________________________________________________. 4. 5. 6. 7. A likeness of an object or objects produced on film is called a (an) _________________________________________. Imagery sensors are optical or electronic devices used to ____________________________________________________. An imagery sensor is mounted on a vehicle. What is the term for this vehicle? _______________________________ Briefly define imagery intelligence. __________________ _______________________________________________________ _______________________________________________________

5-2

Now, see how well you answered the questions and completed the statements by comparing your answers with those below. Solutions: 1. 2. 3. 4. 5. 6. 7. A collection of imagery that has been acquired using a variety of sensors is called multi-sensor imagery. Imagery is the collective product that imagery sensors produce. Imagery interpretation is the act of analyzing imagery to determine its tactical and/or strategic significance. A likeness of an object or objects produced on film is called an image. Sensors are optical or electronic devices used to produce images. An imagery sensor is mounted on a vehicle. for this vehicle is a platform. The term is

Imagery intelligence is a body of evaluated, assembled intelligence information obtained through imagery interpretation.

If you had a problem answering the questions or completing the statements, you should go back and study paragraph 5101 before you continue. 5102. Aerial Sensors and Types of Imagery

a. Photographic sensor. A photographic (optical) sensor, most commonly a camera, records images on film. The principal aerial photographic sensors that the Marine Corps uses are the KS-87B reconnaissance camera and the KA-99A, KS-116, and KB-18A/B panoramic cameras. These sensors produce high quality vertical, oblique, and panoramic views as negatives, positives, or prints. Since you're probably wondering what each of these views look like, let's find out more about them. (1) Vertical. Camera systems installed in the vertical position record vertical views. The pictures produced are of the area that lies directly under the platform. (2) Oblique. Camera systems installed at an angle from the vertical record oblique views. The pictures produced closely resemble a normal eye view of the area; they allow the analyst to see into the area in a normal manner instead of providing the overhead views like those produced through vertical photography.

5-3

(3) Panoramic. Panoramic camera systems that scan the area below them produce panoramic views. Panoramic photography provides both a vertical and oblique view of the target area. b. Infrared sensor. An infrared sensor is an electronic device that senses temperature differences between terrain features and objects on the ground and creates a picture or image of the objects. The two most common infrared sensors are the KS-87 reconnaissance camera and the AN/AAD-5 infrared mapping sensor. This type of sensor produces images on infrared film that are displayed as a thermal map; infrared imagery must be analyzed by skilled personnel. c. Radar sensor. The side-looking airborne radar (SLAR) is an imaging radar system that directs radar pulse energy in a beam from the antenna to the target area. As the energy reflects from the target and its surroundings back to the aircraft, its intensity varies with the target's surface shape, composition, and surroundings. The resulting energy variations produce variations in pattern and tone that are recorded on film and displayed as a radar map. This imagery can also be transmitted to a ground station where it can be displayed on a terminal for near real time viewing. Like infrared imagery, radar imagery requires analysis by skilled personnel. d. Electro-optical sensor. An electro-optical sensor uses camera-like optics to acquire images; however, instead of focusing the images on a film base, the sensor focuses images on a bank of photo electric (light sensitive) cells which convert the light making up the image to electric charges. The charges are in turn converted to digital codes which can then be transmitted to a ground station for near real time analysis. The electrical signals can also be recorded on tape or disk. Several satellite imaging systems and certain sub-orbital, high altitude platforms employ electro-optical sensors. These sensors are often used to complement or to extend the capabilities of the other sensor systems. Some of the imagery produced is easily analyzed but some must be analyzed by personnel with special training. Now, go to the next page and, without referring back, answer the three challenge questions on sensors and their products.

5-4

1. 2. 4.

Imagery derived from infrared sensors is displayed as a ___________________________________________. A radar sensor produces a product displayed as a ________________________________________________. Optical sensors produce imagery as a ___________, ______________, (and/or) _______________________.

Well, let's see how well you did on this challenge! Solutions: 1. 2. 3. Imagery derived from infrared sensors is displayed as a thermal map. A radar sensor produces a product displayed as a radar map. Optical sensors produce imagery as a positive, negative, or print.

If you didn't get these answers, you may want to review paragraph 5102. 5103. Principal Limitations of Imaging Sensors

In general, the most significant limitation common to imagery intelligence is timeliness. Depending on the type of sensor involved, it takes time to acquire, process, and interpret the imagery. Some delay must be accepted. An overview of the limitations of principal sensors follows: a. Airborne photographic sensors. (1) These sensors are primarily limited to daylight, fair weather reconnaissance. (2) b. The platform is restricted by the terrain and the tactical situation.

Airborne infrared sensors. (1) The AN/AAD-5 platform is hampered somewhat by precipitation. (2) The AN/AAD-5 is also restricted by the terrain and enemy activity.

5-5

c.

Airborne radar sensors. (1) These sensors are subject to tactical deception and detection and to jamming by the enemy. (2) They are also limited by their platform's ability to operate in adverse weather, by the terrain, and by tactical situations.

d. Electro-optical sensors. These sensors have the same limitations as the system(s) they are a part of.

Lesson Summary. In this lesson you defined common terms associated with imagery intelligence. You also identified the different types of aerial imaging sensors, the imagery associated with them, and their principal limitations. Imagery remains an extremely valuable source of tactical and strategic information about the enemy. It provides commanders at all levels with a wealth of information that they can use to support their missions. In the next lesson, you will identify the steps to orient an aerial photograph to a map, identify entries that must be annotated on a photograph, and determine photographic scales.

5-6

Exercise:

Complete items 1 through 13 by performing the action required. Check your responses against those listed at the end of this study unit.

Matching: For items 1 through 7, match the term in column 1 with the letter corresponding to its definition in column 2. Place your responses in the spaces provided. Column 1 Term ___ 1. Image a. Column 2 Definition A collection of imagery acquired using a variety of sensors The collective product that imaging sensors produce A body of evaluated, assembled intelligence information obtained through imagery interpretation A likeness of an object or objects produced on film, electronic display, or other form of media An optical or electronic device used to produce an image The vehicle that imagery sensors are mounted on The act of analyzing imagery to determine its tactical and/or strategic significance

___ 2. ___ 3.

Imagery sensor Platform

b. c.

___ 4.

Multi-sensor imagery

d.

___ 5.

Imagery interpretation

e.

___ 6. ___ 7.

Imagery intelligence Imagery

f. g.

Matching: For items 8 through 10, match the type of imagery in column 1 with the type of sensor in column 2 that produces the imagery. Column 1 Type of Imagery ___ 8. ___ 9. Prints Radar map display a. b. c. d. 5-7 Column 2 Type of sensor Radar Infrared Photographic Visual

___ 10. Thermal map display

11. Which type of sensor is primarily limited to daylight, fair weather reconnaissance? ____________________________________________________ 12. The AN/AAD-5 is somewhat hampered by precipitation. What type of sensor is it? ____________________________________________________ 13. The type of sensor that is subject to tactical detection and jamming by the enemy is the ___________________________________________________. Lesson 2. BASIC PHOTOGRAPHIC REQUIREMENTS

Normally, a unit receives requested photographs through an imagery interpretation unit (IIU) or detachment. There may be times, however, when the unit won't receive photographs through the IIU and you will be required to process them. In this lesson the focus will be on what you must do to process the photos. You will identify the steps for orienting a photograph to a map and identify the annotations that must be on a photograph. Additionally, you will use the altitude/focal length, map, and known distance methods to determine the scale on a photograph. LEARNING OBJECTIVES 1. 2. 3. 5201. List the five steps to orient a photograph to a map. Name the four annotations that must be placed on an aerial photograph. Given specific photographic information, determine photographic scale. Orienting a Photograph to a Map

To orient a photograph to a map, you position the photograph so that the natural and man-made features that appear on the photo are aligned with the features as they are represented on the map. The procedure used is similar to the one used to orient a map to the ground. a. Preparation. First, you must obtain the map of the photographed area. Since, in most cases, you will have requested the photographic mission, you should already have the appropriate map. b. Steps to orient a photograph to a map. (1) Locate at least two features on the map that you can identify in the photograph. 5-8

Note:

Remember that the symbols used to represent man-made features such as buildings, bridges, etc., and some natural features, such as rivers and steams, are not illustrated to scale. However, these symbols will be correctly positioned and oriented to the actual ground location.

(2) Place the photo on top of the map in a location that allows you to see the selected features on both the map and the photo. (3) Move the photo to bring the selected features on the photo into alignment with the same features on the map. Note: You can check the alignment by matching map contour lines with the landscape shown in the photo.

(4) Tape the photo to the map. Use small pieces of tape so that you don't damage the photo. (5) Affix or annotate a north arrow to the photo. Note: Even though affixing or annotating a north arrow is considered an annotation and will be discussed next, it is also considered the last step of the orientation procedure.

Let's see how well you remember the procedure for orienting a photograph to a map. Your mission is to briefly write, in the shaded box below, a description of the five steps for orienting a photo to a map. 1. 2. 3. 4. 5. _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________

5-9

Now, check your answers. 1. 2. 3. 4. 5.

They should be as follows:

Locate at least two features on the map that are in the photograph. Place the photo on the map so that you can see the selected features on both the map and the photo. Align the selected features in the photo with the same features on the map. Tape the photograph to the map. Affix or annotate the north arrow to the photograph.

If you didn't get these answers, you may wish to review paragraph 5201. 5202. Making Required Annotations

Six annotations are normally placed on aerial photographs: a north arrow, the grid reference, registration point, security classification, target name, and photo scale. Four of these must be placed on every photograph. They are: the north arrow, grid reference and registration point, photo scale, and security classification. Affix the north arrow, grid reference, and registration point annotations while the photo is attached to the map. a. Preparation (1) Photographic interpretation kits contain the special tools (technical pens, lettering guides, etc.) needed to professionally place the required annotations. If you have access to a kit and know how to use the tools, use them. Otherwise, you will have to use common items such as protractors, rulers, felt tip markers, lead pencils and ballpoint pens, lettering kits, and lettering templates. You may also use press-on numbers, letters, north arrows, registration points, etc. These items are available through the supply system or they can be purchased locally. Another way to make annotations is to type the information on plain white paper, trim the paper to the appropriate size, and tape or glue it to the photo. (2) The annotated photo should present a professional appearance. Practice on scratch paper before attempting to place annotations. Remember, it's difficult to erase or remove mistakes from a photo!

5-10

b.

Annotating the north arrow. (1) Select an area on the photo that will not obstruct the view of the target. (2) Locate a north to south grid line on the map, that, when extended on the photo, will enter the selected area. (3) Place a straight edge along the grid line so that it extends into the selected area. (4) Lightly, draw a short guide line on the photo. soft lead pencil. Use a

(5) Draw or place a press-on north arrow on top of the guideline. If you use a press-on arrow, make sure the entire arrow is transferred to the photo. c. Annotating the grid reference and registration point. The grid reference and registration point are used to identify a specific map location on the photograph. As figure 5-1 shows, the two annotations appear together and are usually counted as a single annotation. (1) Select a specific location on the map to serve as the registration point. (2) Identify the selected location in the photo. You may want to pick out a prominent feature such as crossroads that are easily identified on both the map and the photo. (3) Place a small dot (center point) on the selected location. (4) Annotate the registration point on the photo. You can either affix a press-on registration point or draw one. If you draw it, the crosshairs [ + ] should not extend more than inch from the center point (fig 5-1). (5) Place or write the grid reference in the lower right quadrant of the registration point (fig 5-1).

18SUP12345678 Fig 5-1. Registration point and grid reference.

The grid reference includes the universal transverse mercator (UTM) grid zone designator, a 100,000 meter square identifier, and a 6-or 8-digit grid coordinate for the registration point.

5-11

For the grid reference illustrated on the previous page, the grid zone designator is 18S, the 100,000 meter square identifier is UP, and the eight digit coordinate is 12345678. Get the designator and identifier from the reference box in the margin of the map and determine the coordinate from the body of the map. d. Annotating the security classification. You must place specific security information on both the front and back of the photograph in accordance with OPNAVINST 5510. e. Annotating the target name. Place the target name on the photo in a location that doesn't obstruct the view of the target or any significant features. f. Annotating the photo scale. Place the photo scale on the face of the photo. This annotation is made if you are going to be determining distance measurements on the photo. The scale should not obstruct the view of the target or of any significant features. (Photographic scale will be discussed in detail later in this lesson.) 5203. Making Special Photographic Annotations

a. Annotating target boundaries. To illustrate the limits of a target area, simply draw or affix a boundary line (outline) around the perimeter of the target area. This directs a viewer's attention to the target. b. Annotating information on specific items of interest. To annotate information about specific items of interest, construct a straight line from the item to a location outside the target area and affix or write in the information. c. Annotating information on significant features. Make annotations for information concerning significant features as you would for specific items of interest. d. Miscellaneous annotations. Place miscellaneous annotations, such as a graphic scale, the universal photograph grid, map reference grid lines, a declination diagram, etc., on the photo as required. 5204. Determining the Photographic Scale

Photographic scale is the ratio of a distance measurement on the photograph to the corresponding distance measured on the ground. For example, a linear measurement of 1 inch on a photo with a scale of 1:12,500, represents an actual ground distance of 12,500 inches. There are three basic methods used to compute the photographic scale--altitude/focal length, map, and known distance.

5-12

a. Photographic data sources. Before you can compute the scale, you must first determine the information needed to make the computations. This information is found in the photographic data blocks and/or title boxes. There are two types of data blocks and three types of title boxes. (1) Data blocks. Photographic data blocks contain information such as radar altitude, barometric altitude, sensor type, focal length, etc. This information is recorded on the film base while the sensor is operating. (a) Binary code data block. This block is recorded in the extreme left margin of the photographic frame. You will not be able to read information (decipher the codes) in this data block unless you have access to the sensor's technical manual or a reconnaissance handbook. Figure 5-2, shows an enlarged view of the binary code data block.

Fig 5-2.

Enlarged binary code data block.

The actual size of the data block on an original negative is shown below.

(b) man-readable data block. This data may be recorded in the left margin of every other photographic frame or in the right margin of every frame. (Table 5-1 illustrates the block's contents.)

5-13

Table 5-1. DATA BLOCK ELEMENT L0146545 N 37398 W076077 CA05740 +030H043 +029+012 071293T SM0047 4

Explanation of Man-readable Data Block Elements EXPLANATION Line 1: Line Line Line Line Line Line Line 2: 3: 4: 5: 6: 7: 8: Taking unit, sensor, lens, and filter ID 37 degrees and 39.8 decimal minutes N 076 degrees and 07.7 decimal minutes W Camera altitude (radar alt) + or - drift and aircraft heading + or - pitch, + or - roll 0712 = hrs, 93 = yr, T = time zone code Mission/sortie number

(2) Title boxes. After processing the film base, specific information obtained from the data block is permanently imprinted in a title box in the left margin of each frame on a roll of film. This title box is also known as a title strip; an example is shown below in figure 5-3. MISSION NO: MISSION NO: 6404 SORTIE NO: CA02 ACFT NO: 04 BAROMETER ALT: 12250' RADAR ALT: 12000' SENSOR: KA 156 LENS FL: 36" PHOTO DATE: 901023 Fig 5-3. Photographic title strip.

Figures 5-4 and 5-5 illustrate the other two types of title boxes. The type in figure 5-4 is stamped on the back side of the photo; the one in 5-5 is stamped on the front side. Data from the title strip is normally transcribed into one of these boxes.

5-14

MISSION __________ SORTIE ______________ ALT (MSL) __________ ALT(AGL) ____________ PHOTO TYPE _______ PHOTO SCALE ____________ FRAME NUMBER(S) __________ SENSOR DATA SENSOR _______ FL ________ POSITION _________ DEPRESSION ANGLE____________ MAP/IMAGERY PLOT DATA SERIES _________ SHEET NO./NAME ___________ EDITION________ DATE _____________________ SCALE ____________ PLOT SCALE _______________ DATE PLOTTED _________ PLOTTED BY _____________

Fig 5-4.

Title box for the back side of a photograph. Bar Alt (MSL) ______

Radar Alt (AGL) _________ Sensor _________

Position __________ FL_______

Target ID _____________________________________ Fig 5-5. Note: Title box for the front side of a photograph. Notice that the two title boxes show two types of altitudes, radar and barometric. Radar altitude is often expressed as altitude above ground level (AGL) or as absolute altitude. Barometric altitude is commonly called altitude above mean sea level (MSL). Since you will be using altitude readings in the computations you will be performing, be sure you don't confuse the two types of altitudes.

Let's look at another job aid (conversion table) that is used to help determine photographic scale. b. Conversion tables. Conversion tables (tables 5-2 and 5-3) are used to simplify the conversion of measurements. Since you may find these tables helpful on the job, the pages they're on are perforated so that you can remove and use them as a job aid. You will not be required to use these tables while performing exercises in this lesson.

5-15

5-16

Table 5-2.

Conversion Factors for Linear Units of Measure Multiply MILLIMETERS by 0.1 0.03937 to obtain Centimeters Inches

Multiply CENTIMETERS by 0.3937 0.01 10 to obtain Inches Meters Millimeters

Multiply METERS by 100 3.2808 39.37 1.0936 to obtain Centimeters Feet Inches Yards

Multiply KILOMETERS by 3,280.8 0.6214 39,370 1,000 0.53961 0.62137 1,093.6 to obtain Feet Miles Inches Meters Nautical Miles Statute Miles Yards

Multiply INCHES by 0.0833 0.0277 2.540 0.0254 to obtain Feet Yards Centimeters Meters

5-17

Table 5-2.

Conversion Factors for Linear Units of Measure--cont'd. Multiply FEET by 0.3048 30.48 0.1667 12 to obtain Meters Centimeters Fathoms Inches

Multiply YARDS by 91.44 3 36 0.9144 to obtain Centimeters Feet Inches Meters

Multiply FATHOMS by 6 1.8288 0.00833 to obtain Feet Meters Cable Lengths

Multiply LINKS by 7.92 to obtain Inches

Multiply CHAINS by 66 4 100 to obtain Feet Rods Links

Multiply CABLE LENGTH(S) by 120 720 240 to obtain Fathoms Feet Yards

5-18

Table 5-2.

Conversion Factors for Linear Units of Measure-cont'd. Multiply RODS by to obtain 16.5 Feet

Multiply FURLONGS by 10 660 220 40 to obtain Chains Feet Yards Rods

Multiply MILES by 5280 1.6093 1760 0.8690 to obtain Feet Kilometers Yards Nautical Miles

Multiply NAUTICAL MILES (KNOTS) by 1.152 2027 6081 to obtain Miles Yards Feet

Multiply LEAGUES (STATUTE) by 4.8280 3 to obtain Kilometers Miles

Multiply LEAGUES (NAUTICAL) by 25.33 5.5597 3 to obtain Cable Lengths Kilometers Knots

5-19

Table 5-3.

Conversion Factors for Velocity by .0547 2.237 .6214 .5396 .01136 .5921 18.288 .6818 .8684 1.6093 1.467 1.853 1.152 to obtain Feet per second Miles per hour Miles per hour Knots per hour Miles per hour Knots per hour Meters per minute Miles per hour Knots per hour Kilometers per hour Feet per second Kilometers per hour Miles per hour

Multiply Meters per minute Meters per second by Kilometers per hour Kilometers per hour Feet per minute Feet per second Feet per second Feet per second Miles per hour Miles per Miles per hour Knots per hour Knots per hour

c. Methods and formulas for determining photographic scale. Let's now look at the three ways to determine the photographic scale: the altitude/focal length method, the map method, and the known distance method (table 5-4). Table 5-4. Methods and Formulas for Determining Photo Scale ALTITUDE/FOCAL LENGTH METHOD Formula: Where: H is the absolute altitude or aircraft radar altitude. It may also be called altitude above ground level (AGL) or camera (sensor) altitude. is the focal length (FL) of the sensor lens. H + f = Photo scale (for the negative)

f Note:

This formula will produce the scale for the film negative. The standard size photograph is twice the size of the negative, so, to determine the actual photo scale, divide the measurement of the scale for the negative by now

5-20

Table 5-4.

Methods and Formulas for Determining Photo Scale-cont'd. MAP METHOD

Formula: where:

MD x MSR PD = Photo scale MD is the map distance (MD). It is the measurement representing the distance between two known points on a map.

MSR is the map scale reciprocal (MSR). For example, the map scale reciprocal for a 1:50,000 topographic map is 50,000:1 or 50,000/1. PD is the photo distance (PD). It is the measurement that represents a known map distance on the photo. KNOWN DISTANCE METHOD Formula: where: KD is a known linear distance (KD) on the ground or a known linear dimension of a ground feature. is the photo distance (PD). It is a measurement that represents a known ground distance or dimension on a photo. KD PD = Photo scale

PD

Table 5-5 and their determine exercises

contains standard sensor focal lengths (FL) in inches equivalent foot measurements. Use this table to focal lengths when performing computations in the that follow.

5-21

Table 5-5. Length in inches 3 6 9 12 24 36 in. in. in. in. in. in.

Focal Lengths and Equivalent Measurements Fractional Decimal equivalent equivalent 1/4 1/2 3/4 1/1 4/2 3/1 ft. ft. ft. ft. ft. ft. .25 .50 .75 1.0 2.0 3.0 ft. ft. ft. ft. ft. ft.

To learn to apply the three methods for determining the photographic scale, study the procedures used in the following examples. Refer to tables 5-4 and 5-5 as needed. Example 1: To determine the photographic scale using the altitude/focal length method, use the formula H f = photographic scale.

Note: Table 5-6. STEP 1 2 3 4

The altitude (H) and focal length (f) data has been extracted from the photo title strip in figure 5-3. Procedure for Determining the Photographic Scale Using the Altitude/Focal Length Method ACTION EXPLANATION 12,000 ft (absolute altitude) 12,000/1 (12,000 feet consists of 12,000 one-food units.) 36 inches (lens focal length) 3/1 ft. 36 inches consists of 3 onefoot units (table 5-5). 12000/1 (H) 3/1 (FL) Note: To divide one fraction by another fraction, you invert the divisor and multiply. 12000 3 = 12000 x 1 = 12000 = 4000 1 1 1 3 3 1

Obtain H. Express H as a fraction Obtain FL. Express FL as a fraction (in feet). Divide H by FL to determine the photo scale reciprocal (PSR).

Express the PSR (4000/1) as a ratio.

1:4,000. (This is the scale for the film negative; therefore, the photo would have a scale of 1:2,000.)

5-22

Now it's your turn! Your mission: Determine the scale for a negative of photo using the altitude/focal length method. The values are as follows: H = 10,500 ft FL = 3 in Use the space below to work the problem.

Scale for this negative = __________________________

5-23

Solution.

The scale is 1:42,000. 10,500 1

10,500 ft. = 3 in = 1 ft. 4

10,500 1 = 10,500 x 4 , or 42,000. 1 4 1 1 1 42,000 = 1:42,000 1 Note: Remember, this formula is used to calculate the scale for the film negative. To determine the actual photo scale, you divide the measurement of the scale for the negative by 2; therefore, the actual photo scale would be 1:21,000. For the

You can also do the computation with a calculator. exercise above you would:

Divide 10,500 by .25 which gives an a result of 42,000. Rewrite this result as 1:42,000. Divide the result by 2 to get 21,000

If you didn't get this answer, double check your computations and/or review example 1. Example 2: Let's now look at the way to determine the photographic scale using the map method. The formula is (MD x MSR) PD.

Table 5-7. STEP 1

Procedure for Determining the Photographic Scale by the Map Method ACTION EXPLANATION Select features or points on the map that you can identify on the photo. Measure the distance between selected points or the length of the selected feature on the map. For this example, we'll use inch as the MD.

Locate features

Obtain MD (map distance)

5-24

Table 5-7.

Procedure for Determining the Photographic Scale by the Map Method--cont'd. ACTION EXPLANATION Measure the distance between selected points or the length of the selected feature on the photo. (For this example, use 1- inches as the PD.) Given a map scale of 1:50,000, the map scale reciprocal would be 50,000/1. 1 x 50,000 = 50,000 = 25,000 inches 2 1 2 1 25,000 3 = 25,000 x 2 = 50,000 = 1 2 1 3 3 16,666.667 = 16,667 1 1 16,667 = 1:16,670 rounded to the 1 nearest tens. This is the scale of the photograph.

STEP 3

Obtain PD (photo distance)

4 5 6

Convert map scale to map scale reciprocal (MSR). Multiply MD x MSR. Divide the result of MD x MSR by the PD to determine the photo scale reciprocal (PSR). Express the PSR as a ratio to the nearest tens Note:

In the procedure discussed above, notice that the ratio for the scale was rounded upward to the nearest tens. You can express the photo scale in a variety of ways, depending on how much accuracy you need. When accuracy is important, don't round off the number. If accuracy isn't as important, round to the nearest ones or tens position up or down. For example, you could round 1,6666.667 up to either 1,6667 or to 1,6670.

5-25

Now, it's your turn to use the map method to determine photo scale. Your mission: Photo scale. Use the following values to determine the

Map scale MD PD

= = =

1:25,000 inch 4 (or 9/2) inches

The photo scale is _________________________

Solution:

The photo scale is 1:2,780

MD x MSR = 1 x 25,000 or 25,000 = 12,500 2 1 2 1 PSR = 12,500 + 9 or, 12,5000 x 2 = 25,000 2 1 9 9 2777.7778 = 2777.7778 = 2780 1 1 1 If you didnt get the same answer, check your Calculations and study the example above. If you wish to try the exercise with a calculator: Multiply .5 x 25,000. Divide 12,5000 by 4.5. The result is 12,500. The result is 2,777.777. =

The third way to determine the photographic scale is the known The formula is PSR=KD+PD. The steps are distance method. explained in table 5-8 on the following page.

5-26

Table 5-8.

Procedure for Determining the Photographic Scale by the Known Distance Method ACTION EXPLANATION For this example, us a KD of 100 yards. 100 yards x 36 in = 3,600 inches. 3,600 on-inch units, or 3,600/1 For this example, use 2 inches as the PD. Two one inch units, or 2/1 inches 3,600 + 2 = 3,600 x 1 = 3,600 = 1,800 1 1 1 2 2 1 1:1,800 is the photo scale.

STEP 1 2 3 4 5 6

Obtain a known ground distance (KD). Convert KD yards to KD inches. Express the KD measurement as a fraction. Obtain the photo distance (PD). Express the PD as a fraction. Divide the KD by the PD to determine the PSR. Express the PSR as a ratio.

This time you will be using the known distance method to determine the photographic scale. Mission: Use the following values to determine the photographic scale: KD = 1 miles PD = 5 inches.

The Photographic scale is ______________________________.

Now, to compare your answers with those on the next page. need to, review the procedure in table 5-8.

If you

5-27

Solution: Photographic scale = KD PD. To solve the problem, you must first convert the KD (1 mi) and the PD (5 in) to inches. KD (feet)= 1 x 5280, or 3 x 5,280 = 15,840 = 7,920 ft. 2 1 2 1 KD (inches) = 7920 x 12, so 7,920 x 12 = 95,040 in 1 1 1 PD (5 inches) = 5.5 or 11 in. 2 190,080, or 17,280. 11 1

PSR = 95,040 11 = 95,040 x 2 = 1 2 1 11 The photographic scale is

1:17,280.

If you use a calculator, follow the steps below: Multiply 1.5 x 5,280 = 7,920 Multiply 7,920 x 12 = 95,040 Divide 95,040 by 5.5 = 17,280. Express the result as a ratio. This is 1:17,280

Lesson Summary. In this lesson you identified the procedures to orient a photograph to a map and the annotations that are required on a photograph. Additionally, you used the altitude/focal length, map, and known distance methods to determine the photographic scale. In the next lesson you will perform the calculations required to construct a bar graph. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 5 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the five steps to orient a photograph to a map. a. b. c. d. e. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

5-28

2.

Name the four annotations that must be placed on an aerial photograph. a. b. c. d. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

In items 3 through 5, you will be given the method for determining the photographic scale and specific photographic data. For each item, extract the applicable data and use the identified method to determine the photographic scale. Some of the data supplied will not be used. 3. Using the altitude/focal length method and the information below, determine the photographic scale. MSL is 25,000 ft., FL is 9 in, AGL is 26,500 ft., MSR is 1:50,000.

The photo scale is _________________________________ 4. Using the map method and the information below, determine the photographic scale. MSL is 18,750 ft, FL is 9 in, MD is .75 in, The photo scale is 5. AGL is 13,688 ft, MSR is 1:25,000, PD is 1 in. ________________________________

Using the known distance method and the information below, determine the photographic scale. MSL is 20,179 ft, FL is 1 ft KD is 2 mi. AGL is 19,800 ft, MSR is 1:10,000 PD is 3-3/16 in.

The photo scale is _________________________________

5-29

Lesson 3.

CONSTRUCTING A GRAPHIC SCALE

Introduction. Graphic scales are often placed on photographs to provide a way to convert distances measured in the photo to actual ground distances. Just like the graphic scale used on a map, the graphic scale that you devise for a photo must provide accurate measurements. In this lesson you will identify components of graphic scales and terms related to graphic scales. You'll also perform the calculations used to construct graphic scales. LEARNING OBJECTIVES 1. 2. 3. 4. Identify in writing the components that make up a graphic scale for a photograph. Select the term that identifies one increment of the primary scale on a bar graph. Select the term that identifies one increment of the extension scale on a bar graph. Given the least-distance reading, total distance, and the photographic scale, perform the calculations for constructing a bar graph. The Graphic Scale

5301.

A typical graphic scale is illustrated in figure 5-6. This scale consists of a photographic scale (1:50,000) and three bar graphs in different units; one is in kilometers, one is in statute miles, and the last is in nautical miles.
Scale 1:50,000 Meters 1000 1 1 500 0 0 0 1 1 1 2 3 2 2 4 5 Kilometers 3 Statue Miles 3 Nautical Miles

Fig 5-6.

Typical graphic scale.

A bar graph is divided into two parts; one is called the primary scale and the other is the extension scale. The primary scale extends to the right of the zero and contains at least three full-measure units. The extension scale extends to the left of the zero and contains a minimum of one full-measure unit. In other words, a bar graph that portrays a total ground distance of 4,000 feet normally extends a distance of 3,000 feet (3 fullmeasure units) in the primary scale and 1,000 feet (1 fullmeasure unit) in the extension scale. The extension scale is also subdivided into smaller increments, each of which symbolizes a least-distance reading.

5-30

a.

Terms. (1) A full-measure unit consists of either one increment of a "long" unit of measure such as a kilometer, statute mile, or nautical mile, or a block of 1,000 increments of a "short" unit of measure such as feet, yards, or meters. For example, one full-measure unit in the primary scale could be 1 statute mile or it could be 1000 feet. (2) A least-distance reading is the smallest distance unit accurately portrayed on the bar graph. For example, if the primary scale is incremented in units of 1,000 yards, the extension scale, which must extend for at least one full-measure unit (1,000 yards), could be graduated in 100, 200, 400, or 500-yard increments, depending on mission requirements. (3) In-scale length is the term that refers to the length of a measurement that is represented on a photo. For example, if one mile on the ground was represented by four inches on a photo, then four inches would be the inscale length.

Answer the following challenge questions to see how well you understand some of this basic information about graphic scales.

Challenge: 1. The part of the zero is the part of of the zero a bar graph that extends to the right of called the _______________________ and the bar graph that extends to the left is the ______________________.

2.

What term is used to describe a one increment measurement in the primary scale of a bar graph? ___________________________________________________

3.

What term is used to describe the smallest increment measurement in the extension scale of bar graph? ___________________________________________________

4.

What term refers to the length of a measurement that is represented on a photo? ___________________________________________________

5-31

Your answers should have as follows: 1. The part of a bar graph that is to the right of the zero is called the primary scale and the part of the bar graph that is to the left of the zero is the extension scale. Full measure unit Least-distance reading In-scale length

2. 3. 4.

If you didn't get these answers, you should study paragraph 5301 again before continuing. b. Preparation. To construct a graphic scale on a photograph, you must first perform some specific computations to determine the different lengths of components of the bar graph. But, before you can do that, you must complete the preliminaries the following chart outlines. After you read the chart, study the three examples that will take you through the computations needed to determine the lengths. Table 5-9. STEP 1 2 First Steps in Determining the Lengths of a Bar Graph ACTION Identify the scale of the photograph. Select the full-measure unit you will be using and the required conversion factors for making calculations. (Refer to the conversion tables in lesson 2, tables 5-2 and 5-3.) Identify the unit for least-distance reading. Determine the number of graduations (increments) for the extension scale by dividing the fullmeasure unit by the least-distance reading unit, applying conversion factors as needed.

3 4

c. Required computations: There are three computations you must perform to construct the bar graph. (1) First, you determine the in-scale length for one increment of the primary scale. The formula is: Full-measure unit x conversion factor = in-scale length Photographic scale reciprocal (PSR)

5-32

Example 1:

For this example, we'll use the formula at the bottom of the last page to determine the in-scale length of one primary scale increment for a bar graph that portrays kilometers as the unit of measure. The conversion factor for kilometers to inches (table 5-2) will be used to illustrate the versatility of the formula. Assume a :10,000 photo scale. ACTION EXPLANATION Km x 39,370 = inches 1 x 39,370 = 39,370 inches 39,370 inches 1 1:10,000 = 10,000 1 39,370 + 10,000 1 1 39,000 x 1 1 10,000 39,370 = 3,937 10,000

STEP 1 2 3

Convert 1 km into inches. Write the conversion as a fraction. Convert the photographic scale into the photographic scale reciprocal. Divide the fractional number from step 2 by the PSR.

The in-scale length of a 1 km increment is 3.937 inches. To make sure that 3.937 inches is indeed the in-scale distance of 1 km, multiply 3.937 by the PSR: 3.937 X 10,000 = 39,370 inches 1 (2) Next, you determine the in-scale length for one increment of the extension scale. Use one of the following formulas: In-scale length for one increment of the extension scale = In-scale length of one primary scale graduation Number of graduations OR Least-distance reading unit X conversion factor PSR

5-33

Example 2:

For this example, use the following formula to determine the in-scale length for one increment of the extension scale of a bar graph that uses kilometers as the unit of measure:

Least-distance reading unit X conversion factor PSR Use the conversion factor for meters to inches from table 5-2. Assume a 1:10,000 photo scale and a least-distance reading of 100 meters. STEP 1 ACTION Convert 100 meters into inches. Write the conversion as a fraction. Convert the photographic scale to the photographic scale reciprocal. Divide the fractional number from step 2 by the PSR. EXPLANATION Meters X 39.37 is the conversion factor 100 X 39.37 = 3,937 inches 3,937 inches 1 1:10,000 = 10,000 1 3,937 + 10,000 1 1 3,937 X 1 1 10,000 3,937 = .3937 10,000 The in-scale length for a 100m increment is .3937 inches. To check your computations, multiply .3937 by the PSR. .3937 x 10,000 = 3,937 inches (3) The third computation determines the total in-scale length of the bar graph; one of two formulas can be used depending on the information available and both will be illustrated in example 3. The two formulas are as follows: for the bar graph = Total in-scale length = 3,937 10,000

2 3 4

Full measure unit X 4 X conversion factor PSR OR In-scale length of a full-measure unit X 4

5-34

Example 3:

We'll use the full measure unit X 4 X conversion factor PSR formula first. The unit of measure is kilometers, with conversion factors for kilometers to meters and meters to inches. A 1:10,000 photo scale is assumed. ACTION EXPLANATION 1km = 1,000m. 1,000 X 4 = 4,000m 4,000 X 39.37 = 157,480 inches. (39.37 inches per meter is the conversion factor.) 157,480 1:10,000 = 10,000 1 157,480 + 10,000 = 1 1 157,480 x 1 1 10,000 or

STEP 1 2 3

Convert 1km into meters. Multiply the full measure unit by 4. Convert 4,000 meters into inches.

4 5 6

Write the conversion as a fraction. Convert the photo scale into the PSR. Divide the fractional number in step 3 by the PSR.

157,480 = 15,748 10,000 The total in-scale length of the bar graph is 15.748 inches. To verify that 15.748 inches is indeed the total in-scale length of the bar graph, multiply 15.748 by the PSR: 15.748 X 10,000 = 157,480 inches As we said earlier, the other formula for determining the total in-scale length is the in-scale length of a full measure unit X 4. Let's put it to use. If you look at example 1, you'll notice that the primary in-scale length is 3.937 inches. So, if you multiply 3.937 times 4, you will have the total in-scale length of 15.748 inches for the bar graph. (3.937 inches X 4 = 15.748 inches.) You should realize that if you know the in-scale length of one full measure increment, it is easy to determine the total in-scale length for the complete bar graph. 5-35

Ok, now it's your turn!

You know the following information:

the photographic scale is 1:16,000 the unit of measure will be yards the total distance is 4,000 yards the full-measure unit is 1,000 yards the least distance reading is 200 yards.

You will use yards to feet (yards X 3) and feet to inches (feet X 12) for all conversions. Your mission is to compute the following: 1. The in-scale length of one full measure increment (unit) of the primary scale. 2. The number of 1000-yard increments you will use for the total bar scale. 3. The number of 200-yard increments you will use in the extension scale. 4. The in-scale length of an increment of the extension scale. 5. The total in-scale length of the bar graph.

5-36

How did you do? 1.

Compare your answers with these solutions.

The in-scale length of one full measure unit of the primary scale: Full-measure unit x conversion factor = in-scale length Photographic scale reciprocal (PSR) 1,000 yards X 3 feet per yard X 12 inches per foot = 36,000 inches. 36,000 inches PSR = 36,000 16,000 = 2.25 inches

If you want, you can combine the calculations: 1,000 X 3 X 12 = 36,000 = 2.25 (2) inches 16,000 16,000 Check: 2. 3. 2.25 X 16,000 = 36,000 inches.

You will have four 1,000 yard increments; three for the primary scale and one for the extension scale. You will have five 200 yard increments for the extension scale. 1,000 yards 200 yard least-distance reading = 5

4.

The in-scale length of a full measure of the extension scale is 2.25 inches. Since there are five 200 yard increments in the extension scale, the in-scale length of each increment is 2.25 inches = .45 inches 5 The total in-scale length of the bar graph = In-scale length of a full-measure unit X 4 1,000 X 3 X 12 X 4 = 144,000 = 9 = 9 inches 16,000 16,000 1 Check: 9 X 16,000 = 144,000 inches or 4,000 yards.

5.

If you had a difficult time with these computations, study the three examples in paragraph 5301c and then work the computations again.

5-37

5302.

Constructing the Graphic Scale

As with a many other annotations, you can construct the graphic scale on a separate sheet of paper and affix it to the photo or construct it on the photo. The preferred method is to put it on a separate sheet of paper. Note: Again, notice that the pages that state the procedure for laying out and constructing a graphic scale (table 5-10) are perforated so that you can remove them and use them as a job aid.

Take some time to study table 5-10 which goes through the procedure for constructing a graphic scale; doing this will give you a good review for the lesson exercise. Good luck on the review and see you for the next study unit!

5-38

Table 5-10. STEP 1

Constructing a Graphic Scale EXPLANATION

ACTION Gather the necessary tools and materials: Writing instruments Ruler

They include items such as a lead pencil, ball point pen, technical pen, etc. Use a ruler with increments in the appropriate unit of measure (in, cm, mm) such as a 12-18 inch ruler, draftsman's rule, engineer's rule, etc. Use plain white bond paper. Make it slightly longer than the total in-scale length that the bar graph is to portray. This line is drawn to the total in-scale length of the bar graph. Once both lines are drawn, you will have constructed a long, thin rectangular box. Start at the left side of the bar graph. After completing this step, you will have the bar graph divided into full measure units. Start at the left side of the bar graph. Mark only one full measure unit. This part will become the extension scale.

Sheet of paper

Construct a base line.

3 4

Scribe a line 1/8 inch above and parallel to the base line. Draw perpendicular lines closing off the ends. 5 Measure and mark the inscale full measure lengths on both the base and upper lines. Draw perpendicular lines at each mark made in step #5. Measure and mark the least-distance reading units to in-scale length on the base and upper lines. Construct perpendicular lines closing off each least-distance reading.

6 7

5-39

Table 5-10. STEP 9

Constructing a Graphic Scale--cont'd. EXPLANATION This represents the division point between the extension scale and the primary scale.

ACTION Identify and lightly draw a 0 above the perpendicular line that lies between the first and second units. Shade in alternate least-distance reading units.

10

Start with the second unit to the left side of the "0" and darken every other unit or Scribe a horizontal line through the center of the extension scale; then, shade in the top half of every other least-distance unit. Start at the "0" point and work to the left. Start at the "0" point and work to the right, shading in every other unit, or use the alternate procedure shown in step 8 of this table. Place the numbers in normal sequence (1, 2, 3). From the 0, work your way to the left. Place the numbers in normal sequence (100, 200, 300). From the 0, work your way to the left. Place the entry on the right side of the bar graph. Place the entry on the left side of the bar graph. Place the entry approximately 1/8 inch above and centered on the bar graph.

11

Shade in alternate full Measure units.

12

13

Draw and letter the numbers (1, 2, 3) for each full measure unit of the primary scale. Draw and letter the least-distance reading units. Annotate the unit of measure (kilometers, Statute miles, etc,) for for the primary scale. Annotate the unit of measure (kilometers, statute miles, etc.) for the primary scale. Annotate the photo scale.

14

15

16

5-40

Table 5-10. STEP 17

Constructing a Graphic Scale--cont'd. ACTION EXPLANATION

Erase marks, smudges, pencil lines, etc. If you work with units of statute or nautical miles, an extension scale can be divided into units such as 1/1, 1/2, 1/4, 1/8, of a mile. If you work with units of feet, yards, or meters, an extension scale could be divided into units such as 100, 200, 300, 500, or 1,000 feet, yards or meters.

Note:

5-41

Lesson Summary. In this lesson you applied the formulas for calculating in-scale lengths used to lay out and annotate a graphic scale on a photograph.

Exercise:

Complete items 1 through 5 by performing the action required. Check your responses against those listed at the end of this study unit.

1. 2. 3.

The part of a bar graph that extends to the right of the "0" is called the _____________________________. The part of a bar graph that extends to the left of the "0" is called the _____________________________. What term describes one increment in the primary scale of a bar graph? a. b. c. d. Least-distance reading Extension unit In-scale unit Full measure unit

4.

What term describes the smallest increment of the extension scale in a bar graph? a. b. c. d. Extension unit Least-distance reading Full measure unit In-scale unit

5.

Perform the necessary calculations to construct a bar graph by completing sections a. through e. of the problem below. Given: Least-distance reading: 200 yards Total distance: 4000 yards Photographic scale: 1:24,000 a. b. c. d. e. Determine the number of increments in the primary scale. Determine the number of increments in the extension scale. Determine the in-scale length of the bar graph. Determine the in-scale length of a full-measure unit. Determine the in-scale length of a least-distance reading.

5-42

UNIT SUMMARY In this study unit you identified terms related to imagery intelligence, the types of images sensors produce, and the limitations of the various sensors. You identified procedures for orienting a photograph to a map and the methods used to determine the scale of an aerial photograph. You also performed the calculations needed to construct a graphic scale for a photograph. When your section receives unannotated photographs, you should now be able to perform the actions necessary to support your section's intelligence effort. In the next study unit you will identify procedures related to the information security program. Lesson 1 Exercise Solutions Reference 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. d. e. f. a. g. c. b. c. a. b. Airborne photographic sensors Airborne infrared sensor airborne radar sensor. 5101 5101 5101 5101 5101 5101 5101 5102 5102 5102 5103 5103 5103 Reference 1. a. b. c. d. e. 2. a. b. c. d. 3. 4. Locate at least two features on the map that are in the photo. Place the photograph on the map so that you can see the selected features. Align the selected features in the photo with the same features on the map. Tape the photo to the map. Affix or annotate the north arrow. North arrow Security classification Grid reference and registration point Photo scale 5201

Lesson 2 Exercise Solutions

5203

1:35,300 1:15,000 5-43

5204 5204

5.

1:39,755

5204 Reference

Lesson 3 Exercise Solutions 1. 2. 3. 4. 5. primary scale extension scale d. b. a. 3 b. 5 c. 6" d. 1.5" e. .30" 5301 5301 5301 5301 5301

5-44

STUDY UNIT 6 INFORMATION SECURITY Introduction. A continuing threat to our national security exists in spite of the dramatic international political events of 1990-1992. Although we may feel relieved that the "cold war" has ended and that the Communist regime has literally broken apart, we must also be aware of increasing personal, national, and international danger. Indeed, the military threat may have diminished, but the threat of leaks of sensitive information and materials relating to national defense has not; if anything, it has increased significantly. Espionage activities targeted against the United States have increased, both within the nation and abroad. No matter what your rank, during your daily duties as an intelligence specialist, you will work with highly classified materials and one of your most important responsibilities will be to protect that information. This study unit addresses information security guidelines you must follow to prevent unauthorized persons from gaining direct access to extremely sensitive materials. These guidelines are critical tools for managing a security system, classifying and declassifying, upgrading and downgrading classified materials, marking classified materials, and accounting for and controlling classified information. Lesson 1. CLASSIFICATION MANAGEMENT

LEARNING OBJECTIVES 1. 2. 3. 4. 5. Select the order that establishes the legal basis for classifying information. Choose the primary purpose for classifying information. Name the only authority within the Department of the Navy that may modify an original classification. Name two types of classification authority. State the two findings that an original classification authority (OCA) must make before it can classify information. State who is responsible for the accuracy and appropriateness of classifications assigned to a document. List the three specific responsibilities of any classifying official.

6.

7.

6-1

6101.

The Legal Basis for Classification

Executive Order (EO) 12356, amended by the Atomic Energy Act of 1954, provides the legal basis for classifying information. OPNAVINST 5510.1_, Information and Personnel Security Program Regulation, implements EO 12356 in the Department of the Navy (DON). The DON policy is to make available to the public as much information concerning its activities as possible, consistent with the need to protect national security. The OPNAV relates material management to security and discourages unnecessary classification. Safeguarding, or keeping classified information "secure" (away from unauthorized use), is a primary responsibility of every Marine. What are some examples of materials that could be classified? Any or all of the materials listed in table 6-1 could be classified if they contain information that requires protection in the interests of national security. Table 6-1. Examples of Classifiable Material EXAMPLES Correspondence, reports, studies, publications, manuals, charts, maps, overlays, sketches, and photographs Video or audio tape recordings, digital recording media, and computer hardware and software

TYPE OF MATERIAL Printed or graphic Material

Other types of material

Do you recall the number of the Executive Order that establishes the legal basis for classifying information? Write it below. _________________________________________________________ If you said that the number of the Executive Order is 12356, Congratulations! It is an easy number to remember and is an important part of the basis for all intelligence work.

6-2

6102.

Purpose for Classifying Information

The primary purpose for classifying material that could help an enemy and threaten our security is to restrict access and distribution of that material in the interests of national security. Doing so is a passive counterintelligence measure. Let's see exactly what that means. Counterintelligence measures are of two types, active and passive. The purpose of both types is to deny information to the enemy, detect enemy intelligence activity, and deceive the enemy as to our status or intentions. Active measures are designed to actively interfere with enemy sabotage/subversion and the enemy intelligence collection effort. On the other hand, passive measures are designed to conceal information from the enemy. As you just learned, maintaining the security of classified matter is a prime example of passive counterintelligence. Management of access and distribution is a complex task. The remainder of this study unit will describe the elements of this task and the classification responsibilities of intelligence specialists at all levels in the chain of command. Once the decision is made to classify material, how exactly will the material be designated or categorized? We'll discuss this next. 6103. Authorized Classification Designations

The three authorized classification designations are top secret, secret, and confidential. These designations all relate to sensitive defense material. Your job is to protect such material from unapproved disclosure.

6-3

Table 6-2.

Standards for the Three Classification Designations EFFECTS of UNAUTHORIZED DISCLOSURE Unauthorized disclosure could...

DESIGNATION

Top secret (TS)

result in exceptionally grave damage to our security or interests. The consequences include: a definite break in diplomatic relations that would drastically affect national security. armed hostilities against the U.S. or its allies.

Secret (S)

result in serious damage to our security or interests by disrupting international relations so as to affect national security endangering a defense program or policy directly related to national security. compromising scientific or technological developments relating to national defense. revealing important intelligence operations.

CONFIDENTIAL (C)

result in identifiable damage to national security by revealing the operational strength of ground, naval, and air forces. performance characteristics, test data, and design and production data on U.S. weapons systems and munitions.

Note:

Classifications cannot be combined. You cannot create, for example, a "top secret-secret" or "secret-confidential" classification.

Those portions of classified documents and materials that do not contain sensitive information must be marked "UNCLASSIFIED" (U). Remember "unclassified" is a marking, not a classification. There are several other markings we need to discuss briefly. Note:

Two

6-4

of the markings for unclassified material you need to recognize are FOUO; For Official Use Only, and LOU; Limited Official Use. FOUO LOU For Official Use Only Limited Official Use

These two markings are used only to restrict the circulation of unclassified information. The designation for official use only protects the public interest rather than the national security, and, although it does not require the same precautions for storage and handling as classified information, it does require more security than material with no markings at all. Warning notices such as restricted data (RD) or formerly restricted data (FRD) concern information that relates to the design, manufacture, or use of fissionable material to produce propulsive power or nuclear weapons. RD FRD Restricted Data Formerly Restricted Data

The declassification instruction OADR, originating agency's determination required, means that the originating agency must decide when the document should be downgraded or declassified. The warning/control marking NOFORN means the material is for use only by representatives of the United States; it may not be released to foreign nationals or foreign governments without permission from the originating agency. As you might expect, materials with this designation require special handling. To review, what is the purpose for classifying information? __________________________________________________________ __________________________________________________________

Did you remember that the primary purpose of classifying information is to restrict access to and distribution of that information in the interests of national security? If you did, congratulations! If not, you may want to review paragraph 6102. Who has the authority to assign a classification? Where does this authority come from? We'll answer these questions now.

6-5

6104.

Two Types of Classification Authority

There are two types of authority for classifying materials. Original classification authority (OCA) is the authorization to determine what materials will be classified, and derivative authority is the authorization to transfer markings from an original of a classified document to a second document. If a command has been designated as an OCA, it will be given a level of original classification authority. An OCA has inherent authority to determine whether or not a subject is sensitive, and, if so, to what degree it should be protected (up to the level of its authority). Anyone who reproduces, rewrites, paraphrases, or reshapes previously classified information for use in a second document exercises derivative classification authority. In your duty as an intelligence specialist, you will, almost daily, exercise derivative authority to mark classified materials that you produce within your unit. The chart below shows how to use derivative authority.

IF... an OCA produces a special study

AND... you use parts of it to make a report,

THEN... you must transfer the markings from the source study to your report!

Note: 90-95% of the classified materials produced in an intelligence section are classified using derivative authority. Original classification authority (OCA) can be delegated; table 6-3 gives an instance of this. In this case, the Secretary of the Navy has delegated classification authority to the Chief of Naval Operations. Table 6-3. Delegation of Top Secret (TS) Classification Authority Delegated TS Authority Chief of Naval Operations

Original TS Authority (OCA) Secretary of the Navy (May delegate this authority to other units.)

6-6

Besides determining original classification, the only office that may modify an original classification is an OCA such as the Secretary of the Navy, Chiefs of Staff, or selected commanding officers who may change or modify such classifications. (This includes modifying other controlling determinations such as warning notices, control markings, declassification dates or events, and downgrading instructions.) Now, let's take a closer look at how the two classification authorities are exercised in the Marine Corps. Table 6-4 provides a partial listing of officials within the Marine Corps who are designated by the Secretary of the Navy as original top secret classification authorities (TS OCA's). Table 6-4. USMC Original TOP SECRET Classification Authorities

Commandant Assistant Commandant Chiefs of Staff, Headquarters Marine Corps Commanding General, Marine Corps Combat Development Command Director of Intelligence Commanding Generals, Fleet Marine Forces Atlantic and Pacific Commanding General, Second Marine Expeditionary Force Note: A complete listing of Department of the Navy officials who are designated original top secret or original secret classification authorities is available in OPNAVINST 5510.1_.

What is the designation for the only authority within the Department of the Navy that may modify an original classification? __________________________________________________________

6-7

Did you remember that the only authority within the Department of the Navy that may modify an original classification is an OCA? This is an important concept. If you're in doubt, you may want to review paragraph 6104. While a command designated as an OCA has the inherent right to determine a classification for materials that originate in the command, it cannot assign a higher classification level than that allowed by its authority. As you can see here, a secret classification authority may classify to secret, confidential, and unclassified levels only. AUTHORITY OCA Top Secret OCA Secret OCA Confidential CLASSIFICATION LEVELS Top Secret, Secret, Confidential (+ Unclas) Secret, Confidential (+ Unclas) Confidential (+ Unclas)

Time to refresh your memory again. What are the two types of authority for classifying materials? ________________________________________________________ The two types of classification authority to remember are original and derivative. So far we have studied the legal basis for classifying, the primary purpose for classifying, the offices within the Department of the Navy that retain authority to modify an original classification, and the two types of classification authorities. The remainder of this lesson will deal with what the classifying agent is responsible for when performing classification. 6105. Two Findings an OCA Must Make Before it can Classify Information

Before an OCA can classify information, it must decide that: (1) the information is relevant to specific classifiable subject matter, and (2) unauthorized disclosure of the information could damage national security. An estimate of the potential damage that unauthorized access to sensitive material could cause to the national security determines the level at which that information must be protected, and the assignment of an original classification is partially based on that estimate. The more serious the potential damage, the greater the need to protect the information and the higher the classification required.

6-8

Classification is also based on specific content. sensitive part can classify a much larger whole.

Even a small

Table 6-5 lists subjects that, based on specific content, may hold a potential for classification. A designated OCA should examine information that falls into any of these categories to see if classification is needed. Table 6-5. Potential Subjects for Classification

Sensitive information sources and resources Military plans, weapons, or operations Capabilities and vulnerabilities of systems, projects, installations, or plans related to national security Foreign government information. This is information that a foreign government has classified and given to the U.S. as part of a program, project, or treaty. Intelligence activities, including special activities and intelligence sources or methods Scientific, technological, or economic matters relating to the national security United States programs for safeguarding nuclear materials or facilities Cryptology What are the two findings an OCA must make about material before classifying it? a._______________________________________________________ b._______________________________________________________ Those findings, as you no doubt remember, are: (a) that the information is relevant to specific classifiable subject matter and (b) that unauthorized disclosure of the information could damage national security. 6106. Three Responsibilities of the Classifying Official

Anyone who gives material a classification is accountable for the accuracy and appropriateness of that classification. In other words, you, as an intelligence specialist, are responsible and accountable for assigning the correct classification to materials you create or reproduce!

6-9

A classifying official has three specific responsibilities when classifying information: a. To respect the determinations and decisions of the original classification authority b. To verify, as far as possible, the level of classification

c. To transfer the markings assigned by the OCA when producing information extracted from classified material. (The need to transfer markings applies to classification markings, warning notices, handling notices, and declassification instructions.) To summarize, classifying officials must always - respect the OCA determinations. - carefully check the classification levels. - transfer classification markings accurately. Who is responsible for the accuracy and appropriateness of classifications? _________________________________________________________ The answer to that very important question is anyone who classifies information. 6107. Limitations on Classification Authority

There are three general limitations on classification authority. You may not use either original or derivative classification authority to: intentionally conceal violations of law, inefficiency, or administrative error to prevent embarrassment to a person, organization, or agency; or to restrain competition. use a reference to classified information as a justification for classifying a document when the reference does not disclose classified information. use classification to limit, delay, or otherwise control the dissemination of unclassified information or of information that cannot be classified according to the provisions of OPNAVINST 5510.1_.

6-10

There are three specific limitations on classification authority: A top secret OCA must personally honor requests for information made under the Freedom of Information Act, Privacy Act, or during a mandatory declassification review. (Information still considered sensitive may be withheld.) Anyone who originates information may tentatively classify the information, at least temporarily, if he or she believes it should be classified. The information will be protected according to its assigned level of classification and original classification authority is not required. In this case, you, as an intelligence specialist, would precede the intended classification with the word TENTATIVE (TENTATIVE SECRET, for example). You would forward the classified information through the chain of command to the senior original classification authority who has the appropriate determination authority. That official will verify the classification. Before placing the material in transit, you must also write up and include a letter of transmittal and justification. The letter of transmittal is nothing more than a cover letter stating that the information is tentatively marked for protection. The senior OCA will review the tentatively classified information and decide on its final classification level. Classified information will remain classified as long as national security considerations require. The OCA assigns termination dates or events, or an "indefinite duration" for the classification. At declassification time, a designated OCA in the originating agency will give the information a classification review. What are the three specific responsibilities of a person who is classifying information or materials? a._____________________________________________________ b._____________________________________________________ c._____________________________________________________ If you answered (a) respect the OCA determinations, (b) verify the level of classification to the extent possible, and (c) transfer original markings assigned by the OCA, you're right. Congratulations! If you answered differently, go back and study the beginning of paragraph 6106.

6-11

Lesson Summary. This lesson taught you the legal basis for classification, the primary purpose for classifying information, the offices within the DON that retain authority to modify an original classification, and the two types of classification authorities. You also learned the two findings that an OCA must make to classify information and the person responsible for the accuracy and appropriateness of classifications. In the next lesson you will learn how to declassify information and how to downgrade or upgrade a classification. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 7 by performing the action required. Check your responses against those listed at the end of this study unit. 1. Which order establishes the legal basis for classifying information? a. b. c. d. 2. OPNAVINST Executive Executive OPNAVINST C5513.1a Order 12356 Order 12333 5510.1_

The primary purpose for classifying information is to a. b. c. d. ensure that the information or materials are properly marked. restrict access to and distribution of those materials. ensure that the information or materials are properly stored. ensure that only those personnel who have access to the information or materials may view them.

3.

Name the only authority within the Department of the Navy that may modify an original classification. _____________________________________________________

4.

Name two types of classification authority. a. b. _________________________________________________ _________________________________________________

5.

What are the two findings that an OCA must make before it can classify information? a. b. _________________________________________________ _________________________________________________

6-12

6.

Who is responsible for the accuracy and appropriateness of classifications assigned to a document? _____________________________________________________

7.

List three specific responsibilities of any classifying official. a. b. c. _________________________________________________ _________________________________________________ _________________________________________________

Lesson 2. DECLASSIFYING, DOWNGRADING, AND UPGRADING CLASSIFIED INFORMATION LEARNING OBJECTIVES 1. 2. 3. 4. Match the terms declassify, downgrade, and upgrade with their definitions. List three classification duties of an OCA. List two factors that can lead to a decision to declassify or downgrade material. Identify the publication that lists classified documents that are not to be declassified or downgraded even after a systematic review. List two factors an OCA must consider before it can upgrade classified material.

5.

Introduction. As an intelligence specialist who routinely "holds" (takes care of or works with) classified materials, you will sometimes be notified, usually by an OCA, that there needs to be a change in the level of classification--that certain information needs to be reclassified or declassified, or requires different warning or handling notices. This lesson will show you what to do in these cases. 6201. Marking Material to Show Classification Changes

When changes in classification are necessary, you will conspicuously mark the material to show the following: the change the authority for the action (authorizing OCA and message date/time group) the date the action is completed

6-13

the name and location of the person who actually made the change

These details should always appear in this general format using standard marking procedures. - - (CHANGED INFORMATION) - CLASSIFIED BY: ON: CNO 151634Z NOVEMBER 1993 18 NOVEMBER 1993 BY JOE B. MARINE, 2D SRIG Table 6-6 explains

What are the coded parts in this format? these entries. Table 6-6.

Details of Classification Change Notice Is... CNO 151634Z NOVEMBER 1993 18 NOVEMBER 1993 JOE B. MARINE, 2D SRIG

The Authorizing OCA Message date/time group Date the action is completed Person who made the change and his/her location

In this lesson you will learn what it means to declassify, downgrade, and upgrade the classification status and how to do so. You will then be able to undertake this responsibility when you are ordered to change classification status. 6202. Definitions of Declassify, Downgrade, and Upgrade

As an intelligence specialist, you may, on the determination of an OCA, administratively declassify, downgrade, or upgrade classified material. Table 6-7 gives the definitions of the three actions.

6-14

Table 6-7. Declassify

Definitions of the Three Classification Actions To remove material from a safeguarded or classified status by changing its status to unclassified, removing restrictions and markings in the process. The OCA may specify that certain controls will still apply. To re-mark material with a lower level of classification To re-mark material with a higher level of classification

Downgrade Upgrade

Note:

Reclassifying is similar to upgrading except that this term applies to declassified materials that, because of some event or situation, require renewed protection in the interest of national security.

Did you notice the main difference between the type of action involved in declassifying and that in up-or downgrading? See if you can write it here. ______________________________________________________ The difference is that declassifying is the removing of material from a classified status to an unclassified status. On the other hand, up- and downgrading involve making changes to the level of classification. A practical situation illustrating downgrading follows. Example: Suppose you paraphrased, summarized, or reshaped information from a SECRET source to produce a Tactical Analysis of Weather and Terrain (Appendix 8 to Annex B). How would you mark your appendix? The answer is SECRET unless your OCA determined that your rewording of the material had removed the basis for retaining the SECRET classification. In that case, the OCA would authorize you to administratively downgrade the level of classification of that appendix.

6203.

The OCA's Three Classification Duties

While using your derivative authority to do intelligence work, you may recognize that an event, a piece of information or occurrence, has had the same effect as a formal declassification notice.

6-15

In this case, you should ask the OCA to review the material and situation to determine whether the material should be declassified or downgraded. Remember, only an OCA has the authority to declassify, downgrade, or upgrade material. Do not confuse this authority with your administrative responsibility as a custodian of the material to follow instructions to re-mark that material. In your work, you should be constantly alert to any use of classified material that might require an OCA decision to change the classification. Let's look at what OCA does. An OCA

a. determines the eligibility of materials for classification or reclassification. b. reviews classifiable information to determine an appropriate level of classification. c. distributes messages instructing custodians of the material on changes to its classification. 6204. Factors Influencing an OCA to Consider Declassifying and/or Downgrading

What makes an OCA modify classifications? There are two basic factors an OCA uses to decide whether to declassify or downgrade: a. A specific event that could or would remove the original need to protect the material. b. The normal passage of time as noted in the declassification instructions. Be aware that the intervals may differ from those for the systematic reviews conducted after 30 or 50 years. Much information loses its sensitivity well before the end of such long intervals. What are the three classification duties an OCA performs? 1. 2. 3. _______________________________________________________ _______________________________________________________ _______________________________________________________

The OCA (1) reviews materials and determines their eligibility for classification or reclassification, (2) determines an appropriate level of classification, and (3) distributes messages instructing custodians on changes to material classification.

6-16

6205.

The Systematic Review of Classified Materials

As stated, the OCA sets up reviews of classified materials to consider modifying classifications after the normal passage of time. There are three types of reviews that can take place. a. Systematic review. The National Archives stores copies of all originally classified materials. In the systematic review process, the Archivist of the United States, assisted by the Chief of Naval operations (CNO), conducts a periodic 30-year review that is routine for most subjects. There is also a 50year review for special subjects like intelligence (sources, methods, and special activities), and for cryptographic materials created after 1945. Those materials and/or portions of materials that require continued protection are identified in the "Continued Protection Guidelines" published in OPNAVINST C5513.10_, Department of the Navy (DON) Security Classification Guidance for Miscellaneous Programs. This publication lists classified documents that are not to be declassified or downgraded even after systematic review. Note: Any Department of the Navy information 30 years old and not identified in the OPNAVINST may be automatically declassified.

b. Review by instructions. Classified documents that show specific dates or events for declassification or downgrading but are not listed in OPNAVINST C5513.10_ or in an OCA's notification may be declassified or downgraded according to the instructions on the document itself. c. Navy and Marine Corps review policy. Navy and Marine Corps commands are not required to conduct a systematic review of materials for declassification purposes; they may instead refer to OPNAVINST C5513.10_ and follow its instructions. What are the two factors which can lead to a decision to declassify or downgrade material? a.___________________________________________________ b.___________________________________________________ The two factors are the normal passage of time and the occurrence of specific events.

6-17

6206.

Considerations for Classifying Formerly Unclassified Materials and for Upgrading Classified Materials

Material that has been previously unclassified may be classified only when an OCA determines that control of the information has not been lost and that loss of control can still be prevented. An OCA can upgrade classified material only when it can promptly notify all the known holders of the assigned, reassigned, or upgraded classification and ensure that all known holders have access to the higher classification level

or ensure that the information can be promptly retrieved from holders who do not have proper access.

Whenever classified material is incorrectly disseminated as unclassified (or is underclassified), every effort must be made to retrieve, safeguard, and properly mark and control that material! Many materials, resources, and methods that you will use in your work will remain classified until well after you have left the Marine Corps. In these cases, you will retain responsibility for the security of the information even after leaving the service! You must not divulge anything about the information or the methods used to obtain or secure it. What are the two factors an OCA must consider before upgrading material? 1.______________________________________________________ 2.______________________________________________________ The OCA must be able to (1) promptly notify all known holders of the upgraded classification and ensure that the holders have access to the higher classification level or (2) ensure that the information can be promptly retrieved from holders who do not have the proper access. I'm sure you got these answers, but if you didn't, you may want to review paragraph 6206. Lesson Summary. In this lesson you learned the factors that lead to a decision to declassify, downgrade, or upgrade classified materials. You also identified a source to use to review classified materials. In the next lesson you will learn how to mark classified materials and the functions of the various markings.

6-18

Exercise: Complete items 1 through 7 by performing the action required. Check your responses against those listed at the end of this study unit. Matching: For items 1 through 3, match the procedure in column 1 to its definition in column 2. Place your responses in the spaces provided. Column 1 Procedure ___ ___ ___ 1. 2. 3. Downgrade Declassify Upgrade a. b. c. Column 2 Definition To re-mark material with a higher level of classification To remove material from a classified status To re-mark material with a lower level of classification

4.

List three classification duties of an OCA. a. __________________________________________________ b. __________________________________________________ c. __________________________________________________

5.

List two factors that can lead to a decision to declassify or downgrade material. a. b. _________________________________________________ _________________________________________________

6.

Which publication lists classified documents that are not to be declassified or downgraded even after a systematic review? a. b. c. d. Continued Protection Guidelines, OPNAVINST 5513.10_ Information and Personnel Security Program Regulation, OPNAVINST 5510.1_ Classification Guidelines, SECNAVINST 3000.2B National Intelligence Products Register, DOD Pub 124-365-2004

6-19

7.

List two factors that an OCA must consider before upgrading material. a. b. _________________________________________________ _________________________________________________

Lesson 3.

MARKING CLASSIFIED MATERIALS

Introduction. Classification markings help control classified information. In this lesson you'll learn the basic categories of markings including warning notices and control markings. You'll learn why these markings are placed on classified documents and where to place them. Then you'll study figures that illustrate the placement of markings. LEARNING OBJECTIVES 1. 2. 6301. List the seven types of classification markings placed on classified materials. Given selected classification markings, match them with their locations on a document page. The Seven Types of Classification Markings

One of your main duties as an intelligence specialist will be to mark material in the prescribed ways spelled out in the classification instructions your original classification authority (OCA) assigned. As you remember from lesson 1, the primary purpose for identifying and classifying material is to restrict access and distribution of that material. Your purpose in marking will be to leave no doubt about how holders of material are to restrict access and distribution. Suppose you were to mark something TOP SECRET. Anyone reading these words would know immediately that access to and distribution of that material would be most severely restricted. But there would be other prescribed classification information they would expect to find along with that top secret marking. This additional information gives instructions for using the material and downgrading and declassifying it in the future. There are seven specific types of classification markings you will routinely use. These involve classifications, warning and control markings, origin, and other data and instructions. Table 6-8 describes each type.

6-20

Table 6-8. TYPE

The Seven Types of Classification Markings DESCRIPTION TOP SECRET/SECRET/CONFIDENTIAL/UNCLASSIFIED (Parts of a document can have different levels) Original Classification Authority (OCA) or the words "Multiple Sources" if there is a list of sources. The list is filed with the record copy of the document. The specific date or event for declassification or the statement "Originating Agency's Determination Required" (OADR) if no specific date or event for declassification has been determined. You would use the most remote date or event if the data were from multiple sources and the declassification dates on those sources varied. Dates or events that permit downgrading and instructions for doing so Agency or office that prepared the material Date of origination Special warning notices and control information

1. Level of classification 2. Classification authority

3. Declassification

4. Downgrading instructions 5. Preparer 6. Date 7. Warning/control markings

The following pages give instructions on and examples of how these markings are supposed to look. 6302. Placement Guide for Classification Markings

OPNAVINST 5510.1_ explains where to place each type of marking. a. Overall level of classification. You stamp this marking in red ink in oversized capitals on the top and bottom of the front and back covers and on each interior page. Center each line between the left and right margins. On typed correspondence you can use ordinary capitals beginning at the left margin above the address (From/To) block. b. Level of classification (portion marking). Place this marking immediately following each title and subtitle and before each paragraph and subparagraph. Use the following approved abbreviations for each level of classification: (TS), (S), (C), and (U).

6-21

Mark graphics as follows: PLACE LEVEL OF CLASSIFICATION HERE (SAME) LEVEL OF CLASSIFICATION c. Classification authority. Type in capital letters and place at the bottom left of the cover page and/or on the front (first page) of the document above the overall classification level and any applicable control marking. Name the classifying authority (OCA) or a derivative source. Format the authority marking like this: CLASSIFIED BY: (NAME OF AUTHORITY) d. Declassification instructions. Use capital letters at the bottom left of the cover page and/or on the first page of the document, just below the classification authority marking. Format declassification instructions like this: DECLASSIFY ON: (DATE OR EVENT) Or, you may abbreviate the marking as follows: DECLAS: 30 SEP 2023 or DECLAS: OADR e. Downgrading instructions. If these instructions are used, place them immediately above declassification instructions, in capitals, on the cover and/or first page of the document. For example: DOWNGRADE TO: CONFIDENTIAL ON: 30 SEPT 1994

f. Agency or office that prepared the material. You'll usually place this in the lower front center of the cover and/or on the first page of a document. If the document is correspondence, place it in the letterhead, reply block, address block, or signature block. g. Date of origin or preparation. Place on the front cover, just below the document title, and/or on the first page of correspondence in the reply block. h. Warning notices and control markings. Warning notices and control markings specify that information in a document is subject to certain restrictions. Both take three forms--full, shortened, and abbreviated--depending on where the information appears and which page you are marking in the document. Table 6-9 provides a quick reference to the placement of each of the three forms of warning notices and control markings. Table 6-9. Placement of Warning Notices and Control Markings

6-22

FORM OF MARKING FULL

PLACEMENT OF WARNING NOTICES On the cover/title page and first page, beneath the classification authority (in place of declassification instructions) Following the overall classification marking at the top or bottom center of pages showing information subject to the warning; at the top left on the first page of correspondence and in the classification line of messages

PLACEMENT OF CONTROL MARKINGS On the cover/title page and first page, above the overall classification marking at the bottom center Same as the shortened form of warning notices. A second control marking may be placed after the first. Example: SECRET/NOFORN/WNINTEL

SHORTENING

ABBREVIATED Following portion markings (S-RD, S-FRD or S/RD, S/FRD)

Same as the abbreviated form of warning notices. Example: S/NF/WN

Table 6-10 is a quick reference to the five most common warning notices; the form of each notice is illustrated exactly as it must appear in marking. Notice the relationship among the three forms of each notice. The abbreviated form is derived from the shortened form, and the shortened form is derived from the first statement in the full notice.

6-23

Table 6-10. FULL:

Forms of the Five Most Common Warning Notices DATA. This material contains Data as defined in the Atomic of 1954. Unauthorized disclosure to administrative and criminal

RESTRICTED Restricted Energy Act is subject sanctions.

SHORTENED: ABBREVIATED: FULL:

RESTRICTED DATA. RD FORMERLY RESTRICTED DATA. Unauthorized disclosure is subject to administrative and criminal sanctions. Handle as Restricted Data in foreign dissemination as defined in section 144b, Atomic Energy Act of 1954. FORMERLY RESTRICTED DATA. FRD

SHORTENED: ABBREVIATED:

The following three warning notices apply to Communications Security (COMSEC) materials. COMSEC materials are marked with the full warning only at the bottom left of the cover/ title and first pages, in place of (but in the same place as) declassification instructions. Notice that there are no shortened or abbreviated forms for these warnings. FULL: COMSEC material - Further dissemination only as directed by _______________ or higher DoD authority. (Fill in a specific agency or office.) If the COMSEC material is to be released to contractors, the full marking is: COMSEC material Access by contractor personnel restricted to U.S. citizens holding final Government clearance.

If the COMSEC material is subject to reproduction controls, the full marking is: COMSEC material Reproduction requires approval of originator or higher DoD authority.

Control markings specify handling instructions for materials that contain information of intelligence value to a foreign nation. These markings are known as intelligence control markings.

6-24

Table 6-11 gives the meaning of the three forms of the most common intelligence control markings; each form is illustrated as it must appear in classification marking. Table 6-11. FULL: SHORTENED: ABBREVIATED: FULL: SHORTENED: ABBREVIATED: FULL: SHORTENED: ABBREVIATED: FULL: SHORTENED: ABBREVIATED: FULL: Intelligence Control Markings

WARNING NOTICE - INTELLIGENCE SOURCES OR METHODS INVOLVED WNINTEL WN NOT RELEASABLE TO CONTRACTORS OR CONTRACTOR CONSULTANTS NO CONTRACT NC CAUTION - PROPRIETARY INFORMATION INVOLVED PROPIN PR NOT RELEASABLE TO FOREIGN NATIONALS NOFORN NF THIS INFORMATION HAS BEEN AUTHORIZED FOR RELEASE TO __________. (Fill in the name of a specific country or countries). REL TO (1st country code, 2nd country code, etc.) REL (1st country code, 2nd country code, etc.) DISSEMINATION AND EXTRACTION OF INFORMATION CONTROLLED BY ORIGINATOR ORCON OC

SHORTENED: ABBREVIATED: FULL: SHORTENED: ABBREVIATED:

6-25

Without looking back, can you write down the seven basic types of markings on classified materials? Give it a try! 1. _____________________________________________________ 2. _____________________________________________________ 3. _____________________________________________________ 4. _____________________________________________________ 5. _____________________________________________________ 6. _____________________________________________________ 7. _____________________________________________________ The seven types are (1) level of classification, (2) classification authority, (3) declassification instructions, (4) downgrading instructions, (5) preparer, (6) date, and (7) warning/control markings. If you got them all, good going! If you didn't, you may want to review paragraph 6301, and table 6-8 in particular. Let's try another challenge. Figures 6-1 and 6-2 on the following pages illustrate the placement of classification markings on a document. Notice that the markings are numbered with bold numbers in parentheses like this: (1). See if you can identify all the markings by placing the correct number for each on the lines to the right of the markings. IDENTIFIED MARKINGS Overall level of classification Level of classification (portion marking) Classification Authority Declassification Instructions Warning notice/control marking NUMBER ______ ______ ______ ______ ______

Look for the solution to this challenge on page 6-29.

6-26

THIS PAGE IS UNCLASSIFIED. CLASSIFICATION MARKINGS HAVE BEEN ASSIGNED FOR INSTRUCTIONAL PURPOSES. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - SECRET (1) CHAPTER 5 DOCUMENT TITLE (U) (2)

Secondary Title (U) (2) A. (U) (2) Summary

1. (S/NF) (2) The classification marking of headings is illustrated above. Mark headings according to the information contained in the text of the heading; thus, the classification assigned to a heading will not necessarily reflect the overall classification of the material in the body of the document. Because each heading represents either a major or minor topic in the discussion, each becomes a separate paragraph for marking purposes. 2. (U) (2) Marking requirements for paragraphs and subparagraphs are the same, regardless of whether the document you mark is a publication, a message, or a naval letter. Mark the classification assigned to the introductory portion of a topic at the beginning of the topic, as shown above in A., and paragraphs as shown in 1. and 2. A subparagraph may contain information of a lower, higher, or the same classification. a. (C) (2) Subdivisions need not be marked if they do not express a complete thought; the following do not: (1) Systematized digital projection

(2) Compatible organizational flexibility (3) Synchronized transitional contingency (3)

CLASSIFIED BY: MULTIPLE SOURCES DECLASSIFY ON: OADR (4)

NOT RELEASABLE TO FOREIGN NATIONALS (5) SECRET (1) - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Fig 6-1. Classification markings on the first page of a document.

THIS PAGE IS UNCLASSIFIED. CLASSIFICATION MARKINGS HAVE BEEN ASSIGNED FOR INSTRUCTIONAL PURPOSES.

6-27

THIS PAGE IS UNCLASSIFIED. CLASSIFICATION MARKINGS HAVE BEEN ASSIGNED FOR INSTRUCTIONAL PURPOSES. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - SECRET (1) b. (U) (2) Mark individual paragraphs according to the level of classification of the information they contain. c. (S-NF) (2, 5) Place intelligence control markings on the front cover, title page (or first page) and applicable pages of a document. Mark interior pages at the top and bottom with the short form of the appropriate control marking (such as NOFORN, or WNINTEL). Mark paragraphs and subparagraphs with the appropriate abbreviated form (such as NF or WN). Mark tables, figures, charts, and similar graphics as shown below: CONFIDENTIAL/NOFORN (2) (5) A L T I T U D E 5 -| . . . | . 4 -| . | . . . 3 -| . | . . . 2 -| . | . . . 1 -| . | . . . 0 -| +----+---+---+---+---+---+---+---+---+2 4 6 8 10 12 14 16 18 RANGE (TENS OF NAUTICAL MILES) Note: Altitude figures are in thousands of feet CONFIDENTIAL/NOFORN (2) (5) (U) (2) Test Results

Chart No. 1.

3. (U) (2) Page classification markings (top and bottom of each page) should be immediately distinguishable from the text. (1) (5) SECRET/NOFORN - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Fig 6-2. Interior page of a document (reverse side). THIS PAGE IS UNCLASSIFIED. CLASSIFICATION MARKINGS HAVE BEEN ASSIGNED FOR INSTRUCTIONAL PURPOSES.

6-28

How did you do? Did you notice the way each page and portion are marked? If you said the overall level of classification was number 1, the level of classification portion marking was number 2, the classification authority marking was number 3, the declassification instructions 4, and the warning notice control marking was number 5, you are correct. Congratulations! 6303. Exceptions to the Classification Policy

There are two principal exceptions to the policy of marking classified materials according to OPNAVINST 5510.1_ One of these involves classified material revealed in public media such as a newspaper or magazine; the other concerns Naval Nuclear Propulsion Information (NNPI) and other materials marked according to a different classification guide. a. If classified material appears in the public domain, for example, in a newspaper or magazine, you will not mark the articles containing the information in any manner (including highlighting or underlining) nor will you restrict dissemination of the newspaper or magazine in any way. An OCA or an investigative body will review and evaluate the article. The results of the investigation, if classified, will be kept separate from the article. b. Some materials are marked according to completely different marking guides. For example, Naval Nuclear Propulsion Information (NNPI) is marked according to NAVSEAINST C5511.32A dated February 1986. Remember, if you mark materials using a guide other than OPNAVINST 5510.1_, you must state the guide you used as the classification authority. Lesson Summary. In this lesson you learned about classification markings, why you place them on classified materials, and where to place them. In the next lesson you will learn how to audit and physically control classified materials. Exercise. Complete items 1 through 9 by performing the action required. Check your responses against those listed at the end of this study unit. 1. List the seven types of classification markings. a. b. c. d. e. f. g. _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________

6-29

Matching: For items 2 through 9, match the classification marking in column 1 with its location on a document page in column 2. Place your responses in the spaces provided. Column 1 Marking ___ 2. Overall level of classification Level of classification (portion marking) Classification authority Declassification instructions Full form warning notice Full form control marking Shortened form (warning notice or control marking) Abbreviated form (warning notice or control marking) a. Column 2 Location Bottom left of the page, below classification authority marking Following titles and subtitles and before each paragraph and subparagraph Following portion markings Top and bottom center of the page Beneath the classification authority in place of declassification instructions Above the overall classification marking at the bottom center Bottom left of the page, above the overall classification marking Following the overall classification at the top or bottom center of the page

___ 3.

b.

___ 4. ___ 5. ___ 6.

c. d. e.

___

7.

f.

___ 8.

g.

___ 9.

h.

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Lesson 4. AUDITING AND CONTROLLING CLASSIFIED MATERIAL

Introduction. There are rules governing all aspects of auditing and controlling classified material and it is your business as an intelligence specialist to know them like the back of your hand! Any piece of material marked top secret, secret, or confidential and unclassified materials that accompany or are incorporated in classified materials must be properly accounted for while in your custody according to OPNAVINST 5510.1_ and local security regulations.

6-30

This lesson will explain several key aspects of controlling classified information including the formal audit process, practical security guidelines you will use in your work area, general safeguarding procedures, and finally, a brief examination of security education. These procedures help enforce compliance with the basic policy of the Department of the Navy regarding the storage and use of classified information. LEARNING OBJECTIVES 1. State the basic policy of the Department of the Navy regarding the storage and use of classified information. State the office or individual who audits a command's top secret documents. State the two primary responsibilities of any custodian of classified material. List four specific security measures that custodians of classified material must implement within the work area. State how materials in all three levels of classification are audited. State how materials in all three levels of classification are controlled. State the purpose for a security education. List the three basic components of a security education. List the five specific subject areas that must be addressed in an annual refresher briefing. List the only two types of security violations. Choose the maximum and minimum penalties under United States Code, Title 18, that may be imposed for engaging in activities pertaining to espionage. State the maximum and minimum penalties that may be imposed under Article 106, Uniform Code of Military Justice for engaging in activities pertaining to espionage.

2. 3. 4.

5. 6. 7. 8. 9. 10. 11.

12.

6401.

Definitions of Auditing and Controlling

Auditing is a formal process of inventorying and keeping records of the classified materials for which you are responsible. The auditing process is one of many measures used to control classified materials.

6-31

Controlling means to protect material in your custody during the following three phases of use: viewing, handling, and storing. As an intelligence specialist, you must make sure that classified material is available for viewing and handling only to persons who have a suitable security clearance, access to it (official approval to use it for their work) and a legitimate need to know. You must store classified materials in security containers built to specifications for the level of classified material they protect. 6402. Safeguarding Classified Information

The basic policy of the Department of the Navy concerning the safeguarding of classified information is: During its storage and use, you will protect classified material from access by unauthorized personnel! Anyone who possesses classified information is responsible for safeguarding it at all times. Whatever contains the information, (a document, floppy disk, or even a circuit card or other working device) must be placed and locked in an appropriate security container whenever it is not being used or is not under the direct supervision of authorized persons. In your custodial role as an intelligence specialist, this means that you retain responsibility for the security of information even when the material is out of your hands! There are specialized techniques used to safeguard classified material; among these are designating restricted areas and escorting personnel without access while those personnel are in the restricted areas. a. Restricted areas. These are areas that a command decides need specialized protective measures due to the nature of the work, the equipment, or the information stored or used there. b. Escorting personnel in restricted areas. Personnel who have been granted access to such areas do not need escorts. Personnel who do not have access but who have a legitimate reason to enter the area (like air conditioner technicians) may be allowed in-but only on authorization and when physically accompanied by an escort. c. Other security measures. Examples of such measures include setting up fences, barring windows, installing security lighting, physically inspecting packages at entry points, and using armed guards at both fixed posts and on roving patrols. Table 6-12 summarizes these security control measures.

6-32

Table 6-12. MEASURE

Security Control Measures PURPOSE Entry into and movement within the site is limited to personnel who have access Personnel who do not have access must be escorted Fences, guards, and lighting, and alarms further protect the site

Restricted areas

Escorting personnel in restricted areas Other security measures

Do you remember the basic policy of the Department of the Navy regarding the storage and use of classified information? Write it here. _________________________________________________________ _________________________________________________________ If you said that the basic policy is that during storage and use, classified material will be protected from access by unauthorized personnel, you are right! If you didn't get this answer, study the first sentence of paragraph 6402 again. This is really important information! 6403. The Top Secret Control Officer (TSCO)

The command's top secret control officer is responsible for auditing all TOP SECRET materials received by the command. Therefore, the TSCO maintains records of the following three phases of material control: receiving, distributing, and destroying. The TSCO may also be the unit security manager. This person

advises the commanding officer on matters concerning the security system, establishes security control measures for visitors from and to the command, designs and implements the security education program, assures that all persons who handle classified matter have been properly cleared and instructed, and establishes a security control system.

6-33

You may be assigned as an assistant to either the TSCO or to the unit security manager. 6404. The Two Primary Responsibilities of the Custodian

You should know by now that the custodian, in general, is anyone who possesses and uses classified material. Each custodian must follow established procedures to ensure that unauthorized persons do not gain access to classified material by any means. The following two sections discuss the custodian's two primary responsibilities--securing the material and securing the work area. a. Secure classified material in work areas and do not remove the material except to perform official duties requiring it. This includes never removing material from work or storage spaces to take it home to work on during off-duty hours or for personal convenience! Note: Special approval for moving the material may be given, but only in cases of overriding need and then, only if there are approved physical safeguards including a security container in the area to which the material will be taken. b. You must make sure work areas are secure at the end of each workday. Do this by placing any classified materials in appropriate security containers (safes) located in a strongroom or vault, if there is one. Secure burn bags containing material to be destroyed in the same containers. After you've finished putting everything away, make sure that those containers are locked. Follow these steps: (1) Be sure that each drawer is securely closed or locked, and that the locking device (drawer lock, bar lock, or combination lock) is securely locked! While you're doing this, make a visual check of the storage area behind, between, and on top of security containers. Check the tables and around and in wastebaskets, shelves, etc. Ensure that no classified or potentially classified materials remain unsecured in or near the storage areas! Double check the general work area surrounding the storage area to make doubly sure it is also clear of classified material. Check all the storage containers a second time to make sure that they are secured and locked. Finally, at the end of each day, secure and lock all the entrances to your work area!

(2)

(3)

6-34

What office or individual is responsible for auditing a command's top secret materials? __________________________________________________________ I hope you remembered that the top secret control officer has this responsibility. If you did, very good! If you didn't, you may want to look at paragraph 6403 again! Do you recall the two primary responsibilities of the custodian of classified material? Write them in the spaces provided below. a. ________________________________________________________ ________________________________________________________ b. ________________________________________________________ ________________________________________________________ If you answered (a) that custodians must always secure classified material in their work areas and never remove it except to perform official duties, and (b) that custodians must make sure work areas are secure at the end of each workday, you remembered very well! If you need a review, you should study paragraph 6404 again. 6405. Four Specific Security Measures for the Custodian's Work Area

As a custodian, you must constantly check your work area to make sure that all classified (or possibly classified) working documents are where they should be! Make the following four security measures designed to safeguard classified materials in your work space part of your routine! a. Whenever you remove classified materials from storage containers, keep the materials covered unless you're referring to them. Turn them face down (if they're printed on only one side of a page) or cover them with a cover sheet. Cover sheets are marked with appropriate classification designations and the corresponding protection requirements, orders, statutes, and regulations. b. Do not discuss classified information on a regular (unsecure) telephone or anywhere within hearing of unauthorized persons.

6-35

Use only a secure telephone in a soundproofed room to discuss classified information on the phone, and then, only when you have been authorized to do so. Exercise special care when visitors or workers are present in the area. Anyone escorting such visitors should alert fellow workers that uncleared personnel are in the area. c. Safeguard preliminary notes or drafts, carbons, stencils, or worksheets that contain (or might contain) classified information as you would source document(s) with the same classification. After a specified period of time, or when you have finished using these materials, you must either destroy them by means approved for their level of classification or have an appropriate OCA review them to assign a permanent classification. d. Protect typewriter ribbons, computer tapes, and disks to the degree required for the highest classification of the source materials. You must keep such materials under constant surveillance during working hours and store and lock them in approved security containers during non-working hours. Table 6-13 will help you remember the four specific security measures. Table 6-13. RULE
Keep classified materials covered When not in use! Do not discuss Classified material within the hearing of unauthorized person. 3. Safeguard notes or drafts with the same degree of care as you would the source material. 4. Mark typewriter ribbons, computer tapes and discs with the highest classification of source(s)

Four Specific Security Measures PRACTICE

Keep them face down or cover them with a cover sheet. Do not discuss classified material over a regular telephone, outside the work area, or when visitors are present. Use secure phones and soundproofed rooms to discuss classified information. Secure, handle, and control the material correctly. It may contain very sensitive information.

Keep such materials stored in approved security containers, and protect them from access by unauthorized persons.

6-36

Now that we've covered the basic custodial responsibilities on handling and storing classified materials, we will examine detailed standards for auditing top secret, secret, and confidential materials. 6406. Auditing Classified Materials

Auditing involves two procedures, sighting (viewing, not reading), and keeping accurate records. All three levels of classification (top secret, secret, and confidential) require custodians to make a visual sighting of documents under their control at least once a year. This includes sighting documents of disposition (documentation showing that material has been transferred to another command, component, or unit or that it has been destroyed). Auditing also involves examining logs kept for each level of classification to make sure they are complete and comparing them with the contents of each file, noting details kept in the log such as origin, the number of copies, changes made, and disposition of individual documents. Originals of material receipts, letters of transmittal, certificates or reports of destruction, and other documents of disposition are kept on file. a. Auditing top secret materials. By regulation, top secret materials must be audited at least once annually. In practice, however, they are audited whenever there is a change of top secret control officer (TSCO), on changes of command, and on certain other occasions. Top secret materials are audited by sighting each item of material or the documentation of each item's disposition (letters of transmittal, material receipts, destruction reports, and so on). Since top secret material is the most sensitive, it has the most stringent audit system. The system follows the general outline in table 6-14. Table 6-14.
PERSON TSCO

Top Secret Material Auditing Procedures

FUNCTION Sends each custodian a list of that custodian's top secret holdings and a time frame for completing the audit Checks the list against his previous audit, sights materials on hand, reviews his own documentation, and reports back to the TSCO Sights materials in his custody, compares custodian inventories, his own records, and documentation of disposition. Reports the command's holdings to the unit commander

Custodian

TSCO

6-37

First, the top secret control officer provides a list of top secret materials transferred to custodians within the command so that the custodians know precisely which top secret holdings they are responsible for. This is their custodial holdings list. Each custodian compares this list against the previous audit report, against his control logs, and against his own documents of disposition. All the custodians integrate and report the results to the TSCO. The TSCO inventories the holdings of the whole command by examining documents that remain in his custody, the inventories provided by custodians, and his own records. Finally, the TSCO submits a report of the audit results to the unit commander through the unit security manager. Note: As a control measure, the top secret control log (top secret register) is maintained for five years after the materials themselves have been transferred, downgraded, or destroyed. b. Auditing secret materials. Secret materials must be audited at least once annually; in practice they are audited when there is a change of custodian, on changes of command, and on other occasions. Secret materials are audited by sighting the material or accounting for its disposition in a control log. The following is a detailed explanation of the process: A unit's classified material control center (CMCC) receives secret materials that are to be held by or distributed within the command. The custodian logs the materials he receives from the CMCC and retains documents of their disposition. In a process like that of TS audit, the CMCC custodian generates a list of holdings from the material he has on hand and a review of his records, and reports the results to the security manager. Signed material receipts are not required for secret materials routed within a command, but they are required when the material is transferred from the custody of one classified material control center (CMCC) to another. c. Auditing confidential materials. As far as confidential material is concerned, there is no formal audit process. Records of disposition of confidential materials are, however, kept for administrative purposes by each office, section, and/or CMCC, and may be reviewed on transfer of personnel who had access to the material, on change of custodian, and on other occasions.

6-38

Lets review the custodians four specific daily security measures. ___________________________________________________ ___________________________________________________ ___________________________________________________ ___________________________________________________

Did you remember what the four measures are? They are (a) keep unused classified materials covered (or face down), (b) don't discuss any classified subjects on the phone or around unauthorized persons, (c) protect any notes/drafts with the same level of protection as the information source, and (4) protect any typewriter ribbons/computer discs etc. with the same level of protection as the source. Remember, if you perform these measures faithfully and according to the instructions, you will be controlling access to the classified material for which you're responsible. 6407. Control of Classified Materials

All classified materials are controlled by strict adherence to the specific instructions and regulations applicable to each of the three levels concerning marking, transmitting, storing, disposition, and destroying. In addition, each individual must exercise strict control of access to ensure that the information is protected from compromise. To review audit and control standards, look at table 6-15 which outlines audit and control procedures common to all three levels of classification and those that apply to the individual levels. Notice again the higher standard necessary for protecting top secret materials.

6-39

Table 6-15.

Audit and Control of Classified Material AUDIT OF CLASSIFIED MATERIAL

CLASSIFICATION LEVEL TOP SECRET SECRET

PROCEDURE Sight all materials on hand; review all disposition forms at least once annually Sight materials on hand; ensure others are accounted for in the control log at least once annually No formal audit. Keep records of disposition for administrative purposes

CONFIDENTIAL

CONTROL OF CLASSIFIED MATERIAL CLASSIFICATION LEVEL TOP SECRET, SECRET, AND CONFIDENTIAL 6408. PROCEDURE Strict adherence to specific instructions and regulations concerning marking, transmitting, storing and destroying materials.

Limiting Access to Unclassified Materials

Unclassified materials are not formally audited or controlled, but it is useful and practical to limit dissemination of certain ones for various reasons. Access to the following materials is often limited: a. Base telephone books. Base telephone books are distributed only within resident commands or to civilian offices aboard a military base. b. Service record books. The only persons, other than yourself, who have an official need to refer to this document are unit SRB clerks, the administrative officer, the unit commander, and your OIC and SNCOIC. c. Other materials. Certain FMFM's and technical manuals, guidebooks, official access rosters, and instructional materials such as lesson plans or examination keys, and other unclassified materials may also have their access limited in this manner.

6-40

Now that youve had a chance to study the processes of auditing and controlling classified material, try this challenge. On the lines above each of the four standards, label whether it applies to audit or to control. Strict adherence to instructions and regulations concerning marking, transmitting, storing, and destroying documents Sight the material on hand; ensure others are accounted for in the control log Sight each item of written documentation or each documents of disposition

Keep records of disposition for administration purposes

Did you write CONTROL under the first heading and AUDIT under the remaining three? If you did, congratulations! You remembered the standards for controlling all classified materials and the basic standards for auditing each of the three levels. 6409. The Purpose of a Security Education

All personnel, whether or not they have access to classified material, need to receive some education concerning the security of classified and/or controlled information. Of course, the scope and extent of that education, called a security education, will vary depending on the needs of the command and the specific needs of the individual. The purpose of a security education is always to make everyone who deals with the security of classified materials realize that they are an essential part of the security team and that they are expected to function as a responsible member of that team. As part of their security education, intelligence specialists, during a carefully supervised on-the-job-training program at their first assignment, learn to use the security procedures and practices appropriate to their specific duties. 6410. Three Basic Components of a Security Education

Let's look at the three basic components of security education. They are basic indoctrination (or recruit orientation), the command orientation briefing, and the annual refresher briefing.

6-41

a. Basic indoctrination. During recruit training or on reporting to their first command, those entering naval service receive a generalized orientation briefing on what classified information is and why and how it is to be protected. This indoctrination covers the following topics: (1) Certain material (identified as essential to national security or national defense) must be classified to protect it from disclosure to unauthorized persons. Classified material will be marked CONFIDENTIAL, SECRET, or TOP SECRET to show its level of classification and such material must be used and stored in secure areas, protected during its transfer from one location to another, destroyed using approved methods, and used only by authorized personnel. Report to your security manager any person without access who attempts to solicit classified information. Report to your security manager any contact with citizens of certain foreign nations (especially citizens of countries hostile to the United States). A partial list of these countries follows below; refer to OPNAVINST 5510.1_ for a more complete listing. Afghanistan North Korea Nicaragua Angola Communist China Iraq Libya Syria Cambodia Iran

(2)

(3) (4)

b. The command orientation briefing. The command orientation briefing is given to personnel assigned to duties requiring that they access classified information as soon as possible after they report aboard. The briefing, while shaped to fit the needs of individual commands, expands on the basic indoctrination and includes a description of the command's security organization with the name of the security manager, and any specialized security precautions taken within the command. c. The annual refresher briefing. Once each year, personnel who have access to classified material must receive a briefing or equivalent training designed to enhance security awareness. The briefing is usually tailored to meet the needs of groups of personnel within the command. For instance, some personnel may receive an update on security policies and procedures coupled with required counterintelligence measures. Clerical personnel may need a refresher on classification policies and on marking classified material. A third group might need to be briefed on requirements for transmitting classified material by mail or courier, and on requirements governing hand-carrying classified material. For supervisors and managers, the briefing may review the criteria for granting security clearance and access and the policies regarding the adjudication of an investigation.

6-42

Before we go any further, do you remember the purpose for a Security education? Please write it on the lines below. ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ If you said a security education should make everyone who deals with classified materials realize that they are an essential part of the security team and that they are expected to function as a responsible member of that team, you're right. Congratulations! If you didn't, you should review paragraph 6409. 6411. Five Subjects of the Annual Refresher Briefing

The five subjects that must be addressed in the annual refresher briefing are as follows: a. Each individual's direct responsibility for the security of the classified materials that he or she has accessed or will access. b. Specific prohibitions against discussing classified information in a nonsecure area, over the telephone, or in any place or manner that could allow an unauthorized person access to, or knowledge of, that information. c. The duty to notify appropriate supervisory officers of any known information that could reflect on the trustworthiness or loyalty of an individual who has access to classified information. d. The duty to report any contact, intentional or unintentional, with any citizen of any of the designated hostile countries. e. An individual obligation for anyone with access to classified information to notify the unit security manager before personal foreign travel (such as when on leave). This is particularly important for planned travel to any of the designated hostile countries or to countries that are subject to travel restrictions or warnings by the Department of State and/or the Naval Antiterrorism Alert Center. Note: If you go on such travel or if you have orders to attend a conference or other meeting that foreign citizens are expected to attend, the security manager may coordinate a Naval Investigative Service foreign travel briefing before you depart and a debriefing upon your return.

6-43

See if you can list the three basic components of a security education. a. b. c. ____________________________________________________ ____________________________________________________ ____________________________________________________

The three basic components for a security education are (a) a basic indoctrination, (b) your command's orientation briefing, and (c) an annual refresher briefing. Did you remember these three components? If you did, very good! If you didn't, you should review paragraph 6411. What are the five subjects that must be addressed in an annual refresher briefing? a. b. c. d. e. __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ They are as follows:

Did you remember those five subjects?

a. Each individual's custodial responsibility for the security of classified materials that he/she has accessed or will access. b. Specific prohibitions against discussing classified information in a nonsecure area. c. The duty to notify supervisors of any information that could reflect on the trustworthiness of an individual who has access to classified information. d. The duty to report any contact with any citizen of a hostile country. e. An individual obligation to notify the unit security manager of any proposed personal foreign travel, especially to a designated hostile country.

6-44

If you had trouble remembering what these subjects are, review paragraph 6411. 6412. Two Types of Security Violations

A security violation is any infraction of established security procedures or regulations. A breach or breakdown of security is an extremely serious matter because it exhibits weaknesses in the security program itself. It may also result in a compromise. Just what is a compromise? You need to know what that term means. A compromise is a communication, committed knowingly, willingly, or by an act of negligence, of classified information to any person who is not authorized to have access to it. (This is frequently referred to as an unauthorized disclosure.) A compromise is a confirmed compromise when there is conclusive evidence that classified information has been communicated to a person who has not been authorized access. It is a possible compromise when evidence suggests (but is not conclusive enough to prove) that classified information has been communicated to an unauthorized person. An obvious example of the first type of compromise is the actual disclosure of classified data to an unauthorized person. An example of the second type is leaving a classified document exposed and leaving the work area even if it turned out that no unauthorized person actually viewed it while you were gone! There are only two types of security violations corresponding to these two types of compromise: (1) a violation of a security regulation that results in a compromise, and (2) a violation of a security regulation that does not result in a compromise. The second violation is considered just as serious even though it did not result in a compromise! In other words, violations of security regulations are investigated as thoroughly as security violations! In most circumstances, personnel involved have their accesses (if not their clearances) suspended pending an investigation. Accesses and clearances may be permanently revoked if the personnel involved are guilty of the violation.

6-45

Do you recall the two types of security violations? Them on the lines below. ____________________________________________________ ____________________________________________________

Write

The two types of security violations are (a) violations of security regulations that result in a possible or confirmed compromise and (b) violations of security regulations that do not result in a compromise. Any individual who is involved in a security violation (especially one involving the compromise of classified information) is subject to a range of penalties, from nonjudicial punishment to trials in federal courts or by court martial, or both! Any compromise, whether confirmed or possible, presents a significant danger to national security. The only way for you to adequately protect your material from compromise is to adhere strictly to security regulations and procedures. 6413. Penalties for Violations Under the U.S. Code and the Uniform Code of Military Justice

Actions that jeopardize the security of the United States are specifically set forth in and punishable by certain U.S. codes and articles. Violations subject to penalty include gathering, transmitting, or losing defense information, documents, photographs, or equipment with the effect of injury to the United States or benefit to a foreign government. Under Title 18 of the United States Code, specific penalties for engaging in activities pertaining to espionage range from a minimum penalty of a $1000 fine or one years imprisonment or both to a maximum penalty of a $10,000 fine, and/or imprisonment for any number of years or for life. The death penalty may also be prescribed for some violations. Under the Uniform Code of Military Justice (UCMJ), the penalties range from any punishment a court martial might impose to a maximum of death. For a list of specific actions that constitute security violations under the United States Code and the UCMJ, and the maximum and minimum penalties that may be imposed, refer to Appendix B.

6-46

Id like to emphasize the penalties for violating security or of being negligent in following security regulations. Write the minimum penalties that can be legally imposed under each status: U. S. CODE, Title is: minimum maximum ___________________________________________ ___________________________________________

UCMJ Article 106a: minimum maximum ___________________________________________ ___________________________________________

Did you remember that the minimum penalty under the U. S. Code is a $1,000 fine, while the maximum penalty is a $10,000 fine with any number of years' imprisonment or for life and the minimum penalty under UCMJ Article 106 is any penalty a court martial may impose and the maximum could be death? I hope you did. These severe penalties underscore the importance of taking security regulations very seriously! Lesson Summary. Do you understand the basic policy of the Department of the Navy regarding the storage and use of classified information and how it affects the chain of responsibility from the top secret control officer to you as an intelligence specialist? This lesson spelled out your personal audit and control responsibilities from protecting materials in your own work area during use to handling to storing materials. We covered the purpose and components of a security education, including orientation, and finally, the types of security violations and penalties associated with each. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 13 by performing the action required. Check your responses against those listed at the end of this study unit. 1. State the basic policy of the Department of the Navy regarding the storage and use of classified information. ____________________________________________________ ____________________________________________________

6-47

2.

State the office or individual who audits a command's top secret documents. ____________________________________________________

3.

State the two primary responsibilities of any custodian of classified material. a. b. ________________________________________________ ________________________________________________

4.

List four specific security measures that a custodian of classified material must implement within the work area. a. b. c. d. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

5.

State how materials in each of the three sensitive levels of classification are audited. a. b. c. ________________________________________________ ________________________________________________ ________________________________________________

6.

State how materials in all three sensitive levels of classification are controlled. a. b. c. 7. ________________________________________________ ________________________________________________ ________________________________________________ State the purpose for a security education.

____________________________________________________ ____________________________________________________ 8. List the three basic components of a security education. a. b. c. ________________________________________________ ________________________________________________ ________________________________________________

6-48

9.

List the five specific subject areas that must be addressed in an annual refresher briefing. a. b. c. d. e. ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________

10.

List the two types of security violations. a. b. ________________________________________________ ________________________________________________

11.

Under United States Code (Title 18), what is the maximum penalty that may be imposed for engaging in an activity pertaining to espionage? a. b. c. d. Imprisonment for any term of years or for life and a $10,000 fine or the death penalty Not more than a $10,000 fine, 10 years' imprisonment, or both $5,000 fine and up to five years' imprisonment $1,000 fine, one year's imprisonment, or both

12.

Under United States Code (Title 18), what is the minimum penalty that may be imposed for engaging in an activity pertaining to espionage? a. b. c. d. Not more than a $5,000 fine or five years' imprisonment, or both No fine and not more than one year's imprisonment Not more than a $1,000 fine or five years' imprisonment, or both Not more than a $1,000 fine or not more than one year's imprisonment, or both

13.

What are the maximum and minimum penalties under Article 106 of the Uniform Code of Military Justice that may be imposed for activities pertaining to espionage? a. b. maximum _____________________________________ minimum _____________________________________

6-49

UNIT SUMMARY In this study unit you learned why information is classified, who has the authority to classify or change the level of classification, and the guidelines for protecting each level of classification from top secret and secret down to confidential and unclassified. You learned to recognize classification markings and how to audit and control those classified materials you have access to in your intelligence work. In the next study unit, you will learn about personnel security. Lesson 1 Exercise Solutions Reference 1. 2. 3. 4. 5. b. b. Original classification authority a. b. a. Original classification authority Derivative authority The information must be relevant to specific classifiable subject matter Unauthorized disclosure of that information could damage national security 6106 6106 6101 6102 6104 6104 6105

b.

6. 7.

Anyone who assigns the classification As an intelligence specialist, you are. a. b. c. Respect the determinations of the original classification authority Verify the currently assigned level of classification insofar as possible Transfer the original markings assigned by the OCA

Lesson 2 Exercise Solutions Reference 1. 2. 3. 4. c. b. a. a. b. Determines eligibility of materials for classification or reclassification Reviews classifiable information to determine an appropriate level of classification 6202 6202 6202 6203

6-50

c.

Distributes messages instructing custodians about changes to material classifications 5. a. A special event b. 6. 7. a. a. Promptly notify all known holders of the upgraded classification and ensure that the holders have access to the higher classification level - or b. Ensure that the information can be promptly retrieved from holders who do not have proper access Reference 1. a. The level of classification b. Classification authority c. Declassification instructions d. Downgrading instructions e. Preparer f. Date g. Warning and control markings 6301 The normal passage of time 6205 6206 6204

Lesson 3 Exercise Solutions

2. 3. 4. 5. 6. 7. 8. 9.

d. b. g. a. e. f. h. c.

6302 6302 6302 6302 6302 6302 6302 6302 Reference

Lesson 4 Exercise Solutions 1. Protect classified material against access by unauthorized personnel whenever it is being used or stored Top Secret Control Officer 6402

2.

6403

6-51

3.

a.

To secure classified material in their work areas and not remove it except to perform official duties requiring it b. To make sure your work areas are secure at the end of each work day

6404

4.

a. b.

Keep classified materials covered except when you're referring to them Do not discuss classified material within hearing of unauthorized persons Safeguard notes or drafts as you would source documents with the same classification Protect typewriter ribbons, computer tapes and disks to the degree required for the highest classification of the source materials Top Secret: Sight all materials on hand; review all disposition forms Secret: Sight materials on hand; ensure others are accounted for in the control log Confidential: No formal audit; keep records of disposition for administrative purposes

6405

c.

d.

5.

a. b.

6406

c.

6.

All three levels are controlled by strict adherence to specific regulations concerning marking, transmitting, storing, and destroying materials To make everyone who deals with classified materials realize that they are an essential member of the command's security team and are expected to be a responsible member of that team a. The basic indoctrination b. The command orientation briefing c. The annual refresher briefing

6407

7.

6409

8.

6410

6-52

9.

a.

Each person's direct responsibility 6411 for the security of the classified materials to which he or she has accessed or will access b. c. Specific prohibitions against discussing classified information in a nonsecure area The duty to notify supervisors of information that could reflect on the trustworthiness of an individual who has access to classified information. The duty to report any contact with any citizen of a hostile country An individual obligation to notify the unit security manager of proposed personal foreign travel before beginning such travel A violation resulting in a confirmed (or possible) compromise of classified information A violation that does not result in a compromise of classified information 6413 6413 Death Any punishment a court martial might impose 6413 6412

d. e.

10.

a.

b.

11. 12. 13.

a. d. a. b.

6-53

STUDY UNIT 7 PERSONNEL SECURITY Introduction. In this study unit you will learn who is eligible for personnel security clearance and how an eligible person's suitability for clearance is determined. You will also learn who has the authority to grant personnel security clearances and the conditions under which clearances may be withdrawn. Finally, you will learn about the granting and withdrawing of access to classified information. LEARNING OBJECTIVES 1. 2. State the Department of the Navy's basic policy regarding personnel security clearance. State the standard for determining eligibility for clearance, assignment to sensitive duties, or access to classified information. State who is eligible to receive a security clearance. List the five types of background investigations used in personnel security determinations. State the only circumstance in which an existing background investigation (BI) or special background investigation (SBI) may be reinvestigated. DETERMINING ELIGIBILITY FOR A PERSONNEL SECURITY CLEARANCE

3. 4. 5.

Lesson 1. 7101.

Basic Policy

OPNAVINST 5510.1_, Information and Personnel Security Program Regulation, states that the Department of the Navy's basic policy regarding personnel security clearance is as follows: No person will be appointed or retained as a civilian employee in the naval service, enlisted or retained in the Navy or Marine Corps, granted a personnel security clearance, assigned to sensitive duties, or granted access to classified information unless that appointment, enlistment, retention, clearance, or assignment is clearly consistent with the interests of national security. In other words, an individual may be granted personnel security clearance (PSC) only if doing so is clearly consistent with the interests of national security. If an individual is granted a personnel security clearance, that individual may be considered for civilian jobs that require a clearance. Similarly, a member of the naval service may then be eligible for assignment to duties requiring a clearance.

7-1

What is the Department of the Navys basic Policy regarding personnel security? _________________________________________________________ _________________________________________________________

That's right, the basic policy regarding personnel security clearances is that an individual may be granted personnel security clearance only if it is clearly consistent with the interests of national security. If an individual is granted a personnel security clearance, that person may be considered for civilian employment requiring a clearance. Similarly, a sailor or Marine may be eligible for assignment to duties requiring the clearance. If you answered differently, you may want to go back and review paragraph 7101. 7102. Standard for Determining Eligibility

As you've just learned, when an individual assignment involves sensitive duties or access to classified information, that assignment will require a security clearance. A person's eligibility and suitability for a clearance must be determined before he or she may be granted a clearance. Based on all available information, a person is eligible for clearance if his or her loyalty, reliability, and trustworthiness show that he or she may be reasonably entrusted with classified information or assignment to those duties. Lets take a minute to review. Write your answer to the following question in the space below. What is the standard that is applied in determining eligibility for clearance, assignment to sensitive duties, or access to classified information? ___________________________________________________________ ___________________________________________________________ The standard is whether the subject's loyalty, reliability, and trustworthiness are such that he or she may be trusted with classified information or a sensitive assignment. Only United States citizens are eligible for a security clearance, for assignment to sensitive duties, or for access to classified information.

7-2

As the citizenship requirement relates to security clearances, there's no distinction among those who have U.S. citizenship by birth, those who are U.S. nationals, those with derived U.S. citizenship, or those who have U.S. citizenship by naturalization. Let's take a look at table 7-1 to see what these terms mean. Table 7-1. TERM U.S. Citizens Some Terms Related to Citizenship MEANING All persons born in the United States to U.S. citizen, resident alien, or even illegal alien parents. U.S. citizens owe their allegiance to the United States U.S. citizens living abroad or natives of American territories Persons who claim U.S. citizenship because one or both of their parents are or were, at the time of the person's birth, U.S. citizens. Persons who have received their U.S. citizenship through court order after meeting certain qualifications

U.S. nationals Derived U.S. Citizens

Naturalized citizens

With a few exceptions, all persons born in the U.S. are citizens. U.S. nationals are citizens living abroad or natives of American territories. Derived U.S. citizens are persons who claim U.S. citizenship because one or both their parents are or were, at the time of the person's birth, U. S. citizens. Naturalized citizens have received their citizenship by court order after meeting certain qualifications including a period of legal residence in the United States, passing tests on our history and government, and having acceptable character and reputation. The group of non-U.S. citizens includes immigrant aliens and foreign nationals. Immigrant aliens are persons who have been lawfully admitted to the United States for permanent residence. Foreign nationals, on the other hand, are resident aliens who cannot be classified as immigrant aliens. Foreign nationals intend to remain in the U.S. indefinitely while retaining the citizenship of their own country. Immigrant aliens, on the other hand, usually seek U.S. citizenship. All other foreign persons are considered foreign representatives and are not eligible for clearance under any circumstances. Examples are foreign tourists, military attachs, and ambassadors.

7-3

As a group, non-U.S. citizens are not eligible for security clearances. An individual non-U.S. citizen, however, may be assigned to sensitive duties or granted a limited access authorization when there is a compelling reason for doing so. An example is the overriding need for the person's special expertise in a particular job in furtherance of the mission of the Department of the Navy. Only then may an individual non-U.S. citizen obtain a limited access authorization. Non-U.S. citizens are not eligible, under any circumstances, for access to sensitive compartmented information (SCI), COMSEC keying materials, cryptologic information, intelligence information, or for any other special access programs or duties. Table 7-2 summarizes policy concerning who may obtain a security clearance. Table 7-2. CLASS Eligibility for Security Clearances

SECURITY SCI/COMSEC CLEARANCE ACCESS ---------------------------------------------------------U.S. citizens YES YES U.S. nationals Derived U.S. citizens Naturalized citizens Immigrant aliens Foreign nationals Foreign representatives YES YES YES NO* NO* NO YES YES YES NO NO NO

Limited access authorization only

Who is eligible to receive a security clearance? ________________________________________________________ Only U.S. citizens are eligible to receive a security clearance. With compelling reasons, individual non-U.S. citizens may be granted a limited access authorization.

7-4

7103.

Determining Suitability for Clearance through the PSI

The personnel security investigation (PSI) is a tool for determining whether a person is suitable, under national security criteria, for civilian employment or military service within the Department of the Navy. The personnel security standard applied states that there must be no reasonable basis found to doubt the person's loyalty to the United States. When completed, the PSI is the principal input to a personnel security determination; this determination reaches a conclusion that a person may or may not be trusted with classified information. They are five types of personnel security investigations: a. Entrance national agency check (ENTNAC). A by-name check of Federal agency files conducted on each first-term enlistee in the Navy or Marine Corps solely to determine his or her suitability for entry into the armed services. b. National agency check (NAC). A by-name and fingerprint check of various Federal agency files, the NAC is an essential part of each background investigation (BI), special background investigation (SBI), and periodic reinvestigation (PR). Note: The main difference between the NAC and the ENTNAC is that the NAC includes both a technical fingerprint search and a by-name search of the defense central index of investigations and FBI files. On the other hand, the ENTNAC consists only of a name search of these files.

c. National agency check with written inquiries (NACI). The NACI is a NAC conducted by the Office of Personnel Management (OPM) on civilian employees of the Department of Defense. It includes written inquiries to law enforcement agencies, former employers, supervisors, character references, and schools before the individual's appointment to office. The investigation covers the immediately preceding 5 years and is sufficient for assignment to a noncritical or nonsensitive position or to establish eligibility for a secret clearance. The military equivalent of the NACI is the Department of Defense national agency check with written inquiries (DNACI). The DNACI is conducted before an individual's appointment as a commissioned officer, warrant officer, midshipman, or Reserve Officers' Training Corps candidate. It consists of a NAC, a credit check, and written inquiries to current and former employers covering the immediately preceding 5 years. Like the NACI, it is sufficient to establish eligibility for a secret clearance. d. Background investigation (BI). A BI develops information about an individual's character: his or her loyalty, emotional stability, trustworthiness, and reliability. A BI consists of a NAC, a personal interview of the subject, and field investigation by interview and written inquiry.

7-5

A BI covers the immediately preceding 5 years or the period since the subject's 18th birthday, whichever is shorter. It must cover a minimum of the last 2 years before the investigation except that no investigation will be conducted into the time before the subject's 16th birthday. BI's conducted for individuals to be assigned to NATO billets or for non-U.S. citizens cover the 10 immediately preceding years or the time since the subjects' 18th birthdays with the same limitations mentioned above. e. Special background investigation (SBI). The SBI looks more deeply than the BI into the individual's background to obtain more information about the individual's character, loyalty, emotional stability, trustworthiness, and reliability. The SBI includes all elements of the BI except that personal interviews of the subject are conducted only to resolve unfavorable or questionable information. The SBI also includes an NAC of the following persons: the individual's spouse or cohabitant, any members of the subject's immediate family who are 18 or older, any who are U.S. citizens other than by birth, and, of course, any who are not U.S. citizens. SBI's are conducted only as specifically required by the Chief of Naval Operations or higher authority. SBI's are required for personnel who (1) require access to sensitive compartmented information. (2) are assigned, or are to be assigned, to certain Presidential support activities. (3) are assigned, or are to be assigned, to investigative agencies as special agents or as investigative support personnel who will require continuous access to investigative files. (4) require access to single integrated operational plan extremely sensitive information (SIOP-ESI). SBI's cover the immediately preceding 15 years, or the time since the subject's 18th birthday, whichever is shorter, with at least 2 years immediately before the investigation being developed. No investigation of the time before the subject's 16th birthday is conducted. Let's take another look at the periods all the PSI's must cover. According to the regulations, an 18-year old subject for a PSI, due to the requirement to have a minimum of 2 previous years investigated, would be subjected to an investigation of the time since, but not before, his or her 16th birthday. You should keep in mind that this is true for the SBI and BI as well as the NACI.

7-6

Table 7-3 on the next page summarizes the type of background investigation required for each personnel security determination. Table 7-3. Personnel Security Determinations and Supporting Background Investigations

DETERMINATION Trust with top secret Trust with secret Trust with confidential Note:

SUPPORTING INVESTIGATION(S) REQUIRED BI or SBI ENTNAC (first term enlistees) DNACI (all other military personnel) ENTNAC or NAC

Every individual who holds, or hopes to acquire, any of the USMC intelligence specialties (0202, 0205, 0210, 0211, 0231, 0241, 0251, 0261, or 0291) as either a primary or a secondary specialty, must be eligible for a security clearance based on a special background investigation. What are the five personnel ____________________ ____________________

Lets take a minute to review. security investigations? a. b. c. ____________________ ____________________ ____________________ d. e.

That's right, (a) ENTNAC, (b) NAC, (c) either NACI or DNACI, (d) BI, and (e) SBI. You should review paragraph 7103 if you didn't get these answers.

For each of the following personnel security investigations, state the age at which the investigation for a 29-year-old candidate should begin. a. e. g. ENTNAC ___ BI SBI ___ ___ b. f. NAC ___ c. NACI ____ d. DNACI ___ ___

BI for individual assigned to NATO

7-7

This one is a little tricky but I'll bet you did OK. The ENTNAC and the NAC do not cover a specific period. You should have put down "not applicable" or something similar for (a) and (b). The NACI and DNACI, (c) and (d), would go back to age 24 for this person, as would the BI (e). The BI for an individual assigned to NATO (f) goes back ten years, in this case, to age 19. The SBI goes back 15 years but no earlier than age 16. That makes 16 the answer here. How did you do on the last two challenges? If you didn't do as well as you would have liked, you may want to review paragraph 7103. 7104. Circumstance for Reinvestigations

Individuals who have a current or previous personnel security investigation on file may not be reinvestigated to upgrade or renew the clearance. When an existing PSI is, for any reason, insufficient to meet the clearance requirements of a specific position, duty, or program, a totally new investigation of the appropriate type must be initiated. There is only one exception to this policy. The exception involves cases in which it is necessary to meet special program requirements to periodically update an existing BI or SBI. In these instances, the program itself authorizes the reinvestigation, known as a periodic reinvestigation (PR). The PR consists of a renewed NAC, subject interview, credit and employment checks, employer and character reference interviews, and other elements that may be developed during the investigation. Note: USMC intelligence personnel require a PR every 5 years to maintain continuous eligibility to access SCI.

What is the only circumstances under which an existing BI or SBI may be reinvestigated? ___________________________________________________________ ___________________________________________________________ A reinvestigation is permitted only when it is necessary to meet special program requirements for the periodic update of an existing BI or SBI. You may want to review the discussion in paragraph 7104 above if you didn't get the answer.

7-8

Lesson Summary. In this lesson, you learned about Department of the Navy policies regarding personnel security, the standard applied in determining eligibility for clearance and access, who is eligible to receive a clearance, and the types of background investigations that are used in personnel security determinations. In the next lesson, you will learn who grants the security clearance and the criteria that one must meet to gain access to classified information. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Exercise: Complete items 1 through 5 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

What is the basic Department of the Navy policy regarding personnel security? _____________________________________________________ _____________________________________________________

2.

What standard is applied to determine eligibility for clearance, assignment to sensitive duties, or for access to classified information? _____________________________________________________ _____________________________________________________

3.

Who is eligible to receive a security clearance? _____________________________________________________

4.

List the five types of background investigations. a. __________________________________________________ b. __________________________________________________ c. __________________________________________________ d. __________________________________________________ e. __________________________________________________

5.

What is the only circumstance under which an existing BI or SBI may be reinvestigated? _____________________________________________________

7-9

Lesson 2.

GRANTING A SECURITY CLEARANCE

Introduction. You learned in the last lesson that a personnel security clearance is the result of a determination that an individual can be trusted with classified information at a specified level. Only then may a personnel security determination authority grant a security clearance. LEARNING OBJECTIVES 1. List the four personnel security determination authorities who may make security determinations for Marine Corps personnel. State the Department of Navy policy concerning who may be granted access to classified information. State which of the four designated personnel security determination authorities most frequently grants USMC personnel access to classified materials. List the three criteria a person seeking to access classified materials must fulfill. Determining Eligibility

2. 3.

4. 7201.

Only the Secretary of the Navy has the authority to determine eligibility for a security clearance. The Secretary has delegated that authority to Chief of Naval Operations (CNO) who in turn has designated the Commandant of the Marine Corps and unit commanding officers as personnel security determination authorities for Marine Corps personnel. The designated personnel security determination authorities for the naval services and their specific powers are listed in table 7-4.

7-10

Table 7-4.

Naval Service and Marine Corps Personnel Security Determination Authorities and their Specific Powers SPECIFIC POWERS Deny an individual acceptance by or retention in the Marine Corps for reasons of loyalty Adjudicate investigations or other relevant information concerning Marine Corps personnel except those investigations concerning access to SCI or other special programs Grant or deny security clearances to Marine Corps military personnel as appropriate Grant or deny appeals made by Marine Corps military personnel regarding unfavorable personnel security determinations Adjudicate investigations and other relevant information pertaining to military personnel under their jurisdiction except those investigations conducted to determine eligibility for access to SCI

DETERMINATION AUTHORITY

CMC

Unit Commanders Issue personnel security clearances or assign Individuals to sensitive duties based on favorable personnel security determinations Deny or revoke an individual's clearance or assignment to sensitive duties based on unfavorable personnel security determinations Adjudicate personnel security investigations and relevant information concerning USN and Commander, Naval USMC nominees for access to SCI Intelligence Command Grant, deny, or revoke access to SCI And Grant top secret personnel security clearance when granting SCI access

Commander, Naval Security Group Grant or deny an appeal of unfavorable Command personnel security determinations concerning SCI

7-11

Who are the four authorities who may make security determinations concerning Marine Corps personnel? a. b. c. d. ___________________________________________ ___________________________________________ ___________________________________________ ___________________________________________

If you said the CMC; unit commanders; the Commander, Naval Intelligence Command; and the Commander, Naval Security Group Command, you're right. If you didn't get these answers, you may wish to review paragraph 7201. 7202. Granting Access to Classified Information

Access is an identification of the highest level of classified materials that an individual could reasonably be expected to use in the performance of assigned duties. It is also the authority to obtain documents and materials needed to perform assigned duties. a. Basic policy. The security program within the Department of Defense is based on a simple principle--controlling access to classified information. Access--knowledge or possession of classified information--is permitted only to those individuals whose official duties require such knowledge or possession. Access will be granted only when an individual is eligible because of his or her assigned duties and has a personnel security clearance appropriate for the assignment. What is the Department of the Navy policy regarding who may be granted access to classified information? _________________________________________________________ I hope you said that only those individuals whose official duties require knowledge or possession of classified information may be granted access.

7-12

7203.

The Access Granting Authority

An individual is not granted access just because he or she is assigned to a command that keeps classified information or because that person has a personnel security clearance. Access is an acknowledgment by a designated authority, most frequently the individual's unit commander (table 7-4), that the position to which a person is assigned requires the use of classified information. Access is not a blanket authorization for an individual to view all materials classified at a level equal to or less than the level of his or her assigned clearance and access. It is the authority to view only the information needed to perform the specific tasks of the position to which the individual is assigned. A designated authority may also grant temporary access or onetime access in certain situations: a. Temporary access. Access may be granted (usually for 30 days or less) to Department of the Navy personnel who have been determined to be otherwise eligible for the access involved but do not currently hold a security clearance at that level. Situations in which temporary access may be justified include attendance at a classified meeting or training session, participation in advancement examinations, or annual active duty training for members of the reserves. Temporary access is made only to relieve the administrative burden of formally reinstating or initiating a clearance. It is granted for a brief period when the need for access is incidental and the basic access requirements for the person's regularly assigned duties remain unchanged. It does not apply when regularly assigned duties require access to materials at that level, even intermittently. In this case, clearance at the appropriate level must be obtained. A commanding officer's authority to allow temporary access does not include access to SCI or NATO information. (1) Approval for temporary access lasts no longer than 30 calendar days from the date that the access began. If access beyond thirty days is needed, written approval of the granting authority is required. If the access requirement is expected to extend beyond 90 days, processing for an appropriate security clearance is required and will be initiated as soon as the need is identified. Under no circumstances will temporary access be extended beyond 90 days from the date it was first granted. (2) Temporary access will be canceled promptly when it is no longer needed, upon the prescribed date of expiration, or upon notification from the granting authority, whichever occurs first.

7-13

b. One-time access. There may be urgent circumstances when personnel having a security clearance may require a one-time or very short duration access to a level of classified information above that of their present clearance. Under these circumstances, it may not be practical to initiate an appropriate PSI to grant an interim clearance or to upgrade the existing clearance. Granting one-time access allows people to access information that is no more than one level higher than their existing clearance. For example, if an individual holds a confidential clearance and access, that individual may be granted a one-time access to secret material. No one may be granted a second one-time access within any 12-month period. If doing so proves to be necessary, the individual will be processed for an appropriate security clearance. The following rules apply to the granting of a onetime access: (1) The access must be granted by a flag officer (a general officer) or a general court-martial convening authority after coordination with appropriate security officials. (2) The individual granted such access must be a U.S. citizen, must possess a current security clearance, and must have been continuously employed by DOD for the preceding 24 months if a civilian or have been a service member with a minimum of 24 months of continuous service. Part-time employees are not eligible for a one-time access. (3) One-time or temporary access to information classified at a higher level than an individual's security clearance will be limited to information that is under the control and custody of the granting authority. Use of the material accessed will take place under the general supervision of a properly cleared official only. The authority to grant access to a higher level will not be used to access COMSEC, SCI, NATO, or foreign government information. Which of the four designated authorities most frequently grants USMC personnel access to classified materials? _______________________________________________________ The unit commanders are the authorities that most frequently grant USMC personnel access to classified materials.

7-14

7204.

Determining Who May View Classified Materials

No individual has a right to view classified information because of rank, position, or having been granted an appropriate security clearance and access. The final determination of who actually views classified information, and which information is viewed, rests with the persons who have physical control of classified information--those who use that information regularly in the performance of their duties. Each person must ensure that the material under his or her control is made available only to the personnel who meet these three criteria. Persons seeking to view classified materials must a. b. c. have a security clearance at the appropriate level, have access at the appropriate level, and have a need to know.

As we've just said, a need to know is a need to refer to classified materials to accomplish specific tasks that are part of a person's assigned duty. In an emergency situation, however, the need for information may be greater than the requirement to strictly control access. When this happens, personnel having a demonstrated need to know can view specific items even if they don't have appropriate clearances and access. Note: Emergency access does not apply to COMSEC or SCI materials in their original form.

What are the three conditions that persons seeking to access classified materials must fulfill? a. b. c. ____________________________________________________ ____________________________________________________ ____________________________________________________

That's right, the persons must (a) have a security clearance at the appropriate level, (b) have access at the appropriate level, and (c) have a need to know. Lesson Summary. In this lesson you have learned about who grants security clearances and accesses and the criteria that one must meet to gain access to classified information.

7-15

Exercise:

Complete items 1 through 4 by performing the action required. Check your responses against those listed at the end of this study unit.

1.

List the four personnel security determination authorities who may make security determinations for Marine Corps personnel. a. b. c. d. _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________

2.

Who may be granted access to classified information according to Department of the Navy policy? _____________________________________________________

3.

Which of the four designated authorities most frequently grants USMC personnel access to classified materials? _____________________________________________________

4.

List the three conditions or criteria that a person seeking to access classified materials must fulfill. a. b. c. _________________________________________________ _________________________________________________ _________________________________________________

UNIT SUMMARY This study unit addressed the personnel security program. You learned about personnel security, determining eligibility and suitability for personnel security clearances, the granting of clearances and accesses, and finally, about the ultimate factor that determines access, the need to know. You must apply the information you have learned in this study unit and in the rest of the course to prevent the compromise of the information that you will use in the performance of your duties.

7-16

Lesson 1 Exercise Solutions Reference 1. The basic policy is that no person will be granted a security clearance, assigned to sensitive duties, or granted access to classified information unless it is clearly consistent with the interests of national security. Whether the subject's loyalty, reliability, and trustworthiness are such that he or she may be trusted with classified information or a sensitive assignment. Only US citizens are eligible to receive a security clearance. With compelling reasons, individual non-US citizens may be granted a limited access authorization a. b. c. d. e. ENTNAC NAC NACI or DNACI BI SBI 7101

2.

7102

3.

7102

4.

7103

5.

To meet special program requirements to periodically update an existing BI or SBI

7104

Lesson 2 Exercise Solutions Reference 1. a. b. c. d. CMC Unit commanders Commander, Naval Intelligence Command Commander, Naval Security Group Command 7201

2.

Only those individuals whose official duties require knowledge or possession of classified information may be granted access. Unit commanders a. b. c. Have a security clearance at the appropriate level Have access at the appropriate level Have the need to know

7202

3. 4.

7203 7204

7-17

7-18

4-49