Republic of the Philippines

Southern Philippines Agri-business and Marine and Aquatic School of Technology

Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

LEA 213- MODULE 5

Learning Content:
: Basis of Document, Information, and Communication Security
: Standard Rules
: Document Security System
: Information Security
: Communication Security
: Transmission
: Cryptographic

The leakage of document and information cost government, business and industry
alike, billions of pesos. A rival company or an enemy agent might use an illegally obtain
document and information for their own advantage. For this reason, a comprehensive and
information security program is very essential to the installation in order to focus freely on
the attainment of its goals and objectives.

Basis of Document, Information, and Communication Security

Security of documents and information is based on the premise that the

government has the right and duty to protect official papers from unwarranted and
indiscriminate disclosure. In answer to this problem, Malacañang, Manila dated August
14, 1964 entitled “Promulgating rules governing security of classified matters in
Government Officers” was promulgated in order to safeguard our secrets as secrets.

There are various laws likewise effecting security of officials papers of

the government, namely, appropriate articles of the Revised Penal Code as amended
and commonwealth Act 616 as amended. Any violations of the provisions of
Memorandum Circular No. 78 shall be dealt administrative proceedings without prejudice
to offense under provisions soft the cited penal statutes. The unauthorized publication of
any classified information shall be deemed a violation of Memorandum Circular No. 78 by
the parties responsible thereof.

Standard Rules

1. The authority and responsibility for the preparation and classification of classified
matter rest exclusively with the originating office.

2. Classified matter should be classified according to their content and not to the file
in which they are held or of another document to which they refer except
radiograms or telegrams referring to previously classified radiograms or telegram.
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

3. Classification should be made as soon as possible by placing the appropriate

marks of the matter to be classified.
4. Each individual whose duties allow access to classified matter, or each individual
who possesses knowledge of classified matter while it is in his possession and shall
insure that dissemination of such classified matter is on the “need-to-know” basis and to
property cleared persons only.

Document Security Systems

Documents Security is that aspect of security which involves the application of security
measures for the proper protection and safeguarding of classified information.

Classification Categories

Official matter which requires protection in the interest of national security shall be
limited to four categories of classification which in descending order of importance shall
carry one of the following designations:

TOP SECRET – SECRET

CONFIDENTIAL – RESTRICTED

In Document and Information Security, a matter includes everything, regardless of

its physical character, or in which information is recorded or embodied.

Documents, equipment, projects, books, reports, articles, notes, letters, drawings,

drawings, sketches, plans, photographs, recordings, machinery, models, apparatus,
devices, and all other products or substances fall within the general term “matter”.
Information, which is transmitted orally, is considered “matter” for purposes of security.

Security Clearance
-is the certification by a responsible authority that the person described is cleared
for access to classified matter the appropriate level. Need-to-know is the
principle whereby access to classified matter may only be only given to those persons
to whom it is necessary for the fulfillment of their duties. Persons are not entitled to have
access to classified matter solely by virtue of their status or office. It is a requirement that
the dissemination of classified matters be limited strictly to persons whose official duty
requires knowledge or possession thereof.

Certificated of Destruction
-is the certification by a witnessing officer that the classified matters describe
therein has been disposed of in his presence, approved destruction methods.
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

Declassify
-is the removal of security classification from classified matter.

Reclassify / Re grading
- is the act of changing the assigned classification of matter.

Up- grading
- is the act of assigning to a matter of higher classification to a classified document.

What are Top Secret Matters?

These are information and material (matter), the unauthorized disclosure

of which would cause exceptionally grave damage to the nation, politically,
economically or from a security aspect. This category is reserve for the nation’s
closest secrets and is to be used with great reserve.

Classification Authority

The original classification authority for assignment of TOP SECRET classification

rests exclusively with the head of the department. This power may however, be delegated
to authorized offices in instances when the necessity for such arises. Derivative
classification authority for TOP SECRET classification (authority for) may be granted
those officers who are required to give comments or responses to a communication that
necessitates TOP-SECRETS response.

Examples of Top-Secret Documents

Very important political documents regarding negotiation for major alliances.

Major governmental projects such as proposal to adjust the nation’s economy.
Military – Police defense class/plans
Capabilities of major successes of Intel services.
Compilations of data individually classified as secret or lower but which collectively
should be in a higher grade.
Strategies plan documenting overall conduct of war.
Intel documents revealing major Intel production effort permitting an evaluation
by recipients of the success and capabilities of Intel agencies.
Major government project like drastic proposals.
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

What are Secret Matters?

These Information and material (matter), the unauthorized disclosure of which

would endanger national security, cause serious injury to the interest or prestige of the
nation or of any governmental activity or would be of great advantage to a foreign nation.

A secret grading is justified if:

1. It materially influences a major aspect of military tactics;

2. It involves a novel principle applicable to existing important projects;

3. It is sufficiently revolutionary to result in a major advance in existing

techniques or in the performance of existing secret weapons;

4. It is liable to compromise some other projects so already graded.

Classification Authority – Same as TOP SECRET matter.

Examples of Secret Documents

Those that jeopardize or endanger Intel relations of a nation.

Those that compromise defense plans, scientific or technological development.
Those that reveal important intelligence operations.
War plans or complete plans for future war operations not included in top secret.
Documents showing disposition of forces.
New designs of aircraft projections, tanks, radar and other devices.
Troop movement to operational areas.
Hotel plans and estimates
Order of battle info.

What are Confidential Matters?

These are information and material (matter) the unauthorized disclosure of which,
while not endangering the national security, would be prejudicial to the interest or prestige
of the nation or any governmental activity, or would cause administrative embarrassment
or unwarranted injury to an individual or would be of advantage to a foreign nation.

Confidential grading is justified if:

a. It is a more than a routine modification or logical improvement of existing

Materials and is sufficiently advanced to result in substantial improvement in
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

the performance of existing CONFIDENTIAL weapons.

b. It is sufficiently important potentially to make it desirable to postpone
knowledge of its value reaching a foreign nation.
c. It is liable to compromise some other project already so graded.

Classification Authority – Any officer is authorized to assign confidential classification

to any matter in the performance of his duties

Examples of Confidential Documents

Plans of government projects such as roads, bridges, building, etc.

Routine service reports like operations and exercise of foreign power.
Routine intelligence reports.
Certain Personnel records, Staff matters.

What are Restricted Matters?

These are information and material (matter), which requires special protection
other than that determined to be TOP SECRET, SECRET, or CONFIDENTIAL.

Authority to classify shall be the same as for CONFIDENTIAL matter.

Reproduction is authorized. Transmission shall be through the normal dissemination
system.

Control of Classified Matters

Custody and accounting of classified matter – Heads of departments handling

classified matter shall issue orders designating their respective custodians of classified
matter. Custodian shall:
a. Store all classified matter.
b. Maintain a registry of classified matter showing all classified matter received and to
whom transmitted.
c. Maintain current roster of persons authorized access to classified matter
for each classification in the office.
d. Ensure physical security for classified matter.
e. Conduct an inventory of all TOP SECRET matter as specified in paragraph 7 (Memo
Cir Nr78/196).
f. Upon his relief, account for all TOP SECRET and SECRET matter by inventory and
transmit the same to his successor.
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

Unauthorized keeping of private records

– All government personnel are prohibited from keeping private records, diaries, or
papers containing statement of facts or opinions, either official or personal, concerning
matters which are related to or which affects national interest or security. Also prohibited
are the collecting of souvenirs or obtaining for personal use whatsoever any matter
classified in the interest of national security.

Dissemination
– Dissemination of classified matter shall be restricted to properly cleared persons whose
official duties required knowledge or possession thereof. Responsibility for the
determination of “need-to-know” rests upon both each individual, who has possession,
knowledge or command control of the information involve, and the recipient.

Disclosures to other departments of classified information originating from

another department

Classified matter originating from another department shall not be disseminated to other
departments without the consent of the originating department.

Release of classified matter outside a department

General Policy. – No person in the government shall convey orally, visually or by written
communication any classified matter outside his own department unless such
disclosures have been processed and cleared by the department head or his authorized
representative.

Release of classified matter to Congress

Government personnel, when giving oral testimony before Congressional Committee

involving classified matter, shall advice the committee of the classification thereof.
Government personnel called upon to testify shall obtain necessary and prior instruction
from his department head concerning disclosure.

When Congressional members visit government offices, department heads are

authorized to release classified matter which is deemed and adequate response to an
inquiry provided that it is required in the performance of official functions.

Disclosure to Foreign Government or Nationals

1. Its use shall be solely for the purpose for which the classified matter is requested.
2. It shall be treated or handled in accordance with the classified categories of the
originating office.
3. Handling shall be made by security-cleared personnel.
4.Reproduction and dissemination shall not be made without the consent of the
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

department head.

Disclosure of classified matter for publication

Classified matter shall be released for public consumption only upon the consent of the
department head or his authorized representative. However, in instances where there is
a demand or need for releasing classified information, extreme caution must be exercised
to analyze in detail contents of the classified matter before release. Normally all
information is released through Public Information Officers. Public Information Officers
should be assisted in the analysis of classified information by the Security Officer.

Purpose of Protecting Classified Materials

1. Deter and impede potential spy.

2. Assist in security investigations by keeping accurate records of the

moments of classified materials.

3. Enforce the use of “Need to Know” principle.

Categories of Document for Security Purposes

1. Category A
a. Information which contains reportable time sensitive, order of battle and
significant information.
b. It should be given priority because it is critical information.
c. It must be forwarded without delay.
d. It is critical to friendly operations.
e. It requires immediate action.

2. Category B
a. Anything that contains communications, cryptographic documents, or systems
that should be classified as secret and requires special handling.
b. Higher authorities should declassify it.

3. Category C
a. Other information, which contains something that, could be an intelligence value.
b. Contains exploitable information regardless of its contents.
c. Unscreened materials/documents should be categorized as Category C.
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

4. Category D
a. No value, yet lower level will classify documents as category D.
b. No decision must be made at the lower echelon that document has no value. It is the
responsibility of the higher Headquarters.

Three (3) Security Concepts

1. Personnel are the weakest link in the security chain.

2. Training is important to make security personnel conscious and realize the value of
document.

3. Training is necessary for the practice of “Need to Know” principle.

Rules for Classification of Documents

1. Documents shall be classified according to their content.

2. The overall classification of a file or of a group of physically connected

therein. Pages, paragraphs, sections or components thereof may bear different
classifications. Documents separated from file or group shall be handled in accordance
with their individual classification.

3. Transmittal of documents or endorsements which do not contain classified information

or which contain information classified lower than that of the preceding element or
enclosure shall include a notation for automatic downgrading.

4. Correspondence, Indexes, receipts, reports of possession transfer or destruction,

catalogs, or accession list shall not be classified if any reference to classified
matter does not disclose classified information.

5. Classified matter obtained from other department shall retain the same original
classification.

Protection of Sensitive Information

Proprietary information is information that in some special way relates to the status or
activities of the possessor and over which the possessor asserts ownership. In the
business community, proprietary information relates to the structure, products or
business methods of the organization. It is usually protected in some way against
causal or general disclosure.
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

All proprietary information is confidential, but not all confidential information is proprietary.
For example, confidential personnel data in employee files is not considered as
proprietary although the company treats it as confidential.

Types of Proprietary Information

1. Trade Secrets- this consist of any formula, pattern, device or compilation of information
which is used in one’s business and which gives him an opportunity to gain
an advantage over competitors who do not know or us e it. It may be a formula for a
chemical compound a process of manufacturing, treating or preserving materials, a
pattern for machine or device, or a list of customers. It differs from other secret information
as to single or ephemeral events. A trade secret is a process or device for continuous use
in the protection of the business.

2. Patents- this is a grant made by the government to an inventor, conveying or securing

to him the exclusive right to make, use, or sell his invention for term of years.

Primary Distinctions Between Patents and Trade Secrets

1. Requirements for obtaining a patent are specific. To qualify for a patent the invention
must be more than novel and useful. It must represent a positive contribution beyond
the skill of the average person.

2. A much lower of novelty is required of a trade secret.

3. A trade secret remains secret as long as it continues to meet trade secret

tests while the exclusive right to patent protection expires after 17 years.

Proprietary Information Protection Program

Realizing that the most serious threat to trade secrets is the employee, a measure of
protection is often realized through the use of employee agreements which
restrict the employee’s ability to disclose information without specific authorization
to the company. The following countermeasures may be adopted:

1. Policy and procedure statements regarding All sensitive information.

2. Pre and post-employment screening and review.
3. non-disclosure agreements from employees, vendors, contractors and visitors.
4. Non-competitive agreements with selected employees.
5. Awareness programs
6. Physical security measures
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

7. Informed monitoring of routine activities.

Communication Security

- is the protection resulting from the application of various measures which prevent
or delay the enemy or unauthorized persons in gaining information through our
communications. It includes Transmission, Cryptographic and Physical security.

Rules- governing communications security do not in guarantee security, and they do not
attempt to meet every conceivable situation. Communication security rules are a means,
not an end.

Department heads- are responsible for the maintenance of communication

security and for the promulgation of additional directives as may be necessary
to ensure proper communication security control within their jurisdiction.

All communication personnel should have an appreciation of the basic principles of

communication security may result in compromise.

Communication Security Officer - A properly trained and cleared Communication

Security Officer shall be appointed in every Department of the Government handling
cryptographic communication.

Transmission Security

-is that component of communication security which results from all measures designed
to protect transmission from interception, traffic analysis and imitative deception.

Communication personnel shall select the means most appropriate to

accomplish the delivery of message in accordance with the specified precedence and
security requirements.

Radio Operators shall adhere to the use of correct procedures, circuit discipline and
authentication system as a security measure against traffic analysis, imitative deception
and radio direction finding.

Cryptographic Security

- is that component of communication security which results from the provisions of

technically sound crypto-system and their proper use.
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

CODES AND CIPHERS

Code - a system which uses words as the smallest element like the one below.
Code word Plaintext
Angel we are ready
Fox sends additional

Cipher - a system that manipulate one, two, or three characters at a time like:

Cipher Plaintext

B 1
C 2
J 3
D 4

Abbreviation

C: code or cipher
P: Plaintext
K: keyword/ key number

Note: Code and cipher may be used interchangeably to mean the same.

Categories of Cipher

Concealment – is the simplest, which means to hide/hidden.

For instance:

I WILL DO IT. IF NOT TODAY, THEN TRUST ME. SIGNED SMITH.

message: (copy out every third word)

Decipher: DO NOT TRUST SMITH

Transposition System – is another category of cipher.

Below is an example.

C: NRUTE RAMOH ALKOL ECNAC

(Everything is written backward)
 Republic of the Philippines
Southern Philippines Agri-business and Marine and Aquatic School of Technology
Malita, Davao Occidental
LEA213 – MARIA LUZ J VILLACUATRO, RCrim

(Put into 5 letters)

Decipher: Return to base – this is the plaintext

Substitution Method - original message elements, letters, numbers or other symbols are
replaced with alternate symbols

symbols number of times

j 26
4 19
I 16
) 15
* 13