NOSCINST 5500.1A 1504/MLQ:ab 22 August 1988 CH-1 of 15 Feb 90 NOSC INSTRUCTION 5500.1A WITH CHANGE 1 From: Commander, Naval Ocean Systems Center To: All Codes Subj: SECURITY MANUAL 1. Purpose. To provide civilian employees and military personnel assigned to Naval Ocean Systems Center (NOSC) with security policy, guidance, and proce- dures for safeguarding all assets entrusted to this command. Such assets certainly include all matters and material which pertain to our national defense, as well as all matters and property under the authority, cognizance, and custody of Commander, Naval Ocean Systems Center. 2. Cancellation a. NOSCINST 5500.1 b. NOSCINST 5511.3, Restricted areas; establishment and control of c. NOSCNOTE 5500 of 28 Dec 1983, Center access control changes d. NOSCNOTE 5500 of 17 Mar 1983, Secret messages; delivery of e. NOSCNOTE 5500 of 5 Jun 1986, Center policy on use of colored paper f. NOSCNOTE 5511 of 13 Nov 1985, Designation of Top Secret Control Offi- cer and Alternate Top Secret Control Officers g. NOSCNOTE 5500 of 21 Apr 1987, Communications Security Material System (CMS) h. NOSCNOTE 5510 of 18 May 1987, New security-related standard forms i. NOSCNOTE 5511 of 20 May 1987, Secret material accountability proce- dures 3. Scope. This instruction covers all NOSC security policies and procedures for implementing the Center's security programs. 4. References and Definitions. References and definitions are listed in appendices B and F respectively. 5. Responsibilities. Security is the direct, immediate, and moral responsi- bility of all military personnel and civilians employed by the Department of the Navy. i NOSCINST 5500.1A 22 August 1988 a. The Commander, NOSC, is responsible for the security programs of this Center. b. The Head, Security Office, is the designated representative of the Commander, NOSC, responsible for planning, implementing, and monitoring com- pliance with security programs of the Center. c. NOSC personnel, including military personnel, civilian employees, Department of Defense (DOD) contractor personnel, and others assigned to duty at NOSC, are responsible for knowledge of and compliance with the policies and procedures contained in this instruction. 6. Action. Addressees shall ensure that all NOSC personnel and on-board contractors under their cognizance comply with the policies and procedures established by this manual. 7. Forms Availability. Appendix D lists the forms discussed in this manual and their stocking points. 8. Directive Responsibility. The Head, Security Office, Code 15, is respon- sible for keeping this instruction current. Distribution: C Copy to: Tenant Commands (2 copies each) 1504 (100) ii NOSCINST 5500.1A 22 August 1988 TABLE OF CONTENTS Chapter Page 1 Introduction 1. Introduction ...........................................1-1 2. Access Limitations and Controls: A Preliminary Statement ..............................................1-1 2 Functional Responsibilities of Security Codes and Committees 1. Security Office, Code 15 ...............................2-1 2. Security Operations Coordinator, Code 1504 .............2-1 3. Security/Safety Office - Hawaii, Code 0059 .............2-2 4. Visit Control/Badge and Decal Group, Code 151 ..........2-2 5. Information and Personnel Security Group, Code 152 .....2-2 6. Operations Security Group, Code 153 ....................2-3 7. Physical Security Group, Code 154 ......................2-4 8. Physical Security Review Committee (PSRC)...............2-4 9. Loss Prevention Subcommittee (LPS) .....................2-5 10. Physical Security Review Board (PSRB)...................2-5 3 Security Education and Training 1. Policy .................................................3-1 A 2. Responsibility .........................................3-1 3. Scope ..................................................3-1 4. Training Aids ..........................................3-2 5. Announcement of Training ...............................3-2 4 Foreign Disclosure and Foreign Travel 1. Policies ...............................................4-1 2. Foreign Requests for Classified Documents ..............4-1 3. Foreign Requests for Unclassified Documents ............4-1 4. Official Visits to NOSC by Foreign Nationals ...........4-2 5. Foreign Nationals Visiting NOSC Unofficially ...........4-3 6. Foreign Nationals Attending Meetings Held at NOSC ......4-3 7. NOSC Employee Presentations at Meetings Attended by Foreign Nationals ......................................4-4 8. Articles to be Published in Scientific Journals ........4-4 9. Information Exchange Programs (IEP) ....................4-4 10. Exchange Scientist Program and Long Term Attachments (LTA)...................................................4-4 11. Foreign Military Sales (FMS) Export Cases...............4-5 12. Contracts with Foreign Firms............................4-5 13. Travel Outside Continental United States (CONUS) by NOSC Employees and Contractor/Government Personnel Traveling in Support of a NOSC Project........4-5 Exhibit A - Sample of Travel Clearance to Hawaii .......4-9 Exhibit B - Sample of Travel Clearance to Alaska .......4-11 Exhibit C - Sample of Travel Clearance to Guam .........4-13 Exhibit D - Sample of Travel Clearance to Midway Island .....................................4-15 iii NOSCINST 5500.1A 22 August 1988 Chapter Page Exhibit E - Sample of Travel Clearance to Puerto........ Rico........................................4-17 Exhibit F - Sample of Travel Clearance to Virgin Islands.....................................4-19 Exhibit G - Sample of Travel Clearance to U.S. Ship (Outside CONUS in Areas of Hawaii, Alaska, Guam, Midway Island, Puerto Rico, Virgin Islands)....................................4-21 Exhibit H - Request for Foreign Travel, NOSC-SD 4650/36 ....................................4-23 5 Information Security Program 1. Scope ..................................................5-1 2. Responsibilities .......................................5-1 3. Procedures for Assigning Top Secret, Secret or Confidential Classification ............................5-5 4. Classifying Research Data ..............................5-6 5. Classification Markings Guidance .......................5-6 6. Downgrading/Declassification Markings ..................5-12 7. Distribution Statements ................................5-14 6 Handling and Safeguarding Secret and Confidential Material 1. Responsibilities .......................................6-1 2. Designation of Classified Material Control Centers .....6-2 3. Accountability System for Secret Material ..............6-2 4. Originating Secret Material at NOSC ....................6-5 5. Reproduction of Secret Material ........................6-8 6. Dissemination of Secret Material .......................6-9 7. Stowage of Secret Material .............................6-10 8. Inventory of Secret Material ...........................6-10 9. Transmission of Secret Material ........................6-10 10. Disposition of Secret Material .........................6-12 11. Retention of Records of Secret Material ................6-13 12. Procedures for Handling Incoming Registered Mail .......6-13 13. Procedures for Handling Outgoing Registered Mail .......6-14 14. Safeguarding Procedures for Confidential Material ......6-14 15. Preparation of Confidential Material ...................6-15 16. Reproduction of Confidential Material ..................6-15 17. Dissemination of Confidential Material .................6-16 18. Stowage of Confidential Material .......................6-16 19. Transmission of Confidential Material ..................6-17 20. Disposition of Confidential Material ...................6-18 21. Mail Procedures for Confidential Material ..............6-18 22. Destruction of Confidential Material ...................6-19 23. Retention of Records of Confidential Material ..........6-19 24. General Procedures for Handling Secret and Confidential Material ..................................6-19 Safeguarding and Controlling Dissemination of Sensitive 7 Documents Requiring Special Handling 1. Background..............................................7-1 2. Scope ..................................................7-1 iv NOSCINST 5500.1A 22 August 1988 3. Policy .................................................7-1 4. Responsibilities .......................................7-1 5. Safeguarding and Controlling Dissemination of NATO Documents and Material .................................7-2 6. Safeguarding and Controlling Dissemination of Naval Warfare Publications (NWP's) ...........................7-4 7. Safeguarding and Controlling Dissemination of Restricted Data (RD), Formerly Restricted Data (FRD), and Critical Nuclear Weapons Design Information (CNWDI) ................................................7-4 8. Safeguarding and Controlling Dissemination of Single Integrated Operational Plan - Extremely Sensitive Information (SIOP-ESI) Documents .......................7-8 8 Special Handling Procedures for Classified Messages 1. Scope ..................................................8-1 2. Confidential Messages ..................................8-1 3. Secret Messages ........................................8-1 4. Top Secret Messages.....................................8-2 9 Security Violations 1. Scope ..................................................9-1 2. Responsibilities .......................................9-1 3. Disciplinary Action ....................................9-2 4. Assistance and Training ................................9-2 10 Security Requirements for Procurement Actions 1. Scope ..................................................10-1 2. Responsibilities .......................................10-1 3. Contract Security Classification Specification (DD Form 254) ..........................................10-2 4. Procedures for Initiating Classified Procurement Action .................................................10-4 5. Special Situations .....................................10-4 6. Instructions for Completing DD Form 254, Contract Security Classification Specification ..................10-5 11 Locksmith Services/Storage Containers 1. Purpose ................................................11-1 2. Scope ..................................................11-1 3. Policy .................................................11-1 4. Responsibilities .......................................11-1 5. Key/Non-Key Systems ....................................11-2 6. Storage Containers (i.e., Safes/Strong Rooms/Vaults) ..........................................11-3 12 Signal Security (SIGSEC) Program 1. Purpose ................................................12-1 2. Scope ..................................................12-1 3. Background .............................................12-1 4. Policy .................................................12-1 5. Responsibilities .......................................12-1 6. Procedures .............................................12-3 v NOSCINST 5500.1A 22 August 1988 13 Security of Automatic Data Processing (ADP) Systems and Office Information Systems (OIS) 1. Purpose ................................................13-1 2. Scope ..................................................13-1 3. Objectives .............................................13-1 4. Policy .................................................13-1 5. Definitions ............................................13-2 6. Responsibilities .......................................13-2 7. Current ADP Security Environment .......................13-5 8. Audit/Internal Review ..................................13-7 9. ADP Security in Life-Cycle Management ..................13-8 10. ADP Security in Hardware and Software Configuration Control ................................................13-8 11. ADP Security Training ..................................13-9 14 Cancelled by NRaDINST 2280.2 of 26 April 1993 15 Identification Badges and Special Use Passes 1. Types of Badges ............................15-1 2. Temporary Badges ...........................15-2 3. Picture Badges .............................15-2 4. Access Authorized ..........................15-3 5. Hours of Badge Issuance at San Diego .......15-3 6. Length of Issuance .........................15-3 7. Retention of Badges ........................15-4 8. Badge Violations ...........................15-4 9. Reporting a Lost Badge .....................15-4 10. Recovery of Badge ..........................15-4 11. Disciplinary Action ........................15-4 12. Badge/Request Procedures ...................15-4 13. Responsibilities ...........................15-8 14. Special Use Passes .........................15-9 16 Visit Control 1. Scope ......................................16-1 2. Policies ...................................16-1 3. Responsibilities ...........................16-1 4. Procedures for Classified Visits within CONUS 16-3 5. Procedures for Official/Unofficial Visits to NOSC Facilities .................................16-7 Exhibit A - Sample Visit Request to a Government Activity, OPNAV Form 5521/27 ...............16-9 vi NOSCINST 5500.1A 22 August 1988 Exhibit B - Sample Visit Request to a Contractor's Facility, OPNAV Form 5521/27 ...............16-10 Exhibit C - Sample of Visit Request to a Military Activity (includes NOSC Employee and Contractors) ...............................16-11 Exhibit D - Sample of Visit Request to Two Civilian (Contractor) Facilities Who do Not Have "On-Line" Communication Capability .........16-12 Exhibit E - Sample of Visit Request for a Military Activity and to Two Civilian (Contractor) Facilities (One With "On-Line Communication" and One Without "On-Line" Communication Capabilities ...............................16-13 Exhibit F - Sample of Message Containing Passing Instruction ................................16-14 Exhibit G - Sample of Visit Request to a U.S. Ship (Inside CONUS) .............................16-15 17 Personnel Security Clearances 1. Background .............................................17-1 2. Policy .................................................17-1 3. Types of Clearances ....................................17-4 4. Investigations .........................................17-4 5. Responsibilities .......................................17-5 6. Procedures .............................................17-6 Exhibit A - Personnel Position Designation, NOSC-SD 5521/10 ....................................17-9 18 Vehicle Regulations 1. Scope ..................................................18-1 2. Background .............................................18-1 3. Responsibilities .......................................18-1 4. Vehicle Operating Policies .............................18-2 5. Issuance and Use of Motor Vehicle Decals ...............18-3 6. Traffic and Parking Violation Citation Issuance ........18-5 7. Violations for Which Tickets Will Be Issued ............18-7 8. Parking and Moving Violations Penalties for NOSC Visitors ...............................................18-9 9. Traffic Accident Investigation .........................18-9 19 Establishment and Control of Restricted Areas 1. Purpose ................................................19-1 2. Definitions ............................................19-1 3. Responsibilities .......................................19-1 4. Procedures .............................................19-2 5. Signs ..................................................19-4 20 Emergency Procedures 1. Information ............................................20-1 2. Scope ..................................................20-1 3. Responsibility .........................................20-1 4. Emergency Procedures - Work Hours ......................20-1 5. Emergency Procedures - After Hours .....................20-3 vii NOSCINST 5500.1A 22 August 1988 Chapter Page 21 Bomb Threats 1. Purpose ................................................21-1 2. Definitions ............................................21-1 3. Procedures .............................................21-1 Exhibit A - Telephonic Threat Complaint, OPNAV Form 5527/8 ............................................21-6 22 Operations Security Program 1. Purpose ................................................22-1 2. Scope ..................................................22-1 3. Background .............................................22-1 4. Definition .............................................22-1 5. Concept ................................................22-1 6. Policy .................................................22-1 7. OPSEC Training .........................................22-2 8. NOSC OPSEC Program Handbook ............................22-2 9. Responsibilities/Actions ...............................22-2 Appendix Page A Security Phone Numbers .....................................A-1 B References .................................................B-1 C Security Committees ........................................C-1 D Availability of Forms ......................................D-1 E List of Designated Countries................................E-1 F Definitions.................................................F-1 viii NOSCINST 5500.1A 22 August 1988 CHAPTER 1 INTRODUCTION 1. Introduction a. Security has many meanings and applications. Security at the Naval Ocean Systems Center (NOSC) is defined as the safeguarding of all matters and assets entrusted to Commander, NOSC. Such matters and assets include those involving national security as well as all matters and property under the authority of Commander, NOSC. b. The Head, Security Office, Code 15, is the Commander's agent to organ- ize the ways and means to accomplish the safeguarding required. 2. Access Limitations and Controls: A Preliminary Statement a. Work at NOSC involves research, development, test and evaluation in support of the Department of the Navy. Center access is limited and con- trolled. All personnel assigned to and employed at NOSC and all visitors must register with the Visit Control/Badge and Decal Group, Code 151, and receive a badge to be permitted authorized access to NOSC. b. Personnel assigned to and employed at NOSC and all visitors are here on official business and under official sponsorship. NOSC does not house military dependent support and recreational functions, such as a commissary, exchange, theater, bowling alley, etc., and therefore is not open to members of the military and employees of the Government solely because of status. Access to the controlled areas of NOSC is specifically by permission because of official business. Family members of personnel assigned to and employed at NOSC are not permitted access to the Center except on special occasions approved and sponsored by Commander, NOSC. c. As a general rule, all personnel assigned to and employed at NOSC and all visitors who are not personally escorted by personnel with visitor escort authority must wear NOSC-issued badges. These badges must be worn above the waist in clear view at all times while the bearer is at NOSC. These badges must also be surrendered upon demand by NOSC security and management offi- cials. d. The NOSC badge signifies registration at NOSC. It does not grant unlimited and uncontrolled movement within the Center. NOSC has several lev- els of security access, and appropriate approval is systematically required depending upon official clearance and need to know. Generally, an official visit request (notification) is required before arrival at NOSC. Access is a privilege, not a right. The Commander, NOSC, is the ultimate approving authority. e. All personnel employed at or visiting NOSC are advised by this instruction and by signs posted at each entry that they and all property under their control are subject to search and inspection. Entering the Center prem- ises implies consent to such searches and inspections. 1-1 NOSCINST 5500.1A 22 August 1988 f. Security is absolutely an individual responsibility. All Center per- sonnel are individually responsible for challenging and reporting personnel who do not comply with NOSC security policy and procedures. CHAPTER 2 2-1 NOSCINST 5500.1A 22 August 1988 FUNCTIONAL RESPONSIBILITIES OF SECURITY CODES AND COMMITTEES The functional responsibilities of each Security code to develop and implement NOSC security policies and procedures are listed below. Additionally, the Physical Security Review Committee provides advice, guidance, and recommenda- tions for effective implementation of security procedures. 1. Security Office, Code 15 a. Develops and implements policies and procedures for general service (GENSER) security programs as follows: Visit Control; Information and Person- nel Security; Operations Security, including ADP Security, Signal Security, and TEMPEST; and Physical Security and Loss Prevention for the Center and for tenant activities as specified in formal agreements. b. Provides intercommunication with Center management, technical depart- ments, and project management concerning security policies and practices. c. Specifies the physical security equipment and systems to be used to protect national security material and Government property. d. Provides liaison between the Center and the consolidated fire protec- tion service. e. Coordinates security planning and reviews of NOSC outlying areas (Hawaii, Morris Dam, etc.). 2. Security Operations Coordinator, Code 1504 a. Coordinates security responsibilities between Center codes and the Security Office, responds to urgent requirements, and provides advisory serv- ices and amplification of security regulations for Center employees. b. Coordinates security requirements with tenant/support activities and makes sure such requirements are stated in appropriate host-tenant and inter- service support agreements. c. Coordinates services used by Code 15. d. Coordinates writing and approval of all Center security instructions. e. Manages and serves as the central control and focal point for all administrative matters and functions within the security groups. f. Coordinates the security requirements for computer hardware and soft- ware. g. Acts, on an as-required basis, for the heads of all security groups subordinate to Code 15. 2-2 NOSCINST 5500.1A 22 August 1988 3. Security/Safety Office - Hawaii, Code 0059. Implements policies and pro- cedures for the security and safety functions at the Hawaii Laboratory. Code 15 provides technical guidance regarding security matters to the Security Officer, Code 0059, Hawaii Laboratory. Further, Code 15 will advise the NOSC Security Office on Navy and NOSC security policies. 4. Visit Control/Badge and Decal Group, Code 151 a. Provides centralized receptionist services acting as liaison between Center and tenant/support activity personnel and their visitors. b. Prepares and issues identification badges, special use passes, DOD vehicle decals, and temporary vehicle passes. 5. Information and Personnel Security Group, Code 152. The Head, Information and Personnel Security Group, is designated in writing as the Command Security Manager. Duties include: a. Implements the Information Security Program for proper security clas- sification and control of Center information and material. b. Provides classification guidance for and assists R&D personnel in development of task or project goals within approved security guidelines. c. Provides guidance in industrial security matters including preparation of contract security guidance, verification of contractor facility clearances, contractor visits, and contractor retention of classified information. d. Provides guidance on controlling dissemination of unclassified and classified technical information within the Center; to other U.S. Government agencies, foreign governments, and international defense organizations; and to foreign and domestic individuals or activities. e. Serves as Foreign Disclosure Review Officer. f. Serves as control officer for Special Access Only (SAO) programs (NATO, CNWDI, SIOP-ESI). g. Provides and coordinates security training for orientation, annual refresher, counterintelligence, and special and foreign travel. h. Certifies clearance data on contractor personnel for all outgoing visit requests. i. Prepares and/or reviews area, embassy, and theater clearance requests for official travel outside CONUS. j. Initiates investigations and determines eligibility for issuance of personnel security clearances. 2-3 NOSCINST 5500.1A 22 August 1988 6. Operations Security Group, Code 153 a. Has direct access to the Center Commander as advisor and consultant on all operations security (OPSEC), computer security (COMPUSEC), and signal security (SIGSEC) matters. b. Acts as NOSC Operations Security (OPSEC) Officer. c. Responsible for preparation and administration of the Center approved OPSEC Program. d. Advises the Commander, NOSC, as appropriate, on matters relating to the conduct of the OPSEC Program. e. Acts as NOSC coordinator for all automatic data processing (ADP)/of- fice information systems (OIS) security matters. f. Responsible for development of policy and implementation of Center approved procedures regarding the security of ADP/OIS. g. Responsible for all ADP/OIS systems accreditation. h. Acts as the Center point of contact for outside inquiries about OPSEC, ADP/OIS, and SIGSEC security matters. i. Serves as primary advisor and security representative to C3 SITE and ocean surveillance project managers and facilities personnel regarding TEMPEST standards and security requirements for Bldgs. 600 and 605. j. Responsible for recommending policy and coordinating all matters related to the NOSC SIGSEC Program. k. Develops and implements procedure for providing SIGSEC guidance to facilities, projects, programs, and test and evaluation groups (afloat and ashore). l. Coordinates all TEMPEST inspections and certifications. m. Coordinates all technical surveillance countermeasure (TSCM) inspec- tions and certifications. n. Coordinates all communication security (COMSEC) support requirements, maintaining close liaison with the CMS Management Group, Code 3301, pertinent to crypto equipment resources. o. Secure Voice Telephone Program (Secure Telephone Unit STU-III). Code 33 has been tasked with development of STU-III accountability procedures and initial draft of the NOSC Security Voice Program instruction. Upon completion of this tasking, Code 153 will assume management of the STU-III Program. Until this transfer is completed, the point of contact for STU-III matters is Code 33 (Ext. 35066). 2-4 NOSCINST 5500.1A 22 August 1988 7. Physical Security Group, Code 154 a. Implements and administers the Center's physical security and loss prevention programs. b. Conducts physical security surveys and determines requirements for all classifications of Center GENSER vaults and strongrooms. c. Acts as the Center's technical representative and liaison with the Center's contract guard service; makes sure all procedures in guard post orders are carried out. Coordinates guard contract change orders and invoice validation with Administrative Staff, Code 0063, in the Facilities Engineering Office. d. Coordinates planning, acquisition, installation, maintenance, and monitoring of all security alarm (intrusion detection) systems. e. Manages the Center's lock and key systems, the security container combination system, and issuance of security containers. f. Provides Center Duty Officer (CDO) assistance. g. Administers the Security Watch Officer (SECWO) Program. h. Responsible for Center missing, lost, stolen, or recovered (MLSR) property reporting, coordination, and trend analysis. i. Coordinates Auxiliary Security Force (ASF). j. Provides guidance for proper storage of precious metals. k. Coordinates physical security requirements with tenant/support activi- ties. 8. Physical Security Review Committee (PSRC). Membership of this committee is identified in appendix C. a. The PSRC advises and assists the Commander in applying the standards of and implementing the program for physical security and loss prevention set forth in this manual. b. The PSRC will: (1) Assist in determining requirements for and evaluating security afforded to areas of NOSC and its tenant activities. (2) Advise on establishment of security areas. (3) Review the draft physical security and loss prevention plan, or recommended changes thereto, before submission to the Commander, NOSC. (4) Review reports of significant losses and breaches of security and, based on analysis of such instances, recommend improvements to the Physical Security and Loss Prevention Program. 2-5 NOSCINST 5500.1A 22 August 1988 9. Loss Prevention Subcommittee (LPS). Membership of this subcommittee is identified in appendix C. a. The chairperson is the Loss Prevention Coordinator. The purpose of the LPS is to meet at least quarterly to review and tabulate losses and actions taken or pending. b. Meeting summaries will be appended to PSRC quarterly meeting minutes. Internal review participation in the LPS is required. At least three PSRC members will be appointed to serve on the LPS. 10. Physical Security Review Board (PSRB). Membership of this board is iden- tified in appendix C. a. The board's objective is coordination of mutually supportive physical security and loss prevention practices. Membership includes representatives of each tenant/support activity located on NOSC premises. Attendance and participation by other organizations located on the Point Loma Federal Complex is optional and discretionary. b. The Board will meet at least annually. 2-6 NOSCINST 5500.1A 22 August 1988 2-7 NOSCINST 5500.1A 22 August 1988 CHAPTER 3 SECURITY EDUCATION AND TRAINING 1. Policy. NOSC policy is to promote a strong and continuing Security Educa- tion Program by instructing all personnel, regardless of their position, rank, or grade, in security policies and procedures. 2. Responsibility. The Commander, through the Head, Information and Person- nel Security Group, Code 152, is responsible for implementing and maintaining a Security Education Program for the Center and ensuring it is afforded a significant share of the time dedicated to Center security. Supervisors are responsible for identifying the security requirements for the functions of their organizational elements and for seeing that personnel under their super- vision understand the security requirements for their particular assignments. On-the-job training is an essential part of Center security education. 3. Scope. The Head, Information and Personnel Security Group, Code 152, will coordinate the training required by references (a) (OPNAVINST 5510.1G), (b) (OPNAVINST 5530.14A), and (c) (SPAWARINST 5510.3G), as outlined below, for all NOSC civilian and military personnel. The Security Education Program should make all personnel understand the need to protect Government property and sensitive or classified information. a. New Employee Orientation Briefing. A weekly briefing on security policy and procedures is presented to all employees new to the Navy and/or to the Center. This briefing will satisfy the requirement for an annual refresher for the calendar year in which it is given. b. Classified Nondisclosure Agreement. Civilian employees and military personnel are instructed on the requirements for nondisclosure of classified information as set forth in Standard Form 189, Classified Information Nondis- closure Agreement. c. Refresher Briefing. Provide civilian employees and military personnel with annual refresher training that highlights changes in security practices and procedures. This may be accomplished either through briefing sessions or brief resumes that individuals read, sign, and return to Code 152. d. Counterespionage Briefing. Coordinate an annual briefing by the Naval Investigative Service for all personnel who have access to material classified Secret or above. Each individual in this category is required to attend one briefing every 3 years. e. Special Briefings. Certain types of special briefings are required to be coordinated or provided by the Security Manager, Code 152. These include: (1) Foreign Travel Briefing. Any individual who has had access to classified information and plans to travel, on business or vacation, to or through a communist-controlled country; on a communist government operated cruise ship, or to attend a meeting in the United States or elsewhere in which representatives of communist controlled countries (appendix E) are expected to 3-1 NOSCINST 5500.1A 22 August 1988 participate must be given a defensive briefing by Code 152 (Code 0059 in Hawaii). This briefing may also be given to dependents, if requested. When the individual returns, a debriefing by the Naval Investigative Service is required by reference (a) (OPNAVINST 5510.1G). (2) NATO Briefing. All personnel who require access to NATO informa- tion must be briefed on NATO security procedures by Code 152 (Code 0059 in Hawaii) before access is granted per reference (d) (OPNAVINST C5510.101). (3) Single Integrated Operational Plan-Extremely Sensitive Information (SIOP-ESI) Briefing. A special briefing is required by Code 152 (Code 0059 in Hawaii) before access to SIOP-ESI is granted per reference (e) (OPNAVINST S5511.35J). NOTE: To obtain a NATO or SIOP-ESI briefing, submit a memorandum to Code 152, signed by a branch head or higher, designating the individual and the project or program requiring the specific access. A final Secret clearance or higher is required, and a briefing (and debriefing) certificate must be executed. f. Group Briefings. A variety of security material can be presented for special groups within the Center. (1) Workshops. In conjunction with the Employment/Development Office, Code 143, the Security Education and Training Officer supports training requirements for supervisory/secretarial training and correspondence work- shops. (2) Tailored. Individual branches or divisions may request special security training or discussions. Code 152 will support these requests and make arrangements to meet the special needs. g. Debriefing. All civilian employees and military personnel who have had access to classified information must be debriefed by Code 151 (Code 0059 in Hawaii) under the following conditions: (1) Before termination of active military service, civilian employ- ment, or temporary separation for a period of 60 days or more including sab- baticals and leave without pay. The Information and Personnel Security Group, Code 152 (Code 0059 in Hawaii), will give this debriefing. (2) When security clearance is revoked for cause. (3) When security clearance is administratively withdrawn. (4) At the conclusion of the need for access period. 4. Training Aids. The Security Education and Training Officer subscribes to a poster service for security. In addition to those posters which are placed throughout the Center for general reference, groups feeling a special need for copies should contact Code 152 directly. 5. Announcement of Training. In coordination with the Employment/Development Office, Code 143, Code 152 will issue announcements of Security Education and Training 10 to 14 days in advance of the session. 3-2 NOSCINST 5500.1A 22 August 1988 CHAPTER 4 FOREIGN DISCLOSURE AND FOREIGN TRAVEL 1. Policies a. Disclosure. OPNAVINST 5510.48J states policy on the release of U.S. Navy information to foreign governments and international organizations as follows: "It is the policy of the United States Government to treat classified military information as a national security asset which must be conserved and protected, and which may be shared with foreign entities only where there is a clearly defined advantage to the United States." Sharing of U.S. classified and unclassified military information may also be undertaken when information is given in return. Disclosure includes official visits from and to foreign countries, international meetings, release of documents, and exchange of per- sonnel. b. Authority. To ensure proper coordination and control of foreign dis- closure within the Department of the Navy, authority for the disclosure of classified information has been centralized in the Navy Office of Technology Transfer and Security Assistance (NAVOTTSA). The Foreign Disclosure Officer (FDO), Code 152, is the point of contact for all foreign disclosure matters. c. Designated Countries. OPNAVINST 5510.1H states any contact, disclo- sure, or exchange of information with personnel from a designated country, as listed in appendix E, shall be reported to the FDO and the Naval Investigative Service (NIS). NOSC military or civilian personnel who become aware of any type of situation which involves disclosure of U.S. military information to foreign nationals shall coordinate the matter with the FDO. d. Certain restrictions are placed on release of unclassified information which contains militarily critical technology (MCT) as defined in appendix F. 2. Foreign Requests for Classified Documents a. Official Requests. The FDO will coordinate all requests received from a foreign embassy via NAVOTTSA. b. Unofficial Requests. Unofficial requests are requests from foreign private firms, individuals, educational institutions, etc., which are not forwarded via Government channels. Any employee who receives an unofficial request for classified documents will send that request to the FDO. 3. Foreign Requests for Unclassified Documents a. Official Requests. Official requests for unclassified documents will be handled in the same manner as official requests for classified documents. (See paragraph 2a above). 4-1 NOSCINST 5500.1A 22 August 1988 b. Unofficial Requests (1) Requests originated by foreign nationals, educational or research institutions, commercial firms, etc., for unclassified NOSC technical docu- ments, technical reports, technical notes, or other official Center publica- tions, will be sent to the FDO for disposition. (2) Individuals who receive personally addressed mail from foreign sources requesting such publications will refer the request to the FDO for action. (3) Requests from foreign unofficial sources for unclassified journal reprints may be responded to directly by the author, or the request may be sent with a copy of the reprint to the Public Affairs Office, Code 032, for disposition. For record purposes, the FDO, Code 152, must be provided with a copy of both the request and the reply. (4) Final release authority for attendance and presentation of papers at international conferences resides with DOD. Coordination of this approval through COMSPAWARSYSCOM and DNL is done by Code 152. Allow at least 60 days lead time for the review process after Center approval and the submission date of the paper and/or attendance forms for the conference. (5) EXCEPTION: All requests for information from individuals in des- ignated countries (appendix E) will be forwarded to the FDO, Code 152. 4. Official Visits to NOSC by Foreign Nationals a. When a foreign national proposes to make an official visit to NOSC for the purpose of discussing U.S. military information, classified or unclassi- fied, the country's embassy in Washington, DC will make an official (govern- ment-to-government) request to NAVOTTSA or the project officer for a specific exchange program. (See paragraph 9 below.) If a request is received directly from a foreign national, forward the request to the FDO, Code 152, (Code 0059 in Hawaii). b. Personnel expecting an official visit by a foreign national will coor- dinate with the FDO, Code 152, (Code 0059 in Hawaii) so that a timely reply may be sent. c. Appropriate disclosure authorization containing security classifica- tion level, guidelines, and restrictions is issued for each visit request approved by NAVOTTSA or the project officer. Visit authority is ONLY for oral and visual information. Notes MAY NOT be taken during visits nor documentary information given without coordination through the FDO. d. When the visitor arrives, Code 151, Visit Control/Badge and Decal Group (Code 0059 in Hawaii), will issue a foreign national badge, authorized by the FDO, showing the visitor's name and replica of the country's flag. The NOSC host will provide a NOSC employee with a picture badge to act as escort for the visit. One escort is required for every five foreign visitors. 4-2 NOSCINST 5500.1A 22 August 1988 5. Foreign Nationals Visiting NOSC Unofficially a. When a foreign national submits a request directly to NOSC to visit, it must be considered an unofficial visit. When such a request is received, the recipient will immediately notify the FDO by submitting form NOSC-SD 5050/23, Unofficial Foreign Visit Request, with a copy of the visit request. All U.S. contractors employing foreign nationals are required to have their visit request on file before submission of the Unofficial Foreign Visit Request. If the visit is to the Hawaii Laboratory, Code 0059 must be noti- fied. Foreign nationals desiring to make official unclassified visits must submit their request through official channels as outlined in paragraph 4 above. b. All personnel are reminded only unclassified information about the Center's work, approved for public release, may be discussed with these visi- tors. Visit authority is ONLY for oral and visual information. All require- ments for escort are applicable. 6. Foreign Nationals Attending Meetings Held at NOSC a. Classified Meeting Where NOSC is the Security Sponsor (1) The NOSC sponsor will notify Codes 152, 151, and 032 of all meet- ings to be held at this Center. A list of the possible attendees will be given to the FDO at least 60 days before the meeting. Before any commitments are made or any announcements are published concerning a classified meeting, the sponsor is required to obtain written authorization from CNO (OP-09N) via COMSPAWARSYSCOM. Copies of this correspondence will be given to the FDO. The FDO must obtain disclosure approval from NAVOTTSA before the meeting. (2) Notify the FDO immediately if a foreign national from a designated country wishes to attend a meeting at NOSC. (See paragraph 1c above.) (3) The FDO must review the security procedures for the meeting to ensure adequate controls have been established and that escorts will be pro- vided for the foreign nationals by the host. (See paragraph 4d above.) (4) Disclosure authority involves ONLY oral and visual information. No documents may be given to a foreign national while attending a meeting unless NAVOTTSA has specifically authorized release of the document(s), in writing, before the meeting. Contact the FDO if any request is received from a foreign national for written material. Notes may not be taken during meet- ings controlled by DOD Directive 5200.12, Policy on the conduct of meetings involving access to classified information. b. Classified Meeting Where NOSC is Not the Security Sponsor (1) The sponsor, not the NOSC host, is responsible for obtaining writ- ten authorization for their sponsorship. Copies of all correspondence shall be given to the FDO. At least 10 days before the meeting, a complete list of approved attendees will be given to Codes 151, 152, and 032. 4-3 NOSCINST 5500.1A 22 August 1988 (2) The FDO must review the security procedures for the meeting to ensure adequate controls have been established and that escorts will be pro- vided for the foreign nationals by the host. (See paragraph 4d above.) Notes may not be taken during meetings controlled by DOD Directive 5200.12, Policy on the conduct of meetings involving access to classified information. c. Unclassified Meeting. The NOSC host will ensure all requirements of paragraph 6b above are followed for unclassified meetings. Authority from CNO for security sponsorship does not have to be obtained. 7. NOSC Employee Presentations at Meetings Attended by Foreign Nationals a. Classified Information. When a NOSC employee plans to make a presen- tation involving classified information, the complete speech and the abstract will be routed with one copy of form NOSC-SD 5605/12, Routing and Approval - NOSC Publications, to Code 152. A copy of the invitation to present the mate- rial and any other pertinent information must accompany the paper through the review channel. b. Unclassified Information. NOSCINST 5720.2A outlines the procedures for release of unclassified information to be presented at meetings. If for- eign disclosure is involved, the material must be routed as in paragraph 7a above. 8. Articles to be Published in Scientific Journals. Publication of an arti- cle in a scientific journal is tantamount to foreign disclosure. Therefore, the procedures outlined in paragraph 7b above shall be followed. 9. Information Exchange Programs (IEP) a. Information may be exchanged with participating governments subject to the scope and classification set forth in each Mutual Weapons Development Data Exchange Agreement (MWDDEA), IEP, or North Atlantic Treaty Organization (NATO). NATO is covered in OPNAVINST C5510.101D. Code 152 will coordinate all visits and release of information under these programs. b. The FDO will serve as the security focal point for The Technical Coop- eration Program (TTCP). c. The FDO is responsible for holding copies of all IEP's, MWDDEA's, and other types of agreements in which NOSC is a participant. 10. Exchange Scientist Program and Long Term Attachments (LTA) a. The U.S. Navy Exchange Scientist Program is administered by the Assis- tant for International Research and Development (OP-098F) which forwards a resume for any foreign exchange scientist accepted for LTA. b. The technical code accepting the appointment through coordination with the FDO, Code 152, will provide the following: (1) Departmental support. (2) Statement of work. 4-4 NOSCINST 5500.1A 22 August 1988 (3) Security plan. (4) Written sponsor support. (5) Disclosure authorization. (6) Personal support to the exchange scientist and family. c. A memorandum of access will be issued by the FDO. This memorandum sets forth all specifics of the exchange scientist's access while on LTA. d. OPNAVINST 5510.1H permits the employment of foreign nationals, without compensation, for extended periods in cases where the individual possesses unique talents or capabilities that can be used by the Center. These employ- ments do not permit access to classified or MCT information. e. Badging requirements for foreign exchange scientists are found in chapter 15 of this manual. 11. Foreign Military Sales (FMS)/Export Cases. Correspondence concerning FMS or export cases will be handled by the cognizant technical code. Copies of all correspondence shall be given to the appropriate department head and Codes 02, 03, 09, 17, and 152. In addition, replies to export cases must be routed to the Office of Legal Counsel, Code 001 (via the Legal Counsel for Patents, Code 0012), for review before transmission. 12. Contracts with Foreign Firms. The U.S. Government has Memoranda of Agree- ment/Understanding (MOA/MOU) with several foreign countries permitting foreign firms to bid on U.S. Government contracts, and U.S. firms to bid on foreign contracts. 13. Travel Outside Continental United States (CONUS) by NOSC Employees and Contractor/Government Personnel Traveling in Support of a NOSC Project. NOSCINST 4650.2A contains procedures to be followed in processing foreign travel requests. Additionally, the following information on security require- ments for such travel applies: NOTE: Travel clearance messages are prepared by the traveler's code when traveler is going to Hawaii, Alaska, Guam, Midway Island, Puerto Rico, Virgin Islands, or U.S. ships within those areas. Sample messages are provided in exhibits A through G, pages 4-9 through 4-22. a. Procedures for Foreign Travel. Requests for travel outside CONUS require a minimum of 30 days advance notice to the country being visited plus 3 workdays for internal preparation, review, and release. If diplomatic clearance is required and/or if classified information will be discussed with foreign nationals, not less than 60 days lead-time is necessary; 90 days or more is preferable. Requests will be processed as follows: (1) Travel and Country Clearances or Visit Notification. (See appen- dix F for definitions of these clearances.) The traveler shall prepare a Request for Foreign Travel, form NOSC-SD 4650/36 (exhibit H), and send it to the Employee Clearance Section of Code 152, via the appropriate branch, divi- sion, and department head; the Head, Information and Personnel Security Group, Code 152; and the Commander, NOSC, Code 00; for approval and signature. 4-5 NOSCINST 5500.1A 22 August 1988 (a) If names or hull numbers and precise current or future opera- tional deployment locations of surface combatant ships are shown on form NOSC- SD 4650/36, the form must be classified Confidential. "Classified by: OPNAV INST S5513.3B, enclosure (17). DECLASSIFY AFTER DEPLOYMENT." If the form contains information concerning a ship's planned foreign port call, the form will be classified Confidential. "Classified by: OPNAVINST S5513.3B, enclo- sure (17). DECLASSIFY WHEN VISIT OF SHIP IS APPROVED BY HOST GOVERNMENT." (b) When NOSC personnel plan to travel to foreign countries to discuss U.S. Navy classified information with representatives of foreign gov- ernments or their contractors, Code 152 must be advised as early as possible but not later than 60 days before travel begins. (2) Review and Signature of Message. After receipt of approved form NOSC-SD 4650/36, Code 152 (Employee Clearance Section) will prepare a travel or country clearance request or visit notification message. Code 152 will release the message and have it handcarried to Code 1311, Mail/Message Center, for transmission. (3) Modification. Whenever a change is made which affects the infor- mation previously submitted in a travel or country clearance message, a modi- fication message is prepared by the traveler's code and processed through the same review/approval chain as the original message except that Code 152 (Employee Clearance Section) need not review the new message unless there is clearance information being passed. The same code distribution will be used on all modification messages. (4) Diplomatic Clearance/Foreign Travel Briefing. Code 152 will request diplomatic clearance when required by OPNAVINST 4650.11F. Code 152 will provide the foreign travel briefing required by OPNAVINST 5510.1H. Code 0059 will brief Hawaii personnel. NOTE: Travel and country clearance or visit notification is not required when the traveler will be in port solely as a member of a ship's crew and will not leave the ship, nor when the traveler is going via commercial air and will not leave the aircraft. (5) NAVFAC Visits. If the travel is to Commander, Oceanographic Sys- tems Pacific (COMOCEANSYSPAC/COSP), any U.S. Naval facility (NAVFAC), or any U.S. Naval Oceanographic Processing Facility (NOPF), in a foreign country (including Alaska, Guam, Hawaii, and Midway Island) under the jurisdiction of COMOCEANSYSPAC or Commander, Oceanographic Systems Atlantic (COMOCEANSYSLANT/ COSL), the traveler must coordinate the proposed visit with the Surveillance Systems Engineering Division, Code 72. Need-to-know certification by COMSPA WARSYSCOM is necessary on all NAVFAC visits. Requests should be submitted to Code 72 on NAVFAC Visit Request, form NOSC-SD 5512/25. The Request for For- eign Travel, NOSC-SD 4650/36, is not needed. The NAVFAC Visit Request should be approved by the project manager, branch head, division head, department head, and Code 00 before reaching Code 72 for preparation of the travel/visit request message. The travel/visit request will be prepared per OPNAVINST 4650.11F (exhibits A through D apply). When applicable, the travel clearance request and the NAVFAC visit request should be incorporated into a single message. If conditions do not permit a single message, the travel clearance request will precede the NAVFAC visit request. A response from the travel clearance request is not needed before sending the NAVFAC visit request. 4-6 NOSCINST 5500.1A 22 August 1988 However, a favorable response to the travel clearance request is required before travel starts. To ensure compliance with advance notice requirements, provide requests to Code 72 as follows: COSP - Monday of week before visit; COSL - Monday 2 weeks before visit; foreign travel - 30 days before visit; the NAVFAC Visit Request, form NOSC-SD 5512/25 must be received by Code 72 on the Wednesday preceding the appropriate Monday. See chapter 16 of this manual for instructions concerning visits within CONUS. b. Trip Reports. Per OPNAVINST S3820.16D, if the traveler visits a for- eign country and has contacts with foreign nationals, or if the traveler attends an international meeting including those held in CONUS, it is required that the traveler submit a written trip report to the cognizant department/ma- jor staff office head, with a copy to Code 17, within 5 days after returning to NOSC. The trip report must be classified if the information it contains warrants classification. Code 17 will provide guidance to the traveler regarding the content of this report. c. General Information for Foreign Travelers (1) Handcarrying of classified material on commercial aircraft is discouraged. In cases of extreme emergency, the traveler's code will submit a memorandum to Code 03, via division/department, requesting permission for the traveler to handcarry classified material as a designated courier on commer- cial aircraft overseas (see appendix F for definitions). The memorandum will contain the name, rank or grade, and clearance status of the traveler; flight numbers, dates, arrival and departure times; stopovers; other transportation to be used while in courier status; general description and classification level of the material to be carried; and the reason the material cannot be transmitted by other means. Code 152 will request permission for the hand- carry from COMSPAWARSYSCOM. NOTE: NOSC cannot use contractor personnel to handcarry classified material overseas. (2) During visits, travelers must not offer to subsequently furnish any documentary information whatsoever, classified or unclassified, to a for- eign government. Information or documents which an activity wishes to have considered for release to a foreign government shall not be offered to that government until such release has been approved by COMSPAWARSYSCOM. Contact the FDO for assistance. (3) Travelers should not invite foreign nationals to visit this Center while traveling in foreign countries. Such invitations may only be extended by a project officer of an exchange project or the Director, Navy Office of Technology Transfer and Security Assistance. 4-7 NOSCINST 5500.1A 22 August 1988 (See hard copy for samples.) 4-8 NOSCINST 5500.1A 22 August 1988 CHAPTER 5 INFORMATION SECURITY PROGRAM 1. Scope. Executive Order 12356 of 1 August 1982, as amplified by reference (a) (OPNAVINST 5510.1G) is the basis for classifying information and for establishing and maintaining an effective Information Security Program. The program is coordinated by the Security Manager as Head, Information and Per- sonnel Security Group, Code 152. To ensure consistency and accuracy, all classification guidance and interpretations will be prepared by and/or issued under the signature authority of Code 152. Continuing action must be taken also to make sure that all persons involved in the classification process are given necessary technical and procedural indoctrination and training in clas- sification techniques. References (a) and (h) (OPNAVINST 5513 Series) provide basic concepts of classification, and Code 152 will give additional, more detailed guidance to personnel as required. Copies of reference (a) have been distributed at NOSC to division level. 2. Responsibilities a. Information and Personnel Security Group. The Information and Person- nel Security Group, Code 152, is responsible for: (1) Coordinating the NOSC Information Security Program. (2) Requesting resolution by higher cognizant authority of any ques- tion about interpretation and implementation of program requirements which cannot be resolved locally or which require coordination with other commands. (3) Maintaining close and continuing liaison with Center technical and procurement personnel, and maintaining liaison with the Public Affairs Office, Code 032, about review of public releases and technical publications of all kinds when public disclosure is anticipated by virtue of the nature and extent of distribution. (4) Obtaining from the sponsor required security classification guid- ance for all task assignments and similar material received without the proper classification guidance. (5) Ensuring that classification guidance received from higher author- ity is disseminated to appropriate Physical Security Review Committee members and to the Public Affairs Office. (6) Ensuring that classification guides are issued to interested codes for all NOSC-generated projects, both in-house and under contract, and that these guides are reviewed and updated as required. (7) Instructing personnel involved in the classification process in the objectives, concepts, and procedures of classification management. (8) Ensuring the duties of the Top Secret Control Officer are fol- lowed. 5-1 NOSCINST 5500.1A 22 August 1988 (9) Reporting to the Head, Security Office, Code 15, on the status of the Information Security Program at NOSC. b. Hawaii Laboratory. The Security/Safety Office - Hawaii, Code 0059, will coordinate the above responsibilities at the Hawaii Laboratory with the Officer in Charge, Hawaii Laboratory, Code 005. Technical information/support will be provided by Code 152. c. Top Secret Control Officer (TSCO). The TSCO is responsible to the Security Manager for receipt, custody, accounting for, and disposition of Top Secret material at NOSC. The TSCO will strictly adhere to the duties described in paragraphs 2-9 and 2-10 of reference (a) and to the procedures specified in paragraph 10-2 of reference (a). The TSCO is responsible for: (1) Maintaining a system of accountability which will record the source, downgrading, movement from one office to another, current custodian, destruction or other disposition of all Top Secret material for which he or she is responsible. (2) Keeping dissemination of Top Secret information to the absolute minimum necessary for proper planning or action. (3) Transmitting Top Secret material within the Center by direct per- sonal contact. (4) Maintaining a continuous chain of signed receipts and disclosure records for all Top Secret material. (5) Ensuring that physical inventories of Top Secret material are conducted at least once annually. (6) Maintaining a current roster of persons within the Center who are authorized access to Top Secret information. (7) Ensuring that all Top Secret material is accounted for and prop- erly transferred when custodians are relieved of their duties. (8) Ensure that individuals are briefed on the "two-person integrity" requirement explained below in paragraph 2d(5). d. Individuals. Each individual is responsible for: (1) Knowing that certain information, essential to the national secu- rity, requires protection from disclosure to unauthorized persons. (2) Ensuring that classified material is marked to show the level of classification. (3) Ensuring that only those who have been officially and specifi- cally authorized may have any access to classified information. (4) Ensuring that classified material is stored and used in secure areas, is protected during transfer from one area (or command) to another, and is destroyed by authorized means. 5-2 NOSCINST 5500.1A 22 August 1988 (5) Reporting any breach of security. (6) Reporting to Code 152 any contact in any form with any citizen of a communist controlled or hostile country. (7) Reporting to Code 152 any attempt by an unauthorized person to solicit classified information. (8) During work hours, taking the following precautions to prevent access to classified information by unauthorized persons: (a) When classified documents are removed from storage for work purposes, keep them under constant surveillance and face down or covered when not in use. Classified material cover sheets SF 703/704/705 will be used for this purpose. (b) Discuss classified information only when unauthorized persons cannot overhear the discussion. Take particular care when there are visitors or workers present. Escorts should alert fellow workers when visitors or work- ers are in the area. (c) Protect preliminary drafts, carbon sheets, plates, stencils, stenographic notes, work sheets, and all similar items containing classified information either by destroying them by a method approved for destroying classified material immediately after they have served their purposes, or by giving them the same classification and safeguarding them in the same manner as the classified material they provided. (d) Protect typewriter ribbons used in typing classified material the same as the highest level of classification for which they have been used. Also, destroy them as classified waste. Exceptions include after the upper and lower sections have been cycled through the machine five times in the course of regular typing, all fabric ribbons may be treated as unclassified even if they are used subsequently for classified. Any typewriter ribbon which remains substantially stationary in the typewriter until it has received at least five consecutive impressions may be treated as unclassified. (9) Reviewing material in custody at least once each year for possible downgrading or declassification. (10) Recommending changes in a classification to the originator of the material when considered appropriate. (11) Two-Person Integrity Requirement. Personnel will not normally be permitted to work alone in areas where TOP SECRET information or information controlled under Special Access Program procedures is used or stored and is accessible to those employees. This policy, however, does not apply in those situations where one employee with access is left alone for brief periods during normal duty hours. It does not require that both employees have equal access, or that a "no lone zone" be established around TOP SECRET, nor is the requirement as stringent as the two-person control requirements for Communica- tions Security Material Systems (CMS), Sealed Authentication/Systems (SAS), or nuclear weapon-related information. The two-person integrity requirement must be strictly adhered to outside of normal duty hours. 5-3 NOSCINST 5500.1A 22 August 1988 e. Departments and Major Staff Offices. Department heads and heads of major staff offices are responsible for: (1) Ensuring that all security classification aspects of their tech- nical assignments are coordinated with the Head, Information and Personnel Security Group or alternate. (2) Ensuring that the Center's requirements for periodic review of material and systematic requirements within their areas of jurisdiction are implemented to assure the downgrading, declassification, retirement, and destruction of classified information on a regular basis, and monitoring this effort to make sure that it is being effectively carried out. Annual reviews of all classified holdings are required by OPNAVINST 5510.1G. Material not deemed permanently valuable records of the Government will not be retained more than 5 years and will be disposed of per SECNAVINST 5215.5. (3) Notifying Code 152 when task assignments or similar material involving access to or generation of classified data which do not include classification guidance are received from higher authority. (4) Designating a representative and one alternate from the department or major staff office to serve on the Physical Security Review Committee dis- cussed in chapter 2 of this manual. (5) Ensuring that personnel under their cognizance are adequately instructed in their responsibilities for the proper classification of material which they originate. NOTE: The Deputy Technical Director, Code 02, is responsible for the above actions by departments and major staff offices. f. Supply Department. The Supply Department, Code 20, is responsible for: (1) Ensuring that a DD 254 approved by Code 152 accompanies each pro- curement request involving access to classified information by contractors. (2) Assuring that Code 152 is apprised or consulted when any action has occurred relative to security aspects in a contracting effort. g. Mail Room Branch. The Mail Room Branch, Code 131, is responsible for routing all incoming correspondence concerning security classification and classification guidance to Codes 152, 15, 0059, 005, 032, and cognizant tech- nical departments. h. Directives and Forms Branch. The Directives and Forms Branch, Code 132, is responsible for routing directives concerning security classification and classification guidance to Codes 152, 15, 0059, 005, 032, and cognizant technical departments. i. Technical Publications Branch. In coordination with Code 152 and in compliance with applicable security directives, the Technical Publications Branch, Code 961, is responsible for: 5-4 NOSCINST 5500.1A 22 August 1988 (1) Initiating and implementing procedures for keeping current all classification, declassification, downgrading, and marking actions for techni- cal publications generated by the Center. (2) Keeping records of the initial and secondary distribution of clas- sified NOSC publications except technical notes which are distributed by the originating codes. 3. Procedures for Assigning Top Secret, Secret, or Confidential Classifica- tion a. Original Data (not covered by program classification guidance) (1) Drafters. Drafters of documents shall: (a) Make the initial decision that the information is classified. (b) Mark the material with the tentative classification; subject, part, and paragraph classification markings; declassification markings; and any special markings required. (c) Make distribution, without review, of material for internal dissemination only. (2) Classifying Authority. The classifying authority (not NOSC for Top Secret) shall make the final determination of appropriate classification and ensure the document has the correct classification and declassification markings, as well as any special markings required, i.e., Restricted Data, Formerly Restricted Data, NOFORN, etc. b. Derivative Data (1) Drafters. Drafters of documents shall: (a) Review previous classified data or classification guidance from higher authority and assign an appropriate classification to material presently being prepared. (b) Mark the present material with the appropriate classification, subject and paragraph markings, declassification markings, and any special markings required. (c) Make distribution, without review, of material for internal dissemination only. (d) Send material which is to be sent off-Center to the appropri- ate individual for signature. (2) Signature Authority. The individual signing the document shall: (a) Ensure that all necessary classification, subject, paragraph, part, and declassification markings, and any special markings required, are on the document before signing. 5-5 NOSCINST 5500.1A 22 August 1988 (b) Send the document to the Mail Room Branch, Code 131, for transmittal as appropriate. c. Top Secret Material. Material thought to warrant Top Secret control should be taken to the Top Secret Control Officer for further disposition. 4. Classifying Research Data a. Basic Scientific Research. Ordinarily, except for information which meets the definition of Restricted Data, basic scientific research or results thereof shall not be classified. However, classification would be appropriate if the information is about an unusually significant scientific breakthrough, there is sound reason to believe it is not known or within the state-of-the- art of other nations, and it supplies the United States with an advantage directly related to national security. In that case, paragraphs 6-1 and 6-12 of reference (a) apply. b. Obtaining Classification Evaluations. If a person not authorized to exercise original classification originates information which it is believed should be classified, the individual shall: (1) Safeguard the information as prescribed for the intended classifi- cation. (2) Mark the information (or cover sheet) with the appropriate classi- fication designation preceded by the word "tentative". (3) Send the information through the chain of command to the next higher command having original classification authority for evaluation and decision including a statement in the transmittal that the information is tentatively marked to protect it in transit. Justification for classification should also be included in the transmittal. A determination as to whether to classify the information shall be made within 30 days of receipt. (4) In an emergency requiring immediate communication of the informa- tion, after taking the action prescribed by paragraphs 4b(1) and 4b(2) above, send the information and then proceed as in paragraph 4b(3) above. (5) Upon decision by the original classification authority, the tenta- tive marking shall be removed. If a classification is assigned, paragraph and declassification marking shall be applied by the originator of the information as prescribed by this chapter. 5. Classification Markings Guidance a. General Information (1) Designations. Information determined to require classification protection against unauthorized disclosure, under references (a) and (h), shall be so designated, generally by physical marking. Designation by means other than physical marking may be used but should be followed by physical marking as soon as practical. 5-6 NOSCINST 5500.1A 22 August 1988 (2) Purpose of Designation. Designation by physical marking, nota- tion, or other means serves to inform and to warn the holder of the material of its classification, the degree of protection against unauthorized disclo- sure which is required for that particular level of classification, and to ease downgrading and declassification actions. (3) Exception. No article which has appeared, in whole or in part, in newspapers, magazines, or elsewhere in the public domain, nor any copy thereof which is being reviewed and evaluated by any component of the Department of Defense to compare its content with official information which is being safe- guarded in the Department of Defense by security classification, may be marked on its face with any security classification, control, or other kind of restrictive marking. The results of the review and evaluation shall be sepa- rate from the article in question. b. Marking Requirements (1) Original Classification. Commander, NOSC, is an authorized origi- nal classifier at the Secret level and below. (2) Derivative Classification. All classified material originated at this Center, with the exception of IR&D information, will fall within the derivative classification category. At the time of origin, paper copies of derivatively classified documents shall show on their face: (a) The source of classification (e.g., source document or classi- fication guide). If classification is derived from more than one source, the phrase "multiple source" shall be shown and the identification of each will be maintained with the file or record copy of the document. (b) The overall classification of the document. (c) The date or event for automatic declassification or the nota- tion "Originating Agency's Determination Required" or "OADR". (d) Any downgrading action to be taken and the date or event thereof. (e) Any additional warning notices. (f) The classification guidance will appear in the lower left corner of the cover and title page of all documents and on the first page of all correspondence containing classified information within its body as fol- lows: Classified by:________________ Declassify on:________________ (3) Warning Notices. In addition to the foregoing, any appropriate warning notation as listed in paragraph 9-32 of reference (a) will be shown on the face of the document. Such notations will be carried forward from source documents to derivatively classified material when appropriate. 5-7 NOSCINST 5500.1A 22 August 1988 (4) Markings on Material Other than Documents. Material other than documents shall, to the extent practical, show the foregoing on the material itself or in related or accompanying documentation. (5) Wholly Unclassified Material. Normally, unclassified material shall not be marked or stamped "Unclassified" unless it is essential to convey to a recipient of the material that it has been examined specifically with a view to imposing a security classification and has been determined not to require classification. (6) Overall and Page Marking. The overall classification of a docu- ment shall be marked, stamped, or permanently affixed at the top and bottom of the outside of the front cover (if any), on the title page (if any), on the first page, and on the outside of the back cover (if any). To achieve produc- tion efficiency, each interior page of a classified document normally shall be marked or stamped at the top and bottom according to the highest overall clas- sification of the document. Pages may also be marked according to their indi- vidual content, if desired; except that both the front and reverse sides of pages in reports must be marked with the highest classification of either side. In this case, the paragraph marking indicates the actual classification of a page with a lower classification. (7) Subjects and Titles. Subjects and titles shall be selected so as not to require classification. If, in order to convey meaning, classification of the title is necessary, then use an unclassified short title for reference purposes and a classified subtitle to convey the meaning. To show its classi- fied or unclassified status, a subject or title shall be marked with the appropriate parenthetical symbol placed immediately following. (8) Files, Folders, or Groups of Documents. Files, folders, or groups of documents shall be conspicuously marked to ensure their protection to a degree as high as that of the most highly classified document included. Clas- sified document cover sheets may be used for this purpose. Documents sepa- rated from the file, folder, or group shall be marked as prescribed for individual documents. (9) Transmittal Documents. A transmittal document or endorsement added to basic correspondence shall carry on its face a notation as to the highest classification of the information transmitted by it, and a legend showing the classification, if any, of the transmittal document or endorsement standing alone. For example, an unclassified document which transmits a clas- sified document as an enclosure, shall bear the notation, "Unclassified upon removal of enclosure". (10) Electronically Transmitted Messages. Classified messages shall be marked at the top and bottom with the overall classification and the parts marked in the manner prescribed above for documents. When a message is printed by an automated system, the classification markings may be applied by that system, provided that the markings are clearly distinguishable from the printed text on the face of the document. In addition, the first item of information in the text of a classified message will be the overall classifi- cation of the message. Spell out identification such as Restricted Data, 5-8 NOSCINST 5500.1A 22 August 1988 Formerly Restricted Data, or Critical Nuclear Weapons Design Information fol- lowing the classification but use the short form for intelligence control markings (paragraph 12-20 of reference (a)). The highest level official iden- tified on the message as the sender or, in the absence of such identification, the head of the organization originating the message is considered to be the classifier of the message. The last line of a classified message must show the date or event for declassification: DECL: 31 DEC 86 DECL: OADR A date is used for declassification when specified by the classification guide or when dates of ship movements or fleet exercises are used in the body of a message. For the latter, a date 90 days from the event cited in the message text and the last day of the month in which it falls is used. Messages not transmitted electronically (i.e., sent by mail or courier) must have the full markings required by paragraph 9-2 of reference (a). Messages containing Restricted Data or Formerly Restricted Data do not require an indication of downgrading or declassification; however, the originator's record copy shall indicate the basis of classification. c. Marking Parts of Documents. In some complex documents, the major parts of the document are likely to be used separately and, in such instances, each major part shall be marked as a separate document. Examples include: (1) Each annex. (2) Each appendix. (3) Similar parts of a plan or program. (4) Operations order. (5) Attachments and appendices to a memorandum or letter. (6) Each major part or chapter of a document. If an entire major component of a classified document is unclassified, the first page of the component may be marked at the top and bottom with the designation "unclassi- fied" and a statement included such as, "All portions of this (annex, appen- dix, attachment, etc.) are unclassified". When this method of marking is used, no additional markings are required on the component part. d. Part and Paragraph Marking (1) Each part, section, chapter, paragraph, or subparagraph of a clas- sified document shall be marked to show the level of classification, or that the part, section, chapter, paragraph, or subparagraph is unclassified. It is the intent of this requirement that a document and parts of a document be sufficiently well marked that any uncertainty as to which of its parts con- tains or reveals information which must be protected will be eliminated. Classification levels of parts of a document shall be shown by the appropriate classification symbol placed immediately following the letter or number of the 5-9 NOSCINST 5500.1A 22 August 1988 part or, in the absence of letters or numbers, immediately before the begin- ning of the part. The parenthetical symbols "(TS)" for Top Secret, "(S)" for Secret, "(C)" for Confidential, and "(U)" for unclassified, shall be used. When appropriate, the symbols "RD" for Restricted Data and "FRD" for Formerly Restricted Data shall be added, e.g., "(S-RD)" or "(C-FRD)". (2) Except in those cases where a source of intelligence would be revealed, parts, sections, chapters, paragraphs, or subparagraphs of United States documents containing foreign government information shall be marked to reflect the country or international organization of origin as well as the appropriate classification, e.g., "(NATO-S)" or "(U.K.-C)". (3) The classification of the text of the lead-in part of a subpara- graph will be indicated at the beginning of the text with the appropriate parenthetical symbol. The classification of subordinate parts or subpara- graphs shall be shown by the appropriate parenthetical symbol immediately following the letter or number of the part. In the absence of letters or numbers, classification shall be shown immediately before the beginning of the paragraph or subparagraph. For example: 1. (U) This is the lead-in which is unclassified. a. (C) This subparagraph is Confidential. (1) (S) This subparagraph is Secret. 2. (U) When a paragraph or subparagraph is unclassified, its subdivisions will be marked. NOTE: Classification marking for training purposes only. (4) If, in an exceptional situation, parenthetical part marking is determined to be impractical, the classified document shall contain a descrip- tion on its face sufficient to identify the exact information that is classi- fied and the classification levels assigned as defined in paragraph 9-2 of reference (a). e. Marking Illustrative Parts of Documents. Illustrations, photographs, figures, graphs, drawings, charts, tables, and similar parts of classified documents shall be marked to indicate their level of classification. The marking shall appear immediately beneath the part in unabbreviated form within parentheses. If a caption or subject is used, its classification shall be placed immediately preceding it, in abbreviated form. f. Classification Markings on Special Types of Material (1) General Provisions. The security classification, designation, downgrading (if any), and declassification instructions shall be conspicuously stamped, printed, written, painted, or affixed by means of a tag, gummed label, decal, or similar device on classified material other than documents and on their containers if possible. If the material or container cannot be marked, written notification of the security classification shall be furnished to the recipient. 5-10 NOSCINST 5500.1A 22 August 1988 (2) Charts, Maps, and Drawings. Charts, maps, and drawings shall bear the appropriate classification marking under the legend, title block, or scale, in such manner as to differentiate between the classification assigned to the document as a whole and any classification assigned to the legend or title itself. The higher of those markings shall be inscribed at the top and bottom of each document. When the customary method of folding or rolling charts, maps, or drawings would cover the classification markings, additional classification markings shall be placed so as to be clearly visible when the document is folded or rolled. (3) Photographs. Negatives and positives shall be marked with the appropriate classification markings and kept in containers bearing conspicuous classification markings. Roll negatives shall be marked at the beginning and end of each strip and single negatives marked with the appropriate classifica- tion. Caution must be exercised when using self-processing film or paper to photograph or reproduce classified material, since the negative of the last exposure may remain in the camera. All component parts of the last exposure shall be removed and destroyed as classified waste or the camera shall be protected as classified material. All prints, 8" x 10" or larger, shall be marked top and bottom on the reverse side with the appropriate classification, with the downgrading and declassification instructions at the bottom. The classification marking need be applied only once on smaller prints. The mark- ing shall appear on the face side whenever practical. In any case, at least the classification must be shown on the face side and may be affixed by pres- sure tape label or stapled strip if a stamp should not be used. All separate reproductions of the photograph will show the classification and declassifica- tion markings. (4) Transparencies, Viewgraphs, and Slides. Whenever possible, the applicable classification markings shall be shown clearly on the image of each transparency, viewgraph, or slide. If, in special circumstances, the classi- fication markings cannot be shown on the transparency, viewgraph, or slide, they shall be shown on its border, holder, or frame. When transparencies, viewgraphs, or slides are reproduced as a part of hard copy text material, abbreviated downgrading and declassification markings shall show below the classification marking on the image. (5) Motion Picture Films. Classified motion picture films shall be marked at the beginning and end of each reel by titles bearing the appropriate classification. Such markings shall be visible when projected on the screen. Reels shall be kept in containers bearing conspicuous classification and declassification markings. (6) Recordings. Recordings, sound or electronic, shall contain at the beginning and end a statement of the assigned classification which will pro- vide adequate assurance that any listener or receiver will know that clas- sified information of a specified level of classification is involved. Recordings shall be kept in containers or on reels that bear conspicuous clas- sification and declassification markings. (7) Microforms. Microforms are copies usually produced photograph- ically on transparent or opaque materials in sizes too small to be read without special display devices. The assigned security classification and 5-11 NOSCINST 5500.1A 22 August 1988 abbreviated declassification instructions shall be conspicuously marked on the microform medium so as to be read by the unaided eye. In addition, these security markings shall also be included on the image captured on the medium so that when the image is retrieved, enlarged, and displayed or printed, the security markings will be conspicuous and readable. Roll film microforms (or roll microfilm employing 16, 35, 70, or 105 mm films) shall be marked as pro- vided for motion picture film in paragraph 5f(5) above. Microfiche, microfilm strips, and microform chips shall be marked per this paragraph. (8) Decks of Accounting Machine Punched or Aperture Cards. A deck of classified accounting machine punched or aperture cards shall be marked as a single document. Only the first and last cards require classification mark- ings. A deck so marked shall be stored, transmitted, destroyed, and otherwise handled in the manner prescribed for other classified documents of the same classification. An additional card shall be added (or the job control card modified), however, to identify the contents of the deck (at least, the number of cards) and the highest classification involved. Alternatively, a manual log for decks undergoing frequent changes may be used. Cards removed for separate processing or use, and not immediately returned to the deck after processing or use, shall be protected to prevent compromise of any classified information they contain and, for this purpose, shall be marked individually as prescribed for an individual, ordinary document. (9) Electrical Machine and Automatic Data Processing Tapes. Electri- cal machine and automatic data processing (ADP) tapes and personal computer (PC) floppy disks shall bear external markings and internal notations suffi- cient to assure that any recipient of the tapes or of the classified informa- tion they contain, when reproduced by any medium, will know that classified information of a specific classification category is involved. Classification and classification guidance information shall appear on the front, and classi- fication information shall appear on the rear, of all tapes and floppy disks. (10) Documents Produced by ADP Equipment. At a minimum, the first page, and the front and back covers, if any, of documents produced by ADP equipment shall be marked as prescribed in paragraph 5b(6) of this chapter. Classification markings of interior pages may be applied by the ADP equipment or by other means. When the application by the ADP equipment of declassifica- tion instructions and other markings is not consistent with economic and effi- cient use of such equipment, such instructions and markings may be applied to a document produced by ADP equipment by superimposing upon the first page of such document a "Notice of Declassification Instructions and Other Associated Markings". Such notice shall include the date or event for declassification and all other such applicable markings. If individual pages of a document produced by ADP equipment are removed or reproduced for distribution to other users, each such page or group of pages shall be marked as prescribed in para- graph 5b(2) above or by superimposing on each such page or group of pages, a copy of any "Notice of Declassification Instructions and Other Associated Markings" applicable to such page or group of pages. 6. Downgrading/Declassification Markings a. Conversion of Old Markings. New material deriving its classification from a source document classified, or a security classification guide issued, before 1 August 1982, will be treated as follows: 5-12 NOSCINST 5500.1A 22 August 1988 (1) If a declassification date or event is specified, carry forward the date of event to the new material. (2) If a review for declassification date or an indeterminate declas- sification date or event is specified, mark the new material with the notation "Originating Agency's Determination Required" or "OADR". (3) Classified material will be downgraded or declassified when it is marked with an automatic downgrading or automatic declassification on a speci- fic date. The material need not be remarked. Any information extracted from this material will carry forward the downgrading/declassification date. (4) When the material does not carry a specific downgrading or declas- sification marking or instruction, it may not be downgraded or declassified without authorization of the originator. If this material is used for new material, use the notation noted in paragraph 6a(2) above. b. Standard Downgrading/Declassification Markings. Mark all classified material with the following standard marking: Classified by (See Note 1) Declassify on (See Note 2) Downgrade to (See Note 3) c. Use of FGI. Mark U.S. documents containing foreign government infor- mation (FGI) as follows: Classified by (See Note 4) Declassify on (See Note 5) NOTE 1: If original classification, insert identification of original classi- fication authority. If derivative classification, insert identity of the security classification guide, source document, or other authority for classi- fication. If more than one source is applicable, insert the words "Multiple Sources". NOTE 2: Insert the specific date or event certain to occur. If a specific date or event cannot be determined, then use the notation "Originating Agen- cy's Determination Required" or "OADR". When classification is derived from multiple sources, use the declassification date of longest duration applicable to any of the source material in the new material. If a specific date or event cannot be determined or a source document is marked as Review for Declassification, insert the notation "Originating Agency's Determination Required" or "OADR". NOTE 3: Use this marking only when downgrading is applicable. Insert "Secret" or "Confidential" and specific date or event, e.g., "Downgrade to Confidential on 6 July 1984". For messages, use abbreviation "S" or "C" to indicate the downgrading classification and give the specific date or event, e.g., "DG/C/6 JUN 83". 5-13 NOSCINST 5500.1A 22 August 1988 NOTE 4: Insert the identity of the foreign source documents, memorandum of understanding, or classification guide. NOTE 5: Insert the notation "Originating Agency's Determination Required" or "OADR". d. Unmarked Material. If classified material prepared after 1 August 1982 does not contain declassification instructions, refer it to the origina- tor for a declassification marking decision. e. Marking Guidance. Chapter 9 of reference (a) contains a comprehensive review of marking requirements. 7. Distribution Statements. Distribution statements are required on all technical information, classified or unclassified, by DOD Directive 5230.24, Distribution Statements on Technical Documents. NOSCINST 5600.3, Dissemina- tion Notices for Technical Documents, and NOSC Technical Document 841, Distri- bution Statements for Technical Publications, explain the use and rationale of these statements. 5-14 NOSCINST 5500.1A 22 August 1988 CHAPTER 6 HANDLING AND SAFEGUARDING SECRET AND CONFIDENTIAL MATERIAL 1. Responsibilities a. Head, Information and Personnel Security Group. The Head, Information and Personnel Security Group, Code 152, is responsible for: (1) Recommending policies, implementing approved procedures for the handling and safeguarding of classified material at all NOSC facilities, and indoctrinating Center personnel concerning the proper procedures for handling and safeguarding classified material. (2) Making periodic inspections of classified holdings throughout the Center, and of the Classified Material Control Centers (CMCC's), designated in paragraph 2 below, to ensure required procedures are being followed. b. Classified Material Control Centers. CMCC's are responsible for: (1) Maintaining central accountability of Secret material. (2) Delivering classified material to authorized Designated Delivery Points (DDP's) (classified mail stops) and authorized personnel throughout the Center. (3) Destroying classified material when such destruction has been authorized by a branch head or above. c. Department/Major Staff Office Heads. Department/major staff office heads are responsible for: (1) Ensuring that all classified material in the possession of person- nel in their respective organizations is safeguarded, and for ensuring that the required accountability of this material is established and maintained in accordance with the applicable security regulations. (2) Establishing DDP's and alternates within the organization. NOTE: Intermittent and temporary employees and personnel with Interim Secret clear- ances may not be designated as DDP's or alternates, nor may they be designated to sign for classified material. (3) Submitting a list of the DDP's and alternates in the organization to the Classified Material Control Center, Code 131. This list should include the names of the individuals who serve as DDP's and alternates; the building and room number where each DDP is located; and the telephone extensions of the DDP's and alternates. This list must be kept current at all times. Antici- pated changes should be submitted to Code 131 as soon as possible. (4) Ensuring that the annual inventory of Secret material is taken and that valid custodianship for these materials is maintained. 6-1 NOSCINST 5500.1A 22 August 1988 (5) Ensuring that procedures outlined in this and other chapters of this manual are followed. 2. Designation of Classified Material Control Centers a. The primary Classified Material Control Center (CMCC) is the Mail Room vault in Code 131. b. Other Center elements located outside San Diego, which receive Secret material directly from other commands, will serve and function as alternate CMCC's. They are designated as follows: (1) Code 005, Administrative Officer, Hawaii Laboratory. (2) Code 1302, NARDIC, Pasadena, CA. (3) Code 1303, NARDIC, Alexandria, VA. (4) Code 1304, Washington Liaison Office, Washington, DC. 3. Accountability System for Secret Material a. All Secret material held at this Center, except for working papers retained 90 days or less and COMSEC material, will be entered into the Cen- ter's automated Secret accountability system. Custodianship will be docu- mented by a signature receipt system and the accountable Secret material will be retrievable upon demand. b. Types of accountable Secret material include, but are not limited to: (1) Originals and copies of formal and informal documents. (2) Naval messages. (3) Photographic media including finished photographs, negatives, video tapes, and movies. (4) Computer storage media including floppy disks, tapes, and remov- able hard disks. (5) Presentation media including slides, viewgraphs, and transparen- cies. (6) Portable hardware. c. Working papers are defined as documents and materials accumulated or created while preparing finished material. Working papers must be dated when created and must be entered into the accountability system if retained more than 90 days. Materials cease to be working papers, even if less than 90 days old, when distributed outside the control and custodianship of the originating organization. When materials cease to be working papers, all required classi- fication markings must be evident on each page, at the beginning of each para- graph, and at the end of the title line. 6-2 NOSCINST 5500.1A 22 August 1988 d. Accountable Secret material will be entered into the automated Secret accountability system as soon as received from another command or activity and regardless of how it arrived (e.g., registered mail, handcarried, secure elec- trical/data transmission, or delivered under contract). e. If material originated at the Center is for immediate distribution off-Center, it does not need to be barcoded for internal accountability, tracking, and inventory purposes. However, if copies are retained on-Center, they will be barcoded and entered into the system. f. Assignment of Secret Material Accountability Numbers (1) Secret material received from other activities or originated by Center personnel will be assigned an accountability number by the receiving CMCC, listed below, except as noted in paragraph 3f(2) below: Location Prefix No. San Diego S-88 - 00001 Hawaii H - 001 Pasadena (NARDIC) P - 001 Alexandria (NARDIC) A - 001 Washington (NOSC W - 001 Liaison Office) (2) Secret material received and numbered before this manual was issued will retain the originally issued accountability numbers. However, this material must now be barcoded for accounting/inventory purposes. (3) The CMCC, Code 131, will use the last two digits of the current year as a prefix to the accountability number. The accountability number 00001 preceded by 88- was issued to the first document or material received or created at the Center in January 1988. In January 1989, the prefix 88- will be changed to 89- and the accountability numbering series continued. (4) The 90,000 series of accountability numbers has been assigned to Code 961 to be assigned to NOSC Secret publications (TR's, TD's, CR's, TN's, and TM's). g. Accountability Procedures (1) Receipt of New Material. When Secret material is received, Code 131 will enter the accountability data into the automated document system. A Secret Routing Sheet, form NOSC-SD 5511/68, and a Secret Cover Sheet (red on white), Standard Form 704, will be attached to each copy (unless the material will not reasonably lend itself to the attachment of these forms). (2) Initial Distribution. Computer-generated Secret Material Control System Transfer Slips will normally be attached to the material, and will accompany the material delivered by the classified mail messenger to the appropriate Designated Delivery Point (DDP). The messenger's delivery log and a transfer slip will be signed by the receiving DDP and returned to the CMCC by the messenger for data entry. Another transfer slip will be used by the 6-3 NOSCINST 5500.1A 22 August 1988 DDP to transfer custody of the material to an individual within the code who needs the material. It is recommended that DDP's and custodians keep a copy of transfer slips. Remember that the original transfer slip is sent by the transferring person to the CMCC to validate the custody transfer. When signed transfer slips are received in the CMCC, the transfer data will be entered into the CMCC data base, and the original slip will be retained by the CMCC to support proof of custodianship. (3) Delivery by Classified Mail Messenger. The DDP may request a classified mail messenger to transfer Secret material to a new DDP. The clas- sified mail messenger must sign a transfer slip, temporarily becoming the custodian of the Secret material while delivering it. (4) Cannibalized Material. If material is to be cannibalized, the custodian should submit documentation to Code 131 (providing the accountabil- ity number, copy number, and bar code number) explaining what is being done with the material. The custodian will prepare a Destruction Record, form 11ND NOSC 5511/18, indicating that the material has been cannibalized. The custo- dian will send the original and two copies of the Destruction Record to the CMCC, Code 131. The CMCC will enter the updated material status into the data base. (5) Downgrading and Declassification. If material is believed to be eligible for downgrading to Confidential or for declassification, the custo- dian will consult with Code 152. If the material can be downgraded or declas- sified, Code 152 will normally mark the front cover or first page, as required by reference (a) (OPNAVINST 5510.1G), and Code 152 will notify Code 131 that the material has been downgraded to Confidential or declassified. At this time, Code 131 will enter the changes in the data base. (6) External Transfer of Secret Material. When material is to be transferred to another activity, the custodian shall prepare a Document Trans- mittal and Receipt, form NOSC-SD 5216/27, indicating the method of transmittal to be used (Registered Mail or handcarrying); obtain the signature of a person who has "By direction" signature authority; and provide the material and a copy of the transmittal to the CMCC. If the material is to be mailed, the CMCC will send it by registered mail. If it is to be handcarried, the CMCC will double wrap it for the courier, and then the CMCC will enter the transfer into the data base showing the material has been transmitted to another activ- ity. If the Secret material is contained in the content of the outgoing cor- respondence, and is not simply material being forwarded by form NOSC-SD 5216/27, then the custodian must prepare a Record of Receipt, NOSC-SD 5511/67, to accompany the correspondence for acknowledgment, signature, and return by the designated receiving activity. If the signed receipt is not returned to the originating code within 20 days, the code will advise Code 152 and will begin tracer action. Classified material, including Secret material, may not pass through a foreign postal system. (7) Transfer to Federal Archives and Records Center. When material is to be transferred to the Federal Archives and Records Center, the custodian shall prepare Records Transmittal and Receipt, SF-135 and 135a, in accordance with reference (q) (NOSCINST 5211.2B), and a NOSC-SD form 5511/67 for each box, and then forward the material and the prepared forms to Code 132. Code 6-4 NOSCINST 5500.1A 22 August 1988 132 will provide copies of the completed SF-135 and 135a forms to the CMCC for the purpose of entering the transfers and changes into the data base. Addi- tionally, Code 132 will work with the CMCC or with Shipping and Receiving, as appropriate, to ensure that proper shipment is made in accordance with the requirements for Secret material. (8) Destruction of Secret Material. When Secret material is to be destroyed, the custodian shall prepare a Secret Material Destruction Record, form 11ND NOSC 5511/18, and present the material with the original and two copies of the form to the CMCC. The CMCC will sign for the material acknow- ledging receipt from the custodian; will witness proper destruction showing the material has been destroyed; and enter the changes into the data base. (9) Special Situations. Procedures for any situation not covered above should be discussed with the CMCC before taking action. 4. Originating Secret Material at NOSC. The following specific instructions apply when originating secret material at NOSC. a. Correspondence, Directives, Memorandums, and Other Media. Preparers of NOSC-originated Secret material in these categories will call the CMCC when preparation is begun advising the type of material, the title or subject of the material, and the number of copies to be made. Preparers must put an accountability number and a copy number on each copy, whether for off-Center or on-Center distribution. The CMCC will assign the accountability number. This can be done telephonically. During the preparation of such material, it normally may not leave the custody of the drafter and the preparer. After the final document has been approved and signed, a barcoding determination must be made. If the material, which has been prepared, is destined for immediate departure from the Center (e.g., it is for external use and is being mailed, handcarried, or shipped off-Center), the material does not need to be bar- coded. If some or all of the material will remain on-Center, the remaining material must be barcoded for internal inventory and tracking purposes. The Annual Secret Material Inventory, form NOSC-SD 5511/71, must be completed for each copy of the material and a duplicate bar code (white) attached to the form in the block indicated. The form must be sent to the CMCC for retention and establishment of the custodian accountability chain. Thereafter, any movement of the material will be handled in accordance with the system out- lined in this chapter. b. Working Papers. Secret working papers, as defined in paragraph 3c of this chapter and in appendix F to this manual, must be handled as outlined below. They must be: (1) Dated when created. (2) Marked on each page with the highest classification of any infor- mation they contain. (3) Protected in accordance with the classification assigned. (4) Forwarded to the CMCC for destruction when they have served their purpose. Normally, no destruction record is required; however, a destruction record may be made at the discretion of the originating code. 6-5 NOSCINST 5500.1A 22 August 1988 (5) Marked, accounted for, or controlled in the same manner prescribed for a finished Secret document when they are placed permanently in a file system and/or retained more than 90 days from date of origin. NOTE: All working papers shall bear appropriate classification markings and downgrad- ing/declassification instructions, per reference (a), when placed in the NOSC accountability system and/or when sent to another activity. Exceptions to this policy must specifically be approved by the Security Manager. Therefore, unless an exception is authorized, working papers are handled as finished material when transferred to another activity, and upon leaving NOSC custody. c. NOSC Formal and Informal Publications (1) Handling by the Originating Code. All material prepared for inclusion in a NOSC Secret formal (TR, TD, or TM) or informal (TN) publication will be considered working papers until the final printed copies are received from the printer. After approval of the manuscript by the originator's divi- sion head, the prepared material must be sent to the Information and Personnel Security Group, Code 152, for approval of the downgrading/declassification instructions. The material must then be delivered to the nearest office of the Technical Publications Branch, Code 961 (Bldg. 2 (Topside) or Bldg. 121 (Bayside)). The Code 961 DDP's signature will be obtained on a copy of Rout- ing and Approval - NOSC Publications, form NOSC-SD 5605/12. (2) Handling by the Technical Publications Branch (a) The Technical Publications Branch, Code 961 (Topside), must log the material and assign a publication number and an accountability number. Reminder: The Classified Material Control Center (CMCC) assigned the 90,000 series of accountability numbers to Code 961 for this purpose. (b) All printing of NOSC publications done by the Navy Publishing and Printing Service Branch Office, Point Loma, (NPPSBO Point Loma) requires a DOD Printing Requisition, DD Form 282. Duplicating to be accomplished by the NPPSBO requires a Reprographics Request, form NPPSO 11ND 5604/7C. A copy of the appropriate form, signed by a NPPS employee, must be retained by Code 961 until the material is returned. (c) Code 961 must prepare address labels and a Record of Receipt, form NOSC-SD 5511/67, for each copy of formal material to be distributed off- Center by NPPS. Return of these receipts by the addressees to Code 961 will relieve the Technical Publications Branch of accountability for off-Center copies. (NOTE: The originating code must take these actions for TN's.) (d) A copy number must be placed on each copy of a Secret publica- tion after reproduction. (e) The reproduction masters must be returned by the printer to Code 961 for retention. Code 961 will prepare a distribution list and attach it to the copies to be distributed. The CMCC will enter the material data in the official CMCC data base, print up six transfer slips per piece of material and barcode each piece. These copies will then be delivered to the approp- riate DDP by the classified mail messenger. 6-6 NOSCINST 5500.1A 22 August 1988 (3) Handling by the Navy Publishing and Printing Service (NPPS) (a) When NPPS prints the publication, NPPS will prepare the printed copies for off-Center distribution The CMCC will pick up the sealed packages and the U.S. Mail Registry List from NPPSO, signing a copy of the registry list as a receipt. The CMCC will deliver the sealed packages to the Post Office and have the postal clerk sign the registry list. (b) Code 961 will pick up all internal copies; sign a copy of the DOD Printing Requisition, DD Form 282; prepare the distribution list; and deliver all copies and the distribution list to the CMCC for distribution. (4) Viewgraphs, Slides, and Photographic Negatives. These items will be controlled as any other type of accountable Secret material. (5) Page Changes to Publications (TR's, TD's, TN's, TM's, etc.). When the CMCC receives Secret page changes to Secret Publications published by other commands, they will be delivered to the Library DDP (LDDP). The LDDP must sign for the registered package and record the receipt of the change. The LDDP is responsible for making the changes in the document. The LDDP will prepare a Record of Destruction, form 11ND NOSC 5511/18, and forward the superseded pages, via classified mail messenger, to the CMCC for destruction. The messenger must sign a copy of the Record of Destruction. Exception: Changes to NOSC publications will be made by Code 961. d. Marking. All materials will be marked per reference (a). Marking requirements and the application of markings vary depending on the kind of material. Basic markings, required for all classified material are: (1) For Originally Classified Material: (a) The identity of the original classification authority. (b) The agency or office of origin. (c) The overall classification. (d) The declassification date or event of the notation, "Originat- ing Agency's Determination Required" (OADR). (e) Any downgrading instructions. (2) For Derivatively Classified Material: (a) The source of classification (either a source document or classification guide) including its date when necessary for positive identi- fication. If you derive classification from more than one source, use the phrase "Multiple Sources". Keep a listing of the multiple sources with the file or record copy of a document or the related or accompanying documentation for other kinds of classified material. (The listing is not distributed with the material.) (b) The agency and office of origin. 6-7 NOSCINST 5500.1A 22 August 1988 (c) The overall classification. (d) The declassification date or event, or the notation, "Origi- nating Agency's Determination Required" (OADR). If you derive classification from multiple sources, carry forward the most remote date or event for declas- sification marked on any of the sources. OADR is the most restrictive declas- sification instruction. If any source has this notation, you must use it instead of a declassification date. (e) Any downgrading action required. 5. Reproduction of Secret Material a. Delegation of Authority. Authority to reproduce Secret material is delegated by the Commander, NOSC, as follows, or by cognizant authority as applicable: (1) Material originated by other DOD activities may be reproduced only by authorized individuals. (2) Material originated by non-DOD Government activities may be repro- duced only when authorized by the Commander, Code 00; the Head, Security Office, Code 15; or the Head, Information and Personnel Security Group, Code 152. (3) Material originated by foreign countries may be reproduced only when authorized by the Commander, Code 00; the Head, Security Office, Code 15; or the Head, Information and Personnel Security Group, Code 152. (4) Material originated by NOSC may be reproduced when authorized by the originating code or an authorized individual. b. Criteria for Reproduction (1) Reproduction is absolutely necessary. (2) Reproduction is done by a specifically authorized person who has been designated as such in writing. (3) Accountability is maintained in accordance with reference (a) and this manual and all material reproduced has the proper security and account- ability markings. (4) Only the minimum required number of copies is reproduced. NOTE: All authorized personnel should be thoroughly familiar with the provisions of articles 10-200 and 10-201 of reference (a) with particular emphasis on limit- ing the number of copies made and the hazards involved in the use of office copying machines. 6-8 NOSCINST 5500.1A 22 August 1988 c. Procedures (1) San Diego. At San Diego, reproduction of Secret material must be requested on Reprographics Request, form NPPSO-SD 5604/7C, prepared in tripli- cate and signed by competent authority as shown in paragraph 5a above. The custodian must obtain the signature of the NPPSBO employee on the file copy of form NPPSO-SD 5604/7C to record the transfer of custody. In this instance, the material does not have to be returned to the CMCC for transfer of custody. When the original and reproduced copies of the material are picked up, the NPPSBO employee must obtain the signature of the designated person who picks up the material on the NPPSBO copy of the form. The material must be handcar- ried to the NPPSBO Point Loma facility in Bldg. 1, Rm. B-119 (Bayside), or Bldg. 38 (Topside). Since certain types of material cannot be reproduced in the NPPSBO facility at Bayside, such material must be handcarried to the NPPSBO facility in Bldg. 38, Topside, for reproduction. (a) When reproduced copies are picked up from the NPPSBO Point Loma facility, and if they are not for immediate distribution off-Center, they must be barcoded per paragraph 4a above. Regardless of whether the copies are for on- or off-Center use, they must have an accountability number and the appropriate copy numbers, and all such action must be coordinated with the CMCC. (b) Reproduction of additional copies of NOSC publications MUST be done through Code 961 (Topside) for preparation of accountability records and assignment of copy numbers. (2) Other NOSC Facilities. At all other NOSC facilities, only Com- mander, NOSC, and the CMCC may normally authorize reproduction of Secret mate- rial. (3) Emergency Reproduction. In an extreme emergency, material may be reproduced on an office copying machine at any NOSC location, providing prior verbal approval is obtained from Commander, NOSC; Code 15 or 152 at San Diego; the Officer in Charge, Hawaii Laboratory, Code 005; or the Security/Safety Office - Hawaii, Code 0059. After the material has been reproduced, all cop- ies must be documented by the appropriate CMCC and signatures of DDP personnel obtained for locally retained copies. The custodian will prepare Records of Receipt, NOSC-SD 5511/67, when required for copies being sent to another NOSC area or off-Center. (4) Off-Center Reproduction. Any off-Center reproduction must have prior approval of the Head, Security Office, Code 15, or the Head, Information and Personnel Security Group, Code 152, and must be fully coordinated to docu- ment accountability and barcoding. 6. Dissemination of Secret Material a. Secret material may be disseminated to any NOSC employee who has been issued a Secret or higher clearance and whose duties require access to the information (need to know). 6-9 NOSCINST 5500.1A 22 August 1988 b. Secret material may also be disseminated to any visitor or contractor whose Secret or higher clearance is on file at NOSC and whose purpose in vis- iting NOSC establishes a need-to-know as defined in appendix F. c. Secret information may not be disseminated to foreign nationals unless the Foreign Disclosure Officer, Code 152, has received disclosure authority from the Navy Office of Technology Transfer and Security Assistance (NAVOTTSA) or from a project officer of an Information Exchange Project (IEP), Mutual Weapons Development Data Exchange Agreement (MWDDEA), or Memorandum of Under- standing (MOU). (See chapter 4 of this manual for guidance concerning foreign disclosure.) 7. Stowage of Secret Material. Secret material must be stowed in approved containers with a built-in three-position dial type combination lock or in a vault/strongroom with similar and auxiliary equipment approved for Secret storage. Access to the container containing Secret material must be limited to the custodian and not more than two alternates without obtaining special approval. The container file must be locked whenever the custodian or alter- nates are not present in the immediate area. 8. Inventory of Secret Material a. Schedule. Inventories of Secret holdings are conducted annually. Inventories are scheduled and announced by the Management Assistance Division, Code 13. b. Procedures. Inventory procedures are determined and publicized by Code 13. 9. Transmission of Secret Material a. Within a Facility. Transmission of Secret material within the facil- ity must be done by an appropriately cleared person with a clearly established need to know. Such transmission must ensure that the material is safeguarded, appropriately covered at all times, and conducted in compliance with the pro- cedures outlined in paragraph 24c(5) of this chapter. It may not be left unattended unless secured in an appropriate, locked security container. b. Off-Center Via U.S. Registered Mail (1) Secret material being transmitted off-Center to another geographi- cally separated NOSC facility or to another Government or contractor facility or activity must be transmitted via U.S. Registered Mail unless it can be sent via secured electronic means or via approved courier. UNDER NO CIRCUMSTANCES MAY CLASSIFIED MATERIAL BE TRANSMITTED TO A FOREIGN GOVERNMENT OR FOREIGN REPRESENTATIVE WITHOUT APPROVAL OF THE FOREIGN DISCLOSURE OFFICER, CODE 152. The originator of material being sent to U.S. Government activities or their contractors is responsible for serializing any letters, obtaining required signatures, dating the letters, preparing Record of Receipt, form NOSC-SD 5511/67, and for preparing properly marked and addressed envelopes or address labels. The materials are then forwarded to the Classified Material Control Center (CMCC), Code 1312, for packaging and recording of the transmission. The CMCC will wrap the material in two opaque sealed envelopes or wrappers. 6-10 NOSCINST 5500.1A 22 August 1988 The inner wrapping will show the complete address of the addressee and the classification of the material as well as any special warning notices required. The outer wrapping must show the complete address of the addressee and the return address including the sender's code. NOTE: Transmittal let- ters are required for each transmittal of classified material. Document Transmittal and Receipt, form NOSC-SD 5216/27, may be used for this purpose. (2) The sending code will follow up to assure the material has been delivered if the signed receipt is not received within 20 days. If the receipt is not received within 30 days, the code will advise the Security Manager or appropriate alternate who will initiate any required investigation. Exception: When NOSC publications are mailed by NPPS, Code 961 will follow up. (3) Official addresses as shown in the Standard Navy Distribution List (SNDL) must be used on mail to Navy activities. The address may include a name or office code of the intended recipient to expedite handling of the material at the addressee's location, but such an attention line may only be placed on the inner wrapping per paragraphs 15-3 and 15-12 of OPNAVINST 5510.1H and paragraph 1-601 of OPNAVINST 5540.8L. c. Emergency Transmission by Hand. See paragraph 24c of this chapter for emergency procedures for handcarrying material off-Center. NOTE: If the material is to be handcarried by a contractor, the name of the contractor carrier must be shown on the transmittal letter accompanied by written author- ization from the contractor's company to handcarry classified material. A copy of the transmittal letter (and accompanying authorizations, if applica- ble) must be provided to the CMCC for record purposes. d. Shipments. When Secret material cannot be transmitted following arti- cles 12-100 through 12-104 of OPNAVINST 5510.1H because of size and weight, packaging and shipment is governed by articles 12-108 and 12-201 of OPNAVINST 5510.1H. The code shipping the material is responsible for providing to Code 131 a list of the items being shipped. e. Courier Designation to Handcarry Classified Material (1) Three types of courier designations are used at NOSC: (a) Local courier within 250 miles of NOSC, San Diego, or any destination on the island of Oahu from the NOSC Hawaii Laboratory at Kaneohe, HI. (b) One-time courier letter for travel by commercial aircraft within and between the United States and its Territories and Canada. (c) One-time courier overseas. (2) Courier Designation with Courier Card. The Request for NOSC Cou- rier Card, form NOSC-SD 5511/5, is filled out by the requesting division and carried by the individual to Code 152 (Code 0059 in Hawaii) for issuance of a Courier Card. The card will be used within 250 miles of San Diego by ground transportation. Also, the card may be used by couriers when traveling by 6-11 NOSCINST 5500.1A 22 August 1988 Government transportation to San Clemente Island and by ground transportation from the NOSC Hawaii Laboratory on the island of Oahu. (3) Travel by Commercial Air Between NOSC San Diego and the United States, its Territories and Canada. A courier letter from NOSC, San Diego, is completed by the requesting code; signed by the division head or higher; hand- carried by the courier to Code 152 with the material to be handcarried; and then taken to the CMCC, Code 1312, for wrapping. The same procedures apply for Hawaii with the courier letter and material being carried through Code 0059 before going to the CMCC. (4) Travel by Commercial Air Between NOSC San Diego and Overseas. Every effort should be made to forward classified material overseas by approved means. When situations occur where the material will not be ready to assure its required delivery time, the code requiring that the material be handcarried overseas will forward a memorandum from the branch or division head via the department head to the Chief Staff Officer, Code 03, with a copy to Code 152 (Code 0059 in Hawaii) that outlines the material to be carried, the person to act as courier, flights to be used, and other data required by OPNAVINST 5510.1H. In cases of extended flights overseas, consideration should be given to sending two couriers. (Provide at least 3 workdays notice for Code 152 to obtain SPAWAR Code 10H approval for the handcarry.) 10. Disposition of Secret Material a. Determination of Action. When material is returned to the CMCC, Code 131, the DDP will indicate to the CMCC employee one of the following actions concerning disposition of the material: (1) Forward to another DDP. (2) Destroy. (Must be accompanied by a Secret Material Destruction Record, form 11ND NOSC 5511/18, prepared in triplicate.) (3) Return to originator. (Must have transmittal letter, label, rec- ord of receipt, etc.) (4) Forward to the Federal Archives and Records Center for storage. (See NOSCINST 5211.2B for procedures.) b. Destruction (1) Destruction of Secret material must be authorized by a branch head or higher and the destruction must be witnessed by two persons from the CMCC with Secret clearance or their designated representatives, similarly cleared. The managers of NARDIC, Pasadena, Code 1313; NARDIC Alexandria, Code 1314; and the NOSC Liaison Office, Code 1323, are authorized to certify material for destruction and to destroy the material. Such destruction must be witnessed by two persons with Secret clearances. The authorizing official at these three facilities may serve as one of the two witnesses. 6-12 NOSCINST 5500.1A 22 August 1988 (2) Material to be destroyed must be delivered to the classified mail messenger or handcarried to the CMCC. Documents to be destroyed must be listed on Secret Material Destruction Record, form 11ND NOSC 5511/18. The original of the destruction record and two copies will be provided to the CMCC. (3) Secret working papers and scrap material destined for destruction must be carefully checked to ensure no accountable material is included. (4) Films or tapes must be removed from the spools. Drawings should be unfolded or unrolled and the classification checked. (5) Accountable bound documents should be carefully checked to ensure pages are not missing. (6) Enclosure(s) of a document should be examined to ensure they are still attached. (7) Paper clips and other metal fasteners, except normal size staples, must be removed. (8) Nonpaper items (such as film, transparencies, and plastic items) should be separated from paper materials. 11. Retention of Records of Secret Material a. The CMCC copy of the transfer slip, letters of transmittal, and destruction records will be retained 2 years after the transaction. b. The Secret Routing Sheet, form NOSC-SD 5511/68, will be destroyed when the material is destroyed or transferred to another activity. c. The CMCC copies of the inventory/reconciliation will be retained for a minimum of 2 years. d. CMCC Registered Mail Logs will be retained for a minimum of 2 years. e. In summary, CMCC Records which document the actions/transactions of creation, destruction, transfer, custodianship, arrival and departure of Secret material will be retained for a minimum of 2 years. 12. Procedures for Handling Incoming Registered Mail a. San Diego (1) A mail room representative will sign the Post Office receipt for all incoming Registered U.S. Mail and deliver the packages to the CMCC. (2) The CMCC will open all packages from other Government activities and contractors' facilities and prepare a Secret Routing Sheet, form NOSC-SD 5511/68, and transfer slips for all Secret material except material requiring special handling or NOSC publications. The procedures contained in chapter 7 of this manual and other directives from higher authority will be followed for 6-13 NOSCINST 5500.1A 22 August 1988 materials requiring special handling such as NATO or CNWDI. Packages contain- ing NOSC publications will be delivered to Code 961. Code 961 will sign the CMCC Registered Mail Log for the package and prepare the above accountability records. Exception: When the end item of a contract is a Secret report or other type of document, the item must be delivered by the contractor to the Warehouse Operations Branch, Code 222. Code 222 must then deliver the item to Code 1312 who will prepare control documents and forward the deliverable to the contracting officer's technical representative (COTR) for the contract. b. Hawaii. Registered Mail will be picked up at the Post Office by CMCC personnel who will sign the Post Office receipt. The CMCC representative will log in the packages, prepare receipts, affix disclosure records to the mate- rials and follow accountability procedures for the type of material contained therein. 13. Procedures for Handling Outgoing Registered Mail a. CMCC Action. The unsealed package shall be transmitted by hand or via classified mail messenger to the CMCC. Packages must be received in the CMCC before 1000 at San Diego to be mailed the same day. In an emergency, special arrangements may be made. b. Mail Room Action. The package will be entered in the Mail Room's Registered Mail Log. Two copies of this log will be prepared. The registry number will be noted on the suspense copy of the receipt which will be signed by the courier transporting the packages to the Post Office. The Post Office clerk will sign a receipt for the package(s) on a copy of the Registered Mail Log. The copy signed by the Post Office will be retained by the mail room for 2 years. The CMCC clerk will retain the receipt suspense copy until the orig- inal receipt signed by the receiving activity has been returned. The original receipt will then be forwarded to the sending code. 14. Safeguarding Procedures for Confidential Material. Confidential material will be covered whenever possible by a Confidential Cover Sheet (blue on white), Standard Form 705. Movement of Confidential material will be recorded as follows: a. Incoming U.S. First Class, Certified, or Registered Mail. The Mail/ Message Center, Code 1311, will note the initial distribution. All Confiden- tial material will be forwarded to the CMCC after notation on the central files copy of all incoming Confidential material. A Confidential Material Route Sheet, 11ND NOSC 5511/11, will be placed on all copies distributed. b. Outgoing U.S. First Class, Certified, or Registered Mail. Originating offices must record the initial distribution, both internal and external, on file copies. The mail room will retain a serial file copy for 2 years. Sec- ondary external or internal distribution will also be recorded by the sending office. A Confidential Material Route Sheet must be placed on all internal copies of Confidential material, including messages, by the originating office. c. Confidential Technical Library Documents and Material. The Technical Libraries Branch, Code 964, will prepare a master record for each document, uniquely identifying the document and showing total number of copies held. 6-14 NOSCINST 5500.1A 22 August 1988 Each document will be identified by source, report number, and copy number. Two library charge cards will be prepared for each copy of a document, which will provide a record of present and past custody of the publication. When checking out a Confidential document from the technical library, the individ- ual will enter signature and code on both copies of the charge card. The technical library will date and file both cards. In order to transfer custody of a Confidential library document, the document must be returned to the library and the borrower's name deleted from the master charge card. The document may then be issued to a new borrower. d. Receipts (1) A transmittal letter is required for Confidential material whether it is transmitted by hand, U.S. Certified Mail, or First Class Mail. (2) Document Transmittal and Receipt, form NOSC-SD 5216/27, signed by an individual with "By direction" authority, must be used for this purpose. If the material is to be handcarried, the form must state this, indicating the name of the courier. More than one piece of material may be listed on one form. Six copies of the form should be prepared: two copies to be transmit- ted with the material(s); two copies for the mail room, and one copy for retention by the sender for follow up. When the material is handcarried, the sixth copy should be given to the guard on the exit gate. This serves as authorization for the guard to permit the removal of the material from NOSC. The guard will forward this copy to the Head, Information and Personnel Secu- rity Group, or to the Administrative Officer, Hawaii, as appropriate. The applicable contract number and the name of the courier must be shown on this form. If the sending code does not have an active contract with the contrac- tor, Code 152 (San Diego) or Code 0059 (Hawaii), as appropriate, must be requested to verify the contractor's facility clearance level and storage capability before forwarding the Confidential material. (3) The recipient of the material should sign the original transmittal letter and return it to the sender. If the signed original is not received within 20 days, the sender will initiate tracing action. If the material was not received, the Security Manager, Code 152, must be notified immediately. See paragraph 24a of this chapter for additional action to be taken if the material appears to be missing. (4) Material handcarried and returned by an employee should be checked in with the person holding the follow-up copy of the receipt form. 15. Preparation of Confidential Material. When Confidential material is pre- pared, a Confidential Cover Sheet, form SF 705, must be attached to each copy by the individual who prepares the material. 16. Reproduction of Confidential Material a. Confidential material may be reproduced when the following criteria are met: (1) Reproduction is absolutely necessary. (2) Only the minimum number of copies is reproduced. 6-15 NOSCINST 5500.1A 22 August 1988 (3) All material reproduced has the proper classification and declas- sification markings. b. When authorized by competent authority listed in paragraphs 16c(1), 16c(2), and 16c(3) below, Confidential material may be reproduced on office copying machines. If reproduction will be done in the NPPSBO Point Loma faci- lities, reproduction must be authorized on Reprographics Request, form NPPSO- SD 5604/7B. Exception: Electrostatic Copying/Duplicating Request, form NPPS WESTDIV 5604/9, may be used for less than 10 copies of Confidential material. c. Reproduction of additional copies of NOSC publications must be done through Code 961. (1) NOSC-Originated Material. The author or higher authority in the author's organizational chain. (2) Material Originated by Another DOD Activity. Individuals listed on the Center code directory. (3) Material Originated by Non-DOD Government Activities or by a For- eign Country. The Foreign Disclosure Review Officer, Code 152, will request permission of the originator to reproduce and will authorize reproduction when permission is received. d. Personnel reproducing copies of NOSC-originated Confidential material or of material originated off-Center must annotate their file copies with the additional distribution. 17. Dissemination of Confidential Material a. Confidential material may be disseminated to any NOSC employee who has been issued an appropriate clearance and whose duties require access to the information (need to know). b. It may also be disseminated to any visitor or contractor whose clear- ance is on file at NOSC and whose purpose for visiting NOSC establishes a need-to-know as defined in appendix F. c. Confidential information may not be disseminated to foreign nationals unless the NOSC Foreign Disclosure Officer, Code 152, has received disclosure authority from CNO (NAVOTTSA) or from a project officer of an Information Exchange Project (IEP), Mutual Weapons Development Data Exchange Agreement (MWDDEA), or Memorandum of Understanding (MOU). See chapter 4 of this manual for further guidance on foreign disclosure. 18. Stowage of Confidential Material. Confidential material must be stowed in approved containers, secured by a three position dial type combination padlock (with stainless steel cover) together with a lock bar covering all drawers. Access to the container must be limited to the custodian and not more than two alternates without obtaining special approval. The container must be locked whenever the custodian or alternates are not present in the immediate area. The padlock (when the container is unlocked) must be placed inside the top drawer, and not left unlocked in the open, e.g., hanging from a drawer handle. 6-16 NOSCINST 5500.1A 22 August 1988 19. Transmission of Confidential Material a. Within a NOSC Facility. Confidential material handcarried by an indi- vidual within one of the NOSC facilities should normally be placed in a Confi- dential messenger envelope and handed to the addressee. It should not be left on an unattended desk or placed in a mail box. b. By Guard Mail. Material transmitted via guard mail internally or to another physically separated NOSC facility must be enclosed in a Confidential messenger envelope and must show the sender's code and the addressee's name, code, and facility location. c. Within and Between the United States and Its Territories (1) By U.S. Mail. With the exception of certain communications, NATO material, and material addressed to an FPO or APO address which must be sent by Registered Mail, Confidential material mailed to DOD addressees within and between the United States and its territories may be sent via U.S. Postal Service First Class Mail. Confidential material mailed to cleared Government contractor facilities must be by U.S. Certified, U.S. Registered, or U.S. Postal Service Express Mail. NOTE: Express Mail may be used only with the permission of the Head, Code 1311. Transmission of Confidential material via an approved overnight delivery service is permissible when such commercial carriers provide a constant surveillance service (CSS) for the shipment. UNDER NO CIRCUMSTANCES MAY CLASSIFIED MATERIAL BE TRANSMITTED TO A FOREIGN GOVERNMENT OR FOREIGN GOVERNMENT REPRESENTATIVE WITHOUT APPROVAL OF THE FOR- EIGN DISCLOSURE OFFICER, CODE 152. The originator of the material being sent to U.S. Government activities or their contractors is responsible for ensuring the material is wrapped in two opaque, sealed envelopes or wrappers. The classification of the material must be recored on the innner envelope along with any special warning notices that apply. The outer wrapper must show the address of the recipient and the return address including the sender's code. Official addresses as shown in the Standard Navy Distribution List (SNDL) must be used for mail to Navy activities. The address may include a name or office code of the intended recipient to expedite handling of the material at the addressee's location, but such an attention line may only be placed on the inner wrapping or transmittal document. The outer address must be to the Commander or Commanding Officer as appropriate for Navy activities, or to the Security Officer or Document Control of contractor facilities. Each contrac- tor activity has only one approved classified mailing address. Code 152 main- tains records of the approved mailing addresses and should be contacted to confirm the address before mailing classified material to a contractor activ- ity. (2) Handcarried by a NOSC Employee. When Confidential material is handcarried by a NOSC employee on official travel, a list of the material must be prepared and retained by the traveler's office. Document Transmittal and Receipt, form NOSC-SD 5216/27, may be used for this purpose. When the trav- eler returns, the traveler and the person holding the pending copy of the Document Transmittal and Receipt must check the Confidential material against the list to ensure all items are accounted for. The material must be double- wrapped and sealed as noted in paragraph 9b(1) of this chapter. 6-17 NOSCINST 5500.1A 22 August 1988 d. By Mail for U.S. Government Activities Located in Foreign Countries. Confidential material mailed to U.S. Government activities located in foreign countries (including the Canal Zone) which have FPO or APO addresses, or to other addressees when the originator is uncertain of their location, must go via U.S. Postal Service Registered Mail, enclosed in two opaque, sealed, manila envelopes. This includes ships having official FPO mailing addresses. The classification of the material and the recipient's address must be recorded on the inner envelope. The outer envelope must show the complete return address, including the sender's code, and the complete address of the recipient. Complete addresses and any special mailing instructions should be obtained from the department secretary. Classified material may not pass through a foreign postal system. e. Shipments. Confidential material which cannot be forwarded off-Center via U.S. Registered or Certified mail because of size and weight will be packaged and transmitted following articles 12-108 and 12-201 of OPNAVINST 5510.1H. 20. Disposition of Confidential Material. Confidential material may be dis- posed of by: a. Returning the material to the originator. b. Forwarding records which may have to be consulted again to a Federal Archives and Records Center following procedures outlined in SPAWARINST 5510.23. c. Returning library documents to the Technical Libraries Branch, Code 961. d. Returning formal and informal publications, except catalogued library copies, to Code 961, San Diego. e. Returning Laboratory Notebooks to the Technical Libraries Branch, Code 964. f. Sending material to the CMCC, Code 1312, for destruction. 21. Mail Procedures for Confidential Material a. Incoming U.S. Registered, Certified, and First Class Mail. Mail Room personnel will sign Post Office receipts for the packages. If addressed to the Command, Mail Room personnel will open the outer envelope to determine the classification of the material. If the package contains Confidential mate- rial, the procedures outlined in paragraphs 12 and 14 of this chapter will be followed. Additionally, if the package/material requires special handling by instructions on the inner envelope, the procedures outlined in paragraph 12a of this chapter, chapter 7 of this manual, or other applicable directives will be followed. b. Incoming Confidential Guard Mail. Incoming Confidential guard mail will be in the custody of the CMCC personnel from the time it arrives at San 6-18 NOSCINST 5500.1A 22 August 1988 Diego or Hawaii until it is delivered to the addressee's mail stop by mail room personnel. All mail not distributed on the date received must be secured in approved stowage containers during nonwork hours. c. Outgoing Confidential Guard Mail. The office forwarding Confidential material via guard mail is responsible for placing a Confidential Cover Sheet (blue on white), Standard Form 705, on the material and for properly packaging the material in a Confidential guard mail envelope. d. Messenger Schedule for U.S. Mail Delivery to Post Office. Confiden- tial material to be mailed via U.S. First Class, Certified, or Registered mail must be received in the mail room before 1000 at San Diego to be mailed the same day. In an emergency, special arrangements may be made. CMCC personnel will record the package in the Registered or Certified Mail Log, if appropri- ate, and seal the envelopes with nonplastic tape. The NOSC courier will take the original and one copy of the log with the packages to the Post Office. The Post Office clerk will receipt for the package(s) on the original log sheet which will be returned to the mail room and the CMCC, as appropriate, by the courier. 22. Destruction of Confidential Material a. Destruction of Confidential material must be witnessed by one mail room representative. No record of destruction is required. b. Confidential material, including film, tapes, and Naval messages, should be enclosed in Confidential mail messenger envelopes marked "Destroy" and transmitted via classified mail messenger or by hand to the mail room for destruction. Films or tapes must be removed from the spools. Each envelope should be checked carefully to ensure no accountable material is included. Drawings should be unfolded or unrolled and the classification checked. Bound documents should be carefully checked. Each enclosure of a document should be examined to ensure other documents are not attached. 23. Retention of Records of Confidential Material a. For Confidential material, the Document Transmittal and Receipt, form NOSC-SD 5216/27, will be retained by the sender for 2 years after transmittal of the material. b. Mail room Registered and Certified Mail Logs will be retained for a minimum of 2 years. 24. General Procedures for Handling Secret and Confidential Material a. Missing Material (1) Notification of Security Representative. Any individual at the Center who has reason to believe classified material is missing or has been compromised or subjected to compromise shall immediately advise Code 152, San Diego (and Code 0059, Hawaii, if appropriate), and provide all known facts concerning the circumstances of the possible compromise both verbally and in writing as soon as possible to Code 152 (with a copy to Code 0059 if appropri- ate). 6-19 NOSCINST 5500.1A 22 August 1988 (2) Notification of DDP/CMCC. If the missing material is classified Secret, the custodian charged with the material must immediately also be noti- fied of the possible loss of the material. The custodian should then notify his/her immediate supervisor, Code 152, and the appropriate CMCC. Code 152 and the management chain must immediately notify Commander, NOSC. (3) Preliminary Inquiry. Code 152 will request the cognizant depart- ment head or equivalent to initiate a thorough search within the organization and provide a prompt written report to Code 152 of the results of this search. The search must be completed within 5 workdays. Searches may also be requested in other organizations, as appropriate. If not located, Code 152 will ensure that a preliminary inquiry is conducted, reported and forwarded in accordance with paragraph 4-4 of OPNAVINST 5510.1H. (4) Follow-Up Action (a) If the preliminary inquiry reveals a suspected compromise, but strong evidence exists that there was minimal risk of any unauthorized disclo- sure which could reasonably be expected to cause damage to the national secu- rity, no active security weakness is found, and punitive action is not appropriate, Code 152 will prepare a letter to the Commander, Space and Naval Warfare Systems Command (COMSPAWARSYSCOM) reporting the results of the prelim- inary inquiry and requesting concurrence that no further action is required. (b) When compromise is confirmed, suspected without qualification, or occurs under such circumstances that the Commander, NOSC, considers it advisable that a more extensive review of the matter be conducted in the interest of national security the following actions will be taken: 1. A message report of the preliminary inquiry will be pre- pared by Code 152 for release by the Commander, NOSC, and forwarded to the originator of the material with information copies to COMSPAWARSYSCOM and the Chief of Naval Operations (CNO) (OP-009D). 2. A NOSC officer or civilian employee will be appointed by the Commander, NOSC, to conduct an informal JAG investigation. This investi- gation will include: complete identification of each item of classified information involved; a thorough Centerwide search for the material; fixing responsibility for the compromise; and preparing a statement that (1) compro- mise occurred or that compromise is probable, or (2) compromise did not occur or that possibility of compromise is considered remote. 3. When the JAG investigation has been completed, Code 152 will prepare a letter to CNO (OP-009D), via COMSPAWARSYSCOM, forwarding the report of investigation and indicating approval or disapproval of the proceed- ings, findings of fact, opinions, and recommendations. The letter will also outline measures taken, directed, or recommended to prevent recurrence, and disciplinary action taken or recommended. If extenuating or mitigating cir- cumstances exist and disciplinary action is not taken or recommended, such will be stated in the letter. (5) Review of Classification by Original Classifying Authority. If the Center is the original classifying authority, the Commander, NOSC, must also reevaluate the classified information to determine whether it should 6-20 NOSCINST 5500.1A 22 August 1988 remain the same classification, be modified to minimize or nullify the effects of the reported compromise and the classification retained, be downgraded immediately, or be declassified. If the Center is not the original classify- ing authority, the original authority will be notified by the Commander, NOSC, so the above evaluation can be made. All holders of the information shall be notified of the decision. b. Disposition of Requests for Classified NOSC Documents from DOD Activi- ties and DOD Contractors. A copy of each request for documents will be for- warded to the Head, Information and Personnel Security Group, Code 152, for information. Action copies will be disposed of in accordance with the follow- ing paragraphs. (1) Requests from DOD Activities (a) Formal and Informal NOSC Publications. Requests for TR's, TD's, TM's, TN's, etc., will be forwarded to Code 961 who will obtain written verification of need-to-know for classified documents from the originating code and forward the publication to the requesting activity. (b) Center Documents other than Publications. Requests will be forwarded to the cognizant code for verification of need-to-know and release of the document. (2) Requests from DOD Contractors. Requests will be forwarded to Code 152, who will determine whether the company has an active contract with the Center. (a) If an active contract with the Center exists, the request will be forwarded to the contracting officer's technical representative (COTR) for verification of need-to-know and release of documents other than NOSC publica- tions. Requests for NOSC publications will be forwarded to Code 961 for veri- fication of need-to-know and release of the publications. (b) If the company does not have a contract with the Center, Code 152 will verify the company's facility clearance and stowage capability and return the request to the company with instructions to resubmit the request via the company's cognizant contracting officer for verification of need-to- know. When this verification is received, Code 152 will review the verifica- tion and take action in accordance with paragraph 24b(1)(a) or 24b(1)(b) above. (NOTE: If the document is requested for use in connection with a Supply Department Request for Proposal or Request for Quotation, the same document must be forwarded to each prospective bidder.) Verification of faci- lity clearance and stowage capability of each bidder is obtained by the Supply Department, Code 20. c. Emergency Transmission of Classified Material by Hand (1) Within the Continental U.S. Personnel are reminded that transmis- sion of classified material outside Center facilities should normally be via the appropriate U.S. Postal Service mail. If an emergency situation arises 6-21 NOSCINST 5500.1A 22 August 1988 where time does not permit mailing classified material, personnel may hand- carry Confidential or Secret material, when on official travel, under the following restrictions: (a) Via Surface Transportation on a Frequent Basis 1. Personnel carrying the material must possess a Naval Cou- rier Designation, form 11ND NOSC 5512/15. These cards are obtained by pre- senting a Request for NOSC Courier Designation, form 11ND NOSC 5511/5, at the Information and Personnel Security Group, Code 152 (San Diego) or Code 0059 (Hawaii), which will issue the card. These cards will be issued only to per- sonnel whose official duties require the handcarrying of classified material. 2. The classified material removed from the Center must be double wrapped (two containers). It may be two opaque, sealed envelopes or similar wrappings, where size permits. The internal wrapper is marked with the highest classification of the material enclosed including any special security warnings, where appropriate. The external wrapper is marked with the addres- see and the sender (return address), but not the classification. (b) Via Commercial Air Transportation or Infrequent Surface Travel 1. Division head approval to handcarry material must be obtained. Because of present problems with commercial aircraft being hijacked from various points of origin, division heads should carefully review the necessity for handcarrying the classified material and determine in each case that: (1) the material is not available at the traveler's destination, (2) it is required for the conduct of the business, (3) time will not permit mailing the material, and (4) the traveler has been briefed on the responsibility to protect the material if the aircraft is hijacked. Code 152 (San Diego) or Code 0059 (Hawaii) can provide guidance for this briefing. Personnel must be cognizant of the provisions of paragraphs 12-300 through 12-302 of OPNAVINST 5510.1H. 2. In view of FAA regulations regarding screening of person- nel and handcarried packages or baggage, the following additional guidance is provided for travelers who are required to handcarry classified material via commercial air: a. The traveling courier must complete a Courier Letter, form 11ND NOSC 5511/6, in quadruplicate, and take it to the appropriate secu- rity office for release signature (Code 152, San Diego or Code 0059, Hawaii). The form must show a date of expiration not to exceed 7 days from the date of issue. The courier must sign the Courier Letter acknowledging that he/she is familiar with the Department of Navy rules governing the handcarrying of clas- sified material. Code 152 will retain a copy of the courier letter for at least 2 years. b. Before being wrapped, the material to be handcarried must be reviewed by Code 152 (San Diego) or Code 0059 (Hawaii) as appropriate. At San Diego, the material may then be taken to the Mail/Message Center, Code 1311, to be wrapped. The double-sealed envelopes shall be of a thickness which facilitates physical inspection at the airport screening station by 6-22 NOSCINST 5500.1A 22 August 1988 flexing, feeling, weighing, etc. The envelopes should, if possible, contain no binders, paper clips, staples, or other metal. Code 152 (San Diego) or Code 0059 (Hawaii) must sign on the face of the sealed package. c. The courier shall go to the airport screening station for routine processing. Briefcases and carry-on baggage shall routinely be offered for opening for inspection for weapons. The screening officials should be able to inspect the envelopes without any requirement for opening the envelopes themselves. d. If the screening official is not satisfied, the pas- senger at that time shall inform the official that the envelopes contain clas- sified material and shall present the Courier Letter and NOSC identification badge. e. At that point, the screening official will process the envelopes with a detection device. If no alarm results, the envelopes require no further examination. If an alarm results, the courier shall not be per- mitted to board and, therefore, is not subject to further screening for board- ing purposes. 3. Under no circumstances is the screening official permitted to open or read the classified material. 4. In addition, if the traveler will be handcarrying bulky or odd-shaped sealed packages containing classified material: a. The Head, Information and Personnel Security Group, Code 152, or appropriate alternate shall notify the airline in advance of this situation. b. Each package or carton to be exempt shall be signed on its face by the security representative who signed the letter. c. Upon arrival at the airport, the courier shall report to the ticket counter before boarding, present the Courier Letter, NOSC iden- tification badge, and the package(s) or carton(s) to be exempt from screening. The airline representative will review the documentation and description of the container(s) to be exempt and may make a telephone call to the security representative for verification, if desired. d. If satisfied with the identification of the courier and the documentation, the airline representative will provide the courier with an escort to the screening station and authorize the screening personnel to exempt the container(s) from physical or other type inspection. The trav- eler and all other handcarried items will be subject to routine screening. e. If the airline representative is not satisfied with the authenticity of the courier and the documentation, the courier will not be permitted to board and, therefore, is not subject to further screening for boarding purposes. 6-23 NOSCINST 5500.1A 22 August 1988 (c) Protection of Material. Personnel must retain the material in their immediate custody and under their personal observation at all times. It may not be left in such places as private residences, hotel rooms, hotel safes, train compartments, public lockers, or locked automobiles. The mate- rial may be stowed at any military activity if the traveler determines that the activity has proper storage facilities and that all personnel who have access to the safe-file have adequate clearance. The traveler must obtain a receipt when the material is left. (d) Overnight Stopovers. Handcarrying classified material on trips that involve an overnight stopover is not permissible without advance arrangements for proper overnight storage in a Government activity or a cleared contractor's facility. (e) Return of Handcarried Material. Material handcarried off- Center should be returned to the Center via U.S. Registered Mail if time per- mits. (2) Outside the Continental U.S. Personnel are reminded that classi- fied material may be handcarried via commercial air outside the Continental U.S., Hawaii, Alaska, U.S. Territories, or Canada only when approved by CNO. Requests for such approval should be forwarded by memorandum to Code 152. The request must contain the name, rank, grade, and clearance status of the trav- elers; flight numbers and times; stopovers; a general description of the mate- rial to be carried; and the reason the material cannot be transmitted by another means. Fifteen workdays lead time is required for Code 152 to obtain CNO approval. Personnel handcarrying classified material outside the Conti- nental U.S. will be subject to the restrictions and screening requirements of paragraph 24c(1)(b) above. (3) Document Transmittal and Receipt. A Document Transmittal and Receipt, form NOSC-SD 5216/27, signed by an individual with "By direction" authority, must be prepared whenever classified material is to be handcarried. Secret and Confidential material may be listed on the same form. Two copies of the form should be enclosed in the package; one copy should be signed by the individual who will handcarry the material and left with the immediate supervisor; one copy will be given to a guard or security personnel who request it; and one copy will be retained by the individual, separate from the package. Secret document transmittals must also be processed through the appropriate CMCC in order for the CMCC to centrally track the departure of Secret material leaving NOSC. If any of the material is left at the activity being visited, the traveler must obtain a signature on the Record of Receipt if the item is Secret, or on the Document Transmittal and Receipt, if Confi- dential. When the traveler returns, the traveler and supervisor will check the classified material against the list to ensure all items are accounted for. The documents will be returned to the DDP or a signed receipt provided for each document not returned. (4) Classified Material Handcarried to NOSC. If classified material being handcarried to the Center arrives after normal working hours, personnel may deliver the material to Guard Post 1, Bldg. A-29 (Topside). The CDO will receipt for the material and provide appropriate storage for it until the next following workday. Only unclassified material may be left at Guard Post 7 (Strothe Road, Bayside). 6-24 NOSCINST 5500.1A 22 August 1988 (5) Classified Material Handcarried On-Center. If classified material is handcarried between buildings at NOSC (within the Point Loma Federal Com- plex), three conditions must be met: (a) The person handcarrying the material must have a NOSC-issued badge. (b) The classified material must be covered using a classified cover sheet. If the movement requires transportation OTHER THAN WALKING, the material MUST BE DOUBLE-WRAPPED. A briefcase may be considered the outer wrapping. (c) The person carrying the material must be prepared to furnish the following information to verify that the material is not leaving the Cen- ter. 1. The destination on Center of the classified material (building and code). 2. The name and office telephone number of the point-of-con- tact to whom it is being taken. d. Custodial Responsibilities (1) During Normal Work Hours (a) Classified matter should be stowed in appropriate containers when not in actual use. (b) Custodians of safe-files are responsible for restricting access to the containers to persons who have a need-to-know and who possess security clearance for access to the highest classification of material in the containers. NOTE: Only NOSC military and civilian personnel may be desig- nated as custodians of safe-files. Normally, contractors or visitors should not be given combinations to safe-files. However, in unusual situations, such as contractor or visitor personnel who work daily aboard the Center, a con- tractor or visitor may be given the combination to a specific safe-file if the individual has a need-to-know for all material contained in the safe-file, the individual's clearance is equal to the highest level of material in the safe file, and the clearance is on file in Code 151. When such individuals leave the Center, the combination to the safe-file must be changed immediately. (c) The containers should be locked when not under the direct supervision of these safe-file custodians. (d) Supervisory personnel should establish physical areas of res- ponsibility within their organizational areas, designate personnel to secure all classified material within each area, and instruct personnel in proper procedures and physical limits of the areas for which they are responsible. (e) A Security Container Check Sheet, SF 702, shall be placed on each container of classified information. The individual who opens the safe must initial the form and indicate the date and time. When a safe is locked, the individual who locks it must initial the form and indicate the time. This 6-25 NOSCINST 5500.1A 22 August 1988 must be done each time a safe is opened or closed. Also, another individual (the area checker) must check the safe at the end of each day, initial the form, and indicate the time the safe is checked and certified to be closed. (f) In addition, an Activity Security Checklist, SF 701, should be posted in each area. The room number(s) or a description of the area covered by the Activity Security Checklist should be noted in the appropriate section of the form. An area checker and one alternate should be designated by the supervisor and their names shown on the Activity Security Checklist. (g) When an area is secured at the end of the day, the designated custodian and the area checker will check desk tops, bookcases, tables, etc., in addition to the safe-files. The area checker will initial the Activity Security Checklist. Both the custodian and the area checker must initial each Security Container Check Sheet, SF 702. (h) Individuals will assure that all classified material in their possession is properly protected after work hours by making an inspection of their work area before leaving to determine that: 1. All classified materials are in a locked safe-file. 2. No classified matter is in wastebaskets, in or on desks, or adrift anywhere in the area. 3. Classified scrap has been placed in a locked safe-file. 4. Carbon typewriter ribbons used in typing classified mate- rial have been placed in a locked safe-file. (2) During Other than Normal Work Hours (a) The guard will check all areas and initial each Activity Secu- rity Checklist and Security Container Check Sheet. NOTE: Checks by the guard do not fill the requirement for a double check since a security violation will be written if the guard finds a container open or material adrift. (b) If an individual remains after normal work hours, the custo- dian and area checker will not sign the Security Container Check Sheet for any safe-files left open, but shall assure that all classified material is secured except that which is in the custody of the person(s) remaining. The area checker must also initial the Security Container Check Sheet for each safe that is secured. The last person to leave will check the entire work area and initial the Activity Security Checklist, secure any safe(s) left open, and enter time locked and initials on the Security Container Check Sheet(s). (c) An individual who returns after normal work hours is responsi- ble for securing all classified material used, initialing the Security Con- tainer Check Sheet on any safe-file opened, and recording the time locked. 6-26 NOSCINST 5500.1A 22 August 1988 (3) Security of Conference Rooms. When classified meetings are held in Center conference rooms, the Center host for the meeting is responsible for ensuring that all classified material is removed from the conference room and placed in proper storage facilities when the meeting is over. The place where the meeting is held must be approved by Code 152 for the classification level of the meeting. (4) Custodian Responsibilities. Custodian responsibilities for keys and combinations for storage containers are outlined in chapter 11 of this manual. 6-27 NOSCINST 5500.1A 22 August 1988 CHAPTER 7 SAFEGUARDING AND CONTROLLING DISSEMINATION OF SENSITIVE DOCUMENTS REQUIRING SPECIAL HANDLING 1. Background. In addition to those measures required for the protection of all classified documents, special security measures are required for documents containing unusually sensitive information. 2. Scope a. This chapter establishes special control procedures for North Atlantic Treaty Organization (NATO), Naval Warfare Publications (NWP), Restricted Data (RD), Formerly Restricted Data (FRD), Critical Nuclear Weapons Design Informa- tion (CNWDI), and Single Integrated Operational Plan - Extremely Sensitive Information (SIOP-ESI) information and documents. (See definitions in appen- dix F.) b. Control and dissemination of Top Secret documents is the responsibil- ity of the Top Secret Control Officer (TSCO). Top Secret material shall be handled per OPNAVINST 5510.1G as described in chapter 5 of this manual. c. Control and dissemination of intelligence information and Sensitive Compartmented Information (SCI) will be the responsibility of the NOSC Intel- ligence Officer, Code 17, and governed by reference (y) (NAVINTCOMINST 3890.4). Security guidelines for this information are contained in reference (a) (OPNAVINST 5510.1G) and other applicable Department of the Navy, Depart- ment of Defense, and U.S. Government documentation. Questions regarding intelligence or SCI information shall be directed to the NOSC Intelligence Office, Code 17. 3. Policy a. Access to documents described in this chapter will be granted by the designated control officer on a strict need-to-know basis to appropriately cleared personnel whose official duties require such access and only for the specific item of information required. b. Personnel authorized to have such access will be carefully instructed in their security responsibilities by the designated control officer and com- pliance with the special security control procedures will be constantly and critically monitored. c. Security violations involving access gained by an unauthorized person, regardless of the individual's security clearance status, will be considered as resulting in compromise. Appropriate action will be taken in every instance. 4. Responsibilities a. Security Manager. The Security Manager, Code 152, or designated rep- resentative is responsible for ensuring the following actions are taken by the designated control officers: 7-1 NOSCINST 5500.1A 22 August 1988 (1) Appropriate controls are maintained for these types of materials. (2) Security briefings are administered when required. (3) Employees are debriefed when they leave the Center or their duties no longer require such access. (4) Appropriate action is taken when security violations occur. b. Control Officers. The control officers designated in this chapter are responsible for ensuring that appropriate control measures are followed and for reporting to the Head, Security Office, Code 15, any violation of proce- dures outlined herein. c. Individuals. Individuals are responsible for protecting material in their possession from unauthorized disclosure and for reporting to the desig- nated control officer any violation of procedures outlined in this chapter. 5. Safeguarding and Controlling Dissemination of NATO Documents and Material a. Designated Control Officer. The Head, Information and Personnel Secu- rity Group, Code 152, is designated as NATO Control Officer (NCO) for all Center locations to ensure compliance with requirements of references (d) (OPNAVINST C5510.101D) and (s) (SPAWARINST 5510.22). In the absence of the NCO, the Alternate NATO Control Officer will take these actions in San Diego. At Hawaii, these actions will be taken by the Alternate NATO Control Officer for Hawaii, Code 0059. b. Investigative Requirements. COSMIC access is granted on the basis of a background investigation. NATO Secret, Confidential, or Restricted clear- ances are issued on the basis of a National Agency Check and Inquiry (NACI) for civilian employees or a National Agency Check (NAC) for military person- nel. Interim clearance is not issued. A special briefing concerning proce- dures for handling classified or unclassified NATO information is given by the NCO or alternate. Requests for the special briefing authorizing access to NATO information must be signed by a division head or above. c. Special Markings/Classification. The word "NATO" appears immediately before the classification marking on any NATO document. NATO documents may be COSMIC (Top Secret), Secret, Confidential, Restricted, or unclassified. d. Requests for Documents. Each individual who needs a NATO document should telephone or send a written request to the NCO, who will verify the individual's NATO clearance before transferring custody. The requester must provide a report number and title, subject, or other known descriptive infor- mation which will assist the NCO in determining whether the document is held by NOSC or must be ordered. If the individual does not have a NATO clearance but does have a final U.S. clearance of appropriate level and a need to see the document, the NCO will brief the individual on NATO security procedures. If the document is not held by this Center, the NCO will request it from the COMSPAWARSYSCOM Sub-Registry. 7-2 NOSCINST 5500.1A 22 August 1988 e. Transmission (1) COSMIC documents are received via Defense Courier Service (DCS) and will be picked up by the NCO or alternate. Incoming Secret or Confiden- tial documents arrive via U.S. Registered Mail. The CMCC will open the pack- age and process it per CMCC procedures. Unclassified or Restricted documents are received via U.S. First Class Mail. (2) Documents to be transmitted to another activity within CONUS will be prepared for transmission and sent to the CMCC. (3) NATO documents may not be handcarried to another activity within or outside CONUS except by the NCO or alternate. f. Control and Accounting (1) NATO Secret will be receipted for by the CMCC when it arrives as U.S. Registered Mail. The CMCC will open the package, assign an accountabil- ity number, barcode the material, prepare transfer slips, and deliver the Secret material to the NCO for further distribution. In addition, the NCO will prepare a NOSC form 5511/59 signature card for the authorized recipient of the material to sign before release of the material to their custody. NATO Confidential/Restricted will be receipted for by the CMCC personnel and dis- tributed to the addressee after confirmation that the addressee's name appears on the NATO list provided by the NCO. The CMCC will annotate on the regis- tered receipt that the material was NATO Confidential/Restricted. NATO Restricted will be afforded the same protection as U.S. Confidential. (2) Any change of custody of NATO, COSMIC, and Secret material must follow procedures outlined in this manual. g. Reproduction. NATO documents may be reproduced only by the NCO. h. Stowage (1) NATO classified material may be stowed in the same type of con- tainer as that required for U.S. material of the same classification except that Restricted documents must be filed in the same type of container as U.S. Confidential material. It must be filed separately from all other material; however, it may be stowed in the same drawer with U.S. material if it is placed in separate folders or separated by a divider. Folders or dividers must be marked with the NATO classification. NATO unclassified documents must be stowed in locked containers, but not necessarily combination-locked con- tainers. (2) Access to containers of NATO classified documents must be limited to the individual charged with custody of the document and not more than two alternates, each of whom must have a NATO clearance of an appropriate level. (3) Combinations to these classified containers must be changed at least every 6 months or at any time when change of personnel or access condi- tions dictate. Combinations must be on file with Code 154. 7-3 NOSCINST 5500.1A 22 August 1988 (4) NATO material may not be sent to Federal Archives and Records Centers for storage. It should be destroyed when no longer required. i. Destruction. NATO material classified as COSMIC may be destroyed only by the COMSPAWARSYSCOM Sub-Registry. Other classified NATO material may be destroyed the same way as U.S. classified material. Exception: NATO Regis- tered publications will be destroyed only when directed by the originator unless emergency conditions dictate otherwise. j. Dissemination (1) Dissemination to NOSC personnel will be on a strict need-to-know basis and only to personnel whose names appear on the NATO clearance roster provided to the CMCC by the NCO. (2) Dissemination to any other personnel must be approved in advance by the NCO. (3) Visits by NOSC personnel to other activities where NATO informa- tion will be discussed should be limited to as few instances as possible and "NATO" plus the level of security clearance designated on the visit request as degree of access required. k. Meetings Held at NOSC. Persons planning to hold a meeting at NOSC during which NATO information will be discussed should provide written notifi- cation to the NATO Control Officer (Code 152), the Command Visits Office (Code 0321), and the Information and Personnel Security Group (Code 152), at least 30 workdays in advance of the meeting. The notification should include infor- mation regarding the location, date, and a list of proposed attendees. The NCO will verify that attendees have a NATO security clearance and have the required need-to-know. l. Foreign Travel on NATO Matters. When active duty military personnel travel outside the Continental United States to confer with officials of a NATO office, agency, command, or contractor, and the visit involves access to NATO classified information, a Certificate of Security Clearance will be pre- pared and signed by the NATO Control Officer, Code 152. 6. Safeguarding and Controlling Dissemination of Naval Warfare Publications (NWP's). As required by reference (t) (NWP-O(M)), the Commander, NOSC, has designated a Naval Warfare Publications Custodian (NWPC) who is responsible for the NWP's in the custody of this Center. The NWPC is located in the Intelligence Library, Code 171, and is responsible for issuing requirements for the use of NWP's. 7. Safeguarding and Controlling Dissemination of Restricted Data (RD), For- merly Restricted Data (FRD), and Critical Nuclear Weapons Design Information (CNWDI) a. Designated Control Officer. The Head, Information and Personnel Secu- rity Group, Code 152, is designated Control Officer for Critical Nuclear Weap- ons Design Information (CNWDI), per reference (u) (SECNAVINST 5510.28A). The Information Security Assistants are designated Alternate Control Officers. 7-4 NOSCINST 5500.1A 22 August 1988 EXCEPTION: Documents containing both Sensitive Compartmented Information (SCI) and Critical Nuclear Weapons Design Information (CNWDI) will be con- trolled by the Special Security Officer (SSO), Code 172. b. Investigative Requirements (1) A background investigation is required for access to Top Secret Restricted Data or Formerly Restricted Data. In addition, a special briefing by the Control Officer or alternate is required before access to Top Secret CNWDI. (2) A National Agency Check and written inquiries for civilian employ- ees or a National Agency Check for military personnel is required for access to Secret or Confidential Restricted Data or Formerly Restricted Data. A special briefing by the Control Officer or alternate is also required before access to Secret CNWDI. NOTE: Reference (u) requires that records be maintained of CNWDI briefings and access authorizations, as well as debriefings upon termination of access. CNWDI Briefing and Debriefing Certificates (form NOSC-SD 5510/6), signed by each individual authorized CNWDI access, will be maintained by the Control Officer for 1 year after termination of access, per reference (u). c. Special Markings (1) All classified documents or other material generated containing Restricted Data or Formerly Restricted Data will be marked on the front cover and title page of a bound document and the front page of an unbound document as follows: "RESTRICTED DATA This material contains Restricted Data as defined in the Atomic Energy Act of 1954. Unauthorized disclosure subject to administrative and criminal sanctions." Each paragraph containing such information shall be marked with "RD" in paren- theses after the classification marking. (2) Except when the Restricted Data notice is used, information or material containing Formerly Restricted Data will be marked conspicuously on the front or first page of any document as follows: "FORMERLY RESTRICTED DATA Unauthorized disclosure subject to administrative and criminal sanctions. Handle as Restricted Data in for- eign dissemination. Section 144.b, Atomic Energy Act, 1954." Each paragraph containing such information shall be marked with "FRD" in parentheses after the classification marking. (3) Each document which contains CNWDI shall be clearly marked on the front cover and title page of a bound document or on the first page of an unbound document as follows: 7-5 NOSCINST 5500.1A 22 August 1988 "Critical Nuclear Weapons Design Information - SECNAVINST 5510.28 applies." Each paragraph containing such information shall be marked with an "N" in parentheses after the classification marking. d. Requests for Documents (1) RD and FRD Documents (a) Documents in Custody of DOD Activities. Access by NOSC employees to Secret or Confidential documents containing Restricted Data (RD) or Formerly Restricted Data (FRD) which are in the custody of NOSC or other DOD activities may be obtained by verification of appropriate clearance. Contractors who need access must have a final Secret clearance issued by the Defense Industrial Security Clearance Office (DISCO) and the contractor's facility must be approved for CNWDI access. (b) Documents in Custody of the Department of Energy (DOE) or Its Contractors. Requests for access to Secret and Confidential documents in the custody of the DOE or its contractors may be made direct to the holder of the documents provided a mail channel (personnel designated by the Commander, NOSC, and approved by DOE to receive classified material from the DOE or its contractors) has been established between NOSC and the holder's activity. Upon determination that a mail channel is required, the code needing the chan- nel will prepare a Request for Visit or Access Approval, DOE F5631.20, desig- nating Code 152 as recipient of all mail received under this channel and indicating who will use the documents. This form must be signed by Code 152 as designated representative of the Command. In the absence of Code 152, the form must be signed by Code 15. (2) CNWDI Documents (a) Requests for Secret documents containing CNWDI originated by another activity shall be submitted to the Control Officer who will prepare an official request. Each request must include the complete subject or title, the classification of subject or title if standing alone, level of classifica- tion, name of originator, a statement regarding the requester's need-to-know, and a statement that the requester has been certified to DOE to have access to CNWDI. DOE regulations require these letters be signed by the Commander, NOSC, or his designated representative, Code 152 or 15. If subject or title is classified, the request must be appropriately classified. (b) Written requests for NOSC-originated documents containing CNWDI should also be directed to the Control Officer. The request should contain the complete subject or title, the classification of the subject or title when standing alone, the originator, and the date of the document. The Control Officer will determine need-to-know by discussion with the project manager and brief the individual regarding special handling procedures for these documents before transferring custody. 7-6 NOSCINST 5500.1A 22 August 1988 e. Transmission (1) Secret and Confidential RD and FRD documents will be received in the same manner as other documents of the same classification. Secret CNWDI documents are received via U.S. Registered Mail. (2) Transmission of CNWDI documents within a NOSC facility will be controlled as other material of the same classification. RD or FRD documents may be transmitted in the same manner as other documents of the same classifi- cation. (3) Secret CNWDI documents to be transmitted off-Center or to another NOSC facility will be prepared for transmission by the CMCC and sent via U.S. Registered Mail. RD or FRD documents will be handled in the same manner as any other documents of the same classification. f. Control and Accounting. RD and FRD documents will be controlled and accounted for in the same manner as other documents of the same classifica- tion. g. Reproduction. RD and FRD documents may be reproduced in accordance with chapter 6 of this manual. h. Stowage (1) RD and FRD documents may be stowed as outlined in chapter 6 of this manual. (2) Secret CNWDI documents may be stowed in the same type of container as other Secret documents; however, they must be filed separately from other documents. The file folder or divider must clearly indicate that CNWDI infor- mation is contained in the folder or behind the divider. Access to the con- tainer must be limited to the custodian of the CNWDI documents and not more than two alternates, each of whom has CNWDI clearance. The combinations for these containers must be on file with the Control Officer or alternate. Com- binations must be changed annually and when personnel or access conditions change. i. Destruction. RD and FRD documents shall be destroyed as outlined in chapter 6 of this manual. j. Dissemination (1) Dissemination of RD and FRD. Dissemination of publications, cor- respondence, movies, slides, and other documentary media pertaining to RD or FRD will be made strictly on a need-to-know basis to other Department of Defense agencies or their contractors. (2) Dissemination of CNWDI (a) The appropriate NOSC project manager must advise the Control Officer which NOSC personnel will require access to CNWDI documents on each project which involves such information. The Control Officer or alternate 7-7 NOSCINST 5500.1A 22 August 1988 will brief personnel regarding the special procedures for handling these docu- ments. Lists of personnel who are authorized access to CNWDI on each project will be prepared quarterly by Code 152 and distributed to persons whose names appear on the lists. The lists will be classified Confidential. (b) Dissemination of CNWDI information to anyone not on the clear- ance roster must be approved in advance by the Control Officer or alternate. k. Meetings Held at NOSC (1) Meetings in which Secret or Confidential RD or FRD will be dis- cussed may be held in the same manner as meetings in which other types of Secret and Confidential information will be discussed. (2) Persons planning to hold a meeting at NOSC during which Top Secret RD or FRD, or Top Secret or Secret CNWDI information will be discussed should provide adequate advance written notice to the Control Officer with copies to Codes 02, 03, 0321, 09, 17, 15, 154, and 151. The memorandum should indicate the proposed location and date of the meeting and an unclassified resume of items to be discussed. A list of proposed attendees and the activities they represent should also be provided to Codes 151 and 0321 at least 10 workdays before the meeting. The memorandum should indicate whether any electronic equipment (i.e., microphones, recording devices, etc.) will be needed for use during the meeting. If Code 0321 receives a request to hold a meeting involving discussion of the above types of material at NOSC, Code 0321 is responsible for notifying the codes listed above and providing the required information. (3) The Security Manager, Code 152, in coordination with Code 154, must inspect each proposed location and approve its use for CNWDI discussions. A 60-calendar-day lead-time is required so that Code 153 may arrange for the services of a Technical Surveillance Countermeasures (TSCM) team who must come from off-Center to assist with appropriate site inspection. (4) Codes 151 and 152 will verify that proposed attendees have the appropriate level of clearance and have been briefed for access to CNWDI when CNWDI access is required. 8. Safeguarding and Controlling Dissemination of Single Integrated Opera- tional Plan - Extremely Sensitive Information (SIOP-ESI) Documents. Code 152 is designated Control Officer for SIOP-ESI documents for all Center facili- ties. In the absence of the Control Officer, the SIOP-ESI Control Assistant, Code 152, will control these documents. Requirements for SIOP-ESI will be handled per reference (e) (OPNAVINST S5511.35J). 7-8 NOSCINST 5500.1A 22 August 1988 CHAPTER 8 SPECIAL HANDLING PROCEDURES FOR CLASSIFIED MESSAGES 1. Scope. This chapter establishes special control procedures for handling classified messages per reference (a) (OPNAVINST 5510.1G). 2. Confidential Messages a. Originated at NOSC. Messages must be prepared on a Joint Message Form (DD Form 173) following procedures outlined in NTP-3, Naval Telecommunications Procedures, U.S. Navy Plain Language Address Directory. A Confidential Cover Sheet, SF-705, must be placed on each copy of the message by the originating office. The Confidential Material Route Sheet, form 11ND NOSC 5511/11, must be placed BETWEEN the cover sheet and copy of the message. Each message must be released by appropriate personnel who have release authority, as designated in reference (aa) (NOSCINST 2300.2B), before handcarrying the message to the Message Center, Code 131. b. Incoming to NOSC. The Message Center will duplicate incoming messages on green paper for distribution of copies. NOTE: The Confidential Cover Sheet, SF-705, will be placed on TOP of the Confidential Material Route Sheet, form 11ND NOSC 5511/11 at all times. 3. Secret Messages. To provide the faster handling required for messages, Secret messages prepared at or received by NOSC will be handled as working papers (as defined in appendix F) and will not be given an accountability number unless they are retained longer than 6 months. However, these messages are accountable documents and will be accounted for by the date/time group until they are either destroyed or given an accountability number and there- after handled in the same manner as any other Secret document. a. Upon receipt of an incoming Secret message, the Message Center will record the message on a log sheet showing the date/time group, the originator, the addressee, and the copy number (e.g., "copy ___ of ___ copies"). NOTE: The Secret Cover Sheet, SF-704, will be placed over the Secret Routing Sheet, form NOSC-SD 5511/68. b. Secret messages will be delivered only to designated delivery points (DDP's) and the signatures of the DDP's obtained on the log sheet. c. The DDP's shall record all incoming Secret messages by the date/time group, originator, addressee, and copy number(s). When the message is deliv- ered to the individual holder, the holder must sign for it. Thereafter, the holder is responsible for the message until a decision is made to destroy it or to retain it longer than 180 days and enter it into the accountability number system. d. In either case, the holder should return the message to the DDP, advising the DDP which action is to be taken. 8-1 NOSCINST 5500.1A 22 August 1988 e. If the decision is to destroy the message, the DDP shall prepare the Secret Material Destruction Record, form NOSC-SD 5511/18, and handcarry the destruction record and the message to the Message Center. f. If the decision is to retain the message beyond 180 days, the DDP should deliver the message to the Message Center or give it to the Message Center messenger. In either case, the Message Center representative must sign the DDP record to relieve the DDP of responsibility for the message. There- after, the message will be entered in the accountability records and handled per chapter 6 of this manual in the same manner as any other Secret document. 4. Top Secret Messages. The Top Secret Control Officer (TSCO) is responsible for the control, handling, and dissemination of all incoming or outgoing Top Secret messages. The TSCO (or, in his absence, the Chief Staff Officer or Commander, NOSC) should be consulted if a Top Secret message must be picked up or sent. 8-2 NOSCINST 5500.1A 22 August 1988 CHAPTER 9 SECURITY VIOLATIONS 1. Scope. A security violation occurs when classified information or equip- ment is lost, stolen, disclosed to unauthorized persons, or subjected to pos- sible compromise, or when safeguarding regulations for these materials are violated whether or not actual loss or compromise occurs. Compromise and other security violations are defined in references (a) and (c), OPNAVINST 5510.1G and SPAWARINST 5510.3G. 2. Responsibilities. The following sequence of events and personnel are involved in reporting, investigating, processing, and adjudicating security violations: a. Reporting. Any person knowing of the loss or compromise or unauthor- ized disclosure of classified material or equipment or other security viola- tion (deliberate or inadvertent) shall immediately report it to either the Physical Security Group, Code 154, or the Security Manager, Code 152. A Code 15 representative will determine whether or not to issue an Unsecured Classi- fied Material (NOSC-SD 5500/7) report and, if issued, forward it to Code 152. b. Processing. The Security Manager, Code 152, will issue a Security Violation Report (NOSC-SD 5510/2) to the division involved via the department. The Unsecured Classified Material report will be attached, and a 7-day report- back period will begin. c. Investigating. The division head will assign the investigation to the immediate supervisor in the area where the violation occurred. The investi- gator will: (1) Determine what events occurred causing the violation. (2) Determine whether classified information was compromised or not. (3) Determine who was responsible for the violation. (4) Report findings and make recommendation for discipline when required. In recommending discipline, the investigator should weigh the fol- lowing factors: (a) Classification and amount of material involved. (b) Past record of individual. (c) Previous record of security violations. (d) Any extenuating circumstances that may be involved. (e) Security guidance provided and available. (f) Whether the violation was the result of willful disregard of security regulations. 9-1 NOSCINST 5500.1A 22 August 1988 The investigator's findings and recommendations will be sent to the division head who will complete Section 2 and send the Security Violation Report to Code 152. d. Adjudicating. Code 152 will complete the Security Violation Report and send copies to Codes 02, 03, 15, and the department involved; making entries in the 2-year reckoning log, as needed; and prepare Letters of Caution or Reprimand in conjunction with the Employee/Labor Relations Office, Code 144, when required. Where an investigation fails to determine the party or parties at fault, the Security Manager, Code 152, reserves the right to assign the violation. 3. Disciplinary Action. The supervisor will determine what disciplinary action will be taken when a violation has been found. Either informal or formal disciplinary action, commensurate with the seriousness of the viola- tion, will be taken. a. Civilian (1) Informal. Issued by immediate supervisor. (a) Oral admonition. (b) Letter of caution. Informal discipline is not made a matter of record in the individual's person- nel folder. (2) Formal. In the case of a second or subsequent violation during the 2-year reckoning period, the following disciplinary actions may be taken: (a) Letter of reprimand - issued by division head. (b) Suspension (up to 10 workdays) - issued by department head. (c) Removal - issued by the Commander, NOSC. Reference (bb), NOSCINST 12752.1A, provides a formal schedule of penalties for infractions. b. Military. See Manual for Courts Martial. 4. Assistance and Training. The Security Manager will lend assistance and guidance, as needed, during the investigation and processing of the Security Violation Report. Supervisors should be aware that a security violation offers a positive side in that it may be used in staff meetings for all hands to discuss ways to improve security awareness and safeguarding procedures. CHAPTER 4 FOREIGN DISCLOSURE 1. Policies a. Per reference (f) (OPNAVINST 5510.48J), general policy on release of U.S. Navy information to foreign governments and international organizations is stated as follows: "It is the policy of the United States Government to treat classified military information as a national security asset which must be conserved and protected, and which may be shared with foreign entities only where there is a clearly defined advantage to the United States." Reference (f) also states: "It is the policy of the Department of the Navy to release military information to foreign requesters only on a government-to-government basis." Even unclassified military information may not be released except on a government-to-government basis, except reports which are available in a public source, such as the National Technical Information Service, may be purchased by anyone including foreign nationals. b. To ensure proper coordination and control of foreign disclosure within the Department of the Navy, authority for the disclosure of classified infor- mation has been centralized in the Chief of Naval Operations (CNO) (OP-622). Therefore, no command, office, or agency within the naval establishment will disclose or direct disclosure of classified U.S. Navy information except as approved or authorized by CNO (OP-622) or by CNO's delegated disclosure authority, as shown in part III of reference (f). (1) Classified information originated by other U.S. Government agen- cies or service departments may be disclosed only if the approval of appropri- ate authority in the agency or service concerned has been received by CNO (OP- 622). (2) In addition, certain restrictions are placed on release of unclas- sified information which contains critical technology as defined in appendix F. c. The Foreign Disclosure Review Officer, Code 152, shall be the initial point of contact with higher authority for all foreign disclosure matters at NOSC. d. NOSC military or civilian personnel who become aware of any type of situation which involves disclosure of U.S. military information to foreign nationals shall coordinate the matter with Code 152. 2. Foreign Requests for Classified Documents a. Official Requests (i.e., requests received from a foreign embassy via the CNO (OP-622) or the Space and Naval Warfare Systems Command (COMSPAWARSYS COM) (SPAWAR 003-43) (1) Foreign nationals desiring U.S. Navy classified information should be advised to submit their request to their country's embassy in Washington, DC. 9-2 NOSCINST 5500.1A 22 August 1988 (2) The embassy should submit an official request to CNO (OP-622). (3) CNO will forward the request to COMSPAWARSYSCOM (SPAWAR 003-43) who will send it to NOSC requesting a copy of the material and recommendations regarding its release. (4) The Mail Room Branch, Code 131, will send the SPAWAR request to Code 152 for an appropriate reply and a copy of the request to the Intelli- gence Office, Code 17. (5) Code 152 will send a memorandum to the code which originated the material, requesting a copy of the document(s) and completion of a draft of the Foreign Release Case Sheet received with the SPAWAR letter. NOTE: The SPAWAR letter establishes a due date for the NOSC reply, and prompt response is required. (6) Upon receipt of the code's reply, Code 152 will prepare a reply recommending release of the material or denial of the request and providing the rationale for this recommendation based on input from the originating code. A copy of the reply will be sent to Code 17 and to the originating technical code by Code 152. (7) SPAWAR will endorse the NOSC reply and send it to CNO who will either release the document or advise the embassy that the request is denied. b. Unofficial Requests (i.e., requests from foreign private firms, indi- viduals, educational institutions, etc., which are not forwarded via Gov- ernment channels). Any employee who receives an unofficial request for a classified document should send the original request to Code 152. Code 152 will normally return the request to the originator, advising that the request should be submitted through diplomatic channels. 3. Foreign Requests for Unclassified Documents a. Official Requests. Official requests for unclassified documents will be handled in the same manner as official requests for classified documents. (See paragraph 2a above.) b. Unofficial Requests (1) Requests originated by foreign nationals, educational or research institutions, commercial firms, etc., for unclassified NOSC technical docu- ments, technical reports, technical notes, or other official Center publica- tions will be sent by Code 131 to the Foreign Disclosure Review Officer, Code 152, for disposition. NOTE: Individuals who receive personally addressed mail from foreign sources requesting such publications shall refer the request to Code 152 for action. (2) Code 152 will prepare a reply advising the requester to submit the request through diplomatic channels to the country's embassy in Washington, DC, or, if appropriate, to a public source such as the Library of Congress, 9-3 NOSCINST 5500.1A 22 August 1988 the National Technical Information Service, or the Government Printing Office. A copy of this reply will be sent to the author of the report(s); the Composi- tion Section, Code 9613; and Code 17. (3) Requests from foreign unofficial sources for unclassified journal reprints may be responded to directly by the author or may be sent with a copy of the reprint to the Public Affairs Office, Code 032, for disposition. For record purposes, Code 152 must be provided with a copy of both the request and the reply. This policy covers any unclassified professional paper or presen- tation that has been published in a trade or professional journal or the pro- ceedings of a professional meeting and that is clearly in the public domain. If reprints are not available, the requester should be given the name and address of the publisher of the journal in which the article first appeared. (4) EXCEPTION: All requests for information from foreign nationals in Communist-bloc countries will be forwarded to Code 152 who, in conjunction with Code 17, will determine disposition. NOTE: Copies of replies will be given to the authors, Code 9613, and Code 17 in each case. 4. Official Visits to NOSC by Foreign Nationals a. When a foreign national proposes to make an official visit to NOSC for the purpose of discussing U.S. military information, classified or unclassi- fied, the country's embassy in Washington, DC, will make an official (govern- ment-to-government) request to the Chief of Naval Operations or the project officer for a specific Information Exchange Project (IEP), Mutual Weapons Development Data Exchange Agreement (MWDDEA), or Memorandum of Understand- ing/Agreement (MOU/MOA). If a request is received directly from a foreign national, the request should be referred to Code 152, (or Security/Safety Office - Hawaii, Code 0059, for Hawaii visits) so that the requester may be advised to submit the request through official channels from government-to- government. b. Each official request for a visit by a foreign national will be coor- dinated with technical personnel by Code 152 so that a timely reply may be sent to CNO (OP-622), via COMSPAWARSYSCOM (SPAWAR 003-43). Each request will be reviewed to determine whether: (1) The proposed subject matter is available at NOSC. (2) The date and length of time requested for the visit is acceptable from the standpoint of availability of personnel to host the visitor. (3) Sufficient information at any appropriate security classification level approved for release to foreign nationals by CNO or the project officer is available to warrant a visit and a disclosure authorization. NOTE: The Center may place specific time restrictions upon the visit request based upon availability of time, information, and personnel. c. Appropriate disclosure authorization containing security classifica- tion level, guidelines, and restrictions is issued for each visit request approved by CNO or the project officer. Visit authority is only for oral and 9-4 NOSCINST 5500.1A 22 August 1988 visual information. No documentary information may be given to the visitor during the visit unless specifically approved by CNO in writing. Code 152 will coordinate this information with the prospective host and with personnel who will brief the visitor at NOSC. Code 152 will review the proposed program to assure that all security requirements are met. In the case of visits under the auspices of an exchange agreement, Code 152 (or Code 0059 in Hawaii) will make arrangements for the prospective host to be familiarized with the agree- ment at the time that the reply is prepared for CNO. d. Upon receipt of approval of the visit, Code 152 will provide to the host a copy of the disclosure authorization or the exchange agreement, as appropriate. The host will ensure that all personnel who brief the visitor read this before the briefing. e. When the visitor arrives, Code 151 (Visit Control/Badge and Decal Group, Topside or Bayside) (or Code 0059 if the request is to Hawaii) will issue a special badge showing the visitor's name and replica of the country's flag. A cleared NOSC escort must be provided by the host for the visit. 5. Foreign Nationals Visiting NOSC Unofficially a. When a foreign national submits a request directly to NOSC to visit the Center, it must be considered an unofficial visit. When such a request is received, the recipient shall immediately notify Code 152 by submitting form NOSC-SD 5050/23, Unofficial Foreign Visit Request, with a copy of the visit request. If the visit is to the Hawaii Laboratory, Code 0059, must be advised. Foreign nationals desiring to make official unclassified visits should be requested to submit their request through official channels (govern- ment-to-government) as outlined in paragraph 4 above. NOTE: All personnel are reminded that only unclassified information about the Center's work, which has been approved for public release, may be discussed with these visitors. b. Foreign national visitors must be continuously escorted by a cleared NOSC employee. c. Visit authority is only for oral and visual information. No documen- tary information may be given to the visitor during the visit. 6. Foreign Nationals Attending Meetings Hosted by NOSC. This paragraph con- tains only the special procedures necessary when foreign nationals will attend a meeting sponsored by NOSC. a. Reference (a) (OPNAVINST 5510.1G) states that representatives or nationals of Communist-controlled countries will not be authorized to attend meetings conducted or sponsored by Department of the Navy activities where disclosure of classified information is involved. Furthermore, they shall not be allowed to attend any unclassified sessions of such meetings unless specif- ically and individually approved in writing, by name, by the Secretary of the Navy. Foreign nationals other than representatives of Communist-bloc coun- tries may be allowed to attend classified meetings if attendance is consistent with National Disclosure Policy and they have been specifically authorized in 9-5 NOSCINST 5500.1A 22 August 1988 writing by CNO. They may be invited to unclassified sessions of classified meetings without CNO authorization if access to the classified information can be effectively protected. A foreign national shall not be invited to attend any sessions at which critical technology is to be discussed unless the criti- cal technology has been specifically determined to be exportable to the for- eign government of the attendee. b. Before inviting a foreign national to attend a classified meeting, disclosure authority must be obtained from CNO (OP-622). Upon request from the host for the proposed meeting, Code 152 will request disclosure authority from CNO. Approximately 60 days is required to obtain this authority. If the meeting is unclassified, CNO disclosure authority is not required; however, Code 152 must be notified of proposed attendance of foreign nationals. c. Code 152 must review the security procedures established for the meet- ing to ensure that adequate controls have been established and that escort will be provided for the foreign nationals by the host. d. CNO disclosure authority involves only oral or visual information. No documents may be given to a foreign national while attending a meeting unless CNO has specifically authorized release of the document(s), in writing, before the meeting. 7. Presentations at Meetings Attended by Foreign Nationals a. Classified Information. Release of classified information during presentations at meetings where foreign nationals will be present requires the approval of CNO (OP-622). At least 60 days (preferably 90 days) are required to obtain CNO approval. Therefore, when a NOSC employee plans to make a pre- sentation involving classified information, the complete speech and the abstract shall be prepared as far ahead of time as possible. The material shall be forwarded, with one copy of form NOSC-SD 5605/12, Routing and Approval - NOSC Publications, through the departmental review chain to Code 17 and the Foreign Disclosure Review Officer, Code 152, for review and transmis- sion to CNO via COMSPAWARSYSCOM to request disclosure authority. The form must show the name, date, and location of the meeting where the presentation will be made, and must also indicate which foreign countries will be repre- sented at the meeting. A copy of the invitation to present the material and any other pertinent information about the release should be sent with the form through the review channel. The author will be advised when disclosure authority is received from CNO. b. Unclassified Information. Reference (g) (NOSCINST 5720.2A) outlines the procedures for release of unclassified information to be presented at meetings. If foreign disclosure is involved, the material must be routed to Code 152 for review in addition to the codes shown on form NOSC-SD 5605/12, Routing and Approval - NOSC Publications. In most instances, unclassified information may be released by this Command; however, based on information contained in reference (h) (OPNAVINST 5513 series), some unclassified informa- tion requires approval of Washington sponsors for any release outside DOD. Therefore, long lead-times should be provided whenever possible to allow for release at the Washington level when required. 9-6 NOSCINST 5500.1A 22 August 1988 8. Articles to be Published in Scientific Journals. Publication of an arti- cle in a scientific journal is tantamount to foreign disclosure. Therefore, the procedures outlined in paragraph 7b above shall be followed. 9. Travel Outside Continental United States (CONUS) by NOSC Employees. Refer to reference (i) (NOSCINST 4650.2A) for procedures to be followed in process- ing foreign travel requests. In addition, the following information on secu- rity requirements for such travel applies. NOTE: Travel clearance messages are prepared by the traveler's code when traveler is going to Hawaii, Alaska, Guam, Midway Island, Puerto Rico, Virgin Islands, or U.S. ships within those areas. Sample messages are provided in exhibits A through G, pages 4-11 through 4-26. a. Procedures for Foreign Travel. Requests for travel outside CONUS require a minimum of 30 days advance notice to the country being visited plus 3 workdays for internal preparation, review, and release. If diplomatic clearance is required and/or if classified information will be discussed with foreign nationals, not less than 60 days lead-time is necessary; 90 days or more is preferable. Requests will be processed as follows: (1) Travel and Country Clearances or Visit Notification. (See appen- dix F for definitions of these clearances.) The traveler shall prepare a Request for Foreign Travel, form NOSC-SD 4650/36 (exhibit H), send it to the Employee Clearance Section of Code 152 via the appropriate branch, division, and department head; the Head, Information and Personnel Security Group, Code 152; and Commander, NOSC, Code 00, for approval and signature. The traveler is responsible for forwarding a copy of the Notice of Foreign Travel to Code 17. (a) If ships' names or numbers are shown, form NOSC-SD 4650/36 must be classified Confidential. Indicate the form is "Classified by: OPNAV INST 4650.11E" if naming the ship is the only reason the form is classified, then show a declassification date of one month after completion of the visit. If the form would be classified for other reasons, regardless of whether the ship was named or not, indicate the other appropriate authority for classifi- cation on the "Classified by:" line, and show the appropriate date required by that authority. The code will not list ships' names or numbers in the outgo- ing message unless such information is essential to provide sufficient infor- mation regarding the travel. The traveler should, whenever possible, indicate if such information is essential. (b) When NOSC personnel plan to travel to foreign countries to discuss U.S. Navy classified information with representatives of foreign gov- ernments or their contractors, Code 152 must be advised as early as possible (and not later than 60 days before travel begins). CNO requires 30 days after receipt for review of the information. Therefore, it is preferable to have 60 days for obtaining disclosure authority and an additional 30 days for request- ing the travel clearance, since the travel clearance cannot be requested until disclosure authority has been received. (2) Review of Message. After receipt of approved form NOSC-SD 4650/36, Code 152 will prepare a travel or country clearance request or visit 9-7 NOSCINST 5500.1A 22 August 1988 notification message and send it to the appropriate department head for release. When the message has been released, the requesting code is respon- sible for handcarrying the message to the Message Center for transmission. (3) Modification. Whenever a change is made which affects the infor- mation previously submitted in a travel or country clearance message, a modi- fication must be made to the original message. The modification message is prepared by the traveler's code and processed through the same review approval chain as the original message, except that Code 152 need not review the new message unless there is clearance information being passed. Code 152 and all other internal codes which received the original message must receive a copy of all modification messages for record purposes. (4) Diplomatic Clearance/Foreign Travel Briefing. Code 152 will request diplomatic clearance when required by reference (j) (OPNAVINST 4650.11E). Code 152 will provide the foreign travel briefing required by ref- erence (a). Code 0059 will brief Hawaii personnel. NOTE: Travel and country clearance or visit notification is not required when the traveler will be in port solely as a member of a ship's crew and will not leave the ship, nor when the traveler is going via commercial air and will not leave the aircraft. (5) NAVFAC Visits. If the travel is to Commander, Oceanographic Sys- tems Pacific (COMOCEANSYSPAC/COSP), any U.S. Naval Facility (NAVFAC), or any U.S. Naval Oceanographic Processing Facility (NOPF), in a foreign country (including Alaska, Guam, Hawaii and Midway Island) under the jurisdiction of COMOCEANSYSPAC or Commander, Oceanographic Systems Atlantic (COMOCEANSYSLANT/ COSL), the traveler must coordinate the proposed visit with the Surveillance Systems Engineering Division, Code 72. Need-to-know certification by COMSPA WARSYSCOM (PMW-180) is necessary on all NAVFAC visits. Requests should be submitted to Code 72 on NAVFAC Visit Request, form NOSC-SD 5512/25. The Request for Foreign Travel (NOSC-SD 4650/36) is not needed. The NAVFAC Visit Request should be approved by the project manager, branch head, division head, department head, and Code 00 before reaching Code 72 for preparation of the travel/visit request message. The travel/visit request will be prepared per OPNAVINST 4650.11E (figures 4-a, 4-b, 4-c, and 4-d apply). When applicable, the travel clearance request and the NAVFAC visit request should be incorpo- rated into a single message (i.e., PACSOSUS). If conditions do not permit a single message, the travel clearance request will precede the NAVFAC visit request. A response from the travel clearance request is not needed before sending the NAVFAC visit request. However, a favorable response to the travel clearance request is required before travel starts. To insure compliance with advance notice requirements, provide requests to Code 72 as follows: COSP - Monday of week before visit; COSL - Monday 2 weeks before visit; foreign travel - 30 days before visit; the NAVFAC Visit Request, form NOSC-SD 5512/25 must be received by Code 72 on the Wednesday preceding the appropriate Monday. See chapter 16 of this manual for instructions concerning visits within CONUS. b. Trip Reports. Per reference (k) (OPNAVINST S3820.16B), if the trav- eler visits a foreign country and has contacts with foreign nationals, or if the traveler attends an international meeting including those held in CONUS, it is required that the traveler submit a written trip report to the cognizant department or technical staff office head, with a copy to Code 17, within 5 9-8 NOSCINST 5500.1A 22 August 1988 days after returning to NOSC. The trip report must be classified if the information it contains warrants classification. Code 17 will provide guid- ance to the traveler regarding the content of this report. c. General Information for Foreign Travelers (1) Classified material normally may not be handcarried on commercial aircraft outside the continental U.S. except on flights between continental U.S. and Hawaii, Alaska, U.S. Territories (see appendix F, Definitions), and Canada. It may be transmitted via FPO or APO registered mail aboard military aircraft, commercial cargo aircraft, U.S. chartered aircraft, or U.S. surface transportation. Exception: In cases of extreme emergency, the traveler's department head may submit a memorandum to Code 152 requesting permission for the traveler to handcarry classified material on commercial aircraft outside the above-specified area. The memorandum must contain the name, rank or grade, and clearance status of the traveler; flight numbers and times; stop- overs; a general description of the material to be carried; and the reason the material cannot be transmitted by another means. Code 152 will request approval for the exception from CNO (OP-009D). The memorandum must be received by Code 152 not less than 15 days before travel starts. (2) During visits, travelers must not offer to subsequently furnish any documentary information whatsoever, classified or unclassified, to a for- eign government. Information or documents which an activity wishes to have considered for release to a foreign government shall not be offered to that government until such release has been approved by the Space and Naval Warfare Systems Command and the Chief of Naval Operations. (3) Travelers should not invite foreign nationals to visit this Center while traveling in foreign countries. Such invitations may only be extended by a project officer of an exchange project or the Chief of Naval Operations. 10. Information Exchange Program a. IEP/MWDDEA/MOU/MOA Disclosure Authority. Information may be exchanged with participating governments subject to the scope and classification set forth in each Mutual Weapons Development Data Exchange Agreement (MWDDEA), Memorandum of Understanding/Agreement (MOU/MOA), or Information Exchange Proj- ect (IEP). U.S. project officers are designated for each agreement and are responsible for monitoring and controlling the activity under their respective projects. Within the scope and classification of their projects, U.S. project officers may approve visits of U.S. participants to foreign participating activities. Additionally, U.S. project officers may release documentary information and exchange classified correspondence with foreign participants concerning their respective projects. This authority may not be delegated to other U.S. participants. Requests for disclosure of classified information falling within the scope of such an agreement or program will be sent to Code 152, who will request comments and recommendations from the originating tech- nical code regarding release of the information to the foreign government. Based on these recommendations, Code 152 will prepare a reply to the request and forward the correspondence and a copy of the material to the U.S. project officer of the exchange project. A copy of the request and the reply trans- mitting the information will be furnished to the cognizant technical code. 9-9 NOSCINST 5500.1A 22 August 1988 b. TTCP Disclosure Authority. All requests for oral/visual/documentary disclosure of classified U.S. Navy material through The Technical Cooperation Program (TTCP) subgroups or panels must be submitted to CNO (OP-622) by Code 152 for approval sufficiently in advance of scheduled meetings to permit required review (at least 90 workdays). c. Availability of Copies of Agreements. Code 131 holds copies of all IEP's, MWDDEA's, and other types of agreements in which NOSC is a participant. Copies are available upon request. 11. Personnel Exchange Program (PEP) and Exchange Scientists Program a. Incoming correspondence about a proposed assignment of a foreign PEP officer or foreign exchange scientist to NOSC will be routed by Code 131 to the technical code to which the officer or scientist will be assigned if the proposal is approved by CNO. The proposed technical host should prepare the replies for review by Codes 14, 17, 152, 15, 09, 02, and 03 and signature by Code 00. Resumes of telephone calls about the assignment should also be given to these codes. The technical code will coordinate the proposed assignment with the sponsor of the assignment. Code 152 will monitor the security aspects of all actions on the assignment and advise the code as necessary. b. Upon approval of assignment, COMSPAWARSYSCOM will forward a case sheet to the Center requesting information about the assignment and proposed methods of controlling the foreign national's access to NOSC areas and information. Code 152 will respond to this request. Information copies of this reply will be given to the codes listed in paragraph 11a above. c. Code 152 will ensure that the technical host and all assigned person- nel read the pertinent portions of relevant directives and the disclosure authorization when it is received from CNO (OP-622). d. Foreign PEP officers and exchange scientists assigned to NOSC are authorized access only to information specifically included in the CNO disclo- sure authorization and, therefore, are not permitted to visit the NOSC Techni- cal Libraries. If information in the libraries is needed for the work being done, the technical host must obtain the material from the libraries and the officer or scientist may use the material in the assigned work area. They may not attend technical briefings held at NOSC. They may not visit posted restricted areas within NOSC, and the host must obtain special authority from the Center ADP Security Officer, Code 153, before they use any computer termi- nal or enter any area containing computer equipment. Such approval will be given only in exceptional circumstances. 12. Foreign Military Sales/Export Cases a. Incoming correspondence concerning foreign military sales (FMS) or export cases will be routed by Code 131 to the cognizant technical code for action, with information copies to the appropriate department head and Codes 02, 03, 09, 17, and 152. b. The cognizant technical code will prepare the reply and route the outgoing correspondence to the above codes for review and initials before 9-10 NOSCINST 5500.1A 22 August 1988 transmission, except that unclassified FMS correspondence may go directly to the Mail Room Branch, Code 131, and send copies to the codes listed in para- graph 12a above. In addition, replies to export cases must be routed to the Office of Legal Counsel, Code 001 (via the Legal Counsel for Patents, Code 0012), for review and initials before transmission. 13. Critical Technology Transfer. The transfer of critical technology to foreign governments is a matter of great concern to the U.S. Government. Incoming correspondence from foreign countries concerning critical technology will be routed by Code 131 to the cognizant technical code with copies to Code 152 and Code 17. The cognizant technical code will prepare a reply and route it via Codes 013, 17, 152, 15, 09, 02, and 03 for review and to Code 00 for signature. The Program Director for Research, Code 013, will review appropri- ate critical technology directives to ensure that the transfer of information is authorized. Code 152 will review foreign disclosure directives to ensure that the transfer conforms to those directives. 14. Contracts with Foreign Firms. The U.S. Government has recently completed Memorandums of Agreement with several foreign countries which permit foreign firms to bid on U.S. Government contracts and U.S. firms to bid on foreign governments' contracts. a. The cognizant technical code which desires to issue a contract will prepare a stub requisition and related paperwork per references (l) (NOSC TD 1038) and (m) (NOSCINST 4000.1D), and route the paperwork to Code 152 for preparation of a Contract Security Classification Specification, DD Form 254, if the contractor will require access to classified information to do the contract work. The entire package will then be routed to the Contracts Divi- sion, Code 21. A copy will be retained by Code 152 if the Request for Propos- al/Quotation/Bid will be submitted to any foreign firms. No contract can be issued until approval for the foreign disclosure has been received from appro- priate authority. b. Code 152 will advise the technical code and Code 21 of foreign disclo- sure approvals required before the contract can be issued to a foreign firm. Obtaining such disclosure approval will require a minimum of 90 days after Code 152 receives the paperwork initiating the Supply Department action. It is suggested that technical codes consult with Code 152 before starting the paperwork to determine what procedures must be followed to obtain approval for foreign disclosure. This is required whether or not classified information is involved. 9-11 NOSCINST 5500.1A 22 August 1988 CHAPTER 9 SECURITY VIOLATIONS 1. Scope. A security violation occurs when classified information or equip- ment is lost, stolen, disclosed to unauthorized persons, or subjected to pos- sible compromise, or when safeguarding regulations for these materials are violated whether or not actual loss or compromise occurs. Compromise and other security violations are defined in OPNAVINST 5510.1H and SPAWARINST 5510.3H. 2. Responsibilities. The following sequence of events and personnel are involved in reporting, investigating, processing, and adjudicating security violations: a. Reporting. Any person knowing of the loss or compromise or unauthor- ized disclosure of classified material or equipment or other security viola- tion (deliberate or inadvertent) shall immediately report it to either the Physical Security Group, Code 154, or the Security Manager, Code 152. A Code 15 representative will determine whether or not to issue an Unsecured Classi- fied Material (NOSC-SD 5500/7) report and, if issued, forward it to Code 152. b. Processing. The Security Manager, Code 152, will issue a Security Violation Report (NOSC-SD 5510/2) to the division involved via the department. The Unsecured Classified Material report will be attached, and a 7-day report- back period will begin. c. Investigating. The division head will assign the investigation to the immediate supervisor in the area where the violation occurred. The investi- gator will: (1) Determine what events occurred causing the violation. (2) Determine whether classified information was compromised or not. (3) Determine who was responsible for the violation. (4) Report findings and make recommendation for discipline when required. In recommending discipline, the investigator should weigh the fol- lowing factors: (a) Classification and amount of material involved. (b) Past record of individual. (c) Previous record of security violations. (d) Any extenuating circumstances that may be involved. (e) Security guidance provided and available. (f) Whether the violation was the result of willful disregard of security regulations. 9-12 NOSCINST 5500.1A 22 August 1988 The investigator's findings and recommendations will be sent to the division head who will complete Section 2 and send the Security Violation Report to Code 152. d. Adjudicating. Code 152 will complete the Security Violation Report and send copies to Codes 02, 03, 15, and the department involved; making entries in the 2-year reckoning log, as needed; and prepare Letters of Caution or Reprimand in conjunction with the Employee/Labor Relations Office, Code 144, when required. 3. Disciplinary Action a. Civilian. The supervisor will take appropriate disciplinary action following NOSCINST 12752.1A b. Military. See Manual for Courts Martial. 4. Assistance and Training. The Security Manager will lend assistance and guidance, as needed, during the investigation and processing of the Security Violation Report. Supervisors should be aware that a security violation offers a positive side in that it may be used in staff meetings for all hands to discuss ways to improve security awareness and safeguarding procedures. 9-13 NOSCINST 5500.1A 22 August 1988 CHAPTER 10 SECURITY REQUIREMENTS FOR PROCUREMENT ACTIONS 1. Scope. The Center is responsible for the protection and control of clas- sified information in the custody of or disclosed to private industry during a precontractual or contractual relationship. The first step for administering this protection and control is to give the contractor and Center personnel detailed guidance on classification, regrading, and declassification of the sensitive elements of information contained in or generated by classified contracts. Per reference (cc) (OPNAVINST 5540.8K, DOD Industrial Security Program), DD Form 254 shall be used to convey contractual security classifica- tion guidance to industrial management. This Contract Security Classification Specification (DD Form 254) is binding on both Center and contract personnel. 2. Responsibilities a. Department, Division, and Branch Heads. Department, division, and branch heads or equivalents are responsible for ensuring that contracting officer's technical representatives under their cognizance comply with requirements of this chapter. b. Contracting Officer's Technical Representatives (COTR's). COTR's are responsible for: (1) Determining which procurement actions will require a contractor to have access to, generate, reproduce, or manufacture classified material in connection with preparation of a bid or quotation, completion of a contract or delivery order under a GSA ordering agreement, and for preparing a Contract Security Classification Specification (DD Form 254). See paragraph 6 of this chapter for guidance in preparing the DD Form 254. (2) Advising the Contracting Officer's Representative for Security Matters or alternate, Code 152, when tasks or similar documents are received from a sponsor which do not include classification guidance and which will involve access to, receipt, and/or generation of classified data, software, or hardware. (3) Processing classified procurement requirements packages (PRP's) to the Contracting Officer's Representative for Security Matters or alternate for review, guidance, preparation, and signature of the completed DD Form 254. (4) Biennial review of the DD Form 254 to determine the currency and accuracy of the security classification guidelines and preparing a revised DD Form 254. The Contracting Officer's Representative for Security Matters or alternate will also be advised when changes are not required. (5) Furnishing a memorandum to the Contracting Officer's Representa- tive for Security Matters or alternate, notifying when the classified work on a contract has been completed and accepted; signing a Material Inspection and Receiving Report (DD Form 250); or signing the stub requisition when final delivery is accepted on a delivery order against a GSA ordering agreement. 10-1 NOSCINST 5500.1A 22 August 1988 c. Contracting Officer's Representative for Security Matters. The Con- tracting Officer's Representative for Security Matters or alternate is respon- sible for: (1) Reviewing and approving the Contract Security Classification Spe- cification (DD Form 254) for classified contracts. (2) Maintaining liaison with technical representatives and the Con- tracting Officer or authorized representative to ensure contractors have cur- rent source documents/classification guides for their contracts. (3) Establishing and maintaining liaison on contract security matters with the Defense Investigative Service (DIS) Director of Industrial Security Region and obtaining verification of facility clearance, storage safeguarding capability, and Commercial and Government Entity (CAGE) Code (formerly Federal Supply Code (FSC)) when required. (4) Administering and formulating responses to requests for retention and transferring accountability of classified information and classified con- tracts. (5) Obtaining security classification guidance from the sponsors when tasks or similar documents are received without such guidance. d. Supply Department. The Supply Department, Code 20, is responsible for: (1) Ensuring that a Contract Security Classification Specification (DD Form 254) is forwarded with each solicitation, contract, or purchase order if access to classified information is required by the contractor. (2) Obtaining verification of facility clearance, storage safeguarding capability, and Commercial and Government Entity (CAGE) Code of each bidder or contractor. 3. Contract Security Classification Specification (DD Form 254) a. Original DD Form 254 (1) Per reference (cc), an original DD Form 254 is required when a contractor 1) is physically present in an area where classified information is located even though the services are unclassified; 2) must have access to classified documents or other reference material; 3) will manufacture classi- fied hardware or equipment; 4) will receive and generate classified material; or 5) will process, splice, edit, etc., classified film or prepare other types of classified graphic art. (2) A DD Form 254 which specifies the highest level of classification involved, but does not provide detailed classification guidance, will be issued when: 10-2 NOSCINST 5500.1A 22 August 1988 (a) The total requirement of the contract is the performance of a service all of which takes place at the Center, and the technical representa- tive provides complete classification guidance for the contractor. In these cases, item 15 of the DD Form 254 will be annotated, "Naval Ocean Systems Center will furnish complete classification guidance for the service to be performed. The highest level of classification for the contract is (Top Secret, Secret, or Confidential). Contract performance is restricted to the Naval Ocean Systems Center (or other designated location)." Identify the location. (b) The contractor has no performance requirement involving actual knowledge, generation, or production of classified information, but has only a requirement to be physically present in an area where classified information is located, e.g., a contract calling for guard, alarm, alternate storage, or equipment maintenance services. In these cases, item 15 of the DD Form 254 will be annotated, "Actual knowledge, generation, or production of classified information NOT REQUIRED. This document serves as written notice of the let- ting of a classified service contract. The highest level of classification for the contract is (Top Secret, Secret, or Confidential)." (c) The contract requirement is limited to graphic arts reproduc- tion and the classification markings appear on the material to be reproduced. These classification markings constitute the required security classification specification. In these cases, item 15 of the DD Form 254 shall be annotated, "Reproduction service only. The highest level of classification for contract is (Top Secret, Secret, or Confidential). Classification markings on material to be reproduced specify the required security classification." (d) Where a contract involves research services requiring detailed classification guidance, but it is too early to determine these detailed requirements, item 15 of the DD Form 254 will be annotated, "This is a research contract. The highest level of classification for contract as a whole is (Top Secret, Secret, or Confidential). A revised DD Form 254 will be issued as soon as possible to provide detailed security classification guid- ance." b. Revised DD Form 254. A revised DD Form 254 shall be prepared when additional security classification guidance or a change in guidance is required. In addition, a revised form is required whenever a change in clas- sification is appropriate or material is declassified. c. Final DD Form 254. A final DD Form 254 shall be issued only upon final delivery of goods or services or termination of a contract when author- ity is granted for the contractor to retain classified material originated by the user agency or generated by the contractor in the performance of the con- tract. d. Review of DD Form 254. A review of each DD Form 254 is required bien- nially. If the COTR determines that a change is warranted, the Contracting Officer's Representative for Security Matters or alternate will send the revised DD Form 254 to the contractor. If no change is deemed appropriate by the COTR, the Contracting Officer's Representative for Security Matters or alternate will so advise the contractor in writing. 10-3 NOSCINST 5500.1A 22 August 1988 4. Procedures for Initiating Classified Procurement Action a. Contracting Officer's Technical Representatives. COTR's shall: (1) Make the determination that access to classified information will be required by the person and/or facility doing the work needed by the depart- ment. (2) Prepare a stub requisition containing a description of the work to be done and any other information or forms required by Code 20. (3) Prepare the DD Form 254. The complete package will be sent to the Supply Department, Code 20, for procurement action. b. Contracting Officer for Security Matters or Alternate. The Contract- ing Officer for Security Matters or alternate will: (1) Review and sign the DD Form 254 and return the form to the Supply Department, Code 20. (2) Verify the facility clearance and stowage safeguarding capability of each facility involved in a classified procurement action. c. Supply Department. The Supply Department, Code 20, will: (1) Determine the type of procurement action to be taken, i.e., request for bid, request for quotation, contract, or delivery order against a GSA ordering agreement. (2) Coordinate with Code 152. (3) Verify the facility clearance and stowage capability of each facility involved in a classified procurement action. (4) Initiate procurement action when such verification is received. (5) Forward one copy of each purchase order, contract, or delivery order, and the DD Form 254 to the Contracting Officer for Security Matters or alternate. 5. Special Situations a. GSA Basic Ordering Agreements, Open-End or Call-Type. Since GSA basic ordering agreements (BOA's) are only price agreements for certain types of services, such as graphic arts work, and contain no guidelines for security matters on work orders, a DD Form 254 must accompany the original BOA if it is anticipated that the contractor will require classified information on any orders placed with the firm for the duration of the BOA. No further DD Forms 254 are necessary and no annual review is required. The DD Form 254 accom- panying the BOA should cover the highest level of classified information required on any of the orders placed under the BOA. 10-4 NOSCINST 5500.1A 22 August 1988 b. Navy Publishing and Printing Service Office. Work orders for classi- fied material placed with the Navy Publishing and Printing Service Office for further transmittal to a facility having a GSA basic ordering agreement will not require a DD Form 254 if one was submitted when the BOA was entered into. If not, a DD Form 254 must be submitted with the order. c. Defense Technical Information Center (DTIC) Services. When a contrac- tor needs access to classified background or reference material, it should normally be obtained from the Defense Technical Information Center, Alex- andria, Virginia, rather than from NOSC. The contractor should prepare a Registration for Scientific and Technical Information Services, DD Form 1540, for each contract in the performance of which such services are needed and forward the DD Form 1540 to the NOSC COTR for the contract. The COTR should review the request to determine the adequacy of the fields of interest requested by the contractor, then forward the form to the Contracting Offi- cer's Representative for Security Matters or alternate for approval/signature and forwarding to DTIC. d. Publication and Release of Information Concerning Contracts. When a contractor proposes to publicly release information about a classified con- tract with NOSC, the proposed release must be forwarded to NOSC for review as prescribed by reference (cc). 6. Instructions for Completing DD Form 254, Contract Security Classification Specification. The following instructions apply to the corresponding item numbers on the DD Form 254: Item 1. Enter the highest level of clearance required for access to classi- fied information in the performance of the contract. Use only the words Top Secret, Secret, or Confidential. Special caveats such as Restricted Data, Formerly Restricted Data, Cryptographic Information, etc. should not be indi- cated in this block. The facility security clearance of the contractor must be at least the level of classification indicated in this block. Item 2. Check Item 2a for prime contracts, and Item 2c for RFQ, RFP, IFP, etc., as applicable. Items 2a, 2b, and 2c are reserved for subcontracts issued by the prime contractor. Item 3. Enter in Item 3a the prime contract number; or the RFQ, RFP, etc., in Item 3c. Item 4. Enter the estimated date on which the procurement action is to be completed. For RFQ's, etc., this date will be the due date for the bid or quote. Item 5. Pertains only to the DD Form 254 being prepared. Enter an "x" in the left column of Item 5 to indicate whether it is an original, revised, or final DD Form 254. In the column to the right, enter the date of the DD Form 254 being issued. NOTE: The date of the original DD Form 254 (Item 5a) will appear unchanged on each revised or final DD Form 254. This date is used to track these documents 10-5 NOSCINST 5500.1A 22 August 1988 and should be used whether referring to an original or a revised form. A final DD Form 254 is issued only when retention of classified material has been authorized or material is declassified. Item 6. Pertains to follow-on contracts. The follow-on must be to the same contractor for the same item(s) or service(s) before you can check "yes". If you check "yes", enter the number and completion date of the preceding con- tract in Items 6a and 6b. In Item 6c, enter an "x" in the "is" box. In all other cases, enter an "x" in the "no" box. This item automatically authorizes the contractor to retain the residual classified documents pertaining to the completed contract without further approval until completion of the current contract. At that time, the contractor would be required to request retention authority unless accountability is transferred to another follow-on contract. This item will eliminate much administrative time and effort for the contrac- tor and the contracting officer. Items 7 and 9. In Item 7a, enter the name and address of the prime contrac- tor, or in Item 9a, the facility associated with the IFP, RFP, or RFQ. This name and address must be identical to that furnished by the Defense Investiga- tive Service (DIS) Clearance Verification Activity to Code 152 during the verification process. In Item 7b (or 9b, as appropriate) enter the FSC (for- merly the Federal Supply Code, but now known as the Commercial and Government Entity (CAGE Code). This five-digit alpha-numeric code is provided by DIS to Code 152 and is used to track the nearly 14,000 cleared contractor facilities worldwide. Enter in Item 7c (or 9c, as appropriate) the name and address of the appropriate DIS Director of Industrial Security for the area in which the contractor or prospective contractor is located. A copy of the completed DD Form 254 is always sent to that office. NOTE: The asterisk in Items 7a, 8a, and 9a is explained on the line above Item 10. When actual performance on the contract or bid is to take place at locations other than just that identified in those items, identify such loca- tions in Item 15, "Remarks". For example, if the contract is being written to the home office of a multiple facility organization as defined in paragraph 73, Industrial Security Manual, and actual performance of the classified work is to take place at, or from, other facilities of that organization, it would be appropriate to include in Item 15 the address and CAGE code of those other locations. This precludes the contracting officer from having to approve at some later time for classified work to take place at those other locations. A copy of the completed DD Form 254 must be sent to the DIS cognizant security office for each of the additional locations identified in Item 15. Item 10. In Item 10a enter a brief description of the procurement. This may be material, studies, services, etc. The statement should be short, concise, and unclassified. Item 10b is the DODAAD number (Department of Defense Activi- ties Address Directory code number). Item 10c indicates whether or not the contract requires security measures that are additional to those normally required in the Industrial Security Program such as special access programs or "carve out" contracts. Code 152 will provide guidance if this item is to be marked "yes". Item 10d indicates that part or all of the work performed on the contract will be inspected by an agency other than the DIS Cognizant Secu- rity Office. Items 10c and 10d are always "yes" in the case of "carve out" and can apply in any Special Access Program contracts. Those include programs 10-6 NOSCINST 5500.1A 22 August 1988 requiring special briefings or clearances before access is granted to the particular program or material. This includes NATO, COMSEC, CNWDI, and others. Detailed information must be included in Item 15. Always indicate the agency which will have the security inspection responsibility if not the DIS cogni- zant security office. Item 11. NOTE: THIS IS THE MOST MISUNDERSTOOD PORTION OF THE FORM. READ CAREFULLY. Item 11a. Access to classified information only at other contractor/Govern- ment facilities. This means that the contractor's cleared employees may NOT have access to classified information related to the procurement for which this particular DD Form 254 was prepared at the contractor's facility. In other words, access is only authorized at the location identified in Item 15 or by other instructions of the contracting officer. A contractor facility which does not have appropriate safeguarding for classified material would be issued only this access authorization. If the "yes" block is marked for this item, the "no" box in each of Items 11b through 11e, plus 11m and 11n must be marked. The remaining blocks will be marked as required. Item 11b. Receipt of classified documents or other material for reference only (no generation). Note the word only. If the "yes" block is marked for item, the "no" block in each of Items 11a, 11c through 11e, and 11n must be marked. The remaining items will be marked as required. Item 11c. Receipt and generation of classified documents or other material. If the "yes" block is marked for this item, the "no" block in each of items 11a, 11b, and 11e must be marked. The remaining items will be marked as required. Item 11d. Fabrication/modification/storage of classified hardware. If appli- cable, include as much information as possible to indicate if restricted or closed areas will be required. Indicate how much hardware is involved, how large it is, and when the hardware will become classified. Use Item 15. If the classified hardware involved in the procurement is larger than 2 cubic feet (i.e., the volume of a standard security container), this block should be marked "yes" and Code 152 contacted for further guidance. Item 11e. Graphic arts services only. Note the word only. If the "yes" block is marked for this item, the "no" blocks in each of Items 11a through 11d must be marked. The remaining items will be marked as required. Item 11f. Access to IPO information. IPO means International Pact Organiza- tions such as NATO. Use caution. Some of this information is also Special Access Program information. Indicate in Item 15 what information is involved. Item 11g. Access to Restricted Data. This includes access to Formerly Restricted Data and Critical Nuclear Weapons Design Information (CNWDI) and is information developed and controlled under the Atomic Energy Act of 1954. This item will ALWAYS be marked "yes" IF access to CNWDI is required. Item 11k would also be marked "yes" if access to CNWDI is required because it is a Special Access Program. Item 11h. Access to classified communications security (COMSEC) information. 10-7 NOSCINST 5500.1A 22 August 1988 Item 11i. Cryptographic Access Authorization required. This item is no longer applicable and will be marked "no". Item 11j. Access to sensitive compartmented information. If this item is to be marked "yes", consult Code 152 before proceeding. Item 11k. Access to other Special Access Program information. These types of programs usually require additional security procedures or actions. Contact Code 152 before proceeding if you intend to mark "yes" in this block. Item 11l. Access to U.S. classified information outside the U.S., Puerto Rico, or U.S. possessions and trust territories. Contact Code 152 if such access is required. Access aboard U.S. naval vessels is not considered out- side the U.S., but access at a non-U.S. location of a Government contractor would be. Item 11m. Defense Technical Information Center (formerly Defense Documenta- tion Center) services may be requested. Item 11n. Classified ADP (now called Automated Information Systems (AIS) will be involved. This block will be marked "yes" only if classified processing will be involved at the contractor's facility. It does not apply when the contract is for a maintenance-type service where the contractor will be doing the work at a user agency or another cleared facility of a contractor. Item 11o. REMARKS. This block may be used for any other pertinent instruc- tions. Enter the applicable stub requisition number in this item. Item 12. Note that Item 12a is a statement of the completeness and adequacy of the DD Form 254 that is being signed by the individual named in Item 12b. The program/project manager of the activity initiating the procurement request prepares the DD Form 254 for the classified effort, and submits the specifica- tion to the Procuring Contracting Officer or his authorized representative for signature and necessary distribution. Item 12b contains the typed name and signature of the person who can interpret the classified requirements of the contract. Item 12c contains the complete mailing address and telephone number (including AUTOVON number, if applicable) of the individual named in Item 12b. Inquiries pertaining to classification guidance determinations or interpreta- tions shall be directed to this official. Item 13. Normally, proposed public releases should be submitted through the NOSC Public Affairs Office, Code 032. Include the specific mailing address. Item 14. Items 14a and 14b specify the type(s) of security classification guidance furnished for use in the performance of the prime contract. Item 14c indicates that it is a service-type contract and will be checked if Item 11a is "yes". If Items 14a and/or 14b are used, Item 14c will not be used, and vice versa. Item 14d pertains to the retention of residual classified mate- rial after contract completion and would only be checked if the form was a final DD Form 254. Item 14e should read "biennial review" is required instead of "annual review". Service-type contracts do not require biennial review. There are various ways to furnish a contractor with classification guidance: 1) a narrative style classification guide prepared from various sources; 2) 10-8 NOSCINST 5500.1A 22 August 1988 user agency classification guides or extracts or portions thereof (i.e., OPNAVINST 5513 series); 3) a combination of these. Item 14a will be marked whenever a narrative guide is prepared by the issuing activity. This narrative may be attached unless, for example, it is classified or it would be more practicable to forward under separate cover because of size. The narrative may be placed in Item 15, on an attached sheet, or a combination of both. The narrative should be attached unless it is classified or is being sent under separate cover. Item 14b will be used whenever the contractor is furnished user agency classification guides, or extracts, or portions thereof. They, too, should be attached unless sent by separate cover. Item 15. The purpose of this block is to give the contractor the security classification guidance needed for contract performance. The classification guidance should be specific to the program/project for which the contractor is to perform. Include any explanatory comments or statements required for information or clarification of other items identified in the DD Form 254. When the contract is for certain types of services and Item 14c is marked, specific statements must appear in Item 15. These statements are included in paragraph 7-102, ISR, attached. NOTE: The DD Form 1254 is the only authorized means for providing classifica- tion guidance to the contractor for performance on a classified contract. 10-9 NOSCINST 5500.1A 22 August 1988 10-10 NOSCINST 5500.1A 22 August 1988 CHAPTER 11 LOCKSMITH SERVICES/STORAGE CONTAINERS 1. Purpose. To establish a strict key and lock control program to meet requirements of OPNAVINST 5510.1H and OPNAVINST 5530.14B for all keys, locks, padlocks, and locking devices used to protect or secure restricted areas, activity perimeters, security facilities, critical assets, classified mate- rial, sensitive materials, and supplies. Not included in this program are keys, locks, and padlocks for convenience, privacy, and administrative or personal use. 2. Scope a. This chapter gives procedures for obtaining storage containers and locksmith services necessary for normal security control functions and classi- fied material storage. b. Tenant/support activities will not be provided keys, key-type pad- locks, mechanical cipher locks, or other locksmith services unless authorized in the official host/tenant agreement. If not authorized, tenant/support activities must request all services through the Facilities Engineering Office, Code 006 (Trouble Desk). 3. Policy. Protection of classified, sensitive, defense information; pre- cious metals; and Government property requires a consistent application of security measures. All NOSC civilian and military personnel will adhere to the procedures contained in this chapter to ensure this protection. 4. Responsibilities. The Commander, NOSC, has designated, in writing, a Key Control Officer within the Physical Security Group, Code 154, to administer the program. This program is supervised by the Head, Physical Security Group, and managed by the Head, Security Office. a. Key Control Officer. The Key Control Officer is responsible for: (1) Ensuring that a form NOSC-SD 5511/16 (Request for Locksmith Serv- ices/Key Request) has been received before work begins. (2) Controlling the number of keys issued for Center buildings and areas. (3) Coordinating all requests for locksmith services with the Center locksmiths for appropriate action. (4) Conducting an annual key inventory. b. Branch Heads or Above. Branch heads or above are responsible for: (1) Approving form NOSC-SD 5511/16 (Request for Locksmith Services/Key Request) for key systems, non-key systems, padlocks, mechanical cipher locks, or other locksmith services. 11-1 NOSCINST 5500.1A 22 August 1988 (2) Ensuring that their personnel return keys/padlocks that are no longer required. NOTE: When a space is vacated by a code, all keys/padlocks must be returned to Code 154. (3) Approving requests for storage containers. c. Keyholders. A keyholder may be a NOSC civilian employee or a military person assigned to NOSC. Contractors are not authorized to be keyholders. Keyholders are responsible for: (1) Personally picking up key(s)/padlock(s) from Code 154, Bldg. A29, Rm. 116, Topside, within 10 workdays after being notified, and signing an accountability receipt. If keys/padlocks are not picked up within 10 days a new form NOSC-SD 55ll/16 must be submitted. (2) Protecting keys for which they are accountable, i.e. not allowing duplication by anyone other than a Code 154 individual. (3) Verbally notifying Code 154 on Ext. 34613 when keys/padlocks are lost. (4) Returning all Government keys to Code 154 before transferring, retiring, terminating employment, or when keys are no longer needed. NOTE: When keys are needed for a desk/cabinet, submit a form NOSC-SD 5511/16 (Request for Locksmith Services/Key Request), along with the key to be dupli- cated, to Code 154. If a key is not available to duplicate, the request will be made through the Facilities Engineering Office, Code 006 (Trouble Desk), instead of Code 154. A signature is not required when these keys are picked up. 5. Key/Non-Key Systems a. Key Systems. The main key is a Schlage dedicated to NOSC by the Schlage Company. This key is used to support four key systems in use at NOSC, San Diego, facilities as follows: (1) Zero System. This system is the locking system used on perimeter openings to the Center as well as office and work spaces, which do not require specific access restrictions. (2) One-Dot System. This system is used to secure spaces that contain equipment and identified by the branch head or above as requiring protection against general access. Areas which have the one-dot system are identified by one red/orange dot on the door near the lock. These spaces will be locked at all times unless occupied by an authorized individual. (3) Two-Dot System. This system is used to secure spaces that have been identified as hazardous work areas. Areas which have the two-dot system are identified by two red/orange dots on the door near the lock. These spaces will be locked at all times unless occupied by authorized individuals. 11-2 NOSCINST 5500.1A 22 August 1988 (4) Three-Dot System. This system is used to secure spaces that con- tain valuable and easily pilferable items and identified by the branch head or above as requiring protection against general access. Areas which have the three-dot system are identified by three red/orange dots on the door near the lock. These spaces will be locked at all times unless occupied by authorized individuals. b. Non-Key Systems. Non-key systems are not approved for security pro- tection. These systems are authorized for use as an access control conven- ience when spaces are occupied by authorized personnel. (1) Cipher Locks. These type of locks are a push-button combination- type lock. (a) Electrically actuated cipher locks are not installed or repaired by Code 154. When inoperable or when repairs are necessary, the Facilities Engineering Office, Code 006, Trouble Desk, must be called. (b) Mechanically actuated locks (buttons above the door knob) are the only non-key system locks which Code 154 installs and repairs. (2) Magnetic Strip Card Locks and Barcode Readers. These type of locks are not installed or repaired by Code 154. c. Procedures. A Request for Locksmith Services/Key Request, form NOSC- SD 5511/16, signed by a branch head or above, must be submitted to the Physi- cal Security Group, Code 154, for all services other than requests for instal- lation of mechanical cipher locks and 1-, 2-, and 3-dot key system locks. Requests for these types of locks must be submitted by memorandum to Code 154 with the following information: (1) Justification for the need. (2) Building/room/current lock numbers. (3) Names/telephone numbers of personnel to issue keys to (if appro- priate). (4) Job order number for parts. (5) Other appropriate information. 6. Storage Containers (i.e., Safes/Strong Rooms/Vaults). It is the responsi- bility of all codes to notify the Physical Security Group, Code 154, when any of the following procedures are required. a. Acquisition. Acquisition of a storage container is accomplished by memorandum to the Physical Security Group, Code 154, giving the following information: (1) Classification of the contents. (2) Where the container will be located. (3) Point of contact and phone number. 11-3 NOSCINST 5500.1A 22 August 1988 (4) Job order number for labor. (5) Number of drawers. b. Changing Combinations. The following requirements from reference (b) apply: (1) Give the combination only to those whose official duties demand access to the container. (2) Change combinations when placed in use, and at least annually thereafter, except for NATO containers which shall be changed semiannually. (3) Change combinations when an individual no longer requires access. (4) Change combinations when the combination has been compromised or the security container has been discovered unlocked and unattended. (5) Change combinations when the container (with built-in lock) or the padlock is taken out of service. Code 154 will change combinations to meet the above requirements and when security violations have been issued. c. Transfer. When a storage container is transferred from one location (room/building) to another, notify Code 154 in writing. d. Downgrading/Upgrading. When a storage container is going to be upgraded (e.g., Confidential to Secret/Secret to Top Secret) or downgraded (e.g., top secret to secret/secret to confidential), notify code 154 to be sure the container meets specifications for the level of material to be stored. e. Declassification. When a storage container no longer meets classifi- cation requirements, it shall be officially declassified. Submit request for declassification to Code 154 in writing. f. Survey/Removal. When a storage container is no longer needed and survey/removal is desired, submit a memorandum to Code 154 indicating: (1) Point of contact and phone number. (2) Job order number for PWC labor charges for removal. (3) Safe file number. (4) Location of container. g. Container Custodian (1) A principal custodian and an alternate will be the minimum desig- nated for each security container. This designation will be entered on Stand- ard Form (SF) 700, Security Container Information (Part 1, Block 10), and affixed to the inside of the drawer containing the combination lock; in the 11-4 NOSCINST 5500.1A 22 August 1988 top drawer of bar-locked containers; and, on doors, to the inside of the door. Custodians and alternates listed on SF 700 must possess a valid NOSC security clearance for the category of information stowed in the container. The prin- cipal custodian (first name listed on SF 700, Part 1, Block 10) bears primary responsibility for compliance with security procedures relating to the con- tainer and its contents. In addition to SF 700, form NOSC-SD 5511/13, Safe- File Custodian Decal must be affixed on the outside of each container, except for CMS containers. CMS containers must have form NOSC-SD 2280/1, Open Safe Instructions, affixed to the outside of containers near each padlock/dial. (2) Combinations will be released by the Physical Security Group, Code 154, only to a person listed on the Standard Form 700. When subsequent addi- tional persons are authorized access, a memorandum must be submitted to Code 154 signed by the custodian adding the name(s) to and signing the Standard Form 700, retained in Bldg. A29, Rm. 116, Topside. (3) When custodians/alternates are absent from the Center and the container needs to be accessed, procedures will be as follows: (a) A new Request for Locksmith Services/Key Request, NOSC-SD 5511/16, will be submitted to Code 154, or (b) A memorandum will be submitted to Code 154 signed by the divi- sion head or above, stating what will be sighted/removed from the container, and by whom. Upon sighting/removal, the container will be locked. The combi- nation will not be given. (4) All combinations shall be memorized. The only authorized written record is that which is maintained by Code 154. 11-5 NOSCINST 5500.1A 22 August 1988 11-6 NOSCINST 5500.1A 22 August 1988 CHAPTER 12 SIGNAL SECURITY (SIGSEC) PROGRAM 1. Purpose. To establish an effective and realistic Signal Security Program which examines potential vulnerabilities and encompasses measures to 1) coun- ter hostile exploitation of electronic emissions, and 2) deny unauthorized persons information of value which might be derived from interception and study of electromagnetic, noncommunications-related radiations. 2. Scope. The NOSC SIGSEC Program includes shore, at-sea, tenant, and con- tractor operations, related to electromagnetic and/or acoustic emissions, whether such emanations are intentional or unintentional. 3. Background. Reference (dd) (OPNAVINST 5510.143) promulgates U.S. Navy SIGSEC Program objectives. References (h) (OPNAVINST 5513 series) and (ee) through (hh) (see appendix B)) provide amplifying information related to vari- ous SIGSEC components such as communications security (COMSEC), electronic security (ELSEC), technical surveillance countermeasures (TSCM), and national policy on the control of compromising emanations (TEMPEST). Based on the guidance provided by the above references, positive security concepts and protective actions must be applied to all facets of NOSC activities to safe- guard each research, development, test, and evaluation (RDT&E) project and its associated functional, technical, and administrative supporting activities. The sensitive nature of weapon, sensor, and communication systems and devices undergoing RDT&E and operational test and evaluation (OT&E) at NOSC and sur- rounding ocean test areas makes it imperative that each device or system be provided the security necessary to ensure its integrity before operational integration into the fleet. 4. Policy. All NOSC activities related to projects, programs, or supporting activities thereto, which employ or generate electromagnetic and/or acoustic emanations in any manner or form, will integrate U.S. Navy SIGSEC considera- tions into preliminary and/or primary documentation associated with such activity. 5. Responsibilities. SIGSEC is the responsibility of the Command and of all personnel who service the Command. To ensure that SIGSEC measures are under- stood and implemented the following responsibilities are assigned. a. Department/Major Staff Office Heads and/or Project Managers. Depart- ment/major staff office heads, division heads, and/or project managers shall ensure that: (1) Department of the Navy SIGSEC objectives, policies, and procedures are implemented when RDT&E/OT&E activity related to electromagnetic or acous- tic signal-emitting devices or systems used for or in any combat, support, or classified projects/systems are designed, developed, and/or implemented at or by NOSC. 12-1 NOSCINST 5500.1A 22 August 1988 (2) Provisions of this chapter, referenced instructions and documents, and other authorized classification documentation are incorporated into all applicable NOSC-generated equipment, system, project, and/or program documen- tation (including test and evaluation events). (3) SIGSEC objectives and threat assessment guidance is provided for each OPEVAL, TECHEVAL, LOI, or operational plan constructed by and/or for NOSC, where RDT&E, OT&E, or support electromagnetic signal-emitters (inten- tional or unintentional) are employed, whether ashore or at sea. (4) Authorized secure (encrypted) devices or systems are employed to the maximum extent possible where RDT&E or support electromagnetic signal- emitting devices or systems are employed in support of NOSC sponsored or con- trolled activities (Hull-to-Emitter Correlations (HULTEC) considerations are also germane). (5) Devices, equipment, or system used to process classified or sensi- tive information related to any NOSC sponsored or supported project or pro- grams comply with the national policy related to TEMPEST. (6) SIGSEC signature information for each electromagnetic emitting device or system under their cognizance is provided to the Operations Security Group, Code 153, using form NOSC-SD 2200/1, NOSC RDT&E/OT&E SIGSEC Signature Information. (7) All matters related to SIGSEC are coordinated with Code 153. b. NOSC Signal Security Coordinator. The Commander, NOSC, has appointed the Head, Operations Security Group, Code 153, as the NOSC Signal Security (SIGSEC) Coordinator and has delegated overall responsibility for recommending policy for and coordinating all matters related to the NOSC SIGSEC Program. NOSC SIGSEC Coordinator responsibilities include the following: (1) Act as principal advisor to the Commander, NOSC, on all matters contained within this chapter. (2) Provide technical and administrative guidance on all SIGSEC mat- ters to NOSC technical codes, tenants employing NOSC emitter assets, and contractors using or developing emitter(s) for NOSC sponsored or supported projects or programs, as appropriate. (3) Provide technical and administrative security guidance to depart- ment/major staff office heads and/or project managers on all on-going or planned contractual matters pertaining to individual emitters, emitter sys- tems, ADP systems, and cryptographic devices. Guidance provided will relate specifically to COMSEC, ELSEC, TEMPEST, and technical surveillance counter- measures (TSCM) considerations. (4) Act as the NOSC central point-of-contact for all Department of Defense SIGSEC matters. (5) Act as the NOSC advisor for all SIGSEC matters pertaining to fre- quency usage; coordinate and/or resolve associated SIGSEC issues. 12-2 NOSCINST 5500.1A 22 August 1988 (6) Act as the SIGSEC threat coordinator between department/major staff office heads and/or project managers and Code 17. (7) Act as the principal NOSC coordinator for planning, promulgation, and direction of all TEMPEST and TSCM SIGSEC matters including telephone sys- tem considerations. (8) Maintain close liaison with the Communications Security Material System (CMS) Head, Code 3301, pertinent to crypto equipment resource require- ments for NOSC activities. (9) Establish, based on information provided by department/major staff office heads and/or project managers and other Government source inputs, a SIGSEC reference/signature library pertaining to electromagnetic and acoustic- emitting devices and/or systems developed, contracted, and/or supported by NOSC. (10) Provide NOSC technical and support codes with SIGSEC awareness, education, and training briefs. 6. Procedures. The following procedures will be implemented by depart- ment/major staff office heads and/or project managers to ensure SIGSEC protec- tion is provided to appropriate NOSC projects. a. SIGSEC Guidance. Include SIGSEC guidance in all NOSC sponsored or developed operational evaluations (OPEVAL's), technical evaluations (TECH EVAL's), letters of instruction (LOI's), or plans related to RDT&E activity which employ any type of electromagnetic and/or acoustic devices. SIGSEC guidance will be based on vulnerability to signal intelligence (SIGINT), acoustic intelligence (ACINT), or human intelligence (HUMINT) exploitation potential which will be included within the documentation as a threat assess- ment statement. b. Classification Authority. Comply with SIGSEC guidance provided by the appropriate classification authority (reference (d) germane) for all NOSC- initiated actions associated with the development or modification of systems intended as emitters or in support of emitting systems. c. Authorized Security Systems. Employ authorized security systems for SIGSEC purposes, to the maximum extent possible, for NOSC RDT&E/OT&E efforts related to electromagnetic and/or acoustic emanations. The use of such devices will not negate the policy or abrogate the intent of this chapter. d. Contractor Support. NOSC codes will provide SIGSEC security classifi- cation guidance to contractors involved in developing or participating in the development/modification of systems for NOSC after award and before contract commencement. 12-3 NOSCINST 5500.1A 22 August 1988 12-4 NOSCINST 5500.1A 22 August 1988 CHAPTER 13 SECURITY OF AUTOMATIC DATA PROCESSING (ADP) SYSTEMS AND OFFICE INFORMATION SYSTEMS (OIS) 1. Purpose. This chapter provides requirements, guidance, and responsibility for security of automatic data processing (ADP) systems and office information systems (OIS) within the Naval Ocean Systems Center per the following refer- ences which are fully identified in appendix B of this manual: OPNAVINST 5510.1H FIPS PUB 41 OPNAVINST C5510.93D SECNAVINST 5238.1B OPNAVINST 5239.1A SECNAVINST 5231.1B SPAWARINST 5239.2 DOD Directive 5200.28 SECNAVINST 5211.5C DOD Manual 5220.22-M FIPS PUB 31 NOSCINST 5230.1D 2. Scope. The policies and procedures outlined in the NOSC Activity ADP Security Plan (AADPSP) are applicable at all Center locations. The provisions contained herein are intended to protect the automation resources at NOSC and all sensitive defense information processed by those resources. NOSC automa- tion resources include all computer equipment, remote terminals, peripherals, programs, data, associated documentation, minicomputers, microcomputers, office information systems, networks connecting such resources, contractual services, personnel, supplies, and facilities. This chapter will be used in conjunction with cited references as well as other regulations governing the handling of sensitive defense information for the protection of Government property. ADP and OIS security regulations also apply to all non-Government- owned personal computers (PC) that access Department of the Navy (DON) con- trolled computers from non-Government-controlled workspaces (i.e., home) or personal computers brought into a Government-controlled workspace. 3. Objectives. Security measures applied to NOSC computer (ADP) systems, automated information systems (AIS) and office information systems (OIS) are intended to ensure secure and dependable systems which will protect against inadvertent and deliberate disclosure of classified, unclassified sensitive, limited distribution, militarily critical technology (MCT), privacy, proprie- tary, and sensitive business information with minimum sacrifice in operating efficiency. The basic policy, guidelines, techniques, and procedures applied toward this effort are intended for system users, managers, technical imple- menters, and approving authorities for attaining and maintaining a compre- hensive and consistent level of security awareness and effectiveness. This program, together with cited references, provides minimum requirements for safeguAarding ADP/OIS systems and data. It does not supersede or override existing NOSC or higher command instructions concerning safeguarding classi- fied information or Navy assets in general, nor is it intended to constrain other means of improving ADP security within NOSC. 4. Policy. ADP security is a multifaceted problem and encompasses more than the protection of classified data. Protection of sensitive defense informa- tion and automation resources at NOSC requires a consistent, common-sense application of security measures. ADP security is a necessity, but for it to 13-1 NOSCINST 5500.1A 22 August 1988 work, it must be applied in a manner that will afford adequate protection and simultaneously support mission accomplishment. The success of this multi- faceted effort requires extensive coordination, cooperation, support, and understanding between all levels of employees and management. Guidelines set forth in this plan outline safeguards to protect against attempts to penetrate the systems, inadvertent or deliberate abuse or damage to the systems, as well as safeguards against disclosures of sensitive data to unauthorized persons. Accordingly, NOSC ADP and office information systems must meet specified secu- rity requirements and receive appropriate accreditation before processing classified, personal, or sensitive business data. To preclude impairment of NOSC projects and ensure that adequate security measures are implemented, the following requirements must be met: a. Department/division heads will become aware of and require adherence to the ADP security requirements contained in OPNAVINST 5239.1A, SPAWARINST 5239.2, and the NOSC Activity ADP Security Plan contained in this chapter. b. Division ADP system security officers (DADPSSO's) will be appointed for each department at NOSC even though the department may not have ADP/OIS equipment. c. NOSC employees will receive adequate education and training in safety/ security procedures applicable to computer usage. d. Internal review and security inspection teams will receive all support necessary from department heads for the review of ADP/OIS security. 5. Definitions. See appendix F to this manual for definitions of terms used in this chapter. 6. Responsibilities a. NOSC ADP Security Officer (ADPSO). The Commander, NOSC, has appointed the Head, Electronic Systems Security Group, Code 153, as the NOSC ADPSO and delegated overall responsibility for ensuring that each NOSC ADP and OIS sys- tem meets security standards prescribed in references cited in paragraph 1 of this chapter. NOSC ADPSO responsibilities include the following: (1) Advising the Commander, NOSC, on all ADP/OIS security matters. (2) Ensuring adequacy of all ADP/OIS security matters including: (a) Development and maintenance of the Activity ADP Security Plan (AADPSP). (b) Risk management programs. (c) Policy and plans handbooks. (d) Security procedures and policy. (e) Security, test, and evaluation (ST&E) plans. (f) Contingency plans. 13-2 NOSCINST 5500.1A 22 August 1988 (g) ADP/OIS accreditations. (h) ADP security awareness and training programs. (i) ADP/OIS security incidents or violations (investigations and resolutions). (j) DADPSSO appointees. (3) Operating, maintaining, and updating, as necessary, a central file for all NOSC ADP security-related matters. (4) Acting as the NOSC point-of-contact for off-Center inquiries con- cerning ADP/OIS security matters. (5) Keeping abreast of current developments in ADP/OIS security/tech- nology. (6) Acting as designated approving authority for Level II and III ADP/OIS. (7) At performance rating time, advising DADPSSO supervisors on DADPSSO performance. (8) Interfacing with the Information Systems Council (ISC), Informa- tion Resources Management (IRM) Focal Point Office, Code 9103, and the Supply Department, Code 20, on acquisition and development of ADP resources and any other matters involving ADP/OIS security pertinent to OPNAVINST 5239.1A and SPAWARINST 5239.2. b. Department/Major Staff Office Heads and Division Heads (1) Will appoint, in writing, a department/division ADP systems secu- rity officer (DADPSSO) and forward the appointing letter to the Commander, NOSC, for approval. ADP security functions for Codes 00/01/02/03/10/11/12/13 will be handled by the Code 09 DADPSSO. Copies of correspondence appointing DADPSSO's will be forwarded to the NOSC ADPSO for retention in the ADP secu- rity central file. (2) Because of the broad responsibility of this position, personnel selected will be highly knowledgeable in ADP, aware of security requirements, and technically capable of ensuring compliance with the guidance contained herein and that provided by the NOSC ADPSO. (3) DADPSSO assistants will be assigned as appropriate to provide daily management and review of the security programs for the more complex ADP or OIS systems. (4) Will ensure their systems are not used before obtaining proper accreditation. (5) Will include the DADPSSO in plans for acquiring, developing, using, or reconfiguring ADP/OIS systems/facilities. 13-3 NOSCINST 5500.1A 22 August 1988 c. Department ADP Systems Security Officers. DADPSSO's will be respon- sible to the NOSC ADPSO for compliance with security requirements of cited references and this plan. Particular emphasis will be placed on the following requirements (a copy of each of the following documents will be sent to the NOSC ADPSO for review): (1) Submission of a Certification of Compliance for ADP/OIS systems under their cognizance with ADP security instructions to document minimum protection controls as contained in paragraph 1.2a of OPNAVINST 5239.1A and paragraph VI of DOD Manual 5220.22-M. This document is needed only to obtain interim authority to operate a system and to provide time to develop the required documentation which would take excessive time to complete. (2) Preparation and submission of a Risk and Threat Assessment for ADP/OIS systems under their cognizance per OPNAVINST 5239.1A, SPAWARINST 5239.2, and FIPS PUB 31. (3) Preparation and submission of a System Identification Form (SIF) for each system. (4) Preparation of a building ADP security survey for the building or area within a building where ADP/OIS is operated. This form is in appendix E of OPNAVINST 5239.1A and must be completed only once every 5 years (unless major changes occur) for each building or building area that contains ADP/OIS. (5) Distribution of a Security Policy and Plans Handbook for ADP/OIS systems under their cognizance per OPNAVINST 5239.1A and this manual. (6) Preparation and distribution of security directives outlining basic requirements and guidance for safeguarding classified, personal, pro- prietary, and sensitive business data in division ADP/OIS systems as required by OPNAVINSTS 5510.1H, C5510.93E, 5239.1A; SECNAVINST 5211.5C; FIPS PUB 41; DOD Directive 5200.28; and DOD Manual 5220.22-M. These directives can be made a part of the ADP/OIS Security Policy and Plans Handbook. (7) Preparation of a contingency plan (if appropriate) for ADP/OIS systems under their cognizance. The Information Systems Council (ISC) will determine which systems need contingency plans based on input from the DADPSSO showing the need for a contingency plan and review comments from the NOSC ADPSO. (8) Submission of a completed TEMPEST Vulnerability Assessment Request (TVAR), as contained in OPNAVINST C5510.93E is required for those systems that will process classified data. The TVAR must be sent to Code 153 before approval to process classified data will be granted. (9) Maintain a complete inventory of all ADP system equipment in their division (by building and room or custodian for portable equipment). This inventory will be updated as ADP equipment is acquired or removed from opera- tions. SECNAVINST 5238.1B pertains. (10) Maintain current status of all ADP/OIS equipment under their cog- nizance in the ADPE inventory data managed by Code 91. 13-4 NOSCINST 5500.1A 22 August 1988 d. Remote Terminal Activities (1) Department heads must receive written appointments of a terminal area security officer (TASO) from each remote terminal activity before grant- ing access to a NOSC ADP system. OPNAVINST 5239.1A requires that a TASO be appointed, in writing, by the appropriate remote terminal user activity inter- facing with, or receiving support from, host ADP systems. Copies of the appointing letters will be held by the NOSC ADPSO and appropriate DADPSSO. (2) TASO's are directly responsible to the DADPSSO for security appli- cations on terminals interfaced to the ADP system concerned. TASO's will comply with the requirements of OPNAVINST 5239.1A and all directives/instruc- tions provided by the responsible DADPSSO. (3) TASO's will be assigned to remote terminals on board NOSC that are not contiguous to the host system or cannot otherwise be adequately monitored. TASO's will be responsible to the host system DADPSSO for all required secu- rity procedures. e. Network Security Officers. Network security officers (NSO's) will be assigned, with the advice of the NOSC ADPSO, for those networks for which Commander, NOSC, is the sponsor. The NSO will be responsible to the NOSC ADPSO for ensuring that applicable security requirements are included in net- work operations and that nodes of the network receive proper accreditation before operating on the network(s). f. NOSC IRM Focal Point. Code 9103 will coordinate with the NOSC ADPSO, Code 153, and with the DADPSSO's to assure implementation of ADP security requirements in OPNAVINST 5239.1A when ADP resources are being acquired. g. Supply Department. The Supply Department, Code 20, will take the following actions to comply with the ADP security requirements in paragraph 2.2e of OPNAVINST 5239.1A. (1) Screen all ADP/OIS resource procurement packages for IRM Focal Point initials which indicate that the DADPSSO has signed necessary forms. (2) Coordinate with the NOSC ADPSO and DADPSSO's to ensure that neces- sary ADP security requirements are included in applicable contract specifica- tions pertinent to acquiring ADP resources. h. Information Systems Council (ISC). The ISC will coordinate with the NOSC ADPSO to assure effective implementation of, and compliance with, ADP security requirements and will: (1) Provide policy guidance. (2) Determine which ADP/OIS need formal contingency plans to meet the requirements in chapter 7 of OPNAVINST 5239.1A. 7. Current ADP Security Environment. NOSC security procedures are imple- mented to include the requirements of appendix J of OPNAVINST 5239.1A and 13-5 NOSCINST 5500.1A 22 August 1988 other directives that will enhance the protection and effective use of ADP/OIS equipments. Current requirements to obtain interim authority or final accred- itation to operate ADP/OIS systems aboard NOSC are: a. Before operating ADP/OIS systems for processing Level I SCI, SIOP- ESI, National Cryptologic, Top Secret Multilevel, and Controlled Mode data which is beyond accrediting authority of Commander, NOSC, the following docu- ments must be prepared and submitted to the NOSC ADPSO, who will send these documents to the appropriate designated approving authority (DAA) for accredi- tation: (1) Certification of Compliance (format available from Code 153). (2) Risk Assessment (RA) (software program available from Code 153). (3) Security Plans and Policy Handbook (SPPH) (basic document avail- able from Code 153). (4) Security Test and Evaluation (ST&E) Plan (entire plan provided by Code 153). (5) Evidence of a successfully completed or requested Instrumented TEMPEST Survey (ITS) (provided by Code 153). (6) Contingency Plan (CP) (if appropriate) (format available from Code 153). b. To obtain interim authority to operate multi-user Level I ADP/OIS systems for which Commander, NOSC, is the designated approving authority (DAA), the following documents must be submitted to the NOSC ADPSO (an interim authority to operate ADP/OIS systems is normally granted for only 1 year unless extenuating circumstances warrant an extension): (1) Certification of compliance with ADP security instructions, which documents minimum security/safety controls as contained in paragraph VI of DOD Directive 5200.28 and paragraph 1.2a of OPNAVINST 5239.1A. This document is required only when extra time is needed to complete the SPPH. (2) TEMPEST Vulnerability Assessment Request as required by OPNAVINST C5510.93. (3) Systems Identification Form (SIF). (4) Security Policy and Plans Handbooks (SPPH). (5) ADP security survey (building). c. To obtain interim authority to operate systems for which Commander, NOSC, is the DAA (single-user stand alone, Level I, ADP/OIS microcomputer), the following accreditation documents must be submitted to the NOSC ADPSO: (1) System Identification Form (SIF). (2) ADP Security Survey (building). 13-6 NOSCINST 5500.1A 22 August 1988 (3) TEMPEST Vulnerability Assessment Request (TVAR). (4) Security Policy and Plans Handbook (SPPH). d. Final accreditation of all Level I systems will be obtained in the minimum time needed to implement and document necessary security procedures, but no later than the termination date contained in the interim authority to operate. Final accreditation documentation required is: (1) Risk Assessment (RA) (software program available from Code 153). (2) Security Plans and Policy Handbook (SPPH) (basic document avail- able from Code 153). (3) Security Test and Evaluation (ST&E) Plan (entire plan provided by Code 153). (4) Contingency Plan (CP) (as appropriate) (format available from Code 153). (5) Successfully completed Instrumented TEMPEST Survey (ITS) (provided by Code 153). e. Final authority to operate Level II ADP/OIS systems at NOSC can be obtained by submitting to the NOSC ADPSO the following documentation: (1) ADP Security Survey (building). (2) Security Plans and Policy Handbook (SPPH). (3) System Identification Form (SIF). f. Level III ADP/OIS will be granted final accreditation upon presenta- tion to the NOSC ADPSO of a completed ADP Security Survey (building) and an SIF (for each system) which meet the minimum requirements contained in appen- dix J of OPNAVINST 5239.1A g. Due to the difficulty of ascertaining the use of personal micro- computer systems, processing of Levels I and II data on personally-owned com- puter and OIS systems is prohibited. Written authority, stating the specific use, must be obtained from respective division heads before using any person- ally-owned computer or contractor-owned computer or OIS system, either onboard or remotely, to process Level III data at NOSC. A copy of this authority will be forwarded to the NOSC ADPSO, Code 153. 8. Audit/Internal Review. Effective use of computer (ADP) systems and office information systems (OIS) requires ongoing coordination between management, users, and security and audit personnel to bring these powerful and valuable tools into proper perspective and under close control. Vast amounts of data have been concentrated in ADP/OIS facilities at NOSC. To minimize the vulner- ability to loss associated with this dependence on processing machines, a greater degree of security and audit involvement is required. The increasing potential for computer malfeasance, computer misuse and mismanagement, adverse acts of nature (fire, earthquake, and flood), computer fraud, and inadequately 13-7 NOSCINST 5500.1A 22 August 1988 designed systems generates a maximum degree of involvement on the part of auditors, security personnel, and managers at NOSC. Overall ADP security procedures, internal audit controls, Center records, and facility operations must be maintained to support the Center's mission. To assist management in this endeavor, internal controls and security of ADP/OIS facilities, opera- tions, and usage at NOSC will be reviewed on a continuing basis by the Inter- nal Review Office (Code 007) and the Electronic Systems Security Group (Code 153) with the assistance of ADP personnel from NOSC departments/divisions and staff offices. This review team will use appropriate Naval Audit Service and security programs and Security Test and Evaluation (ST&E) plans in doing audits/ reviews and will: a. Appraise the adequacy, effectiveness, and reliability of the ADP/OIS facilities including training programs, security, and processing controls. b. Determine the extent and adequacy of procedural controls. c. Evaluate procedures, standards, and controls over local program devel- opment. d. Determine and identify if the general design meets the system objec- tives, audit and security requirements, and controls. e. Determine whether the installed application conforms to GAO standards and latest approved design specifications and is being efficiently processed. f. Identify user systems that do not meet their objectives. 9. ADP Security in Life-Cycle Management. Effective and economical protec- tion of ADP and OIS systems is generally a direct result of proper planning for applicable security measures (SECNAVINST 5231.1B germane). In an R&D community, one or more ADP/OIS systems often must be shifted between or directly support the progression of two or more projects. Initial design of appropriate security applications, before acquisition, development, or use of ADP/OIS support systems, can often preclude expensive retrofitting of equip- ment, reprogramming of software, and/or reconfiguration of structures. The following actions will involve the NOSC ADP Security Staff in the ADP/OIS life-cycle-management environment and support a coordinated approach to cost- effective protection: a. Department heads/project managers will include the division ADPSSO in plans for acquiring, developing, using, or reconfiguring ADP/OIS systems. b. The Head, Computer Sciences and Simulation Division, Code 91, will ensure the NOSC ADPSO, Code 153, receives a copy of each approved planned procurement for ADPE and security software as defined in paragraphs 3a and 3d of NOSCINST 5230.1D. 10. ADP Security in Hardware and Software Configuration Control. Improperly configured computer and office information systems operated with uncontrolled software have the potential for unintentionally compromising classified data, violating the Privacy Act of 1974, and/or prematurely disclosing proprietary information or U.S. Government restricted technical information. As a means 13-8 NOSCINST 5500.1A 22 August 1988 of providing additional support for both hardware and software configuration management, department heads will include department ADP system security offi- cers (DADPSSO's) in ADP configuration management activities. 11. ADP Security Training. The primary goal of any security education program must be to familiarize personnel with existing security safeguards including why safeguards are employed, what safeguards are designed to protect against, how the safeguards work, and the result of using each safeguard. Further, an effective education program should generate an attitude of security awareness on the part of all NOSC personnel. The NOSC ADP security training program: (1) includes the guidelines provided in OPNAVINSTS 5510.1H and 5239.1A, and SPAWARINST 5239.2; (2) clearly defines security requirements to educate man- agement and employees in the requirements and necessity of system security; (3) makes everyone aware of what to do when security violations are detected; and (4) emphasizes that people are the most important component of any secu- rity program. New employees will be made aware of security requirements and be required to read the Security Policy and Plans appropriate documentation. Current employees will be given periodic refresher courses and be kept up-to- date with any improvements or changes in the NOSC Activity ADP Security Plan (AADPSP). DADPSSO's will provide training for personnel and users of systems in their division in ADP and OIS security. DADPSSO's will be educated through formal and informal courses and periodicals made available by the NOSC ADPSO. Also, monthly meetings for general discussion and for DADPSSO training will be scheduled by the NOSC ADPSO. 13-9 NOSCINST 5500.1A 22 August 1988 13-10 NOSCINST 5500.1A 22 August 1988 CHAPTER 14 CANCELLED BY NRaDINST 2280.2 of 26 April 1993 13-11 NOSCINST 5500.1A 22 August 1988 13-12 NOSCINST 5500.1A 22 August 1988 CHAPTER 15 IDENTIFICATION BADGES AND SPECIAL USE PASSES Identification badges issued by or recognized by the Naval Ocean Systems Cen- ter (NOSC) must be shown to the security guard at NOSC guard posts to enter the Center. All personnel must wear badges in full view, above the waist, at all times while at the Center. NOSC also issues special-use passes (gate passes, camera/video/recording (CVR) permits, photographers' passes, and U.S. Government identification cards) which are discussed in paragraph 14 of this chapter. 1. Types of Badges. The Center issues three types of badges: a. Temporary Badges. Issued to personnel requiring infrequent access to the Center or tenant activities (less than 2 or 3 times a week for 30 consecu- tive days). Temporary badges do not allow after-hours access unless "After- Hours" is indicated on the badge. b. Picture Badges. Issued to personnel requiring frequent access to the Center or tenant activities (2 or 3 visits per week for more than 30 consecu- tive days). c. Special Event Badges. Issued to personnel attending conferences hosted by the Center, to important visitors, and to foreign national visitors as set forth below. (1) VIP Name Badge. Issued to important Center visitors, i.e., Navy captains or above and other equivalent military officers, their civilian equivalents (GS-15 or above), or persons whose positions entitle them to spe- cial attention. The visitor's name must be on the Center's weekly VIP list, or a form NOSC-SD 5512/127, Request for VIP Name Badge, must be submitted by the Center sponsor. (2) Foreign National Badge. A WHITE special event badge is issued to any foreign national visitor, i.e., a citizen of a foreign country represent- ing that country, a citizen of a foreign country representing NATO, or a rep- resentative of a foreign-owned company (including a U.S. citizen representing a foreign-owned company). (a) A foreign national must register at a visitor reception office; therefore, a person with a "V" or "T" badge is NOT authorized to bring a foreign national to the Center without prior Command approval. (b) A person issued a white special event badge with a flag on it must be escorted by a Center or tenant activity employee at all times. (c) If a foreign visitor has been assigned to the Center on a long-term basis (over 1 month) and has been assigned an unclassified area in which to complete a project, the visitor will be issued a picture badge and the area(s) to which the visitor may have unescorted access will be stated on the front of the badge. The disclosure authorization will be stated on the back of the badge. 15-1 NOSCINST 5500.1A 22 August 1988 (d) In the cases of extended conferences and meetings, the Chief Staff Officer, Code 03, may approve special access procedures for particular foreign nationals. Examples are periodic NATO and AUSCANNZUKUS working group meetings. Foreign visitors approved for special access by Code 03 will be issued a white picture flag badge indicating the area(s) to which the visitor may have unescorted access and the name of the conference/meeting. 2. Temporary Badges. Temporary badges are color coded to indicate access eligibility to restricted areas under security provisions in effect at the time. Specifically, the following additional provisions apply: a. Yellow/Green. Eligible for unescorted access to "controlled", "lim- ited", and "exclusion" designated restricted areas. b. White. Eligible for unescorted access to all "controlled" designated restricted areas. c. White Restricted. Eligible for unescorted access to specified "con- trolled" designated restricted areas which are indicated on the badge. d. Red Escort. Eligible for access only when escorted by a Center or tenant activity employee wearing a picture badge or a visitor (contractor or U.S. Government employee) wearing a picture badge which has an "E" designator on it (which means escort privileges have been authorized). 3. Picture Badges. Picture badges are laminated in yellow, green, white, or white embossed with the word "RESTRICTED" which indicate the same access eli- gibility as in paragraphs 2a, 2b, and 2c above. Picture badges are issued as follows: a. Employee Picture Badge (White Background). Issued to Center and ten- ant activity civilian employees and military personnel. b. Employee "V" Picture Badge (White Background with Red "V"). Issued to Center personnel who have been designated jointly by the Commander, NOSC, and the Technical Director to escort certain unbadged personnel to NOSC restricted areas under special circumstances. c. Employee "T" Picture Badge (White Background with Red "T"). Issued to tenant activity personnel designated by their command and approved jointly by the Commander, NOSC, and the Technical Director to escort certain unbadged personnel under special circumstances to restricted areas at the specific activity identified on their badge. d. Contractor Picture Badge (Red Background). Issued to private industry employees under contract to NOSC where the contract authorizes workspace or Government-furnished equipment/property or whose contractual duties require 2 to 3 visits to the Center per week for the duration of the contract. e. U.S. Government Picture Badge (Blue Background). Issued to civilian and active duty military visitors from other Government activities whose duties require them to visit the Center frequently (2 to 3 times per week). 15-2 NOSCINST 5500.1A 22 August 1988 4. Access Authorized. Center badges authorize admittance to all Center facilities and to the tenant activities located at Point Loma or listed below. The designated letters in parentheses appear on the activity picture badges. Defense Technical Information Center (DTIC) Federal Fire Department, San Diego (FFDSD) Integrated Combat Systems Test Facility (ICSTF) Marine Physical Laboratory, Scripps Institute of Oceanography (MPL) Naval Health Research Center (NHRC) Naval Investigative Service Resident Agency, Point Loma (NOSC) Navy Publishing and Printing Service Office (NPPSO) Navy Personnel Research and Development Center (NPRDC) Personnel Support Activity Detachment, Point Loma (PSD) Naval Medical Clinic - San Diego (NMC) Public Works Center (PWC) Naval Military Personnel Command (NOSC) 5. Hours of Badge Issuance at San Diego. Badges, passes, and vehicle decals are issued during the hours listed below. A photo I.D. is required to obtain any type of badge. (Requirements for special-use passes are discussed in paragraph 14 of this chapter. a. Picture Badges/Passes/Vehicle Decals* Employees, Contractors, Vendors, and Construction Workers Mondays - Thursdays: 0645 - 1100 1300 - 1600 Alternate Fridays: 0645 - 1100 1300 - 1500 b. Temporary Badges/Vehicle Passes* Mondays - Thursdays: 0645 - 1615 Alternate Fridays: 0645 - 1515 *See chapter 18 of this manual for procedures for obtaining vehicle decals or vehicle passes. 6. Length of Issuance a. Temporary badges are issued for a period not to exceed 1 week (normal workdays only). Exception: A temporary badge will be issued for 10 workdays when a picture badge has been reported lost. b. Picture badges are issued for the following periods of time: (1) Civilian Employees. Badges are issued for a 3-year period expir- ing the month of the person's birth date. (2) Military Personnel. Badges are issued for the length of the indi- vidual's tour of duty at the Center, but not to exceed 3 years. 15-3 NOSCINST 5500.1A 22 August 1988 (3) Visitors. Badges are issued to expire on the date authorized by the Center or tenant activity sponsor (not to exceed the clearance or contract expiration date whichever comes first). Neither period may be in excess of 1 year. 7. Retention of Badges. Badges will be retained until 1) a request for return is made by the Security Office, Code 15, or the Security/Safety Office - Hawaii, Code 0059; 2) the badge expires; or 3) the individual transfers, resigns, or retires and no longer needs access to the Center. a. Temporary badges will be returned to any guard post or visitor recep- tion office upon departure from the Center. b. Picture badges and passes will be returned to the Visit Control/Badge and Decal Group, Code 151, in Bldg. 33 (Topside) or to Code 0059, Hawaii. 8. Badge Violations a. Loss. Loss of a badge and subsequent recovery by an unknown individ- ual could permit that individual to gain unauthorized entry to the Center for a variety of illegal purposes, ranging from theft or arson to sabotage or espionage. Therefore, the loss of a badge is a serious offense. b. Misuse. Misuse of a badge is extremely serious. Misuse can include, but is not limited to, lending a badge to another person, altering a badge, or using a badge for purposes which could be detrimental to the Navy and the Center. Evidence of deliberate tampering with a badge will subject the offender to penalties consistent with section 499, Title 18, U.S.C. 9. Reporting a Lost Badge. Upon determination of loss, the individual will immediately report the loss to Code 151 (or Code 0059 in Hawaii). A temporary badge will be issued for a period of 10 workdays. Upon failure to recover the badge at the end of this period, the badge will be determined to be lost and recovery improbable. At that time, a new badge will be issued upon receipt of a written acknowledgement from the individual's supervisor (for employees) or Center sponsor (for visitors) of loss of the badge and authorization to issue a new badge. 10. Recovery of Badge. An individual must return a recovered lost badge imme- diately to Code 151 (or to Code 0059 in Hawaii) even if a replacement badge has been issued or the lost badge has expired. 11. Disciplinary Action. The determination of appropriate disciplinary action for badge/pass/decal violations is primarily the responsibility of the Head, Security Office, Code 15, who may bring administrative action to deny access to the Center. 12. Badge/Request Procedures a. NOSC Employees (1) New Badge. The division head or designated representative shall send one copy of a Personnel Clearance Request, form NOSC-SD 5521/1, to Code 15-4 NOSCINST 5500.1A 22 August 1988 151 or Code 0059 in Hawaii, via the Civilian Personnel Officer, Code 14, stat- ing level of access needed. Enough information about the individual's duties must be given to justify authorization of a specific level of access to clas- sified information. A new form must be sent to Code 151 or Code 0059 in Hawaii when there is a change in the employee's status or work assignment which requires a different level of classified access. (2) "V" Badge. The department head or equivalent shall send a written request to the Commander, NOSC, via Code 01, giving the individual's name and title and justification for a "V" badge. The Commander will send the request to the Visit Control/Badge and Decal Group, Code 151, indicating approval or disapproval. Code 151 will make arrangements with the designated individual for issuing the "V" badge or provide notification of disapproval. (3) Renewal of Badge. The employee is responsible for renewing the badge and vehicle decal(s) at the Visit Control/Badge and Decal Group, Bldg. 33 (Topside), or Code 0059 in Hawaii, before the expiration date on the badge. Badges may be renewed up to 30 days before expiration. A new badge will not be issued until the expired badge is returned to Code 151 (or to Code 0059 in Hawaii) or the supervisor sends a memorandum stating that the badge has been lost or destroyed and a new badge is authorized. b. Tenant Activity Employees (1) New Badge. A designated representative shall send to the Visit Control/Badge and Decal Group, Code 151, a Request for NOSC Tenant Activity Employee Picture Badge, form NOSC-SD 5512/130, which will include the employ- ee's date and place of birth (if foreign born, include naturalization number). (2) Renewal of Badge. A designated representative shall send to Code 151 a Request for NOSC Tenant Activity Employee Picture Badge, form NOSC-SD 5512/130, before the employee's badge expires. Badges may be renewed up to 30 days before expiration. A new badge will not be issued until the expired badge is returned to Code 151 or the designated representative sends a memo- randum stating that the badge has been lost or destroyed and authorizing issu- ance of a new badge. NOTE: A list of designated representatives authorized to request picture badges must be sent by each tenant activity to Visit Con- trol/Badge and Decal Group, Code 151, annually and whenever any changes occur. (3) "T" Badge. The head of each tenant activity shall send a letter to the Commander, NOSC, via Code 01, giving the individual's name and title and justification for a "T" badge. The Commander will send the request to the Visit Control/Badge and Decal Group, Code 151, indicating approval or disap- proval. Code 151 will make arrangements with the designated individual for issuing the "T" badge. c. U.S. Government Visitors (1) New Badge. A branch head or higher will send a Request for NOSC Picture Badge, form NOSC-SD 5512/9, stating justification for frequent visits (2 to 3 times per week) to the Center. A new badge will not be issued until the Visit Control/Badge and Decal Group, Code 151 (or Code 0059 in Hawaii), receives a NOSC-approved visit request from the Government visitor's activity or agency certifying the person's clearance. 15-5 NOSCINST 5500.1A 22 August 1988 (2) Badge Renewal. To renew a badge, a new Request for NOSC Picture Badge must be sent to Code 151 (or Code 0059 in Hawaii) before issuance. A renewal of the visit request from the Government visitor's activity or agency is also needed. A renewal badge will not be issued until the expired badge is returned to Code 151 (or Code 0059 in Hawaii) or a memorandum is received from the branch head or above stating the badge was lost or destroyed and authoriz- ing issuance of a new badge. (3) Return of Badge. The requester is responsible for making sure that the badge is returned to Code 151 (or Code 0059 in Hawaii) upon expira- tion or when access is no longer needed. d. Contractors for Classified Visits (1) New Badge. The Contracting Officer's Technical Representative (COTR) or the project manager will send a Request for NOSC Picture Badge, form NOSC-SD 5512/9, stating justification for frequent visits (2 to 3 times per week). Issuance is subject to receipt by the Visit Control/Badge and Decal Group, Code 151 (or Code 0059 in Hawaii), of a NOSC-approved visit request from the contractor's security office certifying the person's clearance and need-to-know (and certified by a Government contracting office if the contract is not a NOSC contract). (2) Badge Renewal. If renewal of the badge is needed, a new Request for NOSC Picture Badge must be sent to Code 151 (or Code 0059 in Hawaii) before issuance. A renewal of the visit request from the contractor's secu- rity office is also needed. A renewal badge will not be issued until the expired badge is returned to Code 151 (or Code 0059 in Hawaii) or a memorandum is received from the COTR or project manager stating the badge was lost or destroyed and authorizing issuance of a new badge. (3) Return of Badge. The requester is responsible for making sure that the badge is returned to Code 151 (or Code 0059 in Hawaii) upon expira- tion or when access is no longer needed. e. Contractors for Unclassified Visits (1) Restricted picture badges will be issued upon receipt of a Request for NOSC Picture Badge, form NOSC-SD 5512/9, signed by the sponsoring branch head or higher, the project manager, or the COTR for the NOSC contract, veri- fying there is a long-term need (at least 30 consecutive days) and justifying frequent visits to the Center. Additionally, the contractor's company must send a letter, on the contractor's letterhead stationery, via the Center or tenant activity sponsor, to Code 151 (or Code 0059 in Hawaii) giving the name of each person requiring access to the Center, social security number, date and place of birth (if foreign born, include naturalization or alien registra- tion number), contract number and contract expiration date, type of work being done, area(s) of access needed, and name of the Center or tenant activity point of contact. Exception: construction workers must have their visit requests endorsed by the Resident Officer in Charge of Construction (ROICC); Public Works Center; or the Facilities Engineering Office, Code 006, for veri- fication of the contract and expiration date. 15-6 NOSCINST 5500.1A 22 August 1988 (2) If renewal of a badge is required, a new Request for NOSC Picture Badge must be sent to Code 151 (Code 0059 in Hawaii). A new letter from the contractor's company is also needed. A renewal badge will not be issued until the expired badge is returned to Code 151 (or Code 0059 in Hawaii) or a memo- randum is received from the sponsoring branch head, COTR, or project manager stating that the badge was lost or destroyed and authorizing issuance of a renewal badge. (3) Return of Badge. The requesting code is responsible for making sure the badge is returned to the Visit Control/Badge and Decal Group, Code 151 (or Code 0059 in Hawaii), upon expiration or when no longer needed. f. Conference/Meeting Attendees. The Center host will: (1) Give details of the conference/meeting to the Visit Control/Badge and Decal Group, Code 151, and coordinate requirements for clearances, badges, guard service, and stowage of classified material. (2) Reserve conference rooms and arrange for special parking through the Command Visits Office, Code 0321. (3) Notify attendees to forward their GENSER clearances to Code 151 (or Code 0059 in Hawaii) indicating the subject of the conference/meeting they will be attending; and will also advise attendees where their conference/meet- ing badges will be issued. (4) Send a list of attendees to Code 151 (or Code 0059 in Hawaii), including the name of the organization each visitor represents, NOT LATER THAN 3 workdays before the conference/meeting. If more than 100 persons are expected to attend a specific conference, this lead-time will be increased to 10 workdays. (5) After the list of attendees and clearances is received, Code 151 (or Code 0059 in Hawaii) will check the security data base for a current GENSER clearance at or above the disclosure level required. g. Very Important Person (VIP) Visitors (1) The Center host will send form NOSC-SD 5512/127, Request for VIP Name Badge, to Code 151 (or Code 0059 in Hawaii) at least 2 days before the visitor arrives. (2) Code 151 (or Code 0059 in Hawaii) will prepare the badge when form NOSC-SD 5512/127 has been received. The badge will be issued by Code 151 (vis- itor reception office Topside or Bayside) or Code 0059 in Hawaii, depending on the area to be visited. If special arrangements have been made for the badge to be issued in the main lobby of Bldg. 33, Code 151 will deliver the badge and a log sheet to Code 0321. h. Foreign National Visitors (1) The Center sponsor of any foreign national visitor is responsible for notifying the Information and Personnel Security Office, Code 152, to obtain approval of the visit. 15-7 NOSCINST 5500.1A 22 August 1988 (2) Code 152 will obtain disclosure authorization for a classified visit from the Chief of Naval Operations. Code 152 will notify the Visit Control/Badge and Decal Group, Code 151, and the Center sponsor in writing when the visit has been approved and will outline disclosure authorization and procedures for the specified visit. (3) Code 151 will prepare a badge which shows the visitor's name, country represented, date(s) of visit, and a replica of the country's flag. The badge will be issued ONLY from a visitor reception office (Bldg. 33/Top- side or Bldg. 204/Bayside) after the Center sponsor arrives to escort the visitor. 13. Responsibilities a. Visit Control/Badge and Decal Group. The Visit Control/Badge and Decal Group, Code 151, is responsible for: (1) Controlling issuance of, and maintaining accountability for, iden- tification badges and issuing badges to San Diego and Morris Dam personnel. (2) Recommending Command policies and procedures for maintaining an effective identification badge system. (3) Maintaining and validating visit request information for badging purposes. b. Security/Safety Office - Hawaii. The Security/Safety Office - Hawaii, Code 0059, is responsible for controlling the issuance of NOSC identification badges at the Hawaii Laboratory. c. Division Heads. Division heads or designated representatives are responsible for: (1) Certifying the level of access needed for an employee's position. (2) Notifying Code 151 or Code 0059 in Hawaii, as appropriate, of any change in the employee's position which requires a change of access level. d. Branch Heads or Above. Branch heads or above, when requesting U.S. Government visitor badges, are responsible for: (1) Sending a Request for NOSC Picture Badge, form NOSC-SD 5512/9, to Code 151 giving the justification for issuance of a picture badge and allowing 3 workdays after receipt of all paperwork for processing before the visitor arrives. (2) Notifying the visitor that a visit request should be sent to the Visit Control/Badge and Decal Group, Code 151 (or Code 0059 in Hawaii), before the visitor arrives. (3) Notifying the visitor to report to Visit Control/Badge and Decal Group, Code 151 (or Code 0059 in Hawaii), upon arrival at the Center for issu- ance of a badge. 15-8 NOSCINST 5500.1A 22 August 1988 (4) Making sure that visitors return picture badges to Code 151 (or Code 0059 in Hawaii) upon expiration or when no longer needed. (5) Notifying Code 151 (or Code 0059 in Hawaii) in writing when a visitor's picture badge is lost and authorizing issuance of a new badge when needed. (6) When a situation exists which requires a cleared U.S. Government visitor to escort another uncleared visitor, send a memo to the Security Oper- ations Coordinator, Code 1504, requesting escort privileges along with justi- fication for the request and why a NOSC employee could not perform the escorting privileges. e. COTR/Project Managers. Contracting officer's technical representa- tives (COTR's) or project managers for contract work being done at the Center are responsible for: (1) Sending a Request for NOSC Picture Badge, form NOSC-SD 5512/9, to Code 151 (or Code 0059 in Hawaii) giving the justification for frequent visits (2 to 3 times a week) and allowing 3 workdays from receipt of all paperwork before the visitor arrives. (2) Notifying the contractor that a visit request should be sent to the Visit Control/Badge and Decal Group, Code 151 (or Code 0059 in Hawaii), before the visitor arrives. (3) Notifying the contractor to report to the Visit Control/Badge and Decal Group, Code 151 (or Code 0059 in Hawaii), upon arrival at the Center for issuance of a badge. (4) Notifying Code 151 (or Code 0059 in Hawaii) in writing when a contractor picture badge is lost and authorizing issuance of a new badge when needed. (5) Making sure that the contractor returns the picture badge to Code 151 (or Code 0059 in Hawaii) when it expires or is no longer needed. (6) Cautioning contractor personnel that they are issued picture badges ONLY for the purpose of working in a specified area stated in the con- tract. 14. Special Use Passes. Code 151 (or Code 0059 in Hawaii) issues the follow- ing special use passes: a. Gate Pass. Issued to personnel who need ONLY exterior access through a guard post to drop off or pick up a Center or tenant activity employee. A memorandum signed by a branch head or above must be sent to Code 151 (or Code 0059 in Hawaii) giving the person's name, social security number, citizenship, date and place of birth, Center sponsor, access gate, hours of access, justi- fication for gate pass, and expiration date (not to exceed 1 year). b. Camera/Video/Recording (CVR) Permit. Issued to an employee or visitor (under contract to the Center) who, in the performance of officially assigned 15-9 NOSCINST 5500.1A 22 August 1988 duties, has an intermittent need to: 1) transport camera/video/recording devices into a Center area, 2) expose sensitized film or plates for the pur- pose of recording a scene or event, or 3) load or unload film or plates from a camera or other photographic device. The expiration date will never exceed the expiration date on an employee's or visitor's badge. (1) Employee. A Request for Photographer's Pass or Camera/Video/ Recording (CVR) Equipment Permit, form NOSC-SD 5512/40, for an employee will be sent to Code 1504 (Code 0059 in Hawaii), via Code 96, Audiovisual (AV) Manager (Code 963 in Hawaii), for approval before Code 151 issues a CVR per- mit. Requests must be signed by a division head or above. NOTE: Code 96 (AV Manager) will determine if the permit will be annotated "Video Display Only". (2) Visitor. A Request for Photographer's Pass or Camera/Video/Re- cording (CVR) Equipment Permit, form NOSC-SD 5512/40, for a visitor will be sent to Code 1504 (Code 0059 in Hawaii), via Code 96, Audiovisual (AV) Manager (Code 963 in Hawaii), for approval before Code 151 issues a CVR permit. Requests for Government visitors must be signed by a division head or above. Requests for contractor visitors must be signed by the COTR or the project manager of the contract needing photographic services. NOTE: CVR permits issued to Public Affairs Office personnel will be annotated on the back "Authorized to escort news media and cameramen to all Center locations". c. Photographer's Pass. Issued to the Center's professional photogra- phers whose primary employment is performance of photographic functions neces- sary to support the requirements of the Center and the naval establishment. A Photographer's Pass will be issued by Code 151 (or Code 0059 in Hawaii) upon receipt of a Request for Photographer's Pass or Camera/Video/Recording (CVR) Equipment Permit, form NOSC-SD 5512/40, from a division head or higher, and approved by Code 96 (AV Manager) (or Code 963 in Hawaii). This pass will expire the same date as the individual's picture badge unless revoked before expiration date by Code 15 upon recommendation of Code 96 (AV Manager), upon termination of the individual's employment, or for other reasons as considered necessary. In Hawaii, Code 0059 will revoke these passes upon recommendation of Code 963. d. U.S. Government I.D. Card. Issued to Center or tenant activity employees who need identification for official travel throughout the United States or to foreign countries. A Center-issued employee badge must be shown to obtain the U.S. Government ID card, Optional Form 55. This is a nonexpir- ing identification card which may have an expiration date included to ensure acceptance at all Government activities. 15-10 NOSCINST 5500.1A 22 August 1988 CHAPTER 16 VISIT CONTROL 1. Scope. The provisions of this chapter refer to official classified visits by NOSC personnel to other Government activities or contractors' facilities within the Continental United States (CONUS) (i.e., the 48 contiguous states and the District of Columbia), and to both classified and unclassified visits to NOSC by U.S. citizens and immigrant aliens. See chapter 4 of this manual for information concerning visits outside CONUS. 2. Policies a. The accuracy of the security clearance information contained in visit requests for employees to visit other Government activities or contractors' facilities within CONUS must be certified and the visit request format approved by the appropriate division travel coordinator. b. Access to the Center by visitors shall be strictly controlled per the provisions of this chapter. c. Access to classified information by visitors shall be limited to the information required by the stated purpose of the visit. Furthermore, the level of access granted the visitor may never be higher than the level of security clearance/access stated on the visit request. 3. Responsibilities a. Classified Visits within CONUS by NOSC Employees (1) Division Heads. Division heads or equivalent are responsible for: (a) Coordinating visits by employees in their organizational group to avoid duplication of effort and unnecessary expense. (b) Determining if other organizational groups will participate in specific visits concerning programs for which their group has primary cogni- zance and submitting names of all personnel on one request whenever possible. (c) Coordinating all visits to COMOCEANSYSLANT (COSL) or any NAVFAC within CONUS with the IUSS Systems Engineering Office, Code 7204. (2) Department/Division/Branch Travel Coordinator. Each travel coor- dinator is responsible for: (a) Screening visit requests to ensure: 1. Appropriate visit request form is used as specified in paragraph 4 of this chapter. 2. Visit request contains all the required information perti- nent for specific visit, i.e., criteria for contractors, ships, correct addresses, correct expiration dates of clearances/visits, etc. 16-1 NOSCINST 5500.1A 22 August 1988 3. Correct level of clearance. 4. Visit request is routed through appropriate codes for specific visit, i.e. intelligence-related, Department of Energy, contractor's clearance/need-to-know certification. (b) Signing, or obtaining signature of, designated "authorizing official" on the visit request. (c) Ensuring a signed copy of the outgoing visit request is sent to the Information and Personnel Security Group (Employee Clearance), Code 152. (3) Each Employee. Each employee is responsible for: (a) Ensuring requests for classified visits are prepared and submitted through supervisory channels far enough in advance of the proposed date of visit to allow evaluation and processing at NOSC and at the activity to be visited. NOTE: Visits to areas within CONUS require at least of 10 days lead-time. (b) Providing adequate information needed to process the visit request such as correct address, point of contact, and specific purpose of the visit. (c) Ensuring intelligence-related visit requests are coordinated with the Intelligence Office, Code 17, per paragraphs 4a(9) and 4a(10) of this chapter. (4) Security Office. The security offices (Code 151, San Diego or Code 0059, Hawaii) are responsible for responding to inquiries from private industry or other commands about information provided on visit requests. They are also responsible for verifying any clearances not accessible to the origi- nating code's travel coordinator. b. Unclassified Visits Within CONUS by NOSC Employees. Employees are responsible for making their own security arrangements for visits within CONUS where no classified information will be discussed. c. Classified Visits to the Naval Ocean Systems Center (NOSC) (1) Each Employee. Each employee is responsible (as appropriate) for the following: (a) Advising persons requesting classified visits to NOSC concern- ing appropriate procedures and correct address for submission of visit requests (Code 151 at San Diego and Code 0059 at Hawaii). (b) Advising the Visit Control/Badge and Decal Group, Code 151, and the Command Visits Office, Code 0321, when VIP visitors are expected and requesting any special arrangements. 16-2 NOSCINST 5500.1A 22 August 1988 NOTE: VIP visitors are Navy Captains or above and other equivalent military officers, their civilian equivalents (GS-15 or above), or persons whose posi- tions entitle them to special attention. (c) Advising Codes 151 and 0321 of any proposed meetings, provid- ing information concerning the names of attendees, level of material to be discussed at the meeting, proposed conference room(s) to be used, dates of the meeting, badging arrangements desired, and any other special requirements such as overnight storage of classified material and special guard services. (d) Ensuring that uncleared visitors do not gain access to classi- fied information and that cleared visitors have access only to that classified information concerning the purpose of the visit. (2) Information and Personnel Security Group. The Information and Personnel Security Group, Code 152, is responsible for screening requests for classified visits to Center facilities to ensure that the request contains the information required by reference (a) (OPNAVINST 5510.1G). 4. Procedures For Classified Visits within CONUS a. General Information (1) Each NOSC employee required to visit another Government activity shall submit a visit request (Visitor Clearance Data, OPNAV Form 5521/27); a Joint Message Form (DD Form 173); or a Department of Energy, DOE Form F- 5631.20 to the travel coordinator for processing. (2) One copy of the visit request MUST be sent to Code 151. (3) At least 10 days lead-time is required to process visit requests sent on OPNAV Form 5521/27 or DOE Form F-5631.20 almost anywhere outside of California. If less than 10 days lead-time is available, visit requests should be made by naval message, DD Form 173. (4) Visit requests prepared on OPNAV Form 5521/27 may be signed by any designated person within a code who has "By direction" authority. NOTE: A person cannot sign a visit request with his/her own clearance on it. (5) Messages to shore activities inside CONUS may be released by any person with message release authority. Messages to fleet activities must be released by a military officer who has message release authority. (6) Messages which include any privacy information (more than a social security number and name) MUST include the statement "SUBJECT TO PRIVACY ACT OF 1974". This statement should be placed on the classification line of the message, following the standard subject identification code (SSIC) (exhibit C). (7) Messages should contain a "PASS TO" addressee of "Visitor Con- trol". This statement should be placed below the classification line or in place of the Privacy Act Statement (if it is not required) (exhibit F). 16-3 NOSCINST 5500.1A 22 August 1988 (8) Visit requests to Department of Energy activities must be proc- essed through the Information and Personnel Security Group, Code 152. (9) Any tasking of the Naval Intelligence Command (NAVINTCOM) or its field activities will be coordinated by the Intelligence Office, Code 17. Similarly, requests from other intelligence organizations, including NAVINTCOM field activities, for NOSC personnel participation in intelligence-related working groups, briefings, conferences, joint efforts, etc., should also be coordinated with Code 17 to ensure that SPAWAR and NIC-OOS are aware of the requests. (10) Visit requests to the Naval Intelligence Support Center (NISC) should be routed to Code 17 for certification of need-to-know. This certifi- cation should be placed in the "Purpose of Visit" block on the form by typing "Need to know certified by NOSC STILO" with Code 17's signature below. b. Information Required on Visit Requests (1) To Government Activities (a) Name and address of the activity to be visited. Use "Visitor Control" as the ATTENTION/PASS TO addressee. (b) Name(s) of person(s) to be visited. If known, indicate the person(s) code and phone number. (c) Name in full (last, first, middle), title, rank or grade, position, social security number, and citizenship of proposed visitor. NOTE: If visitor is a naturalized U.S. citizen, include the naturalization number; or if the visitor is an immigrant alien, furnish the alien registra- tion number. (d) Security clearance status of visitor (basis of clearance is not required). If a person's clearance is an interim, so state along with the expiration date (exhibit A). (e) Purpose of visit in detail including estimated degree of access required. (f) Date and duration of proposed visit. 1. Duration of a visit cannot exceed 1 year. 2. Duration of a visit cannot exceed the expiration date of an interim clearance. (2) To Contractor Facilities. In addition to the requirements out- lined in paragraph 4a above, provide the following information: (a) Contract number or specific requirement for the visit (such as precontract negotiation if no contract exists) must be included in the pur- pose. 16-4 NOSCINST 5500.1A 22 August 1988 (b) Visitor's date and place of birth. (c) If visit request is sent by naval message to a contractor facility, with or without "on-line communication" capabilities, the account number NA-CNRF must be included (exhibit D). c. Visit Requests to Ships Within CONUS (Exhibit G) (1) The message must be sent to the type commander with INFO to the ship. If a code has special permission to send a visit request directly to the ship, state who granted the authorization in the message (the type com- mander will still remain an addressee). (2) The message should state the exact dates of a specific visit. If required, the visit request may include intermittent visits up to 1 year. (3) All messages to ships should include a NOSC point-of-contact with NOSC phone number to enable the ship to call in case of last minute changes. (4) If the message contains information of the ship(s) location, move- ments, or dates of the same, the message must be classified per OPNAVINST S5513.3B. NOTE: COMNAVSURFPAC requires advance notice of 90 days before the visit. All other type commanders require advance notice of 30 days before the visit. SPECIAL NOTE: Requests for visits to ships outside CONUS must be sent as "travel clearance requests", be classified in accordance with OPNAVINST S5513.3B, and must be prepared and submitted as specified in chapter 4 of this manual. d. NAVFAC Visits (1) If travel is to Commander, Oceanographic Systems Atlantic (COM OCEANSYSLANT/COSL), any U. S. Naval Facility (NAVFAC) or any U.S. Naval Ocean- ographic Processing Facility (NOPF) in CONUS under the jurisdiction of COM OCEANSYSLANT or Commander, Oceanographic System Pacific (COMOCEANSYSPAC/COSP), the traveler must coordinate the proposed visit with Code 7204. (2) Need-to-know certification by COMSPAWARSYSCOM PMW-180 is necessary on all NAVFAC visits. (3) Requests should be submitted to Code 7204 on NAVFAC Visit Request, NOSC-SD 5512/25, in lieu of Visit Request, form OPNAV 5512/27. (4) The NAVFAC Visit Request form should be approved by the project manager, branch head, and division head. (5) To ensure compliance with advance notice requirements, provide requests to Code 7204 as follows: (a) COSP - Monday of week before visit. 16-5 NOSCINST 5500.1A 22 August 1988 (b) COSL - Monday 2 weeks before visit; foreign travel - 30 days before visit. (c) NAVFAC Visit Request, NOSC-SD 5512/25, must be received on the Wednesday preceding the appropriate Monday. Code 7204 will prepare a weekly visit request message to COMOCEANSYSLANT and/or COMOCEANSYSPAC. e. Contractor's Clearance. If NOSC is passing a contractor's clearance (exhibit A), the following applies: (1) Contractor must have an official visit request on file at NOSC (phone-in, telefaxed, or advance copies of visit requests are not authorized). (2) Duration of visit cannot exceed the expiration date of the con- tractor's clearance on file at NOSC or the expiration date of the contract whichever comes first. (3) Visit request must include: (a) Name in full (last, first, middle), title or position, social security number. (b) Name of contractor's facility. (c) Date and place of birth and citizenship. If immigrant alien, so state. (d) Date of requested visit. (e) Clearance along with expiration date of visit request with NOSC, i.e. Secret, clr exp 11/30/87 at NOSC. (f) Purpose of and justification for the visit in detail. If a contract is involved, the contract number, name and address of the defense contracting activity will be furnished. If NOSC contract, route visit request through the Information and Personnel Security Group, Code 152, for verifica- tion of need-to-know. f. samples of visit requests/messages to be prepared by codes are attached (exhibits A-G), as follows: (1) Exhibit A - Visit Request to a Government activity. (2) Exhibit B - Visit Request to a contractor's facility. (3) Exhibit C - Message to a military activity. (4) Exhibit D - Message to two contractor facilities who do not have "on-line" communication capabilities. (5) Exhibit E - Message to a Government activity and two contractor facilities (one with "on-line" and one without "on-line" communication capa- bilities). 16-6 NOSCINST 5500.1A 22 August 1988 (6) Exhibit F - Message with "pass to" instructions. (7) Exhibit G - Message to a U.S. ship (inside CONUS). NOTE: Account Number NA-CNRF must be included in both exhibits D and E. g. Unclassified Visits to CONUS Activities. Employees shall make their own security arrangements for visits where no classified information will be discussed. 5. Procedures for Official/Unofficial Visits to NOSC Facilities a. Classified/Unclassified Visits (1) Nonescorted Access. Only cleared U.S. citizens (excluding U.S. citizens representing a foreign-owned company) may be given unescorted access to NOSC buildings. Cleared immigrant aliens will be restricted to area(s) authorized by NOSC sponsor. (2) Escorted Access. An escort is required when: (a) A non-Government visitor has no clearance on file at NOSC. (b) The visitor is a news media representative. (c) The visitor needs to enter a security area, i.e., where clas- sified material must be covered or secured to prevent access. (d) The visitor is a foreign national. (e) The visitor is a union representative. (f) The contact so desires. b. Types of Visits (1) Meetings/Conferences. After the NOSC host coordinates the meet- ing/conference with the Visit Control/Badge and Decal Group, Code 151, and the visit requests for the attendees are received, Code 151 will prepare the appropriate badges for issuance. (2) Visits by Very Important Persons (VIP's). The NOSC host should submit a Request for VIP Name Badge, NOSC-SD 5512/127, to Code 151 when a VIP is expected to visit NOSC. Code 151 will prepare appropriate badge for issu- ance. (3) Visits After Normal Work Hours. An After-Hours Admittance Pass (Visitor), NOSC-SD 5512/10, must be submitted to Code 151 by the NOSC contact for visitors without NOSC picture badges for all visits during other than normal work hours including weekends and holidays. The form must be signed by a division head or above. Code 151 will verify the clearance status, prepare proper badge, and give to appropriate guard post for issuance. Contractors possessing NOSC picture badges may enter NOSC facilities whenever their offi- cial duties require such access. 16-7 NOSCINST 5500.1A 22 August 1988 (4) Community Relations Visits. Specific civic organizations, youth groups (high school students, Scout organizations), and similar community groups that have a scientific background and interest compatible with the Center mission may be admitted to NOSC for a tour of Center facilities when prior arrangements have been made with the Public Affairs Office, Code 032. These groups must be escorted at all times by one NOSC employee for every ten visitors. Code 151 should be notified in writing when such groups are coming aboard. Whenever possible, the memorandum should list the names of the indi- viduals. If names cannot be furnished, certification that all individuals are U.S. citizens is required by Code 151. (5) Unofficial Visits. Unofficial visits to Center locations should be kept to an absolute minimum and must be authorized by the Chief Staff Offi- cer, Code 03. 16-8 NOSCINST 5500.1A 22 August 1988 CHAPTER 17 PERSONNEL SECURITY CLEARANCES 1. Background. SECNAVINST 5510.30, reference (xx), establishes the Depart- ment of the Navy Personnel Security Program and designates the Chief of Naval Operations (CNO)(OP-009) to implement the program. Effective 1 July 1987, in response to CNO, the Department of the Navy, Central Adjudication Facility (DON CAF) is responsible for granting final security clearances to civilian employees and determining their eligibility to serve in sensitive positions per reference (tt). 2. Policy. The program's basic policy is that no person shall be appointed or retained as a civilian employee in the Department of the Navy, accepted or retained in the Navy or Marine Corps, granted access to classified informa- tion, or assigned to other sensitive duties that are subject to investigation unless appointment, acceptance, retention, clearance, or assignment is clearly consistent with the interests of national security. a. Appointment/Retention. Appointment or retention will be assumed to be clearly consistent with the interests of national security unless or until competent authority has determined that there is a reasonable basis for doubt- ing the person's loyalty to the Government of the United States. b. Suitability/Eligibility. Determinations of suitability or eligibility for civilian employment or service in the Navy and Marine Corps, on any basis other than loyalty, are not personnel security determinations and, therefore, are not under the purview of reference (a) or (xx). In other words, the Information and Personnel Security Program Regulation is not the authority to deny or terminate civilian employment or military service unless loyalty is the central issue. c. Access to Classified Information. Eligibility for access to classi- fied information, or assignment to other sensitive duties subject to investi- gation, will be based on a determination of the person's loyalty, reliability, trustworthiness, and judgment and governed by the provisions of reference (a) (OPNAVINST 5510.1G). (1) Non-U.S. Citizens (a) Non-U.S. citizens (immigrant aliens and foreign nationals including nonimmigrant aliens) are not eligible for security clearances. Every effort will be made to ensure non-U.S. citizens are not employed in duties that may require access to classified information. Enlisted non-U.S. citizens may not enter ratings or military occupational specialties (MOS) which generally require access to classified information. (b) Non-U.S. citizens are not eligible for assignment to civilian sensitive positions not requiring access to classified information unless approved by CNO (OP-09N). 17-1 NOSCINST 5500.1A 22 August 1988 (2) Naturalized Citizens from Designated Countries (a) If a naturalized U.S. citizen whose country of origin is des- ignated in appendix E or who has immediate family members or other persons to whom he or she is bound by affection or obligation residing in one of the designated countries listed in appendix E, then a hostage situation exists. This situation requires a hostage interview by Defense Investigative Service (DIS). (3) Eligibility for Access to Classified Information. Eligibility for access to classified information will be continuously evaluated. (a) When information reflecting on an individual's trustworthiness becomes available, it will be assessed from a security perspective applying the security criteria and adjudication guidelines of reference (a). Informa- tion reflecting on the continued eligibility of a civilian employee for secu- rity clearance or assignment to sensitive duties will be forwarded immediately to the Director, Central Adjudication Facility (Code 29). (b) Security eligibility will be reassessed when a military member is to be transferred for confinement and appropriate action taken before transfer. When a military member is adjudged punitive discharge, awarded an administrative other-than-honorable (OTH) separation (discharge), incarcerated as the result of conviction for a criminal offense, or declared a deserter, the Commander, NOSC, will revoke security clearance eligibility immediately and without regard to procedures of paragraph 22-6 of reference (a) and for- ward the revocation to Commander, Naval Military Personnel Command (NMPC-81). (4) Contractor Employees. In exceptional situations, contractor employees may require unescorted access to restricted areas, sensitive infor- mation, or equipment not involving access to classified information. To not jeopardize the security of the command or otherwise endanger the national security, provisions for investigation and trustworthiness determination for these situations have been established within DON as the Facility Access Determination (FAD) Program. Under the FAD Program, the Commander, NOSC, may be authorized by CNO (OP-09N) to request National Agency Checks (NAC's) to provide information on which to base decisions to grant or deny access to the Center. (5) Sensitive Duties. Sensitive duties are those in which an assigned military or civilian employee could bring about, by virtue of the nature of the duties, a material adverse effect on the national security. Any duties requiring access to classified information are sensitive duties. Any civilian position entailing sensitive duties is a sensitive position. (6) Criteria for Designating Sensitive Positions/Duties. Criteria applied in designating positions/duties as sensitive are: (a) Critical-Sensitive (Top Secret) 1. Access to Top Secret information. 2. Development or approval of plans, polices, or programs that affect the overall operations of the Department of the Navy. 17-2 NOSCINST 5500.1A 22 August 1988 3. Development of war plans, plans or particulars of future major or special operations of war, or critical and extremely important items of war. 4. Investigative and certain investigative support duties, the issuance of personnel security clearances or access authorizations, or the making of personnel security determinations. 5. Fiduciary, public contact, or other duties demanding the highest degree of public trust. 6. Duties requiring access to sensitive compartmented infor- mation (SCI). 7. Any other position designated by the Commander, NOSC. (b) Noncritical-Sensitive (Secret/Confidential) 1. Access to Secret or Confidential information. 2. Assignment to security police/provost marshal duties involving the enforcement of law and security duties involving the protection and safeguarding of Department of the Navy personnel or property. 3. Assignment to duties involving education and orientation of Department of the Navy personnel. (Applicable only to personnel who pre- pare formal instructional material or present formal courses of instruction.) 4. Duties involving the design, operation, or maintenance of intrusion detection systems deployed to safeguard Department of the Navy per- sonnel and property. 5. Category II automatic data program position. (See appen- dix F for definition.) 6. Any other position/duty designated by the Commander, NOSC. (c) Any one of the criteria will make a position/duty sensitive. If more than one applies, only the predominant factor needs to be recorded. If access to classified information is one of the factors, it will always be predominant. (d) Nonsensitive (Unclassified). All other positions/duties are to be designated as nonsensitive (unclassified). d. Personnel Security Determinations. Personnel security determinations must be made and documented when: (1) A Personnel security investigation (PSI) is completed. (2) Access to classified information or assignment to sensitive duties is necessary under interim or emergency conditions. 17-3 NOSCINST 5500.1A 22 August 1988 (3) Questionable or unfavorable information becomes available about an individual on whom a favorable determination had been made. (4) Reasonable indications that the factors upon which a previous adverse determination was made no longer exist and the individual is a candi- date for clearance or assignment to sensitive duties. e. Granting of Personnel Security Clearances. A personnel security clearance will be granted after: (1) U.S. citizenship is verified, and (2) Favorable investigation is completed, or (3) DON CAF authorizes final clearance, or (4) Interim clearance criteria is met. 3. Types of Clearances a. Final Clearance. A final clearance is granted by DON CAF upon comple- tion of all investigative requirements. b. Interim Clearance. An interim clearance is granted by NOSC temporar- ily (6 months) based on: (1) Approval of the justification by the Head, Security Office, Code 15; (2) A favorable personal interview by the Security Manager, Code 152; (3) A security briefing by the Information and Personnel Security Group, Code 152; and (4) Appropriate initiated/completed investigation. 4. Investigations. The appointment of each civilian employee and member of the Navy and Marine Corps is subject to investigation. Exceptions would apply to civilians who are being reappointed with a break in service less than 12 months, or who have an active clearance from another Government agency or DOD facility. Upon verification of a previous favorably completed investigation, the appointment may be made. a. Types of Investigations. A personnel security investigation (PSI) is an inquiry by an investigative agency into an individual's activities con- ducted for the purpose of making a personnel security determination. PSI's fall into one of the following categories: (1) National agency check (NAC). (2) National agency check and inquiry (NACI). (3) Background investigation (BI). 17-4 NOSCINST 5500.1A 22 August 1988 (4) Special background investigation (SBI). (5) Periodic reinvestigation (PR). b. Investigation Requirements (1) Top Secret (a) Final. BI or SBI. (b) Interim (Emergency Appointment). Completed NAC, NACI or ENTNAC; favorable check of locally available records; BI has been requested; and the justification has been approved by the Security Manager. (c) Periodic reinvestigation is required for all personnel who have access to Top Secret and their BI/SBI is more than 5 years old. (2) Secret or Confidential (a) Final. NACI. (b) Interim (Emergency Appointment). Favorable check of locally available records, NACI has been requested, and the justification has been approved by the Security Manager. (3) Unclassified. NACI requested no more than 3 days after appoint- ment. 5. Responsibilities a. Chief Staff Officer. The Chief Staff Officer, Code 03, is respon- sible, as designated by the Commander, NOSC, for controlling the number of clearances at each level (Top Secret, Secret, and Confidential) which was set by the Chief of Naval Operations. b. Heads of Departments/Major Staff Offices, Divisions, and Branches and/or Supervisors. Heads of departments/major staff offices, divisions, branches, and/or supervisors are responsible for: (1) Designating each current civilian position using the criteria in paragraph 2c(6). (2) Notifying Codes 152 and 14 each time a position change occurs. (3) Completing and signing a Personnel Position Designation, NOSC-SD 5521/10 (exhibit A), on all new hires, reassignments within NOSC, and trans- ferees outside NOSC. (4) Immediate supervisors are required to review DD Form 398, Person- nel Security Questionnaire, and make a supervisory evaluation statement in remarks section on employees requiring periodic reinvestigations. c. Civilian Personnel Officer. The Civilian Personnel Officer, Code 14, is responsible for: 17-5 NOSCINST 5500.1A 22 August 1988 (1) Maintaining liaison with department heads concerned and with Code 152 about appointing requirements for applicants selected for employment at NOSC. (2) Sending a copy of Personnel Position Designation, NOSC-SD 5521/10 (exhibit A), on all new hires, reassignments within NOSC, and transferees outside NOSC. (3) Reviewing all investigations for nonsensitive positions for a suitability determination. (4) Reviewing investigations for sensitive positions which include derogatory information of a nature that warrants an employment decision before security eligibility adjudication. (5) Advising the Security Manager of information reflecting on an individual's trustworthiness which could affect eligibility for access to classified material or retention in a sensitive position. d. Security Operations Coordinator. The Security Operations Coordinator, Code 1504, is responsible for maintaining accountability of the number of clearances at each level and reporting the numbers monthly to the Chief Staff Officer, Code 03. e. Security Manager. The Security Manager, Code 152, is responsible for: (1) Conducting all personal interviews for interim clearances and giving security briefings. The Security/Safety Office - Hawaii, Code 0059, is responsible for these duties at the Hawaii Laboratory. (2) Reviewing any derogatory information for a security determination. (3) Administering the Personnel Security Program at NOSC per reference (a) (OPNAVINST 5510.1G). f. Information and Personnel Security Group. The Information and Person- nel Security Group, Code 152, is responsible for: (1) Forwarding appropriate investigation results to the Employee/Labor Relations Office, Code 144. (2) Maintaining account of nonsensitive and sensitive positions in the security data base. 6. Procedures a. Clearance Requests. NOSC is authorized to grant an interim security clearance to eligible civilian personnel. A Security Clearance/Determination Request and Authorization, OPNAV Form 5510/413, must be sent to DON CAF requesting the final security clearance be granted. 17-6 NOSCINST 5500.1A 22 August 1988 (1) Interim (Emergency Appointment) (a) A division head or above must indicate on the Personnel Posi- tion Designation, NOSC-SD 5521/10 (exhibit A), that an interim clearance is required and at what level. If the request is for an interim Top Secret clearance, it must state justification for Top Secret access. The request will be sent to the Chief Staff Officer, Code 03, via the appropriate depart- ment head, (Code 1721 if request is for interim Top Secret), Code 152, and Code 1504. (b) Code 152 verifies that the appropriate investigation has been completed at the level required for the interim clearance requested and initi- ates the appropriate investigation for the final clearance. (c) Code 152 interviews the individual and gives a security brief- ing before the interim security clearance is granted. In Hawaii, Code 0059, will conduct the interview, give the security briefing, and send the results, in writing, to Code 152. (d) After approval of the request is received from Code 03, Code 152 will notify: 1. Subject individual and appropriate division head. 2. Civilian Personnel Officer, Code 14, if the subject indi- vidual is an applicant. (2) Upgrading/Reinstating Clearance (a) The division head or above must submit a memorandum to the Chief Staff Officer, Code 03, via the appropriate department head and Code 1504 with justification for the upgrade. (b) Code 1504 will send the request to Code 03 with a memorandum summarizing the individual's access eligibility. Code 1504 will distribute the memorandum with Code 03's approval/disapproval endorsement of the upgrade/reinstatement of clearance to the appropriate codes. (3) Upgrading to Top Secret Clearance (a) A division head or above must submit a memorandum to the Chief Staff Officer, Code 03, via the appropriate department head, Code 1721, Code 152, and Code 1504 with justification for the request. Since the number of Top Secret clearances issued by NOSC is controlled, each request for a new Top Secret clearance must indicate the name of the person whose Top Secret clear- ance may be cancelled as compensation or, if this is not possible, specify conditions which preclude compensation. (b) Subject individuals must submit a Personnel Security Question- naire, DD Form 398, to Code 152 before the request is sent to Code 03. (c) Code 152 will notify the individual and appropriate division head of approval/disapproval by Code 03. 17-7 NOSCINST 5500.1A 22 August 1988 (4) Downgrading/Withdrawal of Clearance. Supervisors/managers are required to identify any employee in their organization whose duties do not require access to classified information. Send a memorandum to the Informa- tion and Personnel Security Group, Code 152, giving the name of the individual and the required clearance level or withdrawal. Code 152 will administra- tively downgrade/withdraw the individual's clearance. This action is nonprej- udicial and in no way affects the individual's future eligibility for access. If required at a later date, access may be requested following the procedures in paragraph 6a(2) above. b. Initial Clearance Request on New Employee (1) The division head or above sends the following form with the Request for Personnel Action, Standard Form 52: (a) Personnel Position Designation, NOSC-SD 5521/10 (exhibit A). (b) Indicate on the form the classification of the subject posi- tion/duties. (c) If the position/duties are classified but the individual you hired does not have a clearance, then you must request one or both of the following on the form: 1. Interim clearance. 2. Emergency appointment. (2) Civilian Personnel Officer, Code 14. When an applicant has been selected by a code, Code 14 shall: (a) Forward the form SF 171 and form NOSC-SD 5521/10 to Code 152. (b) Give the applicant the security forms for completion or indi- cate on form NOSC-SD 5521/10 (exhibit A) that the security forms have been mailed to the applicant. (c) Instruct the applicant to complete the security forms and give them to Code 152 for approval before establishing an entry-on-duty (EOD) date. (d) File the Certificate of Personnel Security Investigation, Clearance and Access, OPNAV Form 5520/20 or the Security Clearance/Determina- tion Request and Authorization, OPNAV Form 5510/413; the original application (SF 171) on which completion of investigation is documented; and the Standard Form (SF) 85, Data for Nonsensitive or Noncritical-Sensitive Positions. (3) Information and Personnel Security Group, Code 152. Code 152 shall: (a) Verify U.S. citizenship. (b) Review forms for accuracy and send them to the appropriate investigative agency. 17-8 NOSCINST 5500.1A 22 August 1988 CHAPTER 18 VEHICLE REGULATIONS 1. Scope. The policies and procedures in this chapter for operating pri- vately owned vehicles (including vans, RV's, automobiles, motorcycles, mopeds, or any other type motorized vehicle requiring registration by the State of California) aboard the Center are effective at the San Diego and Morris Dam facilities. NOSC personnel at the Hawaii Laboratory shall adhere to vehicle regulations of the host activity. 2. Background a. OPNAVINSTS 5560.10B and OPNAVINST 11200.5B state that all military and civilian personnel, including individual and corporate members of the public, must possess and must certify in writing that the vehicle has been lawfully registered and is covered by motor vehicle liability insurance which meets the requirements of California State law in order to secure and retain driving and parking privileges on this military installation. b. OPNAVINSTS 5560.10B and 11200.5B also require the maintenance of a vehicle registration form for each driver operating a privately owned vehicle on the installation. 3. Responsibilities a. Security Office. The Security Office, Code 15, is responsible for issuance of vehicle decals, monitoring parking areas, administration of traf- fic and parking violation systems, and maintenance of required records. b. Owners of Vehicles. Owners of vehicles driven or parked on Center facilities are responsible for: (1) Registering with the Visit Control/Badge and Decal Group, Code 151, all vehicles brought on board this Center, even if a DOD Registered Vehi- cle Decal has been issued by another activity. (2) Permanently affixing all vehicle decals (DOD, carpool, executive, etc.) to the exterior of the vehicle in the prescribed locations. (3) Replacing vehicle decals if they become illegible. (4) Renewing decals before the expiration dates. (5) Removing the vehicle decal upon disposal of the vehicle; upon disposal or refinishing of the vehicle bumper; upon discharge, transfer, or termination; or when required by the Visit Control/Badge and Decal Group, Code 151. (6) Notifying Code 151 within 48 hours if their driver's license is suspended or revoked by civil authority for any reason. 18-1 NOSCINST 5500.1A 22 August 1988 4. Vehicle Operating Policies a. Driving Privileges. The operation and parking of a privately owned motor vehicle on the Center constitutes a conditional privilege extended by the Commander, NOSC. Individuals desiring the privilege will meet the follow- ing conditions: (1) Possess a valid NOSC picture badge. (2) Comply with laws and regulations governing motor vehicle operation on Center property. (3) Comply with the requirements for NOSC registration. EXCEPTION: A valid vehicle decal issued by another DOD activity will be accepted; however, the employee/military member/contractor must show the decal number and other required information on the Clearance/Badge/Decal Record, NOSC-SD 5512/113, completed at the Visit Control/Badge and Decal Office. (4) Possess while operating a motor vehicle and produce on demand of enforcement personnel: (a) Proof of vehicle ownership or state registration. (b) A valid state driver's license. (See paragraph 5b of this chapter for clarification.) b. Liability Insurance. Per OPNAVINST 11200.5B, all persons accorded long-term driving and parking privileges on Center property must carry at least the minimum amount of motor vehicle liability insurance required by the State of California ($15,000/$30,000 public liability and $5,000 property damage). c. Identification. Vehicle decals serve only to identify the vehicle. Every occupant of the vehicle, including the driver, must have in their pos- session a valid NOSC identification badge except for visitors accompanied by a person with a V-badge or a person with the word "Security" imprinted above the badge expiration date on their badge. d. Search Agreement. The recipient of a vehicle decal must signify agreement, in writing, to a spot check or search of the vehicle at such times as deemed necessary by proper authority by signing the vehicle decal agreement on the Clearance/Badge/Decal Record, form NOSC-SD 5512/113. e. Change of Vehicle Ownership. Upon change of vehicle ownership, per- sonnel must remove the NOSC decal before transferring custody of the vehicle and must notify Code 151 within 5 workdays. f. Requirements for Motorcycles. Motorcycles must be registered in the same manner as motor vehicles. The term "motorcycle" applies to motorcycles, motor scooters, motorized bicycles with or without pedals, and all terrain vehicles (ATV's). 18-2 NOSCINST 5500.1A 22 August 1988 g. Requirements for Motorcycle Riders (1) All military and civilian personnel shall wear/use the following personal protective equipment when operating or riding on motorcycles: (a) A properly fastened (under the chin) protective helmet. (b) Resistant eyeglasses, goggles, or face shield attached to the helmet. (c) Hard-soled shoes with heels. (2) Each operator of a motorcycle shall successfully complete the Motorcycle Safety Foundation's Motorcycle Rider Course (MRC) or the Motorcycle Safety Foundation's Motorcycle Rider Course-Riding and Street Skills (MRC-RSS) or other training approved by the Naval Safety Center. These courses are available at: (a) Naval Station San Diego 556-8139 Quota control: Training Division (b) Naval Air Station North Island 545-7404 Quota control: Training Office (c) Submarine Base San Diego 553-7523 Quota control: Safety Office (d) Naval Air Station Miramar 537-1359 Quota control: Safety Office (e) Naval Training Center 524-5959 Quota control: Safety Office (3) Each registrant or operator of a privately owned motorcycle shall have a motorcycle safety course completion card signed by an approved instruc- tor before being issued a vehicle registration decal. (4) Motorcycle operators shall ensure headlights are turned on at all times while the motorcycle is being operated on Center. h. Suspension and Revocation. The privilege of driving privately owned motor vehicles on military installations is subject to either administrative suspension or revocation for due cause by the Commander, NOSC, or his desig- nated representative, Code 15. 5. Issuance and Use of Motor Vehicle Decals a. Certification Before Decals are Issued. Persons requesting issuance of NOSC vehicle decals are required to certify that: (1) The vehicle is covered by at least the minimum liability insurance required by California law. (2) A valid license plate has been issued for the vehicle. 18-3 NOSCINST 5500.1A 22 August 1988 (3) The vehicle is mechanically safe. (4) The requester owns the vehicle or has been designated in writing by the owner as an authorized user. NOTE: Vehicle decals may be issued for leased vehicles when the lease period is 1 year or more, and written verifica- tion by the Security Officer for contractor personnel and division heads or above for NOSC personnel is sent to Code 151 listing the authorized drivers. Certification will be accomplished by completing and signing the vehicle decal agreement on the Clearance/Badge/Decal Record, form NOSC-SD 5512/113. (5) Motorcyclists will have a motorcycle safety course completion card in addition to the requirements outlined in paragraphs 5a(1), 5a(2), 5a(3), and 5a(4) above. b. Operator's License. The requester must have a valid State of Califor- nia operator's license. EXCEPTION: In the case of nonresident personnel, an operator's license issued in the requester's home state will be accepted if still in force. The requester's driver's license must be shown when applying for a decal or for renewal. c. Decals. When certification has been made, Code 151 will issue a DOD Registered Vehicle decal, DD Form 2200, with a NOSC installation tab of the appropriate color, as follows: (1) Green. Civilian personnel employed by NOSC. These decals and installation tabs are honored at most DOD activities. (2) Blue. Commissioned and warrant officers who are on active duty at NOSC. Commissioned and warrant officers who retire at NOSC will be granted a one-time issuance unless employed as a bona fide NOSC employee. These decals and installation tabs are honored at any DOD activity. (3) Red. Military enlisted personnel who are on active duty at NOSC. Enlisted personnel who retire at NOSC will be granted a one-time issuance unless employed as a bona fide NOSC employee. These decals and installation tabs are honored at any DOD activity. (4) White. Civilian employees and individual and corporate members of the public whose vehicles are authorized to be driven only aboard NOSC. d. Expiration Dates. Decals issued to civilian employees at NOSC will expire on the individual's birth month 3 years from the date issued. Those issued to active duty military personnel will expire at the end of their tour of duty at NOSC. Those issued to military personnel retiring from NOSC will expire on expiration date as issued and will not be renewed at NOSC unless required for Government business access purposes. Those issued to all other personnel will expire not more than 1 year from date of issue. e. Grade Insignia. Officers of grade O-6 and above will be issued an appropriate grade insignia. These decals shall be placed to the viewer's right of the DOD Registered Vehicle decal and at least 1 inch away from it. 18-4 NOSCINST 5500.1A 22 August 1988 f. Chief Petty Officer Insignia. Chief Petty Officers, E-7, E-8, or E-9, will be issued a CPO insignia representing the appropriate cap device super- imposed over the number of its matching pay rate. CPO insignias are to be placed to the viewer's right of the DOD Registered Vehicle decal and at least 1 inch away from it. g. Placement of Decals/Insignias. All decals/insignias will be affixed to the outside of the vehicle. They will be permanently affixed on the driv- er's side on the front bumper or in the lower right/left corner of the vehi- cle's windshield not to cover more than a 7-inch square. On 2-wheel vehicles, decals/insignias will be placed on a conspicuous front-facing surface or the front fender. h. Removal of Decals. Sale or transfer of a motor vehicle without removal or destruction of the registration decal is a violation of reference (aaa). Further, the sale or transfer by a military member of a vehicle with- out removing or destroying the registration decal can be an offense under Article 134 of the Uniform Code of Military Justice. i. Temporary Vehicle Passes (1) A NOSC Temporary Vehicle Pass, form 11ND NOSC 5512/34, to permit parking inside the San Diego/Morris Dam fenced areas, will be issued to DOD or contractor personnel who are visiting NOSC on a short term basis and do not require a picture badge. (2) A temporary vehicle pass may also be issued to an employee who is driving a rental car or any other vehicle not owned by the employee on a short term basis. When personnel purchase new vehicles, temporary vehicle passes will be issued until permanent license plates are received, at which time the employee will complete the Clearance/Badge/Decal Record, form NOSC-SD 5512/113, and be issued a permanent DOD Registered Vehicle decal. j. Delivery Vehicles. Drivers of delivery vehicles in possession of legitimate delivery documentation making deliveries to NOSC are provided a one-trip delivery pass; no decal or vehicle pass is required. Drivers are required to register at entry gates logging their name, company, destination, and time of entry. On departure, time of exit is recorded at the gates. 6. Traffic and Parking Violation Citation Issuance a. Policies (1) Military and civilian personnel at NOSC are required to observe vehicle regulations established by this chapter and by California law while within Center facilities and to obey posted traffic signs, curb markings, and vehicle parking space designations. (2) Armed Forces Traffic Tickets, DD Form 1408, will be issued to individuals who violate these regulations, and penalties will be assessed against the individuals per this chapter. 18-5 NOSCINST 5500.1A 22 August 1988 (3) Repetitive traffic violations may result in suspension or revoca- tion of the individual's privilege to operate a vehicle on this and other military installations. b. Curb Markings. The meaning of colored curb markings is as follows: (1) YELLOW. Equipment loading zone. Parking is limited to not more than one hour at NOSC. (2) WHITE. Passenger loading zone only. Parking is limited to 15 minutes at NOSC. (3) GREEN. Limited to time specified on the curb. (4) RED. Emergency vehicles only (i.e., fire truck, rescue vehicle, etc.). c. Issuance of Traffic/Parking Citations. Security guards will issue Armed Forces Traffic Tickets, DD Form 1408, for on-Center traffic and parking violations. The pink copy of the ticket will be left under the windshield wiper blade of the vehicle. DOD registration decals will be covered over with a "VOID" decal and the expiration date decals removed. NOSC Temporary Vehicle Passes, or vehicles without decals, will have a parking violation decal affixed to the windshield to notify the driver of the infraction. d. Parking Violations (1) When an employee finds the pink copy of an Armed Forces Traffic Ticket on the vehicle, the vehicle registration decal covered by a "VOID" decal, or a parking violation decal affixed to the windshield, a written or verbal appeal may be made explaining any extenuating circumstances to Code 154. Appeals are not acceptable after the fifth day after the date the ticket is issued; however, Code 154 may cancel the ticket if the circumstances war- rant such action. (2) If no appeal is received by Code 154 within the allotted 5-day period, the violation will be entered into the badge/decal computer files for record purposes. (3) Personnel receiving tickets for parking violations and failing in appeal will have the following actions taken against them: (a) First Violation - warning. Code 151 will issue a new DOD Registered Vehicle decal as soon thereafter as practicable if a void decal has been issued, if required. (b) Second Violation - within 12 months of first violation. On- Center driving privileges suspended for 10 days. New DOD Registered Vehicle decal or Temporary Vehicle Pass will be issued by Code 151 no earlier than 10 days after traffic ticket date. 18-6 NOSCINST 5500.1A 22 August 1988 (c) Third Violation - within 12 months of first violation. On- Center driving privileges suspended for 30 days. New DOD Registered Vehicle decal or Temporary Vehicle Pass will be issued by Code 151 no earlier than 30 days after traffic ticket date. (d) Fourth Violation - within 12 months of first violation. On- Center driving privileges suspended for 1 year. (4) Contractor supervisors will be notified for action when contractor employees are issued citations. Upon a fourth violation, contractor employees will be banned from further on-Center driving; supervisors will be provided with driving privilege restriction notification. c. Moving Violations (1) Employees cited within any 2-year period by Code 15 for moving violations and failing in appeal will have action taken against them as fol- lows: (a) First Violation. On-Center driving privilege suspension for 10 days. (b) Second Violation. On-Center driving privilege suspension for 30 days. (c) Third Violation. On-Center driving privilege suspension for 1 year. (All driving while intoxicated and fleeing the scene of an accident violations will be treated under this category regardless of the number of previous violations.) d. Employee Grievance. An employee may file a grievance to the above action per reference (aaa) (NOSCINST 12771.1C). e. Suspensions/Revocations. As required by reference (bbb) COMNAVBASE SDINST 5560.14B), Code 154 will notify the Commander, Naval Base San Diego, of all suspensions/revocations of driving privileges in order that other COMNAV BASE San Diego activities may be aware that the individual cited should not be issued another decal or allowed vehicle access to Government property. f. Assistance to Supervisors. Code 154 will provide advice and assist- ance to supervisors upon request. 7. Violations for Which Tickets Will be Issued a. General Violations. Violations of a general nature which will result in a traffic citation being issued or on-Center driving privileges being sus- pended are as follows: (1) Vehicle registration or parking authorization decals not perma- nently and properly affixed to the authorized vehicle. (2) Vehicle registration or parking authorization decals affixed in any manner to any vehicle not officially authorized and issued the specific decals. 18-7 NOSCINST 5500.1A 22 August 1988 (3) Filing a false official statement indicating that a vehicle regis- tration decal has been destroyed. b. Parking Violations. Specific parking violations for which tickets will be issued are shown below: (1) Blocking a fire lane or right-of-way. (2) Parking in any marked red zone. (3) Parking in VIP visitor space in front of Bldg. 33 (Topside), McLean Laboratory (Bayside), or Bldgs. 600 and 605 (Seaside). (4) Parking in a predesignated, color-coded vehicle parking space (i.e., handicapped, car pool, management personnel, etc.), without proper decal. (5) Parking next to a red curb. (6) Parking in a yellow-striped "No Parking" zone or in areas where "No Parking" signs are displayed. (7) Parking more than the permitted amount of time in areas with col- ored curb/vehicle time-zone code markings, as described in paragraph 6b of this chapter. (8) Parking a privately owned vehicle in a Government vehicle space. (9) Parking parallel in the entrance lane or east/west driveway of the general parking lot, Bayside. NOTE: Parallel parking is not prohibited in other lanes of the general parking lot, Bayside, provided the vehicle is not blocking another vehicle. (10) Parking campers whose dimensions exceed those of an average vehi- cle in spaces other than those marked for campers or in a space where the camper extends beyond the lines defining the parking space. (Special vehicle parking areas are available from Code 112.) (11) Parking a vehicle with a NOSC DOD Registered Vehicle decal in any "Visitor" space. (12) Parking in violation of the parking regulations described in ref- erence (ccc) (NOSCINST 5560.1C). b. Moving Violations. Moving violations for which tickets will be issued are shown below: (1) Reckless driving (willful) and wanton disregard for the safety of persons or property. (2) Owner knowingly and willfully permitting a physically impaired person to operate the owner's vehicle. (3) Fleeing the scene (hit and run) - property damage. 18-8 NOSCINST 5500.1A 22 August 1988 (4) Driving vehicle when physically impaired. (5) Speed contests. (6) Exceeding stated speed limit or speed too fast for conditions. (7) Speed too slow for traffic conditions causing hazardous traffic situations. (8) Following too close. (9) Failure to yield right-of-way to emergency vehicles. (10) Failure to obey traffic signals, traffic instructions of an enforcement officer or traffic warden, or any official regulating a traffic device requiring a mandatory stop, yield right-of-way, denial of entry, or required direction of traffic. (11) Improper passing. (12) Improper overtaking. (13) Operating an unsafe vehicle. 8. Parking and Moving Violations Penalties for NOSC Visitors. When a visitor is issued a traffic ticket at NOSC, a copy of the ticket will be forwarded by Code 154 to the visitor's parent command for appropriate action. 9. Traffic Accident Investigation a. The Occupational Safety and Health Office, Code 008, and the Physical Security Group, Code 154, shall be notified and shall conduct investigations in the following instances: (1) All on-Center motor vehicle accidents involving Government vehi- cles or property. If Center employees are involved and an injury is incurred, the Head, Employee/Labor Relations Office, Code 144, shall be contacted imme- diately. (2) Off-Center motor vehicle accidents involving NOSC Government vehi- cles or property. If Center employees are involved and an injury is incurred, Code 144 shall be contacted immediately. (3) Fatal or nonfatal personal injury or property damage accidents on Center involving privately owned vehicles. In these instances, when the inju- ry/fatality involves a Center employee, Code 144 shall be notified immedi- ately. b. Drivers and/or owners of motor vehicles involved in accidents described above will immediately notify Code 154 (Physical Security Group, Ext. 34615). Operators of Government vehicles involved in traffic accidents off Center will also notify the police department having jurisdiction over the area in which the accident occurred and Codes 154 and 008 as soon thereafter as practicable. 18-9 NOSCINST 5500.1A 22 August 1988 18-10 NOSCINST 5500.1A 22 August 1988 CHAPTER 19 ESTABLISHMENT AND CONTROL OF RESTRICTED AREAS 1. Purpose. To publish procedures for establishing restricted areas and for controlling access to such areas per reference (b) (OPNAVINST 5530.1A). 2. Definitions. The different types of restricted areas in descending order of importance have been defined by reference (b) as follows: a. Exclusion Area (Will be designated a "Level Three" area when reference (b) is updated and published as OPNAVINST 5530.14B.) An area containing clas- sified information which is of such a nature that access to the area consti- tutes, for all practical purposes, access to classified information. b. Limited Area (Will be designated a "Level Two" area when reference (b) is updated and published as OPNAVINST 5530.14B.) An area containing classi- fied information and in which uncontrolled movement would permit access to the classified information, but within such area access may be prevented by escort and other internal restrictions and controls. c. Controlled Area (Will be designated a "Level One" area when reference (b) is updated and published as OPNAVINST 5530.14B.) An area within which uncontrolled movement does not permit access to classified information and which is designed for the principal purpose of providing administrative con- trol, safety, or a buffer area of security restriction for controlled and limited areas. 3. Responsibilities a. Physical Security Officer. The Physical Security Officer, Code 154, is responsible for: (1) Making periodic inspections of all Center areas and determining which areas should be declared restricted areas as defined above. (2) Instructing department personnel regarding alterations required to secure the area. (3) Approving proposed structural changes to restricted areas before work is done. (4) Instructing department personnel regarding methods to be estab- lished to control access to the area. (5) Approving any exceptions to the regulations regarding access to the area when special circumstances warrant. b. Department Heads. Department heads or equivalent, or their designated representatives, are responsible for: 19-1 NOSCINST 5500.1A 22 August 1988 (1) Advising Code 154 when new projects are assigned to the Center which may require special areas controls, whether short term or long term assignments. (2) Submitting proposed structural changes to Code 154 for approval before work is done. (3) Ensuring the procedures for control of access to each area are followed. (4) Notifying Code 154 of any change of status of a restricted area. 4. Procedures a. Procedures for Exclusion (Level Three) Areas (1) Minimum Security Measures (a) A clearly defined protected perimeter. (b) A personnel identification and control system. (c) Access list and entry/departure log. (d) All points of ingress and egress controlled by guards or appropriately trained and cleared personnel within; or by a buzzer system; or when unoccupied, either alarm-protected or guarded. (e) Only persons whose duties require access and who have been granted the appropriate security clearance will be permitted into exclusion areas. (2) Clearance Requirements. Each person entering an exclusion area must possess a security clearance at or above the level of the highest classi- fication of material in the area. The responsible code will provide a list of personnel authorized access to the area to Code 15 and, if appropriate, to the guards controlling access, or post a list in the immediate area inside the entrance door(s). (3) Control of Access (a) When an exclusion area is occupied, during work or nonwork hours, access will be controlled in either one of two ways: a guard will be posted outside the entrance to the area or, the entrance will be secured and a buzzer system or similar type system installed to attract the attention of the occupants. It is the responsibility of the area supervisor to ensure that the following procedures are observed: 1. NOSC Employees. Each NOSC employee needing to enter the area must show his/her badge to the person controlling the entrance. His/her name will be checked against the list of persons authorized access. Any employee whose name is not on the list will be considered a visitor and proce- dures in paragraph 4a(3)(a)2 below will be followed. 19-2 NOSCINST 5500.1A 22 August 1988 2. Visitors. Any person whose name is not on the list of authorized personnel may enter the area only when authorized by Code 154 in writing and upon presenting appropriate identification. Each individual must sign the entry/departure log before entering the area and be escorted by a NOSC employee whose name is on the authorized access list. These logs will be retained indefinitely by the code responsible for the area. (b) When an Exclusion Area is Not Occupied. The area will be guarded or an alarm system will be used; during nonwork hours, when the area is unoccupied, the alarm will be set and the entrance secured. (4) Temporary Exclusion Areas. On occasion, it may become necessary to establish temporary exclusion areas when highly classified hardware or equipment is on the Center for short periods. Written requests for establish- ment of such areas shall be directed to Code 154, with copies to appropriate codes for areas at Hawaii, San Clemente Island, or Morris Dam, who will inspect the area and recommend to Code 154 changes which must be made to secure the perimeter barrier, necessary access controls, and resolution of any storage problems. Code 154 will advise department personnel of action to be taken. b. Procedures for Limited (Level Two) Areas (1) Minimum Security Measures (a) A clearly defined protected perimeter. (b) A personnel identification and control system. (c) All points of entry controlled by guards or appropriately trained and cleared personnel within; or by a buzzer system; or when unoc- cupied, either alarm-protected or guarded. (d) An after-hours entry/departure log. (2) Clearance. Only personnel whose duties require access will be admitted to a limited area without escort providing they possess the appro- priate security clearance. Uncleared personnel whose duties require access may enter a Limited area only when escorted by authorized personnel. In these instances, prior arrangements must be made with the supervisor of the area to ensure that all classified material is protected from compromise or other degradation. (3) Control of Access (a) During Normal Work Hours. Control of access to a limited area during normal work hours is the responsibility of the supervisor of the area; however, only personnel who possess the appropriate clearance and whose duties require access will be permitted access upon presentation of his/her badge. (b) After Normal Work Hours. In addition to the alarm system, if installed, all personnel entering a limited area after normal work hours must log in and out on an after-hours entry/departure log. This log will be retained by the responsible code for the period specified in reference (b). 19-3 NOSCINST 5500.1A 22 August 1988 (c) Access List and Entry/Departure Log. The use of an access list and an entry/departure log during normal work hours is suggested, but not required. c. Procedures for Controlled (Level One) Areas (1) Minimum Security Measures (a) A clearly defined protected perimeter. (b) A personnel identification and control system. (c) Ingress and egress controlled by guards or other appropriately trained and cleared personnel within. (d) Controlled admission of individuals (military, civil service, contractors, official visitors) who require access for reasons of employ- ment/official business, individuals who render a service (vendors, delivery people), dependents, retired military, and unofficial visitors (guests of residents, visiting softball team, etc.) (2) Clearance Status. Uncleared and cleared personnel may enter all NOSC controlled areas on official business after: (a) Presenting adequate identification. (b) Obtaining a NOSC badge per reference (b). (c) Escort is provided if required by reference (b). (d) Need for entry has been verified by the NOSC contact. (3) Control of Access. Access will be controlled per reference (b). 5. Signs. Restricted areas (including buildings) must be posted at all external points of ingress with signs approximately 3 feet by 3 feet in size with proportionate lettering, reading: WARNING RESTRICTED AREA KEEP OUT AUTHORIZED PERSONNEL ONLY The Head, Physical Security Group, Code 154, will arrange for signs for new restricted areas through the Facilities Engineering Office, Code 006. 19-4 NOSCINST 5500.1A 22 August 1988 CHAPTER 20 EMERGENCY PROCEDURES 1. Information a. In an emergency situation, prompt action taken within the first few minutes may save a life and/or prevent extensive damage to property. Para- graphs 4 and 5 of this chapter provide a list of immediate actions to be taken to save vital time in an emergency at NOSC. Paragraph 4 provides procedures for work hours, and paragraph 5 covers after-hours procedures. b. Hawaii Laboratory personnel shall follow the host activity's emergency procedures. 2. Scope. This chapter covers emergency procedures to be followed in cases of injury, illness, or death of NOSC personnel; fire; and police matters. Diving emergencies are handled per NOSCINST 6420.2, which contains policies and procedures for treatment by recompression of diving and nondiving ill- nesses. Procedures for handling bomb threats are contained in chapter 21 of this manual. 3. Responsibility. Supervisors are responsible for: a. Familiarizing their personnel with the contents of paragraphs 4 and 5 of this chapter. b. Retaining a copy of the NOSC Occupational Safety and Health Management Emergency Information booklet in close proximity of the telephones. 4. Emergency Procedures - Work Hours a. Injury or Illness (1) To report serious injury or illness call Federal Fire Department, Point Loma (FFDPL), at 9-911. (2) The Federal Fire Department, Point Loma, will notify the following as appropriate: (a) Branch Medical Clinic Annex NOSC. (b) Physical Security Group. (c) Occupational Safety and Health Office. (d) Trouble Desk. (e) Hazardous Materials Emergency Response Team (PWC). b. Death. BODY WILL BE MOVED ONLY ON CORONER'S ORDER. 20-1 NOSCINST 5500.1A 22 August 1988 (1) To report a death, call Federal Fire Department, Point Loma, at 9- 911. (2) The Federal Fire Department, Point Loma, will notify the follow- ing: (a) Branch Medical Clinic Annex NOSC. (b) Head, Security Office, who in turn will notify: 1. Coroner. 2. Chief Staff Officer (will notify the Commander and Techni- cal Director. 3. Department head concerned. 4. Public Affairs Officer. (c) Occupational Safety and Health Office. (3) Notification of next of kin will be done by the Commander, NOSC, or the Technical Director. c. Fire (1) To report a fire call the Federal Fire Department, Point Loma, at 9-911. (2) The Federal Fire Department, Point Loma, will notify the follow- ing: (a) Occupational Safety and Health Office. (b) Physical Security Group who in turn notifies: 1. Head, Security Office. 2. Chief Staff Officer. 3. Public Affairs Officer. (c) PWC services. d. Police Matters (1) Call the Physical Security Group, Ext. 34615, who will notify the Head, Security Office, of all significant matters. (2) The Head, Security Office, will notify the Chief Staff Officer in all cases; the Public Affairs Officer; department heads; Naval Investigative Service Resident Agency, Point Loma; and others when appropriate. 20-2 NOSCINST 5500.1A 22 August 1988 NOTE: IN ADDITION TO ALL ABOVE, IF NECESSARY, CALL CENTER DUTY OFFICER, EXT. 34621. 5. Emergency Procedures - After Hours a. Injury or Illness (1) To report serious injury or illness call the Federal Fire Depart- ment, Point Loma, at 9-911. (2) The Federal Fire Department, Point Loma, will call for assistance as appropriate: (a) Branch Medical Clinic, Naval Training Center. (b) Naval Emergency Room, Naval Hospital, San Diego. (c) Center Duty Officer, Ext. 34621. (3) Center Duty Officer will notify (if serious injury) as appropri- ate: (a) Chief Staff Officer - at home. (b) Head, Occupational Safety and Health Office - at home. (c) Public Affairs Officer - at home. (d) Head, Security Office - at home. b. Death. BODY WILL BE MOVED ONLY ON CORONER'S ORDER. (1) To report a death call the Federal Fire Department, Point Loma, at 9-911. (2) The Federal Fire Department, Point Loma, will call the Center Duty Officer who in turn will call: (a) Coroner's Office. (b) Chief Staff Officer - at home (Chief Staff Officer will notify the Commander, NOSC, and the Technical Director). (c) Head, Occupational Safety and Health Office - at home. (d) Security Watch Officers, Ext. 34615. (e) Public Affairs Officer - at home. (f) Head, Security Office - at home. (3) Notification of next of kin will be done by the Commander, NOSC, or the Technical Director. 20-3 NOSCINST 5500.1A 22 August 1988 c. Fire (1) To report a fire, call the Federal Fire Department, Point Loma, at 9-911. (2) The Federal Fire Department, Point Loma, will call the Center Duty Officer, Ext. 34621. (3) The Center Duty Officer will notify the following as appropriate: (a) Chief Staff Officer - at home. (b) Head, Occupational Safety and Health Office - at home. (c) Head, Security Office - at home (will notify Public Affairs Officer, if appropriate). d. Police Matters (1) Call the Security Watch Supervisor, Ext. 34622, who will notify the Center Duty Officer. (2) The Center Duty Officer will notify as appropriate: (a) Security Watch Officers, Ext. 34615 (will call Head, Security Office, at home, if appropriate). (b) Chief Staff Officer - at home. (3) The Head, Security Office, will notify the Public Affairs Officer; Naval Investigative Service Resident Agency, Point Loma; department head; and others, when appropriate. 20-4 NOSCINST 5500.1A 22 August 1988 CHAPTER 21 BOMB THREATS 1. Purpose. The purpose of this chapter is to outline guidance in planning for, or responding to, bomb threats at NOSC as outlined in reference (b) 0PNAVINST 5530.14A, Department of the Navy Physical Security and Loss Preven- tion Regulation. 2. Definitions a. Bomb. A bomb is a device capable of producing damage to material and injury or death to personnel when detonated or ignited. Bombs are classified as explosive or incendiary. An explosive bomb causes damage by fragmentation, heat, and blast wave. The heat produced often causes a secondary incendiary effect. An incendiary bomb generates fire-producing heat without substantial explosion when ignited. Bombing occurs when an explosive bomb detonates or an incendiary bomb ignites. b. Bomb Threat. A bomb threat is a message delivered by any means which may or may not: (1) Specify location of the bomb. (2) Include the time for detonation/ignition. (3) Contain an ultimatum related to the detonation/ignition or con- cealment of the bomb. c. Bomb Incident. A bomb incident involves any occurrence concerning the detonation/ignition of a bomb, the discovery of a bomb, or receipt of a bomb threat. 3. Procedures. Treat each threat as if a bomb or improvised explosive device (IED) were actually at the location identified by caller/message. a. A Bomb Threat May Be Received in Any of the Following Ways: (1) Telephone message. (2) Suspicious package through the mail. (3) Written message through the mail. b. If the Bomb Threat is Received by Telephone. Use the Telephonic Threat Complaint, OPNAV 5527/8 (exhibit A), to assist in asking the correct questions. This form should be next to all telephones at NOSC. As soon as phone call is completed, call the Federal Fire Department, Point Loma, Ext. 9- 911, and the Physical Security Group, Ext. 34615; or the Command Duty Officer, Ext. 34621 outside of normal work hours. c. If the Bomb Threat is Received Through the Mail. Call the Physical Security Group, Code 154, Ext. 34615, IMMEDIATELY. 21-1 NOSCINST 5500.1A 22 August 1988 d. The Physical Security Group/Command Duty Officer will: (1) Instruct the guard supervisor, and mobile guard patrol for the pertinent area (Topside or Bayside), to stand by the area of building/loca- tion, keep roads clear of traffic, and assist in keeping pedestrians away from the building/location, as directed. (2) If the time period and area of explosion have been determined (but no specific location is known, e.g., room, lab) evacuate entire building/area to a minimum distance of 500 feet. If possible, the area should be free of personnel 15 minutes before and until at least 2 hours after the indicated time for the explosion. If a specific location (room, lab, etc.) was stated in the bomb threat, evacuate that area and those areas within 500 feet. (3) Implement the following search procedures: (a) Determine if building/location is occupied or unoccupied. (b) If bomb threat occurs during normal work hours, the Security Officer (Code 154) will see to the conduct of evacuation and search. (c) If bomb threat occurs during nonwork hours, the guard force will evacuate the building and the surrounding area to a distance of 500 feet. e. Once Building is Unoccupied. Attempt to contact the building manager or personnel familiar with the contents of the building. These personnel (if available) should conduct the first search of the area. If no building per- sonnel are available, use no more than two individuals from the available Federal Fire Department personnel (under the direction of the Federal Fire Department supervisor). The Federal Fire Department supervisor must not con- duct the first search. If there are insufficient Federal Fire Department personnel, military personnel on watch in Bldg. 112 may have to be used. f. If, when a bomb threat is received, no specific area is mentioned, the search shall concentrate in the following prime areas: Bldg. A33 Topside Bldg. 600 Seaside Bldg. 605 Seaside Bldg. 1 Bayside Bldg. 46 Bayside Bldg. A45 Topside Power Substation "A" Topside Bldg. 590/593 Area Topside g. General Instructions for the Searchers are as Follows: (1) Be on the lookout for any items that appear abnormal to the area, i.e., any briefcase, box, package, equipment that is out of place (on wrong desk, table, etc.) or does not belong in that area. The best description of an IED is that IT CAN BE ANYTHING. 21-2 NOSCINST 5500.1A 22 August 1988 (2) DO NOT HANDLE THE ITEM. Identify the item by physical description and exact location. This information will be passed to the EOD team(s). Await the results of their investigation. The search should continue until all suspect spaces have been cleared as multiple bombs are not uncommon. (3) Should a device be detonated without warning, all spaces in that area should be searched for additional bombs. (4) Ensure all areas are searched. If nothing is found by NOSC person- nel, evacuate all supervisors/searchers and request the Federal Fire Depart- ment to make a final search of the area(s). If nothing is found by the Federal Fire Department personnel, the area/building can be considered free of danger and available for normal operations. h. Safety Precautions (1) Keep personnel exposure to a minimum. (2) NEVER disturb a suspected IED. (3) NEVER cut any exposed wires. (4) NEVER attempt to reset any type of timing device. (5) NEVER immerse a suspected IED in water or oil. (6) NEVER disturb a device that has the appearance of function but has misfired. i. The Searchers Should Be Equipped With: (1) Roll of masking tape. (2) Grease pencils. (3) Flashlights (in good working order). j. Search Plan. Muster and brief the search crews. Describe exactly what they are to do and to whom to report. Search from the outside in and the bottom up. Assign at least two persons per space. (1) First Search. Enter building or area, separate, and go to oppo- site ends of the space. Stand still, attune yourself to the sounds, smells, and vibrations of the area. Look around - notice anything new or obviously out of place. Meet in the center of the search areas. (2) Second Search (From Deck to Waist Height). The search should begin at a given point and work outward, one person going to the right - the other to the left. Search everything from the deck to waist height, espe- cially items located on or attached to the bulkhead. Continue around the space until the searchers meet. 21-3 NOSCINST 5500.1A 22 August 1988 (3) Third Search (From Waist Height to Overhead Lighting). The searchers should return to the starting point and again work outward. One person to the right, the other to the left, until meeting while searching from waist-level up. (4) Fourth Search (Vents, Beams, Pipes, and Lights). One person should search the light fixtures, the other search the beams, vents, and pip- ing. (5) Fifth Search. Subsequent searches are required for all other items in the compartment, i.e., toolboxes, footlockers, etc. k. IF A SUSPECTED IED IS ENCOUNTERED, Personnel Locating it Should: (1) Not delay the search or call for assistance while checking out suspicious objects. Unnecessary risk to life and property may result. (2) Place a large piece of masking tape near but not on the suspected IED. To help identify the suspected device, use a grease pencil to provide more information on the masking tape to aid the EOD team in locating and dis- arming the device. (3) Notify the search supervisor that a suspected IED has been found and tagged plus the location of the IED. (4) Evacuate all personnel from the space and post a watch outside the entrance to prevent inadvertent entry. (5) The search supervisor will notify the CDO of the suspected IED and its location. (6) The CDO will notify the EOD team. (7) Once the item is removed, continue the search. DO NOT STOP WITH ONE IED. k. Specific Instructions for Nonwork Hours (1) If a bomb threat is received during nonwork hours, the Command Duty Officer (CDO) will notify and relay all pertinent information to the appropriate personnel. A list of these personnel to be notified are main- tained under the glass on the CDO's desk at all times. (2) The CDO will require the watch at Bldg. 112 to stand by to render assistance as directed. Appropriate supervisory personnel (determined by the suspected location of the IED) will be contacted and instructed to return to the Center to assist in search procedures. (3) The CDO will refer all press inquiries to the Public Affairs Offi- cer. (4) The CDO will make all appropriate special incident reports with the approval of the Commander, NOSC, or Chief Staff Officer. Within 24 hours 21-4 NOSCINST 5500.1A 22 August 1988 after the threat is received the Head, Security Office, will prepare a message report of the incident to the Commander, Space and Naval Warfare Systems Com- mand (COMSPAWARSYSCOM). The CDO must ensure that all necessary information is relayed to him for inclusion in the message. 21-5 NOSCINST 5500.1A 22 August 1988 21-6 NOSCINST 5500.1A 22 August 1988 CHAPTER 22 OPERATIONS SECURITY PROGRAM 1. Purpose. To establish policy guidance and assign responsibilities for carrying out the NOSC Operations Security (OPSEC) Program consistent with the requirements of OPNAVINST 3070.1A and SPAWARINST 5510.3H. 2. Scope. This program applies to all personnel and activities of NOSC including remote sites, tenant organizations, visitors, contractors, and all range/laboratory/test facility users. 3. Background. OPNAVINST 3070.1A and SPAWARINST 5510.3H require that NOSC designate an OPSEC Officer, develop an OPSEC Program, and prepare an OPSEC plan for the Center and for each program/project/task that involves classified material or unclassified sensitive material through which indicators or infor- mation may be revealed that would be of intelligence value to a potential adversary. 4. Definition. Operations security is the process of denying potential adversaries information about friendly capabilities and intentions by identi- fying, controlling, and protecting indicators associated with planning and conducting military operations and other activities. 5. Concept. OPSEC is concerned with controlling exploitables that would allow an adversary to prepare effectively for war, plan and conduct opera- tions, and react to friendly operations. The total application of OPSEC extends from the tactical to the strategic level, from the present to the distant future, and in a variety of environments such as headquarters offices, field activities, contractor facilities, laboratories, and test ranges. OPSEC does not supersede existing security programs (e.g., COMSEC, physical secu- rity, information security, ADP security, etc.) nor is OPSEC directly con- cerned with their management. These traditional programs are, for the most part, focused on protection of classified information. OPSEC, however, is a broad scope program concerned with the protection of information--classified, sensitive or unclassified--which would be useful to an adversary. OPSEC serves to strengthen the traditional security programs by identifying vulner- abilities or weaknesses which might reveal classified information or signa- tures which permit deriving classified information. Moreover, OPSEC examines sensitive and unclassified information and overt activities outside the normal scope of traditional security programs to identify information sources suscep- tible to hostile exploitation. 6. Policy a. As required by OPNAVINST 3070.1A, OPSEC will be applied, as appropri- ate, to NOSC's management; staff operations; program contract accomplishment; research, development, test, and evaluation; procurement; and acquisition. Essential secrecy relating to military systems shall be preserved by the use of OPSEC principles and procedures to limit information of intelligence value to potential adversaries. 22-1 NOSCINST 5500.1A 22 August 1988 b. An OPSEC plan will be prepared, as required, for each sensitive pro- gram or project. Basic guidance for maintaining an OPSEC plan is provided in the OPSEC handbook discussed in paragraph 8 below. Plan development will be coordinated by the NOSC OPSEC Officer. 7. OPSEC Training. OPSEC orientation will be provided to newly reporting NOSC military and civilian personnel. General OPSEC awareness will be main- tained by lectures, bulletins, news articles, audiovisual materials, and per- sonal consultation. Specific training will be provided to program or project managers. 8. NOSC OPSEC Program Handbook. This handbook discusses in greater detail the need for OPSEC in planning, sources of information, the hostile intelli- gence threat, training, periodic OPSEC evaluations, and safeguards to protect against disclosure of sensitive data to unauthorized people. The handbook also provides guidelines for OPSEC plan development. The handbook will be provided to each department. Additional copies are available from the Intel- ligence Group, Code 172. 9. Responsibilities/Action a. OPSEC Officer. A member of the Intelligence Group, Code 172, will be designated as the NOSC Operations Security (OPSEC) Officer. The OPSEC Officer will: (1) Develop and coordinate all facets of the NOSC OPSEC Program. (2) Advise the Commander, NOSC, as appropriate, about operations secu- rity matters. (3) Chair the OPSEC Committee. (4) Provide training and guidance to Center personnel. (5) Coordinate the development of OPSEC plans. (6) Maintain liaison with external agencies concerning OPSEC matters. (7) Advise appropriate personnel when vulnerability and threat infor- mation indicates a security risk. (8) Prepare and submit necessary reports. b. Department/Major Staff Office Heads. These NOSC organizational ele- ments will be responsible for adherence to OPSEC principles and procedures within their organizations. Specifically, they will: (1) Include OPSEC in all program/project planning and budgeting. (2) Identify shortfalls in OPSEC requirements and take corrective action. (3) Provide support in carrying out the NOSC OPSEC Program. 22-2 NOSCINST 5500.1A 22 August 1988 (4) Designate a senior staff member as organizational OPSEC Coordina- tor. c. Program/Project Managers. Program/project managers will: (1) Provide necessary project (including contracted projects) informa- tion for the development of OPSEC plans. (2) Advise program sponsors, contractors, and users of Center facili- ties of potential threats and vulnerabilities and outline available counter- measures. (3) Include provisions in all classified or sensitive contracts for the performance of OPSEC measures by the contractor. These provisions will be included in the Contract Security Classification Specification, DD Form 254, for classified contracts. (4) Notify the NOSC OPSEC Officer of all meetings on programs/projects that require OPSEC support. d. OPSEC Coordinators. OPSEC coordinators will: (1) Serve as organization point of contact for OPSEC matters. (2) Assist in construction of OPSEC plans for programs/projects. (3) Serve as a member of the NOSC OPSEC Committee and attend meetings called by the OPSEC Officer. (4) Assist in providing OPSEC training. e. Information Security Officer. The Information Security Officer, Code 152, will ensure that OPSEC measures have been addressed during reviews of Contract Security Classification Specification, DD Form 254. 22-3 NOSCINST 5500.1A 22 August 1988 22-4 NOSCINST 5500.1A 22 August 1988 APPENDIX A SECURITY PHONE NUMBERS ____________________________________________________________________________ CODE FUNCTION PHONE NUMBER _ ___________________________________________________________________________ 15 Head, Security Office 33150 1504 Security Operations Coordinator 33150 0059 Security/Safety Office - Hawaii 257-1112 151 Head, Visit Control/Badge & Decal Group 33202 Topside Reception Desk 33199 Bayside Reception Desk 33210 Picture Badge/Decal Section 33221 Meeting/VIP/Foreign Badges 33205 Visit Request Data Entry 33203/33205 152 Head, Information & Personnel Security Group 33196 Industrial Security 33196 Foreign Disclosure 33196 Classification Management 33196 Special Access Programs 33196 Security Education/Training 33196 Employee Clearance Office 33207/33208 Applicant Processing 33208 Foreign Travel Messages 33207 153 Head, Security Operations Group 33186 ADP/OIS/TEMPEST ..Topside 33186/35287 ..Seaside 35287 SIGSEC/OPSEC/TSCM 33186/35287 154 Head, Physical Security Group 34615 Locksmith Services 34613 Security Alarms 34615 Guard Force Liaison Officer 34615 Security Watch Officers (After-Hours) 34615 A-1 NOSCINST 5500.1A 22 August 1988 A-2 NOSCINST 5500.1A 22 August 1988 APPENDIX B REFERENCES (a) OPNAVINST 5510.1G, Department of the Navy Information and Personnel Security Program Regulation (b) OPNAVINST 5530.14A, Physical Security and Loss Prevention (c) SPAWARINST 5510.3G, Space and Naval Warfare Systems Command Security Manual (d) OPNAVINST C5510.101D, Department of the Navy Security Manual for NATO, SEATO, and CENTO classified information (U) (e) OPNAVINST S5511.35J, Policy for safeguarding the Single Integrated Operational Plan (SIOP) (U) (f) OPNAVINST 5510.48J, Manual for the disclosure of classified military information to foreign governments and international organizations (g) NOSCINST 5720.2A, Unclassified technical information; public release of (h) OPNAVINSTS series 5513, Department of the Navy Security Classification Guidance (i) NOSCINST 4650.2A, Travel Manual (j) OPNAVINST 4650.11E, Official Temporary Duty Travel to Military and Civilian Installations, Activities, and Units; policies and procedures for (k) OPNAVINST S3820.16D, Foreign Military Intelligence Collection Activity (Formica) (U) (l) NOSC TD 1038, Contract Requirements Guide For Technical Personnel (m) NOSCINST 4000.1D, Data Management Program and Data Management Office (DMO) procedures for procurement requirements review (n) E.O. 12356, National Security Information (o) DOD Directive 5230.24, Distribution Statements on Technical Documents (p) NOSC-TD 841, Distribution Statements for Technical Publications, Dec 86 (q) NOSCINST 5211.2B, NOSC Records Management Program (r) SPAWARINST 5510.23, Accounting and Control of Secret Material (s) SPAWARINST 5510.22, Security procedures for NATO material (t) NWP-O(M), Naval Warfare Publications Guide B-1 NOSCINST 5500.1A 22 August 1988 (u) SECNAVINST 5510.28A, Access to and Dissemination of Restricted Data (v) NOSCINST 5070.2B, DOD Contractor Utilization of the NOSC Intelligence Library (w) NOSCINST 2200.1F, Secure DACOM (facsimile) network (x) NOSCINST 3800.1A, Intelligence Office organization and responsibilities (y) NAVINTCOMINST 3890.4B, Procurement and Distribution of Intelligence Publications and DOD Intelligence Information Reports (z) NTP-3F, Telecommunications Users Manual (aa) NOSCINST 2300.2B, Delegation of authority to release naval messages (bb) NOSCINST 12752.1A, Disciplinary and Adverse Actions; Civilian Personnel (cc) OPNAVINST 5540.8K, DOD Industrial Security Program (dd) OPNAVINST 5510.143A, Signal Security (SIGSEC) (ee) OPNAVINST 03900.15, Communication Security Requirements (ff) OPNAVINST C2200.13, Communications Security (U) (gg) OPNAVINST C5510.93D, Navy Implementation of national policy on control of compromising emanations (U) (hh) SECNAVINST 5500.31A, Technical Surveillance Counter Measures (TSCM) Program (ii) OPNAVINST 5239.1A, Department of the Navy Automatic Data Processing Security Program (jj) SPAWARINST 5239.2, Security of Computer Systems, Automated Information Systems (AIS) and Networks (kk) SECNAVINST 5211.5C, Personal Privacy and Rights of Individuals Regard- ing Records Pertaining to Themselves (ll) FIPS PUB 31, Guidelines of Automated Data Processing Physical Security and Risk Management (mm) SPAWARINST 5200.39, Privacy Act with regard to Automated Personal Data Systems (nn) FIPS PUB 41, Computer Security Guidelines for Implementing the Privacy Act of 1974 (oo) SECNAVINST 5238.1B, Department of the Navy (DON) Automatic Data Proc- essing Program Reporting System (ADPPRS) B-2 NOSCINST 5500.1A 22 August 1988 (pp) SECNAVINST 5231.1B, Life-cycle Management (LCM) Policy and Approval Requirements for Information System (IS) Projects (qq) DOD Directive 5200.28, Security Requirements for Automatic Data Proc- essing (ADP) Systems (rr) DOD Manual 5220.22-M, Industrial Security Manual for Safeguarding Clas- sified Information (ss) NOSCINST 5230.1D, Acquisition of Information Systems (IS) Resources (tt) DON CAF ltr ser 29/3858 of 23 Jul 1987; Security Clearance Procedures (uu) CMS-4K, Communications Security Material System (CMS) Manual (vv) CSP-1A, Cryptographic Security Policy and Procedures (ww) U.S.C., Section 18, Title 499 (xx) SECNAVINST 5510.30, Department of the Navy Personnel Security Program (yy) OPNAVINST 5560.10B, Standard procedures for registration and marking of non-Government-owned motor vehicles (zz) OPNAVINST 11200.5, Motor Vehicle Traffic Supervision (aaa) NOSCINST 12771.1C, Employee Grievances (bbb) COMNAVBASESANDIEGOINST 5560.14B, Centralized alphabetical listings of station orders not to reenter and suspension/revocation of driving privileges (ccc) NOSCINST 5560.1C, Vehicle parking policy and regulations for NOSC San Diego (ddd) OPNAVNOTE 5510 of 3 September 1987, Changes to the Department of Navy (DON) Information and Personnel Security Program (eee) DON CAF ltr ser 29/6284 of 11 Sep 1987 B-3 NOSCINST 5500.1A 22 August 1988 B-4 NOSCINST 5500.1A 22 August 1988 APPENDIX C SECURITY COMMITTEES 1. Membership of the Physical Security Review Committee (PSRC) Chairperson - Chief Staff Officer, Code 03 Members - Head, Security Office, Code 15 Head, Information and Personnel Security Group, Code 152 Head, Physical Security Group, Code 154 Head, Office of Legal Counsel, Code 001 Head, Facilities Engineering Office, Code 006 Head, Internal Review Staff, Code 007 Comptroller, Code 0901 Head, Supply Department, Code 20 Small Arms and Ammunition Custodian Representative, Code 002 Command Master Chief, Code 004 Representative, Code 09 Representative, Code 40 Representative, Code 50 Representative, Code 60 Representative, Code 70 Representative, Code 80 Representative, Code 90 2. Membership of the Loss Prevention Subcommittee (LPS) Chairperson - Loss Prevention Coordinator, Code 154 Head, Security Office, Code 15 Head, Internal Review Staff, Code 007 Comptroller, Code 0901 Head, Customer Services and Material Division, Code 22 Command Investigator, Code 007 Head, Accounting Division, Code 12 Head, Physical Security Group, Code 154 3. Membership of the Physical Security Review Board (PSRB) Chairperson - Head, Security Office, Code 15 Members - Head, Physical Security Group, Code 154 Representatives from the following tenant activities: -Defense Technical Information Center (DTIC) -Federal Fire Department, San Diego (FFDSD) -Integrated Combat Systems Test Facility (ICSTF) -Naval Health Research Center (NHRC) -Naval Investigative Service Resident Agency, Point Loma -Naval Personnel Support Activity Detachment, Point Loma (PSD) -Navy Personnel Research and Development Center (NPRDC) C-1 NOSCINST 5500.1A 22 August 1988 Representatives from the following support activities: -Branch Medical Clinic Annex, NOSC -Navy Publishing and Printing Service Branch Office, Point Loma (NPPSBO) -Public Works Center (PWC) C-2 NOSCINST 5500.1A 22 August 1988 APPENDIX D AVAILABILITY OF FORMS FORM NO. TITLE STOCKING POINT CMS-17 Computer Custody Card Code 3301 CMS-25 Local Destruction Record Code 3301 DD Form 173/2 Joint Message Form SERVMART DD Form 250 Material Inspection and Receiving Code 423 Report DD Form 254 Contract Security Classification Code 152 Specification DD Form 398 Personnel Security Questionnaire Code 151 (BI/SBI) DD Form 398-2 Personnel Security Questionnaire Code 151 (National Agency Check) DD Form 1540 Registration for Scientific and Code 152 Technical Information Services (completed by contractor only) DOE F-5631.20 Request for Visit or Access Approval Code 152 Form I-51 Alien Registration Card (Not Available at NOSC) NOSC-SD 2200/1 NOSC RDT&E/OT&E SIGSEC Signature Preexpended Information NOSC-SD 2280/1 Open Safe Instructions Code 3301 NOSC 4650/36 Request for Foreign Travel Preexpended NOSC-SD 5050/23 Unofficial Foreign Visit Request Code 152 NOSC-SD 5216/27 Document Transmittal and Receipt Preexpended NOSC-SD 5500/15 Security Checklist for Special Group Code 151 NOSC-SD 5510/1 Security Warning (Red Hand) Code 154 NOSC-SD 5510/2 Security Violation Report Code 152 D-1 NOSCINST 5500.1A 22 August 1988 FORM NO. TITLE STOCKING POINT NOSC-SD 5510/6 CNWDI Briefing and Debriefing Code 152 Certificate 11ND NOSC 5511/1 & Special Handling Document Receipt and Preexpended 11ND NOSC 5511/1A Disclosure Record 11ND NOSC 5511/2 Record of Disclosure Preexpended NOSC-SD 5511/68 Secret Routing Sheet Preexpended NOSC-SD 5511/5 Request for NOSC Courier Designation Preexpended NOSC-SD 5511/6 Courier Letter (San Diego) Code 152 11ND NOSC 5511/11 Confidential Material Route Sheet Preexpended NOSC-SD 5511/16 Request for Locksmith Services/Key Preexpended Request NOSC-SD 5511/18 Secret Material Destruction Record Preexpended 11ND NOSC 5511/36 Courier Letter (Hawaii Lab) Preexpended NOSC-SD 5511/46 Request for Classified Technical Preexpended Information Release-SECRET NOSC-SD 5511/47 Request for Classified Technical Preexpended Information Release-Confidential NOSC-SD 5511/48 Record of Receipt Code 131 NOSC-SD 5511/50 Request for Access to SIOP-ESI Code 152 NOSC-SD 5511/51 SIOP-ESI Briefing Certificate Code 152 NOSC-SD 5512/9 Request for NOSC Picture Badge Preexpended (Contractor or U.S. Government) NOSC-SD 5512/10 After Hours Admittance Pass Preexpended NOSC-SD 5512/15 Naval Courier Designation Code 152 NOSC-SD 5512/21 Camera/Video/Recording Equipment Pass Code 151 11ND NOSC 5512/25 NAVFAC Visit Request Preexpended NOSC-SD 5512/34 Temporary Vehicle Pass Code 151 D-2 NOSCINST 5500.1A 22 August 1988 FORM NO. TITLE STOCKING POINT NOSC-SD 5512/40 Request for Photographer's Pass or Preexpended Camera/Video/Recording (CVR) Equipment Permit NOSC-SD 5512/113 Clearance/Badge/Decal Record Code 151 NOSC-SD 5512/127 Request for VIP Name Badge Preexpended NOSC-SD 5512/130 Request for NOSC Tenant Activity Preexpended Employee Picture Badge NOSC-SD 5520/5 NOSC Access Request for Uncleared Preexpended Contractor NOSC-SD 5521/10 Personnel Position Designation Preexpended NOSC-SD 5605/3 Routing and Approval NOSC Technical Preexpended Publications (Unclassified Material Attached) NOSC-SD 5605/4 Routing and Approval NOSC Technical Preexpended Publications (Confidential Material Attached) NOSC-SD 5605/5 Routing and Approval NOSC Technical Preexpended Publications (Secret Material Attached) NOSC-SD 5720/1 Unclassified Technical Information Preexpended Release NPPSO-SD 5604/7 Reprographics Request, Pt. Loma NPPS 5604/7A -Unclassified 5604/7B -Secret 5604/7C -Confidential NPPSO-SD 5604/7D Quick Copy Reprographics NPPS -Unclassified OPNAV 5511/12 Classified Material Destruction Report Preexpended OPNAV 5511/14 Security Termination Statement Code 151 OPNAV 5520/20 Certificate of Personnel Security Code 151 Investigation, Clearance and Access OPNAV 5521/27 Visit Request SERVMART OP-55 U.S. Government Identification Code 151 D-3 NOSCINST 5500.1A 22 August 1988 FORM NO. TITLE STOCKING POINT SF-50 Request for Personnel Action Preexpended SF-75 Request for Preliminary Employment Data Code 14 SF-85 Data for Nonsensitive or Noncritical Code 151 Sensitive Positions SF-153 COMSEC Material Report Code 3301 SF-171 Personal Qualification Statement SERVMART SF-189 Nondisclosure Statement Code 152 SF-700 Security Container Information SERVMART SF-701 Activity Security Checklist SERVMART SF-702 Security Container Check List SERVMART SF-703 Top Secret Cover Sheet SERVMART SF-704 Secret Cover Sheet SERVMART SF-705 Confidential Cover Sheet SERVMART D-4 NOSCINST 5500.1A 22 August 1988 APPENDIX E LIST OF DESIGNATED COUNTRIES Communist controlled countries or those hostile to the United states include: Country or Area Approximate Control Date Afghanistan April 1978 Albania January 1946 Angola November 1975 Berlin (East-Soviet Sector) April 1946 Bulgaria October 1946 Cambodia (Kampuchea) April 1975 China, People's Republic of January 1949 (Communist China including Tibet) Cuba December 1960 Czechoslovakia February 1948 Estonia June 1940 Ethiopia September 1974 German Democratic Republic April 1946 (East Germany including the Soviet sector of Berlin) Hungarian People's Republic (Hungary) June 1947 Iran February 1978 Iraq July 1958 Korea, Democratic People's September 1945 Republic of (North Korea) Laos June 1977 Latvia June 1940 Libyan Arab Republic September 1969 Mongolian People's Republic not identified (Outer Mongolia) Nicaragua July 1979 Poland February 1947 Rumania December 1947 Southern Yemen June 1969 Syria February 1958 Union of Soviet Socialist October 1922 Republics (Russia) Vietnam, Democratic Republic December 1946 of (North Vietnam) Vietnam, South April 1975 Yugoslavia November 1945 Kurile Islands and September 1945 South Sakhalin (Karafuto) E-1 NOSCINST 5500.1A 22 August 1988 E-2 NOSCINST 5500.1A 22 August 1988 APPENDIX F DEFINITIONS Access. The ability and opportunity to obtain knowledge or possession of classified information. An individual does not have access to classified information merely by being in a place where such information is kept, pro- vided the security measures which are in effect prevent him or her from gain- ing knowledge or possession of classified information. Accreditation. A policy decision by the responsible designated approving authority (DAA) resulting in a formal declaration that appropriate security countermeasures have been properly implemented for the automatic data process- ing/office information system (ADP/OIS) activity or network, so that the activity or network is operating at an acceptable level of risk. The accredi- tation will state the mode of operation and any operating limitations applica- ble to the ADP/OIS activity or network. ADP Environment. Any area in which ADP functions are performed including central computer facilities, peripheral and input/output devices outside the central control area, and remote terminal facilities. ADP Network. The interconnection of two or more ADP central computer facili- ties that provides for the transfer or sharing of ADP resources. The ADP network consists of the central computer facilities, the remote terminals, the interconnecting communication links, the front-end processors, and the tele- communications systems. ADP Security. The measures required to protect against unauthorized (acciden- tal or intentional) disclosure, modification, or destruction of data (classi- fied, personal, sensitive business), and loss of the ability to process data. ADP System. An assembly of computer equipment, facilities, personnel, soft- ware, and procedures configured for the purpose of classifying, sorting, cal- culating, computing, summarizing, storing, and retrieving data and information with a minimum of human intervention. Alien. Any person not a citizen or a national of the United States. (See definition of United States national.) Classification. The determination that official information requires, in the interests of national security, a specific degree of protection against unau- thorized disclosure coupled with a designation signifying that such a deter- mination has been made. Classification Guide. An instruction setting forth the classification, down- grading, and declassification guidance that is applied to subjects within a specific area of defense activity. Classified Information. Official information which has been determined to require, in the interests of national security, protection against unauthor- ized disclosure and which has been so designated. F-1 NOSCINST 5500.1A 22 August 1988 Classified Material. Any matter, document, product, or substance on or in which classified information is recorded or embodied. Clearance. An administrative determination by a designated authority that an individual is eligible for access to classified information of a specific classification category. Communications Security (COMSEC). The protective measures taken to deny unau- thorized persons information derived from telecommunications of the U.S. Gov- ernment related to national security and to ensure the authenticity of such communications. COMSEC includes: 1) cryptosecurity, which results from pro- viding technically sound cryptosystems and their proper use; 2) physical secu- rity, which results from physical measures taken to safeguard COMSEC material and information; 3) transmission security, which results from measures designed to protect transmissions from interception and exploitation by means other than cryptanalysis; and 4) emission security, which results from meas- ures taken to deny unauthorized persons information of value which might be derived from the interception and analysis of compromising emanations from cryptoequipment and telecommunications systems. Communist Controlled Countries. (See appendix E). Confidentiality. A concept which applies to data. It is the protective sta- tus accorded to data which requires safekeeping from unauthorized disclosure. Country Clearance. Permission obtained through diplomatic channels from a foreign nation to permit entry of military personnel, and/or military-spon- sored civilian personnel on official travel matters not pertaining to the mission of the unified or component command. Normally, country clearance is coordinated through the Defense Attache, if assigned, at the U.S. Embassy in the country or countries to be visited. Critical Nuclear Weapons Design Information (CNWDI). That Top Secret Restric- ted Data or Secret Restricted Data revealing the theory of operation or design of the components of a thermonuclear implosion-type fission bomb, war head, demolition munition, or test device. Specifically excluded is information concerning arming, fuzing, and firing systems; limited life components; and total contained quantities of fissionable, fusionable, and highly explosive materials by type. Among these excluded items are the components which per- sonnel set, maintain, operate, test, or replace. Critical-Sensitive Position. Any position which requires access to Top Secret information or opportunity for such access. Critical Technology. Classified and unclassified, nuclear and nonnuclear, published and unpublished technical data, whose acquisition by another nation would significantly enhance the military operational capability of such nation, irrespective of whether such technology is acquired directly from the United States or indirectly through another recipient, or whether the declared intended end-use by the recipient is a military or nonmilitary use. Control of critical technology requires the control of associated critical end prod- ucts (defined as "keystone") that embody extractable critical technology or that consist of equipment which completes a process line, allowing the line to be fully used. F-2 NOSCINST 5500.1A 22 August 1988 Custodial Responsibility. The responsibility for classified material which rests with the command to whom the material is charged or the command known to have had possession of the material until the time of its compromise or sub- jection to compromise. The sender of classified material lost in the postal system or delivered in such damaged condition that the probability of compro- mise must be determined is the command having custodial responsibility for report and investigation purposes. Custodian. An individual who has possession of or is otherwise charged with the responsibility for safeguarding and accounting for classified information. Data. Includes all information which is processed, handled, stored, or other- wise manipulated by an ADP system, office information system, or network. Data Security. The protection of data from accidental or intentional, but unauthorized, modification, destruction, or disclosure. Declassification. The determination that classified information no longer requires, in the interests of national security, any degree of protection against unauthorized disclosure coupled with a removal or cancellation of the classification designation. Deliberate Compromise. Any intentional act done with the object of conveying classified information to any person not officially authorized to receive it. Designated Approving Authority (DAA). An official assigned responsibility to accredit ADP/OIS elements, activities, and networks under the official's jur- isdiction. Document. For the purpose of this manual, any publication (bound or unbound, printed material such as reports, studies, manuals), correspondence (such as military and business letters and memoranda), or other printed or written products (such as charts, maps). Downgrading. The determination that classified information requires, in the interests of national security, a lower degree of protection against unauthor- ized disclosure than currently provided coupled with a changing of the clas- sification designation to reflect such lower degree. Foreign National. Any person not a U.S. citizen, U.S. national, or immigrant alien. American citizens representing foreign governments, foreign private interests, or other foreign nationals are considered to be foreign nationals for purposes of this manual when acting in that capacity. Formerly Restricted Data (FRD). That data removed from the Restricted Data category upon determination jointly by the Atomic Energy Commission and the Department of Defense. Immigrant Alien. Any person who has been lawfully admitted into the United States for permanent residence under an immigration visa. Instrumented TEMPEST Survey (ITS). The testing of a ship, shore station, transportable, or aircraft classified electrical processing equipment to F-3 NOSCINST 5500.1A 22 August 1988 determine the TEMPEST profile of the activity and to determine compliance with the national policy on control of compromising emanations. The need for an instrumented TEMPEST survey will be based on a TEMPEST vulnerability assess- ment. Marking. The physical act of indicating on classified material the assigned classification, changes in classification, downgrading and declassification instructions, and any limitations on the use of the classified information. National Security. The national defense and foreign relations of the United States. NATO Documents. Documents originated by a member country of the North Atlan- tic Treaty Organization and distributed to other countries belonging to that organization which require special handling in accordance with agreements made by all member countries. The documents may be COSMIC (Top Secret), Secret, Confidential, Restricted, or unclassified. Naval Warfare Publications (NWP's). Certain Naval Warfare Publications (NWP's), Naval Warfare Information Publications (NWIP's), Fleet Exercise Pub- lications (FXP's), Allied Technical Publications (ATP's), Allied Exercise Publications (AXP's), and miscellaneous allied publications sponsored by the Chief of Naval Operations and stocked in the cognizance symbol "I" stock points as identified in NAVSUP Publication 2002. They may be Secret, Confi- dential, or unclassified. Need to Know. The necessity for access to, knowledge of, or possession of classified information in order to carry out official military or other Gov- ernmental duties. Responsibility for determining whether a person's duties require possession of, or access to, classified information and whether the individual is authorized to receive it rests upon the possessor of the classi- fied information and not upon the prospective recipient. Noncritical-Sensitive Position. Any position which requires access to Secret or Confidential information or opportunity for such access. Nonsensitive Position. Any position which does not require access to classi- fied material or for which access to classified material can be withheld until the clearance process is completed. Office Information System (OIS). Any electronic system which is designed specifically for the purpose of, and is being used primarily for, office information applications. Office information applications are those func- tions, normally performed in an office environment, dealing with documents including reports, memoranda, notes, correspondence, letters, messages, files, records, forms, working papers, and other textual information. Office infor- mation applications include document preparation (word processing), storage, retrieval, manipulation (sorting, indexing, etc.), and distribution (elec- tronic mail). Office information system equipment (OISE) excludes typewrit- ers, office copy machines, and other devices which have no text editing capability as well as general purpose and specially designed ADPE which is designed primarily to be applied through the internal execution of a series of instructions--not limited to specific key-stroke functions, but controlled by F-4 NOSCINST 5500.1A 22 August 1988 a general purpose data processing language--to process a variety of applica- tions such as financial management, logistics, scientific, communications, etc. Restricted Data (RD). That material concerning: 1) design, manufacture, or use of atomic weapons; 2) production of special nuclear material; 3) use of special nuclear material in production of energy. NOTE: This does not include data or material declassified or removed from the Restricted Data category. Risk Assessment. An analysis of system assets and vulnerabilities to estab- lish an expected loss from certain events based on estimated probabilities of the occurrence of those events. The purpose of a risk assessment is to deter- mine if countermeasures are adequate to reduce the probability of loss or the impact of loss to an acceptable level. Security. A protected condition of classified information which prevents unauthorized persons from obtaining information of direct or indirect military value. This condition results from the establishment and maintenance of pro- tective measures which ensure a state of inviolability from hostile acts or influence. Security/Privacy Directive. A document providing information and guidance for relating Department of the Navy policy and procedures regarding the Privacy Act to ADP systems processing or storing personal data. A personal data sys- tem is a system which contains any personal information about an individual such as education; finances; service data; medical, criminal, or employment history; the individual's name, social security number, or any other identifi- cation number or symbol. Security Violation. Any failure to comply with the regulations relative to the security of classified material. Sensitive Items. Material which requires a high degree of protection and control such as precious metals, gifts of silver, and other valuable articles presented to United States ships or stations, and highly technical devices/ classified material. Single Integrated Operational Plan - Extremely Sensitive Information (SIOP- ESI). Detailed Top Secret information and material, regardless of its physi- cal form or characteristics, which is part of the Joint Chiefs of Staff SIOP or derived from or published in support of the SIOP. This material is of such an extremely sensitive nature that its compromise would seriously degrade the effective execution of the SIOP. Its disclosure must be limited to only authorized persons on a strict need-to-know basis. Special Access Program. Any program imposing "need-to-know" or access con- trols beyond those normally provided for access to Confidential, Secret, or Top Secret information. Such a program includes, but is not limited to, spe- cial clearance, adjudication, or investigative requirements; special designa- tion of officials authorized to determine "need-to-know"; or special lists of persons determined to have a "need-to-know." F-5 NOSCINST 5500.1A 22 August 1988 Technical Information. Information, including scientific information, which relates to research, development, engineering, test, evaluation, production, operation, use, and maintenance of munitions and other military supplies and equipment. TEMPEST Vulnerability Assessment. The vulnerability assessment of a ship, aircraft, shore station, transportable, or contractor facility considers 1) susceptibility, 2) environment, and 3) threat which together create vulner- ability. From this assessment and considering the category, classification, or sensitivity of the information involved, a determination will be made whether to schedule an instrumented TEMPEST survey or place the requester in the "acceptable risk" category. Top Secret. That national security information or material which requires the highest degree of protection, the unauthorized disclosure of which could rea- sonably be expected to cause exceptionally grave damage to the national secu- rity. Transmission. Any movement of classified information or material from one place to another. Travel Clearance. Permission obtained from a unified commander for visits pertaining to the mission of a unified command or when in-theater administra- tive support is required. Also, permission obtained from a component com- mander, Military Assistance Advisory Group (MAAG)/Mission/Office of Defense Cooperation (ODC), or other joint activity for visits pertaining to a compo- nent service or mission of a joint activity. Unauthorized Disclosure. A communication or physical transfer of classified information to an unauthorized recipient. United States National. 1) A person born in an outlying possession of the United States on or after the date of formal acquisition of such possession; 2) a person born outside the United States and its outlying possessions of parents both of whom are nationals, but are not citizens, of the United States, and have had a residence in the United States, or one of its outlying possessions, before the birth of such person; or 3) a person of unknown par- entage found in an outlying possession of the United States while under the age of 5 years, unless shown, before attaining the age of 21 years, not to have been born in such outlying possession. (For the purpose of this manual, U.S. nationals are included in the use of the term "U.S. citizens".) United States and U.S. Territories. The 50 states; the District of Columbia; the Commonwealth of Puerto Rico; the Territories of Guam, American Samoa, and the Virgin Islands; the Trust Territory of the Pacific Islands; and the Pos- sessions Midway and Wake Islands. Upgrade. A determination that certain classified information requires, in the interest of national security, a higher degree of protection against unauthor- ized disclosure than currently provided, together with a changing of the clas- sification designation to reflect such higher degree. F-6 NOSCINST 5500.1A 22 August 1988 Visit Notification. Notification provided to various commands, activities, units, or other officials on proposed visits where: 1) no travel or country clearance is required; or 2) travel or country clearance has been granted or assumed and originator must provide all concerned with firm estimated times of arrival (ETA's), estimated times of departure (ETD's), and carrier informa- tion. This applies to CONUS visits as well. Working Papers. Documents, including drafts, photographs, etc., accumulated or created to assist in the formulation and preparation of a finished docu- ment. They are not complete documents, whether internal or external docu- ments. F-7