COMNAVRESINTCOMINST 5510.5
08 JAN 1991
COMNAVRESINTCOM INSTRUCTION 5510.5
Subj: POLICY AND GUIDELINES FOR THE ESTABLISHMENT, ADMINISTRATION
AND MANAGEMENT OF NRIP-SPONSORED SENSITIVE COMPARTMENTED
INFORMATION FACILITIES (SCIFS)
Ref: (a) CNO ltr Ser 009R/6U363906 of 28 Nov 86
(b) DNRIP ltr Ser 01:A.25/002 of 11 Jan 87
(c) DIAM 50-3 of Feb 90
(d) DoD DIR C-5105, 21-M-1
(e) DoN Supplement to DoD DIR C-5105, 21-M-1
Encl: (1) Additional General Policy on Physical, Personal and Information Security of NRIP SCIFs
(2) Generalized Checklist for NRIP SCIF Establishment
(3) NRIP SCIF and NRIP Co-utilized SCIF Facilities
Relationship Diagrams
(4) COMNAVRESINTCOM Inspection Guidelines for NRIP SCIFs
1. Purpose. To promulgate general guidelines and specific
COMNAVRESINTCOM policies for obtaining, managing and
administering Naval Reserve Intelligence Program (NRIP) sponsored
SCIFs (NSS).
2. Cancellation. COMNAVRESINTCOMINST 5510.128
3. Scope. By definition, NRIP-sponsored and dedicated SCIFs are
those facilities which have been constructed or modified to serve
as SCIFs for NRIP units which do not drill at pre-existing
Gaining Command, joint command, SECGRU or other DoD-related
SCIFs, and which require on-site NRIP Special Security Officers
(SSOs). This instruction applies to SCIFs which are sponsored
primarily by the NRIP and whose operations are overseen by an SSO
who is either a RIPO, a NRIP unit commanding officer, or other
NRIP unit member designated to serve as the SSO.
4. Background
a. An increasing number of NRIP units have been tasked by
their Gaining Commands with project work that requires SCI
billets and SCIF working spaces. Prior to 1988, units so tasked
utilized SCIF spaces of their respective Gaining Command or co-utilized SECGRU or other Naval or joint service command SCIF
spaces. In those cases where NRIP units drill in SCIFs other
than those of their Gaining Command, they operate under a
FOR OFFICIAL USE ONLY
memorandum of understanding (MOU). The various Gaining Commands
or SECGRU SSOs have historically functioned as the SSO for NRIP
units drilling in their spaces.
b. In reference (a), CNO provided policy guidance concerning
SCIF spaces for NRIP units. Reference (b) re-emphasized the need
for NRIP SCIFs and cautioned that development of SCIFs should be
properly coordinated and that additional guidance would be
provided concerning co-use of SECGRU SCIFs. Technological
advancements have caused an ever-increasing dependence within
Naval Intelligence on Sensitive Compartmented Information (SCI).
This has increased the Gaining Command's requirements for NRIP
units remotely located to have SCIFs for SCI projects. In
response to references (a) and (b), a growing number of NRIP SCIF
spaces are either under construction or have been completed.
Since 1989, several new NRIP SCIFs have been accredited and are
now in operation. These NRIP-sponsored and dedicated SCIFs are
being built or established to serve NRIP units which do not drill
at sites having existing Gaining Command, joint command, SECGRU
or other DoD-related SCIFs, and require their own on-site SSOs.
5. Discussion
a. Three NSSs now exist and are operating under interim
accreditation. An additional three are completed and are
awaiting pre-accreditation inspections. An additional ten are
under construction or are in advanced planning stages. All of
these facilities are planned to come on-line over the 1990 to
1992 time period. As the NRIP moves into this new area of
responsibility, it is imperative that a clear definition of the
NRIP's role in the administration and management of NSSs be
outlined and understood.
b. The Director of Naval Intelligence (DNI/OP-092), is the
Senior Official of the Intelligence Community (SOIC) for the
Department of the Navy (DoN). As such, he is the approving
authority for the accreditation of SCIFs within the DoN.
Assistant Commander, Naval Intelligence Command for SCI Security
Policy/DoN Special Security Officer (SSO Navy) provides and
maintains the requisite facility accreditations of SCIFs under
the authority of the DNI (less Navy and Marine Corps cryptologic
activities). All DNI shore-based intelligence SCIFs, including
NRIP SCIFs, must meet the physical security standards of
reference (c).
c. COMNAVRESINTCOM does not have SCIF accreditation
authority. However, COMNAVRESINTCOM does have management control
and responsibility for the NRIP Area management team, the NRIP
units, and NRIP personnel who drill in SCIFs. This instruction
supplements the DoN Information and Personnel Security Program
Regulation (OPNAVINST 5510.1), which is to be used in conjunction
with this instruction as well as with any other pertinent
directives, notices or instructions from other authorities in the
administrative and operational chains of command.
6. Policy
a. COMNAVRESINTCOM policy on NRIP SCIFs is driven by the
extraordinary security safeguards required for the protection of
SCI materials as prescribed in references (c) through (e) and
other pertinent national directives. In addition, both physical
and procedural security standards are hereby supplemented by
COMNAVRESINTCOM policies established for NRIP SCIFs.
b. Unlike general service (GENSER) Top Secret, Secret or
Confidential material, access to Sensitive Compartmented
Information (SCI) is based on strict need to know and requires a
Special Background Investigation (SBI) with an SSO Navy
adjudicative determination that an individual meets necessary
standards. Neither rank, position nor possession of
Confidential, Secret or Top Secret clearances authorizes anyone
access to SCI material. Authority to indoctrinate an individual
into an SCI program is granted by SSO Navy based on a
successfully adjudicated SBI and established need-to-know.
c. Security of NSSs is of paramount importance. Under no
circumstances are established SSO security procedures to be
compromised. The chances for NRIP security violation/compromise
will increase when there is inadequate staffing and subsequent
overload of RIPO staffs which must handle SCI paperwork. No NSS
will be approved for SCI Gaining Command project work by
COMNAVRESINTCOM until such time as adequate RIPO/SSO and
appropriate assistant manning is available, and the SSO and
assistant have been properly trained and indoctrinated.
d. Although SCIF facilities may be completed and physically
accredited and operational, no SCI project tasking will be
requested by NRIP units or approved by COMNAVRESINTCOM, nor will
any Gaining Command SCI materials be shipped to these units,
until COMNAVRESINTCOM has documentation that the cognizant
RIPO/SSO can handle the added responsibility and workload of the
SCIF administration and management. In all cases,
COMNAVRESINTCOM's prime criteria for approval will be the
security of the SCIF and its SCI project material. A formal
statement to proceed with Gaining Command SCI tasking of units
will be sent to the applicable Reserve Intelligence Area
Coordinator by COMNAVRESINTCOM only upon COMNAVRESINTCOM's
satisfaction that both the SCIF facility and the SSO and his
administrative team are ready to handle SCI related business.
The SSO must have all needed materials, and both the RIPO/SSO and
their assistants must be present and available for SCI work.
They must also be able to demonstrate a working knowledge and
understanding of all applicable security directives relative to
SCIF management, administration and security.
e. No first-time NRIP unit project work involving SCI is to
be requested by NRIP units or accepted independently by the SSO
or NRIP units from their Gaining Commands without the express
written approval of COMNAVRESINTCOM. Therefore, all requests for
SCI projects will be sent from the unit commanding officers to
their Gaining Command via the SSO (RIPO), the RIAC and
COMNAVRESINTCOM for approval and endorsement. This procedure, in
compliance with OPNAVINST 3880.5A, will help ensure that all NRIP
personnel working on SCI materials and administering and managing
SCIFs are fully cognizant of their responsibilities, and are
capable of handling the SCI workload. RIACs and RIPOs are
directed to be aware of and monitor the ongoing workload of the
cognizant SSO to ensure that overload of the NRIP SSO and his
assistants does not occur. In all cases, SCI project requests
shall be initiated by the NRIP units in coordination with the
Gaining Command involved but not by the RIPO/SSO or RIAC.
f. If an NRIP area's normal unclassified workload and GENSER
operations are not complete and up-to-date, and the normal NRIP
workload is not routinely handled in a competent day-to-day
manner, original SCI project materials or work requests will be
denied for NRIP unit work in NSSs in that area and ongoing SCI
project work activity may be suspended by COMNAVRESINTCOM. In
the event NSS standards fall below an acceptable level,
COMNAVRESINTCOM will notify SSO Navy and may request that an
inspection of the NSS be scheduled immediately to determine if
accreditation for the NSS should be withdrawn.
g. Additional general policy guidance in physical, personal
and information security of NRIP SCIFs is contained in enclosure
(1).
7. Relations with Host Activity COs. Commanding Officers of
Naval Reserve Centers and Naval Air Stations which host NRIP
units occupying SCIFs are commonly faced with requirements which
are contained in regulations to which they are not authorized
access. Therefore, the following is provided to clarify this
specific physical security issue.
a. The Commanding Officer of a Naval Reserve Center or other
host activity is authorized access to spaces accredited for the
storage and handling of SCI only when those spaces have been
properly sanitized.
b. For all NRIP units that drill in SCIFs which are
accredited for closed storage (i.e., when not occupied, all
material must be locked in GSA approved security containers),
combinations to SCIF entry vault doors and alarm keys may be
stored in the possession of the Commanding Officer of the Center
or host activity.
c. Combinations to containers which store SCI material,
however, must be limited to individuals who have been
indoctrinated for access to SCI. Container combinations must be
stored in a container within the SCIF with a copy provided to,
and stored by, the cognizant SSO.
8. COMNAVRESINTCOM SSO Adviser
a. An SSO Adviser job description has been established on
the COMNAVRESINTCOM staff. The COMNAVRESINTCOM SSO Advisor is
the coordinating agent to help Area RIACs/RIPOs proceed through
the required steps necessary to transition from the construction
of a SCIF to the actual administration and operation of NRIP-sponsored SCIFs. All significant steps taken toward establishing
NRIP-sponsored SCIFs will be coordinated with this advisor. All
correspondence, such as concept requests and pre-construction
evaluations, shall include COMNAVRESINTCOM as a "copy to"
addressee to ensure the necessary coordination/planning of the
required SCIF spaces and their subsequent proper administration
and management. This Advisor does not have an accreditation
function and will not pass judgment on the need for, or the
adequacy of, SCIF spaces. COMNAVRESINTCOM does however have
responsibility for the NRIP units using these spaces.
Accordingly, this Advisor shall have a COMNAVRESINTCOM inspection
function to ensure that all NRIP SSOs are competent, adequately
staffed and have a working knowledge of all pertinent
instructions and procedures relating to their SSO functions.
b. The Advisor's functions will include pre-SCIF
accreditation assist visits and coordination with the designated
Area SSOs and their staff as well as SSO Navy. This will help
ensure that proper procedures and timely actions are being
carried forward and help solve problems which may arise prior to
SSO Navy inspection and accreditation.
c. The RIPO/SSO shall notify COMNAVRESINTCOM in writing that
an NRIP SCIF is ready for units to request SCI project material
only after completion and documentation of the following:
(1) Inspection by SSO Navy;
(2) The pertinent interim facility SCIF certification
letter has been received by the SSO from SSO Navy;
(3) The proper Compartmented Address Book (CAB)
submissions have been completed;
(4) Receipt of all required management publications,
Defense Courier Service (DCS) address and courier cards;
(5) Proper SCI indoctrination and debrief tapes and
forms, etc., have been requested and received; and
(6) Adequate staffing exists to properly administer and
manage the SCIF.
d. Following this written notification, the COMNAVRESINTCOM
SSO Advisor will make an immediate assist visit to the subject
SCIF to ensure all necessary equipment and hardware are, in fact,
on hand and that adequate manpower is available. The SSO and his
assistants must satisfy the Advisor that they can properly
function under the Gaining Command tasking load to the units, and
must demonstrate a working knowledge of the pertinent
instructions and procedures. The Advisor shall then recommend to
COMNAVRESINTCOM in writing that the NRIP units using the SCIF be
allowed to request SCI project materials from their Gaining
Commands. Upon receipt of COMNAVRESINTCOM's letter to the RIAC,
with copies to the RIPO/SSO and the NRIP units authorizing them
to request SCI project materials, the NRIP SCIF will be
considered fully functional for Gaining Command project work.
SCI billets should already have been requested and available via
the Gaining Command. NRIP units can then initiate requests for
SCI projects in coordination with their Gaining Commands.
d. Because SCIFs are, in fact, considered operational upon
receipt of the SCIF interim facility certification letter from
SSO Navy, NRIP SSOs are directed to request all necessary
operational materials as soon thereafter as possible. This will
minimize the time gap between accreditation and full scale
project operations. To this end, the Advisor will make the
necessary assist visit to the new SCIF staff as soon as the
minimum necessary materials to operate the SCIF have been
received.
e. The time lag between receipt of the necessary operational
materials and COMNAVRESINTCOM's authorization letter to the NRIP
units should be less than 30 working days.
f. Both the Advisor's assist visit and scheduled inspections
of NSSs for proper administration and management will be in
addition to and will supplement SSO Navy's oversight of the SCIF
facilities. They will not be in lieu of or replace SSO Navy
authority for SCIF accreditation and inspection. However, the
Advisor will serve as the COMNAVRESINTCOM staff administration
and management inspection officer, and will establish appropriate
complementary COMNAVRESINTCOM management inspection criteria and
schedules for all NRIP-sponsored SCIFs (NSS). The Advisor shall
maintain informal coordination and liaison with SSO Navy.
9. NRIP SCIF SSOs. Normally, an on-site active duty officer
will be required to serve as SSO for an NSS. Ideally, the area
RIPO will be designated the SSO for the NSS. In rare cases, an
NRIP unit commanding officer may serve a remote SCIF as the
designated SSO for that SCIF when it is geographically located
too far away for the RIPO to serve in this capacity. This
procedure must receive written approval of both SSO Navy and
COMNAVRESINTCOM. All NRIP RIPO/SSOs or CO/SSOs must have
completed SSO school prior to being designated as an NSS SSO.
COMNAVRESINTCOM recognizes the need for adequate administrative
help to properly serve RIPO SSOs. Accordingly, no NRIP unit
drilling in an NSS will be certified by COMNAVRESINTCOM to
acquire SCI project materials without the proper security and
administrative support for the RIPO to fulfill the full SSO
responsibility. Overloading of the RIPO/SSO workload, which has
the potential to compromise security, will be specifically
avoided. Both the RIAC and the RIPO must be fully aware of the
SSO workload. This concern will not be used as an excuse to
delay opening SCIFs when the workload is not excessive. Where
appropriate, SSOs may delegate portions of their workload to
assistant SSOs at the unit level. Necessary administrative help
will be provided for NSS SSOs as additional units drill in NSS
facilities.
10. NRIP Unit Assistant SSOs
a. For NRIP units which drill in NSS facilities, unit
assistant SSOs are required. Unit COs will need to plan for and
designate a qualified unit assistant SSO to take positive custody
from the RIPO/SSO of SCI materials sent to those units for
project work from their Gaining Commands.
b. The unit assistant SSO will be responsible for
safeguarding highly sensitive classified material and must be a
responsible officer who is not in a training status. The
designated individual will occupy this billet for no more than
two years (three at the most, if absolutely necessary).
11. Procedures for NRIP SCIF Establishment. As a general guide
to the establishment procedure for an NSS, enclosure (2) has been
prepared. NRIP personnel who are involved in modification,
construction and accreditation procedures will find this
checklist a convenient (but not necessarily complete) guide for
the sequential steps necessary to establish an NSS. This
checklist does not substitute for, nor is it intended to replace,
references (c) through (e). It is, however, a general road map
which should make the process of establishing an NSS easier. It
is to be used as a general guideline only.
12. Various NRIP SCIF Relationships. Enclosure (3) is an
explanation diagram of how various NRIP units utilize both NRIP
and/or other command SCIFs. In certain special cases, NRIP SCIFs
may have unit COs or unit members as detached SSOs. For
illustration of concepts, diagram A of enclosure (3) depicts five
identifiably different situations or cases in which NRIP units
operate. Diagram B of enclosure (3) depicts the generalized
accreditation inspection trail, as well as the route of SCI
project materials and lines of communication to and from the
various types of NRIP units which drill in SCIF spaces.
13. Inspections of NRIP SCIF Administration and Management
Procedures
a. SSO Navy provides and maintains requisite facility
accreditation of SCIFs under the authority of the DNI, including
the triennial (or as necessary) SCI administration inspections
and assist visits. However, because of the unique nature of NRIP
activities and the extraordinarily sensitive nature of SCI
materials which will be handled in the context of the NRIP
environment, COMNAVRESINTCOM will also conduct formal NRIP
administration and management inspections and assist visits on a
regular 18-month basis. These inspections will normally be held
in conjunction with and as a part of the triennial area
inspections, or during the out years as part of the intelligence
oversight/special interest/security inspections.
b. It is emphasized that COMNAVRESINTCOM's SCIF
administrative and management inspections are an adjunct security
measure and are not intended to replace or supersede SSO Navy's
normal SCI inspections. They are designed to anticipate and head
off any security problems or potential problems which may arise
out of the unique nature of the NRIP and NRIP SCIF operations.
They are intended to be constructive in nature and will be useful
in providing help and suggestions in administering and managing
NRIP SCIFs. The emphasis of these inspections will be on overall
operations and security education, and will generally avoid
duplication of those areas normally covered by SSO Navy
inspections. Strong emphasis will be put on personnel
competency, adequate staffing, planning, security educational
functions, local SSO or SCIF problem areas, and to test the SSO's
working knowledge of all pertinent instructions and procedures
relating to their SSO functions (see enclosure (4)).
14. Action. All RIACs and NRIP unit COs will ensure that
original requests for SCI tasking by NRIP units are sent via
COMNAVRESINTCOM for endorsement. All NRIP SSOs shall ensure that
updates, suggestions for improvement and constructive comments on
this instruction and its contents are solicited from all NRIP
unit Commanding Officers and Area RIACs/RIPOs and SSOs.
G. P. DICKEY
Distribution: (refer to COMNAVRESINTCOMINST 5216.1E)
Lists I, II, III, IV
1. Physical Security
a. Combinations. Combinations must be changed at least
annually, when compromised or when a knowledgeable individual no
longer has need for access. Combinations are assigned a security
classification equal to the highest category of the classified
material authorized to be stored in the container or vault. The
combination to an NRIP SCIF door may be inserted in a sealed,
properly marked envelope and stored with the Host Activity
Commanding Officer, if the SCIF is closed storage. As such, all
classified material must be stored in GSA approved security
containers. Access to the secured spaces does not mean access to
SCI. Combinations to the individual containers, however, must be
limited to individuals who have access to SCI. Therefore,
container combinations must be stored in a container within the
SCIF with a copy provided to and stored by the RIPO or SSO of the
next closest SCIF. DO NOT provide container combinations to
ANYONE who does not have approved access to SCI.
b. Alarms. Alarms must be tested at least monthly.
Stationkeepers must know where the alarm annunciators are located
and who is responsible for responding. The access/secure
mechanism for alarms must be located within the SCIF area with no
possible means of tampering with that alarm from outside the
SCIF.
c. Visitor Logs. A log must be maintained on all visitors
to the SCIF, i.e., personnel who are not actually assigned to the
drilling unit or who do not possess access authority to the SCI
material in the SCIF. The log must include the name, grade/rank/
rate/title, date, time in/out and purpose of visit. Clearance
certification must be on file and identification verified prior
to entry.
d. Internal Relocations. Moving non-electronic office
equipment inside the SCIF to accommodate personnel or program
changes does not require prior approval. It does, however,
require awareness of the location of motion detectors, etc., to
ensure all containers are properly covered.
e. Access Control Devices. Personnel access control
devices, such as electronic ciphers, are designed to admit
personnel with properly authorized access into the secure area.
They are not considered a locking device and, as such, should not
be used to secure the SCIF. If the SCIF is unattended for any
length of time, the three position dial combination lock must be
engaged.
f. SCIF Relocations. Relocation, new construction or
modifications of a SCIF must be approved in advance by SSO Navy.
Any NRIP unit that has plans for any of the above actions must
contact COMNAVRESINTCOM early on in the planning stages. Not
only does the COMNAVRESINTCOM SSO Advisor have to coordinate
these actions, but he has the ability to save time and money by
providing construction liaison criteria and assistance.
g. ADP Equipment. In accordance with pertinent
instructions, ADP system accreditation documentation must be
submitted to the SSO prior to processing of SCI. Once SCI
processing has commenced, ADP equipment may not be moved or
removed from the SCIF unless approval has been granted by the SSO
and the system has been properly sanitized. Software which has
been used to process SCI shall be protected and maintained as SCI
until properly destroyed.
2. Personnel Security
a. SSO Files. SSO files must be maintained within the SCIF
and afforded the protection of both the classification content
and Privacy Act considerations. Access should be limited to the
Reserve Unit SSO and the individual performing the SSO clerical
functions. No one should be able to access his or her own SSO
file.
b. Access Lists. A current listing of personnel authorized
access to the SCIF must be maintained. The listing must indicate
the type of SCI for which each individual is authorized access.
This access list will be classified according to content and must
be afforded appropriate security protection.
3. Information Security
a. Security Violations. If SCI is lost, missing,
compromised or subjected to the potential for compromise, a
formal report must be prepared within 24 hours of its discovery,
or sooner if possible, and submitted to SSO Navy and to
COMNAVRESINTCOM. The report must be properly classified (not
lower than Confidential) and must contain all pertinent
information as required by reference (e). If ever in doubt about
the need to report compromises or possible compromises, a query
should be made to the Navy SSO.
b. Document Control/Inventory. The SSO must ensure that all
SCI documents/material are accounted for at all times. Incoming
and outgoing document control logs must be meticulously
maintained. An inventory of all SCI materials will be conducted
annually, upon turnover of SSOs, or at any other time it is
considered necessary or prudent. Annual inventory of Top Secret
SCI material is mandatory.
c. Security Education. Resource material for security
education programs is available throughout the Navy. The
COMNAVRESINTCOM SSO Advisor is currently working with SSO Navy to
build audio-visual and publication libraries in geographical
locations within closer reach to activities and units. These
products will certainly enhance local programs, but should not be
used in their entirety to satisfy minimum standards. SSOs should
determine what the needs are for their particular units. Are
unit personnel aware of foreign travel restrictions? Are they
familiar with the requirement to report contacts with communist
nationals or with any foreign national who attempts to elicit
classified information? Where are the weaknesses in their
knowledge of handling SCI? These questions, plus others, and an
astute awareness of the unit's security posture will dictate the
areas of concentration needed for an effective security awareness
and education program.
1. All NRIP SCIFs will meet the physical security standards of
DIAM 50-3. SCI will not be discussed or stored outside of
accredited spaces unless an exception has been granted by the
approving accreditation authority (SSO Navy).
2. The Director of Naval Intelligence (DNI/OP-092), as Senior
Official of the Intelligence Community (SOIC) for the Department
of the Navy (DoN), is the approving authority for the
accreditation of SCIFs within the DoN. Assistant Commander,
Naval Intelligence Command for SCI Security Policy/DoN Special
Security Officer (SSO Navy) will provide and maintain requisite
facility accreditations for SCIFs under the authority of the DNI
(less Navy and Marine Corps cryptologic activities).
3. To begin the process of an NRIP SCIF establishment in
accordance with the Navy Supplement to DoD DIR C-5105, 21-M-1, a
Statement of Concept Request will be submitted by the local
RIAC/RIPO via the chain-of-command to SSO Navy, presenting
sufficient Gaining Command justification for the establishment of
a SCIF or modification of an existing SCIF. Requests will
justify any requirements for open storage of SCI. NRIP concept
requests to SSO Navy will include COMNAVRESINTCOM as a "copy to"
addressee, ensuring necessary coordination/planning of
intelligence communications (INTELCOM) or Defense Special
Security System (DSSS) program requirements.
4. SSO Navy will review the Statement of Concept Request for
approval. The concept request shall be classified according to
content, however, at a minimum shall be Confidential. The
concept request format shall include:
a. Justification for establishment.
b. SCI mission or function to be supported.
c. A physical description of the space to include the proposed construction aspects of the perimeter (walls, vents, ingress and egress, etc.) and interior space (containers, etc.).
d. Type and estimated volume of SCI material to be stored
and/or handled in the facility. Open/closed/secure working
area/continuous use mode of operation (specify which mode(s).
Unless continuous use is requested, all OPEN STORAGE REQUIREMENTS
MUST BE FULLY JUSTIFIED.
e. Number of approved and proposed SCI billets which the
facility will support.
f. Proposed courier/mail arrangements for the receipt of SCI material.
g. Names, ranks and social security numbers of individuals
authorized to receipt for SCI material.
h. Proposed security alarm protection measures for the
facility, including guard response capability.
i. Proposed SCI communication channels, support facilities
and arrangements.
j. Proposed routing/emergency destruction equipment.
5. Upon receipt of the concept approval from SSO Navy, the
requesting activity prospective Special Security Officer,
RIAC/RIPO or designated responsible official will submit a Pre-construction Evaluation to SSO Navy. Construction or alteration
will not be undertaken until a pre-construction/modification
evaluation is reviewed and approved by SSO Navy.
6. The Pre-construction Evaluation
a. Conduct a pre-construction evaluation of the proposed
facility and provide recommendations to the appropriate officials
(e.g., CO/OIC, Communications Officer, Public Works Officer,
telephone company, alarm contractor, etc.) regarding the
facility's compliance with the physical security standards of
DIAM 50-3. It is recommended that coordination also be
established with life, safety and fire protection personnel.
Naval Investigative Service field office personnel may also be
contacted to assist in this evaluation.
b. Prepare an emergency plan for the proposed SCIF for any
possible natural disaster, provide adequate planning for escape
in the case of fire and plan installation of fire fighting and
life support equipment.
c. Assist in establishment of a Defense Courier Service
(DCS) support agreement.
d. Arrange for a TEMPEST Vulnerability Assessment Request
(TVAR), in accordance with OPNAVINST C5510.93 (series), if SCI is
to be processed electrically/electronically.
e. Provide for an ADP Systems Security Evaluation, in
accordance with OPNAVINST 5239.1A, if SCI is processed via
Automated Data Processing (ADP) equipment.
f. Verify Validation of SCI communications requirements, per
DIAM 355-2, if SCI communications are required.
7. Upon completion of the pre-construction evaluation and other
necessary arrangements, submit the evaluation to SSO Navy for
security review and approval. A copy of the fixed facility
checklist on page 233 in DIAM 50-3, prepared in accordance with
the instructions therewith, should be used for this purpose.
(The concept proposals and pre-construction evaluations may be
submitted together at the same time and in the same package, if
desired). SSO Navy will conduct its own pre-construction
evaluation of the proposed facility regarding the facility
compliance with the physical security standards of DIAM 50-3.
8. Upon approval of the Statement of Concept, the Pre-construction Evaluation, and completion of all essential
construction which meets the security protection requirements of
DIAM 50-3 from SSO Navy, a request for Interim Facility
Accreditation should be submitted to SSO Navy. The request for
accreditation requires certification that the proposed or
modified facility meets the physical security criteria of DIAM
50-3 (usually a reference of SSO Navy's Pre-construction
Evaluation Approval). In addition, two copies of the fixed
facility checklist (page 233 of DIAM 50-3) and two copies of a
rough drawing of the proposed SCIF, drawn approximately to scale
with dimensions indicated, will be included. Also, a statement
should be included justifying any proposed waivers of DIAM 50-3
standards and a statement justifying any proposed open storage
requirements.
9. Upon favorable review of the accreditation request and all
related supporting security information and documentation, an
Interim Facility Accreditation may be granted by SSO Navy (or
specific changes required before accreditation can be
considered). Receipt of SCIF interim facility accreditation will
usually be dependent on a DCS address for delivery. It may be
necessary to have the accreditation letter sent to the nearest
RADCO or other nearby SCIF until a new address is finalized. It
can then be couriered to the NRIP SCIF.
10. Contact with the local DCS station will be required to
establish local pickup procedures and proper pouching
instructions on package addresses as well as the CAB submission.
11. The SCIF is considered activated upon receipt of the formal
Interim Facility Accreditation. Additional SCI information and
material will not be received, stored, used or discussed until
proper accreditation is provided. Transmitting SCI to or from
the SCIF by electronic/electrical means may not begin until
appropriate processing approval/accreditation has been received
from the cognizant TEMPEST and/or ADP Systems accreditation
authority.
12. Upon activation, the SCI Special Security/Control Officer
will submit a request to SSO Navy for initial issue of supplies,
e.g. (classification stamps, SCI administrative and control
systems manuals, etc.) and furnish SSO Navy the required
information for the DoD/DIA Compartmented Address Book (CAB).
Courier cards must be requested from SSO Navy following SCIF
accreditation and SSO assignment. Indoctrination tapes and hard
copy materials must be requested. Additional administrative
accessories may be requested from NIC-43 (cover sheets, reading
materials, security posters and literature.)
13. Final Facility Accreditation will be considered only after an
inspection by SSO Navy, completion and notification of a
favorable Technical Surveillance Countermeasures (TSCM) survey,
and correction of any significant security discrepancies
determined during the accreditation process. Final accreditation
may also be dependent upon the facility meeting applicable
TEMPEST and ADP systems requirements.
14. Fiscal support requirements for SSOs may be requested from
Naval Intelligence Automation Command (NIAC).
15. After completion and documentation of the items listed below,
the RIPO/SSO will notify COMNAVRESINTCOM in writing that an NRIP
SCIF is ready for units to request SCI project materials.
a. Inspection by SSO Navy.
b. Receipt of the pertinent interim facility SCIF
certification letter by the SSO.
c. Submission of the proper Compartmented Address Book (CAB)
inputs.
d. Receipt of all required management publications, Defense
Courier Service (DCS) (formerly ARFCOS) address and courier
cards.
e. The receipt of proper SCI indoctrination and debrief
tapes and forms, etc.
f. Adequate staffing to properly administer and manage the
SCIF.
16. The COMNAVRESINTCOM SSO Advisor will then conduct an on-site
visit to determine that all necessary equipment and hardware is
in place, that all manpower requirements have been met, and that
all related training has been accomplished. This review, if
satisfactory, will result in a formal statement from
COMNAVRESINTCOM to the applicable RIAC to proceed with Gaining
Command SCI tasking.
17. Upon receipt of COMNAVRESINTCOM's letter authorizing an NRIP
unit to request SCI project materials, the NRIP SCIF will be
considered fully functional for Gaining Command project work.
The unit shall request SCI project materials from its gaining
command within 30 days of the receipt of the necessary
operational materials and COMNAVRESINTCOM's authorization letter.
1. NRIP Sponsored SCIF (NSS) Facilities Relationships. For
illustration of concepts, diagram A depicts five identifiably
different situations or cases in which NRIP units do SCI work.
The upper boxes represent commands or host activities which have
SCIFs located on their facilities. The lower large boxes
represent the SCIFs, with the various NRIP units working in those
shown as small boxes.
a. Case I - Simplest Case. Here, a Gaining Command (for
example G.C. #1) has an NRIP unit which is dedicated to that
command and that unit is working and drilling in the Gaining
Command's own on-site SCIF. This is the simplest case since the
command's SSO can and should also function as the SSO for the
unit. If the Gaining Command feels it necessary, an assistant
SSO at the unit level could also be designated. From
COMNAVRESINTCOM's point of view, it would be advantageous to have
a designated unit SSO for COMNAVRESINTCOM inspections of the
unit's SCI administrative procedures.
b. Case II - Gaining Commands with Other Gaining Command
Units in Their SCIFs. In this case, a Gaining Command (G.C. #2)
not only has its own dedicated NRIP unit or units drilling in its
SCIF, but also has one or more other Gaining Command dedicated
units drilling in the SCIF. Here the SSO for the Gaining Command
who owns the SCIF is the lead SSO for all the units drilling in
the SCIF. In this case, he receives DCS and/or SPINTCOM data not
only for his Gaining Command's units, but also for the other
Gaining Command's units. He then sub-custodies SCI materials to
the other Gaining Command's designated unit assistant SSOs.
c. Case III - SECGRU SCIFs. In this case, a SECGRU SCIF is
co-utilized. An MOU is needed here as SECGRU is the cognizant
authority and SCIF owner, and the NRIP unit is a tenant. The
SECGRU SSO receives DCS packages and takes custody of classified
materials, and then, as in Case II, sub-custodies the materials
received to SSOs of the various NRIP units which are co-utilizing
the SECGRU SCIF. In the event the NRIP unit deals with other
compartmented materials, the SCIF will be accredited in
accordance with the procedures outlined in the MOU and shall
remain under the accreditation authority of SSO SECGRU.
d. Case IV - NRIP Sponsored SCIFs (NSS). In this case, we
have a somewhat unique situation. SCIFs built specifically for
reserve intelligence unit work and which are located on Naval Air
Stations, National Guard Bases or other locations which do not
belong to a specific Gaining Command must utilize NRIP SSOs. In
this case, the cognizant SSO should be the RIPO or other
appropriate active duty officer who is officed at that location.
The RIPO assigned will be designated in writing by the RIAC and
Navy SSO as the resident SSO and will receive DCS and SPINTCOM
materials for the NRIP units which drill in these SCIFs. He will
then subcustody this material to the units as warranted.
Positive control of all SCI materials will be maintained at all
times. In areas where the RIPOs are SSO tasked, their staff
billets will be increased to handle the increased workload.
e. Case V - Joint Service, Other Service or Civilian SCIFs.
In the case where NRIP units drill in joint service, other
service or civilian SCIFs, and where there are units dedicated to
those commands, they can use the facility's existing SSO. An
assistant SSO at the unit level will be appointed by the CO of
the NRIP unit. In those other cases where an NRIP unit drills in
a joint service, other service or a civilian SCIF, but is not
dedicated to that command, it shall also nonetheless function
under that facility's SSO. That facility's SSO will receive DCS
and/or SCI data for this unit, and will subcustody this material
to the unit's SSO. An MOU will be required between the unit, the
unit's Gaining Command, and the SCIF owner.
f. Diagram A Notes
(1) When Gaining Commands have a need for unit SCI work, they should have their units request SCI billets from SSO Navy via the Gaining Command. This billet request should include the billet for a Unit Assistant Special Security Officer (SSO). With the billet request, an adequate justification from the Gaining Command should be sent to SSO Navy.
(2) SSO Navy will assign the billets requested based on
the justification provided by the Gaining Command in their
endorsements.
(3) Upon assignment of billets and SCI project work to the reserve units and receipt of COMNAVRESINTCOM approval for SCI project work, SCI work may be started in the SCIFs.
(4) SCI project work materials and communications are
sent via DCS and SPINTCOM secure channels.
(5) SSO Navy inspects all intelligence SSOs and SCIFs.
In addition, COMNAVRESINTCOM SSO Adviser inspects all NRIP SCIF's
administration and management functions.
CASE CASE CASE CASE CASE
I II III IV V
G.C. #1 G.C. #2 SECGRU NAS - JCS -
NARCEN OTHER
AF G.C.
OR CIV
\ \ \ \ \
\ \ \ \ \
\ \ \ \ \
SCIF \_________SCIF_____ \_________SCIF________ \ \--SCIF----------- \____SCIF_______
SSO SSO \ SSO \ SSO
\ \----RIPO SSO---_
\ ^\__/\_/\
\
UNIT
G.C. #1 UNIT G.C. #2 SECGRU G.C. #1__/\_SSO JSC
UNIT SSO UNIT UNIT UNIT UNIT
^-
^ \
\
* *
G.C. #1 UNIT G.C. #2 UNIT G.C. #2 UNIT G.C. #1 UNIT
UNIT SSO UNIT ---SSO UNIT -----SSO UNIT --SSO
^ ^ ^ ^
COMNAVRESINTCOM SSO Adviser
G.C.s establish and justify
the need for SCI billets
COMNAVRESINTCOM
_____ Inspection and Oversight function
----- Route of Classified Materials
* Need MOA w/SECGRU, Joint Services or other Armed Force or
Civilian SCIF owner
2. NSS Facilities Accreditation and Inspection Relationships
a. Diagram B depicts the generalized accreditation and
inspection trails, as well as the route of SCI project materials
and lines of communication, under the various types of NRIP units
which drill in SCIF spaces. The upper left-hand box represents
SSO Navy who has overall accreditation and inspection
responsibilities for intelligence SCIFs. The upper right-hand
box represents Type I Gaining Command SCIFs. The lower right-hand large box represents Type II, III and V SCIFs. The lower
left-hand large box represents Type IV (NSS) SCIFs. The small
boxes represent NRIP units in these SCIFs.
b. As can be seen in Diagram B, Gaining Commands through their
units justify and request SCI billets from SSO Navy, who then
assigns the billets to the Gaining Command's units based on
adequate justification. Necessary communications and SCI project
work goes through the SPINTCOM and DCS network to and from the
Gaining Commands and their NRIP units via the host SCIF SSOs.
The COMNAVRESINTCOM SSO Advisor has an administrative and
management responsibility for NRIP units and will carry out
appropriate supplemental inspection of NRIP SCIFs and Type IV
RIPO SSOs on a routine schedule. This will in no way impede,
alter, interfere with or change Navy SSO inspections, but will be
a supplement to the standard SSO Navy inspections. It is
intended as an NRIP-oriented inspection for security,
administration and management of NRIP unit SCI functions.
Diagram B
DNI
NIC 04 <<--- Request Billets ----<< GAINING
(through units) COMMAND
<<--- Justify Billets ----<<
SSO Navy >>--- Assign Billets ---->> SSO NRIP
(to units) UNIT
\ / ! :
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ! : TYPE I
) ! :
( _!_:_______________
COMNAV- ) /_!_:_______________\
RESINTCOM ( // ! : \\
SSO~~~~~~~~ ) ! : SPINTCOM
ADVISER......( ! : &
. ) ! : ARFCOS
.( \\_!_:_______________//
. ) \_!_:_______________/
.( ! :
. ) ! :
.( ! :
. ) ! :
HOST FACILITY .( ! : OTHER G. C.
......... NRIP SCIF ...... ) ! : SCIF
. RIPO <~~~~~~~~~~~! :~~~~> SSO
. ------------SSO-------.------!-------- -------
. : . ! :
. : . ! :
SSO........... <___.______V_____> ...SSO
UNIT . UNIT .
. .
. .
. .
TYPE IV . TYPE II,III,V .
. .
.............................
----- Project Materials
_____ Line of operational communication
..... COMNAVRESINTCOM administration and management, security and
administration and management inspections
~~~~~ SSO Navy Physical and administrative inspections
COMMAND/ACTIVITY:
SPECIAL SECURITY OFFICER:
SSO STAFF:
1. Leadership Responsibility
a. Is the RIAC aware of his responsibilities in
regard to SCI security?
b. Does the RIPO/SSO keep the RIAC well briefed on
matters of SCI security?
c. Is the RIAC supportive of the SSO and an
effective SCI security program?
d. Has the RIAC been briefed on hostile
intelligence threats to the area and to the NRIP community? If so, how often is
he briefed? Are appropriate unit members briefed?
e. What kind of program is the RIAC involved in
which ensures a continuing and effective SCI security system?
f. What problems unique to this area have arisen?
2. Personnel Security
a. Is the two-man rule in effect at all times by
NRIP units and the SSO?
b. Explain the process used in transferring SCI
materials from the SCIF SSO to the NRIP unit assistant SSOs. Is positive
control maintained at all times? If so, document its use.
c. Is "need-to-know" a workable criteria in NRIP
units using the SCIF? How is it enforced?
d. Are all SCI cleared personnel aware of their
responsibilities to report foreign travel and/or foreign contacts? Are they
briefed and do they understand the risks of hostile and terrorist threats during
foreign travel?
e. Do all NRIP SCI personnel receive periodic re-indoctrination? What system does the Area SSO use?
f. What system is used to ensure security training is current and ongoing? Is the material pertinent?
g. What procedure is used to ensure that all NRIP
SCI cleared personnel records are current? Is a system established for periodic
records review to ensure all personnel changes are current?
h. How many of the NRIP units which drill in the
SCIF have unit members who have been to SSO school? Do these serve as unit
assistant SSOs?
i. How does the NRIP unit screen prospective SCI-cleared personnel for unit SCI project work prior to nomination to SSO Navy?
Are local records checked?
j. Explain NDA and Indoc/Debrief procedures.
k. How does the SSO communicate matters of
importance to the RIAC?
l. Are there any problems unique to this area in
personnel security?
3. Information Security
a. Are all NRIP units encouraged to hold SCI
materials to a minimum? What are the procedures and criteria used by the units
to determine which materials need to be destroyed?
b. How are personnel items such as briefcases or
handbags handled in restricted areas? What are the policies on reasonable
search?
c. Do units working with SCI material have
procedures for reproduction of SCI materials in SCI project work?
d. Are logs kept on SCI materials used and
destroyed by units in the process of production in project work.
e. Are monthly or annual inventories of SCI
materials made by unit personnel as SCI materials are consumed in monthly
production work?
f. Are unit destruction certificates properly
maintained, approved and witnessed?
g. Are all SCI documents, tapes, computer discs,
etc., maintained in separate and proper unit storage spaces?
h. Does the SCI courier card system work for NRIP
unit and NRIP SSO purposes?
i. What new procedures would your SSO recommend to
enhance security throughout the NRIP?
j. Are there any problems unique to the area in
information security?
4. Visitor Access/Control
a. How does the SSO maintain a visitor
registration log? How do NRIP units maintain a visitor log? Are these one and
the same? How are they coordinated?
b. Are badges for NRIP unit personnel controlled
and accounted for? What is the access system used?
c. Do NRIP units provide un-cleared visitor
escorts?
d. Do NRIP units maintain maintenance logs on all
SCI processing equipment? Do they coordinate with the SSO?
e. Explain the exact access procedure used to
admit both visitors and NRIP unit personnel to SCI spaces in the SCIF.
f. Are there any problems unique to this area in
visitor access/control?
5. Billet Management
a. How do NRIP units help maintain billet rosters
and input/ update materials?
b. Do NRIP units help maintain files to reflect
billet creation/ justification, realignment and re-designation?
c. Are there any problems unique to the area or
units in billet control?
d. Are billet structures reviewed periodically to
ensure excess billets are not being maintained in each unit using NRIP SCIFs?
If so, how often?