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

ADDITIONAL GENERAL GUIDANCE ON PHYSICAL,

PERSONAL AND INFORMATION SECURITY OF NRIP SCIFs




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.

GENERALIZED CHECKLIST FOR NRIP SCIF ESTABLISHMENT




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.

NRIP SCIF AND NRIP CO-UTILIZED SCIF

FACILITIES RELATIONSHIP DIAGRAMS




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.

Diagram A




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-------.------!-------- -------

. : . ! :

. : . ! :

UNIT---------- NRIP . ! NRIP ---UNIT

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

COMNAVRESINTCOM INSPECTION GUIDELINES FOR NRIP SCIFS




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?