Department of the Navy Information Security Program

[Pages:289]THE SECRETARY OF THE NAVY

SECNAV M-5510.36 June 2006

Department of the Navy Information Security Program

Published By Chief of Naval Operations (N09N) Special assistant for Naval Investigative Matters

and Security

SECNAV M-5510.36 June 2006

TABLE OF CONTENTS

PARAGRAPH

PAGE

Chapter 1: Introduction to the Information Security Program

1-1 Purpose, Applicability, and Scope . . . . . . . . . . 1-1 1-2 National Authorities for Security Matters . . . . . . 1-2 1-3 DoD Security Program Management . . . . . . . . . . . 1-3 1-4 DON Security Program Management . . . . . . . . . . . 1-4 1-5 Policy Guidance . . . . . . . . . . . . . . . . . . . 1-7 1-6 Special Types of Classified and Controlled

Unclassified Information . . . . . . . . . . . . . . . 1-8 1-7 National Industrial Security Program (NISP). . . . . . 1-9

Chapter 2: Command Security Management

2-1 2-2 2-3 2-4 2-5 2-6 2-7 2-8 2-9 2-10 2-11 2-12 2-13

Commanding Officer . . . . . . . . . . . . . . . . . . 2-1 Security Manager . . . . . . . . . . . . . . . . . . . 2-2 Top Secret Control Officer (TSCO) . . . . . . . . . . 2-4 Other Security Assistants . . . . . . . . . . . . . . 2-5 Security Related Collateral Duties . . . . . . . . . . 2-6 Contracting Officer's Representative (COR) . . . . . . 2-6 Information Assurance Manager (IAM) . . . . . . . . . 2-7 Special Security Officer (SSO) . . . . . . . . . . . . 2-7 Security Officer . . . . . . . . . . . . . . . . . . . 2-7 Security Servicing Agreements (SSAs) . . . . . . . . . 2-8 Inspections, Assist Visits, and Program Reviews . . . 2-8 Forms . . . . . . . . . . . . . . . . . . . . . . . . 2-9 Report Control Symbols . . . . . . . . . . . . . . . . 2-9 Exhibit 2A - Guidelines for Command Security

Instruction . . . . . . . . . . . . . . . 2A-1 Exhibit 2B - Emergency Plan and Emergency Destruction

Supplement . . . . . . . . . . . . . . . 2B-1 Exhibit 2C - Security Inspection Checklist . . . . . . 2C-1

Chapter 3: Security Education

3-1 Basic Policy . . . . . . . . . . . . . . . . . . . . 3-1 3-2 Responsibility . . . . . . . . . . . . . . . . . . . 3-1 3-3 Additional Information Security Education . . . . . . 3-1

Chapter 4: Classification Management

4-1 Basic Policy . . . . . . . . . . . . . . . . . . . . 4-1 4-2 Classification Levels . . . . . . . . . . . . . . . . 4-1 4-3 Original Classification . . . . . . . . . . . . . . . 4-2 4-4 Original Classification Authority . . . . . . . . . . 4-2 4-5 Requests for Original Classification Authority . . . . 4-3

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SECNAV M-5510.36 June 2006

4-6 4-7

4-8 4-9 4-10 4-11 4-12 4-13 4-14 4-15 4-16

4-17 4-18 4-19

4-20 4-21 4-22 4-23

4-24 4-25 4-26

OCA Training . . . . . . . . . . . . . . . . . . . . . 4-3 Original Classification Criteria, Principles, and Considerations . . . . . . . . . . . . . . . . . . . . 4-4 Duration of Original Classification . . . . . . . . . 4-4 Derivative Classification . . . . . . . . . . . . . . 4-4 Accountability of Classifiers . . . . . . . . . . . . 4-5 Limitations on Classifying or Reclassifying. . . . . . 4-5 Classification Challenges . . . . . . . . . . . . . . 4-7 Resolution of Conflicts Between OCAs . . . . . . . . . 4-8 Tentative Classification . . . . . . . . . . . . . . 4-8 Patent Secrecy Information . . . . . . . . . . . . . . 4-9 Independent Research and Development Information (IR&D)/Bid and Proposal (B&P) . . . . . . . . . . . . 4-9 Foreign Government Information (FGI) . . . . . . . . . 4-10 Naval Nuclear Propulsion Information (NNPI) . . . . . 4-11 Authority to Downgrade, Declassify or Modify Classified Information . . . . . . . . . . . . . . . 4-12 Automatic Declassification . . . . . . . . . . . . . . 4-12 Systematic Declassification Review . . . . . . . . . . 4-13 Mandatory Declassification Review . . . . . . . . . . 4-14 Information Exempted from Mandatory Declassification Review . . . . . . . . . . . . . . . . . . . . . . . . 4-16 Classified Information Transferred to the DON . . . . 4-16 Notification of Classification Changes . . . . . . . . 4-17 Foreign Relations Series . . . . . . . . . . . . . . 4-17 Exhibit 4A - DON Original Classification

Authorities . . . . . . . . . . . . . . 4A-1

Chapter 5: Security Classification Guides

5-1

Basic Policy . . . . . . . . . . . . . . . . . . . . 5-1

5-2

Preparing SCGs . . . . . . . . . . . . . . . . . . . . 5-1

5-3

RANKIN Program . . . . . . . . . . . . . . . . . . . . 5-1

5-4

Periodic Review of SCGs . . . . . . . . . . . . . . . 5-3

5-5

SCGs of Multi-Service Interest . . . . . . . . . . . . 5-3

5-6

Conflict Between a Source Document and an SCG . . . . 5-3

Chapter 6: Marking

6-1

Basic Policy . . . . . . . . . . . . . . . . . . . . 6-1

6-2

DON Command and Date of Origin . . . . . . . . . . . 6-2

6-3

Overall Classification Level Marking . . . . . . . . 6-2

6-4

Interior Page Markings . . . . . . . . . . . . . . . 6-3

6-5

Portion Markings . . . . . . . . . . . . . . . . . . 6-3

6-6

Subjects and Titles . . . . . . . . . . . . . . . . . 6-4

6-7

Placement of Associated Markings . . . . . . . . . . 6-5

6-8

Marking Originally Classified Documents with the

"Classified By" and "Reason" Lines . . . . . . . . . 6-5

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6-9

6-10 6-11 6-12 6-13 6-14

6-15 6-16 6-17 6-18 6-19 6-20 6-21 6-22 6-23

6-24

6-25 6-26

6-27

6-28

6-29

6-30 6-31

6-32 6-33 6-34

6-35

Marking Derivatively Classified Documents with the "Derived From" Line . . . . . . . . . . . . . . . . . 6-6 Use of the "Downgrade To" and "Declassify On" lines. . 6-6 Warning Notices and Associated Markings. . . . . . . . 6-7 Intelligence Control Markings . . . . . . . . . . . . 6-12 Marking Documents Releasable to Foreign Nationals. . . 6-14 Marking Documents Classified Under the Patent Secrecy Act . . . . . . . . . . . . . . . . . . . . . 6-16 Independent Research and Development (IR&D) . . . . . 6-17 Marking Documents Containing NATO or FGI . . . . . . . 6-17 Translations . . . . . . . . . . . . . . . . . . . . . 6-19 Nicknames, Exercise Terms and Code Words . . . . . . . 6-19 Classification by Compilation. . . . . . . . . . . . . 6-20 Changes to Existing Classified Documents . . . . . . . 6-21 Marking Training or Test Documents . . . . . . . . . . 6-21 Marking Classified Documents with Component Parts. . . 6-21 Remarking Upgraded, Downgraded or Declassified Documents. . . . . . . . . . . . . . . . . . . . . . . 6-21 Classifying from Source Documents with Old Declassification Instructions . . . . . . . . . . . . 6-22 Correspondence and Letters of Transmittal . . . . . . 6-23 Marking Electronically-Transmitted Classified Messages . . . . . . . . . . . . . . . . . . . . . . . 6-24 Marking Classified Files, Folders and Groups of Documents . . . . . . . . . . . . . . . . . . . . . . 6-25 Marking Classified Blueprints, Schematics, Maps and Charts . . . . . . . . . . . . . . . . . . . . . . 6-25 Marking Classified Photographs, Photo Slides, Negatives, and Unprocessed Film . . . . . . . . . . . 6-25 Marking Classified Briefing Slides . . . . . . . . . . 6-26 Marking Classified Motion Picture Films, Videotapes and Digital Video Discs (DVDs). . . . . . . . . . . . . . 6-26 Marking Classified Sound Recordings . . . . . . . . . 6-27 Marking Classified Microforms . . . . . . . . . . . . 6-27 Marking Classified Removable IT Storage Media and IT Systems . . . . . . . . . . . . . . . . . . . . . . 6-27 Marking Classified Documents Produced by IT Systems. . 6-28 Exhibit 6A - Sample Classified Document Markings . . . 6A-1 Exhibit 6B - Sample Marking of Classified U.S.

Message Text Format (USMTF) Messages. . . 6B-1 Exhibit 6C - Equivalent Foreign Security

Classifications . . . . . . . . . . . . . 6C-1

Chapter 7: Safeguarding

7-1

Basic Policy . . . . . . . . . . . . . . . . . . . . . 7-1

7-2

Applicability of Control Measures . . . . . . . . . . 7-1

7-3

Top Secret Control Measures. . . . . . . . . . . . . . 7-2

7-4

Secret Control Measure . . . . . . . . . . . . . . . . 7-2

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7-5 7-6 7-7 7-8

7-9 7-10 7-11 7-12 7-13 7-14

7-15

Confidential Control Measures . . . . . . . . . . . . 7-3 Secret and Confidential Working Papers . . . . . . . . 7-3 Top Secret Working Papers. . . . . . . . . . . . . . . 7-4 Special Types of Classified and Controlled Unclassified Information . . . . . . . . . . . . . . . 7-4 Alternative Compensatory Control Measures. . . . . . . 7-6 Care During Working Hours . . . . . . . . . . . . . . 7-9 End-of-Day Security Checks . . . . . . . . . . . . . . 7-9 Safeguarding During Visits . . . . . . . . . . . . . . 7-10 Safeguarding During Classified Meetings . . . . . . . 7-10 Safeguarding U.S. Classified Information in Foreign Countries. . . . . . . . . . . . . . . . . . . . . . . 7-12 Reproduction . . . . . . . . . . . . . . . . . . . . . 7-13

Chapter 8: Dissemination

8-1

Basic Policy . . . . . . . . . . . . . . . . . . . . . 8-1

8-2

Top Secret . . . . . . . . . . . . . . . . . . . . . . 8-2

8-3

Secret and Confidential . . . . . . . . . . . . . . . 8-2

8-4

Special Types of Classified and Controlled

Unclassified Information . . . . . . . . . . . . . . . 8-2

8-5

Dissemination of Intelligence Information . . . . . . 8-4

8-6

Dissemination to Congress . . . . . . . . . . . . . . 8-4

8-7

Dissemination of Technical Documents . . . . . . . . . 8-4

8-8

Prepublication Review . . . . . . . . . . . . . . . . 8-5

Exhibit 8A - Procedures for Assigning Distribution

Statements on Technical Documents . . . . 8A-1

Exhibit 8B - Categories of Information which Require

Review and Clearance by the ASD(PA)

Prior to Public Release . . . . . . . . . 8B-1

Chapter 9: Transmission and Transportation

9-1 9-2 9-3 9-4 9-5

9-6 9-7 9-8 9-9 9-10

9-11

9-12

Basic Policy . . . . . . . . . . . . . . . . . . . . . 9-1 Top Secret . . . . . . . . . . . . . . . . . . . . . . 9-1 Secret . . . . . . . . . . . . . . . . . . . . . . . . 9-2 Confidential . . . . . . . . . . . . . . . . . . . . . 9-3 Special Types of Classified and Controlled Unclassified Information . . . . . . . . . . . . . . . 9-4 Telephone Transmission . . . . . . . . . . . . . . . . 9-5 Classified Bulky Freight Shipments . . . . . . . . . . 9-6 Preparing Classified Information for Shipment. . . . . 9-6 Addressing Classified Information for Shipment . . . . 9-7 Receipting for Classified Information and Foreign Government Information (FGI) . . . . . . . . . . . . . 9-7 General Provisions for Escorting or Handcarrying Classified Information . . . . . . . . . . . . . . . . 9-8 Authorization to Escort or Handcarry Classified Information . . . . . . . . . . . . . . . . . . . . . 9-10

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9-13 9-14

Authorization Letter for Escorting or Handcarrying Classified Information Aboard Commercial Passenger Aircraft . . . . . . . . . . . . . . . . . . . . . . . 9-10 Escort or Handcarry of Classified Information to the U.S. Senate . . . . . . . . . . . . . . . . . . . 9-12 Exhibit 9A - Transmission or Transportation to

Foreign Governments . . . . . . . . . . . 9A-1 Exhibit 9B - Record of Receipt (OPNAV 5511/10) . . . . 9B-1

Chapter 10: Storage and Destruction

10-1 10-2 10-3 10-4 10-5 10-6 10-7 10-8 10-9 10-10 10-11 10-12 10-13 10-14 10-15 10-16 10-17 10-18 10-19 10-20 10-21

Basic Policy . . . . . . . . . . . . . . . . . . . . . 10-1 Standards for Storage Equipment . . . . . . . . . . . 10-1 Storage Requirements . . . . . . . . . . . . . . . . . 10-2 Procurement of New Storage Equipment . . . . . . . . . 10-4 Removal of Security Containers . . . . . . . . . . . . 10-5 Shipboard Containers and Filing Cabinets . . . . . . . 10-5 Vaults and Secure Rooms. . . . . . . . . . . . . . . . 10-6 Specialized Security Containers . . . . . . . . . . . 10-6 Decertified Security Containers . . . . . . . . . . . 10-6 Residential Storage. . . . . . . . . . . . . . . . . . 10-7 Replacement of Combination Locks . . . . . . . . . . . 10-7 Combinations . . . . . . . . . . . . . . . . . . . . . 10-8 Key and Padlock Control. . . . . . . . . . . . . . . . 10-9 Securing Security Containers . . . . . . . . . . . . . 10-9 Repair, Maintenance, and Operating Inspections . . . . 10-9 Electronic Security System (ESS) . . . . . . . . . . . 10-11 Destruction of Classified Information . . . . . . . . 10-12 Destruction Methods and Standards . . . . . . . . . . 10-12 Destruction Procedures . . . . . . . . . . . . . . . . 10-13 Destruction of Controlled Unclassified Information . . 10-14 Disposition of Classified Information From Commands Removed from Active Status or Turned Over to Friendly Foreign Governments . . . . . . . . . . . . . 10-14 Exhibit 10A - Vault and Secure Room (Open Storage

Area) Construction Standards . . . . . . 10A-1 Exhibit 10B - Priority for Replacement . . . . . . . . 10B-1 Exhibit 10C - Maintenance Record for Security

Containers/Vault Doors Optional Form 89 . . . . .. . . . . . . . . . . . 10C-1 Exhibit 10D - IDS and Access Controls . . . . . . . . 10D-1

Chapter 11: Industrial Security Program

11-1 11-2 11-3

11-4

Basic Policy . . . . . . . . . . . . . . . . . . . . . 11-1 Authority . . . . . . . . . . . . . . . . . . . . . . 11-1 Defense Security Service (DSS) Industrial Security Mission . . . . . . . . . . . . . . . . . . . . . . . 11-2 DSS and Command Security Oversight of Cleared DoD

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