NOSCINST 5500.1A 1504/MLQ:ab 22 August 1988 CH-1 of 15 Feb 90 NOSC INSTRUCTION 5500.1A WITH CHANGE 1 From: Commander, Naval Ocean Systems Center To: All Codes Subj: SECURITY MANUAL 1. Purpose. To provide civilian employees and military personnel assigned to Naval Ocean Systems Center (NOSC) with security policy, guidance, and proce- dures for safeguarding all assets entrusted to this command. Such assets certainly include all matters and material which pertain to our national defense, as well as all matters and property under the authority, cognizance, and custody of Commander, Naval Ocean Systems Center. 2. Cancellation a. NOSCINST 5500.1 b. NOSCINST 5511.3, Restricted areas; establishment and control of c. NOSCNOTE 5500 of 28 Dec 1983, Center access control changes d. NOSCNOTE 5500 of 17 Mar 1983, Secret messages; delivery of e. NOSCNOTE 5500 of 5 Jun 1986, Center policy on use of colored paper f. NOSCNOTE 5511 of 13 Nov 1985, Designation of Top Secret Control Offi- cer and Alternate Top Secret Control Officers g. NOSCNOTE 5500 of 21 Apr 1987, Communications Security Material System (CMS) h. NOSCNOTE 5510 of 18 May 1987, New security-related standard forms i. NOSCNOTE 5511 of 20 May 1987, Secret material accountability proce- dures 3. Scope. This instruction covers all NOSC security policies and procedures for implementing the Center's security programs. 4. References and Definitions. References and definitions are listed in appendices B and F respectively. 5. Responsibilities. Security is the direct, immediate, and moral responsi- bility of all military personnel and civilians employed by the Department of the Navy. i NOSCINST 5500.1A 22 August 1988 a. The Commander, NOSC, is responsible for the security programs of this Center. b. The Head, Security Office, is the designated representative of the Commander, NOSC, responsible for planning, implementing, and monitoring com- pliance with security programs of the Center. c. NOSC personnel, including military personnel, civilian employees, Department of Defense (DOD) contractor personnel, and others assigned to duty at NOSC, are responsible for knowledge of and compliance with the policies and procedures contained in this instruction. 6. Action. Addressees shall ensure that all NOSC personnel and on-board contractors under their cognizance comply with the policies and procedures established by this manual. 7. Forms Availability. Appendix D lists the forms discussed in this manual and their stocking points. 8. Directive Responsibility. The Head, Security Office, Code 15, is respon- sible for keeping this instruction current. Distribution: C Copy to: Tenant Commands (2 copies each) 1504 (100) ii NOSCINST 5500.1A 22 August 1988 TABLE OF CONTENTS Chapter Page 1 Introduction 1. Introduction ...........................................1-1 2. Access Limitations and Controls: A Preliminary Statement ..............................................1-1 2 Functional Responsibilities of Security Codes and Committees 1. Security Office, Code 15 ...............................2-1 2. Security Operations Coordinator, Code 1504 .............2-1 3. Security/Safety Office - Hawaii, Code 0059 .............2-2 4. Visit Control/Badge and Decal Group, Code 151 ..........2-2 5. Information and Personnel Security Group, Code 152 .....2-2 6. Operations Security Group, Code 153 ....................2-3 7. Physical Security Group, Code 154 ......................2-4 8. Physical Security Review Committee (PSRC)...............2-4 9. Loss Prevention Subcommittee (LPS) .....................2-5 10. Physical Security Review Board (PSRB)...................2-5 3 Security Education and Training 1. Policy .................................................3-1 A 2. Responsibility .........................................3-1 3. Scope ..................................................3-1 4. Training Aids ..........................................3-2 5. Announcement of Training ...............................3-2 4 Foreign Disclosure and Foreign Travel 1. Policies ...............................................4-1 2. Foreign Requests for Classified Documents ..............4-1 3. Foreign Requests for Unclassified Documents ............4-1 4. Official Visits to NOSC by Foreign Nationals ...........4-2 5. Foreign Nationals Visiting NOSC Unofficially ...........4-3 6. Foreign Nationals Attending Meetings Held at NOSC ......4-3 7. NOSC Employee Presentations at Meetings Attended by Foreign Nationals ......................................4-4 8. Articles to be Published in Scientific Journals ........4-4 9. Information Exchange Programs (IEP) ....................4-4 10. Exchange Scientist Program and Long Term Attachments (LTA)...................................................4-4 11. Foreign Military Sales (FMS) Export Cases...............4-5 12. Contracts with Foreign Firms............................4-5 13. Travel Outside Continental United States (CONUS) by NOSC Employees and Contractor/Government Personnel Traveling in Support of a NOSC Project........4-5 Exhibit A - Sample of Travel Clearance to Hawaii .......4-9 Exhibit B - Sample of Travel Clearance to Alaska .......4-11 Exhibit C - Sample of Travel Clearance to Guam .........4-13 Exhibit D - Sample of Travel Clearance to Midway Island .....................................4-15 iii NOSCINST 5500.1A 22 August 1988 Chapter Page Exhibit E - Sample of Travel Clearance to Puerto........ Rico........................................4-17 Exhibit F - Sample of Travel Clearance to Virgin Islands.....................................4-19 Exhibit G - Sample of Travel Clearance to U.S. Ship (Outside CONUS in Areas of Hawaii, Alaska, Guam, Midway Island, Puerto Rico, Virgin Islands)....................................4-21 Exhibit H - Request for Foreign Travel, NOSC-SD 4650/36 ....................................4-23 5 Information Security Program 1. Scope ..................................................5-1 2. Responsibilities .......................................5-1 3. Procedures for Assigning Top Secret, Secret or Confidential Classification ............................5-5 4. Classifying Research Data ..............................5-6 5. Classification Markings Guidance .......................5-6 6. Downgrading/Declassification Markings ..................5-12 7. Distribution Statements ................................5-14 6 Handling and Safeguarding Secret and Confidential Material 1. Responsibilities .......................................6-1 2. Designation of Classified Material Control Centers .....6-2 3. Accountability System for Secret Material ..............6-2 4. Originating Secret Material at NOSC ....................6-5 5. Reproduction of Secret Material ........................6-8 6. Dissemination of Secret Material .......................6-9 7. Stowage of Secret Material .............................6-10 8. Inventory of Secret Material ...........................6-10 9. Transmission of Secret Material ........................6-10 10. Disposition of Secret Material .........................6-12 11. Retention of Records of Secret Material ................6-13 12. Procedures for Handling Incoming Registered Mail .......6-13 13. Procedures for Handling Outgoing Registered Mail .......6-14 14. Safeguarding Procedures for Confidential Material ......6-14 15. Preparation of Confidential Material ...................6-15 16. Reproduction of Confidential Material ..................6-15 17. Dissemination of Confidential Material .................6-16 18. Stowage of Confidential Material .......................6-16 19. Transmission of Confidential Material ..................6-17 20. Disposition of Confidential Material ...................6-18 21. Mail Procedures for Confidential Material ..............6-18 22. Destruction of Confidential Material ...................6-19 23. Retention of Records of Confidential Material ..........6-19 24. General Procedures for Handling Secret and Confidential Material ..................................6-19 Safeguarding and Controlling Dissemination of Sensitive 7 Documents Requiring Special Handling 1. Background..............................................7-1 2. Scope ..................................................7-1 iv NOSCINST 5500.1A 22 August 1988 3. Policy .................................................7-1 4. Responsibilities .......................................7-1 5. Safeguarding and Controlling Dissemination of NATO Documents and Material .................................7-2 6. Safeguarding and Controlling Dissemination of Naval Warfare Publications (NWP's) ...........................7-4 7. Safeguarding and Controlling Dissemination of Restricted Data (RD), Formerly Restricted Data (FRD), and Critical Nuclear Weapons Design Information (CNWDI) ................................................7-4 8. Safeguarding and Controlling Dissemination of Single Integrated Operational Plan - Extremely Sensitive Information (SIOP-ESI) Documents .......................7-8 8 Special Handling Procedures for Classified Messages 1. Scope ..................................................8-1 2. Confidential Messages ..................................8-1 3. Secret Messages ........................................8-1 4. Top Secret Messages.....................................8-2 9 Security Violations 1. Scope ..................................................9-1 2. Responsibilities .......................................9-1 3. Disciplinary Action ....................................9-2 4. Assistance and Training ................................9-2 10 Security Requirements for Procurement Actions 1. Scope ..................................................10-1 2. Responsibilities .......................................10-1 3. Contract Security Classification Specification (DD Form 254) ..........................................10-2 4. Procedures for Initiating Classified Procurement Action .................................................10-4 5. Special Situations .....................................10-4 6. Instructions for Completing DD Form 254, Contract Security Classification Specification ..................10-5 11 Locksmith Services/Storage Containers 1. Purpose ................................................11-1 2. Scope ..................................................11-1 3. Policy .................................................11-1 4. Responsibilities .......................................11-1 5. Key/Non-Key Systems ....................................11-2 6. Storage Containers (i.e., Safes/Strong Rooms/Vaults) ..........................................11-3 12 Signal Security (SIGSEC) Program 1. Purpose ................................................12-1 2. Scope ..................................................12-1 3. Background .............................................12-1 4. Policy .................................................12-1 5. Responsibilities .......................................12-1 6. Procedures .............................................12-3 v NOSCINST 5500.1A 22 August 1988 13 Security of Automatic Data Processing (ADP) Systems and Office Information Systems (OIS) 1. Purpose ................................................13-1 2. Scope ..................................................13-1 3. Objectives .............................................13-1 4. Policy .................................................13-1 5. Definitions ............................................13-2 6. Responsibilities .......................................13-2 7. Current ADP Security Environment .......................13-5 8. Audit/Internal Review ..................................13-7 9. ADP Security in Life-Cycle Management ..................13-8 10. ADP Security in Hardware and Software Configuration Control ................................................13-8 11. ADP Security Training ..................................13-9 14 Cancelled by NRaDINST 2280.2 of 26 April 1993 15 Identification Badges and Special Use Passes 1. Types of Badges ............................15-1 2. Temporary Badges ...........................15-2 3. Picture Badges .............................15-2 4. Access Authorized ..........................15-3 5. Hours of Badge Issuance at San Diego .......15-3 6. Length of Issuance .........................15-3 7. Retention of Badges ........................15-4 8. Badge Violations ...........................15-4 9. Reporting a Lost Badge .....................15-4 10. Recovery of Badge ..........................15-4 11. Disciplinary Action ........................15-4 12. Badge/Request Procedures ...................15-4 13. Responsibilities ...........................15-8 14. Special Use Passes .........................15-9 16 Visit Control 1. Scope ......................................16-1 2. Policies ...................................16-1 3. Responsibilities ...........................16-1 4. Procedures for Classified Visits within CONUS 16-3 5. Procedures for Official/Unofficial Visits to NOSC Facilities .................................16-7 Exhibit A - Sample Visit Request to a Government Activity, OPNAV Form 5521/27 ...............16-9 vi NOSCINST 5500.1A 22 August 1988 Exhibit B - Sample Visit Request to a Contractor's Facility, OPNAV Form 5521/27 ...............16-10 Exhibit C - Sample of Visit Request to a Military Activity (includes NOSC Employee and Contractors) ...............................16-11 Exhibit D - Sample of Visit Request to Two Civilian (Contractor) Facilities Who do Not Have "On-Line" Communication Capability .........16-12 Exhibit E - Sample of Visit Request for a Military Activity and to Two Civilian (Contractor) Facilities (One With "On-Line Communication" and One Without "On-Line" Communication Capabilities ...............................16-13 Exhibit F - Sample of Message Containing Passing Instruction ................................16-14 Exhibit G - Sample of Visit Request to a U.S. Ship (Inside CONUS) .............................16-15 17 Personnel Security Clearances 1. Background .............................................17-1 2. Policy .................................................17-1 3. Types of Clearances ....................................17-4 4. Investigations .........................................17-4 5. Responsibilities .......................................17-5 6. Procedures .............................................17-6 Exhibit A - Personnel Position Designation, NOSC-SD 5521/10 ....................................17-9 18 Vehicle Regulations 1. Scope ..................................................18-1 2. Background .............................................18-1 3. Responsibilities .......................................18-1 4. Vehicle Operating Policies .............................18-2 5. Issuance and Use of Motor Vehicle Decals ...............18-3 6. Traffic and Parking Violation Citation Issuance ........18-5 7. Violations for Which Tickets Will Be Issued ............18-7 8. Parking and Moving Violations Penalties for NOSC Visitors ...............................................18-9 9. Traffic Accident Investigation .........................18-9 19 Establishment and Control of Restricted Areas 1. Purpose ................................................19-1 2. Definitions ............................................19-1 3. Responsibilities .......................................19-1 4. Procedures .............................................19-2 5. Signs ..................................................19-4 20 Emergency Procedures 1. Information ............................................20-1 2. Scope ..................................................20-1 3. Responsibility .........................................20-1 4. Emergency Procedures - Work Hours ......................20-1 5. Emergency Procedures - After Hours .....................20-3 vii NOSCINST 5500.1A 22 August 1988 Chapter Page 21 Bomb Threats 1. Purpose ................................................21-1 2. Definitions ............................................21-1 3. Procedures .............................................21-1 Exhibit A - Telephonic Threat Complaint, OPNAV Form 5527/8 ............................................21-6 22 Operations Security Program 1. Purpose ................................................22-1 2. Scope ..................................................22-1 3. Background .............................................22-1 4. Definition .............................................22-1 5. Concept ................................................22-1 6. Policy .................................................22-1 7. OPSEC Training .........................................22-2 8. NOSC OPSEC Program Handbook ............................22-2 9. Responsibilities/Actions ...............................22-2 Appendix Page A Security Phone Numbers .....................................A-1 B References .................................................B-1 C Security Committees ........................................C-1 D Availability of Forms ......................................D-1 E List of Designated Countries................................E-1 F Definitions.................................................F-1 viii NOSCINST 5500.1A 22 August 1988 CHAPTER 1 INTRODUCTION 1. Introduction a. Security has many meanings and applications. Security at the Naval Ocean Systems Center (NOSC) is defined as the safeguarding of all matters and assets entrusted to Commander, NOSC. Such matters and assets include those involving national security as well as all matters and property under the authority of Commander, NOSC. b. The Head, Security Office, Code 15, is the Commander's agent to organ- ize the ways and means to accomplish the safeguarding required. 2. Access Limitations and Controls: A Preliminary Statement a. Work at NOSC involves research, development, test and evaluation in support of the Department of the Navy. Center access is limited and con- trolled. All personnel assigned to and employed at NOSC and all visitors must register with the Visit Control/Badge and Decal Group, Code 151, and receive a badge to be permitted authorized access to NOSC. b. Personnel assigned to and employed at NOSC and all visitors are here on official business and under official sponsorship. NOSC does not house military dependent support and recreational functions, such as a commissary, exchange, theater, bowling alley, etc., and therefore is not open to members of the military and employees of the Government solely because of status. Access to the controlled areas of NOSC is specifically by permission because of official business. Family members of personnel assigned to and employed at NOSC are not permitted access to the Center except on special occasions approved and sponsored by Commander, NOSC. c. As a general rule, all personnel assigned to and employed at NOSC and all visitors who are not personally escorted by personnel with visitor escort authority must wear NOSC-issued badges. These badges must be worn above the waist in clear view at all times while the bearer is at NOSC. These badges must also be surrendered upon demand by NOSC security and management offi- cials. d. The NOSC badge signifies registration at NOSC. It does not grant unlimited and uncontrolled movement within the Center. NOSC has several lev- els of security access, and appropriate approval is systematically required depending upon official clearance and need to know. Generally, an official visit request (notification) is required before arrival at NOSC. Access is a privilege, not a right. The Commander, NOSC, is the ultimate approving authority. e. All personnel employed at or visiting NOSC are advised by this instruction and by signs posted at each entry that they and all property under their control are subject to search and inspection. Entering the Center prem- ises implies consent to such searches and inspections. 1-1 NOSCINST 5500.1A 22 August 1988 f. Security is absolutely an individual responsibility. All Center per- sonnel are individually responsible for challenging and reporting personnel who do not comply with NOSC security policy and procedures. CHAPTER 2 2-1 NOSCINST 5500.1A 22 August 1988 FUNCTIONAL RESPONSIBILITIES OF SECURITY CODES AND COMMITTEES The functional responsibilities of each Security code to develop and implement NOSC security policies and procedures are listed below. Additionally, the Physical Security Review Committee provides advice, guidance, and recommenda- tions for effective implementation of security procedures. 1. Security Office, Code 15 a. Develops and implements policies and procedures for general service (GENSER) security programs as follows: Visit Control; Information and Person- nel Security; Operations Security, including ADP Security, Signal Security, and TEMPEST; and Physical Security and Loss Prevention for the Center and for tenant activities as specified in formal agreements. b. Provides intercommunication with Center management, technical depart- ments, and project management concerning security policies and practices. c. Specifies the physical security equipment and systems to be used to protect national security material and Government property. d. Provides liaison between the Center and the consolidated fire protec- tion service. e. Coordinates security planning and reviews of NOSC outlying areas (Hawaii, Morris Dam, etc.). 2. Security Operations Coordinator, Code 1504 a. Coordinates security responsibilities between Center codes and the Security Office, responds to urgent requirements, and provides advisory serv- ices and amplification of security regulations for Center employees. b. Coordinates security requirements with tenant/support activities and makes sure such requirements are stated in appropriate host-tenant and inter- service support agreements. c. Coordinates services used by Code 15. d. Coordinates writing and approval of all Center security instructions. e. Manages and serves as the central control and focal point for all administrative matters and functions within the security groups. f. Coordinates the security requirements for computer hardware and soft- ware. g. Acts, on an as-required basis, for the heads of all security groups subordinate to Code 15. 2-2 NOSCINST 5500.1A 22 August 1988 3. Security/Safety Office - Hawaii, Code 0059. Implements policies and pro- cedures for the security and safety functions at the Hawaii Laboratory. Code 15 provides technical guidance regarding security matters to the Security Officer, Code 0059, Hawaii Laboratory. Further, Code 15 will advise the NOSC Security Office on Navy and NOSC security policies. 4. Visit Control/Badge and Decal Group, Code 151 a. Provides centralized receptionist services acting as liaison between Center and tenant/support activity personnel and their visitors. b. Prepares and issues identification badges, special use passes, DOD vehicle decals, and temporary vehicle passes. 5. Information and Personnel Security Group, Code 152. The Head, Information and Personnel Security Group, is designated in writing as the Command Security Manager. Duties include: a. Implements the Information Security Program for proper security clas- sification and control of Center information and material. b. Provides classification guidance for and assists R&D personnel in development of task or project goals within approved security guidelines. c. Provides guidance in industrial security matters including preparation of contract security guidance, verification of contractor facility clearances, contractor visits, and contractor retention of classified information. d. Provides guidance on controlling dissemination of unclassified and classified technical information within the Center; to other U.S. Government agencies, foreign governments, and international defense organizations; and to foreign and domestic individuals or activities. e. Serves as Foreign Disclosure Review Officer. f. Serves as control officer for Special Access Only (SAO) programs (NATO, CNWDI, SIOP-ESI). g. Provides and coordinates security training for orientation, annual refresher, counterintelligence, and special and foreign travel. h. Certifies clearance data on contractor personnel for all outgoing visit requests. i. Prepares and/or reviews area, embassy, and theater clearance requests for official travel outside CONUS. j. Initiates investigations and determines eligibility for issuance of personnel security clearances. 2-3 NOSCINST 5500.1A 22 August 1988 6. Operations Security Group, Code 153 a. Has direct access to the Center Commander as advisor and consultant on all operations security (OPSEC), computer security (COMPUSEC), and signal security (SIGSEC) matters. b. Acts as NOSC Operations Security (OPSEC) Officer. c. Responsible for preparation and administration of the Center approved OPSEC Program. d. Advises the Commander, NOSC, as appropriate, on matters relating to the conduct of the OPSEC Program. e. Acts as NOSC coordinator for all automatic data processing (ADP)/of- fice information systems (OIS) security matters. f. Responsible for development of policy and implementation of Center approved procedures regarding the security of ADP/OIS. g. Responsible for all ADP/OIS systems accreditation. h. Acts as the Center point of contact for outside inquiries about OPSEC, ADP/OIS, and SIGSEC security matters. i. Serves as primary advisor and security representative to C3 SITE and ocean surveillance project managers and facilities personnel regarding TEMPEST standards and security requirements for Bldgs. 600 and 605. j. Responsible for recommending policy and coordinating all matters related to the NOSC SIGSEC Program. k. Develops and implements procedure for providing SIGSEC guidance to facilities, projects, programs, and test and evaluation groups (afloat and ashore). l. Coordinates all TEMPEST inspections and certifications. m. Coordinates all technical surveillance countermeasure (TSCM) inspec- tions and certifications. n. Coordinates all communication security (COMSEC) support requirements, maintaining close liaison with the CMS Management Group, Code 3301, pertinent to crypto equipment resources. o. Secure Voice Telephone Program (Secure Telephone Unit STU-III). Code 33 has been tasked with development of STU-III accountability procedures and initial draft of the NOSC Security Voice Program instruction. Upon completion of this tasking, Code 153 will assume management of the STU-III Program. Until this transfer is completed, the point of contact for STU-III matters is Code 33 (Ext. 35066). 2-4 NOSCINST 5500.1A 22 August 1988 7. Physical Security Group, Code 154 a. Implements and administers the Center's physical security and loss prevention programs. b. Conducts physical security surveys and determines requirements for all classifications of Center GENSER vaults and strongrooms. c. Acts as the Center's technical representative and liaison with the Center's contract guard service; makes sure all procedures in guard post orders are carried out. Coordinates guard contract change orders and invoice validation with Administrative Staff, Code 0063, in the Facilities Engineering Office. d. Coordinates planning, acquisition, installation, maintenance, and monitoring of all security alarm (intrusion detection) systems. e. Manages the Center's lock and key systems, the security container combination system, and issuance of security containers. f. Provides Center Duty Officer (CDO) assistance. g. Administers the Security Watch Officer (SECWO) Program. h. Responsible for Center missing, lost, stolen, or recovered (MLSR) property reporting, coordination, and trend analysis. i. Coordinates Auxiliary Security Force (ASF). j. Provides guidance for proper storage of precious metals. k. Coordinates physical security requirements with tenant/support activi- ties. 8. Physical Security Review Committee (PSRC). Membership of this committee is identified in appendix C. a. The PSRC advises and assists the Commander in applying the standards of and implementing the program for physical security and loss prevention set forth in this manual. b. The PSRC will: (1) Assist in determining requirements for and evaluating security afforded to areas of NOSC and its tenant activities. (2) Advise on establishment of security areas. (3) Review the draft physical security and loss prevention plan, or recommended changes thereto, before submission to the Commander, NOSC. (4) Review reports of significant losses and breaches of security and, based on analysis of such instances, recommend improvements to the Physical Security and Loss Prevention Program. 2-5 NOSCINST 5500.1A 22 August 1988 9. Loss Prevention Subcommittee (LPS). Membership of this subcommittee is identified in appendix C. a. The chairperson is the Loss Prevention Coordinator. The purpose of the LPS is to meet at least quarterly to review and tabulate losses and actions taken or pending. b. Meeting summaries will be appended to PSRC quarterly meeting minutes. Internal review participation in the LPS is required. At least three PSRC members will be appointed to serve on the LPS. 10. Physical Security Review Board (PSRB). Membership of this board is iden- tified in appendix C. a. The board's objective is coordination of mutually supportive physical security and loss prevention practices. Membership includes representatives of each tenant/support activity located on NOSC premises. Attendance and participation by other organizations located on the Point Loma Federal Complex is optional and discretionary. b. The Board will meet at least annually. 2-6 NOSCINST 5500.1A 22 August 1988 2-7 NOSCINST 5500.1A 22 August 1988 CHAPTER 3 SECURITY EDUCATION AND TRAINING 1. Policy. NOSC policy is to promote a strong and continuing Security Educa- tion Program by instructing all personnel, regardless of their position, rank, or grade, in security policies and procedures. 2. Responsibility. The Commander, through the Head, Information and Person- nel Security Group, Code 152, is responsible for implementing and maintaining a Security Education Program for the Center and ensuring it is afforded a significant share of the time dedicated to Center security. Supervisors are responsible for identifying the security requirements for the functions of their organizational elements and for seeing that personnel under their super- vision understand the security requirements for their particular assignments. On-the-job training is an essential part of Center security education. 3. Scope. The Head, Information and Personnel Security Group, Code 152, will coordinate the training required by references (a) (OPNAVINST 5510.1G), (b) (OPNAVINST 5530.14A), and (c) (SPAWARINST 5510.3G), as outlined below, for all NOSC civilian and military personnel. The Security Education Program should make all personnel understand the need to protect Government property and sensitive or classified information. a. New Employee Orientation Briefing. A weekly briefing on security policy and procedures is presented to all employees new to the Navy and/or to the Center. This briefing will satisfy the requirement for an annual refresher for the calendar year in which it is given. b. Classified Nondisclosure Agreement. Civilian employees and military personnel are instructed on the requirements for nondisclosure of classified information as set forth in Standard Form 189, Classified Information Nondis- closure Agreement. c. Refresher Briefing. Provide civilian employees and military personnel with annual refresher training that highlights changes in security practices and procedures. This may be accomplished either through briefing sessions or brief resumes that individuals read, sign, and return to Code 152. d. Counterespionage Briefing. Coordinate an annual briefing by the Naval Investigative Service for all personnel who have access to material classified Secret or above. Each individual in this category is required to attend one briefing every 3 years. e. Special Briefings. Certain types of special briefings are required to be coordinated or provided by the Security Manager, Code 152. These include: (1) Foreign Travel Briefing. Any individual who has had access to classified information and plans to travel, on business or vacation, to or through a communist-controlled country; on a communist government operated cruise ship, or to attend a meeting in the United States or elsewhere in which representatives of communist controlled countries (appendix E) are expected to 3-1 NOSCINST 5500.1A 22 August 1988 participate must be given a defensive briefing by Code 152 (Code 0059 in Hawaii). This briefing may also be given to dependents, if requested. When the individual returns, a debriefing by the Naval Investigative Service is required by reference (a) (OPNAVINST 5510.1G). (2) NATO Briefing. All personnel who require access to NATO informa- tion must be briefed on NATO security procedures by Code 152 (Code 0059 in Hawaii) before access is granted per reference (d) (OPNAVINST C5510.101). (3) Single Integrated Operational Plan-Extremely Sensitive Information (SIOP-ESI) Briefing. A special briefing is required by Code 152 (Code 0059 in Hawaii) before access to SIOP-ESI is granted per reference (e) (OPNAVINST S5511.35J). NOTE: To obtain a NATO or SIOP-ESI briefing, submit a memorandum to Code 152, signed by a branch head or higher, designating the individual and the project or program requiring the specific access. A final Secret clearance or higher is required, and a briefing (and debriefing) certificate must be executed. f. Group Briefings. A variety of security material can be presented for special groups within the Center. (1) Workshops. In conjunction with the Employment/Development Office, Code 143, the Security Education and Training Officer supports training requirements for supervisory/secretarial training and correspondence work- shops. (2) Tailored. Individual branches or divisions may request special security training or discussions. Code 152 will support these requests and make arrangements to meet the special needs. g. Debriefing. All civilian employees and military personnel who have had access to classified information must be debriefed by Code 151 (Code 0059 in Hawaii) under the following conditions: (1) Before termination of active military service, civilian employ- ment, or temporary separation for a period of 60 days or more including sab- baticals and leave without pay. The Information and Personnel Security Group, Code 152 (Code 0059 in Hawaii), will give this debriefing. (2) When security clearance is revoked for cause. (3) When security clearance is administratively withdrawn. (4) At the conclusion of the need for access period. 4. Training Aids. The Security Education and Training Officer subscribes to a poster service for security. In addition to those posters which are placed throughout the Center for general reference, groups feeling a special need for copies should contact Code 152 directly. 5. Announcement of Training. In coordination with the Employment/Development Office, Code 143, Code 152 will issue announcements of Security Education and Training 10 to 14 days in advance of the session. 3-2 NOSCINST 5500.1A 22 August 1988 CHAPTER 4 FOREIGN DISCLOSURE AND FOREIGN TRAVEL 1. Policies a. Disclosure. OPNAVINST 5510.48J states policy on the release of U.S. Navy information to foreign governments and international organizations as follows: "It is the policy of the United States Government to treat classified military information as a national security asset which must be conserved and protected, and which may be shared with foreign entities only where there is a clearly defined advantage to the United States." Sharing of U.S. classified and unclassified military information may also be undertaken when information is given in return. Disclosure includes official visits from and to foreign countries, international meetings, release of documents, and exchange of per- sonnel. b. Authority. To ensure proper coordination and control of foreign dis- closure within the Department of the Navy, authority for the disclosure of classified information has been centralized in the Navy Office of Technology Transfer and Security Assistance (NAVOTTSA). The Foreign Disclosure Officer (FDO), Code 152, is the point of contact for all foreign disclosure matters. c. Designated Countries. OPNAVINST 5510.1H states any contact, disclo- sure, or exchange of information with personnel from a designated country, as listed in appendix E, shall be reported to the FDO and the Naval Investigative Service (NIS). NOSC military or civilian personnel who become aware of any type of situation which involves disclosure of U.S. military information to foreign nationals shall coordinate the matter with the FDO. d. Certain restrictions are placed on release of unclassified information which contains militarily critical technology (MCT) as defined in appendix F. 2. Foreign Requests for Classified Documents a. Official Requests. The FDO will coordinate all requests received from a foreign embassy via NAVOTTSA. b. Unofficial Requests. Unofficial requests are requests from foreign private firms, individuals, educational institutions, etc., which are not forwarded via Government channels. Any employee who receives an unofficial request for classified documents will send that request to the FDO. 3. Foreign Requests for Unclassified Documents a. Official Requests. Official requests for unclassified documents will be handled in the same manner as official requests for classified documents. (See paragraph 2a above). 4-1 NOSCINST 5500.1A 22 August 1988 b. Unofficial Requests (1) Requests originated by foreign nationals, educational or research institutions, commercial firms, etc., for unclassified NOSC technical docu- ments, technical reports, technical notes, or other official Center publica- tions, will be sent to the FDO for disposition. (2) Individuals who receive personally addressed mail from foreign sources requesting such publications will refer the request to the FDO for action. (3) Requests from foreign unofficial sources for unclassified journal reprints may be responded to directly by the author, or the request may be sent with a copy of the reprint to the Public Affairs Office, Code 032, for disposition. For record purposes, the FDO, Code 152, must be provided with a copy of both the request and the reply. (4) Final release authority for attendance and presentation of papers at international conferences resides with DOD. Coordination of this approval through COMSPAWARSYSCOM and DNL is done by Code 152. Allow at least 60 days lead time for the review process after Center approval and the submission date of the paper and/or attendance forms for the conference. (5) EXCEPTION: All requests for information from individuals in des- ignated countries (appendix E) will be forwarded to the FDO, Code 152. 4. Official Visits to NOSC by Foreign Nationals a. When a foreign national proposes to make an official visit to NOSC for the purpose of discussing U.S. military information, classified or unclassi- fied, the country's embassy in Washington, DC will make an official (govern- ment-to-government) request to NAVOTTSA or the project officer for a specific exchange program. (See paragraph 9 below.) If a request is received directly from a foreign national, forward the request to the FDO, Code 152, (Code 0059 in Hawaii). b. Personnel expecting an official visit by a foreign national will coor- dinate with the FDO, Code 152, (Code 0059 in Hawaii) so that a timely reply may be sent. c. Appropriate disclosure authorization containing security classifica- tion level, guidelines, and restrictions is issued for each visit request approved by NAVOTTSA or the project officer. Visit authority is ONLY for oral and visual information. Notes MAY NOT be taken during visits nor documentary information given without coordination through the FDO. d. When the visitor arrives, Code 151, Visit Control/Badge and Decal Group (Code 0059 in Hawaii), will issue a foreign national badge, authorized by the FDO, showing the visitor's name and replica of the country's flag. The NOSC host will provide a NOSC employee with a picture badge to act as escort for the visit. One escort is required for every five foreign visitors. 4-2 NOSCINST 5500.1A 22 August 1988 5. Foreign Nationals Visiting NOSC Unofficially a. When a foreign national submits a request directly to NOSC to visit, it must be considered an unofficial visit. When such a request is received, the recipient will immediately notify the FDO by submitting form NOSC-SD 5050/23, Unofficial Foreign Visit Request, with a copy of the visit request. All U.S. contractors employing foreign nationals are required to have their visit request on file before submission of the Unofficial Foreign Visit Request. If the visit is to the Hawaii Laboratory, Code 0059 must be noti- fied. Foreign nationals desiring to make official unclassified visits must submit their request through official channels as outlined in paragraph 4 above. b. All personnel are reminded only unclassified information about the Center's work, approved for public release, may be discussed with these visi- tors. Visit authority is ONLY for oral and visual information. All require- ments for escort are applicable. 6. Foreign Nationals Attending Meetings Held at NOSC a. Classified Meeting Where NOSC is the Security Sponsor (1) The NOSC sponsor will notify Codes 152, 151, and 032 of all meet- ings to be held at this Center. A list of the possible attendees will be given to the FDO at least 60 days before the meeting. Before any commitments are made or any announcements are published concerning a classified meeting, the sponsor is required to obtain written authorization from CNO (OP-09N) via COMSPAWARSYSCOM. Copies of this correspondence will be given to the FDO. The FDO must obtain disclosure approval from NAVOTTSA before the meeting. (2) Notify the FDO immediately if a foreign national from a designated country wishes to attend a meeting at NOSC. (See paragraph 1c above.) (3) The FDO must review the security procedures for the meeting to ensure adequate controls have been established and that escorts will be pro- vided for the foreign nationals by the host. (See paragraph 4d above.) (4) Disclosure authority involves ONLY oral and visual information. No documents may be given to a foreign national while attending a meeting unless NAVOTTSA has specifically authorized release of the document(s), in writing, before the meeting. Contact the FDO if any request is received from a foreign national for written material. Notes may not be taken during meet- ings controlled by DOD Directive 5200.12, Policy on the conduct of meetings involving access to classified information. b. Classified Meeting Where NOSC is Not the Security Sponsor (1) The sponsor, not the NOSC host, is responsible for obtaining writ- ten authorization for their sponsorship. Copies of all correspondence shall be given to the FDO. At least 10 days before the meeting, a complete list of approved attendees will be given to Codes 151, 152, and 032. 4-3 NOSCINST 5500.1A 22 August 1988 (2) The FDO must review the security procedures for the meeting to ensure adequate controls have been established and that escorts will be pro- vided for the foreign nationals by the host. (See paragraph 4d above.) Notes may not be taken during meetings controlled by DOD Directive 5200.12, Policy on the conduct of meetings involving access to classified information. c. Unclassified Meeting. The NOSC host will ensure all requirements of paragraph 6b above are followed for unclassified meetings. Authority from CNO for security sponsorship does not have to be obtained. 7. NOSC Employee Presentations at Meetings Attended by Foreign Nationals a. Classified Information. When a NOSC employee plans to make a presen- tation involving classified information, the complete speech and the abstract will be routed with one copy of form NOSC-SD 5605/12, Routing and Approval - NOSC Publications, to Code 152. A copy of the invitation to present the mate- rial and any other pertinent information must accompany the paper through the review channel. b. Unclassified Information. NOSCINST 5720.2A outlines the procedures for release of unclassified information to be presented at meetings. If for- eign disclosure is involved, the material must be routed as in paragraph 7a above. 8. Articles to be Published in Scientific Journals. Publication of an arti- cle in a scientific journal is tantamount to foreign disclosure. Therefore, the procedures outlined in paragraph 7b above shall be followed. 9. Information Exchange Programs (IEP) a. Information may be exchanged with participating governments subject to the scope and classification set forth in each Mutual Weapons Development Data Exchange Agreement (MWDDEA), IEP, or North Atlantic Treaty Organization (NATO). NATO is covered in OPNAVINST C5510.101D. Code 152 will coordinate all visits and release of information under these programs. b. The FDO will serve as the security focal point for The Technical Coop- eration Program (TTCP). c. The FDO is responsible for holding copies of all IEP's, MWDDEA's, and other types of agreements in which NOSC is a participant. 10. Exchange Scientist Program and Long Term Attachments (LTA) a. The U.S. Navy Exchange Scientist Program is administered by the Assis- tant for International Research and Development (OP-098F) which forwards a resume for any foreign exchange scientist accepted for LTA. b. The technical code accepting the appointment through coordination with the FDO, Code 152, will provide the following: (1) Departmental support. (2) Statement of work. 4-4 NOSCINST 5500.1A 22 August 1988 (3) Security plan. (4) Written sponsor support. (5) Disclosure authorization. (6) Personal support to the exchange scientist and family. c. A memorandum of access will be issued by the FDO. This memorandum sets forth all specifics of the exchange scientist's access while on LTA. d. OPNAVINST 5510.1H permits the employment of foreign nationals, without compensation, for extended periods in cases where the individual possesses unique talents or capabilities that can be used by the Center. These employ- ments do not permit access to classified or MCT information. e. Badging requirements for foreign exchange scientists are found in chapter 15 of this manual. 11. Foreign Military Sales (FMS)/Export Cases. Correspondence concerning FMS or export cases will be handled by the cognizant technical code. Copies of all correspondence shall be given to the appropriate department head and Codes 02, 03, 09, 17, and 152. In addition, replies to export cases must be routed to the Office of Legal Counsel, Code 001 (via the Legal Counsel for Patents, Code 0012), for review before transmission. 12. Contracts with Foreign Firms. The U.S. Government has Memoranda of Agree- ment/Understanding (MOA/MOU) with several foreign countries permitting foreign firms to bid on U.S. Government contracts, and U.S. firms to bid on foreign contracts. 13. Travel Outside Continental United States (CONUS) by NOSC Employees and Contractor/Government Personnel Traveling in Support of a NOSC Project. NOSCINST 4650.2A contains procedures to be followed in processing foreign travel requests. Additionally, the following information on security require- ments for such travel applies: NOTE: Travel clearance messages are prepared by the traveler's code when traveler is going to Hawaii, Alaska, Guam, Midway Island, Puerto Rico, Virgin Islands, or U.S. ships within those areas. Sample messages are provided in exhibits A through G, pages 4-9 through 4-22. a. Procedures for Foreign Travel. Requests for travel outside CONUS require a minimum of 30 days advance notice to the country being visited plus 3 workdays for internal preparation, review, and release. If diplomatic clearance is required and/or if classified information will be discussed with foreign nationals, not less than 60 days lead-time is necessary; 90 days or more is preferable. Requests will be processed as follows: (1) Travel and Country Clearances or Visit Notification. (See appen- dix F for definitions of these clearances.) The traveler shall prepare a Request for Foreign Travel, form NOSC-SD 4650/36 (exhibit H), and send it to the Employee Clearance Section of Code 152, via the appropriate branch, divi- sion, and department head; the Head, Information and Personnel Security Group, Code 152; and the Commander, NOSC, Code 00; for approval and signature. 4-5 NOSCINST 5500.1A 22 August 1988 (a) If names or hull numbers and precise current or future opera- tional deployment locations of surface combatant ships are shown on form NOSC- SD 4650/36, the form must be classified Confidential. "Classified by: OPNAV INST S5513.3B, enclosure (17). DECLASSIFY AFTER DEPLOYMENT." If the form contains information concerning a ship's planned foreign port call, the form will be classified Confidential. "Classified by: OPNAVINST S5513.3B, enclo- sure (17). DECLASSIFY WHEN VISIT OF SHIP IS APPROVED BY HOST GOVERNMENT." (b) When NOSC personnel plan to travel to foreign countries to discuss U.S. Navy classified information with representatives of foreign gov- ernments or their contractors, Code 152 must be advised as early as possible but not later than 60 days before travel begins. (2) Review and Signature of Message. After receipt of approved form NOSC-SD 4650/36, Code 152 (Employee Clearance Section) will prepare a travel or country clearance request or visit notification message. Code 152 will release the message and have it handcarried to Code 1311, Mail/Message Center, for transmission. (3) Modification. Whenever a change is made which affects the infor- mation previously submitted in a travel or country clearance message, a modi- fication message is prepared by the traveler's code and processed through the same review/approval chain as the original message except that Code 152 (Employee Clearance Section) need not review the new message unless there is clearance information being passed. The same code distribution will be used on all modification messages. (4) Diplomatic Clearance/Foreign Travel Briefing. Code 152 will request diplomatic clearance when required by OPNAVINST 4650.11F. Code 152 will provide the foreign travel briefing required by OPNAVINST 5510.1H. Code 0059 will brief Hawaii personnel. NOTE: Travel and country clearance or visit notification is not required when the traveler will be in port solely as a member of a ship's crew and will not leave the ship, nor when the traveler is going via commercial air and will not leave the aircraft. (5) NAVFAC Visits. If the travel is to Commander, Oceanographic Sys- tems Pacific (COMOCEANSYSPAC/COSP), any U.S. Naval facility (NAVFAC), or any U.S. Naval Oceanographic Processing Facility (NOPF), in a foreign country (including Alaska, Guam, Hawaii, and Midway Island) under the jurisdiction of COMOCEANSYSPAC or Commander, Oceanographic Systems Atlantic (COMOCEANSYSLANT/ COSL), the traveler must coordinate the proposed visit with the Surveillance Systems Engineering Division, Code 72. Need-to-know certification by COMSPA WARSYSCOM is necessary on all NAVFAC visits. Requests should be submitted to Code 72 on NAVFAC Visit Request, form NOSC-SD 5512/25. The Request for For- eign Travel, NOSC-SD 4650/36, is not needed. The NAVFAC Visit Request should be approved by the project manager, branch head, division head, department head, and Code 00 before reaching Code 72 for preparation of the travel/visit request message. The travel/visit request will be prepared per OPNAVINST 4650.11F (exhibits A through D apply). When applicable, the travel clearance request and the NAVFAC visit request should be incorporated into a single message. If conditions do not permit a single message, the travel clearance request will precede the NAVFAC visit request. A response from the travel clearance request is not needed before sending the NAVFAC visit request. 4-6 NOSCINST 5500.1A 22 August 1988 However, a favorable response to the travel clearance request is required before travel starts. To ensure compliance with advance notice requirements, provide requests to Code 72 as follows: COSP - Monday of week before visit; COSL - Monday 2 weeks before visit; foreign travel - 30 days before visit; the NAVFAC Visit Request, form NOSC-SD 5512/25 must be received by Code 72 on the Wednesday preceding the appropriate Monday. See chapter 16 of this manual for instructions concerning visits within CONUS. b. Trip Reports. Per OPNAVINST S3820.16D, if the traveler visits a for- eign country and has contacts with foreign nationals, or if the traveler attends an international meeting including those held in CONUS, it is required that the traveler submit a written trip report to the cognizant department/ma- jor staff office head, with a copy to Code 17, within 5 days after returning to NOSC. The trip report must be classified if the information it contains warrants classification. Code 17 will provide guidance to the traveler regarding the content of this report. c. General Information for Foreign Travelers (1) Handcarrying of classified material on commercial aircraft is discouraged. In cases of extreme emergency, the traveler's code will submit a memorandum to Code 03, via division/department, requesting permission for the traveler to handcarry classified material as a designated courier on commer- cial aircraft overseas (see appendix F for definitions). The memorandum will contain the name, rank or grade, and clearance status of the traveler; flight numbers, dates, arrival and departure times; stopovers; other transportation to be used while in courier status; general description and classification level of the material to be carried; and the reason the material cannot be transmitted by other means. Code 152 will request permission for the hand- carry from COMSPAWARSYSCOM. NOTE: NOSC cannot use contractor personnel to handcarry classified material overseas. (2) During visits, travelers must not offer to subsequently furnish any documentary information whatsoever, classified or unclassified, to a for- eign government. Information or documents which an activity wishes to have considered for release to a foreign government shall not be offered to that government until such release has been approved by COMSPAWARSYSCOM. Contact the FDO for assistance. (3) Travelers should not invite foreign nationals to visit this Center while traveling in foreign countries. Such invitations may only be extended by a project officer of an exchange project or the Director, Navy Office of Technology Transfer and Security Assistance. 4-7 NOSCINST 5500.1A 22 August 1988 (See hard copy for samples.) 4-8 NOSCINST 5500.1A 22 August 1988 CHAPTER 5 INFORMATION SECURITY PROGRAM 1. Scope. Executive Order 12356 of 1 August 1982, as amplified by reference (a) (OPNAVINST 5510.1G) is the basis for classifying information and for establishing and maintaining an effective Information Security Program. The program is coordinated by the Security Manager as Head, Information and Per- sonnel Security Group, Code 152. To ensure consistency and accuracy, all classification guidance and interpretations will be prepared by and/or issued under the signature authority of Code 152. Continuing action must be taken also to make sure that all persons involved in the classification process are given necessary technical and procedural indoctrination and training in clas- sification techniques. References (a) and (h) (OPNAVINST 5513 Series) provide basic concepts of classification, and Code 152 will give additional, more detailed guidance to personnel as required. Copies of reference (a) have been distributed at NOSC to division level. 2. Responsibilities a. Information and Personnel Security Group. The Information and Person- nel Security Group, Code 152, is responsible for: (1) Coordinating the NOSC Information Security Program. (2) Requesting resolution by higher cognizant authority of any ques- tion about interpretation and implementation of program requirements which cannot be resolved locally or which require coordination with other commands. (3) Maintaining close and continuing liaison with Center technical and procurement personnel, and maintaining liaison with the Public Affairs Office, Code 032, about review of public releases and technical publications of all kinds when public disclosure is anticipated by virtue of the nature and extent of distribution. (4) Obtaining from the sponsor required security classification guid- ance for all task assignments and similar material received without the proper classification guidance. (5) Ensuring that classification guidance received from higher author- ity is disseminated to appropriate Physical Security Review Committee members and to the Public Affairs Office. (6) Ensuring that classification guides are issued to interested codes for all NOSC-generated projects, both in-house and under contract, and that these guides are reviewed and updated as required. (7) Instructing personnel involved in the classification process in the objectives, concepts, and procedures of classification management. (8) Ensuring the duties of the Top Secret Control Officer are fol- lowed. 5-1 NOSCINST 5500.1A 22 August 1988 (9) Reporting to the Head, Security Office, Code 15, on the status of the Information Security Program at NOSC. b. Hawaii Laboratory. The Security/Safety Office - Hawaii, Code 0059, will coordinate the above responsibilities at the Hawaii Laboratory with the Officer in Charge, Hawaii Laboratory, Code 005. Technical information/support will be provided by Code 152. c. Top Secret Control Officer (TSCO). The TSCO is responsible to the Security Manager for receipt, custody, accounting for, and disposition of Top Secret material at NOSC. The TSCO will strictly adhere to the duties described in paragraphs 2-9 and 2-10 of reference (a) and to the procedures specified in paragraph 10-2 of reference (a). The TSCO is responsible for: (1) Maintaining a system of accountability which will record the source, downgrading, movement from one office to another, current custodian, destruction or other disposition of all Top Secret material for which he or she is responsible. (2) Keeping dissemination of Top Secret information to the absolute minimum necessary for proper planning or action. (3) Transmitting Top Secret material within the Center by direct per- sonal contact. (4) Maintaining a continuous chain of signed receipts and disclosure records for all Top Secret material. (5) Ensuring that physical inventories of Top Secret material are conducted at least once annually. (6) Maintaining a current roster of persons within the Center who are authorized access to Top Secret information. (7) Ensuring that all Top Secret material is accounted for and prop- erly transferred when custodians are relieved of their duties. (8) Ensure that individuals are briefed on the "two-person integrity" requirement explained below in paragraph 2d(5). d. Individuals. Each individual is responsible for: (1) Knowing that certain information, essential to the national secu- rity, requires protection from disclosure to unauthorized persons. (2) Ensuring that classified material is marked to show the level of classification. (3) Ensuring that only those who have been officially and specifi- cally authorized may have any access to classified information. (4) Ensuring that classified material is stored and used in secure areas, is protected during transfer from one area (or command) to another, and is destroyed by authorized means. 5-2 NOSCINST 5500.1A 22 August 1988 (5) Reporting any breach of security. (6) Reporting to Code 152 any contact in any form with any citizen of a communist controlled or hostile country. (7) Reporting to Code 152 any attempt by an unauthorized person to solicit classified information. (8) During work hours, taking the following precautions to prevent access to classified information by unauthorized persons: (a) When classified documents are removed from storage for work purposes, keep them under constant surveillance and face down or covered when not in use. Classified material cover sheets SF 703/704/705 will be used for this purpose. (b) Discuss classified information only when unauthorized persons cannot overhear the discussion. Take particular care when there are visitors or workers present. Escorts should alert fellow workers when visitors or work- ers are in the area. (c) Protect preliminary drafts, carbon sheets, plates, stencils, stenographic notes, work sheets, and all similar items containing classified information either by destroying them by a method approved for destroying classified material immediately after they have served their purposes, or by giving them the same classification and safeguarding them in the same manner as the classified material they provided. (d) Protect typewriter ribbons used in typing classified material the same as the highest level of classification for which they have been used. Also, destroy them as classified waste. Exceptions include after the upper and lower sections have been cycled through the machine five times in the course of regular typing, all fabric ribbons may be treated as unclassified even if they are used subsequently for classified. Any typewriter ribbon which remains substantially stationary in the typewriter until it has received at least five consecutive impressions may be treated as unclassified. (9) Reviewing material in custody at least once each year for possible downgrading or declassification. (10) Recommending changes in a classification to the originator of the material when considered appropriate. (11) Two-Person Integrity Requirement. Personnel will not normally be permitted to work alone in areas where TOP SECRET information or information controlled under Special Access Program procedures is used or stored and is accessible to those employees. This policy, however, does not apply in those situations where one employee with access is left alone for brief periods during normal duty hours. It does not require that both employees have equal access, or that a "no lone zone" be established around TOP SECRET, nor is the requirement as stringent as the two-person control requirements for Communica- tions Security Material Systems (CMS), Sealed Authentication/Systems (SAS), or nuclear weapon-related information. The two-person integrity requirement must be strictly adhered to outside of normal duty hours. 5-3 NOSCINST 5500.1A 22 August 1988 e. Departments and Major Staff Offices. Department heads and heads of major staff offices are responsible for: (1) Ensuring that all security classification aspects of their tech- nical assignments are coordinated with the Head, Information and Personnel Security Group or alternate. (2) Ensuring that the Center's requirements for periodic review of material and systematic requirements within their areas of jurisdiction are implemented to assure the downgrading, declassification, retirement, and destruction of classified information on a regular basis, and monitoring this effort to make sure that it is being effectively carried out. Annual reviews of all classified holdings are required by OPNAVINST 5510.1G. Material not deemed permanently valuable records of the Government will not be retained more than 5 years and will be disposed of per SECNAVINST 5215.5. (3) Notifying Code 152 when task assignments or similar material involving access to or generation of classified data which do not include classification guidance are received from higher authority. (4) Designating a representative and one alternate from the department or major staff office to serve on the Physical Security Review Committee dis- cussed in chapter 2 of this manual. (5) Ensuring that personnel under their cognizance are adequately instructed in their responsibilities for the proper classification of material which they originate. NOTE: The Deputy Technical Director, Code 02, is responsible for the above actions by departments and major staff offices. f. Supply Department. The Supply Department, Code 20, is responsible for: (1) Ensuring that a DD 254 approved by Code 152 accompanies each pro- curement request involving access to classified information by contractors. (2) Assuring that Code 152 is apprised or consulted when any action has occurred relative to security aspects in a contracting effort. g. Mail Room Branch. The Mail Room Branch, Code 131, is responsible for routing all incoming correspondence concerning security classification and classification guidance to Codes 152, 15, 0059, 005, 032, and cognizant tech- nical departments. h. Directives and Forms Branch. The Directives and Forms Branch, Code 132, is responsible for routing directives concerning security classification and classification guidance to Codes 152, 15, 0059, 005, 032, and cognizant technical departments. i. Technical Publications Branch. In coordination with Code 152 and in compliance with applicable security directives, the Technical Publications Branch, Code 961, is responsible for: 5-4 NOSCINST 5500.1A 22 August 1988 (1) Initiating and implementing procedures for keeping current all classification, declassification, downgrading, and marking actions for techni- cal publications generated by the Center. (2) Keeping records of the initial and secondary distribution of clas- sified NOSC publications except technical notes which are distributed by the originating codes. 3. Procedures for Assigning Top Secret, Secret, or Confidential Classifica- tion a. Original Data (not covered by program classification guidance) (1) Drafters. Drafters of documents shall: (a) Make the initial decision that the information is classified. (b) Mark the material with the tentative classification; subject, part, and paragraph classification markings; declassification markings; and any special markings required. (c) Make distribution, without review, of material for internal dissemination only. (2) Classifying Authority. The classifying authority (not NOSC for Top Secret) shall make the final determination of appropriate classification and ensure the document has the correct classification and declassification markings, as well as any special markings required, i.e., Restricted Data, Formerly Restricted Data, NOFORN, etc. b. Derivative Data (1) Drafters. Drafters of documents shall: (a) Review previous classified data or classification guidance from higher authority and assign an appropriate classification to material presently being prepared. (b) Mark the present material with the appropriate classification, subject and paragraph markings, declassification markings, and any special markings required. (c) Make distribution, without review, of material for internal dissemination only. (d) Send material which is to be sent off-Center to the appropri- ate individual for signature. (2) Signature Authority. The individual signing the document shall: (a) Ensure that all necessary classification, subject, paragraph, part, and declassification markings, and any special markings required, are on the document before signing. 5-5 NOSCINST 5500.1A 22 August 1988 (b) Send the document to the Mail Room Branch, Code 131, for transmittal as appropriate. c. Top Secret Material. Material thought to warrant Top Secret control should be taken to the Top Secret Control Officer for further disposition. 4. Classifying Research Data a. Basic Scientific Research. Ordinarily, except for information which meets the definition of Restricted Data, basic scientific research or results thereof shall not be classified. However, classification would be appropriate if the information is about an unusually significant scientific breakthrough, there is sound reason to believe it is not known or within the state-of-the- art of other nations, and it supplies the United States with an advantage directly related to national security. In that case, paragraphs 6-1 and 6-12 of reference (a) apply. b. Obtaining Classification Evaluations. If a person not authorized to exercise original classification originates information which it is believed should be classified, the individual shall: (1) Safeguard the information as prescribed for the intended classifi- cation. (2) Mark the information (or cover sheet) with the appropriate classi- fication designation preceded by the word "tentative". (3) Send the information through the chain of command to the next higher command having original classification authority for evaluation and decision including a statement in the transmittal that the information is tentatively marked to protect it in transit. Justification for classification should also be included in the transmittal. A determination as to whether to classify the information shall be made within 30 days of receipt. (4) In an emergency requiring immediate communication of the informa- tion, after taking the action prescribed by paragraphs 4b(1) and 4b(2) above, send the information and then proceed as in paragraph 4b(3) above. (5) Upon decision by the original classification authority, the tenta- tive marking shall be removed. If a classification is assigned, paragraph and declassification marking shall be applied by the originator of the information as prescribed by this chapter. 5. Classification Markings Guidance a. General Information (1) Designations. Information determined to require classification protection against unauthorized disclosure, under references (a) and (h), shall be so designated, generally by physical marking. Designation by means other than physical marking may be used but should be followed by physical marking as soon as practical. 5-6 NOSCINST 5500.1A 22 August 1988 (2) Purpose of Designation. Designation by physical marking, nota- tion, or other means serves to inform and to warn the holder of the material of its classification, the degree of protection against unauthorized disclo- sure which is required for that particular level of classification, and to ease downgrading and declassification actions. (3) Exception. No article which has appeared, in whole or in part, in newspapers, magazines, or elsewhere in the public domain, nor any copy thereof which is being reviewed and evaluated by any component of the Department of Defense to compare its content with official information which is being safe- guarded in the Department of Defense by security classification, may be marked on its face with any security classification, control, or other kind of restrictive marking. The results of the review and evaluation shall be sepa- rate from the article in question. b. Marking Requirements (1) Original Classification. Commander, NOSC, is an authorized origi- nal classifier at the Secret level and below. (2) Derivative Classification. All classified material originated at this Center, with the exception of IR&D information, will fall within the derivative classification category. At the time of origin, paper copies of derivatively classified documents shall show on their face: (a) The source of classification (e.g., source document or classi- fication guide). If classification is derived from more than one source, the phrase "multiple source" shall be shown and the identification of each will be maintained with the file or record copy of the document. (b) The overall classification of the document. (c) The date or event for automatic declassification or the nota- tion "Originating Agency's Determination Required" or "OADR". (d) Any downgrading action to be taken and the date or event thereof. (e) Any additional warning notices. (f) The classification guidance will appear in the lower left corner of the cover and title page of all documents and on the first page of all correspondence containing classified information within its body as fol- lows: Classified by:________________ Declassify on:________________ (3) Warning Notices. In addition to the foregoing, any appropriate warning notation as listed in paragraph 9-32 of reference (a) will be shown on the face of the document. Such notations will be carried forward from source documents to derivatively classified material when appropriate. 5-7 NOSCINST 5500.1A 22 August 1988 (4) Markings on Material Other than Documents. Material other than documents shall, to the extent practical, show the foregoing on the material itself or in related or accompanying documentation. (5) Wholly Unclassified Material. Normally, unclassified material shall not be marked or stamped "Unclassified" unless it is essential to convey to a recipient of the material that it has been examined specifically with a view to imposing a security classification and has been determined not to require classification. (6) Overall and Page Marking. The overall classification of a docu- ment shall be marked, stamped, or permanently affixed at the top and bottom of the outside of the front cover (if any), on the title page (if any), on the first page, and on the outside of the back cover (if any). To achieve produc- tion efficiency, each interior page of a classified document normally shall be marked or stamped at the top and bottom according to the highest overall clas- sification of the document. Pages may also be marked according to their indi- vidual content, if desired; except that both the front and reverse sides of pages in reports must be marked with the highest classification of either side. In this case, the paragraph marking indicates the actual classification of a page with a lower classification. (7) Subjects and Titles. Subjects and titles shall be selected so as not to require classification. If, in order to convey meaning, classification of the title is necessary, then use an unclassified short title for reference purposes and a classified subtitle to convey the meaning. To show its classi- fied or unclassified status, a subject or title shall be marked with the appropriate parenthetical symbol placed immediately following. (8) Files, Folders, or Groups of Documents. Files, folders, or groups of documents shall be conspicuously marked to ensure their protection to a degree as high as that of the most highly classified document included. Clas- sified document cover sheets may be used for this purpose. Documents sepa- rated from the file, folder, or group shall be marked as prescribed for individual documents. (9) Transmittal Documents. A transmittal document or endorsement added to basic correspondence shall carry on its face a notation as to the highest classification of the information transmitted by it, and a legend showing the classification, if any, of the transmittal document or endorsement standing alone. For example, an unclassified document which transmits a clas- sified document as an enclosure, shall bear the notation, "Unclassified upon removal of enclosure". (10) Electronically Transmitted Messages. Classified messages shall be marked at the top and bottom with the overall classification and the parts marked in the manner prescribed above for documents. When a message is printed by an automated system, the classification markings may be applied by that system, provided that the markings are clearly distinguishable from the printed text on the face of the document. In addition, the first item of information in the text of a classified message will be the overall classifi- cation of the message. Spell out identification such as Restricted Data, 5-8 NOSCINST 5500.1A 22 August 1988 Formerly Restricted Data, or Critical Nuclear Weapons Design Information fol- lowing the classification but use the short form for intelligence control markings (paragraph 12-20 of reference (a)). The highest level official iden- tified on the message as the sender or, in the absence of such identification, the head of the organization originating the message is considered to be the classifier of the message. The last line of a classified message must show the date or event for declassification: DECL: 31 DEC 86 DECL: OADR A date is used for declassification when specified by the classification guide or when dates of ship movements or fleet exercises are used in the body of a message. For the latter, a date 90 days from the event cited in the message text and the last day of the month in which it falls is used. Messages not transmitted electronically (i.e., sent by mail or courier) must have the full markings required by paragraph 9-2 of reference (a). Messages containing Restricted Data or Formerly Restricted Data do not require an indication of downgrading or declassification; however, the originator's record copy shall indicate the basis of classification. c. Marking Parts of Documents. In some complex documents, the major parts of the document are likely to be used separately and, in such instances, each major part shall be marked as a separate document. Examples include: (1) Each annex. (2) Each appendix. (3) Similar parts of a plan or program. (4) Operations order. (5) Attachments and appendices to a memorandum or letter. (6) Each major part or chapter of a document. If an entire major component of a classified document is unclassified, the first page of the component may be marked at the top and bottom with the designation "unclassi- fied" and a statement included such as, "All portions of this (annex, appen- dix, attachment, etc.) are unclassified". When this method of marking is used, no additional markings are required on the component part. d. Part and Paragraph Marking (1) Each part, section, chapter, paragraph, or subparagraph of a clas- sified document shall be marked to show the level of classification, or that the part, section, chapter, paragraph, or subparagraph is unclassified. It is the intent of this requirement that a document and parts of a document be sufficiently well marked that any uncertainty as to which of its parts con- tains or reveals information which must be protected will be eliminated. Classification levels of parts of a document shall be shown by the appropriate classification symbol placed immediately following the letter or number of the 5-9 NOSCINST 5500.1A 22 August 1988 part or, in the absence of letters or numbers, immediately before the begin- ning of the part. The parenthetical symbols "(TS)" for Top Secret, "(S)" for Secret, "(C)" for Confidential, and "(U)" for unclassified, shall be used. When appropriate, the symbols "RD" for Restricted Data and "FRD" for Formerly Restricted Data shall be added, e.g., "(S-RD)" or "(C-FRD)". (2) Except in those cases where a source of intelligence would be revealed, parts, sections, chapters, paragraphs, or subparagraphs of United States documents containing foreign government information shall be marked to reflect the country or international organization of origin as well as the appropriate classification, e.g., "(NATO-S)" or "(U.K.-C)". (3) The classification of the text of the lead-in part of a subpara- graph will be indicated at the beginning of the text with the appropriate parenthetical symbol. The classification of subordinate parts or subpara- graphs shall be shown by the appropriate parenthetical symbol immediately following the letter or number of the part. In the absence of letters or numbers, classification shall be shown immediately before the beginning of the paragraph or subparagraph. For example: 1. (U) This is the lead-in which is unclassified. a. (C) This subparagraph is Confidential. (1) (S) This subparagraph is Secret. 2. (U) When a paragraph or subparagraph is unclassified, its subdivisions will be marked. NOTE: Classification marking for training purposes only. (4) If, in an exceptional situation, parenthetical part marking is determined to be impractical, the classified document shall contain a descrip- tion on its face sufficient to identify the exact information that is classi- fied and the classification levels assigned as defined in paragraph 9-2 of reference (a). e. Marking Illustrative Parts of Documents. Illustrations, photographs, figures, graphs, drawings, charts, tables, and similar parts of classified documents shall be marked to indicate their level of classification. The marking shall appear immediately beneath the part in unabbreviated form within parentheses. If a caption or subject is used, its classification shall be placed immediately preceding it, in abbreviated form. f. Classification Markings on Special Types of Material (1) General Provisions. The security classification, designation, downgrading (if any), and declassification instructions shall be conspicuously stamped, printed, written, painted, or affixed by means of a tag, gummed label, decal, or similar device on classified material other than documents and on their containers if possible. If the material or container cannot be marked, written notification of the security classification shall be furnished to the recipient. 5-10 NOSCINST 5500.1A 22 August 1988 (2) Charts, Maps, and Drawings. Charts, maps, and drawings shall bear the appropriate classification marking under the legend, title block, or scale, in such manner as to differentiate between the classification assigned to the document as a whole and any classification assigned to the legend or title itself. The higher of those markings shall be inscribed at the top and bottom of each document. When the customary method of folding or rolling charts, maps, or drawings would cover the classification markings, additional classification markings shall be placed so as to be clearly visible when the document is folded or rolled. (3) Photographs. Negatives and positives shall be marked with the appropriate classification markings and kept in containers bearing conspicuous classification markings. Roll negatives shall be marked at the beginning and end of each strip and single negatives marked with the appropriate classifica- tion. Caution must be exercised when using self-processing film or paper to photograph or reproduce classified material, since the negative of the last exposure may remain in the camera. All component parts of the last exposure shall be removed and destroyed as classified waste or the camera shall be protected as classified material. All prints, 8" x 10" or larger, shall be marked top and bottom on the reverse side with the appropriate classification, with the downgrading and declassification instructions at the bottom. The classification marking need be applied only once on smaller prints. The mark- ing shall appear on the face side whenever practical. In any case, at least the classification must be shown on the face side and may be affixed by pres- sure tape label or stapled strip if a stamp should not be used. All separate reproductions of the photograph will show the classification and declassifica- tion markings. (4) Transparencies, Viewgraphs, and Slides. Whenever possible, the applicable classification markings shall be shown clearly on the image of each transparency, viewgraph, or slide. If, in special circumstances, the classi- fication markings cannot be shown on the transparency, viewgraph, or slide, they shall be shown on its border, holder, or frame. When transparencies, viewgraphs, or slides are reproduced as a part of hard copy text material, abbreviated downgrading and declassification markings shall show below the classification marking on the image. (5) Motion Picture Films. Classified motion picture films shall be marked at the beginning and end of each reel by titles bearing the appropriate classification. Such markings shall be visible when projected on the screen. Reels shall be kept in containers bearing conspicuous classification and declassification markings. (6) Recordings. Recordings, sound or electronic, shall contain at the beginning and end a statement of the assigned classification which will pro- vide adequate assurance that any listener or receiver will know that clas- sified information of a specified level of classification is involved. Recordings shall be kept in containers or on reels that bear conspicuous clas- sification and declassification markings. (7) Microforms. Microforms are copies usually produced photograph- ically on transparent or opaque materials in sizes too small to be read without special display devices. The assigned security classification and 5-11 NOSCINST 5500.1A 22 August 1988 abbreviated declassification instructions shall be conspicuously marked on the microform medium so as to be read by the unaided eye. In addition, these security markings shall also be included on the image captured on the medium so that when the image is retrieved, enlarged, and displayed or printed, the security markings will be conspicuous and readable. Roll film microforms (or roll microfilm employing 16, 35, 70, or 105 mm films) shall be marked as pro- vided for motion picture film in paragraph 5f(5) above. Microfiche, microfilm strips, and microform chips shall be marked per this paragraph. (8) Decks of Accounting Machine Punched or Aperture Cards. A deck of classified accounting machine punched or aperture cards shall be marked as a single document. Only the first and last cards require classification mark- ings. A deck so marked shall be stored, transmitted, destroyed, and otherwise handled in the manner prescribed for other classified documents of the same classification. An additional card shall be added (or the job control card modified), however, to identify the contents of the deck (at least, the number of cards) and the highest classification involved. Alternatively, a manual log for decks undergoing frequent changes may be used. Cards removed for separate processing or use, and not immediately returned to the deck after processing or use, shall be protected to prevent compromise of any classified information they contain and, for this purpose, shall be marked individually as prescribed for an individual, ordinary document. (9) Electrical Machine and Automatic Data Processing Tapes. Electri- cal machine and automatic data processing (ADP) tapes and personal computer (PC) floppy disks shall bear external markings and internal notations suffi- cient to assure that any recipient of the tapes or of the classified informa- tion they contain, when reproduced by any medium, will know that classified information of a specific classification category is involved. Classification and classification guidance information shall appear on the front, and classi- fication information shall appear on the rear, of all tapes and floppy disks. (10) Documents Produced by ADP Equipment. At a minimum, the first page, and the front and back covers, if any, of documents produced by ADP equipment shall be marked as prescribed in paragraph 5b(6) of this chapter. Classification markings of interior pages may be applied by the ADP equipment or by other means. When the application by the ADP equipment of declassifica- tion instructions and other markings is not consistent with economic and effi- cient use of such equipment, such instructions and markings may be applied to a document produced by ADP equipment by superimposing upon the first page of such document a "Notice of Declassification Instructions and Other Associated Markings". Such notice shall include the date or event for declassification and all other such applicable markings. If individual pages of a document produced by ADP equipment are removed or reproduced for distribution to other users, each such page or group of pages shall be marked as prescribed in para- graph 5b(2) above or by superimposing on each such page or group of pages, a copy of any "Notice of Declassification Instructions and Other Associated Markings" applicable to such page or group of pages. 6. Downgrading/Declassification Markings a. Conversion of Old Markings. New material deriving its classification from a source document classified, or a security classification guide issued, before 1 August 1982, will be treated as follows: 5-12 NOSCINST 5500.1A 22 August 1988 (1) If a declassification date or event is specified, carry forward the date of event to the new material. (2) If a review for declassification date or an indeterminate declas- sification date or event is specified, mark the new material with the notation "Originating Agency's Determination Required" or "OADR". (3) Classified material will be downgraded or declassified when it is marked with an automatic downgrading or automatic declassification on a speci- fic date. The material need not be remarked. Any information extracted from this material will carry forward the downgrading/declassification date. (4) When the material does not carry a specific downgrading or declas- sification marking or instruction, it may not be downgraded or declassified without authorization of the originator. If this material is used for new material, use the notation noted in paragraph 6a(2) above. b. Standard Downgrading/Declassification Markings. Mark all classified material with the following standard marking: Classified by (See Note 1) Declassify on (See Note 2) Downgrade to (See Note 3) c. Use of FGI. Mark U.S. documents containing foreign government infor- mation (FGI) as follows: Classified by (See Note 4) Declassify on (See Note 5) NOTE 1: If original classification, insert identification of original classi- fication authority. If derivative classification, insert identity of the security classification guide, source document, or other authority for classi- fication. If more than one source is applicable, insert the words "Multiple Sources". NOTE 2: Insert the specific date or event certain to occur. If a specific date or event cannot be determined, then use the notation "Originating Agen- cy's Determination Required" or "OADR". When classification is derived from multiple sources, use the declassification date of longest duration applicable to any of the source material in the new material. If a specific date or event cannot be determined or a source document is marked as Review for Declassification, insert the notation "Originating Agency's Determination Required" or "OADR". NOTE 3: Use this marking only when downgrading is applicable. Insert "Secret" or "Confidential" and specific date or event, e.g., "Downgrade to Confidential on 6 July 1984". For messages, use abbreviation "S" or "C" to indicate the downgrading classification and give the specific date or event, e.g., "DG/C/6 JUN 83". 5-13 NOSCINST 5500.1A 22 August 1988 NOTE 4: Insert the identity of the foreign source documents, memorandum of understanding, or classification guide. NOTE 5: Insert the notation "Originating Agency's Determination Required" or "OADR". d. Unmarked Material. If classified material prepared after 1 August 1982 does not contain declassification instructions, refer it to the origina- tor for a declassification marking decision. e. Marking Guidance. Chapter 9 of reference (a) contains a comprehensive review of marking requirements. 7. Distribution Statements. Distribution statements are required on all technical information, classified or unclassified, by DOD Directive 5230.24, Distribution Statements on Technical Documents. NOSCINST 5600.3, Dissemina- tion Notices for Technical Documents, and NOSC Technical Document 841, Distri- bution Statements for Technical Publications, explain the use and rationale of these statements. 5-14 NOSCINST 5500.1A 22 August 1988 CHAPTER 6 HANDLING AND SAFEGUARDING SECRET AND CONFIDENTIAL MATERIAL 1. Responsibilities a. Head, Information and Personnel Security Group. The Head, Information and Personnel Security Group, Code 152, is responsible for: (1) Recommending policies, implementing approved procedures for the handling and safeguarding of classified material at all NOSC facilities, and indoctrinating Center personnel concerning the proper procedures for handling and safeguarding classified material. (2) Making periodic inspections of classified holdings throughout the Center, and of the Classified Material Control Centers (CMCC's), designated in paragraph 2 below, to ensure required procedures are being followed. b. Classified Material Control Centers. CMCC's are responsible for: (1) Maintaining central accountability of Secret material. (2) Delivering classified material to authorized Designated Delivery Points (DDP's) (classified mail stops) and authorized personnel throughout the Center. (3) Destroying classified material when such destruction has been authorized by a branch head or above. c. Department/Major Staff Office Heads. Department/major staff office heads are responsible for: (1) Ensuring that all classified material in the possession of person- nel in their respective organizations is safeguarded, and for ensuring that the required accountability of this material is established and maintained in accordance with the applicable security regulations. (2) Establishing DDP's and alternates within the organization. NOTE: Intermittent and temporary employees and personnel with Interim Secret clear- ances may not be designated as DDP's or alternates, nor may they be designated to sign for classified material. (3) Submitting a list of the DDP's and alternates in the organization to the Classified Material Control Center, Code 131. This list should include the names of the individuals who serve as DDP's and alternates; the building and room number where each DDP is located; and the telephone extensions of the DDP's and alternates. This list must be kept current at all times. Antici- pated changes should be submitted to Code 131 as soon as possible. (4) Ensuring that the annual inventory of Secret material is taken and that valid custodianship for these materials is maintained. 6-1 NOSCINST 5500.1A 22 August 1988 (5) Ensuring that procedures outlined in this and other chapters of this manual are followed. 2. Designation of Classified Material Control Centers a. The primary Classified Material Control Center (CMCC) is the Mail Room vault in Code 131. b. Other Center elements located outside San Diego, which receive Secret material directly from other commands, will serve and function as alternate CMCC's. They are designated as follows: (1) Code 005, Administrative Officer, Hawaii Laboratory. (2) Code 1302, NARDIC, Pasadena, CA. (3) Code 1303, NARDIC, Alexandria, VA. (4) Code 1304, Washington Liaison Office, Washington, DC. 3. Accountability System for Secret Material a. All Secret material held at this Center, except for working papers retained 90 days or less and COMSEC material, will be entered into the Cen- ter's automated Secret accountability system. Custodianship will be docu- mented by a signature receipt system and the accountable Secret material will be retrievable upon demand. b. Types of accountable Secret material include, but are not limited to: (1) Originals and copies of formal and informal documents. (2) Naval messages. (3) Photographic media including finished photographs, negatives, video tapes, and movies. (4) Computer storage media including floppy disks, tapes, and remov- able hard disks. (5) Presentation media including slides, viewgraphs, and transparen- cies. (6) Portable hardware. c. Working papers are defined as documents and materials accumulated or created while preparing finished material. Working papers must be dated when created and must be entered into the accountability system if retained more than 90 days. Materials cease to be working papers, even if less than 90 days old, when distributed outside the control and custodianship of the originating organization. When materials cease to be working papers, all required classi- fication markings must be evident on each page, at the beginning of each para- graph, and at the end of the title line. 6-2 NOSCINST 5500.1A 22 August 1988 d. Accountable Secret material will be entered into the automated Secret accountability system as soon as received from another command or activity and regardless of how it arrived (e.g., registered mail, handcarried, secure elec- trical/data transmission, or delivered under contract). e. If material originated at the Center is for immediate distribution off-Center, it does not need to be barcoded for internal accountability, tracking, and inventory purposes. However, if copies are retained on-Center, they will be barcoded and entered into the system. f. Assignment of Secret Material Accountability Numbers (1) Secret material received from other activities or originated by Center personnel will be assigned an accountability number by the receiving CMCC, listed below, except as noted in paragraph 3f(2) below: Location Prefix No. San Diego S-88 - 00001 Hawaii H - 001 Pasadena (NARDIC) P - 001 Alexandria (NARDIC) A - 001 Washington (NOSC W - 001 Liaison Office) (2) Secret material received and numbered before this manual was issued will retain the originally issued accountability numbers. However, this material must now be barcoded for accounting/inventory purposes. (3) The CMCC, Code 131, will use the last two digits of the current year as a prefix to the accountability number. The accountability number 00001 preceded by 88- was issued to the first document or material received or created at the Center in January 1988. In January 1989, the prefix 88- will be changed to 89- and the accountability numbering series continued. (4) The 90,000 series of accountability numbers has been assigned to Code 961 to be assigned to NOSC Secret publications (TR's, TD's, CR's, TN's, and TM's). g. Accountability Procedures (1) Receipt of New Material. When Secret material is received, Code 131 will enter the accountability data into the automated document system. A Secret Routing Sheet, form NOSC-SD 5511/68, and a Secret Cover Sheet (red on white), Standard Form 704, will be attached to each copy (unless the material will not reasonably lend itself to the attachment of these forms). (2) Initial Distribution. Computer-generated Secret Material Control System Transfer Slips will normally be attached to the material, and will accompany the material delivered by the classified mail messenger to the appropriate Designated Delivery Point (DDP). The messenger's delivery log and a transfer slip will be signed by the receiving DDP and returned to the CMCC by the messenger for data entry. Another transfer slip will be used by the 6-3 NOSCINST 5500.1A 22 August 1988 DDP to transfer custody of the material to an individual within the code who needs the material. It is recommended that DDP's and custodians keep a copy of transfer slips. Remember that the original transfer slip is sent by the transferring person to the CMCC to validate the custody transfer. When signed transfer slips are received in the CMCC, the transfer data will be entered into the CMCC data base, and the original slip will be retained by the CMCC to support proof of custodianship. (3) Delivery by Classified Mail Messenger. The DDP may request a classified mail messenger to transfer Secret material to a new DDP. The clas- sified mail messenger must sign a transfer slip, temporarily becoming the custodian of the Secret material while delivering it. (4) Cannibalized Material. If material is to be cannibalized, the custodian should submit documentation to Code 131 (providing the accountabil- ity number, copy number, and bar code number) explaining what is being done with the material. The custodian will prepare a Destruction Record, form 11ND NOSC 5511/18, indicating that the material has been cannibalized. The custo- dian will send the original and two copies of the Destruction Record to the CMCC, Code 131. The CMCC will enter the updated material status into the data base. (5) Downgrading and Declassification. If material is believed to be eligible for downgrading to Confidential or for declassification, the custo- dian will consult with Code 152. If the material can be downgraded or declas- sified, Code 152 will normally mark the front cover or first page, as required by reference (a) (OPNAVINST 5510.1G), and Code 152 will notify Code 131 that the material has been downgraded to Confidential or declassified. At this time, Code 131 will enter the changes in the data base. (6) External Transfer of Secret Material. When material is to be transferred to another activity, the custodian shall prepare a Document Trans- mittal and Receipt, form NOSC-SD 5216/27, indicating the method of transmittal to be used (Registered Mail or handcarrying); obtain the signature of a person who has "By direction" signature authority; and provide the material and a copy of the transmittal to the CMCC. If the material is to be mailed, the CMCC will send it by registered mail. If it is to be handcarried, the CMCC will double wrap it for the courier, and then the CMCC will enter the transfer into the data base showing the material has been transmitted to another activ- ity. If the Secret material is contained in the content of the outgoing cor- respondence, and is not simply material being forwarded by form NOSC-SD 5216/27, then the custodian must prepare a Record of Receipt, NOSC-SD 5511/67, to accompany the correspondence for acknowledgment, signature, and return by the designated receiving activity. If the signed receipt is not returned to the originating code within 20 days, the code will advise Code 152 and will begin tracer action. Classified material, including Secret material, may not pass through a foreign postal system. (7) Transfer to Federal Archives and Records Center. When material is to be transferred to the Federal Archives and Records Center, the custodian shall prepare Records Transmittal and Receipt, SF-135 and 135a, in accordance with reference (q) (NOSCINST 5211.2B), and a NOSC-SD form 5511/67 for each box, and then forward the material and the prepared forms to Code 132. Code 6-4 NOSCINST 5500.1A 22 August 1988 132 will provide copies of the completed SF-135 and 135a forms to the CMCC for the purpose of entering the transfers and changes into the data base. Addi- tionally, Code 132 will work with the CMCC or with Shipping and Receiving, as appropriate, to ensure that proper shipment is made in accordance with the requirements for Secret material. (8) Destruction of Secret Material. When Secret material is to be destroyed, the custodian shall prepare a Secret Material Destruction Record, form 11ND NOSC 5511/18, and present the material with the original and two copies of the form to the CMCC. The CMCC will sign for the material acknow- ledging receipt from the custodian; will witness proper destruction showing the material has been destroyed; and enter the changes into the data base. (9) Special Situations. Procedures for any situation not covered above should be discussed with the CMCC before taking action. 4. Originating Secret Material at NOSC. The following specific instructions apply when originating secret material at NOSC. a. Correspondence, Directives, Memorandums, and Other Media. Preparers of NOSC-originated Secret material in these categories will call the CMCC when preparation is begun advising the type of material, the title or subject of the material, and the number of copies to be made. Preparers must put an accountability number and a copy number on each copy, whether for off-Center or on-Center distribution. The CMCC will assign the accountability number. This can be done telephonically. During the preparation of such material, it normally may not leave the custody of the drafter and the preparer. After the final document has been approved and signed, a barcoding determination must be made. If the material, which has been prepared, is destined for immediate departure from the Center (e.g., it is for external use and is being mailed, handcarried, or shipped off-Center), the material does not need to be bar- coded. If some or all of the material will remain on-Center, the remaining material must be barcoded for internal inventory and tracking purposes. The Annual Secret Material Inventory, form NOSC-SD 5511/71, must be completed for each copy of the material and a duplicate bar code (white) attached to the form in the block indicated. The form must be sent to the CMCC for retention and establishment of the custodian accountability chain. Thereafter, any movement of the material will be handled in accordance with the system out- lined in this chapter. b. Working Papers. Secret working papers, as defined in paragraph 3c of this chapter and in appendix F to this manual, must be handled as outlined below. They must be: (1) Dated when created. (2) Marked on each page with the highest classification of any infor- mation they contain. (3) Protected in accordance with the classification assigned. (4) Forwarded to the CMCC for destruction when they have served their purpose. Normally, no destruction record is required; however, a destruction record may be made at the discretion of the originating code. 6-5 NOSCINST 5500.1A 22 August 1988 (5) Marked, accounted for, or controlled in the same manner prescribed for a finished Secret document when they are placed permanently in a file system and/or retained more than 90 days from date of origin. NOTE: All working papers shall bear appropriate classification markings and downgrad- ing/declassification instructions, per reference (a), when placed in the NOSC accountability system and/or when sent to another activity. Exceptions to this policy must specifically be approved by the Security Manager. Therefore, unless an exception is authorized, working papers are handled as finished material when transferred to another activity, and upon leaving NOSC custody. c. NOSC Formal and Informal Publications (1) Handling by the Originating Code. All material prepared for inclusion in a NOSC Secret formal (TR, TD, or TM) or informal (TN) publication will be considered working papers until the final printed copies are received from the printer. After approval of the manuscript by the originator's divi- sion head, the prepared material must be sent to the Information and Personnel Security Group, Code 152, for approval of the downgrading/declassification instructions. The material must then be delivered to the nearest office of the Technical Publications Branch, Code 961 (Bldg. 2 (Topside) or Bldg. 121 (Bayside)). The Code 961 DDP's signature will be obtained on a copy of Rout- ing and Approval - NOSC Publications, form NOSC-SD 5605/12. (2) Handling by the Technical Publications Branch (a) The Technical Publications Branch, Code 961 (Topside), must log the material and assign a publication number and an accountability number. Reminder: The Classified Material Control Center (CMCC) assigned the 90,000 series of accountability numbers to Code 961 for this purpose. (b) All printing of NOSC publications done by the Navy Publishing and Printing Service Branch Office, Point Loma, (NPPSBO Point Loma) requires a DOD Printing Requisition, DD Form 282. Duplicating to be accomplished by the NPPSBO requires a Reprographics Request, form NPPSO 11ND 5604/7C. A copy of the appropriate form, signed by a NPPS employee, must be retained by Code 961 until the material is returned. (c) Code 961 must prepare address labels and a Record of Receipt, form NOSC-SD 5511/67, for each copy of formal material to be distributed off- Center by NPPS. Return of these receipts by the addressees to Code 961 will relieve the Technical Publications Branch of accountability for off-Center copies. (NOTE: The originating code must take these actions for TN's.) (d) A copy number must be placed on each copy of a Secret publica- tion after reproduction. (e) The reproduction masters must be returned by the printer to Code 961 for retention. Code 961 will prepare a distribution list and attach it to the copies to be distributed. The CMCC will enter the material data in the official CMCC data base, print up six transfer slips per piece of material and barcode each piece. These copies will then be delivered to the approp- riate DDP by the classified mail messenger. 6-6 NOSCINST 5500.1A 22 August 1988 (3) Handling by the Navy Publishing and Printing Service (NPPS) (a) When NPPS prints the publication, NPPS will prepare the printed copies for off-Center distribution The CMCC will pick up the sealed packages and the U.S. Mail Registry List from NPPSO, signing a copy of the registry list as a receipt. The CMCC will deliver the sealed packages to the Post Office and have the postal clerk sign the registry list. (b) Code 961 will pick up all internal copies; sign a copy of the DOD Printing Requisition, DD Form 282; prepare the distribution list; and deliver all copies and the distribution list to the CMCC for distribution. (4) Viewgraphs, Slides, and Photographic Negatives. These items will be controlled as any other type of accountable Secret material. (5) Page Changes to Publications (TR's, TD's, TN's, TM's, etc.). When the CMCC receives Secret page changes to Secret Publications published by other commands, they will be delivered to the Library DDP (LDDP). The LDDP must sign for the registered package and record the receipt of the change. The LDDP is responsible for making the changes in the document. The LDDP will prepare a Record of Destruction, form 11ND NOSC 5511/18, and forward the superseded pages, via classified mail messenger, to the CMCC for destruction. The messenger must sign a copy of the Record of Destruction. Exception: Changes to NOSC publications will be made by Code 961. d. Marking. All materials will be marked per reference (a). Marking requirements and the application of markings vary depending on the kind of material. Basic markings, required for all classified material are: (1) For Originally Classified Material: (a) The identity of the original classification authority. (b) The agency or office of origin. (c) The overall classification. (d) The declassification date or event of the notation, "Originat- ing Agency's Determination Required" (OADR). (e) Any downgrading instructions. (2) For Derivatively Classified Material: (a) The source of classification (either a source document or classification guide) including its date when necessary for positive identi- fication. If you derive classification from more than one source, use the phrase "Multiple Sources". Keep a listing of the multiple sources with the file or record copy of a document or the related or accompanying documentation for other kinds of classified material. (The listing is not distributed with the material.) (b) The agency and office of origin. 6-7 NOSCINST 5500.1A 22 August 1988 (c) The overall classification. (d) The declassification date or event, or the notation, "Origi- nating Agency's Determination Required" (OADR). If you derive classification from multiple sources, carry forward the most remote date or event for declas- sification marked on any of the sources. OADR is the most restrictive declas- sification instruction. If any source has this notation, you must use it instead of a declassification date. (e) Any downgrading action required. 5. Reproduction of Secret Material a. Delegation of Authority. Authority to reproduce Secret material is delegated by the Commander, NOSC, as follows, or by cognizant authority as applicable: (1) Material originated by other DOD activities may be reproduced only by authorized individuals. (2) Material originated by non-DOD Government activities may be repro- duced only when authorized by the Commander, Code 00; the Head, Security Office, Code 15; or the Head, Information and Personnel Security Group, Code 152. (3) Material originated by foreign countries may be reproduced only when authorized by the Commander, Code 00; the Head, Security Office, Code 15; or the Head, Information and Personnel Security Group, Code 152. (4) Material originated by NOSC may be reproduced when authorized by the originating code or an authorized individual. b. Criteria for Reproduction (1) Reproduction is absolutely necessary. (2) Reproduction is done by a specifically authorized person who has been designated as such in writing. (3) Accountability is maintained in accordance with reference (a) and this manual and all material reproduced has the proper security and account- ability markings. (4) Only the minimum required number of copies is reproduced. NOTE: All authorized personnel should be thoroughly familiar with the provisions of articles 10-200 and 10-201 of reference (a) with particular emphasis on limit- ing the number of copies made and the hazards involved in the use of office copying machines. 6-8 NOSCINST 5500.1A 22 August 1988 c. Procedures (1) San Diego. At San Diego, reproduction of Secret material must be requested on Reprographics Request, form NPPSO-SD 5604/7C, prepared in tripli- cate and signed by competent authority as shown in paragraph 5a above. The custodian must obtain the signature of the NPPSBO employee on the file copy of form NPPSO-SD 5604/7C to record the transfer of custody. In this instance, the material does not have to be returned to the CMCC for transfer of custody. When the original and reproduced copies of the material are picked up, the NPPSBO employee must obtain the signature of the designated person who picks up the material on the NPPSBO copy of the form. The material must be handcar- ried to the NPPSBO Point Loma facility in Bldg. 1, Rm. B-119 (Bayside), or Bldg. 38 (Topside). Since certain types of material cannot be reproduced in the NPPSBO facility at Bayside, such material must be handcarried to the NPPSBO facility in Bldg. 38, Topside, for reproduction. (a) When reproduced copies are picked up from the NPPSBO Point Loma facility, and if they are not for immediate distribution off-Center, they must be barcoded per paragraph 4a above. Regardless of whether the copies are for on- or off-Center use, they must have an accountability number and the appropriate copy numbers, and all such action must be coordinated with the CMCC. (b) Reproduction of additional copies of NOSC publications MUST be done through Code 961 (Topside) for preparation of accountability records and assignment of copy numbers. (2) Other NOSC Facilities. At all other NOSC facilities, only Com- mander, NOSC, and the CMCC may normally authorize reproduction of Secret mate- rial. (3) Emergency Reproduction. In an extreme emergency, material may be reproduced on an office copying machine at any NOSC location, providing prior verbal approval is obtained from Commander, NOSC; Code 15 or 152 at San Diego; the Officer in Charge, Hawaii Laboratory, Code 005; or the Security/Safety Office - Hawaii, Code 0059. After the material has been reproduced, all cop- ies must be documented by the appropriate CMCC and signatures of DDP personnel obtained for locally retained copies. The custodian will prepare Records of Receipt, NOSC-SD 5511/67, when required for copies being sent to another NOSC area or off-Center. (4) Off-Center Reproduction. Any off-Center reproduction must have prior approval of the Head, Security Office, Code 15, or the Head, Information and Personnel Security Group, Code 152, and must be fully coordinated to docu- ment accountability and barcoding. 6. Dissemination of Secret Material a. Secret material may be disseminated to any NOSC employee who has been issued a Secret or higher clearance and whose duties require access to the information (need to know). 6-9 NOSCINST 5500.1A 22 August 1988 b. Secret material may also be disseminated to any visitor or contractor whose Secret or higher clearance is on file at NOSC and whose purpose in vis- iting NOSC establishes a need-to-know as defined in appendix F. c. Secret information may not be disseminated to foreign nationals unless the Foreign Disclosure Officer, Code 152, has received disclosure authority from the Navy Office of Technology Transfer and Security Assistance (NAVOTTSA) or from a project officer of an Information Exchange Project (IEP), Mutual Weapons Development Data Exchange Agreement (MWDDEA), or Memorandum of Under- standing (MOU). (See chapter 4 of this manual for guidance concerning foreign disclosure.) 7. Stowage of Secret Material. Secret material must be stowed in approved containers with a built-in three-position dial type combination lock or in a vault/strongroom with similar and auxiliary equipment approved for Secret storage. Access to the container containing Secret material must be limited to the custodian and not more than two alternates without obtaining special approval. The container file must be locked whenever the custodian or alter- nates are not present in the immediate area. 8. Inventory of Secret Material a. Schedule. Inventories of Secret holdings are conducted annually. Inventories are scheduled and announced by the Management Assistance Division, Code 13. b. Procedures. Inventory procedures are determined and publicized by Code 13. 9. Transmission of Secret Material a. Within a Facility. Transmission of Secret material within the facil- ity must be done by an appropriately cleared person with a clearly established need to know. Such transmission must ensure that the material is safeguarded, appropriately covered at all t