SURFACE WARFARE OFFICERS SCHOOL COMMAND
DEPARTMENT HEAD COMBAT SYSTEMS
NEWPORT, RHODE ISLAND
TITLE: SECRET/TOP SECRET CONTROL
(a) OPNAVINST 5510.1H
(b) OPNAVINST C5510.101D
(c) OPNAVINST 5239.1A
Shipboard security is by far your most important everyday concern as an Operations Officer. Security presents the biggest challenge to you day in an day out. It is your responsibility to ensure the proper safeguarding of information and equipment vital to our national defense. Your knowledge of Navy security systems is the cornerstone on which to build a sound and effective security program to achieve maximum protection of our national interests.
I. SECURITY AUDIT: (Reference (a) page 2C-1)
A. Highlights of the audit from a relieving perspective include ensuring the following:
1. Security Manager (must be the executive officer in lant fleet) has been designated.
2. Top Secret Control Officer (TSCO) has been designated.
3. Automated Data Processing (ADP) Security Officer has been designated.
4. Security Officer (may be the Security Manager) has been designated.
5. Written command security procedures have been promulgated.
6. An Emergency Action Plan (EAP) for protection of classified material has been prepared covering all classified material held by the command.
7. Review and inspection of the effectiveness of the command's security program. Does it work yet allow the command to perform it's mission?
II. SAFEGUARD, CONTROL AND DESTRUCTION:
A. SAFEGUARD: The responsibility of the handler of classified material. Cover sheets for material serve as a barrier against visual disclosure and a warning sign for detecting improper storage/handling.
1. Conduct security checks at the end of each day to ensure classified material is properly stowed. Use SF 701 and SF 702 and make certain:
a. All classified material is properly stowed.
b. Burn bags are properly stowed or destroyed.
c. Classified notes, carbons, typewriter ribbons and working papers have been properly stowed or destroyed.
d. Security containers have been locked by the responsible custodian.
e. Tailor the SF 701 to cover any other requirements (e.g. classified computer hard drive removed form system and placed in storage, all classified floppy disks secured in proper storage, etc.).
1. TOP SECRET
a. The TSCO is responsible for receiving, maintaining a "Cradle to grave" accountability register for, distributing and destroying TOP SECRET documents.
b. All TS documents originated or received by the command will be entered in the accountability register with a TS control number assigned. The accountability register must completely identify the document including changes, show number of copies and disposition of each copy. The accountability register must be retained for FIVE years after the document is transferred, downgraded or destroyed.
c. Each TS document must be serialized and the copy number indicated in the following manner:
"COPY NO. _____ OF _____ COPIES"
d. A TS document will contain a list of effective pages (LOEP) and a record of page checks. All TS documents will be page checked against the LOEP:
(1) On initial RECEIPT,
(2) After entry of a CHANGE involving page entry or removal, and
(3) Upon RELIEF of the TSCO or alternate.
e. TS documents will be physically sight inventoried and accounted for by examination of certificates of destruction, transfer receipts, etc., at lease once annually, but also should be inventoried on change of TSCO or alternate. A sight inventory should be conducted every time one opens and before closing and securing the TS container. An inventory may be conducted upon Change of Command at the discretion of the relieving CO.
f. Retention of TS documents should be kept to a minimum. For your allowance, contact your TYCOM TS registry.
g. TS documents will be accounted for by a continuous chain of receipt. Hand-to-hand transfer with signed receipt is required for internal distribution.
h. The TSCO will maintain a disclosure record for each TS document which will indicate:
(1) Document TITLE
(2) Document serial number
(3) Document copy number
(4) Document local control number
(5) The NAME of all individuals who have been afforded access to the document and the date of access. The record of Disclosure (OPNAV FORM 5511/13) will be retained for FIVE years after the document is transferred, downgraded, or destroyed.
a. Administrative procedures for control of SECRET material include records of material originated or received by the command; distributed or routed to components of or activities within the command; and, disposed of by transfer of custody or destruction. Records may use the following systems:
(1) Registered Mail Log
(2) Communications Log
(3) File or Route slip
(4) Serialized file
b. Records will be retained for at least TWO years from date of destruction, transfer, or downgrading of SECRET material.
c. Receipts are required when transferring SECRET material between commands. The registered mail receipt does not meet this requirement. The transferring command is responsible for the material until a signed receipt identifying the document is received from the receiving command.
d. Waivers of Secret accounting requirements are considered on request. Waivers of the requirement to record destruction of Secret messages may be approved by CNO (OP-09N), CINCPACFLT, CINCLANTFLT and U.S. Naval Forces Europe.
a. There is no requirement to maintain a record of receipt, distribution or disposition.
1. TOP SECRET
a. The record of destruction must be recorded on the CLASSIFIED MATERIAL DESTRUCTION REPORT form OPNAV 5511/12. The destruction must be witnessed and recorded by TWO personnel holding TS clearance. The record of destruction must be maintained on file for TWO years.
b. The record of disclosure (OPNAV 5511/13) must be maintained on file for FIVE years.
c. Strike the control number from the TS accounting record log by lining it out.
a. Destruction must be recorded and witnessed by two personnel holding SECRET clearance. Special destruction certificates are not required. The medium (log book) used to record receipt may also be used to record destruction.
III. LOSS, COMPROMISE, OR SUBJECTION TO COMPROMISE OF CLASSIFIED MATERIAL
A. Compromise is the disclosure of classified information to a person who is not authorized access.
B. A possible compromise occurs when some evidence exists that classified information has been subjected to unauthorized disclosure or, when considering the location and length of time classified information was not properly stowed or controlled, it is likely to have been exposed to a person not authorized access.
C. All losses and possible compromises must be reported immediately to the nearest Naval Investigative Service (NIS) Field Office when a preliminary inquiry is initiated.
D. When classified information has been lost, compromised or subjected to compromise, a preliminary inquiry will be conducted, after notification has been made to NIS. The results of the inquiry should be submitted in two to three days. The preliminary inquiry must:
1. Completely and accurately identify the information lost, compromised or subjected to compromise.
2. Determine the circumstances surrounding the incident.
3. Identify all witnesses to the violation and informally interview them to determine the extent of the violation.
4. Identify the individual responsible, if possible.
5. Make an attempt to discover the weaknesses in the security procedures.
6. Evaluate the information compromised in terms of possible damage to national security and the action necessary to minimize the effects of the damage.
7. Include a statement that the NIS field office has been advised and accepted or declined investigation responsibility.
8. Establish either:
a. Unauthorized disclosure of classified information did not occur or compromise may have occurred under conditions presenting minimal risk to national security; or
b. That compromise is confirmed and that probability of damage to national security cannot be discounted.
E. Incidents of an individual's failure to comply with the policies and procedures for safeguarding classified information will be evaluated to determine eligibility to hold a security clearance.
IV. NATO REQUIREMENTS
A. Requirements for handling, safeguarding, and destruction of NATO classified material are contained in OPNAVINST C5510.101D.
B. Safeguarding requirements for NATO classified material are the same as for US classified, with the exception that they must be stored separately from US classified information.
C. Destruction requirements for NATO classified material are the same as for U.S. with the exception of NATO COSMIC (the U.S. TOP SECRET equivalent) which must be authorized by the originator of the COSMIC material or authorized subregistry. Destruction of COSMIC must be reported to the appropriate subregistry as directed.