DEPARTMENT OF THE NAVY COMMANDER MILITARY SEALIFT COMMAND 914 CHARLES MORRIS CT SE WASHINGTON NAVY YARD DC 20398-5540 REFER TO: COMSCINST 3070.1B N3/5 17 March 2006 COMSC INSTRUCTION 3070.1B Subj: OPERATIONS SECURITY (OPSEC) PLAN Ref: (a) (b) (c) (e) (f) OPNAVINST 3432.1 DoD 5205.2, DoD Operations Security (OPSEC) Program DoD 5220.22-M, National Industrial Security Program Operating Manual Joint Pub 3-54, Joint Doctrine for Operations Security USTRANSCOM Policy Directive 10-4 National Security Decision Directive Number 298 (1) (2) (3) (4) Operations Security Guidance for Contractors Critical Information The OPSEC Process OPSEC Self-Survey Checklist (d) Encl: 1. Purpose. To update the Operations Security (OPSEC) plan for Military Sealift Command (MSC) in accordance with references (a) through (e). This instruction is a complete revision and should be read in its entirety. 2. Cancellation. COMSCINST 3070.1A 3. Scope. The provisions of this instruction apply to the MSC organization, world wide, including ships of the MSC Force. To ensure integrity of operations, Naval Fleet Auxiliary Force (NFAF), Special Mission ships, Propositioned ships and Strategic Sealift ships while under the operational control of other commands, will operate under the provisions of that Commander’s OPSEC Plan. 4. Policy a. MSC will conduct an aggressive OPSEC Program designed to improve mission effectiveness through the identification and elimination of potential OPSEC vulnerabilities. Reference (f), which established the National Operations Security Program, COMSCINST 3070.1B 17 March 2006 defines OPSEC as a systematic and proven process by which the U.S. Government and its supporting contractors can deny to potential adversaries information about capabilities and intentions by identifying, controlling, and protecting generally unclassified evidence of the planning and execution of sensitive Government activities. OPSEC is not a security function; it is an operations function. The practice of OPSEC prevents the inadvertent compromise of sensitive or classified activities, capabilities or intentions at the tactical, operational and strategic levels. In order to conduct an effective OPSEC Program, all assigned personnel and contractors must understand the concept of OPSEC and apply that knowledge and awareness in their day-to-day performance of assigned tasks. Therefore, it is essential that all military and civilian personnel receive appropriate OPSEC training. b. All MSC and contractor personnel will undergo OPSEC training in accordance with references (a) through (d) and enclosure (1). c. OPSEC measures will be employed at all times to protect Critical Information (CI). Enclosure (2) contains a list of Critical Information that may require protection depending upon the existing situation. d. All MSC commands shall appoint in writing a designated OPSEC Officer. For MSC Headquarters, the Current Operations Officer (N31) performs this function. 5. Process a. General (1) OPSEC planning is accomplished through the use of the OPSEC process. This process provides the information required to write the OPSEC section of any plan or order. OPSEC planning is done in close coordination with the overall Command and Control Warfare (C2W) components. (2) The OPSEC process consists of five distinct actions. These actions are applied in a sequential manner during OPSEC planning. In dynamic situations, however, individual actions may be revisited at any time. New information about the 2 COMSCINST 3070.1B 17 March 2006 adversary’s intelligence collection capabilities, for instance, would require new analysis of threats. (3) An understanding of the following terms is required before the process can be explained: b. Critical information: Specific facts about friendly intentions, capabilities and activities vitally needed by adversaries for them to plan and act effectively to guarantee failure or unacceptable consequences for friendly mission accomplishment. c. OPSEC indicators: Friendly detectable actions and opensource information that can be interpreted or pieced together by an adversary to derive critical information. d. OPSEC vulnerability: A condition in which friendly actions provide OPSEC indications that may be obtained and accurately evaluated by an adversary in time to provide a basis for effective adversary decision making. e. The OPSEC Process (1) OPSEC Action 1 - Identification of Critical Information (a) While assessing and comparing friendly versus adversary capabilities during the planning process for a specific operation or activity, the commander and staff seek to identify the questions that they believe the adversary will ask about friendly intentions, capabilities and activities. These questions are the Essential Elements of Friendly Information (EEFI). In an operation plan or order, the EEFI are listed in Appendix 3 (Counter-intelligence) to Annex B (Intelligence). (b) Critical information is a subset of EEFI. It is only that information that is vitally needed by an adversary. The identification of critical information is important in that it focuses the remainder of the OPSEC process on protecting vital information rather than attempting to protect all classified or sensitive information. (c) Critical information is listed in the OPSEC portion of an operation plan or order. 3 COMSCINST 3070.1B 17 March 2006 (2) OPSEC Action 2 - Analysis of Threats (a) This action involves the research and analysis of intelligence information, counterintelligence, reports and open source information to identify who the likely adversaries are to the planned operation. (b) The operations planners, working with the intelligence and counterintelligence staffs and assisted by the OPSEC program personnel, seek answers to the following questions: 1. Who is the adversary? (Who has the intent and capability to take action against the planned operation?) 2. What are the adversary’s goals? the adversary want to accomplish?) (What does 3. What is the adversary’s strategy for opposing the planned operation? (What actions might the adversary take?) 4. What critical information does the adversary already know about the operation? (What information is it too late to protect?) 5. What are the adversary’s intelligence collection capabilities? 6. Detailed information about the adversary’s intelligence collection capabilities can be obtained from the command’s counterintelligence and intelligence organizations. In addition to knowing about the adversary’s capabilities, it is important to understand how the intelligence system processes the information that it gathers. (3) OPSEC Action 3 - Analysis of Vulnerability (a) Vulnerability analysis identifies operation or activity OPSEC vulnerabilities. It requires examining each aspect of the planned operation to identify any OPSEC indicators that could reveal critical information and then comparing those indications with the adversary’s intelligence collection capabilities identified in the previous action. A vulnerability 4 COMSCINST 3070.1B 17 March 2006 exists when the adversary is capable of collecting an OPSEC indicator, correctly analyzing it and then taking timely action. (b) Continuing to work with the intelligence and counterintelligence staffs, the operations planners seek answers to the following questions: 1. What indicators (friendly actions and open source information) of critical information not known to the adversary will be created by the friendly activities that will result from the planned operation? 2. What indicators can the adversary actually collect? 3. What indicators will the adversary be able to use to the disadvantage of friendly forces? (Can the adversary analyze the information, make a decision and take appropriate action in time to interfere with the planned operation?) (4) OPSEC Action 4 - Assessment of Risk (a) Assessing risk has two components. First, planners analyze the OPSEC vulnerabilities identified in the previous action and identify possible OPSEC measures for each vulnerability. Second, specific OPSEC measures are selected for execution based upon a risk assessment done by the commander and staff. (b) OPSEC measures reduce the probability of the adversary either collecting the indicators or being able to correctly analyze their meaning. (c) OPSEC measures can be used to: 1. Prevent the adversary from detecting an 2. Provide an alternative analysis of an 3. Attack the adversary’s collection system. indicator. indicator. 5 COMSCINST 3070.1B 17 March 2006 (c) OPSEC measures include, among other actions, cover, concealment, camouflage, deception, intentional deviations from normal patterns and direct strikes against the adversary’s intelligence system. (d) More than one measure may be identified for each vulnerability. Conversely, a single measure may be used for more than one vulnerability. The most desirable OPSEC measures are those that combine the highest possible protection with the least impact on operational effectiveness. (e) Risk assessment requires comparing the estimated cost associated with implementing each possible OPSEC measure to the potential harmful effects on mission accomplishment resulting from an adversary’s exploitation of a particular vulnerability. (f) OPSEC measures usually entail some cost in time, resources, personnel or interference with normal operations. If the cost to mission effectiveness exceeds the harm that an adversary could inflict, then the application of the measure is inappropriate. The decision not to implement a particular OPSEC measure requires command involvement to evaluate level of risk. (g) Typical questions that might be asked when making this analysis include: 1. What risk to effectiveness is likely to occur if a particular OPSEC measure is implemented? 2. What risk to mission success is likely to occur if an OPSEC measure is not implemented? 3. What risk to mission success is likely if an OPSEC measure fails to be effective? (h) The interaction between OPSEC measures must be analyzed. In some situations, certain OPSEC measures may actually create indicators of critical information. For example, the camouflaging of previously unprotected facilities could be an indicator of preparations for military actions. (i) The selection of measures must be coordinated with the other components of C2W. Actions such as jamming of 6 COMSCINST 3070.1B 17 March 2006 intelligence nets or the physical destruction of critical intelligence centers can be used as OPSEC measures. Conversely, deception and Psychological Operations (PSYOP) plans may require that OPSEC measures not be applied to certain indicators in order to protect a certain message to the adversary. (5) OPSEC Action 5 - Application of Appropriate OPSEC Measures (a) In this step, the command implements the OPSEC measures selected in Step 4 or, in the case of planned future operations and activities, includes the measures in specific OPSEC plans. (b) During the execution of OPSEC measures, the reaction of adversaries to the measures is monitored to determine measure effectiveness and provide feedback. Planners use that feedback to adjust ongoing activities and for future OPSEC planning. Provisions for feedback must be coordinated with the command’s intelligence and counterintelligence staffs to ensure the requirements to support OPSEC receive the appropriate priority. In addition to intelligence sources providing feedback, OPSEC surveys can provide useful information relating to the success of OPSEC measures. 6. Responsibilities a. MSC commands will: (1) Appoint an OPSEC Officer from their Operations Directorate. (2) Conduct annual OPSEC plan reviews utilizing enclosure (4) as a guide. (3) Incorporate OPSEC into all operations and operational planning activities. (4) Provide OPSEC training to all personnel. (5) Provide copies of local OPSEC Instructions/Plans to COMSC (N31). b. MSC Sealift Logistics Commands (SEALOG Areas) will: 7 COMSCINST 3070.1B 17 March 2006 (1) Support OPSEC programs of their Unified Commanders. (2) Provide guidance to subordinate MSC units on OPSEC considerations during training evolutions that use methods, equipment or tactics that require special consideration. c. MSC Headquarters Program Managers/Functional Directors/Special Assistants will: (1) Appoint OPSEC Points of Contact (POC) and provide their names to the Headquarters OPSEC officer. 7. Action a. Each MSC SEALOG (Area) Commander will establish an OPSEC plan in accordance with reference (a) through (d) and as outlined in enclosure (4). A copy of plans will be provided to COMSC N31. b. In order to prevent duplication of effort, MSC SEALOG Area incorporation into the OPSEC plans of local commanders (e.g. Fleet X3) meets the requirements of this instruction. c. The COMSC Contracting Officer, MSFSC Contracting Officer and MSC SEALOG (Area) Contracting Officers will ensure OPSEC requirements are stated in requests for proposals (RFPs) and classified contracts in accordance with reference (d). The development and submission to the Contracting Officer of OPSEC requirements for inclusion in RFPs/contracts is the responsibility of the code originating the contractual requirement. Enclosure (1) discusses OPSEC measures required of DoD contractors. d. The COMSC Comptroller will program funds, as necessary, for the conduct of formal OPSEC surveys of MSC commands and operations. e. COMSC and MSC SEALOG (Areas) will conduct periodic OPSEC surveys of subordinate units, ashore and afloat. f. All newly assigned/employed military/civilian personnel will receive an OPSEC orientation briefing conducted by the appropriate MSC Security officer (MSCHQ/ SEALOG Area Command) within 60 days after reporting to duty at MSC. 8 COMSCINST 3070.1B 17 March 2006 g. All MSC personnel are required to complete annual OPSEC orientation/ familiarization in accordance with this instruction. The OPSEC Officer will provide/ arrange this training. h. MSFSC, SEALOG (Areas), Commanding Officers, Officers in Charge and Headquarters Program Managers/Functional Directors/Special Assistants will ensure compliance with the provisions of this instruction. //S// D. L. BREWER III Distribution: COMSCINST 5215.5 List I (Case A, B, C) SNDL 41B (MSC SEALOG(Areas)) 41C (NFAF East/West) 41D (MSC Offices) 41E (APMC) 41J (OICMILDEPTs) 41K (APSRON FOUR) 41L (COMPSRONs) 41M (MSC TAGOS Project Office & Det) T-100 (Masters, civil service manned ships) T-102 (Masters & Operators, Fast Sealift Ships) T-103 (Masters & Operators, TAGOS) T-104 (Masters & Operators, MPS) T-105 (Masters & Operators, LMSRs) T-106 (Masters & Operators, Prepo Ships) COMSFSC MSC Reserve Units MSC Reps All MSC Chartered Ships 9 COMSCINST 3070.1B 17 March 2006 This page intentionally left blank 10 COMSCINST 3070.1B 17 March 2006 OPERATIONS SECURITY GUIDANCE FOR CONTRACTORS 1. OPSEC measures are required of contractors when: a. Administrative, technical and physical actions they may execute incident to a classified contract may result in indicators in open sources of information and detectable activities, and b. Foreign intelligence collection against those open sources of information and detectable activities may result in foreign countries obtaining indicators that permit them to derive classified information. c. The existence of the above situation must be determined prior to issuance of requests for proposals (RFPs) or contracts. To accomplish this, an OPSEC estimate will be prepared (by the requestor with the assistance of that organization’s OPSEC Officer) when a requirement to issue an RFP or contract involving classified information is identified, with the exception of contracts that are limited to classified materials, such as: (1) Contracts to process or evaluate information and produce classified documents, pictures, computer programs, training materials and other similar matters. (2) Contracts for classified consultant services. (3) Contracts for library or ADP services related to classified materials. (4) Contracts for printing classified documents. d. Care must be taken not to confuse requirements for OPSEC measures with requirements for information, physical, communications or personnel security contained in reference (c). Industrial Security Manual measures are automatically required of all contractors executing classified contracts. e. A contract effort that requires the use of OPSEC measures may result in classification requirements additional to those of other contracts. These additional requirements may include such things as: (1) Indications of when and where activities will occur (such as tests) that can be targeted by foreign Enclosure (1) COMSCINST 3070.1B 17 March 2006 intelligence to obtain indicators that must be protected (collection opportunities). (2) The duration of a contract and indications of results (such as in ads, status reports and brochures). f. The existence of a contract, services involved and what is being developed in U.S. press releases, stock prospective, etc. g. Pictures indicating classified design features or approaches. h. The lettering of contracts and identity of subcontractors. 2. To ensure uniformity in the way OPSEC requirements are presented to industry, the following guidance shall be followed: a. Guidance will be appended to basic RFPs or contracts and labeled: “OPSEC Requirements.” b. OPSEC guidance will include: (1) activities. Critical Information pertinent to contractual (2) Essential secrecy to be maintained and statement of harm if adversaries derive accurate estimates. c. Specific OPSEC measures: (1) Controls over administrative actions in addition to those in the Industrial Security Manual to keep indicators from appearing in open sources of information. (2) Controls over technical and physical actions, in addition to encryption and TEMPEST (electronic security measures program), to keep indicators from appearing in detectable activities, such as electromagnetic or acoustic emissions and observable physical matters. (3) Covers or other deceptive methods to explain indicators that result from actions necessary to execute contracts. (4) Countermeasures against collection systems. Enclosure (1) 2 COMSCINST 3070.1B 17 March 2006 d. Requirements for an OPSEC plan for activities that will occur at contractor owned facilities. e. Requirements for coordinated DON-contractor OPSEC planning for activities that will occur at DON or other DOD facilities, indicating who is responsible for preparing plans. f. Support for DON in providing upon request, help to contractors preparing OPSEC plans and executing OPSEC measures, including multi-disciplinary counterintelligence threat information and OPSEC survey support. g. Specific OPSEC measures Defense Investigative Service should examine during periodic security investigations. The project security officer will inspect all contracts for contractor compliance. 3. Contractors shall provide all cleared employees with security training and briefings commensurate with their involvement with classified information. a. Contractors may obtain defensive security, threat awareness and other education and training information and material from the appropriate MSC Security Officer or other DoD sources. b. Prior to being granted access to classified information, an employee shall receive an initial security briefing that includes the following: (1) A threat awareness briefing; (2) A defensive security briefing; (3) An overview of the security classification (4) Employee reporting obligations and requirements; system; (5) Security procedures and duties applicable to the employee’s job. c. The contractor shall conduct periodic refresher briefings for all cleared employees. As a minimum, the refresher briefing shall reinforce the information provided during the initial briefing and inform employees of appropriate changes in security regulations. The use of audio/video Enclosure (1) 3 COMSCINST 3070.1B 17 March 2006 materials and issuance of written materials on a regular basis may satisfy this requirement. d. Contractors shall debrief cleared employees at the time of termination of employment (discharge, resignation or retirement) or when an employee’s security clearance is terminated, suspended or revoked. Enclosure (1) 4 COMSCINST 3070.1B 17 March 2006 CRITICAL INFORMATION 1. The following list of Critical Information (CI) is provided as a guideline in the development of specific Critical Information for a given operational activity. This list is not all inclusive and should be changed and updated whenever necessary. a. Information which reveals the specific capabilities or operational readiness of MSC Force ships. b. Information which reveals a weakness of a specific ship, activity, etc., which could represent a compromise of the ship or activity mission. c. Information regarding scheduling and routing of ships. d. Information that reveals manifest data or loading/discharge ports. e. Information that reveals security weakness within MSC or organizational activities. f. Information that reveals security classification of various projects, operation or exercises. g. Associations of a particular cover name or nickname with a classified project, operation or exercise. h. Information which reveals special requirements for specific duty which could indicate deployment location or mission, such as: (1) Special immunization requirements; (2) Specific language requirements; (3) Other than routine security procedures; (4) Additional survival or mobility training; (5) Special passport, visa and other foreign clearance requirements; and (6) Special or civilian clothing requirements. Enclosure (2) COMSCINST 3070.1B 17 March 2006 i. Information, which reveals a special ship operation. j. Effectiveness of MSC Command and Control Information System under stress; its vulnerabilities to countermeasures. k. MSC Command and Control Information System interfaces with other commands and its effectiveness. l. MSC Force size. m. MSC Force ships' ability to support U.S. Navy theater commanders during crisis/ hostilities. 2. The Critical Information should be used for the following purposes: a. To assist in assigning the proper classification to specific items and to provide guidelines for downgrading when appropriate. b. For guidance to staff agencies responsible for document, communications, electronic and physical security in their respective areas and for protecting mission sensitive data. c. By OPSEC officers to analyze the significance of each planned action and activity in the operational, intelligence, administrative, logistics, communications and maintenance areas. Enclosure (2) 2 COMSCINST 3070.1B 17 March 2006 The Sequential Operations Security (OPSEC) Process Identify Critical Information • Compare friendly versus adversary capabilities during the planning process for a specific operation or activity. • Identify the questions that they believe the adversary will ask about friendly intentions, capabilities and activities. Analyze threats • Research and analyze intelligence information, counterintelligence, reports and open source information to identify the likely adversaries to the planned operation. • Who is the adversary? • What are the adversary’s goals? • What is the adversary’s strategy for opposing the planned operation? • What critical information does the adversary already know about the operation? • What are the adversary’s intelligence collection capabilities? Analyze Areas of Vulnerability Assess Risk • Identify operation or activity OPSEC vulnerabilities. • Examine each aspect of the planned operation to identify any OPSEC indicators that could reveal critical information • Compare OPSEC indicators with the adversary’s intelligence collection capabilities. • Analyze the OPSEC vulnerabilities • Identify possible OPSEC measures for each vulnerability • Select specific OPSEC measures based upon a risk assessment done by the commander and staff. Does Vulnerability Exist? No • Vulnerability exists when the adversary is capable of collecting an OPSEC indicator, correctly analyzing it and then taking timely action. • What indicators (friendly actions and open source information) of critical information not known to the adversary will be created by the friendly activities that will result from the planned operation? • What indicators can the adversary actually collect? • What indicators will the adversary be able to use to the disadvantage of friendly forces? Yes Apply Appropriate OPSEC Measures • Implement the OPSEC measures selected in Step 4 Enclosure (3) COMSCINST 3070.1B 17 March 2006 This page intentionally left blank Enclosure (3) 2 COMSCINST 3070.1B 17 March 2006 OPSEC Self-Survey Checklist 1. Has a command or staff OPSEC officer been appointed in writing? a. Is the appointee from the command Plans or Operations department? With PRD greater then 6 months or relief identified under training? b. Are visual aids identifying the OPSEC officer and department representatives prominently displayed throughout the command? c. Are the command or staff agency OPSEC officer and department representatives aware of their responsibilities? d. Does the OPSEC officer attend and address OPSEC matters at command security awareness and education meetings? e. Has the command OPSEC officer attended or requested to attend the FCTCLANT/PAC OPSEC course or IOSS Program Managers’ Course? 2. Has the OPSEC officer established a continuity folder? a. Are current editions of all instructions, pamphlets, and directives (DOD 5205.2, JCS Pub 3-54, OPNAVINST 3432.1, OPNAVINST 3430.26) being maintained in support of the OPSEC program? b. Does the command have local directives which define command OPSEC program requirements, responsibilities, and procedures? 3. Does the commander actively advocate, support, and implement OPSEC options in support of the operational mission and exercises? a. Has the Commanding Officer signed an OPSEC policy letter supporting the program? b. Is the command Critical Information (CI) reviewed and approved by the Commanding Officer? c. Is the command Critical Information displayed near unclass communication systems? Enclosure (4) COMSCINST 3070.1B 17 March 2006 4. Does the command OPSEC program promote active participation and involvement of all personnel? a. command? Are OPSEC posters prominently displayed throughout the b. Are all avenues of media being utilized to promote OPSEC? (Internal LAN, site TV, POD, etc.) c. members? Are OPSEC education materials reaching all command d. Is the command CI list tailored to each functional activity? (1) Is the CI list specific, realistic, and current? (2) Are command or functional area CI lists easily accessible to command members? (3) Are command members familiar with command or functional area CI? (4) Is the CI list unclassified to allow for maximum dissemination? 5. Does the command OPSEC program include provisions for reviewing plans, operations orders (OPORD), and exercise scenarios? a. Is current (less then 12 months) potential adversary threat data maintained and considered in plans and exercises? b. Do command instructions, plans, doctrine or OPORDS, contain, as a minimum, the purpose and current definition of OPSEC, OPSEC Threat, and CI? 6. Are the interrelationships of OPSEC, communications security (COMSEC), computer security (COMPUSEC), physical security, and information security programs clearly understood by the OPSEC officer? 7. Has the command OPSEC officer coordinated with other command security managers (e.g., COM-SEC, Information Security, COMPUSEC), to incorporate OPSEC concepts and lessons learned into security training sessions? Has the OPSEC officer also coordinated with command Supply and PAO? Enclosure (4) 2 COMSCINST 3070.1B 17 March 2006 8. Has the command OPSEC officer established and maintained liaison with the staff or higher headquarters OPSEC Program Manager? 9. Is OPSEC training related to the command mission, tailored to individual duties and responsibilities, and presented to newly assigned personnel within 60 days after arrival for duty? 10. Does command OPSEC training contain the following: a. The OPSEC methodology? b. Duty related mission critical information and OPSEC indicators? c. Foreign intelligence threat to the unit mission? d. Individual responsibilities? 11. Has the OPSEC officer reviewed command OPSEC plan/instruction annually, and if required submitted an annual OPSEC Status Report to their respective staff? 12. Has an OPSEC survey or appraisal been conducted? (min once every 2 years) a. If yes: (1) When? (2) Are the results easily accessible? (3) Have results been addressed through unit awareness programs? (4) Has unit mission or CI changed significantly to warrant a new survey? b. If yes, has one been scheduled or requested? 13. Have actions been taken to act on recommendations or to correct weaknesses and deficiencies noted in the OPSEC survey? 14. Are all OPSEC recurring publications (e.g., the OPSEC update, COMSEC quarterly analyses, etc.) reviewed for OPSEC lessons learned? Enclosure (4) 3 COMSCINST 3070.1B 17 March 2006 15. Do official and unofficial feedback publications such as command newsletters and web sites contain sensitive or classified information? If so, are they protected? 16. Who reviews them for OPSEC compliance? 17. Has a WEB Risk Assessment been conducted on command’s WEB site? If yes when? 18. Do indexes for directives and operating instructions reveal sensitive operations or functions? 19. Do unclassified computer products disclose sensitive mission activity? 20. Is the OPSEC officer on distribution for telecommunications monitoring (JCMA) reports involving their command? Enclosure (4) 4