2201.3B

7/28/2019 2201.3B

1/10

DEPARTMENT OF THE NAVYOFFICE OF THE CHIEF OF NAVAL OPERATIONS2000 NAVY PENTAGONWASHINGTON, DC 203502000

OPNAVINST 2201.3BN614 Apr 09

OPNAV INSTRUCTION 2201.3BFrom: Chief o f Naval Operat ionsSubj: COMMUNICATIONS SECURITY MONITORING OF NAVYTELECOMMUNICATIONS AND INFORMATION TECHNOLOGY SYSTEMSRef: (a) NTISSD No. 600 of 10 Apr 90 (NOTAL)

(b) DoD Ins t ruc t ion 8523.01 of 22 Apr 08(c) DoD Ins t ruc t ion 8560.01 of 09 Oct 07

Encl : (1 ) COMSEC Monitoring Terms and Def in i t ions(2) Procedures fo r COMSEC Monitoring o fTelecommunications and IT Systems

1. Purpose. To i s sue genera l po l icy and procedures governingCommunications Secur i ty (COMSEC) monitor ing within the Navy.This i n s t ruc t ion has been adminis t ra t ive ly r ev i sed and should bereviewed in i t s en t i r e t y .2. Cancel la t ion . OPNAVINST 2201.3A.3. Appl ica t ion . The prov i s ions o f t h i s i n s t ruc t ion apply toa l l Navy commands and components .4. Scope

a . This i n s t ruc t ion es tab l i shes au thor i ty fo r implementingCOMSEC monitor ing in th e Navy and addresses r e spons i b i l i t i e snecessary fo r compliance with references (a) , (b) , and (c) .Spec i f i ca l ly , t h i s i n s t ruc t ion governs monitor ing of Navyorgan iza t iona l and persona l communications equipment, te lephone,and Informat ion Technology (IT) systems equipment .

b. This i n s t ruc t ion does not per ta in to :(1 ) Systems adminis t ra t ion/management func t ions toensure proper i n s t a l l a t i on , i n t eg ra t ion and func t ioning ofequipment and systems, inc luding l oca l secur i ty devices andsystems.

7/28/2019 2201.3B

2/10

OPNAVINST 2201.3B14 Apr 09(2) Signa ls i n t e l l igence , Foreign In te l l igence (FI) and

Counter in te l l igence (CI) co l l ec t ion a c t i v i t i e s .(3) In te rcep t ion of communications fo r law enforcementpurposes .

5. Pol icya . The Navy w i l l conduct, and al low o th e r non-Navy

organ iza t ions to conduct , COMSEC monitor ing a c t i v i t i e s only asnecessary to determine th e degree of secur i ty provided tote lecommunicat ions and IT systems and a id in counte r ing t h e i rvu lne ra b i l i t y to i n t e rcep t ion , t echn ica l exp lo i t a t ion , th e humani n t e l l i ge nc e t h r e a t , and o ther dimensions o f the FI t h r e a t .Such a c t i v i t i e s s h a l l be conducted in s t r i c t compliance withlaw, Executive orde rs , appl icable Pres iden t i a l d i r e c t ive s , andr e fe rences (a) through (c) . Only author ized personnel assignedto Navy Informat ion Operat ions Command Norfolk , Navy CyberDefense Operat ions Command, or o ther commands author ized byCommander, Navy Network Warfare Command (COMNAVNETWARCOM), asth e Navy's des igna ted se rv ice c ryp to log ic element , w i l l conducta c t i v i t i e s such as red/b lue team opera t ions o r o th e r a c t i v i t i e st h a t would c ons t i t u t e COMSEC monitor ing under the auspices ofthe cu r ren t de f in i t i on . The Direc to r , Nat iona l Secur i ty Agency(DIRNSA) under the au thor i ty , d i rec t ion , and con t ro l of theUnder Secre ta ry of Defense fo r In te l l igence se rves as th eDepartment o f Defense (DoD) foca l po in t fo r COMSEC moni tor ing .DIRNSA prov ides COMSEC monitor ing se rv ices to the Navy throughthe J o i n t COMSEC Monitor ing Act iv i ty (JCMA), when reques ted , inaccordance with re fe rence (a ) . When COMSEC moni tor ing i sreques ted by a non-Navy en t i t y fo r which Navy i s the execut iveagen t (e .g . , Pac i f i c Command, Secre ta ry o f th e Navy (SECNAV,moni tor ing se rv ices a re provided to th e non-Navy en t i t y throughthe JCMA.

b. The proh ib i t ions of paragraphs 14, 15, 17, 18, 22, and23 of reference (a) se t fo r th c e r t a in r e s t r i c t i ons andproh ib i t ions on moni tor ing a c t i v i t i e s . These apply to NavyCOMSEC moni tor ing a c t i v i t i e s covered by t h i s i n s t ruc t ion ,s pe c i f i c a l l y :

(1 ) Government telecommunications systems are sub jec t toCOMSEC moni tor ing by duly author ized government e n t i t i e s ;

2

7/28/2019 2201.3B

3/10

OPNAVINST 2201.3B14 Apr 09

(2) Users of these systems must be proper ly no t i f i e d inadvance t h a t t h e i r use of these systems c ons t i t u t e s consent tomonitor ing fo r COMSEC purposes ;

(3 ) The Government w i l l no t monitor systems which a reowned or leased by government con t rac to r s without f i r s tobta in ing approval o f the company ch i e f execu t ive o f f i c e r andno t i fy ing employees;

(4 ) The Government s ha l l not monitor , fo r COMSECpurposes , the content o f any te lecommunicat ions when suchmonitor ing would c ons t i t u t e e lec t ron ic su rve i l l ance ;(5 ) The r e su l t s of COMSEC monitor ing s h a l l n ot be usedto produce FI o r CI;(6 ) No se rv ice department o r government agency maymoni tor the telecommunication of ano ther department o r agency

fo r COMSEC purposes withou t th e approval of the department o ragency to be monitored;(7 ) No i nc iden ta l ly acqui red nonpubl ic communication maybe monitored beyond a po in t a t which a de te rmina t ion can

reasonably be made t ha t it i s nonpubl ic ; and(8 ) Contents of any nonpubl ic communication may not be

de l ibe r a t e ly acqui red as p a r t o f a procedure fo r loca t ing ,i den t i fy ing , or monitor ing a government communication.

c . In accordance with procedures approved by the AttorneyGeneral of th e United Sta tes , informat ion acqui red i nc ide n ta l l yfrom government telecommunications dur ing th e course ofau thor i zed COMSEC monitor ing which r e l a t e s d i r ec t l y to as i g n i f i c a n t crime w i l l be r e f e r r e d t o th e m i l i t a ry commander o rlaw enforcement agency having appropr ia te j u r i sd i c t i on . For thepurpose of t h i s i n s t ru c t i o n , a crime s h a l l be cons idered" s i g n i f i c a n t " i f it i s a Umajor cr imina l offense" as def ined bySECNAVINST 5430.107. When t ak ing such ac t ion , the GeneralCounsel of the Navy w i l l be no t i f i e d promptly . The r e su l t s o fCOMSEC moni tor ing may not be used in a cr imina l prosecut ionwithou t p r i o r consu l ta t ion with the General Counsel of the Navy.

3

7/28/2019 2201.3B

4/10


d. COMSEC monitor ing s ha l l be author ized only:(1 ) When th e Genera l Counsel of the Navy has determined

t h a t s u f f i c i e n t no t ice has been given to Navy user s . I f theb ienn ia l w r i t t e n de te rmina t ion made by the General Counsel ofth e Navy has l apsed and an emergent need to conduct COMSECmoni tor ing i s i de n t i f i e d , an echelon I I commander's judgeadvocate o r genera l counsel can provide a wri t t en no t i f i ca t i onof such de te rmina t ion fo r the d i s t i n c t and emergent COMSECmoni tor ing even t ;

(2 ) When it w i l l a id in pro tec t ing n a t io n a l s e c ur i t y asdescr ibed in subparagraph Sa; and

(3 ) When t he pe r iod of monitor ing i s fo r 1 yea r o r l e s s .e. This ins t ruc t ion combines with per iod ic no t ices andreminders ( i ssued by an A ll Navy Message (ALNAV)) to se rve as

no t i f i ca t i on o f Navy i n t e n t to monitor o f f i c i a l communicationsof Navy commands and s t a f f . Not i f i ca t ion of spec i f ic COMSECmoni tor ing opera t ions i s not requ i red .

f . Navy COMSEC monitor ing a c t i v i t i e s s ha l l be cons i s t en twith paragraphs 20 and 25 through 30 of re fe rence (a ) withr espec t to moni tor ing procedures ; acqu i s i t ion , re t en t ion ands to rage procedures ; dissemina t ion procedures; and safeguard ingof moni tor ing equipment .6. Respons ib i l i t i e s

a . The Chief o f Naval Operat ions (CNO) w i l l :(1) Advise the General Counsel of the Navy o f the

ac t ions taken within the Navy to no t i fy use rs o f o f f i c i a l DoDte lecommunicat ions systems and IT systems t ha t such systems a resub jec t to COMSEC monitor ing a t a l l t imes and t h a t use o f suchsystems c ons t i t u t e s consent to COMSEC moni tor ing .

(2) Approve i n s t ru c t i o n s and procedures fo r the p roperconduct o f COMSEC moni tor ing within the Navy.b . Flee t Commanders (FLTCDR) w i l l :

4

7/28/2019 2201.3B

5/10


(1 ) Approve COMSEC monitor ing reques t s and d i r e c t COMSECmonitor ing ope ra t ions fo r Navy commands under t h e i r opera t iona lo r admin is t r a t ive con t ro l . Navy commands not under con t ro l o f aFLTCDR w i l l reques t COMSEC monitor ing opera t ions fromCOMNAVNETWARCOM.

(2) Provide no t ice to COMNAVNETWARCOM by 1 Ju ly of evennumbered yea rs t h a t each of the commands under t h e i r opera t iona lo r admin is t r a t ive con t ro l have complied with th e requirement tono t i fy user s o f o f f i c i a l DoD telecommunications systems and ITsystems t ha t such systems are sub jec t to COMSEC monitor ing a ta l l t imes and t ha t use o f such systems c ons t i t u t e s consent toCOMSEC moni tor ing . Navy commands not under con t ro l o f a FLTCDRw i l l no t i f y t h e i r echelon I I commander of the same compliance,and those echelon I I commanders w i l l provide no t i ce toCOMNETWARCOM by 1 July of even-numbered year s .

c . COMNAVNETWARCOM w i l l :(1 ) Approve sp e c i f i c COMSEC monitor ing ope ra t ions fo r

commands ou ts ide a FLTCDR opera t iona l cha in .(2 ) Compile th e informat ion suppl ied in accordance withsubparagraph 6b(2) above and forward to the CNO fo r use in

advis ing th e General Counsel o f the Navy's compliance with th eno t i f i ca t i on and consent requi rements .

(3 ) Provide CNO advice and ass i s t ance on th e conduct o fCOMSEC moni tor ing a c t i v i t i e s and procurement o f COMSECmoni tor ing equipment fo r use by Navy commands.

(4 ) Conduct l i a i s on with the National Secur i ty Agencyand JCMA to ensure Navy compliance with n a t io n a l COMSECmoni tor ing d i r e c t ive s .

, (5 ) Ensure personne l are proper ly t ra ined fo r th econduct of COMSEC monitor ing a c t i v i t i e s conducted by Navya c t i v i t i e s l i s t e d in subparagraph 5a above.

(6 ) Act as the c e r t i f y ing au thor i ty fo r a l l Navypersonnel and commands conduct ing COMSEC moni tor ing .

(7) Oversee t r a i n i n g and provide the requiredc e r t i f i c a t i o n s fo r a l l Navy commands des igna ted to conduct

5

7/28/2019 2201.3B

6/10


COMSEC moni tor ing . COMSEC moni tor ing may be under taken only fo rth e purposes enumerated in paragraph 20 of reference (a) .7. Records Management. Records crea ted as a r e s u l t of t h i si n s t ru c t i o n , regardless o f media and format , s ha l l be managed inaccordance with SECNAV Manual 5210.1 .8. Def in i t ions and Procedures . Enclosures (1) and (2) provided e f i n i t i o n s of COMSEC monitor ing terms and procedures fo rconduct ing COMSEC monitor ing o f te lephones , facs imile machines,c e l l u l a r te lephones , organ iza t iona l and persona l communicationsequipment , and IT systems equipment . c.9. Form. DD 2056 (5/00) , Telephone Monitoring Not i f i ca t ionDecal, i s ava i lab le on Naval Forms OnLineht tps :/ / nava lfo rms .daps .d l a .mi l /web /pub l i c /hom e .

Example: "DO NOT DISCUSS CLASSIFIED INFORMATION.THIS TELEPHONE IS SUBJECT TO MONITORINGAT ALL TIMES. USE OF THIS TELEPHONECONSTITUTES CONSENT TO

Vice Admiral , U.S. NavyDeputy Chief of Naval Operat ions(Communication Networks) (N6)Dis t r ibu t ion :Elect ronic only, v ia Department of the Navy Issuances Web s i t eh t tp : / / don i .da ps .d l a .m i l

MONITORING".

H ~ R I S ' JR.

6

7/28/2019 2201.3B

7/10

OPNAVINST 2201.3B14 Apr 09COMSEC MONITORING TERMS AND DEFINITIONS

1. Informat ion Technology (IT) Systems. Any equipment o rin te rconnec ted systems o r subsystems of equipment, i nc lud ingcomputer sof tware , f i rmware, and hardware, t h a t a re used in th eautomated acqu i s i t ion , s to rage , manipula t ion , management,movement, con t ro l , di sp lay , swi tch ing , in te rchange ,t ransmiss ion , o r recep t ion o f d a t a .2. COMSEC (Communications Secur i ty ) . P ro tec t ive measure t akento deny unau thor ized persons informat ion der ived fromte lecommunicat ions of the u .S . Government re la ted to na t iona ls e c ur i t y and to ensure the a u t h e n t i c i t y o f such communicat ions.Such pro tec t ion r e su l t s from th e app l ica t ion o f secur i tymeasures ( inc luding crypto secur i ty , t ransmiss ion secur i ty ,emiss ions se c u r i t y , password management and f i l e pro tec t ion) tote lecommunicat ions systems and IT systems which genera te ,handle , process , s t o re , o r use c l a s s i f i ed o r s e ns i t i vegovernment o r government-der ived in format ion , th e l o ss o f whichcou ld adverse ly a f f e c t th e na t iona l se c u r i t y i n t e r e s t . It a l soinc ludes the app l ica t ion o f phys ica l se c u r i t y measures to COMSECin fo rmat ion o r ma te r i a l s .3. COMSEC Monitor ing . The a c t of l i s t e n ing to , copying, o rrecording t ransmiss ions and da ta process ing o f one ' s owno f f i c i a l te lecommunicat ions and IT systems to provide mate r i a lfo r ana lys i s in order to determine th e degree of s e c ur i t y beingprovided to those t ransmiss ion and da ta processes . For th epurpose of t h i s i n s t ru c t i o n , COMSEC monitor ing inc ludes a l la c t i v i t i e s involving remote access to IT systems by non- loca lsystem admin is t r a to r s to inc lude , bu t not l imi ted to , on- l inesurveys , red team opera t ions , and naval computer i n c id en tresponse team du t i es .4. Elec t ron ic Surve i l l ance . The acqu i s i t ion of the con ten t s o fa nonpublic communication by e lec t ron ic means without th econsent o f a person who i s a par ty to the communication, but no tinc luding the use o f radio d i rec t ion - f ind ing equipment so l e l y todetermine the loca t ion o f a t ransmi t t e r .5. Telecommunicat ions. The t ransmiss ion , communication, o rprocess ing o f in format ion , inc luding the prepara t ion o f such

Enclosure (1 )

7/28/2019 2201.3B

8/10


in format ion by e lec t r i ca l , electromagnet ic , e lectromechanical ,o r e l e c t ro -op t i c a l means.6. Telecommunicat ions Systems. The in te rconnec ted devices usedto t ransmit and/or receive communications or processte lecommunicat ions; th e devices may be e l e c t r i c a l ,e lec t romagne t ic , elec t romechanical , o r e l e c t ro -op t i c a l .7. Telephone Monitoring. That por t ion of COMSEC monitor ingwhich dea l s spec i f i ca l l y with t e lephones .8. Organiza t iona l Communications Equipment. A ll unc lass i f iedgovernment equipment patched through the Naval Computer andTelecommunicat ions Area Master Sta t ion (NCTAMS).9. Personal Communications Equipment. A ll unc lass i f iedgovernment equipment patched through the NCTAMS.

2 Enclosure (1)

7/28/2019 2201.3B

9/10


PROCEDURES FOR COMSEC MONITORING OF TELECOMMUNICATIONSAND IT SYSTEMS

1 . Requesta . Ind iv idua l commands/commanders submit reques t s fo rconduct o f COMSEC monitor ing o f Navy te lecommunicat ions and IT

systems v ia t h e i r opera t iona l cha in o f command to th eappropr ia te FLTCDR.

b . Navy echelon I I commanders o r commanders out s ide FLTCDRcha in o f command may submit reques ts fo r conduct of COMSECmoni tor ing o f t h e i r own or subord ina te s ' Department o f th e Navyte lecommunicat ions systems and IT systems to COMNAVNETWARCOM.2. Not i f i ca t ion . Commanding of f i ce r s / un i t commanders a rere spons ib l e fo r ensuring th e fol lowing no t i f i c a t i on i s providedto t h e i r subord ina te s . Such no t i f i c a t i on , i n add i t ion to t h i si n s t ruc t ion , c ons t i t u t e s s u f f i c i e n t no t i f i ca t i on to conductCOMSEC monitor ing ope ra t ions .

a . Users o f o f f i c i a l DoD telecommunications systems and ITsystems s h a l l be no t i f i e d tha t discuss ion/ t ransmiss ion ofc la s s i f i ed in fo rmat ion over non-secure c i r c u i t s i s proh ib i ted ;t ha t o f f i c i a l DoD telecommunications systems and IT systems ares u b j ec t to COMSEC monitor ing a t a l l t imes; and t ha t use of suchtelecommunicat ions systems and IT systems c ons t i t u t e s consent toCOMSEC moni tor ing . Addi t iona l ly , the above informat ion must beinc luded in o r i e n t a t i o n br i e f ings .

)

b . Proper no t i f i c a t i on should a l so inc lude quar t e r lyn o t i ce s in th e da i ly bu l l e t i n o r Plan of the Day, spec i f icmemoranda to user s , pe r iod ic t ra in ing programs, and a s ta tementin th e s tanding opera t ing procedures , communica t ions-e lec t ronicsope ra t ing i n s t ru c t i o n s , o r s imi la r documents .

c . Al l non-secure telecommunications dev ices w i l l havedeca l s (DD 2056) a t tached to th e lower f ron t por t ion .

d. A ll o f f i c i a l Navy non-secure te lecommunicat ions dev icesw i l l have t h i s informat ion prominently displayed on t h e i r coversin th e fo l lowing format :

Enclosure (2)

7/28/2019 2201.3B

10/10


"DO NOT DISCUSS CLASSIFIED INFORMATION - THIS TELEPHONE ISSUBJECT TO MONITORING AT ALL TIMES. USE OF THIS TELEPHONECONSTITUTES CONSENT TO MONITORING." DoD t e lephones a re providedfo r the t ransmiss ion o f o f f i c i a l government in fo rmat ion and a res u b j ec t to communications secur i ty monitoring a t a l l t imes . Useo f o f f i c i a l DoD te lephones c o n s t i t u t e s consen t to communicationss e c ur i t y te lephone monitoring in accordance with re fe rence (a) .

e . A ll o f f i c i a l Navy IT systems a re requ i red to d i s p l ay th el ega l ly approved logon warning banner as def ined in DoDMemorandum o f 9 May 2008, "Pol icy on Use of Department o fDefense (DoD) Informat ion Systems - Standard Consent Banner andUser Agreement," which a l so se rves to provide n o t i f i c a t i o n o f ,and consen t to , COMSEC moni to r ing .

2 Enclosure (2)

Date post:	03-Apr-2018
Category:	Documents
Upload:	dorinkarakoglu
View:	215 times
Download:	0 times

2201.3B

Documents