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NONRESIDENTTRAININGCOURSE

Introduction to theDepartment of the NavyInformation and PersonnelSecurity ProgramNAVEDTRA 14210

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PREFACE

About this course:

This is a self-study course. By studying this course, you can improve your professional/military knowledge,as well as prepare for the Navywide advancement-in-rate examination. It contains subject matter about day-to-day occupational knowledge and skill requirements and includes text, tables, and illustrations to help youunderstand the information. An additional important feature of this course is its references to usefulinformation to be found in other publications. The well-prepared Sailor will take the time to look up theadditional information.

Text: The texts for this course, Department of the Navy (DON) Personnel Security Program (PSP)Regulation, SECNAVINST 5510.30A, (Assignments 1-5), and Department of the Navy (DON) InformationSecurity Program (ISP) Regulation, SECNAVINST 5510.36, (Assignments 6-11), are not supplied andmust be obtained by the student. Available at: http://doni.daps.dla.mil .

History of the course:

2000: Original edition released.Apr 2003: Admin update released.

1

ASSIGNMENT 1Textbook Assignment: Department of the Navy Personnel Security Program Regulation, SECNAVINST

5510.30A, "Basic Program Policy and Authorities," chapter 1, pages 1-1 through1-8; "Command Security Management," chapter 2, pages 2-1 through 2-7;"Counterintelligence Matters," chapter 3, pages 3-1 through 3-3; "SecurityEducation," chapter 4, pages 4-1 through 4A-1; and “National Security Positions,”chapter 5, pages 5-1 through 5A-1.

LEARNING OBJECTIVE: Describe the NavyPersonnel Security Program policy and identifyresponsibilities of designated authorities.

1-1. Which of the following is a purpose forestablishing the Navy Personnel SecurityProgram?

1. To authorize initial and continuedaccess to classified information

2. To authorize initial and continuedassignment to sensitive duties

3. To ensure that no final unfavorablepersonnel security determination willbe made without compliance with allprocedural requirements

4. All of the above

1-2. For the Department of the Navy, who isultimately responsible for ensuring thatthere is an effective Personnel SecurityProgram and that it complies with alldirectives issued by higher authority?

1. Secretary of Defense2. Secretary of the Navy3. Chief of Naval Operations4. Director of Naval Intelligence

1-3. Which of the following NationalAuthorities for Security Matters isresponsible for oversight andimplementation of E.O. 10450 whichprescribes security requirements forfederal government employment?

1. Attorney General of the United States2. Secretary of the Navy3. Federal Bureau of Investigation4. Office of Personnel Management

1-4. Which Department of Defense agencyconducts personnel security investigationsfor the DoD and also administers theNational Industrial Security Program?

1. National Security Agency2. Defense Security Service3. Security Research Center4. Defense Intelligence Agency

1-5. What official is responsible to theSECNAV for establishing, directing andoverseeing an effective Department of theNavy (DON) Personnel Security Program(PSP)?

1. Chief of Naval Operations (N09N)2. Chief of Naval Personnel3. Director, DON Central Adjudication

Facility (CAF)4. Commander, Naval Security Group

2

1-6. Which of the following statementsconcerning special programs is NOTcorrect?

1. Require additional security protection2. May require special reporting

procedures or formal access lists3. May require additional handling

measures4. Must be authorized by DoD in

accordance with DoD Directive 0-5205.7

1-7. Which of the following statementsconcerning Special Access Programs(SAPs) is/are correct?

1. Require security measures in additionto those requirements for theprotection of Top Secret, Secret orConfidential classified information

2. Are authorized by the Secretary ofDefense or Deputy Secretary ofDefense

3. Are governed by DoD Directive0-5205.7

4. All of the above

1-8. Within the Navy, what is the controllingregulation for implementation andmaintenance of the Personnel SecurityProgram?

1. OPNAVINST 5520.2E2. SECNAVINST 5510.30A3. OPNAVINST 5510.1H4. OPNAVNOTE 5510 Series

1-9. Which of the following individuals areresponsible for compliance with thePersonnel Security Regulation?

1. Navy and Marine Corps members2. Civilians employed by the Navy3. Commanding officers4. All of the above

1-10. When a commanding officer seekspermission to waive a personnel securityrequirement, the request for waiver mustbe submitted to what official?

1. Secretary of the Navy2. Chief of Naval Operations (N09N2)3. Commander, Naval Intelligence

Command4. Commander, Naval Personnel

Command

1-11. The title "commanding officer" as used inSECNAVINST 5510.30A may beinterpreted as including which of thefollowing individuals?

1. Officer in charge of a naval activity2. Commander of a naval vessel3. Head of any naval organizational

activity4. All of the above

1-12. If your command has difficultyinterpreting SECNAVINST 5510.30A, arequest for guidance or clarification shouldbe sent to what official?

1. Chief of Naval Education andTraining

2. Deputy Chief of Naval Operations(CNO (N89))

3. Chief of Naval Operations (N09N2)4. Director, Department of the Navy

Central Adjudication Facility

3

1-13. Who is responsible for the security andadministration of the SensitiveCompartmented Information program forthe cryptologic community?

1. Director, Department of the NavyCentral Adjudication Facility

2. Commander, Naval Security GroupCommand

3. Director, Navy InternationalPrograms Office

4. Deputy Chief of Naval Operations(CN0 (N89))

LEARNING OBJECTIVE: Identify the keyofficials involved in command security managementand describe their duties.

1-14. Which of the following commands mustappoint a security manager in writing?

1. Commands handling Top Secretmaterial only

2. Commands handling Top Secret andSecret materials only

3. Any command eligible to receiveclassified information

4. Commands handling Critical NuclearWeapon Design Information(CNWDI) only

1-15. At the command level who is ultimatelyresponsible for compliance with andimplementation of the DON Informationand Personnel Security Program?

1. The security officer2. The executive officer3. The administrative officer4. The commanding officer

1-16. Which of the following functions is/are theresponsibility of the security manager?

1. Coordinates the command programfor continuous evaluation ofeligibility for access to classifiedinformation or assignment to sensitiveduties

2. Ensures all personnel execute aClassified Information NondisclosureAgreement (SF 312) prior to grantinginitial access to classified information

3. Maintains liaison with the commandSpecial Security Officer (SSO)concerning information and personnelsecurity policies and procedures

4. All of the above

1-17. Which of the following statements doesNOT accurately reflect security managerrequirements?

1. Must be designated in writing2. Must relieve the commanding officer

of his/her responsibility for thecommand’s information and personnelsecurity program

3. Must have a favorably adjudicatedSSBI completed within the previous 5years

4. Must be a U. S. citizen

1-18. Which of the following requirements mustbe met by individuals before they can beconsidered eligible to serve as an assistantsecurity manager?

1. Must be an officer, warrant officer, orU.S. civilian employee GS-9 or above

2. Must be proven reliable and of maturejudgment as determined by aninvestigative board convened by thecommand

3. Must be subjected to a NationalAgency Check (NAC)

4. Must be a U.S. citizen and designatedin writing

4

1-19. Who within a command is responsible tothe commanding officer for theimplementation of the command’sINFOSEC program?

1. The Contracting Officer'sRepresentative (COR)

2. The Special Security Officer (SSO)3. The Top Secret Control Officer

(TSCO)4. The Information Systems Security

Manager (ISSM)

1-20. The SSO has which of the followingfunctions?

1. Serves as the principal advisor in thecommand on the SensitiveCompartmented Information securityprogram

2. Is responsible for the operation of theSensitive Compartmented InformationFacility (SCIF)

3. Must cooperate and coordinate withthe command security manager

4. All of the above

1-21. Security Servicing Agreements (SSAs)will be specific and must clearly definewhere the security responsibilities of eachparticipant begin and end. The SSA willinclude requirements for advising thecommanding officer of any matters whichmay directly affect the security posture ofthe command.

1. True2. False

LEARNING OBJECTIVE: Identify reportingresponsibilities related to counterintelligencematters and describe the requirements of thecommand security education program.

1-22. Which of the following matters mustalways be reported to the Director, NavalCriminal Investigative Service(DIRNCIS)?

1. Sabotage, espionage, internationalterrorism or deliberate compromise

2. Foreign connections3. Both 1 and 2 above4. Foreign travel

1-23. A command security education programmust accomplish which of the followinggoals?

1. Familiarize personnel with thesecurity requirements for theirparticular assignments and identifyrestrictions

2. Familiarize personnel with proceduresfor challenging classificationdecisions

3. Advise personnel of the adverseeffects to the national security whichcould result from unauthorizeddisclosure of classified informationand of their personal, moral and legalresponsibility to protect classifiedinformation within their knowledge,possession or control

4. All of the above

5

1-24. Which of the following requirementsshould be included in a security educationprogram?

1. Indoctrination of personnel uponemployment by the DON in the basicprinciples of security

2. Orientation of personnel who willhave access to classified informationat the time of assignment regardingcommand security requirements

3. Annual refresher briefings forpersonnel who have access toclassified information

4. All of the above

1-25. Counterintelligence briefings must begiven once every two years.

1. True2. False

1-26. Which of the following will be given assoon as possible to an individual whoreports to a command for duties thatinvolve access to classified information?

1. Orientation briefing2. On-the-job training3. Indoctrination briefing4. Refresher briefing

1-27. Whenever security policies or procedureschange, personnel whose duties would beimpacted by these changes must be briefedas soon as possible.

1. True2. False

1-28. What type of briefing will be givenannually to personnel who have access toclassified information?

1. Orientation2. New requirements3. Refresher4. Indoctrination

1-29. A command debriefing will be given toindividuals who no longer require accessto classified information due to which ofthe following situations?

1. Transfer from one command toanother

2. Terminating active military service orcivilian employment

3. Expiration of a Limited AccessAuthorization (LAA)

4. All of the above

1-30. As part of the command debriefing,individuals will be required to read theprovisions of the Espionage act and othercriminal statutes. If individuals areretiring from active service and will beentitled to receive retirement pay, theymust be advised that they remain subject tothe Uniform Code of Military Justice(UCMJ).

1. True2. False

1-31. A Security Termination Statement needNOT be signed if an individual istransferring from one command to anotherand will continue to require access toclassified information.

1. True2. False

1-32. Which of the following statementsapply(ies) to Security TerminationStatements?

1. Must be witnessed2. Must be executed by senior officials

(flag and general officers, ES-1 andabove, Senior Executive Service andequivalent positions)

3. Both 1 and 2 above4. Must be filed in the command

security folder

6

LEARNING OBJECTIVE: Identify NationalSecurity Positions and describe the suitabilitydetermination process used for applicants andappointees to these positions.

1-33. Which of the following statements applyto National Security Positions?

1. They must be assigned a positionsensitivity level

2. The commanding officer isresponsible for designating NationalSecurity Positions

3. There are three levels of NationalSecurity Positions

4. All of the above

1-34. Which of the following statements doesNOT accurately describe a Critical-Sensitive Position?

1. Fiduciary, public contact, or otherduties demanding the highest degreeof public trust

2. Under DCID 1/14 authority3. Category I AIS4. Access to Top Secret information

1-35. Which of the following statements do/doesNOT accurately reflect a Noncritical-Sensitive Position?

1. Access to Confidential information2. Duties involving education and

orientation of DoD personnel3. Both 1 and 2 above4. Investigative duties

1-36. What official is responsible formaintaining a record of positiondesignation decisions?

1. The commanding officer2. The security manager3. The personnel officer4. The top secret control officer

1-37. What Government entity has been chargedwith establishing the program forinvestigating and adjudicating thesuitability of government applicants forand appointees to the Federal civil service?

1. U.S. Investigative Service2. Defense Security Service3. National Security Agency4. Office of Personnel Management

1-38. Personnel security investigations areconducted to gather information for twopurposes: to meet OPM requirements foraccomplishing employment suitabilitydeterminations and to satisfy requirementsfor security determinations.

1. True2. False

1-39. Security determinations are made beforesuitability determinations.

1. True2. False

1-40. Personnel security determinations arebased on criteria found in what regulation?

1. SECNAVINST 5510.30A2. SECNAVINST 5510.353. SECNAVINST 5510.364. OPNAVINST 5510.1H

1-41. Investigations completed for non-sensitivepositions are forwarded to the commandfor the suitability determination.

1. True2. False

7

1-42. Which of the following statementsconcerning investigations for sensitivepositions is NOT correct?

1. A favorable security determination ona "No Actionable Issue" case fromOPM will include an automaticfavorable suitability determination

2. The Department of the Navy CentralAdjudication Facility (DON CAF)will make a suitability determinationon "No Action Issue" cases

3. Cases with "Actionable Issues" areforwarded to the requesting commandfor the suitability determination

4. The DON CAF will make suitabilitydeterminations on cases with"Actionable issues"

1-43. The DON CAF will adjudicateinvestigations on non-U.S. citizensoccupying sensitive positions.

1. True2. False

1-44. Which of the following statementsapply(ies) to assignment of non-U.S.citizens to sensitive positions?

1. Non-U.S. citizens cannot beappointed to a civilian Federal serviceposition without approval from OPM

2. OPM’s approval of a non-U.S. citizento a federal service appointment doesnot authorize assignment to sensitiveduties or access to classifiedinformation

3. If the position for which OPM’sapproval is sought is a sensitiveposition, CNO (N09N2) must firstapprove it to insure that assignment oraccess would not be prohibited orrestricted

4. All of the above

1-45. Sensitive positions are either Special-Sensitive, Critical-Sensitive, orNoncritical- Sensitive.

1. True2. False

1-46. Which of the following statements is/areNOT applicable to suitabilitydeterminations?

1. DON CAF adjudicates allinvestigations for suitabilitydeterminations.

2. The DON CAF has been delegatedthe authority to make de factosuitability determinations only oninvestigations closed withoutactionable issues

3. An unfavorable suitabilitydetermination made by the commandrequires no DON CAF action

4. Both 2 and 3 above

1-47. Suitability adjudications are normally acommand responsibility and are based onstandards and criteria established by OPMand contained in Title 5 CFR 731.

1. True2. False

1-48. Which of the following statementspertain(s) to personnel securitydeterminations?

1. The focus is whether the employmentof the individual can reasonably beexpected to promote the efficiency ofthe Federal Service

2. Security determinations are based oncriteria found in SECNAVINST5510.30A

3. The focus is whether the assignmentof the individual can reasonably beexpected to be clearly consistent withthe nation’s security interests


8

1-49. An individual hired under emergencyappointment procedures may not beconsidered for assignment to sensitiveduties.

1. True2. False

1-50. Security determinations are based oncriteria found in SECNAVINST 5510.30Aand are in most cases adjudicated by theDON CAF.

1. True2. False

9


5510.30A, "Personnel Security Investigations," chapter 6, pages 6-1 through 6C-1;and "Personnel Security Determinations," chapter 7, pages 7-1 through 7-15.

LEARNING OBJECTIVE: Identify the types ofpersonnel security investigations and investigativeprocedures and requirements for personnel securityclearances.

2-1. Which of the following pertain(s) toPersonnel Security Investigations (PSIs)?

1. Conducted on individuals who will begiven access to classified information

2. Conducted on individuals who will beassigned sensitive duties

3. Both 1 and 2 above4. Conducted on individuals transferring

to another command

2-2. Which of the following officials is/areauthorized to request PSIs on individualsunder their jurisdiction?

1. Commanding officers of organizationsand activities listed on the StandardNavy Distribution List and MarineCorps List of Activities

2. Director, DON Central AdjudicationFacility (CAF)

3. Chiefs of recruiting stations4. All of the above

2-3. The sole purpose of a personnel securityinvestigation is to prevent unqualifiedapplicants from being accepted foremployment within the Department of theNavy.

1. True2. False

2-4. Which of the following statementsdescribe(s) personnel security investigativepolicy?

1. Only the minimum investigation tosatisfy a requirement will be requested

2. The investigation requested andconducted will be commensurate withthe level of sensitivity of the accessrequired or the position occupied

3. CNO (N09N2) must give priorapproval to establish investigativerequirements in addition to, or atvariance with, those established inSECNAVINST 5510.30A

4. All of the above

2-5. The Defense Security Service (DSS) andthe U.S. Investigative Service (USIS)conduct all PSIs for the DON within theContinental United States.

1. True2. False

2-6. Which of the following investigations, ifany, is conducted by USIS and meets theminimum investigative requirements forappointment to a non-critical sensitiveposition with access to classifiedinformation?

1. ENTNAC2. ANACI3. SSBI4. None of the above

10

2-7. What investigation is conducted to supportTop Secret clearance and SCI accesseligibility determinations?

1. SSBI2. NACI3. NAC4. CPR

2-8. An NAC includes a search of the DCII, FBIfiles and files of other appropriategovernment agencies.

1. True2. False

2-9. Which of the following investigativeelements is/are included in a PR forcontinued Top Secret access?

1. NAC2. Subject interview3. Ex-spouse interview4. All of the above

2-10. A reinvestigation updates a previousinvestigation and is authorized only forspecific duties and access.

1. True2. False

2-11. Of the following investigations, which isconducted to resolve personnel securityissues which arise after a PSI is conducted,evaluated or adjudicated?

1. SPR2. NACI3. SSBI4. SII

2-12. Under what circumstances is aprenomination interview conducted?

1. Before nomination for SCI access2. Before granting TS access3. Before requesting a PSI4. Both 2 and 3 above

2-13. Only U.S. citizens are eligible for securityclearance.

1. True2. False

2-14. Which of the following is the minimuminvestigative basis for Secret orConfidential clearance eligibilitydeterminations?

1. NACLC2. ANACI3. Either 1 or 2 above, depending upon

military or civilian status4. ENTNAC

2-15. Deleted

2-16. A new investigation is required uponreentry of officers and enlisted members ifthere has been a break in active service ofover 24 months.

1. True2. False

2-17. Which of the following investigations, ifany, is required for a civilian employeewho requires access to informationclassified Secret in performance of duties?

1. ANACI2. NACI3. NAC4. None of the above

11

2-18. With the exception of loyalty reasons, whowithin the Navy and Marine Corps hasauthority to deny acceptance and retentionin the DON?

1. CHNAVPERS and CMC2. DON CAF3. CNO (N09N2)4. Both 2 and 3 above

2-19. For the purpose of partial or fullmobilization under provisions of Title 10,U.S.C. (Title 14 pertaining to the U.S.Coast Guard as an element of the DON),the requirement for a NAC upon reentrymay be waived.

1. True2. False

2-20. Deleted

2-21. Emergency appointees may NOT beconsidered for positions requiring access toclassified information.

1. True2. False

2-22. Which of the following governs themanagement of the investigativerequirements for DON contractorpersonnel?

1. DISCR2. DSS3. NISP4. FAD

2-23. Which of the following is the minimuminvestigative requirement for assignment asa security manager?

1. ANACI2. NAC3. SPR within 10 years4. SSBI or PR within 5 years

2-24. Deleted

2-25. Contract guards require a favorablyadjudicated SSBI.

1. True2. False

2-26. Which of the following is the governingregulation for the Personnel ReliabilityProgram (PRP)?

1. SECNAVINST 5510.352. SECNAVINST 5510.30A3. SECNAVINST 5510.364. OPNAVINST 5510.162

2-27. Which of the following programs has/haveSpecial Investigative Requirements?

1. SIOP-ESI2. NATO3. PSA4. All of the above

2-28. Investigations will not be duplicated whena previously conducted investigation meetsthe scope and standards for the levelrequired.

1. True2. False

12

2-29. Reciprocity requires that FederalGovernment agencies accept each other’sinvestigations and consequent favorablepersonnel security determinations withoutre-adjudication. Under what circumstancesis reciprocity NOT appropriate ornecessary?

1. Potentially disqualifying information isdeveloped since the last favorableadjudication

2. The individual is being considered fora higher level clearance eligibility

3. The most recent clearance or accessauthorization was conditional or basedon a waiver

4. All of the above

2-30. Before requesting an investigation,activities must determine that the individualdoes NOT have an investigation whichsatisfies the requirements.

1. True2. False

2-31. Requests for PSIs will NOT normally besubmitted on any civilian or militarypersonnel who will be retired, resigned, orseparated with less than nine months ofservice remaining.

1. True2. False

2-32. Prior personnel security investigations mayonly be requested by commands for reviewin support of an official requirement. Allrequests for prior investigations must befully justified and forwarded to which ofthe following?

1. DON CAF2. Naval Criminal Investigative Service3. Defense Security Service4. Bureau of Naval Personnel

2-33. Which of the following functions is/arecommand responsibility(ies) performed inconjunction with personnel securityinvestigation requests?

1. Verification of prior investigation2. Local records check3. Verification of date and place of birth4. All of the above

2-34. Commands are required to validate thecitizenship of individuals prior tosubmitting a request for a PSI.

1. True2. False

2-35. What type of investigation is required forDON civilian employees in non-criticalsensitive positions and those who willrequire access to Confidential and Secretclassified information?

1. ANACI2. ENTNAC3. SSBI4. SII

2-36. What type of investigation is required tosupport trustworthiness determinations?

1. SPR2. NAC3. SSBI4. NACLC

2-37. What type of investigation is required tosupport security and suitabilitydeterminations for civilian employees andmilitary members requiring access to TopSecret and/or SCI and assignment tospecial-sensitive and/or critical-sensitivepositions?

1. SII2. PR3. SSBI4. NAC

13

2-38. An individual who refuses to providerelevant information for investigativepurposes may be considered eligible foraccess to classified information.

1. True2. False

2-39. When an investigation is in a pending statusand the subject is released from active duty,discharged, resigns, or circumstanceschange and the investigation is no longerrequired, the command must notify whatagency?

1. NCIS2. DSS3. BUPERS4. DON CAF

2-40. When the investigation request is rejectedby the investigative agency because therequest package was not properlycompleted, commands must take correctiveaction immediately and resubmit therequest.

1. True2. False

2-41. Commands must submit tracer requestsregarding overdue DSS investigations toDON CAF.

1. True2. False

2-42. Commands may obtain the status of DSSinvestigations by calling DSS customerservice.

1. True2. False

2-43. Where are all PSIs conducted for DONactivities forwarded to upon completion?

1. Requesting activity2. NCIS3. DON CAF4. BUPERS

2-44. Investigations requested to supporttrustworthiness determinations and non-sensitive positions are NOT adjudicated bythe DON CAF.

1. True2. False

2-45. Reports of investigation may only beshown or released to the subject of theinvestigation.

1. True2. False

LEARNING OBJECTIVE: Recognize the basicpolicy and procedures for personnel securitydeterminations and identify personnel securityprogram authorities and their responsibilities.

2-46. What Executive Orders establish thestandards for personnel securitydeterminations?

1. E.O. 11690 and E.O. 104502. E.O. 10450 and E.O. 129683. E.O. 10450 and E.O 129584. E.O. 12958 and E.O. 12968

14

2-47. Who is responsible for ensuring thesecurity information in the militarypersonnel database is accurately updatedfrom the DON CAF database and reportedto commands via the EDVR and ODCR?

1. Director, NCIS2. CNO (N09N2)3. Chief, NAVPERS4. DSS

2-48. Who is responsible for ensuring thesecurity information in the Defense CivilianPersonnel Data System (DCPDS) isaccurately updated from the DON CAFdatabase and reported to commands?

1. Chief, NAVPERS2. CNO (N09N2)3. SECNAV4. DASN (CP/EEO)

2-49. What command documents personnelsecurity determinations in the Navy JointAdjudication and Clearance System(NJACS) and the Defense Clearance andInvestigations Index (DCII)?

1. DON CAF2. CNO (N09N2)3. DSS4. NAVPERS

2-50. Commanding officers are responsible forgranting interim personnel securityclearances.

1. True2. False

2-51. Commanding officers will maintain apersonnel security record on all assignedpersonnel, to include records of briefings,clearance determinations, and accessdeterminations.

1. True2. False

2-52. Which of the following situations require(s)a personnel security determination?

1. Access to classified information orassignment to sensitive duties isnecessary under interim conditions

2. Questionable or unfavorableinformation becomes available aboutan individual in a sensitive position ora position requiring access to classifiedinformation

3. A personnel security investigation on anominee for a security clearance orassignment to sensitive duties has beencompleted

4. All of the above

2-53. Trustworthiness NACs will be requestedusing the SF 85P, forwarded to DSS forinvestigation and adjudicated by the DONCAF.

1. True2. False

2-54. The DON Facility Access Determination(FAD) Program applies to contractoremployees and was established to supportcommanding officers in theirresponsibilities under the Internal SecurityAct of 1950 to protect persons and propertyunder their command against the actions ofuntrustworthy persons.

1. True2. False

2-55. The DON CAF issues a Letter of Intent(LOI) to revoke or deny which of thefollowing eligibilities?

1. Security clearance2. Assignment to a sensitive position3. Access to Sensitive Compartmented

Information4. All of the above

15

2-56. The recipient of a Letter of Intent from theDON CAF has what maximum number ofcalendar days to respond in writing?

1. 152. 303. 454. 90

2-57. The ultimate appellate authority forunfavorable DON CAF personnel securitydeterminations is what entity?

1. CNO (N09N2)2. DOHA3. DON CAF4. PSAB

2-58. A personal appearance before anadministrative judge of the Defense Officeof Hearing and Appeals (DOHA) must berequested within what maximum number ofdays after receipt of a Letter ofNotification?

1. 102. 153. 304. 45

2-59. Written appeals to the PSAB must besubmitted within what maximum number ofdays after receipt of a Letter ofNotification?

1. 152. 303. 604. 90

16

ASSIGNMENT 3

Textbook Assignment: Department of the Navy Personnel Security Program Regulation, SECNAVINST5510.30A, "Clearance," chapter 8, pages 8-1 through 8A-3.

LEARNING OBJECTIVE: Describe the securityclearance adjudication process guidelines andidentify responsibilities and requirements forgranting, recording, withdrawing, denying, andrevoking security clearances.

3-1. What agency is designated by the Secretaryof the Navy as the single clearancegranting authority for the Department ofthe Navy?

1. OPM2. SECNAV Security3. DON CAF4. CNO (N09N2)

3-2. Once issued, a security clearance remainsvalid provided the cleared individualcontinues compliance with personnelsecurity standards and has no subsequentbreak in service exceeding 24 months.

1. True2. False

3-3. Which of the following issues will theDON CAF adjudicator consider whenmaking a security clearance determination?

1. Loyalty2. Reliability3. Trustworthiness4. All of the above

3-4. Security clearance eligibility is establishedby DON CAF at the highest levelsupportable by the prerequisite securityinvestigation.

1. True2. False

3-5. A security clearance is initially issued uponadjudication of the prerequisite securityinvestigation. When is it reestablished?

1. With each transfer2. After adjudication of each subsequent

investigation3. Whenever an individual’s rating

changes4. Annually

3-6. Security clearance determinations will bemutually and reciprocally accepted by theDON when made by which of the followingFederal agencies?

1. Department of Agriculture2. Department of Transportation3. Central Intelligence Agency4. All of the above

17

3-7. In order to mutually and reciprocally acceptanother Federal Government agency’sclearance determination, which of thefollowing conditions must be met?

1. There has not been a break incontinuous service greater than 24months.

2. The investigative basis is adequate forthe clearance granted

3. There has been no new derogatoryinformation

4. All of the above

3-8. Revocation of security clearance eligibilitymay be reciprocally accepted by agencies ofthe Federal Government.

1. True2. False

3-9. For security clearance eligibility purposes,continuous service applies to which of thefollowing conditions?

1. Active duty military service or activestatus in military reserve or IndividualReady Reserves (IRR)

2. Active status in the National Guard orNROTC

3. Civilian employment in the FederalGovernment

4. All of the above

3-10. For security clearance eligibility purposes,continuous service terminates when anindividual transfers to a new command andno longer requires a security clearance.

1. True2. False

3-11. Retired status qualifies as continuousservice for security clearance purposes.

1. True2. False

3-12. A DoD security clearance is invalid foraccess to DOE Restricted Data.

1. True2. False

3-13. For security clearance purposes, U.S.citizens can be defined as those born in theU.S., those who are U.S. nationals, thosewho have derived U.S. citizenship or thosewho acquire it through naturalization.

1. True2. False

3-14. Citizens of the Federated States ofMicronesia (FSM) and the Republic of theMarshall Islands are NOT U.S. citizens.

1. True2. False

3-15. The Facility Access Determination programmay be used for trustworthinessdeterminations for contractor personnelwhen no access to classified information isrequired.

1. True2. False

3-16. Security clearance will NOT be granted forwhich of the following individuals?

1. Civilians in non-sensitive positions2. Persons such as guards and emergency

service personnel, maintenance, foodservices, and cleaning personnel

3. Vendors and other commercial sales orservice personnel

4. All of the above

18

3-17. Elected members of Congress who requireaccess to classified information in theperformance of their duties will beprocessed for security clearance eligibility.

1. True2. False

3-18. Congressional staff members are grantedsecurity clearance, as necessary, by whatFederal entity?

1. WHS2. DON CAF3. The White House4. Congress

3-19. State governors are not processed forsecurity clearance eligibility. CO’s maygrant them access to specificallydesignated classified information, on aneed to know basis, when approved byCNO (N09N2).

1. True2. False

3-20. Staff personnel of the governor’s office whorequire access to DON classifiedinformation are granted a securityclearance by the DON CAF.

1. True2. False

3-21. Members of the Supreme Court, the Federaljudiciary and the Supreme Courts of theindividual states are NOT processed forsecurity clearance eligibility. They may,nonetheless, be granted access to classifiedinformation to the extent necessary toadjudicate cases.

1. True2. False

3-22. The Navy Joint Adjudication and ClearanceSystem (NJACS) is the official repositoryfor DON personnel security determinationrecords and includes which of thefollowing data elements?

1. Clearance determination2. Initial access3. Personnel security investigative4. All of the above

3-23. The DON CAF security clearancedetermination certification must bemaintained in the individual’s local servicerecord or official personnel file until theindividual transfers.

1. True2. False

3-24. Once issued, the DON CAF clearancecertification remains valid provided theindividual continues compliance withpersonnel security standards and has nosubsequent break in service exceeding 24months.

1. True2. False

3-25. Copies of the DON CAF certification mayNOT be maintained in the local personnelsecurity file.

1. True2. False

3-26. The EDVR, ODCR, MCTFS, or theDCPDS are sources of NJACS data whichmay be used temporarily to support localaccess determinations when the DON CAFsecurity clearance certification is not foundin the individual’s service record or OPF,pending receipt of a replacementcertification.

1. True2. False

19

3-27. Commands with DCII access may NOT useDCII data records in lieu of the DON CAFcertification records to support local accessdeterminations.

1. True2. False

3-28. The CO may issue an interimSecret/Confidential clearance as long asthere is a favorable review of local records,a favorable review of the PSI requestquestionnaire and submission of the PSIrequest to the appropriate investigativeagency.

1. True2. False

3-29. The CO may issue an interim Top Secretclearance as long as the investigativepaperwork for a Single Scope BackgroundInvestigation has been submitted to DSS.

1. True2. False

3-30. Which of the following forms will be usedby the CO or his/her designee to recordinterim security clearance determinations?

1. OPNAV 5510/4132. OPNAV 5520/203. OPNAV 5510/214. SF 710

3-31. At what point after granting an interimsecurity clearance is follow-up actionnecessary?

1. 30 days2. 90 days3. 120 days4. 180 days

3-32. The interim clearance may not be continuedin excess of one year without confirmationfrom the DON CAF that the investigationcontains no disqualifying information.

1. True2. False

3-33. When the command receives a Letter ofIntent ( LOI) to deny security clearance of anindividual who has been granted interimclearance, it must withdraw interim clearanceand suspend any associated access.

1. True2. False

3-34. Every commanding officer must have afavorably adjudicated SSBI whether or notaccess to classified information is required.

1. True2. False

3-35. Navy and Marine Corps reserve personnelin an "active status" are considered to havecontinuous service and may be grantedaccess to classified information asnecessary and supportable.

1. True2. False

3-36. To maintain mobility and operationalreadiness, the Chief of Naval Personnel orHeadquarters Marine Corps may requireindividuals in specified ratings/MOS tohave security clearance eligibilityestablished by DON CAF to supportassignments.

1. True2. False

20

3-37. A consultant hired by a GovernmentContracting Activity (GCA) who will onlyrequire access to classified information atthe GCA activity or in connection withauthorized visits to the GCA is adjudicatedfor security clearance by which of thefollowing agencies?

1. NISP2. DISCO3. The employing GCA4. DON CAF

3-38. Contractors may grant Confidentialclearances to qualified employees.

1. True2. False

3-39. Commanding officers are required to reportto the Defense Security Service (DSS)Operations Center Columbus (OCC) anyadverse information which comes to theirattention concerning a cleared contractoremployee assigned to a worksite under theircontrol. What other office must be advisedof the adverse information?

1. DSS Operating Location Officeidentified on the DD Form 254

2. NISP Program Office3. CNO (N09N2)4. Command security manager

3-40. What must a command do when amember’s duties change to no longerrequire access to classified information?

1. Debrief the member2. Execute a Security Termination

Statement3. Notify the DON CAF that clearance

and access are no longer required4. All of the above

3-41. The command suspends access on anindividual that the command receivedderogatory information on and provides areport of suspension to the DON CAF.After receiving additional information, thecommand determines that the individual'saccess should be restored immediately.The command may grant the access.

1. True2. False

3-42. Transfer in Status (TIS) is a process bywhich an individual may be transferredfrom one DoD component, command oractivity to another DoD component,command or activity in an SCIindoctrinated status.

1. True2. False

3-43. Once the DON CAF grants a securityclearance, it remains valid provided whichof the following factors have been met?

1. The individual continues compliancewith personnel security standards

2. The individual has no break in serviceexceeding 24 months

3. Both 1 and 2 above4. The individual does not transfer to

another command

3-44. Interim security clearances and/or access,and assignment to sensitive civilianpositions is NOT authorized for individualswho have received an unfavorable securitydetermination until the DON CAFreestablishes the security clearance.

1. True2. False

21

3-45. After DON CAF makes an unfavorabledecision concerning the individual’ssecurity clearance, commands must removeall access. However, in cases when thecommand determines it is necessary, anindividual may maintain access until finalappeal procedures are exhausted.

1. True2. False

3-46. Which of the following statementspertaining to security clearance is true?

1. Non-U.S. citizens are eligible forsecurity clearances.

2. Naturalized U.S. citizens may not beconsidered for Limited AccessAuthorization

3. Non-U.S. citizens are not eligible forsecurity clearances

4. U. S. citizens born in communistcountries are not eligible for securityclearances

3-47. Commands are ultimately responsible forensuring that the DON CAF is apprisedwhen an individual fails to comply withpersonnel security standards. To satisfythis requirement, commands must institutewhich of the following programs?

1. TIS program2. Continuous evaluation program3. SAP program4. Security policy program

3-48. Contractor personnel security investigationsare conducted by the Defense SecurityService (DSS). Which office adjudicatesthe investigative results and establishessecurity clearance eligibility for contractorpersonnel?

1. DON CAF2. WHS3. DSS OCC4. DoD

3-49. A Department of Energy "L" clearance isthe same as a DoD Top Secret clearance.

1. True2. False

3-50 An Interim Secret or Confidential securityclearance for contractors may be granted bythe command.

1. True2. False

22


5510.30A, "Access To Classified Information," chapter 9, pages 9-1 through 9A-2.

LEARNING OBJECTIVE: Recognize the basicpolicy and procedures governing access to classifiedinformation, including Sensitive CompartmentedInformation and Restricted Data.

4-1. Access to classified information may begranted if allowing access will promote theDON mission while preserving the interestsof national security.

1. True2. False

4-2. The level of access to classifiedinformation authorized will NOT belimited to the minimum level required toperform assigned duties.

1. True2. False

4-3. What form must be executed by all personsprior to gaining initial access to classifiedinformation?

1. OPNAV 5520/202. OPNAV 5510/4133. SF 3124. SF 86

4-4. Access to classified information will belimited to the minimum number ofindividuals necessary to accomplish themission and will be based on the need toknow.

1. True2. False

4-5. Within the command, who has the ultimateauthority over who may have access toclassified information under commandcontrol?

1. Security manager2. Special Security officer3. Department head4. Commanding officer

4-6. Commanding officers may grant access toclassified information to any individual,provided the individual has met which ofthe following requirements?

1. Has an official need to know2. Has an established security clearance3. Is not the subject of unadjudicated

disqualifying information4. All of the above

4-7. For individuals who have NOT beendetermined eligible for security clearance,access authorization may be allowed incertain circumstances.

1. True2. False

4-8. What is the DON regulation governing theSensitive Compartmented Informationprogram?

1. SECNAVINST 5510.362. NAVSUPP to DoD S5105.21.M-13. DCID 1/144. DoD 5200.2R

23

4-9. Limiting access to classified information isthe responsibility of each individualpossessing classified information. Beforepermitting others access to classifiedinformation, what determination must thepossessor make?

1. Access is justified based on theperson’s security clearance eligibility

2. The date of the person's lastinvestigation

3. Access is justified based on theperson's security clearance and need toknow

4. Access is justified based on thesupervisor's approval

4-10. Who is delegated sole responsibility forgranting, denying, revoking and verifyingSCI access for DON personnel?

1. COMNAVSECGRU2. SSO NAVY3. Director, DON CAF4. DNI

4-11. Who has the authority to adjudicate DONcontractor personnel requiring SCI accesseligibility?

1. DSS OCC2. Director, DON CAF3. NISP4. SSO NAVY

4-12. Which of the following statementsregarding SCI access is correct?

1. A valid requirement or certification ofneed to know must be established priorto requesting an adjudication of SCIaccess eligibility

2. A Single Scope BackgroundInvestigation request must beforwarded with an OPNAV 5510/413requesting SCI access

3. SCI access, like security clearanceeligibility, is a right, not a privilege

4. Before requesting SCI access, DCID1/14 exception requirements will beprepared in accordance withSECNAVINST 5510.30A

4-13. What form is used to request SCI access?

1. OPNAV 5510/4132. OPNAV 5520/203. DD 18794. SF 86

4-14. Upon favorable adjudication of thecompleted SSBI, DON CAF will forward afinal clearance/SCI access eligibilitycertificate to the requesting command. Thecommand will ensure the SSO receives acopy of the message or letter to indoctrinatethe individual to SCI and the securitymanager will maintain a command recordof the clearance and access granted.

1. True2. False

4-15. Commanding officers are NOT responsiblefor establishing and administering aprogram for continuous evaluation of allpersonnel with SCI access eligibility.

1. True2. False

24

4-16. Information that could potentially affect anindividual’s eligibility for SCI access mustbe reported to DON CAF.

1. True2. False

4-17. Commanding officers may NOT suspendSCI access, as this is the sole perogative ofthe DON CAF.

1. True2. False

4-18. The final review authority for appeals ofSCI access eligibility determinations isdelegated to which of the followingentities?

1. SECNAV2. DNI3. PSAB4. DON CAF

4-19. A Periodic Reinvestigation is NOT requiredevery 5 years for continued SCI accesseligibility.

1. True2. False

4-20. What form must be executed by allpersonnel as a condition of access toclassified information?

1. SF 862. SF 3123. OPNAV 5520/204. OPNAV 5510/413

4-21. A new SF-312 must be executed every timean individual transfers and accessrequirements change.

1. True2. False

4-22. Personnel who have signed other non-disclosure agreements for specific access(such as Form 1847-1, SensitiveCompartmented Information (SCI) Non-Disclosure Agreement) are NOT requiredto execute the SF 312.

1. True2. False

4-23. If an individual refuses to sign an SF 312,what actions must be taken by thecommand?

1. Deny the individual access and reportthe refusal to DON CAF

2. Deny the individual access and reportthe refusal to CNO

3. Immediately contact the Director,NCIS by classified message

4. Document the individual’s refusal andforward a copy to CNO (N09N2)

4-24. The SF 312 must be witnessed and thewitnessing official must sign and date theSF 312 upon execution. The witnessingofficial can be any member of thecommand.

1. True2. False

4-25. The executed SF 312 must be accepted onbehalf of the U.S. The accepting officialcan be the CO, the XO, the SecurityManager or any individual designated inwriting by the CO to accept the SF-312 onbehalf of the U.S.

1. True2. False

25

4-26. Administrative withdrawal of clearance,after execution of an SF 312, andsubsequent granting of clearance and accesswill NOT require re-execution of anotherSF 312.

1. True2. False

4-27. What is the NJACS system?

1. Naval Joint Adverse ClarificationSystem

2. Naval and Marine Corp JointAdjudication Central System

3. Navy Joint Adjudication andClearance System

4. Naval Justice Adjudication CentralSystem

4-28. The DON CAF is responsible formaintaining a record of all access grantedto include temporary accesses, specialaccesses or other program accesses.

1. True2. False

4-29. Commands may use which of the followingmethods to record access determinations?

1. Computerized database2. Log book3. A form OPNAV 5520/204. All of the above

4-30. What information must be included in thecommand access record?

1. Name, SSN, citizenship verification2. Date and level of access authorized3. The basis for the access determination

and the name, title, rank or grade ofthe individual authorizing the access

4. All of the above

4-31. Interim security clearances are recorded onthe OPNAV 5510/413.

1. True2. False

4-32. One-time access permits an individualaccess at a security classification levelhigher than that for which the individual iseligible.

1. True2. False

4-33. Who may grant one-time access?

1. Flag officer2. General officer3. General courts-martial convening

authority or equivalent SeniorExecutive Service member

4. All of the above

4-34. The individual granted one-time accessmust be a U.S. citizen, have a current DoDsecurity clearance and have beencontinuously employed by DoD or acleared DoD contractor for the preceding24-month period.

1. True2. False

4-35. One-time access may be granted to a part-time or temporary employee.

1. True2. False

4-36. One-time access will expire after whatmaximum time period?

1. 2 weeks2. 30 days3. 180 days4. 1 year

26

4-37. If the need for one-time access is to extendbeyond 30 days, written approval isrequired from CNO (N09N2). If accesswill extend beyond 90 days, the commandmust initiate a request for the appropriatesecurity clearance.

1. True2. False

4-38. One-time access at the next higher levelmay be authorized for COMSEC, SCI,NATO, or foreign government information.

1. True2. False

4-39. For what minimum period must accessrecords be maintained after access isterminated?

1. 90 days2. 1 year3. 2 years4. 5 years

4-40. Temporary access may NOT be granted toDON personnel who have been determinedto be eligible for a security clearance, butdo not currently require a security clearanceto perform assigned duties.

1. True. 2. False

4-41. There are clear indications that a newemployee reporting for duty had a securityclearance which meets the command’sneeds; however, there is no DON CAFmessage in his record. Which of thefollowing statements, if any, is correct?

1. The command may not grant accessbut must submit an OPNAV 5510/413indicating the level of clearancerequired, to the DON CAF

2. The command may grant temporaryaccess and complete an OPNAV5510/413 indicating the level ofclearance required and submit it to theDON CAF

3. The command may grant access4. None of the above

4-42. Commands with DCII access may NOT useDCII data in lieu of the DON CAFclearance certificate to grant access.

1. True2. False

4-43. Retired personnel are entitled to haveaccess to classified information by virtue oftheir present and/or former status.

1. True2. False

4-44. Requests for access authorization forattorneys representing DON personnel willbe submitted to CNO (N09N2) via which ofthe following activities?

1. General Services Administration2. Joint Chiefs of Staff3. Defense Security Service4. Office of General Counsel or Navy

Judge Advocate General

27

4-45. As an exception, access may be granted to aretired flag/general officer for compellingreasons by which of the followingpersonnel?

1. CNO (N09N2)2. An active duty flag or general officer3. SSO4. CO

4-46. Limited Access Authorizations may begranted for non-U.S. citizens by which ofthe following officials?

1. CNO (N09N2)2. SSO3. CO4. All of the above

4-47. Individuals granted Limited AccessAuthorization are subject to a periodicreinvestigation at what minimum timeinterval?

1. Annually2. Every 2 years3. Every 5 years4. Every 10 years

4-48. Requests for access to DON classifiedinformation by persons outside of theExecutive Branch must be submitted towhat agency?

1. DON CAF2. CNO (N09N2)3. DSS4. OPM

4-49. When is it appropriate for a CO toadministratively withdraw an individual’saccess?

1. A permanent change in rating/MOSnegates the need for access

2. Upon retirement from military service3. Upon termination of employment4. All of the above

4-50. When the level of access required for anindividual’s official duties changes, thecommand will adjust the authorized accessaccordingly, provided the new requirementdoes not exceed the level allowed by thesecurity clearance.

1. True2. False

4-51. Within what maximum time period mustcommands report suspension of access toDON CAF?

1. 3 working days2. 5 workings days3. 10 working days4. 2 weeks

4-52. Requests for access to RD not under thecontrol of DoD or NASA will be made inaccordance with what governingregulation?

1. DOEINST 5200.2R2. SECNAVINST 5510.30A3. DoD 5210.24. DCID 1/14

28


5510.30A,"Continuous Evaluation," chapter 10, pages 10-1 through 10A-2; "VisitorAccess to Classified Information," chapter 11, pages 11-1 through 11-6; andAppendixes A through I, pages A-1 through I-4.

LEARNING OBJECTIVE: Describeadministrative requirements of the commandcontinuous evaluation program.

5-1. In order to ensure that everyone who hasaccess to classified information remainseligible for a clearance, continuousassessment and evaluation is required.

1. True2. False

5-2. Who within the command is responsible forestablishing and administering a programfor continuous evaluation?

1. Security Assistant2. Security Officer3. SSO4. CO

5-3. The continuous evaluation programdepends upon which of the followingelements?

1. Individuals must be encouraged toreport to their supervisor orappropriate security official anyincident or situation which could affecttheir continued eligibility for access toclassified information

2. Co-workers have an obligation toadvise their supervisor or appropriatesecurity official when they becomeaware of information with potentialsecurity clearance significance

3. Supervisors and managers play acritical role in assuring the success ofthe program

4. All of the above

5-4. The keys to an active continuous evaluationprogram are security education and positivereinforcement of reporting requirements.

1. True2. False

29

5-5. For original classification authorities,security managers, security specialists, andall other personnel whose dutiessignificantly involve the creating, handling,or management of classified information,which of the following statementsapply(ies)?

1. Their performance contract or ratingsystem must include the managementof classified information as a criticalelement or item to be evaluated

2. Their supervisors will comment ontheir continued security clearanceeligibility in conjunction with theirperformance appraisals

3. Both 1 and 2 above4. They are required to be subjected to

psychological evaluations

5-6. SECNAVINST 5510.30A, Appendix F,"Personnel Security Standards," identifiesareas of security concern which must bereported to the DON CAF.

1. True2. False

5-7. Before reporting information which meetsstandards contained in Appendix F toSECNAVINST 5510.30A, commandsshould consider the mitigating factors.

1. True2. False

5-8. When reporting unfavorable information,commands may take which of the followingactions?

1. Use exhibit 10A of SECNAVINST5510.30A to ensure that the DON CAFhas sufficient information

2. Suspend the individual’s access forcause

3. Both 1 and 2 above4. Revoke the individual’s security

clearance

5-9. Which of the following actions may betaken by the DON CAF upon receipt of acommand report of locally developedunfavorable information?

1. Evaluate and adjudicate all reportedinformation

2. Promptly notify commands of thedetermination regarding theindividual’s continued eligibility forsecurity clearance and/or assignmentto sensitive duties

3. Either request additional informationfrom the command or request that thecommand forward the necessaryinvestigative forms to open aninvestigation to resolve outstanding ormissing information

4. All of the above

5-10. Which of the following security issues mustbe reported to the DON CAF?

1. Criminal conduct2. Alcohol abuse3. Misuse of Information Technology

Systems4. All of the above

LEARNING OBJECTIVE: Describe the basicpolicy and procedures regarding visitor access toclassified information

5-11. For security purposes, a visitor on board aship or aircraft is a person who is not amember of the ship’s company or not amember of a staff using the ship as aflagship.

1. True2. False

30

5-12. For security purposes, which of thefollowing personnel are consideredvisitors?

1. Civilian employees permanentlyassigned to the command

2. Persons on temporary additional duty3. Reservists on active duty for training4. Both 2 and 3 above

5-13. Which of the following persons are NOTrequired to sign visitor records or displayidentification badges when being escortedas visitors?

1. DON contractors2. Flag officers, general officers or their

civilian equivalents3. Non U. S. citizens4. U. S. scientists

5-14. A cleared and properly trained military orcivilian member or a contractor assigned tothe command being visited may function asan escort for a visitor.

1. True2. False

5-15. What information must be provided on acivilian or military employee visiting aDON command?

1. Purpose of visit2. Date and duration of visit3. Security clearance status4. All of the above

5-16. Which of the following information is NOTrequired on a contractor employee visitinga DON command?

1. Name of person being visited2. UIC/RUC3. Date and place of birth4. Certification of security clearance

5-17. Visit requests may be transmitted byfacsimile, by message or electronicallytransmitted via electronic mail.

1. True2. False

5-18. Which of the following statementspertain(s) to visit requests?

1. Under no circumstances will personnelhandcarry their own visit requests tothe places being visited

2. All visit requests will provide acertification of the visitors need toknow in the form of an authorizationsignature by an official, other than thevisitor, with command signatureauthority

3. Both 1 and 2 above4. Requests must be submitted two weeks

prior to visit

5-19. Which of the following regulations governsvisits by foreign nationals andrepresentatives of foreign entities?

1. DoD 5210.22. SECNAVINST 5510.343. SECNAVINST 5350.4C4. SECNAVINST 5400.1

5-20. Members of Congress, by virtue of theirelected status, do NOT require DoDsecurity clearances.

1. True2. False

31

5-21. Which of the following statements doesNOT apply to visits by the GAO?

1. Written notice of visit request is notrequired

2. GAO personnel can be identified byserially numbered credential cardsissued by the Comptroller General

3. Security clearance eligibility ofvisiting GAO personnel need not beverified

4. The DON GAO liaison office willprovide telephonic visit authorizationfor GAO Headquarters andWashington Regional Office personnelwhose clearances are on file with DoD

LEARNING OBJECTIVE: Identify security termsand acronyms contained in SECNAVINST 5510.30A

5-22. An adjudication decision to grant orcontinue a security clearance or SCI accessdespite a failure to meet adjudicative orinvestigative standards is known as anexception.

1. True2. False

5-23. Issue information is any information thatcould NOT adversely affect a person’seligibility for access to classifiedinformation.

1. True2. False

5-24. Which of the following acronyms is usedfor the Industrial Security Program?

1. ISSO2. IRR3. NISP4. NACI

LEARNING OBJECTIVE: Recognize guidelinesfor a command security instruction, the purpose ofthe Defense Clearance and Investigations Index(DCII), and the applicability of personnel securitystandards.

5-25. Which of the following elements should beincluded in the command securityinstruction?

1. An identification of the command’ssecurity organization, including thechain of command

2. Security education programrequirements

3. Assignment of responsibilities forcontinuous evaluation requirements

4. All of the above

5-26. The Defense Clearance and InvestigationsIndex (DCII) is the single, automatedcentral repository that identifiesinvestigations conducted by DoD

1. True2. False

5-27. Commands are NOT permitted access tothe DCII.

1. True2. False

5-28. Commands must report any behavior,incident, or allegation which falls underwhich of the following areas of securityconcern?

1. Sexual behavior that is criminal orreflects lack of judgement or discretion

2. Alcohol abuse3. Unexplained affluence or excessive

indebtedness4. All of the above

32

LEARNING OBJECTIVE: Recognize adjudicationguidelines for personnel security determinations,including areas of concern; the structure andfunctions of the Personnel Security Appeals Board;and U.S. citizenship criteria.

5-29. The adjudication guidelines found inSECNAVINST 5510.30A were establishedfor all U.S. Government civilian andmilitary personnel, consultants, contractors,employees of contractors and otherindividuals who require initial or continuedaccess to classified information, access toSCI and/or employment or retention insensitive duties.

1. True2. False

5-30. Each adjudication is to be an overallcommon sense determination based uponwhich of the following criteria?

1. Consideration and assessment of allavailable information, both favorableand unfavorable

2. The nature, extent, and seriousness ofthe conduct

3. Both 1 and 2 above4. Who reported the information.

5-31. The adjudicator will ensure the adequacy ofthe available information in terms of E.O.12968 requirements. Incomplete andunsubstantiated information must besufficiently developed before thedetermination process proceeds.

1. True2. False

5-32. Which of the following is an example ofadjudicative "disqualifying factors"?

1. Association or sympathy with personsor organizations that advocate theoverthrow of the U.S. Government, orany state or subdivision, by force orviolence or by other unconstitutionalmeans

2. The individual was unaware of theunlawful aims of the individual ororganization and severed ties uponlearning of these

3. The individual’s involvement was onlywith the lawful or humanitarianaspects of such an organization

4. The person has had no recentinvolvement or association with suchactivities

5-33. Which of the following is an example ofadjudicative "mitigating factors"?

1. The exercise of dual citizenship2. Possession and/or use of a foreign

passport3. Voting in foreign elections4. An expressed willingness to renounce

dual citizenship

5-34. Which of the following mitigating factorspertain(s) to criminal conduct?

1. The criminal behavior was not recent2. The crime was an isolated incident3. Acquittal4. All of the above

5-35. Which of the following disqualifyingfactors pertain(s) to financialconsiderations?

1. Affluence resulting from a legal source2. A history of not meeting financial

obligations3. Unexplained affluence4. Both 2 and 3 above

33

5-36. Noncompliance with security regulationsraises doubt about an individual’strustworthiness, willingness, and ability tosafeguard classified information.

1. True2. False

5-37. Which of the following criteria will beconsidered as potentially impactingpersonnel security determinations?

1. Cohabitation2. An individual’s immediate family,

including cohabitants and otherpersons to whom he or she may bebound by affection, influence, orobligation are not citizens of theUnited States or may be subject toduress by a foreign power

3. Demonstrated misuse of classifiedinformation technology systems


5-38. In adjudications, the protection of thenational security may NOT be theparamount determinant.

1. True2. False

5-39. Which of the following entities isresponsible for deciding appeals from DONpersonnel of unfavorable personnel securitydeterminations made by the DON CAF?

1. SECNAV2. PSAB3. CNO (09B)4. NCIS

5-40. DON CAF officials are prevented fromserving as members of the PSAB orcommunicating with PSAB membersconcerning the merits of an appeal.

1. True2. False

5-41. Which of the following is NOT aresponsibility of the President of thePSAB?

1. Appoints board members2. Ensures an attorney is available for

legal questions, guidance or opinions3. Appoints an Executive Director of the

PSAB4. Establishes administrative procedures

5-42. The PSAB consists of how many members?

1. 52. 43. 34. 2

5-43. Appellants may request a personalpresentation/appearance before the PSAB.

1. True2. False

5-44. First time candidates and candidates forclearance at a higher level than currentlyheld must have their U.S. citizenship statusverified before security processing begins.

1. True2. False

5-45. The requirement to verify U.S. citizenshipfor first time candidates and candidates forclearance at a higher level than currentlyheld is satisfied under which of thefollowing conditions?

1. A valid BI or SBI completed before 1Sep 79 exists proving citizenship

2. The record of an officer in the Navy orMarine Corps does not containevidence of non-U.S. citizenship

3. The service record contains a DD 1966with certification that the documentsverifying U.S. citizenship have beensighted

4. All of the above

34

5-46. Which of the following primary forms ofevidence may be used to prove U. S.citizenship?

1. Signed affidavit from mother2. A U.S. birth certificate with a raised

seal3. Family bible records4. A baptismal record

5-47. Exactly who are considered non-U.S.citizens?

1. U. S. nationals2. Foreign nationals3. Immigrant aliens4. Both 2 and 3 above

5-48. Non-U.S. citizens are NOT eligible foraccess to Top Secret information and canNOT perform Presidential Support duties orNuclear Weapons Personnel ReliabilityProgram duties.

1. True2. False

5-49. In all cases, only United States citizens areeligible for a security clearance.

1. True2. False

5-50. For security purposes, which of thefollowing persons are considered U. S.citizens?

1. U.S. nationals2. Naturalized citizens3. Citizens of the Federated States of

Micronesia4. All of the above

35

ASSIGNMENT 6Textbook Assignment: Department of the Navy Information Security Program Regulation,

SECNAVINST 5510.36, "Introduction to the Information Security Program,"chapter 1, pages 1-1 through 1-11, "Command Security Management," chapter 2,pages 2-1 through 2B-2, and "Security Education," chapter 3, page 3-1.

LEARNING OBJECTIVE: Describe the basicpolicy of the Navy Information Security Programand identify responsibilities of designatedauthorities.

6-1. The ISP is implemented within DoN incompliance with which of the followingreferences?

1. E.O. 129582. 32 CFR Part 20013. ISOO Directive 14. All of the above

6-2. What publication is the controllingregulation for the implementation of theISP?

1. SECNAVINST 5510.30A2. OPNAVINST 5510.1H3. SECNAVINST 5510.364. OPNAVINST S5460.4C

6-3. What standards concerning theclassification, safeguarding, transmissionand destruction of classified informationare represented in the ISP regulation?

1. The maximum acceptable standards2. The minimum acceptable standards3. The uniform mandatory standards4. The GSA standards

6-4. What individuals are responsible forcompliance with the ISP regulation?

1. All Navy civilian employees2. All Marine Corps civilian employees3. All Navy and Marine Corps military

personnel4. All of the above

6-5. What official is responsible for theauthorization of SAPs?

1. CNO2. Director, Naval Intelligence3. SECDEF or Deputy SECDEF4. SECNAV

6-6. What regulation governs SCI?

1. DoD 5105.21-M-12. DoD Directive O-5205.73. DoD 5220.22-M4. SECNAVINST 5510.36

6-7. What reference(s) established the NISP?

1. E.O. 129582. E.O. 128293. Atomic Energy Act of 30 Aug 544. All of the above

6-8. The NISP is applicable to informationclassified under what authority?

1. Atomic Energy Act of 30 Aug 542. E.O. 129583. Both 1 and 2 above4. DoD Directive 5200.1

36

6-9. Which of the following is/are considered"controlled unclassified information"?

1. FOUO2. DEA sensitive information3. Both 1 and 2 above4. FRD

6-10. Requests for guidance or interpretationsregarding the policies contained inSECNAVINST 5510.36 should be made towhat authority?

1. Local command security office2. CNO (N09N2)3. Both 1 and 2 above4. NCIS

6-11. Under what circumstances, if any, may thecommanding officer modifySECNAVINST 5510.36 safeguardingrequirements?

1. During training exercises2. During combat or combat-related

operations3. During a civil disturbance4. Never

6-12. When a commanding officer seekspermission to waive a requirement for aspecific safeguarding requirement, therequest must be submitted to what official?

1. Director, Defense Security Service2. Director, Naval Intelligence3. CNO (N09N2)4. SECNAV

6-13. What authority is responsible foroverseeing agency implementation of E.O.12958?

1. SPB2. Director, ISOO3. NSA4. SECNAV

6-14. What interagency security organization wascreated by the President and is co-chairedby the Deputy SECDEF and the DCI?

1. NFIB2. SPB3. NDPB4. NSC

6-15. What agency has jurisdiction overinvestigative matters which includeespionage, sabotage, treason, and othersubversive activities?

1. NCIS2. FBI3. DCI4. DIA

6-16. What military department is the executiveagency for the Central U.S. Registry?

1. Navy2. Marines3. Army4. Air Force

6-17. What authority is responsible for providingsignals intelligence and COMSEC for theU.S. Government?

1. DIA2. ONI3. NSA4. SECDEF

6-18. Within the DoD, what official mustapprove requests to lower any COMSECstandards?

1. Chairman, JCS2. SECDEF3. SECNAV4. Director, CIA

37

6-19. Within the DON, who is responsible forimplementing an ISP in accordance withthe provisions of public laws, executiveorders, and directives issued by otherauthorities?

1. CNO (N09N)2. SECNAV3. DNI4. Director, Navy IPO

6-20. Who is responsible for the administrationof the DON CMS program and acts as thecentral office of records for DON CMSaccounts?

1. Director, Special Programs2. NSA3. DNI4. DCMS

6-21. Who is responsible for signals intelligenceactivities and the administration of the SCIprograms within the DON cryptologiccommunity?

1. NSC2. Director, ONI3. COMNAVSECGRU4. DNI

LEARNING OBJECTIVE: Recognize commandsecurity management requirements and identify keycommand officials and their responsibilities.

6-22. The term "command" is a generic term forwhich of the following activities?

1. Installation2. Laboratory3. Detachment4. All of the above

6-23. The term "commanding officer" is a genericterm for which of the following officials?

1. Commander2. Director3. Both 1 and 2 above4. Any administrative officer

6-24. What command official is responsible forthe effective management of the commandISP?

1. The security manager2. The commanding officer3. The security officer4. The SSO

6-25. Commands shall NOT exceed the standardsestablished by SECNAVINST 5510.36.

1. True2. False

6-26. The commanding officer has which of thefollowing responsibilities?

1. Issue a command security instruction2. Approve a command emergency plan3. Establish a command industrial

security program4. All of the above

6-27. What is the primary duty of the commandsecurity manager?

1. Serve as principal advisor to thecommanding officer

2. Serve as COMSEC custodian3. Serve as the TSCO4. Serve as the SSO

6-28. When a security guard force is in place,threats to security and other securityviolations are NOT reported, recorded, orinvestigated.

1. True2. False

38

6-29. What command official(s) is/areresponsible for ensuring that all proposedpress releases and information intended forpublic release are subjected to a securityreview?

1. Commanding officer2. Security manager3. Public Affairs officer4. Both 2 and 3 above

6-30. The TSCO reports directly to what official?

1. Commanding officer2. Executive officer3. Security manager4. SSO

6-31. The security manager may act as theTSCO.

1. True2. False

6-32. Commands that store large volumes of TSdocuments are exempt from the annualinventory requirement.

1. True2. False

6-33. Which of the following positions requires afavorably adjudicated SSBI completedwithin the previous 5 years?

1. Security manager2. Security assistant3. TSCA4. PAO

6-34. What command official is the commandingofficer’s primary advisor on the handling ofCOMSEC information?

1. NWP custodian2. CMS custodian3. SSO4. Security manager

6-35. The NWP Custodian position may be acollateral duty.

1. True2. False

6-36. The NATO control officer is required tohave an alternate.

1. True2. False

6-37. What command official is responsible forsigning DD 254s?

1. Security manager2. Commanding officer3. Contracting officer’s representative4. Assistant security manager

6-38. What command official implements thecommand INFOSEC program?

1. ISSM2. ISSO3. Security manager4. Commanding officer

6-39. The duties of the ISSM and ISSO areNEVER performed by the same official.

1. True2. False

6-40. What official is responsible for the receipt,storage and processing of SCI within acommand?

1. SSO2. CO3. CMS custodian4. Security officer

39

6-41. What official is responsible for theoperation, control and use of all commandSCIFs?

1. Security officer2. SSO3. CO4. Physical Security officer

6-42. What instruction governs the requirementsfor the designation of a command securityofficer?

1. SECNAVINST 5510.362. SECNAVINST 5510.30A3. OPNAVINST 5530.14C4. OPNAVINST 3120.32C

6-43. The purpose of an SSA is to enable the hostcommand to perform specific securityfunctions for the tenant command.

1. True2. False

6-44. How often are command inspections, assistvisits, and program reviews conducted?

1. Annually2. Biannually3. Semi-annually4. As necessary

6-45. The security manager is responsible fordeveloping a command security instructionthat supplements SECNAVINST 5510.36.

1. True2. False

6-46. A command should have an emergencyplan in the event of which of the followingoccurrences?

1. A natural disaster2. A civil disturbance3. Both 1 and 2 above4. International terrorism

6-47. All commands are required to have anemergency destruction supplement.

1. True2. False

LEARNING OBJECTIVE: Describe securityeducation policy and specific educationrequirements.

6-48. It is the commanding officer’s responsibilityto ensure that all command personnelreceive the necessary security education toenable quality performance of their securityfunctions.

1. True2. False

6-49. What DON authority is responsible forpolicy guidance, education requirementsand support for the DON security educationprogram?

1. CNO (N2)2. CNO (N09N)3. CNO (N64)4. CNO (N89)

6-50. In addition to general security education,specialized training is required for which ofthe following personnel?

1. Original Classification Authorities2. Derivative classifiers3. Classified couriers4. All of the above

40


SECNAVINST, 5510.36, "Classification Management," chapter 4, pages 4-1through 4-16, and "Security Classification Guides," chapter 5, pages 5-1through 5-3.

LEARNING OBJECTIVE: Recognizeclassification management criteria, includingclassification levels, responsibilities of original andderivative classification authorities, procedures, andspecial categories of classified information.

7-1. What is the only basis for classifying NSI?

1. E.O. 123332. E.O. 12958 and the Atomic Energy

Act of 30 Aug 543. The Counter-Espionage Act4. Original Classification Prerogative

7-2. Information classified by DON OCAs shallbe declassified when?

1. As soon as it no longer meets thestandards for classification

2. Within 5 years of creation3. Within 10 years of creation4. Within 25 years of creation

7-3. What are the authorized classificationlevels of NSI?

1. SCI, TS, and Secret only2. FOUO, Secret Sensitive, SCI, and TS3. TS, Secret, and Confidential only4. SCI, TS, Secret, and Confidential

7-4. What is the unauthorized disclosure ofclassified information expected to cause?

1. Damage2. Espionage3. Technology transfer4. Public media compromise

7-5. What does the classification level assignedto classified information indicate?

1. The degree of damage its unauthorizeddisclosure would cause to the nationalsecurity

2. The sensitivity level of the information3. The possibility of compromise4. The military application of the

information

7-6. Original classification is the creation ofclassified information based upon existingclassification guidance.

1. True2. False

7-7. Who is authorized to originally classifyDON information?

1. Officials delegated the authority2. The author of the information3. The commanding officer4. The security manager

7-8. Who approves the DON designation of TSOriginal Classification Authority?

1. Commanding officer2. Secretary of the Navy3. Security manager4. CNO (N09N)

41

7-9. Who approves the designation of SecretOCAs?

1. CNO (N09N)2. Secretary of the Navy3. Commanding officer4. Security manager

7-10. The authority to originally classify Secretand Confidential information is inherent inTS Original Classification Authority.

1. True2. False

7-11. What is required of OCAs after the requiredapproval and prior to originally classifyinginformation?

1. Submit their name and position title tothe CNO (N09N2)

2. Notify the commanding officer3. Be trained and provide written

confirmation of that training to theCNO (N09N2)

4. Notify their security manager

7-12. At the time of original classification, theOCA shall attempt to establish a specificdate or event, not to exceed 5 years fromthe date of the original classification.

1. True2. False

7-13. What is derivative classification?

1. The incorporating, paraphrasing,restating, or generating, in new form,information that is already classified

2. The initial determination thatinformation requires, in the interest ofthe national security, protection againstunauthorized disclosure

3. The reproduction of classifiedinformation

4. The duplication of classified markings

7-14. What is required of derivative classifiers?

1. Observe and respect originalclassification determination made byOCAs

2. Use caution when paraphrasing orrestating extracted classifiedinformation

3. Carry forward to any newly createddocument the pertinent classificationmarkings

4. All of the above

7-15. The majority of classified informationproduced by a command is based onoriginal classification decisions.

1. True2. False

7-16. Information previously declassified andofficially released to the public may bereclassified.

1. True2. False

7-17. When reason exists to believe informationis improperly classified, what shall thechallenger do?

1. Contact the CNO (N09N) forresolution

2. Contact the local NCIS office forresolution

3. Remark the material with the correctclassification

4. Contact the cognizant commandsecurity manager or the classifier ofthe information for resolution

7-18. After a final determination of aclassification challenge, if the challenger isstill not satisfied, that person may appealthe OCA’s decision to what official?

1. CNO (N09N)2. CO3. The security manager4. The derivative classifier

42

7-19. If there is reasonable doubt about the needto classify information, it shall NOT beclassified.

1. True2. False

7-20. When is information marked with a"tentative" classification?

1. It is included in a working paper2. The classification level is uncertain or

it is generated in conjunction with anIR&D/B&P effort

3. It was previously declassified4. It is a presentation

7-21. What DON official serves as the PatentCounsel for the DON?

1. SECDEF2. SECNAV3. CNO (N09N)4. CNR (Code 300)

7-22. The authority to assign the U.S.classification equivalent to FGI requiresOriginal Classification Authority.

1. True2. False

7-23. Foreign government unclassified andRESTRICTED information provided withthe expectation, expressed or implied, thatit, the source, or both, are to be held inconfidence, shall be marked at whatclassification level?

1. RESTRICTED2. TS3. Confidential4. Secret

7-24. What is classified information relating tothe tactical characteristics and capabilitiesof naval nuclear ships and propulsion plantdesign typically categorized as?

1. NSI2. RD3. FRD4. TS

7-25. What is classified information primarilyrelating to the reactor plant of a nuclearpropulsion system typically categorized as?

1. TS2. RD3. FRD4. RESTRICTED

7-26. Who is the program manager for the DONNaval Nuclear Reactor Program?

1. CNO (N09N)2. SECNAV3. Commander, NAVSEA (SEA-08)4. Commanding Officer, Naval Surface

Warfare Center

7-27. Where is detailed classification guidanceconcerning NNPI found?

1. CG-RN-1 (Rev.3)2. SECNAVINST 5510.363. E.O. 129584. E.O. 12968

7-28. The SECNAV is authorized to downgrade,declassify, or modify an OCA’s decision,provided the DON exercises finalclassification authority over theinformation.

1. True2. False

43

7-29. What regulation contains detailed policyconcerning the automatic declassificationof DON information?

1. OPNAVINST 5513.16A2. OPNAVINST 5510.1H3. DoD 5200.1-R4. OPNAVINST 5513.1E

7-30. Only the SECDEF and the Secretaries ofthe Military Departments may exemptinformation from automaticdeclassification.

1. True2. False

7-31. What is systematic declassification review?

1. The review for declassification ofcertain categories of classifiedinformation

2. The review for declassification ofclassified information contained inrecords determined by the Archivist ofthe U.S. to have permanent historicalvalue

3. The review for declassification ofclassified information 25 years or older

4. The review for declassification ofclassified information 10 years or older

7-32. What DON official is responsible foridentifying to the Archivist of the U.S.,classified information 25 years old or older,which still warrants protection?

1. SECNAV2. Director, NAVHIST3. CNO (N09N)4. SECDEF

7-33. Special procedures for systematic reviewfor declassification of classified cryptologicinformation are established by whatauthority?

1. SECDEF2. SECNAV3. CNO (N09N)4. The NSA

7-34. What official may establish procedures forthe systematic declassification review ofclassified intelligence information?

1. SECDEF2. SECNAV3. DCI4. Commander, NIC

7-35. The provisions for systematicdeclassification review do NOT apply towhich of the following special types ofclassified information?

1. FGI2. RD3. FRD4. All of the above

7-36. Information classified under E.O. 12958 orpredecessor orders may be subject tomandatory declassification review underwhat circumstances?

1. The information is not exempted fromsearch or seizure under Title 50,U.S.C. Section 401, CentralIntelligence Agency Act

2. The information has not been reviewedwithin the preceding 2 years

3. The request for review describes theinformation with sufficient specificityto enable its location with a reasonableamount of effort


44

7-37. Information originated by the incumbentPresident, the current White House staff, itsappointed committees, commissions,boards, or other entities of the incumbentPresident’s Executive Office is exemptedfrom which of the following reviews?

1. Congressional declassification review2. Senate declassification review3. Oversight review4. Mandatory declassification review

7-38. The downgrading or declassification reviewof classified information officiallytransferred to a DON command becomesthe responsibility of what official?

1. The commanding officer or seniorofficial with OCA at that command

2. The security manager3. CNO (N09N)4. Director, ISOO

7-39. OCAs are responsible to notify all holdersof any classification changes involvinginformation they originally classified.

1. True2. False

LEARNING OBJECTIVE: Recognize the functionsof Security Classification Guides and describe theRankin program.

7-40. Which of the following purposes dosecurity classification guides serve?

1. As the primary reference source forderivative classifiers

2. As source documents to identify thelevel and duration of classification forspecific information elements

3. Both legal and management functionsby recording DON originalclassification determination

4. All of the above

7-41. What officials are authorized to prepare andsubmit DON SCGs?

1. Commanding officers2. Approved DON OCAs3. Security managers4. Security specialists

7-42. The approved format for DON SCGs isfound in what regulation?

1. OPNAVINST 5513.1E2. OPNAVINST 5513.16A3. E.O. 129584. DoD 5200.1-R

7-43. What is the computerized data base thatprovides for the standardization, centralizedmanagement and issuance of all DONSCGs?

1. NEBS Program2. RANKIN Program3. SCG Program4. DON Directive Program

7-44. The DON RANKIN Program Manager ischarged with what primary responsibility?

1. Notifying all holders of all changes inDON classified information

2. Approving OCAs that create SCGs3. Maintaining historical files for all

SCGs4. Periodically rewriting all DON SCGs

7-45. Cognizant DON OCAs shall conductperiodic reviews of their SCGs at whatminimum time interval?

1. Every year2. Every 2 years3. Every 5 years4. Every 10 years

45

7-46. All changes to existing DON SCGs arereported to what official?

1. SECNAV2. CNO (N09N)3. SECDEF4. Director, ISOO

7-47. Who typically issues SCGs for systems,plans, programs, or projects involving morethan one DoD component?

1. OSD or the DoD componentdesignated by the OSD as executive oradministrative agent.

2. ISOO3. SECNAV4. Director, ISOO

7-48. What OPNAVINST series contains, asenclosures, individual SCGs for classifiedDON systems, plans, programs or projects?

1. OPNAVINST 55102. OPNAVINST 55303. OPNAVINST 55134. OPNAVINST 5520

7-49. Most instructions in the OPNAVINST 5513series can be ordered through what source?

1. CNO (N2)2. ISOO3. CNO (N89)4. DON supply system

7-50. Should a conflict arise between an SCG anda classified source document, theinstructions in the SCG take precedence.

1. True2. False

46


SECNAVINST 5510.36, "Marking," chapter 6, pages 6-1 through 6-26.

LEARNING OBJECTIVE: Describe the markingpolicy and procedures for classified information,including requirements for portion marking andplacement of associated markings and warningnotices.

8-1. What shall all classified information beclearly marked with?

1. The appropriate classification leveland date only

2. The appropriate classification level,office of origin, and date only

3. The appropriate classification leveland office of origin only

4. The appropriate classification level,date, office of origin, and allapplicable associated markings

8-2. Classified markings serve to warn holdersof which of the following requirements?

1. Storage requirements2. Special access requirements3. Special control requirements4. All of the above

8-3. No classification level or associatedmarkings shall be applied to any article orportion of an article that has appeared inthe public domain.

1. True2. False

8-4. RD (including CNWDI) or FRDinformation shall NOT be marked with aclassification level.

1. True2. False

8-5. Classified documents provided to foreigngovernments, their embassies, missions, orsimilar official offices within the U.S., shallbe marked only with the applicableassociated markings.

1. True2. False

8-6. Exceptions to the basic marking policyinclude which of the following documents?

1. RD (including CNWDI), and FRD2. Documents that have appeared in the

public domain or that may reveal aconfidential source

3. Documents provided to foreigngovernments, their embassies,missions, or similar official officeswithin the U.S.

4. All of the above

8-7. The "face" of a document is also referred toas the front cover, first page, or title page.

1. True2. False

8-8. The highest overall classification level shallbe marked, top and bottom center, on theface and back cover of all classifieddocuments.

1. True2. False

47

8-9. What shall be included on documents thatcannot be marked with the overallclassification level on the face and backcover?

1. A distribution statement2. An index3. An explanatory statement on the face4. A distribution list

8-10. All interior pages of a document shall bemarked with the highest overallclassification level with what exception?

1. Blank pages2. The table of contents3. Reference pages4. Index pages

8-11. When the alternative marking method ofmarking document interior pages with thehighest overall classification scheme isused, the requirement to portion mark iseliminated.

1. True2. False

8-12. Each portion (i.e., title, section, part,paragraph, subparagraph, etc.) of aclassified document shall be marked toshow its classification level.

1. True2. False

8-13. What does the marking "FOUO" designateabout unclassified information?

1. That it was formerly sensitive butunclassified

2. That it is "eyes only" information3. That it may be used for Navy purposes

only4. That it is exempt from mandatory

release to the public underSECNAVINST 5720.42E

8-14. In addition to the overall classificationlevel, what shall portion markings include?

1. The abbreviated form of all applicablewarning notices and intelligencecontrol markings

2. The date3. The applicable downgrading or

declassification instructions4. The initials of the OCA responsible for

the information

8-15. In the exceptional case that a documentcannot be portion marked, what is includedon the face of the document?

1. The reason why the document cannotbe portion marked

2. A description of what portions aremarking document interior pagesclassified and at what level

3. The name and personal identifier ofthe person authorizing the exception tothe marking requirement

4. A description of what portions of thedocument are unclassified

8-16. What must figures, tables, graphs, graphcaptions or titles, charts and similarillustrations appearing within a documentbe marked with?

1. The highest overall classification levelof the document only

2. The abbreviated form of anyapplicable warning notices orintelligence control markings only

3. Applicable warning notices andintelligence control markings only

4. The classification level and the shortform of any applicable warning noticesand intelligence control markings

48

8-17. How shall portions of U.S. documentscontaining NATO or FGI be marked?

1. "FGI"2. To reflect the country or international

organization, and the appropriateclassification level

3. "NATO"4. "RESTRICTED"

8-18. Portions of U.S. documents marked with an"(R)" indicates that the portions containwhat information?

1. NATO RESTRICTED or ForeignGovernment RESTRICTED

2. DOS SBU3. FOUO4. FGI or NATO

8-19. The authority to grant waivers of theportion marking requirement rests with theCNO (N09N).

1. True2. False

8-20. Portion marking waivers granted by DoDofficials prior to what date are no longervalid?

1. 17 May 19992. 10 May 19993. 14 October 19954. 20 October 1996

8-21. All DON marking waiver requests must besent via the CNO (N09N2).

1. True2. False

8-22. When subjects or titles of classifieddocuments are included in the referenceline, enclosure line, or the body of theinformation, where is the classificationlevel marked?

1. Immediately before the subject or title2. Immediately following the subject or

title3. On the reference page4. On the cover page

8-23. On what page of the document areassociated markings spelled out in theirentirety?

1. Face2. First page3. Title page4. All of the above

8-24. Where on the document are associatedmarkings NOT spelled out?

1. Interior pages2. Front cover3. Face4. First page

8-25. What is marked on the face of documentscontaining information originallyclassified?

1. A "Classified by" line only2. A "Derived from" line only3. "Classified by" and "Reason" lines4. "Derived from" and "Reason" lines

8-26. How is the face of a document containinginformation both originally and derivativelyclassified marked?

1. With "Classified by" and "Reason"lines

2. With a "Classified by" line only3. With a "Derived from" line only4. With "Derived from" and "Reason"

lines

49

8-27. How is the face of a document containinginformation derivatively classified marked?

1. With “Derived from" and "Reason"lines

2. With a "Derived from" line only3. With "Classified by" and "Reason"

lines4. With a "Classified by" line only

8-28. How is the "Classified by" or "Derivedfrom" line of a document classified by acombination of sources annotated?

1. "Compilation of Sources"2. "Various Sources"3. "Multiple Sources"4. "See attached listing"

8-29. At a minimum, where shall a record of thesources of documents classified by acombination of sources be maintained?

1. With the file or record copy of thedocument

2. With all copies of the document3. With the bibliography page4. With the reference list

8-30. What does the "Downgrade to" lineindicate?

1. The date or event the document isunclassified

2. The classification level the documentis to be downgraded to only

3. The date or event that a document willbe downgraded to a lowerclassification level only

4. The specific date or event in which adocument is to be downgraded and atwhat classification level

8-31. What does the "Declassify on" lineindicate?

1. The date or event on which adocument should have adeclassification review

2. The date or event on which a change ina document's classification level willoccur

3. The date or event at which a documentno longer requires classification in theinterest of national security

4. The date or event the document isreleasable to the public

8-32. What does an "X" code annotated on the"Declassify on" line indicate?

1. The document is exempt fromautomatic declassification

2. The document is declassified3. The document should be reviewed for

declassification4. The document is tentatively

declassified

8-33. What instruction discusses the use of "25Xcodes" as a declassification instructionapplied to permanently-valuable records?

1. SECNAVINST 5510.362. OPNAVINST 5513.16A3. OPNAVINST 5513.1E4. SECNAVINST 5510.30A

8-34. What is the "Declassify on" line of adocument classified by a combination ofsources annotated with?

1. The most restrictive downgrading anddeclassification instructions of all thesources

2. The most restrictive downgradinginstructions of all the sources only

3. An "X" code4. The date of the most recent source

50

8-35. Warning notices serve to advise holders ofclassified documents that additionalprotective measures are required.

1. True2. False

8-36. Dissemination and Reproduction noticesare considered warning notices.

1. True2. False

8-37. How are documents containing either RDor FRD information marked?

1. Top and bottom center on the face of adocument

2. Lower left corner on the face of thedocument with the applicable warningnotice

3. Center top on the face of a document4. On the cover sheet only

8-38. A document containing both RD and FRDinformation is marked with which of thefollowing warning notices?

1. Both the RD and the FRD2. Only the FRD3. Only the RD4. The CNWDI

8-39. RD and FRD documents do NOT have tobe portion marked.

1. True2. False

8-40. Since CNWDI is a subset of RD,documents containing CNWDI shall bemarked with which of the followingwarning notices?

1. Both the RD and the CNWDI2. Only the RD3. The RD/FRD and the CNWDI4. Only the CNWDI

8-41. How are portions of RD paragraphscontaining CNWDI marked?

1. "(CNWDI)"2. "(RD/CNWDI)"3. "(RD)(N)"4. "(RD/CN)"

8-42. How are interior pages containing CNWDImarked?

1. At the bottom center, after theclassification level, with "CNWDI"

2. At the bottom center, after theclassification level with "CRITICALNUCLEAR WEAPONS DESIGNINFORMATION"

3. At the bottom left-hand corner with"CNWDI"

4. At the bottom right-hand corner with“CNWDI”

8-43. Where are the marking policies anddissemination procedures for CNWDIfound?

1. OPNAVINST 5570.22. NAVSEAINST C5511.32B3. DoD Directive 5210.24. CG-RN-1 (Rev. 3)

8-44. The marking policies and procedures forNNPI are contained in what regulations?

1. NAVSEAINST C5511.32B andCG-RN-1 (Rev. 3)

2. NAVSEAINST C5511.32B and DoDDirective 5210.2

3. DoD Directive 5210.2 and CG-RN-1(Rev. 3)

4. NAVSEAINST C5511.32B andOPNAVINST 5570.2

8-45. Associated markings are required forclassified NNPI not containing RD or FRDinformation.

1. True2. False

51

8-46. SIOP documents are NOT marked in thesame manner as any other classifieddocument in what instance?

1. They contain Secret information2. They contain Confidential information3. They are being released to NATO4. They contain unclassified information

8-47. SIOP-ESI documents are subject to specialdissemination controls.

1. True2. False

8-48. What designator is included on messagescontaining SIOP-ESI?

1. "SIOP-ESI"2. "SIOP"3. "SPECAT"4. "TS"

8-49. What designator is included on COMSECdocuments?

1. "SPECAT"2. "TS"3. "SENSITIVE"4. "CRYPTO"

8-50. Only the face of an unclassified FOUOdocument should be marked "FOROFFICIAL USE ONLY."

1. True2. False

8-51. The FOUO portions of a classifieddocument should be marked "(FOUO)."

1. True2. False

8-52. How shall unclassified letters of transmittalwith FOUO attachments or enclosures bemarked at the top left corner?

1. "FOUO"2. "This transmittal contains information

exempt from mandatory disclosureunder the FOIA."

3. "FOR OFFICIAL USE ONLYATTACHMENT"

4. “FOUO SPACE ATTACHED”

8-53. With what notice shall FOUO documentstransmitted outside the DoD be marked?

1. "FOR OFFICIAL USE ONLY"2. "Exemption(s) ____ apply"3. "Exempt from mandatory disclosure "4. "This document contains information

exempt from mandatory disclosureunder the FOIA. Exemption(s)__apply."

8-54. Where on the document shall unclassifieddocuments containing DoD UCNI bemarked with "DoD Unclassified ControlledNuclear Information"?

1. The face only2. The back cover only3. The face and back cover4. The face and interior pages

52

8-55. Classified documents containing DoDUCNI are marked as any other classifieddocument with what, if any, exception?

1. Unclassified interior pages shall bemarked “DoD UCNI"

2. Unclassified interior pages shall bemarked "For Official Use Only"

3. Unclassified interior pages shall bemarked, top and bottom center, with"DoD Unclassified Controlled NuclearInformation"

4. There is no marking exception

LEARNING OBJECTIVE: Recognize theprocedures for marking intelligence and otherspecial categories of information and describemarking requirements for correspondence andletters of transmittal; messages; files and folders;blueprints and maps and charts; and audio-visualmedia.

8-56. Intelligence control markings are applicableto documents containing what information?

1. Sensitive but unclassified2. Intelligence3. RD or FRD4. FGI

8-57. Documents classified by a foreigngovernment or international organizationretain their original foreign classificationdesignation or are assigned the U.S.classification equivalent.

1. True2. False

8-58. Authority to assign U.S. designations toforeign government information requiresoriginal classification authority.

1. True2. False

8-59. Downgrading or declassificationinstructions are not included on FGIinformation unless specified or agreed toby the foreign entity.

1. True2. False

8-60. What are nicknames?

1. A combination of two non-code wordswhich may or may not be classified

2. An exercise term which may or maynot be classified

3. A combination of two unclassifiedwords with an unclassified meaning

4. A single word with a classifiedmeaning

8-61. Classification by compilation may occurwhen items of unclassified or classifiedinformation are combined.

1. True2. False

8-62. What information shall be included in thestatement on the face of a documentclassified by compilation?

1. The fact that individual parts areunclassified or are of a lowerclassification

2. The authority for the compilationclassification

3. The reason why the compilationwarrants classification or a higherclassification

4. All of the above

8-63. Component parts of a document which arelikely to be removed shall be marked as aseparate document.

1. True2. False

53

8-64. Upon notification by proper authority,holders of classified documents that havebeen upgraded, downgraded, ordeclassified shall remark the affectedportions.

1. True2. False

8-65. How shall a newly created document bemarked when the classification is based onsource documents with old declassificationinstructions that have indeterminatedeclassification dates or events?

1. "Review on: ___"2. "Declassify on: ___"3. No marking until OCA determination4. "Source marked OADR, source dated

_____"

8-66. Letters of transmittal may or may not haveclassified enclosures or attachments.

1. True2. False

8-67. Mark only the face of a two-pageunclassified letter of transmittal with thehighest overall classification level of itsenclosures or attachments.

1. True2. False

8-68. Both classified and unclassified letters oftransmittal shall provide what additionalinformation?

1. Classified serial number2. Instructions concerning the

classification level of the transmittalwith and without its enclosures orattachments

3. A "Declassify on" line4. The name or personal identifier of the

OCA

8-69. There are no marking requirements forletters of transmittal containing controlledunclassified information.

1. True2. False

8-70. Classified messages shall be portionmarked with the exception of certainpreformatted messages.

1. True2. False

8-71. When self-processing film or paper is usedto photograph or reproduce classifiedinformation, how should the negative orlast exposure be handled?

1. Removed from the camera and secured2. Secured with the camera as classified3. Properly destroyed4. Each of the above

8-72. How are slides or transparencies which arepermanently removed from a set marked?

1. As separate documents2. With a copy number3. With the overall classification of the

original presentation4. With a "tentative" classification

marking

8-73. How shall classified motion pictures, films,and videotapes be marked?

1. With the highest overall classificationlevel only

2. With the highest overall classificationlevel and all applicable associatedmarkings

3. With the address of the originator4. With downgrading instructions only

54

8-74. How is classified AIS media notprogrammed in a readily accessible formatidentified?

1. Marked documentation is kept with themedia

2. The media is marked on the outsidewith the overall classification leveland all applicable associated markings

3. Both 1 and 2 above4. It is placed in a classified folder

8-75. Miscellaneous classified materials createdduring the production of a document, suchas rejected copies, typewriter ribbons, orcarbons, do NOT require any markings,unless necessary to ensure their protection.

1. True2. False

55


SECNAVINST 5510.36, "Safeguarding," chapter 7, pages 7-1 through 7-11; and"Storage and Destruction," chapter 10, pages 10-1 through 10D-8.

LEARNING OBJECTIVE: Recognize the policyand procedures for safeguarding classifiedinformation, including measures for Top Secret,Secret, and Confidential information, workingpapers, and special types of classified andcontrolled unclassified information.

9-1. Which of the following statementsregarding the safeguarding of classifiedinformation is/are correct?

1. The information shall be processedonly on accredited AISs

2. The information may be used onlywhere unauthorized persons may notgain access

3. The information shall be stored inapproved equipment

4. All of the above

9-2. Which of the following areas must bedesignated, in writing, by the commandingofficer?

1. Exclusion areas2. Controlled areas3. Restricted areas4. Sensitive areas

9-3. When a military or civilian individualretires from the Navy, all classifiedinformation in his or her possession mustbe returned to the appropriate authority,EXCEPT for that information specificallyoriginated by the individual.

1. True2. False

9-4. What type of information must becontinuously accounted for?

1. All classified information2. TS and Secret3. TS only4. Secret and Confidential

9-5. TS publications that are mass-producedreproductions must be marked withindividual copy numbers.

1. True2. False

9-6. A receipt is NOT required for TSdisseminated within a command.

1. True2. False

9-7. TS documents must be inventoried at whatmaximum interval?

1. Monthly2. Quarterly3. Semiannually4. Annually

9-8. The commanding officer shall establishadministrative procedures for controllingSecret and Confidential information basedon which of the following criteria?

1. Command location2. Threat assessment3. Command mission4. All of the above

56

9-9. What are working papers?

1. Finished classified documents thathave been published and distributed

2. Classified notes, drafts, and similaritems that are not finished documents

3. All documents and material used in theperformance of official duties

4. Drawings, photographs, schematics, ordiagrams used to describe theoperation of machinery or equipment

9-10. How must classified working papers besafeguarded?

1. Dated and marked "Working Paper"when created

2. Marked with the highest overallclassification level and protectedaccordingly

3. Destroyed when no longer needed4. All of the above

9-11. Classified working papers must becontrolled and marked as a finisheddocument when retained for more than 90days.

1. True2. False

9-12. What instruction provides guidance forsafeguarding NATO information?

1. OPNAVINST C5510.101D2. OPNAVINST 5510.1H3. SECNAVINST 5510.364. OPNAVINST S5511/35K

9-13. Only second echelon commands thatreceive NWPs must establish an NWPlibrary.

1. True2. False

9-14. For what minimum number of years must acommand retain records for TS FGI?

1. Two2. Three3. Four4. Five

9-15. When a foreign government’s requirementto protect its RESTRICTED or unclassifiedinformation is lower than that prescribedfor U.S. Confidential, what should you doto prevent unauthorized access?

1. Ensure that the information is providedto only those individuals who have aneed to know

2. Provide, in writing or oral briefing,applicable handling instructions tothose given access

3. Provide storage instructions4. All of the above

9-16. What authority provides guidance forsafeguarding RD (including CNWDI) andFRD?

1. DoD 5105.29-M-12. DoD Dir 5210.23. SECNAVINST 5510.364. SECNAVINST 5510.30A

9-17. What authority governs the control andsafeguarding of sensitive informationcontained in AISs?

1. The Privacy Act, U.S.C. Section 552a2. Computer Security Act of 19873. SECNAVINST 5720.42E4. OPNAVINST 5510.158A

9-18. What authority must approve the use ofalternative or compensatory controlmeasures?

1. CNO (N09N2)2. CNO (N89)3. CNO (N09N)4. CNO (N2)

57

9-19. Alternative or compensatory controlmeasures may NOT be used on which ofthe following types of information?

1. RD2. FRD3. CNWDI4. All of the above

9-20. Code words must be established andapproved by CNO (N09N) prior toapplying alternative or compensatorycontrol measures to classified information.

1. True2. False

9-21. Which of the following precautions must betaken to safeguard classified informationduring working hours?

1. Classified documents removed fromstorage must be under constantsurveillance at all times or coveredwhen not in use

2. Any kind of item used in thepreparation of a classified documentmust either be protected according toits level of classification or destroyed

3. Visitors who are not authorized accessto classified information should not bereceived in areas where classifiedinformation is being used or discussed

4. All of the above

9-22. At the end of the day individuals arepersonally responsible for which of thefollowing security actions?

1. Placing their classified documents andrelated classified material in theappropriate security container, vault,or secure room

2. Ensuring that each container drawer,vault or secure room is secured

3. Conducting an end of the day securitycheck of their working spaces

4. All of the above

9-23. Classified information shall be disclosed ata meeting only when it serves a specificU.S. Government purpose.

1. True2. False

9-24. Under which of the followingcircumstances is it permissible to grant avisitor access to classified information?

1. The security officer verifies thevisitor’s need to know

2. The visitor presents a visit request3. The visitor's clearance level and need

to know have been verified by thecustodian of the information

4. All of the above

9-25. A Secret classified meeting may be held atwhich of the following locations?

1. A naval facility2. Andrews AFB Conference Center3. A cleared DoD contractor facility4. All of the above

9-26. What instruction governs the TSCM policyregarding discussions of TS information atclassified meetings?

1. SECNAVINST 5720.42E2. SECNAVINST 5500.31A3. SECNAVINST 5510.364. OPNAVINST 5530.14C

58

9-27. Which of the following conditions must bemet before a command agrees to host aclassified meeting outside the command,including those supported by non-U.S.Government associations?

1. Confirm that other means forcommunicating or disseminating theclassified information would notaccomplish the purpose

2. Ensure that attendance is limited toU.S. Government personnel or clearedDoD contractor employees

3. Request approval from CNO (N09N2)4. All of the above

9-28. Which of the following DON authoritiesmust approve any participation by foreignnationals prior to their attendance atclassified meetings?

1. CNO (N09N2)2. SECNAV3. Security manager4. Navy IPO or cognizant command

foreign disclosure office

9-29. What command official is responsible forestablishing procedures for thereproduction of classified information?

1. Security manager2. Commanding officer3. Physical Security officer4. SSO

9-30. Who must approve the reproduction of TSFGI?

1. CNO (N09N2)2. NAVY IPO3. Originating government4. Director, International Security Policy

9-31. Records of receipt, internal distribution,destruction, inventory, access, transmissionand reproduction must be maintained forboth TS and Secret FGI.

1. True2. False

LEARNING OBJECTIVE: Identify storagerequirements and destruction standards andprocedures for classified information

9-32. When, if ever, may money or jewelry bestored in a GSA-approved container used tostore classified information?

1. During emergency and combatsituations

2. When the articles are to be used asevidence in a military court

3. When the articles are double-wrappedand segregated from the classifiedinformation

4. Never

9-33. Any weakness, deficiency, or vulnerabilityfound to exist in any equipment used tosafeguard classified information shall bereported to which of the followingauthorities?

1. Naval Supply System Command2. CNO (N09N2)3. GSA4. CNO (N09N3)

9-34. What agency has the responsibility forestablishing and publishing minimumstandards, specifications, and supplyschedules for security equipment anddevices used for storage and destruction ofclassified information?

1. Naval Facilities Engineering ServiceCommand

2. NCIS3. GSA4. Naval Supply Systems Command

59

9-35. Any GSA-approved container housing TSinformation must be marked on the outsideof the container for emergency situations.

1. True2. False

9-36. When a GSA-approved security containerused to store TS information is located inthe U.S., no supplemental controls arerequired.

1. True2. False

9-37. Which of the following supplementalcontrols is/are required for Secretinformation stored in an open storage area?

1. Continuous protection provided bycleared guard or duty personnel

2. Inspection by cleared guard or dutypersonnel every 8 hours

3. An IDS with response time within 45minutes of alarm annunciation

4. All of the above

9-38. Which of the following individuals is/areauthorized to change the combination onsecurity containers, vault doors or secureroom doors housing Secret information?

1. A civilian Navy employee with aSecret clearance

2. A chief petty officer with a Top Secretclearance

3. Both 1 and 2 above4. A locksmith

9-39. All non-GSA-approved cabinets must bereplaced with GSA-approved securitycontainers prior to what replacement date?

1. 1 January 20022. 1 October 20023. 30 September 20054. 1 October 2015

9-40. Which of the following materials shouldNOT be used to construct the walls, floor,and roof of a secure room?

1. 2-inch wire mesh2. Plaster or plywood3. Gypsum wallboard or wood4. Metal panels

9-41. The combination of a security containerused to store classified information must bechanged on which of the followingoccasions?

1. When the combination has beensubjected to compromise

2. When first placed in use3. When taken out of service4. All of the above

9-42. What combination should be set on a built-in combination lock that has been taken outof service?

1. 10-20-302. 10-15-203. 50-25-504. 50-30-50

9-43. What combination should be set on acombination padlock that is taken out ofservice?

1. 10-20-102. 10-20-303. 50-25-504. 20-40-20

9-44. Each security container, vault, or secureroom must have a record showing itslocation and the name, home address, andphone number of which of the followingindividuals?

1. The security manager only2. The commanding officer only3. The responsible custodian of the stored

information only4. All persons having knowledge of the

combination

60

9-45. Which of the following safeguardsapply(ies) to the combination of a securitycontainer?

1. It must be treated as having aclassification equal to the highestcategory of information stored therein

2. It must be marked appropriately onany written record

3. It shall be stored in a security containerother than the one to which it applies

4. All of the above

9-46. What authority governs key security andlock control?

1. OPNAVINST 5530.1B2. SECNAVINST 5510.363. OPNAVINST 5530.14C4. SECNAVINST 5510.30A

9-47. To secure a classified container, you mustrotate the dial of the combination lock aminimum of how many times in the samedirection?

1. Five2. Two3. Three4. Four

9-48. A civilian locksmith who has no securityclearance but is continuously escortedwhile in the security area may performwhich of the following services on asecurity container?

1. Neutralize a lock-out2. Repair a locking drawer3. Both 1 and 2 above4. Change the combination

9-49. In reference to an intrusion detectionsystem in an area where classifiedinformation is stored, what statement isNOT true?

1. It complements other physical securitymeasures

2. It prevents an attempted intrusion3. It provides additional controls at vital

areas4. It may provide a more economical and

efficient substitute for other protectivemeasures

9-50. When purchasing a new shredder, you mayselect either a cross-cut or a strip shredder.

1. True2. False

9-51. When classified information is shredded,what should be the maximum width of thestrip?

1. 1/32 inch2. 1/16 inch3. 1/64 inch4. 3/64 inch

9-52. A wet process pulper is capable ofdestroying which of the followingmaterials?

1. Typewriter ribbons2. Microforms3. Paper products4. All of the above

9-53. How many witness signatures are requiredon a TS destruction record?

1. One2. Two3. Three4. Four

61

9-54. TS records of destruction shall be retainedfor what minimum number of years?

1. Two2. Three3. Four4. Five

9-55. Unclassified NNPI may be destroyed in thesame manner as FOUO information.

1. True2. False

9-56. When the commanding officer of a U.S.Navy ship transfers classified informationto a friendly foreign government, whatSECNAV instruction is the source ofguidance?

1. 5510.362 5510.343 5510.48J4. 5530.14C

62


SECNAVINST 5510.36, "Dissemination," chapter 8, pages 8-1 through 8B-1;"Transmission and Transportation," chapter 9, pages 9-1 through 9A-6; and "Loss orCompromise of Classified Information," chapter 12, pages 12-1 through 12-11.

LEARNING OBJECTIVE: Recognize the policyand procedures for dissemination of classified andcontrolled unclassified information, including theprocedures for assigning distribution statements ontechnical documents and review requirements

10-1. Authority for disclosure of classifiedinformation to foreign governments hasbeen centralized in what office?

1. Security manager2. Director, Navy IPO3. ASD(PA)4. TSCO

10-2. DoD departments and agencies maydisseminate Secret and Confidentialinformation to each other unlessspecifically prohibited by the originator.

1. True2. False

10-3. Transmission through NATO channels isrequired when disseminating DONdocuments that incorporate NATOinformation.

1. True2. False

10-4. FOUO information may NOT bedisseminated within DoD components andbetween officials of the DoD components.

1. True2. False

10-5. DEA sensitive information in thepossession of the DoD shall be releasedoutside the DoD only with authorizationfrom what entity?

1. Navy IPO2. CNO (N09N2)3. DEA4. Security manager

10-6. Commands which generate technicaldocuments shall notify DTIC and otherinformation repositories when classificationmarkings, export control statements, ordistribution statements are changed.

1. True2. False

10-7. The author of a paper about a new navalweapon is required to submit theinformation for review and clearance priorto publishing.

1. True2. False

10-8. A technical paper, written with the potentialof becoming an item of national orinternational interest, has to be reviewed byASD(PA) via the CNO (N09N2) prior topublic release.

1. True2. False

63

10-9. What information shares the same policiesand procedures for dissemination as thoseused for FOUO?

1. DOS SBU2. DEA sensitive3. RD4. SAPs

10-10. All newly generated DoD unclassifiedtechnical documents shall be assigned oneof the distribution statements listed inChapter 8 of SECNAVINST 5510.36.

1. True2. False

10-11. The author of a technical documentassigned Distribution Statement A canprovide a copy of the document to a foreignnational.

1. True2. False

10-12. Which of the following DistributionStatements is assigned to documentscontaining export-controlled technical data?

1. Distribution Statement G2. Distribution Statement A3. Distribution Statement E4. Distribution Statement B

10-13. A classified technical document may beassigned Distribution Statement X.

1. True2. False

10-14. When a classified document is assignedDistribution Statement F and is thendeclassified, that distribution statementshall be retained until specifically changedor removed by the originating command.

1. True2. False

LEARNING OBJECTIVE: Identify methodsapproved for the transmission and transportation ofclassified information and requirements fortransmitting and transporting special types ofclassified and controlled unclassified information.

10-15. What must the commanding officer dowhen classified material is to be transmittedor transported?

1. Ensure that only appropriately clearedpersonnel discharge theseresponsibilities

2. Select a means that would minimizethe risk of a loss or compromise

3. Permit the use of the most costeffective mode of conveyance

4. All of the above

10-16. How do all transfers of U.S. classifiedinformation to a foreign government takeplace?

1. By cleared DOE contractors2. Through government-to-government

channels3. Through the International Security

Document Transfer Program4. By USPS Certified Mail Only

10-17. U.S. TS information is transmitted ortransported by which of the followingmeans?

1. By direct contact betweenappropriately cleared U.S. personnel

2. By the Defense Courier Service3. By the DOS Diplomatic Courier

Service4. All of the above

64

10-18. U.S. Secret information is transmitted ortransported by which of the followingmeans?

1. By USPS Registered Mail within andbetween the U.S. and its territories

2. By Canadian Royal Mail Service3. By USPS Certified Mail4. All of the above

10-19. U.S. Confidential information istransmitted or transported by which of thefollowing means?

1. Via an approved carrier that providescourier service

2. By USPS first class mail in the U.S.and its territories

3. By UPS express mail service plus4. All of the above

10-20. NATO RESTRICTED information istransmitted by which of the followingmeans?

1. By USPS certified mail2. By USPS first class mail within

CONUS3. By USPS second class mail4. By UPS express mail service plus

10-21. FOUO information is transported by whichof the following means?

1. By USPS certified mail2. By USPS first class or standard mail3. By USPS parcel post4. By U.S. registered mail

10-22. How is Foreign GovernmentRESTRICTED and unclassifiedinformation provided "in confidence"transmitted or transported?

1. By a method approved for classifiedinformation

2. By UPS express mail service3. By International Program Office mail4. By USPS registered mail

10-23. Classified telephone conversations arepermitted only under which of thefollowing circumstances?

1. If you have verified the securityclearance of the military or civilianpersonnel you are calling

2. If it’s an emergency and not costeffective to travel

3. Over satellite communications circuits4. Over secure communications circuits

approved for the classification level ofthe information to be discussed

10-24. Classified information is prepared forshipment by following which of thefollowing procedures?

1. Packaging and sealing it with tapewhich will retain the impression of anypostal stamp

2. Packaging to minimize risk ofaccidental exposure or undetecteddeliberate compromise

3. Packaging so that classified text is notin direct contact with the innerenvelope or container

4. All of the above

10-25. How is classified information transportedoutside the command enclosed?

1. In an opaque envelope2. In a cardboard box3. In two opaque envelopes, wrappings,

or containers4. In wrapping paper

10-26. How are outer envelopes or containers ofclassified information addressed?

1. An official U.S. Government activityonly

2. Cleared DoD contractor facility only3. Either an official U.S. Government

activity or cleared DoD contractorfacility

4. The command designee

65

10-27. What are inner envelopes or containers ofclassified information addressed with?

1. The address of the recipient2. The address of the sender3. The highest classification level and

applicable warning notices orintelligence control caveats of thecontents

4. All of the above

10-28. The USPS Express Mail envelope mayserve as an outer wrapper for classifiedinformation.

1. True2. False

10-29. The delivery envelope of the current holderof the GSA contract for overnight deliverymay NOT be used as the outer wrapper.

1. True2. False

10-30. Receipting is required when classifiedinformation is transferred in which of thefollowing cases?

1. For all classified packages handcarriedto the U.S. Senate

2. For all classified information providedto a foreign government or itsrepresentatives

3. For TS and Secret informationtransmitted or transported in and out ofthe command

4. All of the above

10-31. When classified information is escorted orhandcarried within the command, it must becovered to prevent inadvertent disclosure.

1. True2. False

10-32. Which of the following authorities areauthorized to approve escorting orhandcarrying of classified informationaboard commercial aircraft travelingoutside the U.S., its territories, and Canada?

1. Second echelon commands2. All commanding officers3. All security managers4. All administrative officers

10-33. Which of the following instructions mustbe given to couriers escorting orhandcarrying classified information?

1. That the information is never to be leftunattended

2. That the information is never to bediscussed or disclosed in a public placeor conveyance

3. That the information may not be storedovernight in hotel rooms or vehicles

4. All of the above

10-34. Which of the following writtenauthorizations may be used to identifyappropriately cleared DoD military andcivilian personnel approved to escort orhandcarry classified information?

1. DD 25012. Official travel orders3. Visit requests4. All of the above

10-35. The DD 2501 must have an expiration datenot to exceed 2 years from the date of issue.

1. True2. False

66

10-36. How is classified information or materialapproved for release to a foreigngovernment transmitted or transferred?

1. Delivered or transmitted only to aperson designated, in writing, by therecipient government

2. Transferred only by a foreign embassyrepresentative of each government

3. Transmitted only by Navy IPO4. Transmitted by a foreign disclosure

office only

10-37. In most cases, U.S. classified materialdelivered to a foreign government withinthe recipient country shall be delivered onarrival, in the recipient country, to a U.S.Government representative, who shallarrange for its transfer to a designatedrepresentative of the recipient government.

1. True2. False

10-38. Overseas shipments of U.S. classifiedmaterial shall be made only via which ofthe following ships, aircraft, or othercarriers?

1. Those owned or chartered by the U.S.Government or under U.S. registry

2. Those owned or chartered by or underthe registry of the recipientgovernment

3. Those otherwise authorized by thehead of the DoD component who hasclassification jurisdiction over theclassified material involved

4. All of the above

10-39. In any FMS case, the foreign recipient isexclusively responsible for developing atransportation plan for the DoD componenthaving security cognizance over theclassified material involved.

1. True2. False

10-40. A contractor should prepare atransportation plan for each commercialcontract, subcontract, and other legallybinding arrangement providing for thetransfer of classified freight to foreigngovernments, to be moved by truck, rail,aircraft, or ship.

1. True2. False

10-41. The requirement for a transportation planapplies to all U.S. and foreign classifiedand unclassified contracts.

1. True2. False

LEARNING OBJECTIVE: Recognize the policyand procedures for reporting and investigatingincidents of loss or compromise of classifiedinformation.

10-42. When an individual becomes aware thatclassified information is lost orcompromised, what shall he or sheimmediately do?

1. Notify the commanding officer orsecurity manager

2. Notify the local PAO3. Start a Preliminary Inquiry4. All of the above

10-43. The commanding officer should appoint thesecurity manager to conduct a PI.

1. True2. False

67

10-44. After notification that a compromise ofclassified information may have occurred athis or her command, which involves aforeign intelligence service, the CO shouldreport this important counterintelligenceinformation to which of the followingauthorities?

1. Director, ODUSDP(PS)2. CNO (N2)3. Local NCIS office4. FBI

10-45. The "initial report," required by theCMS-1A for reporting the loss ofCOMSEC information or keying material,satisfies the requirement for a PI, providedcopies are sent to CNO (N09N2), NSA, andthe local NCIS office.

1. True2. False

10-46. Whenever serious disciplinary action orprosecution is contemplated against anyperson(s) believed responsible for thecompromise of classified information, aformal classification review shall becoordinated with CNO (N09N2), NCIS andOJAG (Code 11).

1. True2. False

10-47. An NCIS ROI shall NOT be made part of aJAGMAN investigation involving the lossor compromise of classified information.

1. True2. False

10-48. A formal damage assessment is a briefimpact statement on the harm to thenational security caused by a compromiseof classified information.

1. True2. False

10-49. Upon becoming aware that classified orunclassified information is unofficiallyreleased to the public, an individual orcommand should immediately notify whichof the following authorities?

1. SECNAV2. CNO (N09N2)3. CNO (N2)4. FBI

10-50. Losses or compromises involving RD arereported to what authority?

1. CNO (N09N2)2. JCS3. CNO (N89)4. SECNAV

10-51. What is the initial process to determine thefacts surrounding a possible loss orcompromise?

1. A JAGMAN investigation2. An initial report3. A Preliminary Inquiry4. A security review

10-52. Upon completion of the JAGMANinvestigation, the convening command shallforward the completed investigation to theDirector of Naval Intelligence.

1. True2. False

10-53. What characterizes a formal damageassessment?

1. It is always unclassified2. It is long-term3. It is post-prosecutorial4. Both 2 and 3 above

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10-54. Losses or compromises involving SIOP andSIOP-ESI are reported to which of thefollowing authorities?

1. NFIB, FBI, and CNO (N09)2. CNO (N2) and OASD3. SECNAV and CNO (N64)4. JCS and USCINCSTRAT

10-55. What do we call the unofficial release ofDoD classified information to the public(e.g., via newspaper, books, radio, TV, orInternet) which results in an unauthorizeddisclosure?

1. Compromise "de facto"2. Public media compromise3. Nondisclosure4. All of the above

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SECNAVINST 5510.36, "Industrial Security Program," chapter 11, pages 11-1through 11-12.

LEARNING OBJECTIVE: Recognize therequirements of a command industrial securityprogram, including restrictions and safeguardsmandated to protect classified information andspecial classes of information.

11-1. What command official is responsible forestablishing an industrial security program,when necessary?

1. The security manager2. The security officer3. The commanding officer4. The SSO

11-2. Command security procedures shall includeguidance regarding the safeguarding ofclassified information released to industry.

1. True2. False

11-3. What instruction establishes policy for theacquisition system protection program?

1. SECNAVINST 5510.30A2. SECNAVINST 5510.343. SECNAVINST 5510.364. DoD Directive 5200.1-M

11-4. What is required with the acquisition ofclassified defense systems?

1. Program Protection Survey2. Program Protection Plan3. Risk Syllabus4. Technology Maturation Plan

11-5. By what means are security requirementslevied on contractors if not conveyed in thecontract document?

1. DoD 5220.22-M2. DD 15403. DD 2544. DD 2345

11-6. What E.O. established the NISP?

1. E.O. 129582. E.O. 128293. E.O. 129334. E.O. 12968

11-7. The purpose of the NISP is to safeguardclassified information released to industry.

1. True2. False

11-8. What regulation implements the NISPwithin the DON?

1. SECNAVINST 5510.30A2. SECNAVINST 5510.343. SECNAVINST 5510.364. SECNAVINST 5530.14C

11-9. What authority governs the policy forsafeguarding of classified information tocleared DoD contractors?

1. DoD 5200.1R2. DoD 5220.22-M3. DoD 5220.34. DoD 5200.1-M

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11-10. What authority governs the protection ofspecial classes of information?

1. DoD Directive 5200.1-M2. DoD 5220.22-M3. DoD 5220.22-M. Supp 14. SECNAVINST 5510.36

11-11. The CNO (N09N2) is responsible forimplementing the NISP within theindustrial community.

1. True2. False

11-12. What element of the DSS providesadministrative assistance and policyguidance to cleared DoD contractors?

1. Cognizant Security Agency2. Operating Locations3. Operating Center Columbus4. Cognizant Security Office

11-13. What authority is responsible for grantingpersonnel security clearances to contractorswhen access to classified information isrequired?

1. SECDEF2. SECNAV3. DSS Operations Center Columbus4. Defense Office of Hearing and

Appeals

11-14. Cleared DoD contractors are exempt fromsubmitting visit requests for classifiedvisits to a ship.

1. True2. False

11-15. A contractor engaging in classifiedprocurement is required to have an FCL.

1. True2. False

11-16. When a contractor is a tenant on acommand, which of the following optionsdoes the commanding officer have inproviding oversight?

1. Requests, in writing, that DSS OCCgrant the contractor an FCL and thatDSS assume security oversight

2. Requests, in writing, that DSS grantthe contractor an FCL and thecommand retain security oversight

3. Determines that an FCL is not required4. All of the above

11-17. Cleared DoD contractors who are short-term visitors do NOT have to conform withcommand security regulations.

1. True2. False

11-18. When a contractor is physically locatedoverseas, the cognizant DSS OperatingLocation issues the contractor’s facilityclearance.

1. True2. False

11-19. When a command awards a classifiedcontract and actual performance of thecontractor is at another location, theawarding command should provide whichof the following documents to the hostcommand?

1. Notification of contract award2. Copy of the DD 2543. Other pertinent documents4. All of the above

11-20. Commanding officers may NOT providesecurity oversight over cleared DoDcontractors overseas.

1. True2. False

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LEARNING OBJECTIVE: Identify administrationrequirements relating to contractor facilityclearances and contractor access to classifiedinformation and intelligence.

11-21. The FAD program assists commands inmaking trustworthiness determinations oncontractor employees and may be used foraccess to classified information.

1. True2. False

11-22. For which of the following services maycommanding officers employ the FADprogram?

1. Unclassified contracts2. Janitorial services3. Equipment maintenance4. All of the above

11-23. A "Contract Security ClassificationSpecification," DD 254 and its attachments,shall be issued for all classified contracts.

1. True2. False

11-24. What individual is authorized to sign aDD 254?

1. A qualified security assistant2. The COR3. The program manager4. The contract monitor

11-25. The Government provides classificationguidance to the contractor primarilythrough what specification?

1. DD 15402. DD 2543. DD 23454. DD 2301

11-26. How often is a revised DD 254 issued?

1. Annually2. Biannually3. Upon changes in security requirements4. On final delivery

11-27. A COR has which of the followingresponsibilities?

1. To verify facility clearances andstorage capability prior to release ofclassified information to contractorfacilities

2. To validate security classificationguidance, complete, and sign theDD 254

3. To validate justification for InterimTop Secret personnel securityclearances and facility securityclearances

4. All of the above

11-28. When a cleared contractor’s facilityclearance requires upgrading orrevalidating, who submits the writtenrequest to DSS OCC?

1. The facility security officer2. The cognizant contracting command3. The security officer4. The DSS representative

11-29. It is permissible for a cleared DoDcontractor to handcarry his/her personalvisit request.

1. True2. False

11-30. Who is responsible for determining theneed-to-know of a cleared DoD contractormaking a classified visit?

1. The COR2. The security manager3. The program manager4. The individual disclosing classified

information

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11-31. What individual has final approval of acontractor visit request?

1. The security manager2. The commanding officer3. The program manager4. The COR

11-32. Which of the following authorities isresponsible for issuing facility securityclearances?

1. The DSS Chief Operating Officer2. The appropriate DSS OPLOC3. The DSS OCC4. The DSS CVA

11-33. Which of the following authorities issuesinterim Secret or Confidential facilitysecurity clearances?

1. DISCO2. TSCO3. DSS OCC4. DSS CVA

11-34. Which of the following officials isresponsible for validating requests forInterim TS facility security clearances forcontractors?

1. The facility security officer2. The commanding officer3. The TSCO4. The contracting officer’s

representative

11-35. What official has the responsibility forbriefing cleared DoD contractors on theirresponsibility to safeguard classifiedinformation?

1. The program manager2. The security manager3. The COR4. The facility security officer

11-36. During travel, classified information maybe secured in a locked briefcase and storedin the baggage compartment of acommercial carrier.

1. True2. False

11-37. Which of the following authorities mustformally approve the use of the GSAcommercial contract carrier for clearedDoD contractors?

1. DSS Headquarters2. Defense Office of Hearings and

Appeals3. DSS Operating Location4. DoD

11-38. Classified information may only bedisclosed to contractors cleared under whatprogram?

1. DISP2. DSS CVA3. NISP4. FAD

11-39. Cleared contractors are authorized the useof the GSA commercial contract carrier totransmit Top Secret information withinCONUS.

1. True2. False

11-40. Which of the following security elementsmust be in place when a cleared DoDcontractor has physical custody ofclassified information at the facility?

1. A valid facility security clearance2. Storage capability3. Both 1 and 2 above4. A transportation plan

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11-41. Which of the following authorities provideswritten verification of a contractor’s levelof facility clearance and storage capability?

1. DISCO2. DSS Headquarters3. DSS CVA or the contractor’s OPLOC4. CNO (N09N2)

11-42. Classified information provided to clearedDoD contractors performing overseas maybe stored in a host government militaryinstallation if a U.S. Government-controlled facility or military installation isnot available.

1. True2. False

11-43. Which of the following items should befurnished to the overseas installationcommander and the DSS OperatingLocation with regard to contractperformance overseas?

1. A copy of the DD 2542. Transmission and disposition

instructions3. Storage requirements4. All of the above

11-44. What is required prior to allowing access toU.S. classified information in jointcontracts with NATO activities or foreigngovernments under agreement with theU.S.?

1. A Security Servicing Agreement2. A Technical Data Agreement3. The assurance of foreign employee's

clearance level4. A Foreign Disclosure Agreement

11-45. Which of the following DD forms certifiesindividuals and enterprises to receiveunclassified export-controlled technicaldata?

1. DD 15402. DD 23453. DD 2544. DD 2501

11-46. Intelligence information may be released tocleared DoD contractors if it falls withinthe scope of the contract.

1. True2. False

11-47. Which of the following authorities isresponsible for sanitizing and coordinatingthe release of intelligence to a cleared DoDcontractor?

1. CNO (N09N2)2. The DSS Operating Location3. ONI4. The releasing command

11-48. Commands are NOT required to keeprecords of intelligence information releasedto cleared DoD contractors if theinformation is contract specific.

1. True2. False

11-49. What authority is responsible for executingthe policy and procedures governing therelease of intelligence information tocleared DoD contractors?

1. CNO (N09N2)2. ONI (ONI-5)3. CNO (N2)4. CNO (N89)

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11-50. A foreign national or immigrant alien whopossesses an LAA may have access tointelligence information without priorapproval from ONI-5.

1. True2. False

11-51. The command must obtain the consent ofthe originator prior to releasing intelligenceinformation marked for special handling inspecific dissemination channels to clearedcontractors.

1. True2. False

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