THE SECRETARY

S ECRETARY OF THE NAVY

SECNAV M-5239.1
November 2005

Department of the Navy

Information Assurance Program

Information Assurance Manual

Published By
The Department of the Navy Chief Information Officer
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November 2005

DEPARTMENT OF THE NAVY

CHIEF INFORMATION OFFICER
1000 NAVY PENTAGON
WASHINGTON, DC 20350-1000

FOREWORD

Information Assurance (IA) is a cornerstone of the Department of the Navy (DON)

transformation to a secure interoperable, net-centric Naval Information Management/Information
Technology Enterprise. The security and superiority of DON information, systems, and
personnel is key to our maritime dominance and national security. We take a Defense in Depth
(DiD) approach to IA, layering IA principles and controls that apply to people, processes, and
technology. The path to a net-centric environment is rife with opportunities and risks. To retain
an agile IA posture, DON integrates IA controls throughout all facets of the Enterprise. We must
all accept the challenges presented in a net-centric, interconnected environment, especially that
risk assumed by one system is incurred by all systems.

This Manual implements the policy set forth in Secretary of the Navy Instruction
(SECNAVINST) 5239.3A, Subject: "Department of the Navy Information Assurance Policy"
and is issued under the authority of SECNAVINST 5430.7N, Subject: "Assignment of
Responsibilities and Authorities in the Office of the Secretary of the Navy." This Manual is
intended to serve as a high-level introduction to information assurance and IA principles. It
discusses common IA controls and associated requirements and reviews the Department of
Defense strategy for implementing those controls. Future manuals in the SECNAV Manual
(SECNAVMAN) 5239 series will address other topics such as IA roles and responsibilities, basic
IA practices and procedures, and IA incident reporting and response, etc.

This Manual is effective immediately; it is mandatory and applicable to all DON activities,
installations, commands, units, and personnel, and DON owned or controlled information
systems. Nothing in this manual shall alter or supersede the existing authorities and policies of
the Director of National Intelligence regarding the protection of Sensitive Compartmented
Information and special access programs for intelligence.

The entire SECNAV IA Manual series may be accessed through the Department of the Navy,
Navy Electronic Directives System website: http://neds.daps.dla.mil/.

D. M. Wennergren
Department of the Navy
Chief Information Officer

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TABLE OF CONTENTS

1. CHAPTER 1 – INTRODUCTION ...................................................................................... 3

1.1. PURPOSE .......................................................................................................................... 3

1.2. APPLICABILITY ................................................................................................................. 3

2. CHAPTER 2 – IA PRINCIPLES, ATTRIBUTES, AND APPROACHES ..................... 4

2.1. PRINCIPLES ...................................................................................................................... 4

2.2. ATTRIBUTES..................................................................................................................... 4

2.3. APPROACHES TO IA ......................................................................................................... 5

2.4. ROLES AND RESPONSIBILITIES ......................................................................................... 8

3. CHAPTER 3 – MANAGEMENT CONTROLS .............................................................. 11

3.1. INTRODUCTION .............................................................................................................. 11

3.2. POLICY MANAGEMENT .................................................................................................. 11

3.3. SYSTEM AND SERVICES ACQUISITION ............................................................................ 11

3.4. CERTIFICATION, ACCREDITATION, AND SECURITY ASSESSMENT................................... 13

3.5. SYSTEM INTERCONNECTIONS ......................................................................................... 15

3.6. OVERSIGHT AND COMPLIANCE ...................................................................................... 16

4. CHAPTER 4 – OPERATIONAL CONTROLS............................................................... 18

4.1. INTRODUCTION .............................................................................................................. 18

4.2. PERSONNEL SECURITY ................................................................................................... 18

4.3. PHYSICAL AND ENVIRONMENTAL PROTECTION ............................................................. 21

4.4. CONTINGENCY PLANNING .............................................................................................. 21

4.5. CONFIGURATION MANAGEMENT.................................................................................... 21

4.6. MALICIOUS CODE PROTECTION ..................................................................................... 22

4.7. INTRUSION DETECTION TOOLS AND TECHNIQUES .......................................................... 22

4.8. SECURITY ALERTS AND ADVISORIES ............................................................................. 22

4.9. VALIDATION ACTIVITIES ............................................................................................... 24

4.10.00MEDIA PROTECTION ...................................................................................................... 24

4.11.00INCIDENT DETECTION AND RESPONSE ............................................................................ 25

4.12.00AWARENESS AND TRAINING .......................................................................................... 26

5. CHAPTER 5 – TECHNICAL CONTROLS .................................................................... 27

5.1. INTRODUCTION ............................................................................................................... 27

5.2. USER IDENTIFICATION AND AUTHENTICATION .............................................................. 27

5.3. PUBLIC KEY INFRASTRUCTURE ....................................................................................... 27

5.4. AUTHENTICATOR MANAGEMENT ................................................................................... 28

5.5. ACCESS CONTROL POLICY AND PROCEDURES ............................................................... 28

5.6. ACCOUNT MANAGEMENT .............................................................................................. 28

5.7. BOUNDARY DEFENSE ..................................................................................................... 28

APPENDIX A – REFERENCES ............................................................................................... 30

APPENDIX B – DEFINITIONS................................................................................................ 33

APPENDIX C – ABBREVIATIONS AND/OR ACRONYMS ............................................... 37

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1. CHAPTER 1 – INTRODUCTION

1.1. PURPOSE

This Manual:

1.1.1. Introduces the Department of the Navy (DON) Information Assurance Program, its
concepts, and their application within the DON. Other manuals in the series will provide more
detailed guidance on specific IA-related topics.

1.1.2. Describes the DON Information Assurance Program. The purpose of the DON IA
Program is to protect information to support the DON mission as described in the DON
Information Management and Information Technology (IM/IT) Strategic Plan, to “deliver secure,
interoperable, and integrated information management and information technology to the Marine
and Sailor to support the full spectrum of warfighting and warfighting support missions.” The
major elements of the DON IA Program are: to promulgate IA policies and procedures to
manage risk to DON IT assets, promote implementation of IA throughout the life cycle of all
DON IT assets, and to integrate IA controls throughout the daily activities of the DON.

1.1.3. Replaces DON IA Publication 5239-01, dated May 2000, and should be reviewed
in its entirety.

1.2. APPLICABILITY

1.2.1. This manual is mandatory and applies to all DON activities, installations,
commands, units, and personnel, and to information collected or maintained by or on behalf of
the Department of the Navy and Information Systems used or operated by the Department of the
Navy, by a contractor of the Department of the Navy processing DON information, or other
organizations on behalf of the Department of the Navy. Military, civilian, contractor, and
foreign national personnel who have access to DON-owned or controlled information systems
are also subject to the provisions herein. This manual applies only to classified collateral, and/or
sensitive unclassified, or unclassified information systems and networks. This publication does
not apply to Special Compartmented Information, Cryptographic, Cryptologic, Special Access
Program, Single Integrated Operation Plan-Extremely Sensitive Information, or North Atlantic
Treaty Organization information. Those systems are under the purview of their respective
authorities. However, this manual mentions these types of information only to complete
definitions or provide examples.

1.2.2. This manual is consistent with Federal and Department of Defense (DoD) IA
policies. In the case of a conflict, directives and instructions set forth by higher authority take
precedence. Implementing authorities at the Marine Corps and Navy shall identify conflicting
policy and issues of precedence to the Office of the DON Chief Information Officer (DON CIO)
for resolution.

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2. CHAPTER 2 – IA PRINCIPLES, ATTRIBUTES, AND APPROACHES

2.1. PRINCIPLES

2.1.1. The DON CIO is responsible for developing and promulgating IA strategy and
policy, coordinating IA within the Department and with other DoD components, measuring and
evaluating Service and system level IA performance, and reporting to the Secretary of the Navy
on the effectiveness of DON IA activities. The DON CIO shall carry out for the Secretary of the
Navy the information assurance responsibilities assigned in The Federal Information Security
Management Act of 2002 (FISMA) to the Head of each Federal Agency. DON CIO reports
directly to the Secretary of the Navy and has the responsibility to ensure compliance with
applicable Information Assurance requirements including the development and maintenance of a
Department-wide IA Program.1 The Navy Deputy Chief Information Officer for Policy and
Integration (DON Deputy CIO (Policy and Integration)) is designated as the Department of the
Navy Senior Information Assurance Officer (DON Senior IA Officer).

2.1.2. DON CIO focuses its efforts on the development of IA policy, strategy, tools, and
oversight. The goal of IA is to protect and defend information and information systems.
Information Assurance is an operational requirement throughout DON and is an essential
contributor to the warfighting mission and system interoperability.

2.1.3. The DON Information Management and Information Technology vision is to

provide a joint, net-centric environment that delivers knowledge dominance to the Naval
warfighting team. Achieving that vision requires ensuring that the warfighter has the full and
best use of world-leading information technology assets. This is achieved through the pursuit of
general IA principles, executed through DoD and DON-specific approaches.

2.1.4. IA is a critical supporting capability for Information Operations as a primary

warfare area. Information Operations is defined as actions taken to affect adversary information
and information systems while defending one's own information and information systems. IA
impacts all five core capabilities of Information Operations: Electronic Warfare, Computer
Network Operations, Military Deception, Operations Security, and Psychological Operations.
An Information Operations operational planner must ensure that activities are prioritized and
synchronized with IA in order to achieve stated goals and objectives.

2.1.5. Information and information systems shall be properly managed and protected as
required by law, regulation, policy, or treaty. IA is a composite of the principles addressed in this
section.

2.2. ATTRIBUTES

2.2.1. IA shall be achieved through the cost-effective, risk-balanced application of

controls in a manner that promotes confidentiality, integrity, availability, non-repudiation, and
authentication of information. The first three attributes are widely applicable to systems and are
the basis for DoD-wide system characterization and subsequent assignment of appropriate IA

1 SECNAVINST 5430.7N

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controls. Non-repudiation and authentication are often included with the three fundamentals to
emphasize their importance to DoD.

2.2.1.1. Confidentiality is assurance that information is not disclosed to

unauthorized persons, processes, or devices. It includes both the protection of operational
information and the protection of IA-related system information such as password or
configuration files.

2.2.1.2. Integrity is assurance that information is not modified by unauthorized

parties or in an unauthorized manner. Integrity supports the assurance that information is not
accidentally or maliciously manipulated, altered, or corrupted. Additionally, integrity implies the
ability to detect when information has been altered.

2.2.1.3. Availability is assurance of timely, reliable access to data and information

systems by authorized users. Availability-focused IA controls protect against degraded
capabilities and denial of service conditions.

2.2.1.4. Non-repudiation is assurance that the sender of data is provided with

proof of delivery and the recipient is provided with proof of the sender's identity, so neither can
later deny having processed the data.

2.2.1.5. Authentication is assurance of the identity of an e-mail message sender or

receiver. Authentication supports the validation of e-mail messages and information system
access requests.

2.3. APPROACHES TO IA

2.3.1. DON IA is achieved through joint efforts within DON and across DoD.
Understanding the common DoD approaches to IA ensures better DON implementation.

2.3.1.1. Joint Vision 2020. This DoD strategy focuses on the continuing
transformation of America’s Armed Forces. The primary purpose of those forces has been and
will be to fight and win the Nation’s wars. The overall goal of the transformation described in
this document is the creation of a force that is dominant across the full spectrum of military
operations – persuasive in peace, decisive in war, preeminent in any form of conflict. The
continued development and proliferation of information technologies will substantially change
the conduct of military operations. These changes in the information environment make
information superiority a key enabler of the transformation of the operational capabilities of the
joint force and the evolution of joint command and control.

2.3.1.2. The Global Information Grid. Joint Vision 2020 envisioned the concept of
a Global Information Grid (GIG) to provide the Net-Centric DoD environment required to
achieve information superiority. The GIG supports all DoD, National Security, and related
Intelligence Community mission and functions in war and in peace. The GIG—a seamless,
common-user, information infrastructure—will be the foundation for information superiority by
providing the enterprise-wide information services for the DoD’s Command, Control,
Communications, Computers, Intelligence, Surveillance, and Reconnaissance systems (C4ISR)
and e-Business systems. The GIG includes all owned and leased communications and computing

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systems and services, software, data, security services, and other associated services necessary to
achieve information superiority. The GIG provides capabilities from all operating locations
(bases, posts, camps, stations, facilities, mobile platforms, and deployed sites). Further, the GIG
provides interfaces to coalition, allied, and non-DoD users and systems. GIG IA provides the
capabilities that enable information superiority in every military operation, and is inherent to net-
centric capabilities that support the full range of warfighter, intelligence, and business
operations. DON Information Technology (IT) and IA efforts are oriented towards securely
achieving the vision of the GIG.

2.3.1.2.1. FORCEnet. FORCEnet is the U.S. Navy (USN) and U.S. Marine
Corps (USMC) initiative to achieve Net-Centric Operations and Joint Transformation by
providing robust information sharing and collaboration capabilities across the Naval / Joint force.
FORCEnet supports joint interoperability requirements of the Joint Chiefs of Staff Instruction
(CJCSI) 3170.01E, Joint Capabilities Integration and Development System. FORCEnet provides
a transitional approach to requirements definition, cross-domain solutions, and command and
control. FORCEnet technical requirements match key Joint, Net-Centric, and GIG technical
guideposts. FORCEnet will enable the delivery of distributed combat systems connected through
the network. It is not a single process, but a collection of processes such as requirements
generation, architecture and design standards, innovation and experimentation, human system
engineering, certification and compliance, and others, all created under a common vision and
with common authority in the USN and USMC, aimed at delivering this capability.

2.3.1.2.2. Navy Marine Corps Intranet. The Navy Marine Corps Intranet
(NMCI) is both a strategy and a network. As a strategy, NMCI supports USN and USMC
leverage of a new and technically up-to-date enterprise network and promotes enhanced network
security. As a network, it provides a common, secure, enterprise infrastructure capable of
supporting new enterprise-wide applications. The IA benefits of NMCI include central
management of the network, configuration management, and improved systems availability.
Most legacy networks will migrate to NMCI, the single DON Enterprise network. The
consolidation of legacy networks into NMCI will reduce the number of vulnerabilities to and
increase the IA posture of the DON enterprise.

2.3.1.3. Defense-in-Depth. DiD is the DoD approach for establishing an adequate

IA posture in a shared-risk environment that allows for shared mitigation through: the integration
of people, technology, and operations; the layering of IA controls within and among IT assets;
and the selection of IA solutions based on their relative level of robustness. The practice of
Computer Network Defense (CND) embodies incident detection and response, a critical part of
defense-in-depth. CND synchronizes the technical, operational, and intelligence assessments of
the nature of a computer attack in order to defend against it. As part of DiD, IA controls should
be selected to mitigate both external and insider threats.

2.3.1.4. DoD IA Strategic Plan. The DoD IA Strategic Plan represents a

collaborative, enterprise-wide effort to identify and organize the major goals and objectives of
DoD-wide IA efforts. Each goal is associated with specific IA activities and goal leaders direct
goal-related efforts. The major goals of the strategy include:
• Goal One - Protect Information;

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• Goal Two - Defend Systems and Networks;

• Goal Three - Provide Integrated IA Situational Awareness/IA
Command and Control;
• Goal Four - Transform and Enable IA Capabilities; and,
• Goal Five - Create an IA-empowered Workforce.

2.3.1.5. Risk Management. Risk management is the process that allows IT

managers to balance the operational and economic costs of protective measures and achieve
gains in mission capability by protecting the IT systems and data that support their organizations’
missions. In a networked environment, a risk to one system is a risk to all systems; therefore,
effective risk management reduces risk assumed by all systems to an acceptable level for
operational use. FISMA directs the Head of each Federal Agency to provide IA “commensurate
with the risk and magnitude of the harm resulting from unauthorized access, use, disclosure,
disruption, modification, or destruction of information collected or maintained…; and
information systems used or operated…”2 System owners are expected to manage risk but it is
understood that risk cannot be fully avoided. Commands confront varying environments and
changing operational requirements. Therefore, Commanders of DON organizations, in support of
appropriate Designated Approving Authorities (DAAs), shall apply risk management principles
to determine how to best attain the required level of protection. Employing risk management
may result in command decisions to adopt specific security measures above and beyond the DoD
and DON baseline, given the relative costs and available resources.3

2.3.2. As a standard approach to IA, all DON information and information systems shall
be safeguarded through the application of IA controls per DoD Instruction (DoDI) 8500.2,
Information Assurance (IA) Implementation and SECNAVINST 5239.3A.

2.3.2.1. IA controls are applied to manage risks to confidentiality, integrity,

availability, authentication, and non-repudiation based upon mission criticality and classification
or sensitivity level of information processed, stored, and/or transmitted.

2.3.2.2. Federal regulations and guidance organize IA controls into classes and
families. Each family contains controls related by function. Federal regulations require the
application of baseline IA controls organized in this class and family structure. This document is
aligned with that structure.

2.3.2.2.1. The management class of IA controls addresses topics that may

be characterized as managerial. They are techniques and concerns that are normally directed or
addressed by leadership. They focus on the management of IA and the management of risk.

2.3.2.2.2. The operational class of IA controls focus on activities that are

implemented and executed by people as opposed to systems. These controls are put in place to
improve the security of a particular system (or group of systems). They often require technical or
specialized expertise and rely upon management activities as well as technical controls.

2 Federal Information Security Management Act of 2002 (FISMA)

3 SECNAVINST 5510.36

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2.3.2.2.3. The technical class of IA controls focuses on IA controls that are

set up by people but executed by systems. These controls depend upon the proper functioning of
the systems to be effective. Implementation of technical controls requires significant operational
considerations and should be consistent with the management of IA within the organization.

2.4. ROLES AND RESPONSIBILITIES

DON IA roles and responsibilities are set forth in SECNAVINST 5239.3A and SECNAVINST
5430.7N. Additional key roles are described and assigned in DoD Directive (DoDD) 8500.1,
Information Assurance (IA) and DoDI 8500.2. A high-level summary of key IA roles follows.
An upcoming SECNAV IA Manual will provide a more detailed discussion of DON IA roles and
responsibilities.

2.4.1. DON CIO. The DON CIO is responsible for developing and promulgating IA
strategy and policy, coordinating IA within the Department and with DoD components,
measuring and evaluating Service and system level IA performance, and reporting to the
Secretary of the Navy on the effectiveness of DON IA activities. The Navy Deputy Chief
Information Officer for Policy and Integration (DON Deputy CIO (Policy and Integration)) is
designated as the Department of the Navy Senior Information Assurance Officer (DON Senior
IA Officer). The DON Senior IA Officer has the responsibilities and performs the functions of
the “senior agency information security officer” referenced in FISMA.

2.4.2. DON Deputy CIOs. The DON Deputy CIO (Navy) and DON Deputy CIO (Marine
Corps) shall, subject to the authority of the DON CIO, implement and enforce policies,
standards, and procedures to ensure that DON complies with applicable statutes, regulations, and
directives.

2.4.3. Chief of Naval Operations. The Chief of Naval Operations (CNO) is responsible
for developing and implementing IA-related programs and controls, ensuring that IA is
incorporated throughout the system development lifecycle, assigning designated approval
authorities (DAAs), providing enterprise-wide vulnerability mitigation solutions, and providing
an incident reporting and response capability.

2.4.4. Commandant of the Marine Corps. The Commandant is responsible for developing
and implementing IA-related programs and controls, ensuring that IA is incorporated throughout
the system development lifecycle, assigning DAAs, providing enterprise-wide vulnerability
mitigation solutions, and providing an incident reporting and response capability.

2.4.5. Designated Approving Authority. The DAA is the official with the authority to
formally assume responsibility for operating a system at an acceptable level of risk. DAAs
accredit IT system security postures throughout the system development lifecycle and in
accordance with risk-management principles.

2.4.6. Certification Authority. The Certification Authority (CA) is the official responsible
for performing the comprehensive evaluation of the technical and non-technical security features
and safeguards of an IT system, application, or network. This evaluation is made in support of
the accreditation process, to establish the extent that a particular design and implementation
meets information assurance requirements. The CA is responsible for making a technical
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judgment of the system's compliance with stated requirements, identifying and assessing the
risks associated with operating the system, coordinating the certification activities, and issuing a
certification statement for the system. The CA is responsible for managing the certification
process.

2.4.7. Program Manager. The Program Manager (PM) is the person who owns the
business process and controls the funding for the system. The PM is the individual with overall
responsibility for the system/application.

2.4.8. Command Information Officers. All Navy Echelon II Commands and all Marine
Corps Major Subordinate Commands shall have a command Information Officer (IO) billet.
Navy Echelon II command IOs report to the DON Deputy CIO (Navy) for tactical matters and to
their commanding officer for administrative matters. Marine command IOs report to both the
DON Deputy CIO (Marine Corp) and their Major Subordinate Commander.4

2.4.9. IA Manager. The Information Assurance Manager (IAM) is responsible for the
information assurance program within a command, site, system, or enclave. The IAM is
responsible to the local IA command authority and DAA for ensuring the security of an IT
system, and that it is approved, operated, and maintained throughout its life cycle in accordance
with IT system security certification and accreditation documentation. Additionally, this
individual is responsible for creating the site accreditation package. The IAM functions as the
command's focal point for IA matters on behalf of, and principal advisor to, the DAA.

2.4.10. IA Officers. IA Officers (IAOs) are responsible to an IAM for ensuring the
appropriate operational IA posture is maintained for a command, organization, site, system, or
enclave. IAOs assist in creating accreditation packages. They implement and enforce system-
level IA controls in accordance with program and policy guidance.

2.4.11. Commanding Officers/Officers-in-Charge. Leadership support at all levels is the

most important part of a command’s IA program. In their role as local IA authorities
Commanding Officers/Officers-in-Charge (COs/OICs) are directly responsible for identifying
vulnerabilities in their operational environments and implementing the appropriate
countermeasures. COs/OICs are responsible for ensuring that personnel under their command are
trained and abide by IA policy. Commanders of DON organizations shall ensure that all IT assets
they oversee and operate are accredited and operated in accordance with the accreditation
documentation.

2.4.12. Privileged Users. Individuals who have access to system control, monitoring, or
administration functions (e.g., system administrator, IAO, system programmers, etc.) are
Privileged Users. Privileged Users are responsible for providing IA safeguards and assurances to
the data they control as well as their personal authentication mechanisms.

4DON memorandum to CNO and CMC, “Designation of the Department of the Navy Deputy Chief
Information Officer (NAVY) and the Department of the Navy Deputy Chief Information Officer
(MARINE CORPS),” 22 Aug 2005.

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2.4.13. Users. Individuals or system processes authorized to access an information

system. Users are responsible for the protection of data they create and compliance with IA
policy requirements.

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3. CHAPTER 3 – MANAGEMENT CONTROLS

3.1. INTRODUCTION

3.1.1. DON IA management controls focus on the direction of IA-related activities

(policy), the acquisition of systems and services, and the certification and accreditation (C&A) of
information systems.

3.2. POLICY MANAGEMENT

3.2.1. Department of the Navy IA policies are generated and promulgated by the DON
CIO (and the DON Senior IA Officer as a focal point within DON CIO) and provide DON-
specific interpretations of laws, regulations, and executive policy. They also address
requirements set forth by DoD and component organizations. They are general statements of
organizational intent and provide specific IA roles and responsibilities for members of the DON.

3.2.1.1. USMC IA implementation guidance is generated and promulgated by the

DON Deputy CIO (Marine Corps).

3.2.1.2. USN IA implementation guidance is generated and promulgated by the

DON Deputy CIO (Navy).

3.2.2. Effective IA implementation relies on consistent, clearly documented operating

procedures for both system configuration and operational use.

3.2.3. Procedures shall define deployment of the system, system configuration, day-to-
day operations for both the system administrator and user, as well as how to respond to real or
perceived attempts to violate system security.

3.2.4. All DON information systems and networks shall include written standard
operating procedures, which are routinely updated and tailored to reflect changes in the
operational environment.

3.3. SYSTEM AND SERVICES ACQUISITION

3.3.1. Cost-effective IA measures shall be incorporated in each acquisition program in

accordance with DoDD 8580.1, Information Assurance (IA) in the Acquisition Defense System.

3.3.1.1. IA concepts shall be a visible element of all investment portfolios

incorporating DoD-owned or controlled information systems, to include outsourced business
processes supported by private sector information systems and outsourced information
technologies; and shall be reviewed and managed relative to contributions to mission outcomes
and strategic goals and objectives.

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3.3.1.2. Data shall be collected to support reporting and IA management activities

across the investment life cycle.6

3.3.1.3. Explicitly identify and integrate funding for IA technologies and

programs into IT investment and budgeting plans.

3.3.1.4. Establish consistent methodologies for determining information security

costs for all systems and networks.

3.3.1.5. System acquisition may not proceed prior to registration with the DON
system inventory.

3.3.1.6. System developers shall design or acquire information systems according

to the Ports, Protocols and Services Assurance Category Assignments List and shall ensure
newly developed, acquired or modified systems be assessed for operational risk by the Ports,
Protocols and Services Configuration Control Board per DoDI 8551.1, Ports, Protocols, and
Services Management.

3.3.1.7. The National Information Assurance Partnership (NIAP) is a U.S.

Government initiative originated to meet the security testing needs of both IT consumers and
producers. NIAP is a collaboration between the National Institute of Standards and Technology
(NIST) and the National Security Agency (NSA) in fulfilling their respective responsibilities
under the Computer Security Act of 1987 (Public Law (PL) 100-235). The partnership combines
the extensive IT security experience of both agencies to promote the development of technically
sound security requirements for IT products and systems and appropriate measures for evaluating
those products and systems. DON organizations acquiring IA products must acquire those that
are NIAP-evaluated. A current list of validated products may be viewed at http://niap.nist.gov/. If
a DON organization requires an IA product for which a NIAP evaluation does not exist, use the
DoD C&A process to provide evidence to the DAA of the risk associated with using the product.
However, DON organizations should only acquire IA products without a NIAP evaluation in the
most exceptional cases.

3.3.2. Life Cycle Support

3.3.2.1. Implement sound security procedures early in system design to increase

the effectiveness of other security mechanisms. Incorporate appropriate security features at the
individual system level and consider the vulnerabilities that may surface when operating with
other systems over shared communication links. Consider the inherent risk of operating less
secure systems inside a secure enclave.

3.3.2.2. Each system shall include risk assessment and risk management programs
throughout the system’s life cycle.

3.3.2.3. To the extent possible, legacy systems shall employ system security
standards that support relevant security policies and procedures within a secure enclave.
Modifications to legacy systems shall prioritize incorporation of common security procedures

6 DoDD 8500.1, Information Assurance (IA)

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and products to improve their overall security postures. Legacy systems with weak security
implementations shall be placed outside the secure enclave or in a separate demilitarized zone
(DMZ) if they pose significant security risks to other information resources protected within the
enclave. Ultimately, most legacy networks will migrate to the single DON Enterprise network,
NMCI.

3.3.3. Acquisitions

3.3.3.1. Information Assurance Strategies ensure that IA planning is started at the

beginning and continues throughout an IT program’s acquisition life cycle. They demonstrate
that system developers have appropriate awareness of IA policies and procedures and that C&A
activities are progressing. DoD policies and guidance for acquisition are found in DoDI 5000.2,
Operation of the Defense Acquisition System, and DoDI 8580.1. The DON Information
Assurance Strategy Guidance is available on the DON CIO website:
http://www.doncio.navy.mil (search on "IA Strategy").

3.3.3.2. IA requirements shall be identified and included in the design,

acquisition, installation, operation, upgrade, or replacement of all DoD information systems.
These requirements apply to all IT systems (note that this is inclusive of weapon and C4ISR
systems).

3.3.4. Outsourced Information System Services

3.3.4.1. Review contracts to ensure that information assurance is appropriately

addressed in the contracting language.

3.3.4.2. Require appropriate safeguards to protect outsourced systems and

networks from unauthorized access throughout all phases of a contract. Monitor performance to
ensure compliance with IA requirements.

3.3.4.3. Contract personnel may not be assigned to perform inherently

governmental IA functions.7 For example, contract personnel may not make final certification or
accreditation decisions.

3.4. CERTIFICATION, ACCREDITATION, AND SECURITY ASSESSMENT

3.4.1. Certification and Accreditation. The C&A process leads to an informed system
accreditation decision based on risk-management principles. Accreditation may be granted by
DAAs only after systems are identified and categorized, IA controls are assigned and
implemented, and control implementations are validated.

3.4.1.1. All DON information systems (as defined in DoDD 8500.1) shall be
certified and accredited for operation.

7 SECNAVINST 5239.3A, Department of the Navy Information Assurance (IA) Policy

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3.4.1.2. Information systems developed or procured by a program office or local

authority shall be accredited at the system level prior to deployment, as well as at the site level as
part of the overall site accreditation.

3.4.1.3. DON C&A shall be conducted in accordance with DoDI 5200.40, DoD
Information Technology Security Certification and Accreditation Process and DoD 8510.1-M,
Department of Defense Information Technology Security Certification and Accreditation Process
Application Manual. These documents present the standard DoD approach for: identifying,
implementing, and validating IA Controls; authorizing the operation of DoD information
systems; and managing IA posture across DoD information systems. The process ensures
compliance with various Federal reporting requirements and flexibility in a changing technical
and threat environment.

3.4.2. Identify and Categorize Systems. The provision of IA is dependent on the accurate
and timely identification and categorization of systems; understanding which assets require
protection and the level of protection appropriate for each asset is necessary for the development
of a comprehensive and effective IA program. All DON information systems shall be identified
and reported to the DON system inventory. Categorization addresses a system’s classification
level and mission assurance category as described in DoDI 8500.2.

3.4.2.1. Services shall annually certify that all mission critical, mission essential,
and mission support systems are included in the DoD’s system inventory or that systems are
separately included in the Intelligence Community’s system inventory. Descriptions of “mission
critical” and “mission essential” are described in DoDI 5000.2, Enclosure 4. A definition of
“Mission Support is located in Appendix B.

3.4.2.2. Each inventory entry shall be updated at least quarterly8 and shall include
several mandatory elements, including: date of most recent security control testing, listing of
system interconnections, and system mission assurance categories and classification levels.
Detailed information about mission assurance categories may be found in DoDI 8500.2. Detailed
information about classification levels may be found in SECNAVINST 5510.36, Department of
the Navy Information Security Program Regulation.

3.4.3. Assign, Implement, and Validate IA Controls. Every DON information system
shall include risk assessment and risk management programs. When assigning IA controls from
DoDI 8500.2, consider the mission assurance category and classification level of a system. Also
consider the specific risks to a system and address general and localized threats and
vulnerabilities (risk assessment). Implementation of IA controls varies with operating
environment and shall be documented as a portion of the C&A package (risk management).
Validation techniques will vary between controls; DoD C&A policy provides specific guidance
on selecting and implementing IA control validation techniques (risk management).

3.4.4. Plan of Action and Milestones. The Plan of Action and Milestones (POA&M) is a
Federally-mandated9 management tool for tracking IA weaknesses and weakness mitigation

8 Mandate established under FISMA. Deadlines are December 1, March 1, June 1, and September 1.
9 Mandate established under FISMA.

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activities. POA&Ms identify discrepancies between implementation results and C&A

specifications.

3.4.5. Make Certification Determination. Certification represents the comprehensive

evaluation of a system’s IA control implementation to establish the extent to which the
implementation meets a set of specified security requirements. Certification decisions are based
on an assessment of the actual validation results.

3.4.6. Make Accreditation Determination. Accreditation is a formal declaration by the

DAA that an information system is approved to operate in a prescribed operational configuration
using a defined set of IA controls. Accreditation decisions are risk-based and shall be based on a
balance of mission or business need, protection of personal privacy, protection of information
being processed, and protection of the information environment. Accreditation decisions are
documented with a written Approval to Operate, Interim Approval to Operate, or disapproval.
The DAA may revoke accreditation and connectivity for systems and networks when it is
determined that appropriate IA controls are not implemented correctly.

3.4.7. Maintain Approval to Operate and Conduct Reviews. Computers and the
environments they operate in are dynamic. System technology and users, data and information in
the systems, risks associated with the system and, therefore, security requirements are ever-
changing. Design, execute, and maintain a Lifecycle Implementation Plan that specifies the C&A
schedule for all systems. Reevaluate system security postures at least annually or when there are
significant modifications that change the security posture or accreditation status..

3.5. SYSTEM INTERCONNECTIONS

3.5.1. Office of Management and Budget (OMB) Circular A-130, Appendix III, Security
of Federal Automated Information Resources requires “written management authorization, based
upon the acceptance of risk to the system, prior to connecting with other systems.” DON
information systems satisfy this requirement through compliance with the connection approval
procedures established in CJCSI 6211.02B, Defense Information System Network: Policy,
Responsibilities and Processes.

3.5.2. Written agreements between Government networks that are under the purviews of
different DAAs detailing proof of accreditation, acceptance of risk, and related responsibilities
shall be in place prior to interconnection between networks. Assessing benefits and risks of
internetworking, as compared with the costs to mitigate and control risks, is required as part of
the overall vulnerability analysis. Decisions to maintain connections to other networks should be
made with awareness of the lack of control over the security safeguards in use by other network
infrastructures.

3.5.3. Dynamic interaction among accredited software systems that have been designed to
interact is not considered a security relevant event. This includes authorized messaging with non-
DoD information systems, e.g., electronic commerce/electronic data interchange transactions
with an information system belonging to another department or agency.

3.5.4. DON connections to the Defense Information Infrastructure, including the Non-
Classified Internet Protocol Router Network (NIPRNet) and Secret Internet Protocol Router
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Network (SIPRNet), shall be coordinated in accordance with established Defense Information

Systems Agency (DISA) requirements. Appropriate protections shall be employed in a DiD
approach to protect the associated data and systems. Commanders of DON organizations shall
obtain formal authorization to interconnect information systems in accordance with DoDI
8500.2.

3.5.4.1. DON systems that connect directly to non-DoD infrastructures such as the
Internet shall apply appropriate security technologies, to specifically include a firewall, to protect
information technology resources from unauthorized external activities. Do not design or connect
without the approval of the appropriate DAA. Such systems shall conform to requirements set
forth in DoDI 8551.1, Ports, Protocols, and Services Management.

3.5.5. Cross Domain Solutions. A Cross Domain Solution provides the ability to
manually and/or automatically access and or transfer information between two or more differing
security domains. Interconnections between DoD information systems of different security
domains or with other U.S. Government systems of different security domains shall be employed
only to meet compelling operational requirements, not operational convenience. Service-level
validation as well as Service and formal Defense Information Systems Network (DISN) DAA
authorization are required prior to making connections. Details of the Navy Cross Domain
Solution process and sample documents including request forms and checklist can be obtained
from https://infosec.navy.mil/, and Marines are directed to use this site also.

3.6. OVERSIGHT AND COMPLIANCE

3.6.1. The Federal Information Security Management Act of 2002 (FISMA) is a part of
the E-Government Act of 2002 (PL 107-347). FISMA places requirements on government
agencies and their components, with the goal of improving the security of federal information
and information systems.

3.6.2. FISMA requires the Head of each Federal Agency to provide information security
protections commensurate with the risk and magnitude of the harm that may result from
unauthorized access, use, disclosure, disruption, modification, or destruction of its information
and information systems. The protection should apply not only within the agency, but also within
contractor or other organizations working on behalf of the agency.

3.6.3. FISMA requires each federal agency to report to Congress annually, addressing the
adequacy and effectiveness of information security policies, procedures, and practices. In
addition to the annual report, FISMA requires each agency to conduct an annual independent
evaluation of the IA program and practices to determine their effectiveness. The annual DON
FISMA Report is submitted to the DoD Office of the Assistant Secretary of Defense (Networks
and Information Integration), which sends a composite FISMA report to OMB and Congress.

3.6.4. The annual FISMA report changes each year. Generally, it summarizes the data in
the DON IT Registry, including C&A status of systems and networks, dates of annual reviews,
and dates of annual testing of security controls and contingency plans. It also includes personnel
training statistics. These statistics play an important part of Congress’ annual “grading” Federal
agency security programs.

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3.6.5. DON Program Managers/System Managers, DON Command Information Officers,

and Functional Area Managers are responsible for updating FISMA data in the DON IT
Registry, which is the database for DON FISMA reporting.

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4. CHAPTER 4 – OPERATIONAL CONTROLS

4.1. INTRODUCTION

4.1.1. DON IA operational controls focus on activities that are implemented and executed
by people as opposed to systems. These controls are put in place to improve the security of a
particular system or group of systems. They often require technical or specialized expertise and
rely upon management activities as well as technical controls.

4.2. PERSONNEL SECURITY

4.2.1. Introduction

4.2.1.1. Personnel security controls evaluate the military, civilian, and contractor
personnel who develop, use, operate, administer, maintain, defend, and retire DoD or DON
Information Systems. These controls support assurance that the right people have access to the
right information and information systems.

4.2.1.2. DON shall have a workforce that is sufficiently educated and trained to
assure the security of government networks and information. DoDD 8570.1, Information
Assurance Training, Certification, and Workforce Management, establishes IA training,
certification, and workforce management policy for DoD.

4.2.1.3. DoDD 8500.1 defines information technology position categories

applicable to unclassified DoD information systems. It provides a designator that indicates the
level of IT access required to execute the responsibilities of the position, based on the potential
for an individual assigned to the position to adversely impact DoD missions or functions. The
position categories include: IT-I (Privileged), IT-II (Limited Privileged) and IT-III (Non-
Privileged). Investigative requirements for each category vary, depending on role and whether
the incumbent is a U.S. military member, U.S. civilian government employee, U.S. civilian
contractor, or a foreign national.

4.2.1.4. SECNAVINST 5510.30A, Department of the Navy Personnel Security

Program, established the DON Personnel Security Program to authorize initial and continued
access to classified information and/or initial and continued assignment to sensitive duties,
including IT duties, to those persons whose loyalty, reliability and trustworthiness are such that
entrusting the persons with classified information or assigning the persons to sensitive duties is
clearly consistent with the interests of national security. The criteria for designating DON IT-I,
IT-II and IT-III positions, and the investigative and adjudicative standards for assignment are
provided in SECNAVINST 5510.30A.

4.2.2. Access Control. An individual’s access to DON information and resources is

contingent upon having the need-to-know, holding the appropriate security clearances, and
authorization by the cognizant DON Commanding Officer. Need-to-know is defined as the

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necessity for access to, or knowledge or possession of, specific official DoD information
required to carry out official duties.10

4.2.3. Foreign Nationals

4.2.3.1. “Foreign nationals” refers to all individuals who are not citizens or
nationals of the U.S. This may include some U.S. military personnel, DoD civilian employees,
and contractors.

4.2.3.2. Access to systems or information by foreign nationals or representatives

of foreign entities shall be limited, but may be permitted under controlled conditions.
Authorization for access to DON IT systems depends on meeting criteria for need to know,
possession of appropriate level of security determination, and compliance with applicable DoD,
DON, and the U.S. Department of State policies.

4.2.3.3. Where foreign national access is required, each system shall have
policies and procedures to ensure that access is authorized only to information approved for
release to that foreign national’s government, and for controlled unclassified information
authorized for release in accordance with the International Traffic in Arms Regulations and the
Export Administration Regulations.

4.2.3.4. Foreign nationals shall be identified as such in all network

communications, including e-mail addresses, display names, and electronic signatures.

4.2.3.5. SECNAVINST 5510.34A, Disclosure of Classified Military Information

and Controlled Unclassified Information to Foreign Governments, International Organizations,
and Foreign Representatives, is the primary reference regarding the disclosure of DON military
information to foreign governments and international organizations.

4.2.3.6. Requirements for permitting foreign national access to systems or

information are specified by DoDD 8500.1; Chairman of the Joint Chiefs of Staff Manual
(CJCSM) 6510.01, Defense-in-Depth: Information Assurance and Computer Network Defense;
SECNAVINST 5510.30A; and SECNAVINST 5510.36.

4.2.3.7. DAAs and IAMs shall be U.S. citizens. DAAs shall be civilian or
military employees of the U. S. Government, while IAMs shall be civilian, military, or contract
employees of the U. S. Government.

4.2.3.8. IAOs and personnel with privileged access may be contractors or foreign
nationals, provided requirements of DoDI 8500.2 and SECNAVINST 5510.30A are met. For
foreign nationals, requirements include submission of a complete waiver package per
SECNAVINST 5510.30A.

4.2.4. Privileged Access. A privileged user is an authorized user who has access to
system control, monitoring, or administration functions.11 Privileged access to DON systems

10 DoDD 8500.1
11 DoDI 8500.2, Information Assurance (IA) Implementation, 6 Feb 2003, section E2.1.44

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should only be held by personnel whose current job duties require that level of access.
SECNAVINST 5510.30A specifies requirements for privileged access to DON systems.

4.2.5. IA Workforce Identification, Tracking, and Reporting

4.2.5.1. IA duties may be performed full-time or part-time, as

additional/embedded duties, by a DON employee (civilian or military) or by a support
contractor. All IA workforce personnel (military, civilian, contractor, and foreign/other nationals
in each of those groups) shall be identified, tracked, and managed so that IA positions are staffed
with personnel trained and certified by category, level, and function.12

4.2.5.2. Personnel Identification and Tracking

4.2.5.2.1. DoDI 8500.2 and SECNAVINST 5510.30A state that DAAs and
IAMs shall be U.S. citizens. DAAs shall be civilian or military employees of the U. S.
Government, while IAMs may be civilian, military, or contractor employees. See DoDI 8500.2
and SECNAVINST 5510.30A for more information.

4.2.5.2.2. Personnel performing IA privileged user or management

functions, regardless of job series or military specialty, shall be appropriately identified in
applicable Naval personnel databases.

4.2.5.2.3. The status of IA personnel certifications and certification status

shall be identified, documented, and tracked in Naval personnel databases.

4.2.5.2.4. Contractor personnel performing IA functions shall have their

IA certification category and level documented in the Defense Eligibility Enrollment Reporting
System.

4.2.5.3. Workforce Systems

4.2.5.3.1. All IA-related positions are assigned in writing, including a

statement of IA responsibilities, and appointees to positions shall receive appropriate IA
training.13

4.2.5.3.2. All civilian positions with IA functions, regardless of Office of

Personnel Management series or job title, will be identified as IA workforce in the Defense
Civilian Personnel Data System.

4.2.5.3.3. All military billets with IA responsibilities, whether full time,

part time, or as a collateral duty, shall be identified in USN or USMC workforce databases.

4.2.5.4. IA Workforce Reporting

12 DoDD 8570.1, Information Assurance Training, Certification, and Workforce Management, 15 August 2004
13 DoDI 8500.2, section 5.8.2

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4.2.5.4.1. IA training shall be monitored and reported as an element of

mission readiness and as a management review item. The status of awareness and training
provision and certifications shall be reported to DON CIO as an element of mission readiness.

4.2.5.4.2. Reporting requirements are applicable to all personnel

performing IA functions, inclusive of contractors and foreign nationals.

4.3. PHYSICAL AND ENVIRONMENTAL PROTECTION

4.3.1. Physical Security is the action taken to protect DON information technology
resources (e.g., installations, infrastructure, personnel, equipment, electronic media, and
documents) from damage, loss, theft, or unauthorized physical access.

4.3.2. Commanders of DON organizations are responsible for ensuring the physical
security posture is accurately assessed and security resources are appropriate to protect DON
information and resources in accordance with SECNAVINST 5510.34 and SECNAVINST
5510.36.

4.4. CONTINGENCY PLANNING

4.4.1. All DON units shall be prepared to recover from disasters and continue operations
in the event of the non-availability of information systems and resources or denial of service
conditions. Contingency plans shall be developed, evaluated, and annually tested to prepare for
emergency response, backup operations, and post-disaster recovery. At a minimum, contingency
planning shall address reconstitution for the loss of processing, storage, or transmitting of
information.

4.4.2. System and network design shall incorporate redundancy and data backup in
accordance with the level of IA controls for the system’s mission assurance category (MAC)
level. For some systems or networks, this will require a remote site capable of providing
network operations using routine system backups stored offsite in preparation for a disaster.
NIST Special Publication 800-34, Contingency Planning for Information Technology Systems,
provides guidance on developing contingency plans, including disaster recovery.

4.4.3. The DON continuity of operations (COOP) program provides the means to
continue DON mission essential operations during national security emergencies and events
requiring all or part of the DON to be relocated or reconstituted. Program details are described in
SECNAVINST 3030.4A, Department of the Navy Continuity of Operations (DON COOP)
Program.

4.5. CONFIGURATION MANAGEMENT

4.5.1. Configuration management identifies, controls, accounts for, and audits all changes
to a site or information system during its design, development, and operational lifecycle. Proper
configuration management is essential to the maintenance of system accreditation status. For
each change or modification to an information system or site configuration, assess the security
impact of the change against the accreditation conditions issued by the DAA.

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4.5.2. Various federal departments and agencies publish baseline security requirements
for commonly deployed IT hardware and software. Key resources include:
NSA Security Configuration Guides address a wide variety of open source
and proprietary software.
http://www.nsa.gov/snac/.

DoD Security Technical Implementation Guides include configuration

standards for IA and IA-enabled devices and systems, security checklists, and
security readiness review scripts for testing products for compliance with
standards.
http://iase.disa.mil/stigs/index.html.

NIST SP 800-70, Security Configuration Checklists Program for IT Products,

provides checklists of settings and option selections that minimize the security
risks associated with each computer hardware or software system that is, or is
likely to become, widely used within the Federal Government.
http://csrc.nist.gov/checklists/index.html.

4.6. MALICIOUS CODE PROTECTION

4.6.1. Malicious code refers to any type of computer software, standalone or embedded,
designed to perform some type of unauthorized or undesirable activity. This includes viruses,
worms, spyware, Trojan horses, and other executable files and scripts that intentionally or
unintentionally perform unauthorized activities or act in a malicious manner.14

4.6.2. The most critical countermeasure to malicious code is the installation and
maintenance of anti-virus software. This software is available to all DoD components at no cost
and is downloadable from the DoD IA Portal and the DON IA website.15

4.7. INTRUSION DETECTION TOOLS AND TECHNIQUES

4.7.1. Network management tools are used to detect, isolate, and react to intrusions,
disruption of services, or events that threaten the security of DON information technology
resources. Intrusion detection is performed by personnel actively monitoring the outputs of these
tools.

4.7.2. The Navy Computer Incident Response Team (NAVCIRT) and the Marine Corps
Network Operations and Security Center (MCNOSC) monitor networks for these types of
events. More information on DON incident response will be published in a forthcoming manual.

4.8. SECURITY ALERTS AND ADVISORIES

4.8.1. A vulnerability is a weakness in an information system that may lead to an

undesirable reduction in confidentiality, integrity, availability, non-repudiation, and/or

14 Source: http://www.cert.mil/antivirus/malcode.htm
15 Source: http://iase.disa.mil/ or https://infosec.navy.mil/.

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authentication of information. Vulnerabilities are identified throughout the system development

lifecycle through demonstration, inspection, and/or analysis. Operational systems shall be
subjected to vulnerability scanning.

4.8.2. The IA Vulnerability Management (IAVM) process generates alerts that are issued
by DoD to direct enterprise-wide response to specific software vulnerabilities. IAVM actions
shall be addressed and compliance reported within the timeframe allotted by DoD.

4.8.2.1. The IAVM program applies to any asset on any DON owned or
controlled information system network.

4.8.2.2. IAVM notifications originate at DoD and are disseminated through

NAVCIRT and MCNOSC via record message traffic.

4.8.2.3. There are three types of IAVM notifications:

4.8.2.3.1. IA Vulnerability Alerts (IAVA) address severe network

vulnerabilities resulting in immediate and potentially severe threats to DON systems and
information. Corrective action is of the highest priority due to the severity of the vulnerability
risk.

4.8.2.3.2. IA Vulnerability Bulletins (IAVB) address new vulnerabilities

that do not pose an immediate risk to DON systems, but are significant enough that
noncompliance with the corrective action could escalate the risk.

4.8.2.3.3. Technical Advisories (TA) address new vulnerabilities that are

generally categorized as low risk to DON systems.

4.8.3. NAVCIRT issues periodic advisories summarizing and highlighting computer

incidents or addressing immediate threats. NAVCIRT issues Computer Task Orders, Advisories,
and Alerts. MCNOSC issues Operational Directives and Advisories.

4.8.4. The Information Operations Condition (INFOCON) system is a commander’s alert

system that establishes a uniform process for posturing and defending against malicious activity
targeted against DoD information systems and networks.

4.8.4.1. The five INFOCON levels include: Normal, Alpha, Bravo, Charlie, and
Delta. These are defined in DoDD O-8530.1, Computer Network Defense.

4.8.4.2. The Commander, United States Strategic Command (STRATCOM)

establishes the INFOCON level for the DoD. Changes of INFOCON level are sent from
STRATCOM to NAVCIRT and MCNOSC, which forward them to all USN and USMC
Commands.

4.8.4.3. Commanders at all levels of the Department of Defense are authorized to

elevate INFOCONs for information systems and networks within their area of authority to levels
higher than the DoD level.

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4.8.4.4. An increase in INFOCON requires timely notification. For further

guidance regarding the INFOCON system, see DoDD O-8530.1, CJCSM 6510.01, and
STRATCOM.

4.9. VALIDATION ACTIVITIES

4.9.1. Assistance is available to assess and improve the IA posture, by identifying

vulnerabilities in an operational environment and validating a site's overall security posture and
degree of system integration.

4.9.2. Validation may occur locally. Requests for on-line surveys, IA assist visits, and
Red Team support may be made to NAVCIRT or MCNOSC via appropriate command.
Assistance is also available to support vulnerability identification and mitigation via appropriate
Service commands.

4.9.2.1. Blue Team Operations. A Blue Team operation uses a team specifically
constructed for the Inter-Deployment Training Cycle charged with assisting in the protection of
the targeted assets and conducting training to local personnel. The Blue Team provides special
technical expertise to system/security administrators and managers to assist command personnel
in defensive actions. Blue Team trusted agents provide assistance in identifying Red Team
attacks and serve as safety observers to ensure that safety is not compromised.

4.9.2.2. Red Team Operations. A Red Team operation is an independent and

threat based effort by an interdisciplinary, simulated opposing force, which after proper
safeguards are established, uses both active and passive capabilities on a formal, time-bounded
tasking to expose and exploit IA vulnerabilities of friendly forces. Red Team operations may be
employed to validate existing IA protections and to exercise standard operating procedures and
tactics to evaluate vulnerabilities.

4.9.2.3. Information Assurance Assist Visits. The Computer Network

Vulnerability Assist is a three-phase exercise designed to provide assistance in the identification
and subsequent safeguarding of information system vulnerabilities. In Phase One, Configuration
Management and Vulnerability Assessment, the Blue Team ensures configuration is current. In
Phase Two, Risk Assessment and Active Computer Network Defense, internal training, risk
assessment, and management updates occur. In Phase Three, Red Team Assessment, the exercise
Blue Team tests the skills learned from the previous phases in order to evaluate their network
protection strategy and capabilities. There are three teams or “cells” at work during this phase,
Red (attackers), Blue (defenders, serve as trusted agents) and White (safety observers and
exercise coordinators).

4.10. MEDIA PROTECTION

4.10.1. Protect all electronic media (e.g., compact disks, internal and external hard drives,
and portable devices), including backup media, removable media, and media containing sensitive
information from unauthorized access.

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4.10.2. Control access to such materials, and ensure that they are properly labeled, stored,
destroyed, and disposed of in accordance with the rules for the data they contain. This includes
all sensitive unclassified data not approved for public release. This also includes special
handling instructions for U.S. classified and NATO marking and release requirements.

4.10.3. SECNAVINST 5510.36 defines the DON Information Security Program policies,
including media marking requirements.

4.11. INCIDENT DETECTION AND RESPONSE

4.11.1. An event is an observable occurrence, not yet assessed, that may affect the
performance of a system. Examples of events include a user connecting to a file share, a server
receiving a request for a Web page, a user sending electronic mail, or a firewall blocking a
connection attempt.

4.11.2. Incidents are adverse events with a negative consequence. Examples of incidents
include the unauthorized use of another user's account, the unauthorized use of system privileges,
and the execution of malicious code that destroys data, and data manipulation such as web
defacements. There are two types of incidents pertinent to this document.

4.11.2.1. An IA incident is an assessed event having actual or potentially adverse

effects on an information system.

4.11.2.2. A Communications Security (COMSEC) incident is an assessed event

that potentially jeopardizes the security of COMSEC material or the secure electronic
transmission of national security information or information governed by Title 10 U.S.C. Section
2315.

4.11.3. Sites shall have a structured ability to audit, detect, isolate, react, and promptly
report incidents.

4.11.4. USMC personnel shall report potential IA incidents to the MCNOSC via their
chain of command. USN personnel shall report events and incidents to NAVCIRT via their chain
of command.

4.11.5. Incident Response Guidance.

4.11.5.1. CJCSI 6510.01 provides instruction on IA incident response and

reporting requirements.

4.11.5.2. SECNAVINST 5510.36 describes the DON Information Security

Program (ISP). The ISP instruction provides DON policy and incident reporting requirements.

4.11.5.3. Note that not all computer incidents will result in a reportable loss or
compromise of classified information. When an incident does occur, be cognizant of DON dual
reporting requirements.

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4.12. AWARENESS AND TRAINING

4.12.1. DON shall establish, resource, and implement IA training and certification
programs for all Naval personnel – military and civilian – in accordance with SECNAVINST
5239.3A. These programs shall train, educate, certify, and professionalize personnel
commensurate with their responsibilities to develop, use, operate, administer, maintain, defend,
and retire DoD information systems.16

4.12.2. Initial IA Awareness training shall be provided to all military, civilian, and
contractor personnel as a condition of access to DON information systems in any system
lifecycle phase.

4.12.3. IA professionals shall complete specialized position-specific training as required.

Training should emphasize achieving appropriate IA certifications.

16 DoDI 8500.2, Section 5.7.7

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5. CHAPTER 5 – TECHNICAL CONTROLS

5.1. INTRODUCTION

5.1.1. The technical class of IA controls focuses on IA controls established by people but
executed by systems. To be effective, these controls are dependent upon the proper functioning
of the systems. Implementation of technical controls requires significant operational
considerations and should be consistent with the management of IA within the organization.

5.2. USER IDENTIFICATION AND AUTHENTICATION

5.2.1. Identification and authentication refers to the technical means by which

information systems verify the legitimacy of a request for access by a person or another system.
An identity is an assertion that the user is person X. Authentication provides proof to support that
assertion. There are three types of proof supporting authentication:

5.2.1.1. Something you know – A secret, such as a password or a personal

identification number.

5.2.1.2. Something you have – A recognized object, such as a DoD Common

Access Card or a Public Key Infrastructure (PKI) certificate.

5.2.1.3. Something you are – A unique attribute of the user, such as a fingerprint
or iris scan.

5.2.2. All DON information systems must require at least one of the three methods above
to identify a user for the purpose of access in addition to need-to-know and security clearance
requirements. DAAs will ensure that the identifying mechanism is appropriate for the system
criticality. For example, access to a MAC I system with classified information should require at
least two of the three identification mechanisms.

5.3. PUBLIC KEY INFRASTRUCTURE

5.3.1. Public Key Infrastructure is an enabling technology that enhances information

systems security, promotes secure electronic commerce, and supports the automation of many
current paper-based manual processes. Public key cryptography offers DON IT environments the
best available technology for secure transmission of unclassified data across public and private
wide area networks. It provides a high degree of assurance of data confidentiality, integrity,
authentication, and user identification among users of public key enabled information systems,
including network login, e-mail, web-based information services, and electronic commerce
transactions.

5.3.2. DON information systems including networks, e-mail, and web servers shall be
enabled to use DoD PKI certificates to support authentication, access control, digital signature,
and encryption. PKI requirements for DoD and DON information systems and applications can
be found in DoDI 8520.2, Public Key Infrastructure and Public Key Enabling.

27 Chapter 5
 SECNAV M-5239.1
November 2005

5.4. AUTHENTICATOR MANAGEMENT

5.4.1. An authenticator is the means used to confirm the identity of a station, originator,
or individual.

5.4.2. The Common Access Card (CAC) is the DoD’s cyber and physical identification
card for all active duty Uniformed Services personnel, members of the Selected Reserve, DoD
civilian employees, and personnel working on site at DoD facilities using DoD networks and e-
mail services. The CAC is organization independent and interoperable across all DoD
Departments and Agencies including the DON.

5.4.3. The CAC is the primary token for generation, storage, and use of DoD PKI
certificates.

5.4.4. Authenticators shall be protected commensurate with the classification or

sensitivity of the information accessed; they shall not be shared, and they shall not be embedded
in access scripts or stored on function keys.

5.4.5. Passwords shall be encrypted both for storage and for transmission. Password
criteria are specified in CJCSM 6510.01.

5.5. ACCESS CONTROL POLICY AND PROCEDURES

5.5.1. Access Controls are used to ensure the confidentiality, integrity, and availability of
data and information systems by limiting access to authorized personnel. Access to all DoD
information systems shall be based on a demonstrated need-to-know and granted in accordance
with SECNAVINST 5510.30A requirements for position designation, personnel security
investigation, and adjudication.

5.6. ACCOUNT MANAGEMENT

5.6.1. Account management ensures that valid user accounts are associated with active,
authorized personnel. While applicable to all types of accounts, account management for
privileged user accounts is critical. System administrators shall monitor user account inactivity
and establish procedures for investigating, deactivating, and eliminating accounts that do not
show activity over time.

5.7. BOUNDARY DEFENSE

5.7.1. In DON networks, a DMZ, also know as a “screened subnet,” exists logically
between the public domain (Internet) and the DISN. This boundary condition can be physical or
virtual. One option for creating this dedicated network segment is to operate a dedicated network
segment with a firewall installed at both ends, thus better protecting the internal network during
external information exchange and providing external, untrusted sources with restricted access to
releasable information while shielding the internal networks from outside attacks. Both firewalls
will have different rule sets according to the specific access controls for the attached networks
and the interior firewall will be more restrictive than the exterior firewall. A DMZ may also
include an intrusion detection system sensor to alert the appropriate personnel of suspicious

28 Chapter 5
 SECNAV M-5239.1
November 2005

and/or malicious network traffic. In order to defend the internal network, services that are
accessed from external networks, such as e-mail and web servers, must be placed in a DMZ.

5.7.2. Deploy firewalls, intrusion detection systems, and other NIAP or NSA-approved
security solutions to provide exterior protection to networks. Boundary defenses shall be
commensurate with the criticality and sensitivity of the systems in the network and appropriate to
the operating environment.

5.7.3. Intranet and extranet web services shall be protected with appropriate access
controls. Afloat commands shall only use Internet web-hosting services provided by a
centralized network operations center.

29 Chapter 5
 SECNAV M-5239.1
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APPENDIX A – REFERENCES

View http://iase.disa.mil/policy.html for a list of all IA-related laws, regulations, and policies.

Laws

Federal Information Security Management Act of 2002, Title III of E-Government Act of 2002
(PL 107-347), 17 Dec 2002

The Computer Security Act of 1987 (PL 100-235), 11 June 1987

Title X, United States Code, Chapter V, Armed Forces, 20 Oct 2000

Executive Branch Regulations

OMB Circular A-130, Appendix III, Security of Federal Automated Information Resources, 28
November 2000.

Department of Defense Directives and Instructions

IA Generally

DoDD 8500.1, Information Assurance (IA), 24 Oct 2002

DoDI 8500.2, Information Assurance (IA) Implementation, 6 Feb 2003

CJCSI 3170.01E, Joint Capabilities Integration and Development System, 11 May 2005

CJCSI 6211.02B, Defense Information System Network (DISN): Policy, Responsibilities and
Processes, 31 July 2003

Acquisition

DoDI 5000.2, Operation of the Defense Acquisition System, 12 May 2003

DoDD 8580.1, Information Assurance (IA) in the Acquisition Defense System, 9 July 2004

Certification and Accreditation

DoDI 5200.40, DoD Information Technology Security Certification and Accreditation Process
(DITSCAP), 30 December 1997

DoDI 8510.1-M, DoD Information Technology Security Certification and Accreditation Process
(DITSCAP) Application Manual, 31 July 2000

30 Appendix A
 SECNAV M-5239.1
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Computer Network Defense

CJCSM 6510.01, Defense-in-Depth: Information Assurance (IA) and Computer Network

Defense (CND), 10 August 2004

CJCSI 6510.01D, Information Assurance (IA) and Computer Network Defense (CND), 15 June
2004

DoDD 0-8530.1, Computer Network Defense (CND), 8 January 2001

Ports and Protocols

DoDI 8551.1, Ports, Protocols, and Services Management (PPSM), 13 Aug 2004

PKI

DoDI 8520.2, Public Key Infrastructure (PKI) and Public Key (PK) Enabling, 1 April 2004

Workforce Development

DoDD 8570.1, Information Assurance Training, Certification, and Workforce Management, 15

August 2004

DoD Strategic Documentation

Joint Vision 2020, June 2000

DoD IA Strategic Plan Version 1.1, January 2004

Department of the Navy Instructions

SECNAVINST 3030.4A, Department of the Navy Continuity Of Operations (DON COOP)

Program, 27 July 2004

SECNAVINST 5239.3A, Department of the Navy Information Assurance Policy, 20 December

2004

SECNAVINST 5430.7N, Assignment of Responsibilities and Authorities in the Office of the

Secretary of the Navy, 11 January 2005

SECNAVINST 5510.30A, Department of the Navy Personnel Security Program, 19 June 2000

SECNAVINST 5510.34A, Disclosure of Classified Military Information and Controlled

Unclassified Information to Foreign Governments, International Organizations, and Foreign
Representatives, 8 October 2004

31 Appendix A
 SECNAV M-5239.1
November 2005

SECNAVINST 5510.36, Department of the Navy Information Security Program Regulation, 17

March 1999

Other References

CNSS Instruction No. 4009, National Information Assurance (IA) Glossary, May 2003.

DON memorandum to CNO and CMC, “Designation of the Department of the Navy Deputy
Chief Information Officer (NAVY) and the Department of the Navy Deputy Chief Information
Officer (MARINE CORPS),” 22 Aug 2005.

Website References

Secretary of the Navy/Assistant for Administration Under Secretary of the Navy Publications

website: https://www.navsopubs.hq.navy.mil.

Department of the Navy Electronic Directives System: http://neds.daps.dla.mil/.

DON CIO website: http://www.doncio.navy.mil.

USMC C4 Information Assurance website: https://hqdod.hqmc.usmc.mil/IA.asp

USN Information Assurance website: https://infosec.navy.mil/.

NSA National Information Assurance Partnership: http://niap.nist.gov/.

The DoD IA Portal: http://iase.disa.mil/eta/index.html.

The DoD IA Portal Policies list: http://iase.disa.mil/policy.html.

NIST Computer Security Resource Center: http://csrc.nist.gov/.

32 Appendix A
 SECNAV M-5239.1
November 2005

APPENDIX B – DEFINITIONS

The following definitions are critical to understanding IA. A comprehensive set of IA definitions
is available from the Committee on National Security Systems Instruction Number 4009,
National Information Assurance (IA) Glossary at http://www.cnss.gov/.

Accreditation Formal declaration by the DAA that an information system

is approved to operate in a particular security mode using a
prescribed set of safeguards at an acceptable level of risk.

Authentication Authentication is assurance of the identity of a message

sender or receiver. Authentication is the security measure
designed to establish the validity of a transmission,
message, or originator, or a means of verifying an
individual's authorization to receive specific categories of
information.

Authenticator The means used to confirm the identity of a station,

originator, or individual.

Availability Availability is assurance of timely, reliable access to data

and information systems by authorized users. Availability-
focused IA controls protect against degraded capabilities
and denial of service conditions.

Certification Comprehensive evaluation of the technical and non-

technical security features of an information system and
other safeguards, made in support of the accreditation
process, to establish the extent that a particular design and
implementation meets a set of specified security
requirements.

Class (Control) IA controls are organized into three classes: management,

operational, and technical.

Computer Network Attack Operations to disrupt, deny, degrade, or destroy

information resident in computers and computer networks
or the computers and networks themselves.

Confidentiality Confidentiality is assurance that information is not

disclosed to unauthorized persons, processes, or devices. It
includes both the protection of operational information and
the protection of IA-related system information such as
password or configuration files.

33 Appendix B
 SECNAV M-5239.1
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Controls The management, operational, and technical safeguards or

countermeasures prescribed for an information system to
protect the confidentiality, integrity, and availability of the
system and its information. Controls also provide
authentication and non-repudiation of communications.

Demilitarized Zone A “screened subnet” that exists logically between the

public domain (Internet) and the DISN. This boundary
condition can be physical or virtual and is intended to
isolate less secure systems and networks.

Enclave Collection of computing environments connected by one or

more internal networks under the control of a single
authority and security policy, including personnel and
physical security.

Family (Control) Within each IA control class, individual controls are

grouped into families. A family consists of two or more
controls designed to accomplish a similar purpose such as
Certification and Accreditation or Contingency Planning.

Incident Assessed occurrence having actual or potentially adverse

effects on an information system.

(COMSEC) Occurrence that potentially jeopardizes the

security of COMSEC material or the secure electrical
transmission of national security information or
information governed by 10 U.S.C. Section 2315.

Information Assurance Measures that protect and defend information and

information systems by ensuring their availability,
integrity, authentication, confidentiality, and non-
repudiation. These measures include providing for
restoration of information systems by incorporating
protection, detection, and reaction capabilities.

Information Operations Actions taken to affect adversary information and

information systems, while defending one’s own
information and information systems. Information
Operations require the close, continuous integration of
offensive and defensive capabilities and activities, as well
as effective design, integration, and interaction of
command and control with intelligence support.
Information Operations are conducted through the
integration of many capabilities and related activities.

34 Appendix B
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Information System Set of information resources organized for the collection,

storage, processing, maintenance, use, sharing,
dissemination, disposition, display, or transmission of
information.

Integrity Integrity is assurance that information is not modified by

unauthorized parties or in an unauthorized manner.
Integrity supports the assurance that information is not
accidentally or maliciously manipulated, altered, or
corrupted. Additionally, integrity implies the ability to
detect when information has been altered.

Legacy System An existing system that is designated for closure when the
capability is absorbed by an interim or core system or if the
capability is no longer required. No modifications or
enhancements are made to legacy systems.17

Management Controls The management class of IA controls addresses topics that

may be characterized as managerial. They are techniques
and concerns that are normally directed or addressed by
leadership. They focus on the management of IA and the
management of risk.

Mission Assurance Category Applicable to all DoD information systems, the mission
assurance category reflects the importance of information
relative to the achievement of DoD goals and objectives,
particularly the warfighters' combat mission. Mission
assurance categories are primarily used to determine the
requirements for availability and integrity.

Mission Critical (System) A system the loss of which would cause the stoppage of
warfighter operations or direct mission support of
warfighter operations.

Mission Essential (System) A system that is basic and necessary for the
accomplishment of the organizational mission.

Mission Support (System) A system handling information that is important to the

support of deployed and contingency forces. It must be
absolutely accurate, but can sustain minimal delay without
seriously affecting operational readiness or mission
effectiveness (may be classified, but is more likely to be
sensitive or unclassified).

17 http://www.dod.mil/bmmp

35 Appendix B
 SECNAV M-5239.1
November 2005

Net-centricity Net-centricity is the realization of a networked environment

(including infrastructure, systems, processes, and people)
that enables a completely different approach to warfighting
and business operations. It compels a shift to a “many-to-
many” exchange of data, enabling many users and
applications to leverage the same data. This extends beyond
the traditional focus on standardized, predefined, point-to-
point interfaces.

Non-repudiation Non-repudiation is assurance that the sender of data is

provided with proof of delivery and the recipient is
provided with proof of the sender's identity, so neither can
later deny having processed the data.

Operational Controls The operational class of IA controls focus on activities that

are implemented and executed by people as opposed to
systems. These controls are put in place to improve the
security of a particular system (or group of systems). They
often require technical or specialized expertise and rely
upon management activities as well as technical controls.

Risk Possibility that a particular threat will adversely impact an

information system by exploiting a particular vulnerability.

Technical Controls The technical class of IA controls focus on IA controls that

are set up by people but executed by systems. To be
effective, these controls are dependent upon the proper
functioning of the systems. Implementation of technical
controls requires significant operational considerations and
should be consistent with the management of IA within the
organization.

Threat Any circumstance or event with the potential to adversely

impact an information system through unauthorized access,
destruction, disclosure, modification of data, and/or denial
of service.

Vulnerability Weakness in an information system, system security

procedures, internal controls, or implementation that could
be exploited.

36 Appendix B
 SECNAV M-5239.1
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APPENDIX C – ABBREVIATIONS AND/OR ACRONYMS

C&A Certification and Accreditation

C4ISR Command, Control, Communications, Computers, Intelligence,
Surveillance, and Reconnaissance
CA Certification Authority
CAC Common Access Card
CJCSI Chairman of the Joint Chiefs of Staff Instruction
CJCSM Chairman of the Joint Chiefs of Staff Manual
CIO Chief Information Officer
CND Computer Network Defense
CO Commanding Officer
COMSEC Communications Security
DAA Designated Approving Authority
DiD Defense-in-Depth
DISA Defense Information Systems Agency
DISN Defense Information Systems Network
DITSCAP DoD Information Technology Security Certification and
Accreditation Process
DMZ Demilitarized Zone
DoD Department of Defense
DoDD DoD Directive
DoDI DoD Instruction
DON Department of the Navy
DON CIO DON Chief Information Officer
FISMA Federal Information Security Management Act of 2002
GIG Global Information Grid
IA Information Assurance
IAM IA Manager
IAO IA Officer
IAVM IA Vulnerability Management
INFOCON Information Operations Condition
IO Information Officer
ISP Information Security Program
IT Information Technology
MAC Mission Assurance Category
MCNOSC Marine Corps Network Operations Security Center
NAVCIRT Navy Computer Incident Response Team
NIAP National Information Assurance Partnership
NIPRNet Non-secure Classified Internet Protocol Routing Network
NIST National Institute of Standards and Technology
NMCI Navy Marine Corps Intranet
NSA National Security Agency
OIC Officer in Charge
OMB Office of Management and Budget

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PKI Public Key Infrastructure

PL Public Law
PM Program Manager
POA&M Plan of Action and Milestones
SECNAV Secretary of the Navy
SECNAVINST SECNAV Instruction
SECNAVMAN SECNAV Manual
SIPRNet Secure Internet Protocol Routing Network
STRATCOM Strategic Command
USMC US Marine Corps
USN US Navy

38 Appendix C
 Table of Revisions/Changes

SECNAV Manual Basic Issuance Date

Change Number Revision Date

 Brief of Revisions/Changes

The following are major changes in the policy and procedures

incorporated in the latest revision to this SECNAV Manual. A revised
Foreword and Table of Contents will be issued with each change.

1. Chapter _____, Page _____ , Paragraph ____ :

2. Chapter _____, Page _____ , Paragraph ____ :
3. Chapter _____, Page _____ , Paragraph ____ :
4. Chapter _____, Page _____ , Paragraph ____ :
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STOCK NUMBER
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