NUWCDIVKYPT 5728.1.pdf

NUWCDIVKPTINST 5728.1

MAR 2021

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NAVAL UNDERSEA WARFARE CENTER

DIVISION, KEYPORT

REQUIREMENTS

FOR PUBLIC

RELEASE OF

UNCLASSIFIED

INFORMATION

NUWCDIVKPTINST 5728.1A CH-2 Date: 2 MARCH 2021

Process Owner: Public and Congressional Affairs Division

Directive Author: Corporate Communications Director

Canceled Directives: This directive supersedes NUWCDIVKPTINST 5728.1 A CH-1

Approval Signature:

X

1. Purpose: Ensure that all documentation released to the public is coordinated, consistent, accurate, unclassified, meets national security requirements, supports Naval Undersea Warfare Center (NUWC) Division, Keyport’s business needs, and reflects professionally on NUWC Division, Keyport and the Navy.

2. Policy:

2.1. The Code 103 Corporate Communications Division Head oversees this process which ensures review and approval of all information prior to being released from NUWC Division, Keyport to public audiences. This includes, but may not be limited to:

2.1.1. Controlled Unclassified technical documents, photos, and videos for release to the public via radio, television, newspapers, email, websites, social media, or any other means of mass communication.

2.1.2. Technical information/papers for publication in unclassified professional scientific journals, trade journals, other periodicals, or posting on web sites.

2.1.3. Technical papers, photos, and videos or physical items for presentation at unclassified symposia, scientific meetings, or other such functions.

2.1.4. Technical and non-Technical presentations including photos, videos, physical items on- or off-base to the public (tours, community organizations, etc.).

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3. Scope:

3.1. This directive applies to all documentation, information, or technical data prepared for release to the general public by military, civilian, and contractor employees. Documentation, information, or technical data includes, but is not limited to: reports, technical papers, slide presentations, abstracts, articles, drawings, photographs, fact sheets, videos/scripts, CD-ROMS, DVDs/videos, brochures, booklets, physical items, briefings and presentations, graphics for displays, press releases (other than non-technical press releases), e-mail, e-mail attachments or enclosures, etc.

Distribution of information may include to general public access media which may involve television, radio, newspaper, trade journals, internet websites and blogs, social media, public meetings (including on-line meetings and video-teleconferences), symposium presentations, and e-mail directed to any members of the public.

3.2. This directive does not apply to:

3.2.1. Responses to Freedom of Information Act (FOIA) requests, which are covered under SECNAVINST 5720.42.

3.2.2. Photographs taken in conjunction with inspections and investigations of workplaces by federal/state Occupational Safety and Health officials for which public release is required. Rather, such photographs must be fully screened and censored, as appropriate, according to OPNAVINST 5100.23. Such photos should be sent through an appropriately protected means to the Environmental Protection, Occupational Safety and Health Office at NAVSEA (SEA00T), which will coordinate required reviews and approve limited release, as warranted.

4. Background:

4.1. Release of unclassified information to the public requires an internal review by the NUWC Division, Keyport officials indicated on the Public Release Approval Checklist, Form NUWC Division, Keyport 5728/01.

4.2. SECNAVINST 5720.44 sets forth Department of Navy (DON) policies concerning clearance of DON information prepared for public release and provides guidelines for release authority. Subject matter includes but is not limited to operational security, personnel medical matters, personnel military justice matters, investigations, proprietary information, nuclear program and nuclear weapons accidents and incidents, base realignments and closures.

4.3. SECNAV 5510.36 sets forth policy and assigns responsibility for the security review of all official Department of Defense (DoD) information intended for public release.

4.4. NAVSEAINST 5230.12 provides policy and procedures for the review of technical data and information intended for public release that is under the cognizance and/or control of the NAVSEA claimancy or that of NAVSEA-affiliated Program Executive Offices.

4.5. Release of NAVSEA technical information must be approved by Naval Sea Systems Command Congressional and Public Affairs Office, SEA 00D. However, neither NAVSEA nor its field activities have the authority to release information belonging to outside agencies, other Systems Commands, or other Military Services. Release approval of such materials must be received from the approving official identified in source documents for that program.

4.6. Materials that require external review for release are submitted to higher authority for clearance only after they have been reviewed and necessary amendments made to the fullest

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capability by this Command. NAVSEA 00D requires a minimum of 15 working days (3 weeks) to process a request for public release, and prefers 30 working days (6 weeks).

5. Approved Waivers: All NUWC Division, Keyport employees must comply with the requirements of this directive, except as noted by an approved waiver on file in the Keyport Directives library.

6. Releasability and Distribution: This instruction is not cleared for public release. It is available electronically only via Keyport Directive Web site located on the Keyportal SharePoint site.

7. Process Boundaries:

7.1. This process starts with the identification of a document that is to be released or presented to an audience that may include the general public, news media, a business not in contract with a DoD agency, or member of Congress and/or their staff. This process ends when the documentation is either approved or disapproved by the NUWC Division, Keyport PAO for release.

7.2. Documents will be labeled and treated as "For Official Use Only" or “Distribution D” until they are approved for release. As with any sharing of documents, all appropriate encryptions and safeguards in accordance with NAVSEAINST 5239.002 must also be in place during the public release review process.

Information submitted for external review (e.g., material submitted to NAVSEA) may only be transmitted through an approved secure method, such as an approved electronic document transfer tool.

7.3. Per NAVSEAINST 5230.12, any information intended for public release which is funded by NAVSEA or affiliated Program Executive Officers (PEO)s, or involves Naval Nuclear Propulsion Information (NNPI) is to be sent to SEA 00D for processing and approval (NNPI is forwarded to SEA 008 for review). The author may be required to provide additional information, such as a letter of request, when seeking external review. With guidance from the PAO, the letter may need to address the purpose of the public release, the date public release is required, the point of contact at NUWC Division, Keyport should questions arise, and the PEO/Directorate Sponsor(s) at NAVSEA who need to review the document for technical accuracy and releasability.

7.4. The following types of unclassified information are not authorized for release at the NUWC Division, Keyport level:

7.4.1. Information of national interest that will draw the attention of Congress.

7.4.2. Information prohibited from dissemination as cited in pertinent Security

Classification Guides (SCGs).

7.4.3. Information that is owned by a program sponsor.

7.4.4. Information concerning subjects of potential controversy among the military services.

7.4.5. Material concerning significant policy within the purview of other agencies of the

Federal Government.

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7.4.6. Other information specifically designated from time to time by the Chief of Naval Operations, Secretary of the Navy, or other higher authority as requiring clearance.

7.4.7. NNPI, classified and unclassified, is specifically designated as prohibited from public release.

7.4.8. Scientific, technological, or economic matters related to national Security.

7.4.9. Critical information regarding our mission, capabilities, facilities, and activities.

7.4.10. Sensitive information that would adversely affect our mission or that of other

DoD activities, even though it does not meet the criteria for security classification above unclassified; or information that reveals organizational, staffing, and/or available research and development funding.

7.4.11. Privacy Act Information.

8. Responsibilities:

8.1. All military, civilian, and contractor employees of NUWC Division, Keyport, including those assigned to its sites or detachments in Nevada, California, Guam, Hawaii, Pennsylvania and personnel assigned to the NUWC Division, Keyport’s off-site and remote offices will use the Public Release Approval Checklist, Form NUWC Division, Keyport 5728/01, for all materials to be released.

8.2. To improve the readability of the remainder of this directive, the word "document" will be used henceforth in a generic sense, encompassing all content that may be released to the public; and, the word “checklist” will be used to reference NUWC Division, Keyport Form 5728/01.

8.3. The checklist will be presented to all reviewers in the order listed. All blocks must be filled out across the page, and all reviewers must sign and date before the next reviewer can sign and date. Everything will be reviewed with the assumption that it may be placed on a public web site.

8.4. Routing of the checklist and the document will be done electronically whenever possible, and as described in 6.1.

8.5. The local reviewers of a document proposed for release to the public will have the following responsibilities:

8.6. Originator:

8.6.1. The originator of the document is responsible for its technical accuracy, initiating the review sufficiently in advance, and for ensuring that approval has been received prior to releasing the information to the public. The originator has the principal responsibility for accomplishing the local review. He/She will ensure the document contains no classified, restricted, sensitive, or other questionable information. The document should only cite references and list entries in the bibliography that are available in open (public) literature.

Documents are to be treated and marked as “For Official Use Only” (FOUO) or with “Distribution D” until approved for public release.

8.6.2. To ensure the protection of information requiring control, the originator will check the applicable SCG and cite the guide(s) in the space provided on the release approval

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checklist. SCGs are available from the command’s Security Coordinators or through the Security Office. The originator will also consult the Navy Critical Information List, NAVSEA Critical Information List and the Command Critical Information List, all located at https://keyportal.kypt.nmci.navy.mil/sites/Code10/105/Misc%20Security%20Web%20Pages/Op erations%20Security%20(OPSEC)%20POC-Dan%20Phillips%20396-5345.aspx. If assistance is needed regarding either of these items, contact the Security Office.

8.6.3. If the information is going to be posted on a publicly accessible website, the originator will review the requirements of NAVSEAINST 5727.1, particularly Enclosure 10, NAVSEA Public Website Policy, to ensure the materials are in compliance.

8.6.4. Routes the checklist and document to the Technical Reviewer.

8.7. Technical Reviewer (TR):

8.7.1. The TR has background and expertise in the subject field and is designated by the originator's Division Head or higher authority.

8.7.2. The TR reviews the document to ensure there is no classified information or Controlled Unclassified Information (CUI) contained (see the CUI Training Guide on the Security Office website to learn what constitutes CUI).

8.7.3. If the information being considered for release is not wholly owned by the originator’s department, it must also be referred to the department having expert knowledge of the information for review and recommendation.

8.7.4. The TR checks the appropriate blocks, signs the checklist, and forwards the documentation with the checklist to the originator’s Division Head.

8.8. Division Head:

8.8.1. The Division Head will base the review on his/her judgment of the effect of public release on relevant programs or projects, and the intended audience’s need to know.

8.8.2. The originator’s Division Head reviews the document, checks the appropriate blocks, signs the checklist, and forwards the documentation with the checklist to the Department Head.

8.9. Department Head: The originator's Department Head reviews the document for sensitive issues, checks the appropriate blocks, signs the checklist, and then forwards the documentation with the checklist to the Security Officer.

8.10. Security Officer: Reviews the document, verifies that the originator has cited the applicable SCGs, verifies the document does or does not contain classified information or CUI, checks the appropriate blocks, signs the checklist, and forwards the documentation with the checklist to the Scientific and Technical Intelligence Liaison Officer.

8.11. Scientific and Technical Intelligence Liaison Officer (STILO): Reviews the document for actual or potential intelligence value, checks the appropriate blocks, signs the checklist, and then forwards the documentation with the checklist to Code 1031.

8.12. Public Affairs (PA) Representative:

8.12.1. If public release is recommended through the internal review, and external review is not required, and the PA Representative concurs:

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8.12.1.1. The PA Representative checks the "Approved for Public Release" box, signs the checklist, assigns a release control number and, logs the release.

8.12.1.2. The PA Representative places "Distribution Statement A:

Approved for Public Release; Distribution is Unlimited”, public release control number, and date on each page of the documents. PAO creates a PDF of the documents and the signed checklist and files an electronic copy of the checklist and approved documentation on the Code 103 Shared Drive.

8.12.1.3. The PA Representative advises the Originator and review team that the documents are approved for public release, emails the approved documents (containing Distribution Statement A) in their original format and PDF versions to them and advises to use the PDF version for public dissemination. The PA Representative returns any original hard-copy documentation and checklist to the Originator. The PA Representative saves the approved documents and final checklist into a shared folder available to the workforce.

8.12.1.4. The Originator will take appropriate action on material proposed for release in accordance with the outcome of the public release review process and guidance from the PA Representative.

8.12.2. If public release is recommended through the internal review, and external approval by NAVSEA 00D or other funding entity/sponsor is required:

8.12.2.1. The PA Representative writes in the name of the external reviewer (funding entity) on the checklist, assigns a public release control number for tracking purposes, notes ‘pending external review’ in the control log, collects from the Originator any remaining required information, and sends checklist and documents via secure file transfer (or other approved method) to external reviewer for review.

Note: Most commonly, the funding entity is NAVSEA, requiring use of the NAVSEA Technical/Sensitive Material Review Form. If a different funding entity /sponsor approval is required, the PA Representative will determine what supporting documents are required, such as a letter of request referenced in 6.3, and coordinate with the Originator to ensure all information is provided.

8.12.2.2. The PA Representative oversees the external review process

8.12.2.3. The PA Representative notifies Originator, Technical Reviewer, Division Head, Department Head, Internal Security Officer and STILO when determination of the external review is received.

8.12.3. If pubic release is approved by external reviewer, and the PA Representative concurs, follow steps 7.12.1.1 through 7.12.1.4

8.12.4. If public release is not authorized after internal or external review:

8.12.4.1. The PA Representative checks the "Disapproved for Public

Release" box, signs the checklist, logs the release as disapproved, and maintains an electronic copy of the checklist and disapproved documentation on the Code 103 Shared Drive.

8.12.4.2. The PA Representative returns the original documentation with the checklist marked “disapproved” to the Originator and review team and advises it is not approved for public release, with explanation.

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9. Releasability and Distribution. This instruction is not cleared for public release. It is available electronically only via Keyport Directive Web site located on the Keyportal SharePoint site.

10. Records Management. Records created, as a result of this directive, regardless of media or format, must be managed per SECNAV Manual 5210.1 of January 2012.

11. Review and Effective Date.

11.1 Per OPNAVINST 5215.17A, NUWC Division, Keyport will review this directive annually on the anniversary of its effective date to ensure applicability, currency, and consistency with Federal, Department of Defense, SECNAV, and Navy policy and statutory authority.

11.2 This directive will automatically expire ten (10) years after effective date unless reissued or canceled prior to the 10-year anniversary date, or an extension has been granted.

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PROCESS

Responsibility Step Action Originator 10 Identifies material for public release, ensuring that it meets the criteria contained in this directive and the referenced instructions for releasability to the public. Originates the internal review process by completing and routing the checklist.

Originator, Technical Reviewer, Division Head, Department Head, Internal Security Officer, STILO, PA

Representative

20 Conducts internal security and policy review, using the checklist. Ensures the document is free of any classified, controlled unclassified, restricted, or questionable information and routes signed checklist to the PA Representative.

PA Representative 30 Approved internally for release? If yes go to 40 If not, go to

40 Does Keyport have final release authority? If yes, go to 50. If no, go to 80.

50 Signs request checklist, checks “approved,” assigns a PA Control Number in the log, adds Distribution Statement A and control number to electronic documents; files checklist and documents electronically.

60 Notifies Originator, Technical Reviewer, Division Head, Department Head, Internal Security Officer and STILO of approval, emails them the documents in their original format with notations, a PDF version of approved documents, and the 55728/01 checklist Returns originals to Originator or shreds them if Originator directs. Saves the documents and final checklist to shared folder.

Originator 70 Follows direction from the PA Representative for document dissemination to the public. - STOP

PA Representative 80 Forward document to funding entity with appropriate request forms for (external) review.

External Reviewer 90 Conducts review. Notifies NUWC Division, Keyport PA Representative of approval or disapproval. If approved go to 50; if not go to 100.

PA Representative 100 If not approved, signs checklist, checks “disapproved,” logs checklist and documents as disapproved; returns any hard copy original documents to Originator, and provides explanation. – STOP

REFERENCES

HIGHER AUTHORITY

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DOCUMENT

NUMBER

DOCUMENT TITLE

DOD 5210.50p DOD Unauthorized Disclosure of Classified Information to the Public

SECNAVINST

5510.36

DON Information Security Program Instruction

SECNAVINST

5720.42

DON Freedom of Information Act Program

SECNAVINST

5720.44

DON Public Affairs Policy and Regulations

OPNAVINST 5100.23 Navy Occupational Safety and Health (NAVOSH) Program Manual

NAVSEAINST

5230.12

Release of Information to the Public

NAVSEAINST

5239.002 (5239.2)

Information Assurance Program

NAVSEAINST 5727.1 Coordination of Public Affairs Throughout the NAVSEA Command and Affiliated Program Executive Offices

NUWC DIVKPT

5510.1, Chapter 8

Information Security Program - Dissemination of Classified and Controlled Unclassified Information

REVIEW / REVISION HISTORY

Revision Date Brief Description of Change

NR 7/8/2015 New directive. This directive superseded NUWCDIVKPT 5728 & 5728-01.

A 1/31/2017 -Directive review; updates made to the Militarily Critical Technologies List in section 7.6.2, and other minor edits.

-Form review includes several edits that affect review steps.

CH-1 1/17/19 Reviewed directive, minor edits made. Changes do not alter intent or overall instructions.

CH-2 3/2/2021 Minor administrative corrections removed PAO and replaced with Public Affairs (PA) Representative

FORMS/RECORDS

Form/Record Storage Medium/Location

Custodian Retention Time

NUWC Division, Keyport 5728_01 Public Release Approval Checklist

SharePoint Code 103 1 year