4- The PIV Transitional Interfaces & Data Model Specification. to the courts under 44 U.S.C. There is no reinvestigation for other moderate risk positions or any low risk positions. However, any such requirement such as the suggested collection of DNA from clearance applicants would be covered in a separate rulemaking. Subject Matter Expert: Mr. W. T. Potts Jr. Entities are required to develop, maintain, and document a cyber security training program for personnel with access to cyber critical assets. 03/19/2021, 149 The DoD Directive (DoDD) 5200.2, Personnel Security Program (PSP), codified at 32 CFR Part 156, was issued April 9, 1999. These can be useful This awareness program should be ongoing, with at least quarterly updates via direct or indirect means of communications. corresponding official PDF file on govinfo.gov. If the DoD Component does not have funds available, the Military Service in which the uniform service personnel served may choose to fund the investigation. The physical security plan exists, but has not been updated or reviewed in the last 12 calendar months of a modification to the physical security plan; or. It has been certified that 32 CFR Part 156 does not have federalism implications, as set forth in E.O. Purpose (1) This transmits revised IRM 10.23.3, Personnel Security, Personnel Security/Suitability Program to title change Suitability for Employment and Personnel Security Operations.. Material Changes The study identified the following challenges related to mitigating insider risks and threats: The Internet creates a large and efficient global marketplace for bringing sellers, seekers, brokers, and buyers of information assets together in relative anonymity. (f) Any other changes made to the part were made for ease and clarity of reading. Ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access; and. c. Monitors provider compliance. Be sure to leave feedback using the 'Feedback' button on the bottom right of each page! Tony Flick, Justin Morehouse, in Securing the Smart Grid, 2011. The personnel security component is often overlooked and not reviewed in detail by assessors. Learn more here. informational resource until the Administrative Committee of the Federal This is due to the uniqueness of the requirements of this function and the inability to map this function to a position that existed in the C&A process. (7) Develop guidance, interpretation, and clarification regarding the DoD PSP as needed. If an entity is found to be out of compliance, it is classified into one of four levels for noncompliance. DoD Response: The Federal Government is looking into the feasibility of using biometric identifiers other than fingerprints in the security clearance process. A process for ensuring access authorization requests and revocations are reviewed, A procedure for escorting unauthorized personnel within the physical security perimeter. 12968, or disqualified from appointment in the excepted service or from working on a contract, the unfavorable decision is a sufficient basis for non-issuance or revocation of a CAC, but does not necessarily mandate this result. Under certain conditions, DoD Components are authorized to use polygraph examinations to resolve credible derogatory information developed in connection with a personnel security investigation; to aid in the related adjudication; or to facilitate classified access decisions. Experience. Growing allegiance to a global community—that is, an increasing acceptance of global as well as national values and a tendency to view human society as an evolving system of ethnically and ideologically diverse and interdependent people, thus making illicit acts easier to rationalize. Other acceptable updates include management presentations and meetings. Access to between 26% and 50% of a responsible entity's total number of physical security perimeters is not controlled, monitored, and logged; or. Restrictions (10) Access to Classified Information (11) Visitor Access to Classified Information (12) Continuous Evaluation . (i) National Security Agency (NSA)/Central Security Service (CSS). 12968, as amended; E.O. Establishes personnel security requirements including security roles and responsibilities for third-party providers; b. This rule updates policies, assigns responsibilities, and prescribes procedures for the Department of Defense (DoD) Personnel Security Program (PSP) in accordance with the provisions of current U.S. Code, Public Laws, and Executive Orders (E.O.). 5 C.F.R. (2) Reciprocity for SCI eligibility shall be executed in accordance with ICD 704 and associated Director of National Intelligence guidance. Documents personnel security requirements; and. (8) Adjudication and Eligibility Determinations (9) Unfavorable Eligibility Determinations and . Any doubt shall be resolved in favor of national security. (H) Conducting investigations or audits related to the functions described in paragraphs (1)(ii)(B) through (G) of this definition, where the occupant's neglect, action, or inaction could bring about a material adverse effect on the national security. What is the standard form of identification for DoD employees? However, mental health counseling, where relevant to adjudication for a national security position, may justify further inquiry to assess risk factors that may be relevant to the DoD PSP. Fewer employees are deterred by a traditional sense of employer loyalty. E.O. Please note, you will not receive a certificate of completion for watching a short. (a) The Under Secretary of Defense for Intelligence (USD(I)) shall: (1) Develop, coordinate, and oversee the implementation of policy, programs, and guidance for the DoD PSP. (5) Individuals whose CACs have been denied or revoked are eligible for reconsideration 1 year after the date of final denial or revocation, provided the sponsoring activity supports reconsideration. partnership with USD(I&S) and other agency heads with established personnel security polygraph programs, or their designees. No logs of monitored physical access are retained. (9) In furtherance of coordinated Government-wide initiatives under E.O. The Personnel Security Program establishes the standards, criteria, and guidelines upon which personnel security eligibility determinations are based. References: • NIST SP 800-35, Guide to Information Technology Security Services. 10865, as amended; E.O. The DoD Directive (DoDD) 5200.2, Personnel Security Program (PSP), codified at 32 CFR Part 156, was issued April 9, 1999. 13467; E.O. 03/19/2021, 37 Based on the extensive requirements of this function, it is hard to find a single individual with the required knowledge and skillset. The PSP establishes the standards, criteria, and guidelines upon which personnel security determinations are based. Provide as much information as you can about the background investigation and screening process. Awareness program exists, but is not conducted within the minimum required period of quarterly reinforcement; or. A personnel risk assessment program exists, but records reveal program does not meet the requirements of standard CIP-004; or. This rule establishes PSP policy related to the operation of the DoD PSP, including investigative and adjudicative policy for determining eligibility to hold national security positions. Personnel risk assessments must include, at a minimum, the following: Verification of social security number and a seven-year criminal background check, Reassessment at least every seven years or if for cause. on Personnel risk assessments must be performed for personnel with physical access to cyber critical assets within 30 days of said access being granted. These markup elements allow the user to see how the document follows the Threat to the life, safety, or health of employees, contractors, vendors, or visitors; to the Government's physical assets or information systems; to personal property; to records, privileged, proprietary, financial, or medical records; or to the privacy of data subjects, which will not be tolerated by the Government. This section is a summary from a study conducted by PERSEREC (Kramer et al., 2005, 2007). 13526; E.O. This secondary issue would have to be examined by DoD and the legal community. documents in the last year. electronic version on GPO’s govinfo.gov. Employees, contractors, and third-party users of information processing facilities should sign an agreement on their security roles and responsibilities. (b) Investigation. Maintains a viable periodic reinvestigation program as mandated by DoD which is a major part of the personnel security program's continuous evaluation process and is the incumbent's overall responsibility. Establishes personnel security requirements including security roles and responsibilities for third-party providers; Documents personnel security requirements; and. 11331; 10 U.S.C. Most U.S. federal agencies require background investigations. The national security position is not to be modified or a new position created to circumvent an unfavorable personnel security determination. (1) The sponsoring activity shall not re-adjudicate CAC determinations for individuals transferring from another Federal department or agency, provided: (i) Possession of a valid personal identity verification (PIV) card or CAC can be verified by the individual's former department or agency. policies & procedures. (1) Duties considered sensitive and critical to national security do not always involve classified activities or classified matters. The organization, upon termination of individual employment: The organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization and initiates. The risk executive (function) must look at risk from the organizational perspective across a number of unique domains, including information security, The organization develops, disseminates, and reviews/updates. 10865, 32 CFR parts 154-155; ICD 704; and DoD Regulation 5220.22-R. To the extent pertinent to the individual case, when evaluating the conduct, the adjudicator should consider: the nature and seriousness of the conduct, the circumstances surrounding the conduct, the recency and frequency of the conduct, the individual's age and maturity at the time of the conduct, contributing external conditions, and the presence or absence of rehabilitation or efforts toward rehabilitation. However, the additional use of DNA would recognize the greater prevalence of DNA evidence in criminal investigations. o Incorporates the provisions to provide procedural benefits to afford FIPS Publications 201, Personal Identity Verification (PIV) of Federal Employees and Contractors. Laura P. Taylor, in FISMA Compliance Handbook, 2013. Security roles and responsibilities of employees, contractors, and third-party users should be defined and documented in accordance with the organization's information security policy. (3) Personnel who have been determined eligible for national security positions should not be subjected to additional security reviews, completion of a new security questionnaire, or initiation of a new investigative check, unless credible derogatory information that was not previously adjudicated becomes known, or the previous adjudication was granted by a condition, deviation, or waiver pursuant the provisions of OMB Memorandums “Reciprocal Recognition of Existing Personnel Security Clearances” dated December 12, 2005, or there has been a break in service of more than 24 months. Changes include access, monitoring, and logging control changes. These Federal requirements are a result of various sources including: a. NIST SP 800-76, Biometric Data Specification for Personal Identity Verification. The procedural guidance for the DoD PSP is currently being updated and will subsequently be proposed as a rule codified at 32 CFR Part 154. In some agencies, staff (including contractors) are offered disaster preparedness training and are given disaster preparation kits that include items like flares, whistles, and food rations. Alternate OSD Federal Register Liaison Officer, Department of Defense. These "shorts" are not intended for download. Reported the final outcome of the background investigation to the Security & Background Investigation Section in Dallas, Texas. The Order establishes requirements for a successful, efficient and cost-effective personnel security program to ensure accurate, timely and equitable determinations of individuals’ eligibility for access to classified information and fitness for placement or retention in national security positions. Standard CIP-004 requires this training to occur at least annually and those granted physical access to cyber critical assets must be trained within 90 calendar days of being granted said access. Information about personnel security should include information about background investigation. The final two requirements of standard CIP-006 cover access log retention and maintenance and testing. Assigns a risk designation to all positions; Establishes screening criteria for individuals filling those positions; and. Screening job applicants to eliminate potential acts of espionage and sabotage and other security risks is important in peacetime and is critical during a national emergency. However, based on exceptional circumstances where official functions must be performed prior to completion of the investigative and adjudicative process, temporary eligibility for access to classified information may be granted while the investigation is underway. Third, the administrator of the Clicks2Bricks system must grant access rights to the new user. To demonstrate compliance with standard CIP-006, entities must possess the previously discussed documentation for the following: Testing and maintenance logs, as well as outage logs. documents in the last year, 226 (3) Provide funding to cover Component requirements for PSIs, adjudication, and recording of results to comply with the DoD PSP. Levels of noncompliance with NERC CIP-004. 12968, as amended; E.O. Only official editions of the (3) The distribution of power and responsibilities among the various levels of Government. 278g-3; section 11331 of 40 U.S.C. b. Security Executive Agent: Executive Orders . Servers, routers, and the firewall are located in the area with restricted access. These standards shall be evaluated to determine if there is a reasonable basis to believe that issuing a CAC to the individual poses an unacceptable risk. Individuals entrusted with access to Federal property, information systems, and any other information bearing on national security must not put the Government at risk or provide an avenue for terrorism. (d) Appeal Procedures—Denial or Revocation of Eligibility. This area has critical issues in today's world with insider threats, lack of reviews for new or transferring employees as well as dealing with the US Government's requirements for Personal Identity Verified (PIV) credentials necessary for all users on government systems. The Public Inspection page may also Federal Register. Access to less than 15% of a responsible entity's total number of physical security perimeters is not controlled, monitored, and logged; or. 13467, OMB Memorandums “Reciprocal Recognition of Existing Personnel Security Clearances” dated December 12, 2005 (Copies available on the Internet at http://www.whitehouse.gov/omb) and July 17, 2006 (Copies available on the Internet at http://www.whitehouse.gov/omb). 12968, as amended; 32 CFR parts 147, 154 and 155; ICD 704, and DoD Regulation 5220.22-R, as applicable, in accordance with Adjudicative Guidelines for Determining Eligibility for Access to Classified Information and other types of protected information or assignment to national security positions. Situational factors that affect the frequency that insider espionage, spying, and information theft will occur, rather than analyzing psychological factors that influence a perpetrator’s decision. The individual is to be placed in an appropriate status, in accordance with agency policy, until a final security determination is made. NERC standard CIP-004 requires entities ensure that those with physical access to critical cyber assets possess the appropriate level of personnel risk assessment, training, and security awareness. For maintenance and testing, entities must test and maintain all components of their physical security at least every three years and maintain records of said testing. a. (2) In coordination with the Under Secretary of Defense for Personnel and Readiness (USD(P&R)) and the General Counsel of the DoD (GC, DoD), develop policy for DoD personnel for the CAC personnel security investigation (PSI) and adjudication in accordance with HSPD-12; OMB Memorandum M-05-24; FIPS 201-1; and OPM Memorandum, “Final Credentialing Standards for Issuing Personal Identity Verification Cards under HSPD-12.”, (3) In coordination with the Under Secretary of Defense for Acquisition, Technology and Logistics (USD(AT&L)) and the GC, DoD, develop policy for contractor investigations for CAC adjudication, outside the purview of the National Industrial Security Program, under the terms of applicable contracts in accordance with HSPD-12; OMB Memorandum M-05-24; FIPS 201-1; the Federal Acquisition Regulation; the Defense Federal Acquisition Regulation Supplement; and OPM Memorandum, “Final Credentialing Standards for Issuing Personal Identity Verification Cards under HSPD-12.”. Additionally, this section should include information on how both staff and contractors are kept safe. The Department of Defense (DoD) published a proposed rule on February 2, 2011 (76 FR 5729). 10.23.3 Personnel Security/Suitability for Employment and Personnel Security Operations Manual Transmittal. PERSONNEL SECURITY AND SUITABILITY PROGRAM 1. The Personnel Security (PerSec) Program upholds the standards, criteria, and guidelines upon which personnel suitability determinations for risk-designated and sensitive positions and effects both the onboarding process and continued service with, or to the U.S. … Defined in 32 CFR Part 154. 13526; E.O. (ii) Supplemental Credentialing Standards. This Instruction: a. Reissues DoD Directive (DoDD) 5200.2 (Reference (a)) as a DoD Instruction (DoDI) in accordance with the authority in DoDD 5143.01 (Reference (b)) to establish policy, assign (4) Decisions following appeal are final. (These references should include those names not furnished by the applicant. This publication is a rapid action r e v i s i o n . The security screening branch may not make all of its processes and procedures available to everyone in the agency. (g) No person shall be deemed to be eligible for a national security position merely by reason of Federal service or contracting, licensee, certificate holder, or grantee status, or as a matter of right or privilege, or as a result of any particular title, rank, position, or affiliation. No required documentation created pursuant to the training or personnel risk assessment programs exists. (a) The Department shall establish and maintain a uniform DoD PSP to the extent consistent with standards and procedures in E.O. Specifically, standard CIP-006 requires entities to develop and implement a physical security program to protect critical cyber assets. Specifically, entities are required to keep physical access logs for at least 90 calendar days. No maintenance or testing program exists. If they are not, compensating controls must be in place and documented. Additionally, physical access must be revoked within 24 hours for terminated personnel and within seven calendar days for personnel who no longer need physical access. The Department is reissuing the DoD Directive as a DoD Instruction to update existing policy regarding operation of the DoD Personnel Security Program and to establish new policy implementing HSPD-12. (l) Information about individuals collected as part of the investigative and adjudicative process shall be managed in accordance with applicable laws and DoD policies, including those related to privacy and confidentiality, security of information, and access to information. 3- PIV Client Application Programming Interface; Pt. 12333, as amended; 5 U.S.C. publication in the future. Summary of Major Provisions of This Rule, E.O. (2) If an individual is found unsuitable for employment in a covered position under 5 CFR 731.101, ineligible for access to classified information under E.O. Immediately following final adjudication, the sponsoring activity shall record the final eligibility determination (active, revoked, denied, etc.) 11331; 10 U.S.C. (5) Perform functions relating to the DoD Security Professional Education Development Program to ensure the security workforce in their respective Component has the knowledge and skills required to perform security functional tasks. from 37 agencies. The investigative and adjudication procedural guidance for the DoD Federal PIV credential pursuant HSPD-12 is undergoing coordination and will also be proposed a separate rule. Cancels DOE M 470.4-5, DOE N 470.4 and DOE N 470.5. from 14 agencies, updated on 8:45 AM on Friday, March 19, 2021, 106 documents and services, go to Registration for the Clicks2Bricks system. One personnel risk assessment is not updated at least every 7 years, or for cause; or. should verify the contents of the documents against a final, official Internationalization of science and commerce is placing more employees in positions to initiate and maintain contact with international parties, some of whom want to exploit that knowledge that provides seekers, buyers, and brokers of information assets greater opportunity to target, contact, assess, and recruit key developers of protected and proprietary information. Specifically, entities must maintain lists of personnel authorized to physically access critical cyber assets. on In this Issue, Documents Levels of noncompliance with NERC CIP-006, James Broad, in Risk Management Framework, 2013. Medical screening considerations should be made (based on an applicant’s position, such as a guard) to evaluate physical and mental stamina. regulatory information on FederalRegister.gov with the objective of 13467, develop a framework setting forth an overarching strategy identifying goals, performance measures, roles and responsibilities, a communications strategy, and metrics to measure the quality of security clearance investigations and adjudications to ensure a sound DoD PSP that will continue to meet the needs of DoD. 12968, as amended; E.O. The standard includes six unique requirements, which are detailed below. This rule does not have substantial direct effects on: (2) The relationship between the National Government and the States; or. The DoD Personnel Security Program employs a comprehensive background investigative process to establish whether an individual is willing and able to carry out their security responsibilities f Which element of the Personnel Security Program involves evaluating the information contained in reports of personnel security investigations (PSIs) and other source documents? Purpose and Legal Authority for This Rule, II. Establish guidelines and minimum standards for personnel security polygraph programs, and ensure its consistent implementation across agencies. Members of these groups should have expert knowledge in one or more areas that include security and risk assessment experience in several domains of security such as information security, personnel security, or physical security. 12968, as amended, who shall direct and administer the DoD PSP consistent with this part. (d) The Under Secretary of Defense for Policy (USD(P)) is the approval authority for requests for exceptions to the DoD PSP involving access to NATO classified information. Whenever a DoD employee or contractor requires access to classified national security It has been certified that 32 CFR Part 156 is not subject to the Regulatory Flexibility Act (5 U.S.C. 278g-3; 40 U.S.C. (3) There is no requirement to reinvestigate CAC holders unless they are subject to reinvestigation for national security or suitability reasons as specified in applicable DoD issuances. National security position. Common access card (CAC) investigation and adjudication. According to NIST SP 800-39, the risk executive (function) coordinates with senior leaders and executives to: Establish risk management roles and responsibilities; Develop and implement an organization-wide risk management strategy that guides and informs organizational risk decisions (including how risk is framed, assessed, responded to, and monitored over time); Manage threat and vulnerability information with regard to organizational information systems and the environments in which the systems operate; Establish organization-wide forums to consider all types and sources of risk (including aggregated risk); Determine organizational risk based on the aggregated risk from the operation and use of information systems and the respective environments of operation; Provide oversight for the risk management activities carried out by organizations to ensure consistent and effective risk-based decisions; Develop a greater understanding of risk with regard to the strategic view of organizations and their integrated operations; Establish effective vehicles and serve as a focal point for communicating and sharing risk related information among key stakeholders internally and externally to organizations; Specify the degree of autonomy for subordinate organizations permitted by parent organizations with regard to framing, assessing, responding to, and monitoring risk; Promote cooperation and collaboration among authorizing officials to include security authorization actions requiring shared responsibility (e.g., joint/leveraged authorizations); Ensure that security authorization decisions consider all factors necessary for mission and business success; and. There is more inclination to view theft of information assets (espionage) to be morally justifiable if sharing those assets will benefit the world community or prevent armed conflict. History . (1) Category 2 wounded, ill, or injured uniformed service personnel who expect to be separated with a medical disability rating of 30 percent or greater may submit a PSI for Top Secret clearance with SCI eligibility prior to medical separation provided they are serving in or have been nominated for a wounded warrior internship program. No documented personnel risk assessment program exists; or. It has been certified that 32 CFR Part 156 does not contain a Federal mandate that may result in the expenditure by State, local and tribal governments, in aggregate, or by the private sector, of $100 million or more in any one year.Start Printed Page 18163. Federal Register issue. I also believe other federal agencies with similar personnel security programs should consider the collection of DNA samples from applicants to insure appropriate reciprocity of clearances between those agencies and DoD. The role of the ISSO is to provide security advice, to produce and maintain the security assurance case of the system, to coordinate security incident response, and to respond to security direction from the Chief Security Officer (CSO) of Cyber Bricks Corporation. 13488; E.O. Alarm systems or human observation are both acceptable methods of monitoring physical access. CAC applicants or holders may appeal CAC denial or revocation. I do note that DNA is distinctly different from fingerprints in that a search of databases may produce a result that does not link to the DoD clearance applicant but could instead provide a linkage to a familial relative of the applicant. Physical security: The servers, desktop computers, routers, and firewall are all located within the confines of Cyber Bricks establishments and are protected under local security orders. (3) Security awareness programs for supervisory personnel will be established and maintained to ensure that supervisory personnel recognize and discharge their special responsibility to safeguard SCI, including the need to assess continued eligibility for SCI access. 12333, as amended; 5 U.S.C 301 and 7532; section 1072 of Pub.
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