GPR 1600.3.pdf

DIRECTIVE NO. GPR 1600.3A APPROVED BY Signature: Original Signed By

EFFECTIVE DATE: June 19, 2018 NAME: Raymond J. Rubilotta

EXPIRATION DATE: June 19, 2023 TITLE: Director, Management Operations Directorate

CHECK THE GSFC DIRECTIVES MANAGEMENT SYSTEM AT

http://gdms.gsfc.nasa.gov TO VERIFY THAT THIS IS THE CORRECT VERSION PRIOR TO USE.

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Goddard Procedural Requirements (GPR)

CURRENT

COMPLIANCE IS MANDATORY

Responsible Office: Code 240/GSFC Protective Services Division

Title: GSFC Protective Service Division Personnel Security

PREFACE

P.1 PURPOSE

a. This Goddard Space Flight Center Procedural Requirement (GPR) establishes the Center-wide personnel security program implementation requirements set forth in NASA Procedural

Requirements (NPR) 1600.3, NASA Security Policy, as amended.

b. This GPR prescribes personnel security program responsibilities and procedural requirements for the investigation, security clearance determination, continuous evaluation, contractor fitness, adjudication, and appeals of NASA Federal and contractor employees at all GSFC facilities.

P.2 APPLICABILITY

a. This GPR applies to all GSFC personnel, facilities, and activities, including all permanent and temporary sites, and to all GSFC contractors, tenant organizations, tenant contractors, grantees, clubs, visitors, vendors, guests, and/or anyone else doing business or physically present on the GSFC or its component facilities, in accordance with applicable law. This GPR applies to contractors, grant recipients, or parties to agreements only to the extent specified or referenced in the appropriate contracts, grants, or agreements. Exceptions or special provisions for specific sites are identified in the body of the document.

b. In this GPR, all document citations are assumed the latest version unless otherwise noted.

c. In this GPR, all mandatory actions (i.e., requirements) are denoted by statements containing the term

“shall.” The terms “may” or “can” denote discretionary privilege or permission; “should” denotes a good practice and is recommended but not required; “will” denotes expected outcome; and “are/is” denotes descriptive material.

P.3 AUTHORITY

a. National Aeronautics and Space Act, as amended, 51 U.S.C. § 20113 (a)

b. NASA Procedural Requirement 1600.3, Personnel Security http://gdms.gsfc.nasa.gov/

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EFFECTIVE DATE: June 19, 2018

EXPIRATION DATE: June 19, 2023

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P.4 APPLICABLE DOCUMENTS AND FORMS

a. Executive Order 12829, National Industrial Security Program, of January 6, 1995, as amended

b. Homeland Security Presidential Directive 12 (HSPD-12), Policy for a Common Identification

Standard for Federal Employees and Contractors of August 27, 2004

c. Office of Personnel Management Memorandum for Heads of Departments and Agencies, Chief

Human Capital Officers, and Agency Security Officers, "Introduction of Credentialing, Suitability, and Security Clearance Decision-Making Guide," dated January 14, 2008

d. Office of Personnel Management Memorandum for Heads of Departments and Agencies, "Final

Credentialing Standards for Issuing Personal Identity Verification Cards Under HSPD-12," dated

July 31, 2008

e. Office of Personnel Management Federal Investigations Notice No. 10-05, "Reminder to Agencies of the Standards for Issuing Credentials under HSPD-12," dated May 17, 2010

f. NPD 1440.6H, NASA Records Management

g. NPR 1441.1A, NASA Records Retention Schedules

h. NPR 1600.2A, NASA Classified National Security Information (CNSI)

i. NPR 1600.3, Personnel Security

j. NPR 1600.4A, Identity and Credential Management.

k. Standard Form SF 85, Questionnaire for Non-Sensitive Positions

l. Standard Form SF 85P, Questionnaire for Public Trust Positions

m. Standard Form SF 86, Questionnaire for National Security Positions

n. Standard Form SF 85P-S, Supplemental Questionnaire for Selected Positions

o. Standard Form SF 312, Classified Information Nondisclosure Statement

p. Standard Form 2018A, Special Access Request Sensitive Compartmented Information

q. FD 258, FBI Applicant Fingerprint Card

r. Optional Form OF 306, Declaration for Federal Employment

s. NASA Form 1630, Request for Access to CNSI

t. NASA Form 1684, Authorization of Credit Release Report

P.5 CANCELLATION

GPR 1600.3, GSFC Protective Services Division Personnel Security

P.6 SAFETY

None

P.7 TRAINING

a. All GSFC Personnel Identification Verification (PIV) authorizers will be trained in adjudication by certified adjudication training providers if they perform adjudication duties.

b. Every person who has met the standards for access to classified information will receive training on

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08/16 the proper safeguarding of classified information and on the criminal, civil, and administrative sanctions that may be imposed on an individual who fails to protect classified information from unauthorized disclosure.

P.8 RECORDS

The table below lists both the records required by this GPR and those required by NPR 1600.3. See

Appendix B for identification of acronyms. The term “appropriate” in the Record Custodian column means the location appropriate for a given GSFC site, e.g., the Greenbelt Protective Service Division

Office as opposed to the Wallops Protective Service Division Office, the Goddard Institute for Space

Studies (GISS), the Independent Verification and Validation (IV&V) Facility and the White Sands

Complex (WSC).

No. Record Title Record Custodian Retention

1 Classified Information

Nondisclosure Agreements (SF-

312)

Appropriate GPSD Office *NRRS 1610/102 Destroy when 50 years old.

2 Personnel Security Clearance

Files documenting processing of investigations on Federal employees or applicants, or others who perform work on a

Federal agency under contract that requires access to

Government facilities or sensitive data.

GPSD Personnel Security

Office

*NRRS 1610/103A Destroy upon notification of death or not later than 5 years after separation or transfer of employee or no later than 5 years after contract relationship expires, whichever is applicable.

3 Personnel Security Clearance

Files of investigative reports and related papers furnished to agencies by investigative organizations for use in making security/suitability determinations.

GPSD Personnel Security

Office

*NRRS 1610/103B Destroy in accordance with the investigating agency instructions.

4 Personnel Security Clearance

Files Index to the Personnel

Security Case Files.

GPSD Personnel Security

Office

*NRRS 1610/103C Destroy with related case file.

5 Personnel Security Clearance

Status Files Lists, or Rosters maintained in security units showing the current security clearance status of individuals.

GPSD Personnel Security

Office

*NRRS 1610/103D Destroy when superseded or obsolete.

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6 GSFC LISTS database – NASA

51 LIST (GSFC Form 24-27)

GPSD LISTS Manager *NRRS 1620/104 Records are retained for varying periods of time, in compliance with NPR 1441.1 and the

Privacy Act System Notice. Contact the

Center Records Manager.

7 Identification Credentials Files

Receipts, Indices, Listings, and

Accountable Records.

Appropriate GPSD Office *NRRS 1620/105B Destroy after all listed credentials are accounted for.

8 Security Violation Files relating to alleged violation of a sufficiently serious nature that are referred to the Department of Justice or Department of

Defense for prospective determination, exclusive of files held by those Departments responsible for making such determinations.

Appropriate GPSD Office *NRRS 1620/108A Destroy 5 years after close of case.

9 Security Violation Files – All other offices and files, exclusive of papers placed in official personnel folders.

Appropriate GPSD Office *NRRS 1620/108B Destroy 2 years after completion of final action.

10 US Citizen Passport Files –

Personal Identification or passport photographs

Appropriate GPSD Office and

Code 274

*NRRS 1680/115 Return original to requester, destroy when 5 years old or when superseded or obsolete, whichever is later.

*NRRS – NASA Records Retention Schedules (NPR 1441.1A)

P.9 MEASUREMENT/VERIFICATION

a. The Office of Protective Services (OPS) audits, conducts functional reviews of the Center, and conducts spot-checks and inspections to review Center compliance and implementation of this GPR.

OPS audits/reviews are conducted at least every three years, or sooner as required to determine compliance with this GPR. The findings of the audits/reviews are provided to the Center Director for resolution no later than 30 days from the completion of the reviews/audits.

PROCEDURES

CHAPTER 1. INTRODUCTION AND RESPONSIBILITIES

1.1 Introduction

Requirements in this directive are derived from and support the requirements established in NPR 1600.3, Personnel Security.

http://nodis3.gsfc.nasa.gov/library/lib_docs.cfm?range=1___

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1.2 Responsibilities

Individuals and organizations at the GSFC shall comply with the specific responsibilities for personnel security identified in NPR 1600.3. These responsibilities are identified for the following:

a. Center Director

b. Center Chief of Protective Services (CCPS)

c. Program Managers, Line Managers, and Supervisors.

d. Employees and contractors.

1.3 Waivers and Exceptions

1.3.1 Requests for Waivers or Exceptions to this GPR shall be requested in accordance with NPR

1600.3, Chapter 1.

1.4 Violations of Security Requirements

1.4.1 Anyone who willfully violates, attempts to violate, or conspires to violate any regulation or order involving the NASA personnel security program is subject to disciplinary action up to and including termination of employment and/or possible prosecution under 18 U.S.C. §799, that provides fines or imprisonment for not more than 1 year, or both.

CHAPTER 2. PERSONNEL SECURITY INVESTIGATIONS

2.1 General

2.1.1 Individuals who perform work for or on behalf of the Agency are subject to a Personnel Security

Investigation (PSI) to determine whether they are:

a. Suitable for Government employment;

b. Eligible for logical and physical access;

c. Eligible for access to classified information;

d. Eligible for access to public trust information;

e. Fit to perform work for or on behalf of the Government as a contractor employee.

2.1.2 A determination of both b. and e. applies to all NASA contractors.

2.1.3 An appointment will not be subject to investigation when the person being appointed has undergone a previous PSI and the appointment involves:

a. Appointment or conversion to an appointment in a covered position if the person has been serving the Federal agency for at least 1 year in a covered position subject to investigation.

b. Transfer to a covered position, provided the person has been serving continuously for at least 1 year in a covered position subject to investigation.

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c. Transfer or appointment from an excepted service position that is not covered to a covered position, provided the person has been serving continuously for at least 1 year where the person has been determined fit for appointment.

d. Appointment to covered position from a position as an employee working as a Federal Government contract employee provided the person has been serving continuously for at least 1 year in a job where the Federal agency determined that the contract employee was fit to perform work on the contract.

e. Appointment to a covered position where there has been a break in service of less than 24 months, and the service immediately preceding the break was in a covered position, an excepted service position, or a contract employee position described in paragraphs (a) to (d) of this section.

2.1.4 NASA determines the fitness of NASA contractor employees to perform work as a contractor.

Prior favorable fitness, suitability, and national security determinations should be reciprocally accepted.

There is no requirement that the prior favorable fitness, suitability, or national security determination be made within a specific time period. Contractor employees with a break in employment more than 24 months since a favorable determination was made will require a new favorable fitness, suitability, or national security determination.

2.1.5 Contractor employees perform work for or on behalf of NASA under a contract. Such contracts include, but are not limited to:

a. Contracts between any non-Federal entity and another non-Federal entity to perform work related to the primary contract with the Agency.

b. Sub-contracts between any non-Federal entity and another non-Federal entity to perform work related to the primary contracts with the Agency excepted service to the extent they are not otherwise subject to Office of Personnel Management (OPM) appointing authorities.

2.1.6 Non-NASA employees performing work through Cooperative Agreements, Space Act

Agreements, Grants, Enhanced Use Lease Agreements, and Funding Orders shall be adjudicated for security access as a contractor consistent with NPR 1600.4, Identity and Credentialing Management.

2.1.7 Intergovernmental Personnel Act (IPA) employees identified as a civil servant on their issued

PIV badge shall be adjudicated for security access as contractors.

2.1.8 A person appointed to a covered position will be subject to an investigation when:

a. The covered position requires a higher level of investigation than previously conducted for the person being appointed; or

b. The Agency obtains new information in connection with the person's appointment that calls into question the person's suitability.

2.1.9 Federal employees from other Federal Government agencies and members of the U.S. military who are detailed to NASA or who are members of a tenant Federal Government organization are assumed to have been properly adjudicated for employment suitability or fitness to perform work on a

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Government contract by their respective agency. The Center Chief of Protective Services (CCPS) Center

Chief of Security (CCS) shall coordinate with the Center Office of Human Capital Management

(OHCM) personnel to validate investigative and suitability results for detailees. Upon validation, no further investigation is required unless specifically required by policy or for cause. All subsequent issues associated with personnel identified in this paragraph will be coordinated with the Center OHCM specialists or respective detailee's official agency personnel office for resolution.

2.2 Processing Personnel Security Investigation Requests in e-QIP

2.2.1 All permanent employees and contractors accessing the Center for 180 days or more are required to undergo a personnel security investigation. Security investigations are utilized to evaluate the character and conduct of employees for the purpose of making suitability determinations for Federal employment. Contractors’ character and conduct are evaluated for fitness determination per contractual requirements. The type of personnel security investigation is determined by the employee’s Position

Description completed in IdMAX using the Position Designation Tool.

2.2.2 Background investigations and reinvestigations are processed though e-QIP and require an invitation by either NSSC or PSD to access. Electronic Questionnaires for Investigation Processing (e-

QIP) is a secure Web site that is designed to transmit all PSI requests. The questionnaires processed through e-QIP include: SF 85, Questionnaire for Non-Sensitive Positions; SF 85P, Questionnaire for

Public Trust Positions; and SF 86, Questionnaire for National Security Positions.

2.2.3 PSD will initiate e-QIP for Civil Servants requiring a National Security clearance (T3/T5 investigation) due to a PD change or reinvestigation, along with contractors requiring only low risk (T1) or public trust (T2/T4). The NSSC shall initiate e-QIP for all onboarding Civil Servants and Civil

Servants requiring public trust (T2/T4) initial or reinvestigations. Contractors requiring a National

Security clearance (T3/T5) for their NASA position must be initiated by their company that must have approved DD254 on file.

2.2.4 Applicants may be required to complete and submit an Optional Form 306 (OF 306), an

Authorization of Credit Release Report Form (NF 1684) and to process for electronic fingerprints as required to satisfy the background investigation type submission requirements of National Background

Investigation Bureau

(NBIB)/OPM.

2.3 Reciprocity

2.3.1 Investigations that meet the requirements for a specified position shall be reciprocally accepted for that and lower investigations with no additional investigation, provided there is no break in employment, no derogatory or questionable information has arisen, and no change of position with a higher investigation requirement.

2.4 Adverse Information

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2.4.1 When adverse information is self-reported, developed or received in the course of any personnel security investigation, or subsequent to such investigation and initial favorable determination, the scope of inquiry shall be expanded to the extent necessary to obtain sufficient information to make a reasonable and sound determination as to whether the employee is fit to perform work for or on behalf of the Government and/or is eligible for logical and physical access.

2.4.2 These expanded inquiries shall be conducted by a NASA Protective Services or OHCM official with appropriate investigative experience, NASA contracted investigators, by the original investigating agency, or by another agency of the Federal Government at NASA's request.

2.5 HSPD-12 Credentialing Standards

2.5.1 OPM's Memorandum for Heads of Departments and Agencies, "Final Credentialing Standards for Issuing Personal Identity Verification Cards Under HSPD-12," July 31, 2008, shall be used by trained Adjudicators at the GSFC to determine eligibility for physical and logical access only. PIV authorizers will be trained in adjudication by a certified adjudication training provider if they perform adjudication duties.

2.6 Reconsideration Procedures for Contractor Employees and other Agency Affiliates

2.6.1 Notice of Proposed Action - When a GSFC adjudicator determines that a PIV applicant has not provided his or her true identity, the applicant is determined unfit for Center access or to be employed in the current or applied for position, and the adjudicator shall provide the individual reasonable notice of the determination including the reason. The notice should state the specific reasons for the determination, any revised access status and that the individual has the right to answer the notice in writing within 10 working days. The notice will inform the individual of the time limits, as well as the address to which the response should be made.

2.6.2 Decision - After consideration of any documentation submitted by the PIV applicant for reconsideration of the initial determination, the CCPS or his/her designee will issue a written decision

(usually within 10 days), which informs the PIV applicant of the reasons for the favorable or unfavorable decision.

2.6.3 Reconsideration - If a denial letter is provided by the CCPS, the PIV applicant may subsequently request an appeal of the decision to the Center Director to convene a Credentialing Adjudication Review

Panel (CARP) to review the information surrounding the denial of access consistent with NPR 1600.3.

2.6.4 The reconsideration process and all appeal entitlement will be discontinued without a decision upon contractor employment termination, employment resignation, or employment retirement.

CHAPTER 3. PERSONNEL SECURITY INVESTIGATIONS FOR NATIONAL

SECURITY POSITIONS

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3.1 General

3.1.1 National security requires each agency to follow established procedures to identify national security positions. Positions identified by this process within NASA require regular use of or access to classified information, or to occupy a sensitive position.

3.1.2 Position sensitivity designation is based on an assessment of the degree of damage that an individual, by virtue of the occupancy of a national security position, could cause to national security.

3.1.3 Investigations are conducted to provide a basis for ensuring that the granting of a security clearance to an individual is clearly consistent with the interests of national security.

3.1.4 OPM conducts a range of investigations that satisfy the various requirements for the three position-sensitivity levels described in this chapter, as they relate to accessing CNSI.

3.1.5 NASA contracts requiring the generation of and/or access to CNSI shall be processed in accordance with the requirements of EO 12829, the National Industrial Security Program Operating

Manual (NISPOM) and NISPOM Supplement.

3.2 Personnel Security Clearance Management

3.2.1 The purpose of the personnel security clearance program is to ensure that only loyal, trustworthy, and reliable people are granted access to classified information or assigned to sensitive duties.

a. Managers and supervisors should discuss with the employee their responsibilities and obligations in handling CNSI prior to initiating a new PSI for access to CNSI.

3.2.2 The requirement for access to CNSI shall be clearly established within the employee position description. Once the position has been determined to require access to CNSI and position sensitivity has been assigned, the new appointee must complete the SF 86 in e-QIP. Access to CNSI must be limited and should relate directly to the level of classified information for which access is clearly justified in the performance of official duties and for which the individual has a demonstrated "need to know."

3.2.3 CCS/CCPS or an official designated by the CCS/CCPS has the authority to grant one-time access determinations subject to the following terms and conditions:

a. Urgent operational requirements may occur where a NASA Federal employee in a non-sensitive position has a one-time or short duration requirement for access to CNSI at the

Confidential or Secret level.

b. The limited duration or nature of this access requirement does not warrant processing the individual for a personnel security investigation and final security clearance eligibility determination.

c. One-time access determinations will not be granted for the TS level.

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d. One-time access determinations will be used sparingly and only under conditions of compelling Government need.

3.2.4 Requests for Interim CNSI access shall be justified and submitted utilizing the NASA Form 1630

(NF 1630), Request for Access to CNSI

3.2.5 Request for access to CNSI Sensitive Compartmented Information (SCI) shall be justified and submitted utilizing the Standard Form 2018A (SF 2018A), Special Access Request Sensitive

Compartmented Information.

3.2.6 PSI and eligibility determination shall be mutually and reciprocally accepted by all agencies unless an agency has substantial information indicating an employee may not satisfy the access eligibility standards.

3.2.7 The Assistant Administrator (AA), OPS, and CCS/CCPS may suspend security clearances. The

CCS/CCPS will propose suspensions of security clearances to the NASA CAF for cause based on developed adverse information. The AA, OPS, will make final denial or revocation determinations after consultation with the NASA CAF and Office of General Counsel personnel.

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Appendix A - Definitions

A.1 Contractor Employee - For the purpose of this GPR, any non-NASA entity or individual working on a NASA installation or accessing NASA IT; an expert or consultant to any agency; an industrial or commercial contractor, licensee, certificate holder, or grantee of any agency, including all subcontractors, a personal services contractor, or any other category of person who performs work for or on behalf of any agency (but not a Federal employee). In order to perform the work specified under the contract, will require access to space, information, IT systems, staff, or assets of NASA.

A.2 Fitness Determination - A decision by an agency that an individual has or does not have the required level of character and conduct necessary to perform work for or on behalf of a Federal agency as an employee in the excepted service (other than in an excepted service position subject to suitability) or as a contractor employee.

A.3 High-Risk positions are those that have the potential for exceptionally serious impact involving duties, especially, critical to the Agency or a program mission of the Agency with a broad scope of policy or program authority.

A.4 Low-Risk positions are those that have the potential for limited impact involving duties of minimal relation to the Agency mission with program responsibilities that affect the efficiency of the service.

A.5 Moderate-Risk positions are those that have the potential for moderate-to-serious impact involving duties of considerable importance to the Agency or a program mission of the Agency with significant program responsibilities and delivery of customer services to the public.

A.6 NASA Employee - NASA civil service personnel.

A.7 Position Sensitivity - The designation of the level of risk associated with a position based on the actual or possible access to CNSI.

A.8 Public Trust Position - Position at the high-risk or moderate-risk level would normally be designated as public trust positions. Such positions may involve policy making, major program responsibility, public safety and health, law enforcement duties, fiduciary responsibilities or other duties demanding a significant degree of public trust, and positions involving access to or operation or control of financial records with a significant risk for causing damage or realizing personal gain.

A.9 Reciprocity - The reciprocal recognition of suitability or fitness determinations is intended to simplify and streamline investigative and adjudicative processes where prior determinations are based on equivalent investigations and adjudicative criteria. Reciprocity limits the need to conduct a new fitness determination when an individual moves without a break in employment from a position in the Federal Government to an excepted service or contractor position or from a contractor position to an excepted service position or another contractor employee position.

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A.10 Suitability - Refers to identifiable character traits and past conduct, which are sufficient to determine whether a given individual is or is not likely to be able to carry out the duties of a

Federal job. Suitability is distinguishable from a person's ability to fulfill the qualification requirements of a job, as measured by experience, education, knowledge, skills, and abilities.

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Appendix B-Acronyms

CAF Central Adjudication Facility

CARP Credentialing Adjudication Review Panel

CCPS Center Chief of Protective Services

CEP Continuous Evaluation Program

CNSI Classified National Security Information

CCPS Center Chief of Protective Services

CCS Center Chief of Security

EO Executive Order

E-QIP Electronic Questionnaires for Investigation Processing

HSPD Homeland Security Presidential Directive

IdMAX Identity Management and Account Exchange System

NBIB National Background Investigation Bureau

NF NASA Form

NPD NASA Policy Directive

NPR NASA Procedural Requirements

NSD National Security Directive

OHCM Office of Human Capital Management

OPM Office of Personnel Management

OPS Office of Protective Services

PIV Personal Identity Verification

PSI Personnel Security Investigation (formerly Background Investigation)

ROI Report of Investigation

SF Standard Form

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CHANGE HISTORY LOG

Revision Effective Date Description of Changes

Baseline 12/12/13 Initial Release

A 06/19/18

Administrative Revisions to include:

1. Updated P.8 with correct NRRS references.

2. Clarified e-QIP processing requirements in Section 2.2.

3. Clarified Personnel Security Clearance Management requirements in Section 3.2.

4. Updated Applicable Documents and Forms in P.4.