Information_and_Personnel_Security_SOP.pdf

HQMC IPSP SOP Table of Contents

Systems Support.......................................Encl (1)

Responsibilities......................................Encl (2)

Program Management....................................Encl (3)

Personnel Security....................................Encl (4)

Information Security..................................Encl (5)

Industrial Security...................................Encl (6)

HQMC IPSP SOP

Enclosure (1)

Systems Support

1. The Security Program and Information Management Branch (ARS) uses a variety of systems and databases to implement the HQMC

IPSP.

a. Personnel, Physical, Information, Communications Security System (PPICSS). PPICSS is a web-enabled, single-source-solution, for security program management and services. PPICSS will be utilized to request security services which include, but not limited to check-ins, background investigations, access to classified information, DoD Badges, contractor CAC's, locks, office space accreditations, swipe access and cryptographic equipment. PPICSS will also be utilized by all HQMC personnel to access and complete required annual security training. A PPICSS user manual is available to appointed Security Coordinators by contacting the HQMC Security Manager. PPICSS helpdesk support will be available during normal business hours for Security Coordinators only. HQMC personnel will report PPICSS issues to their respective Security Coordinators. All forms contained within this SOP are accessible via PICCS.

b. Classified Document Control Catalog (CDCC). The CDCC is a section of PPICSS that will be utilized by HQMC Personnel with access to classified information to manage inventories, transference, itemization and destruction of classified material. Classified Hard Disk Drives (HDD) and media created by way of the “write-to-media” function will be managed using the CDCC.

c. Joint Personnel Adjudication System (JPAS). JPAS is the Department of Defense (DoD) personnel security clearance and access database. It facilitates personnel security program management for the DoD Central Adjudication Facility (CAF), for DoD security managers, and Sensitive Compartment Information (SCI) program managers. JPAS is the system of record for personnel security adjudication, clearance and verification history. JPAS interfaces with Defense Security Service (DSS) and the Office of Personnel Management (OPM) to populate personnel security investigation data. DoD commands are required to use JPAS to record all access determinations which includes temporary access, upgrades, downgrades, suspensions, continuous evaluation reports, and visit requests.

Enclosure (1)

d. Trusted Associate Sponsorship System (TASS). TASS is a web based system used by authorized personnel to sponsor contractor personnel for issuance of a Common Access Card (CAC) via Defense Enrollment Eligibility Defense Enrollment Eligibility Reporting System (DEERS). The CAC is used by military, civilians, eligible contractors and federal government affiliates to gain access to the Marine Corps Enterprise Network, and for physical access to DoD installations.

e. Electronic Questionnaires for Investigations Processing (e-QIP) system. The e-QIP system is an automated, web-based system that was designed to facilitate the processing of standard investigative forms used when conducting background investigations for Federal security, suitability, fitness and credentialing purposes. This e-QIP system allows the user to electronically enter, update and transmit their personal investigative data over a secure internet connection to a requesting agency.

Enclosure (2)

Responsibilities

1. Per reference (a), the Head, Security Programs and Information Management Branch (ARS) is responsible for the formulation, implementation and enforcement of information, personnel and industrial security programs, their effectiveness, and compliance with all directives issued by higher authority.

2. Per reference (a), the HQMC Security Manager/Assistant Security Manager are the principal advisors for information, personnel, industrial security, security education, and training within this Headquarters and MCRC. The Security Manager/Assistant Security Manager are responsible for:

a. The management, formulation, implementation and enforcement of security policies and procedures for the protection of classified information originated by or under the cognizance of HQMC and MCRC, in connection with the duties outlined in reference (a).

b. Developing basic policy and procedures for the classification, dissemination, transmission, control, accounting, storage, and protection of collaterally classified information at HQMC and MCRC.

c. Coordinating with the heads of HQMC Staff Agencies/Activities to ensure that all personnel who handle classified information have the proper security clearance, and that requests for personnel security investigations are properly prepared and submitted.

d. Providing advice to heads of Staff Agencies/Activities on Information, Personnel, and Industrial Security Program matters affecting HQMC.

e. Conducting both announced and unannounced security visits on staff agencies/activities to evaluate the effectiveness of the security program and ensure the staff agency/activity is in compliance with this SOP and higher directives.

f. Establishing a HQMC security education program.

3. ARS Security Operations Chief (ARSOC). The ARSOC is responsible for the day-to-day operations of the security section under the cognizance of the security manager and assistant security manager. The ARSOC will:

a. Serve as the security manager in the absence of the security manager and assistant security manager for the day-to-day operations.

b. Distribute assignments to security specialists and ensure timely and accurate completion of all work assigned.

c. Serve as the liaison between the security specialists and the HQMC Security Coordinators for all matters pertaining to assignments and business processes.

d. Provide seamless, efficient and first-rate support to twenty staff agencies/activities populated by approximately 3800 military, civilian and contractor personnel, ensuring compliance with personnel and information security policy and regulation.

e. Serve as an assistant to the security manager and assistant security manager to support all aspects of security management, advising management on matters affecting information and personnel security, with responsibilities cutting across staff functional and operational areas internal to HQMC.

f. Coordinate and advise staff agencies security coordinators on matters related to the security of classified/sensitive unclassified information within their respective areas to ensure comprehensive plans are in place to run an effective and efficient IPSP.

g. Coordinate and advises external agencies regarding security services to support official visitors to include Very Important Persons (VIPs).

4. ARS Information Security Specialist (ARISS). The ARISS is responsible for the day-to-day Information Security Management operations for HQMC with a focus on implementing DoD Information Security policies throughout the Headquarters. The ARISS will:

a. Enforce policy and procedures related to information security in accordance with reference (b).

b. Manage the implementation and compliance with information security policy to include, security training/education and security awareness throughout the Headquarters.

c. Serve as the HQMC North Atlantic Treaty Organization (NATO) Control Officer.

d. Coordinate and advise Staff Agency/Activity Security Coordinators and Security Assistants on matters related to the security of classified information within their respective areas to ensure comprehensive protection and destruction plans are in place.

e. Ensure Staff Agencies/Activities are in compliance with Executive Orders, Department of Defense and Secretary of the Navy policy decisions regarding Information Security Policy.

f. Serve as the HQMC site administrator for the Classified Document Control Catalog (CDCC).

g. Coordinate with HQMC Cyber Security to ensure classified information is processed, stored, or transmitted on the Automated Information Systems (AIS) and is protected in accordance with reference (b).

5. ARS Electronic Key Management System (EKMS) Manager (AREKMS). The AREKMS is responsible for all actions associated with the receipt, handling, issue, safeguarding, accounting, and disposition of Communication Security (COMSEC) material assigned to an EKMS account and also serves as the primary advisor to DirAR (ARS) on EKMS account management matters. The AREKMS Manager will:

a. Acquire, monitor, and maintain HQMC authorized COMSEC holdings. Maintain complete accountability of records, including a complete running inventory of all COMSEC material chargeable to the HQMC COMSEC account.

b. Provide written guidance to COMSEC local holders/users concerning proper safeguarding, handling, and accounting procedures for COMSEC material and equipment.

c. Provide EKMS program support for the primary HQMC account and other sub-accounts located throughout the National Capital Region.

d. Supervise the EKMS Program for COMSEC material systems.

Manage the reserve, Reserve-on-Board (ROB), contingency material, and hardware equipment.

e. Assume responsibility for the installation, monitoring, maintenance and training of personnel that use COMSEC material and equipment.

6. ARS Physical Security Specialist (ARPSS). The ARPSS is responsible for the management of the HQMC Physical Security Program. The ARPSS provides guidance and recommendations for evaluating, planning, and implementing the HQMC physical security program. The ARPSS will:

a. Provide technical expertise and leadership to the design, formulation, and development of physical security policies, standards, systems, and procedures for implementation throughout HQMC.

b. Evaluate new or different types of security systems and equipment for application within HQMC. Perform cost benefit analysis and recommend installation/implementation of systems and equipment.

c. Serve as technical expert on approved protection systems designated to provide maximum security to HQMC Staff Agencies/Activities with minimal impact to their mission.

d. Develop and maintain the HQMC Lock and Key Control Program. This program is designed to protect or secure restricted areas, classified material, sensitive material, supplies, and other critical assets.

e. Perform Physical Security Surveys and Restricted Area Certifications, for all office spaces throughout HQMC requiring restricted area designations to comply with applicable information assurance and physical security regulations.

7. ARS Security Specialist (ARSS). The ARSS is responsible for technical and help desk support in areas of Personnel, Information and Industrial Security as determined by the Security Manager. The ARSS will:

a. Process requests for personnel security investigations and the taking of fingerprints.

b. Process Department of Defense (DoD) Badge request in order for personnel to obtain building pass.

c. Issue and account for courier cards and letters.

d. Process Common Access Card (CAC) requests in order for contractor personnel to obtain CAC.

e. Endorse requests for SIPR network accounts.

f. Process requests for swipe and pin access to controlled and restricted areas.

g. Process personnel check-in and check-outs.

8. HQMC Top Secret Control Officer (TSCO)

a. The HQMC TSCO is responsible for the receipt, custody, accounting, reproduction, and disposition of Top Secret information received or originated by this Headquarters, with the exception of Sensitive Compartmented Information (SCI) which is controlled by the Special Security Office (SSO).

b. Per reference (b), the duties of the HQMC Top Secret Control Officer (TSCO) will be assigned in writing by the Director, Administration and Resource Management Division (DirAR). Designees must be an officer/enlisted E-7 or above or a civilian employee, GS-9 or above. The TSCO must be a U.S.

citizen and possess a final Top Secret security clearance.

9. Heads of Staff Agencies/Activities. Heads of Staff Agencies /Activities are directly responsible for the control and safekeeping of classified information and shall:

a. Publish an Agency/Activity SOP specifying how the requirements of this SOP, and other security directives affecting the Staff Agency/Activity, will be implemented.

Contents of the instruction must be written in such a way so that they are understood by all agency/activity personnel and fully executable. The successful execution of the SOP may require consideration of manpower and fiscal constraints.

b. Develop an emergency plan for the protection, removal, or destruction of classified information in case of fire, natural disaster, civil disturbance, terrorist activities or enemy action. Plans that are developed will contain precautionary measures which can be taken prior to an emergency to include:

(1) Securing ALL classified material and NATO material at the end of each workday in a GSA approved security container.

Leaving classified information or NATO material out overnight in an Open Storage Secret (OSS) further increases the risk of loss.

(2) Limiting the volume of classified material and NATO material, held to the minimum amount necessary for operations.

(3) Ensuring all documents, file folders, and binders are clearly and properly marked according to their contents.

c. Appoint an individual in writing to serve as the Security Coordinator for their Staff Agency/Activity. Refer to Figure 1-1 for a sample letter. Assistant Security Coordinators may be appointed if required to assist the Security Coordinator in the performance of his/her duties. Refer to figure 1-2 for a sample letter. However, ultimate responsibility for the Staff Agency/Activity security program resides with the Security Coordinator. The Security Coordinator may be assigned as a full-time, part-time or collateral duty. The person designated must be an officer/enlisted E-6 or above or a civilian employee, GS-9 or above, with sufficient authority and staff to manage the program. The Security Coordinator/Assistant Security Coordinator must be a U.S. citizen and at a minimum have been the subject of a favorably adjudicated National Agency with Local Agency and Credit Checks (NACLC) Investigation or Access National Agency Check with Written Inquires (ANACI).

d. Establish procedures to report questionable or unfavorable information to the HQMC Security Manager on staff agency/activity personnel who have been granted access to classified information, or who have eligibility to classified information or assigned to sensitive duties.

10. Security Coordinator/Assistant Security Coordinator. The Security Coordinator/Assistant Security Coordinator are the principal information and personnel security program advisors to the Staff Agency/Activity head. Security Coordinators will implement the security programs within their Agency/Activity by:

a. Having direct and ready access to the Executive Assistant or Deputy Commandant/Director ensuring all pertinent issues concerning security program management are addressed.

b. Serving as a liaison between the HQMC Security Office (ARS) and personnel under their cognizance.

c. Promoting security awareness within their Staff Agency/Activity in support of the command security awareness program, and ensuring that all personnel understand the procedures for protecting classified information per reference (b).

d. Utilizing the Security Assessment Checklist, available in Security Note 04-13, and conduct Staff Agency/Activity Security Self Assessments to ensure the security program is compliant with all policies and regulations.

e. Ensuring all personnel under their cognizance comply with the references and this SOP.

f. Enforcing classified information control by means of receipt, distribution, inventory, reproduction and disposition.

g. Ensuring personnel who create, process, or handle classified information are fully trained on the requirements to properly mark classified information.

h. Ensuring the DirAR (ARS) is notified of all:

(1) Instances involving loss, compromise, or subjection to compromise of classified information.

(2) Information Technology (IT) System spillages (i.e., inappropriate levels of classified information are introduced to an unclassified or classified non-SCI IT System). Notify the Director, Intelligence Department (SSO) when information is identified as SCI. Refer to enclosure (5) for guidance on reporting procedures.

i. Establishing visitor control procedures to accommodate visits to their Staff Agency/Activity involving access to, or disclosure of classified information. At a minimum, these procedures will include verification of identity, validation of personnel security clearance eligibility and access using JPAS, and a need-to-know determination.

j. Ensuring that only appropriately cleared, authorized, and briefed personnel transmit, transport, escort, or hand carry classified information.

k. Ensuring that personnel have the appropriate clearance eligibility for their billet, the need to know, and have received all required security briefs before requesting access to classified information.

l. Briefing new personnel on local security practices and providing the employee with a copy of the Staff Agency/Activity security procedures and this SOP.

m. Notify the DirAR (ARS) regardless of circumstances:

(1) Any incident or situation that could affect Staff Agency/Activity personnel continued eligibility to access classified information.

(2) When personnel who have access to classified information have entered the following status: Unauthorized Absentees, Deserters, and Civilians Absent Without Leave (AWOL).

n. Ensuring personnel assigned to their Staff Agency/Activity complete all required security training.

o. Submitting visit requests (to outside agencies) via JPAS for personnel under their cognizance.

p. Ensuring a current Staff Agency/Activity Accreditation Letter is on file for review by DirAR (ARS).

q. Ensuring access rosters that identify personnel authorized to enter a controlled access area in performance of their duties are posted according to the provision of this SOP.

r. Establish procedures for end of the day security checks, utilizing the Activity Security Checklist Standard Form, (SF 701), and the Security Container Check Sheet (SF 702), to ensure that all areas which process classified information are properly secured.

s. Ensuring all combinations have been changed and recorded on the Security Container Information (SF 700), according to the provision of this SOP.

t. Establish an industrial security program if the Staff Agency/Activity engages in the purchase of a system, technology or information that is classified or when cleared DoD contractors operate within areas under their direct control.

Refer to enclosure (6) for guidance.

11. Agency Top Secret Control Officer (TSCO). Staff Agencies/Activities holding Top Secret material must appoint a TSCO in writing, who is responsible for the receipt, control, reproduction, destruction, transmission and inventory of Top Secret material. The Staff Agency/Activity Security Coordinator may also be designated as the Staff Agency/Activity Top Secret Control Officer. Personnel designated as the TSCO must be an officer, non-commissioned officer E-6 or above or a civilian employee, GS-9 or above. Refer to figure 1-3 for sample appointment letters. The Agency TSCO must be a U.S. citizen who has been the subject of an SSBI within the past five years, have been granted access to Top Secret information and be completely familiar with the requirements for protection of Top Secret information and the duties described in reference (b).

12. HQMC Security Contracting Officer Representative (SCOR).

Per reference (j), the HQMC SCOR shall ensure that the industrial security functions specified below are accomplished when classified information is provided to industry for performance on a classified contract. The SCOR will:

a. Review statement of work to ensure that access to or receipt and generation of classified information is required for contract performance.

b. Validate security classification guidance; complete and sign the DD 254:

(1) Coordinate review of the DD 254 and classification guidance.

(2) Issue a revised DD 254 and other guidance as necessary.

(3) Resolve any problems related to providing classified information to the contractor.

c. Coordinate, any additional security requirements beyond those required by this policy manual, the DD 254, or in the contract document itself.

d. Initiate all requests for Facility Clearance (FCL) action with the Defense Security Services (DSS).

e. Verify the FCL and storage capability prior to release of classified information.

13. Trusted Associate Security Manager (TASM). The DirAR (ARS) has been identified as the HQMC TASM for the Trusted Associate Sponsorship System (TASS), Site ID 173429. The TASM will be responsible for:

a. Troubleshooting TASS questions and issues for the site.

b. Managing site Trusted Agents (TAs).

c. Training all site TA’s operating TASS.

d. Ensuring positive identification of all site TAs.

e. Ensuring all Contractor personnel requiring issuance of Common Access Card (CAC) have at a minimum been the subject of a favorable adjudicated National Agency Check with Written Inquires Investigation (NACI).

f. Ensure Contractor TASS Re-verifications are completed in accordance with TASS requirements.

g. Ensure CAC’s are revoked when contractor personnel are no longer assigned to HQMC or are not meeting the investigative requirement for issuance.

(LETTER HEAD)

XXX

Date

From: Deputy Commandant/Director, Staff Agency/Activity To: Individual Appointed

Subj: APPOINTMENT AS STAFF AGENCY/ACTIVITY SECURITY COORDINATOR

Ref: (a) SECNAV M-5510.30

(b) DoD M-5200.1

(c) HQMC IPSP SOP

1. In accordance with reference (a), you are hereby appointed as the Staff Agency/Activity Security Coordinator. You will be notified of any change in this appointment, when necessary.

2. You are directed to familiarize yourself with the provisions of references (a) through (c).

3. By return endorsement you will indicate that you have assumed the duties as the Security Coordinator.

Signature of Deputy Commandant/Director

Date

FIRST ENDORSEMENT

From: Individual Appointed To: Deputy Commandant/Director, Staff Agency/Activity

Subj: APPOINTMENT AS STAFF AGENCY/ACTIVITY SECURITY COORDINATOR

1. I have assumed the duties as the Security Coordinator and will familiarize myself with the references.

Signature of Appointee

Figure 1-1--Format of Security Coordinator Appointment Letter

Subj: DESIGNATION AS STAFF AGENCY/ACTIVITY ASSISTANT SECURITY

COORDINATOR

Ref: (a) SECNAV M-5510.30

(b) DoD M-5200.1

(c) HQMC IPSP SOP

1. In accordance with reference (a), you are hereby appointed as the Staff Agency/Activity Assistant Security Coordinator.

You will be notified of any change in this appointment, when necessary.

2. You are directed to familiarize yourself with the provisions of references (a) through (c).

assumed the duties as the Assistant Security Coordinator.

FIRST ENDORSEMENT

From: Individual Appointed To: Deputy Commandant/Director, Staff Agency/Activity

Subj: APPOINTMENT AS STAFF AGENCY/ACTIVITY SECURITY COORDINATOR

1. I have assumed the duties as the Assistant Security Coordinator and will familiarize myself with the references.

Figure 1-2--Format of Assistant Security Coordinator Appointment Letter

Subj: APPOINTMENT AS TOP SECRET CONTROL OFFICER

Ref: (a) SECNAV M-5510.30

(b) DoD M-5200.1

(c) HQMC IPSP SOP

1. In accordance with reference (a), you are hereby appointed as the Staff Agency/Activity Top Secret Control Officer. You will be notified of any change in this appointment, when necessary.

2. You are directed to familiarize yourself with the provisions of references (a) through (c).

assumed the duties as the Top Secret Control Officer.

Date

FIRST ENDORSEMENT

From: Individual Appointed To: Deputy Commandant/Director, Staff Agency/Activity

Subj: APPOINTMENT AS TOP SECRET CONTROL OFFICER

1. I have assumed the duties as the Top Secret Control Officer and will familiarize myself with the references.

Figure 1-3--Format of Top Secret Control Officer Appointment

Letter

Enclosure (3)

Program Management

1. Guidance or Interpretation. Individual requests for guidance or interpretation of this SOP are encouraged. Address all requests to the DirAR (ARS) via the Staff Agency/Activity Security Coordinator.

2. Records Disposition. The following instructions are provided:

a. Appointment Letters. Appointment letters for Staff Agency/Activity Security Coordinators, Top Secret Control Officers (TSCO), and the assistants will be retained for a period of two years after the individual assignment has been terminated.

b. Inquires and Investigations. Reports of completed Inquires and Investigations will be retained for 5 years. This includes but is not limited to correspondence pertaining to security violations, infractions, incidents, hazards, or deficiencies in the Staff Agency/Activity.

c. Destruction Records. A record of destruction is required for Top Secret information. OPNAV 5511/12, “Classified Material Destruction Report”, may be used for this purpose.

Destruction records for Top Secret information must be retained for 5 years and a copy provided to ARS. Records of destruction are not required for Secret and Confidential information.

d. Emergency Action Plans. Copies of emergency action plans for HQMC staff agencies/activities which handle classified material, to include SCI destruction plans, will be retained for 2 years following revision or cancellation.

3. Staff Agency and Activity Standard Operating Procedure.

Staff Agencies/Activities are required to publish, and keep current, a written SOP in regards to internal security procedures. Internal security procedures will include, at a minimum, the following actions:

a. Requesting access to classified information.

b. Accounting for personnel attached to the Staff Agency/Activity and control of visitors.

c. Accounting and controlling of Top Secret material.

d. Establish procedures that facilitate the oversight of classified information by addressing:

(1) Accountability of classified material on hand and personnel with authorized access.

(2) Limited reproduction as necessary to accomplish Staff Agency/Activity mission or to comply with applicable statutes or directives.

(3) Classified information intended for destruction is destroyed by authorized means and appropriately cleared personnel.

(4) Safeguard measures and controls that are prescribed to protect classified information.

(5) Review of classified information for proper classification markings, downgrading, and declassification.

e. Reporting of all possible Security Violations and Infractions.

f. Security education.

4. Unannounced Security Visits (USV). The USV is a valuable tool in mitigating the risk associated with storage and handling of classified material. As a security awareness tool, USV’s are intended to reduce the number of security violations within HQMC Staff Agencies/Activities. Figure 3-1 is a USV Checklist for your use. DirAR (ARS) personnel will conduct the USVs. These USV’s will be conducted during normal working hours (0800-1630 Monday through Friday). During these visits the Security Section will not be searching in desks or other areas considered personal in nature (i.e. wall lockers, gym bags, purses, etc).

5. Security Assessment Program. The HQMC Information and Personnel Security Assessment Program is designed to ensure compliance with regulatory requirements and increase security awareness at the Staff Agency/Activity level. The security assessment will review procedures, inventory documents, and ensure that all security issues are addressed. An update of the security assessment checklist will be published yearly via separate correspondence.

6. Security Manager In-Call. All newly appointed staff agency/activity Security Coordinators will meet with the HQMC Security Manager for an in-call to review policy, address responsibilities and to ensure Security Coordinators are provided with the necessary skill sets and knowledge to manage the agency/activity IPSP proficiently.

7. Security Coordinator Meetings. The DirAR (ARS) will periodically hold security coordinator meetings (quarterly) to highlight significant changes in security regulations and call attention to problem areas within the HQMC security program.

Staff Agency/Activity Security Coordinator’s or their assistants must attend the Security Coordinator meetings. Suggested agenda items should be submitted to the DirAR (ARS) in advance of the meeting.

8. Security Coordinator of the Year Award Program. This award program will recognize Security Coordinators of a large Staff Agency/Activity (that has 50+ personnel) and a small Staff Agency/Activity (that has 49 or less personnel) who have demonstrated exceptional performance managing their security program. The award will be based on the following criteria:

a. No incidents involving Information Technology (IT) Spillages for the entire fiscal year.

b. No Communication Security Violations for the entire fiscal year.

c. No Physical Security Violations for the entire fiscal year.

d. No violations or infractions involving the conduct of a Inquiry or Investigation for the entire fiscal year.

e. Received a “Mission Capable” during the annual Security Assessment Visit.

f. Promoting Security Awareness within their respective Staff Agency/Activity.

g. Ensured all personnel assigned to their Staff Agency/Activity completed all required security training.

h. Received Zero violations during Unannounced Security Visits.

i. Staff Agency/Activity representation at all Security Coordinator Meetings.

j. Recipients of the award will receive a Staff Agency/Activity Award Plaque and the Security Coordinator will receive a Certificate of Commendation signed by the Staff Director, HQMC.

9. Security Notes. The DirAR (ARS) will periodically disseminate Security Notes to all staff agencies/activities concerning new or modified security related information, changes in procedures, problem areas, or to direct attention to specific matters. Security Notes carry the same weight as formal directives.

10. Security Education. The HQMC security education program was instituted in order to familiarize personnel with protecting classified information from exposure to unauthorized persons, or persons without a valid need to know, and reporting requirements listed in this SOP and reference (a). The security education program should be continuous, tailored to the needs of the Staff Agency/Activity, and in accordance with the requirements of higher security directives. The following are the minimum requirements of the security education program within HQMC:

a. Initial and Refresher Security Briefings.

(1) Initial. An initial orientation briefing will be given to all personnel upon arrival to HQMC. The DirAR (ARS) will fulfill this requirement during check-in. Completion of this orientation will be recorded by the security coordinator and that record maintained for the duration of the individual’s assignment to HQMC. Access to classified material will not be granted until this briefing has been completed.

(2) Refresher. Security Refresher Training must be completed each year by all personnel (Military, Civilian and Contractor) assigned to HQMC that reinforces the policies and procedures covered in their initial and specialized training.

(3) Counterintelligence Awareness. Personnel attached to HQMC will receive periodic briefings, annually, on all threats posed by foreign intelligence and terrorist organizations. These briefings will be scheduled annually and delivered in person by an agent of the Naval Criminal Investigative Service.

b. On-the-Job-Training. On-the-Job-Training is the phase of security education when security procedures for the assigned position are learned. Security Coordinators will assist supervisors in identifying appropriate security requirements.

Supervisors are ultimately responsible for procedural violations and infractions that result from improperly trained personnel.

Expecting subordinates to learn proper security procedures by trial-and-error is not acceptable. This training does not require reporting outside the Staff Agency but must be recorded within the agency personnel security file.

c. Derivative Classifier Training. Personnel who perform derivative classification must complete Derivative Classification Training every 2 years. The training is available online at the Defense Security Service website, at http://www.cdse.edu/catalog/information-security.html.

d. Special Briefings. Special briefings are occasionally required for select HQMC personnel. These include the following:

(1) Foreign Travel Briefing. Prior to conducting foreign travel (personal or business), all military, civilian and DoD contractor personnel must receive a foreign travel briefing. Personnel can schedule a briefing by contacting Headquarters Battalion, HQMC (S-3 Office), at (703) 614-1471.

In addition to personnel receiving foreign travel briefings, Security Coordinators are to ensure personnel conducting foreign travel to USCENTCOM, USSOUTHCOM and USPACOM AOR, complete the Isolated Personnel Report (ISOPREP). To determine if an ISOPREP is required, personnel should be directed to the DoD Foreign Clearance Guide, which can be found, at https://www.fcg.pentagon.mil/fcg.cfm, for further information.

Questions regarding completion and submission of the ISOPREP can be addressed to PO-SOD at (703) 571-1015, or ARS, at (703) 614- 3609.

http://www.cdse.edu/catalog/information-security.html https://www.fcg.pentagon.mil/fcg.cfm

(2) NATO Briefing. All personnel who require access to NATO information must be briefed on NATO security procedures by the Staff Agency/Activity Security Coordinator before access is granted, in accordance with reference (a) and (d). A copy of the briefing certificate must be retained for 2 years after personnel have detached.

(3) Sensitive Compartmented Information (SCI). The Special Security Officer (SSO) is responsible for briefing those individuals requiring access to SCI. To schedule a briefing, contact the SSO at (703) 614-3350.

UNANNOUNCED SECURITY VISIT CHECKLIST

Agency: ________________ Room #: _______________

1. ARE DOCUMENTS PROPERLY SAFEGUARDED? YES NO

2. ARE ANY COMPUTERS LEFT UNATTENDED (NIPRNET/SIPRNET)? YES NO

3. ARE ANY USER ID'S WITH PASSWORDS WRITTEN

DOWN UNDER KEYBOARDS, MOUSE PADS, TOP OF DESK, UNDER

DESKTOP CALENDARS ON WALLS AND BULLETIN BOARDS? YES NO

4. ARE ANY BURN BAGS LEFT UNATTENDED WITHIN AN UNSECURED

SPACE? YES NO

5. ARE THERE ANY UNSECURED, UNATTENDED COURIER CARDS,

BUILDING PASSES, ETC? YES NO

6. IS EQUIPMENT DESIGNATED FOR THE REPRODUCTION OF

CLASSIFIED MATERIAL? IF SO, IS THE EQUIPMENT PROPERLY

MARKED AND SAFE GUARDED? YES NO

7. ARE FACSIMILE (FAX) MACHINES ADEQUATELY MARKED TO

ENSURE PERSONNEL ARE AWARE THAT IT IS/IS NOT AUTHORIZED

FOR TRANSMISSION OF CLASSIFIED MATERIAL? YES NO

8. IS OFFICE AUTOMATION MARKED/LABELED PROPERLY? YES NO

9. ARE SF700, 701, 702 FORMS AFFIXED TO SECURITY

CONTAINERS/SECURED DOORS AND PROPERLY FILLED OUT? YES NO

10. IS THERE AN EMERGENCY ACTION PLAN IN PLACE FOR THE

PROTECTION AND DESTRUCTION OF CLASSIFIED MATERIAL? YES NO

11. ARE ACCESS ROSTERS POSTED, CURRENT, AND ACCURATE? YES NO

12. ARE ADEQUATE VISITOR CONTROL PROCEDURES IN PLACE?

(ROSTERS, LOGBOOKS, ETC.) YES NO

14. ARE WINDOWS COVERED CORRECTLY TO PROTECT THE

INADVERTENT DISCLOSURE OF CLASSIFIED INFORMATION? YES NO

Inspector Name: _____________________ Date: ___________

Figure 3-1--Unannounced Security Visit Checklist

Enclosure (4)

Personnel Security

1. Access. Knowledge or possession of classified information is authorized only for those whose duties require access.

Employees will not be allowed knowledge or possession of classified information unless the following conditions have been met:

a. Have a “need to know” at a particular level (Top Secret, Secret, Confidential) in order to perform officially appointed duties, as certified by the Staff Agency/Activity Security Coordinator on the NAVMC HQ 512, and verified by the DirAR

(ARS).

b. Personnel have executed Classified Information Non- Disclosure Agreement (NDA), Standard Form (SF) 312 as a condition of access to classified information.

c. A verbal pronouncement of the Attestation statement, accepting the responsibilities of being granted access to classified information.

d. Has been granted a security clearance eligibility (either temporary or final) commensurate with the level of access required.

e. Has been administered the HQMC Security Orientation Brief.

2. Heads of Staff Agencies/Activities are responsible for ensuring all the above conditions are met prior to requesting access to classified information. No employee will have access to classified information solely because of rank or position.

3. Temporary Access

a. Formerly known as “Interim Access” to classified or sensitive information, temporary access may be granted to an individual whose background investigation is not complete or is pending eligibility adjudication.

b. Granting temporary access is a risk management decision and as such requires a favorable review of all available local records (e.g., personnel, legal, security, base/military police, etc.) and the questionnaire for national security positions with no significant derogatory information. Significant derogatory information is information that could, in itself, justify an unfavorable administrative action or an unfavorable security determination (e.g. DUI, criminal, financial).

c. The ultimate decision to grant temporary access will reside with the DirAR. Temporary access will not be granted in JPAS until the investigation is received and opened at the Office of Personnel Management (OPM).

d. Upon receipt of a Letter of Intent (LOI) from the Department of Defense Central Adjudication Facility (DODCAF) to deny an individual’s security clearance, temporary access will be immediately withdrawn for those individuals who were granted temporary access.

4. Suspension of Access. When questionable or unfavorable information becomes available concerning an individual who has been granted access to classified information or assigned to sensitive duties the following will take place:

a. Staff Agency/Activity Director, Deputy Commandant will make a recommendation to the DirAR, on the basis of all facts, to suspend or limit an individual’s access to classified information, or reassign the individual to non-sensitive duties pending a final eligibility determination by the DoD CAF.

b. The ultimate decision to suspend access will reside with the DirAR. Manpower or fiscal constraints are not sufficient reasons that will mitigate security concerns. Depending on the nature of the incident, suspension of access may occur without delay or Staff Agency/Activity recommendation.

c. Whenever a determination is made to suspend access to classified information, the individual concerned must be notified of the determination in writing within 10 days by DirAR By direction Authority authorized to include a brief statement of the reason(s) for the suspension action consistent with the interest of national security.

d. DirAR (ARS) will report the information to DODCAF via JPAS and suspend access to classified information.

e. Staff Agency/Activity Security Coordinator will:

(1) Remove the individual’s name from all local access rosters and notify all co-workers of the suspension.

(2) Ensure that the combination to classified storage containers to which the individual had access are changed unless sufficient controls exist to prevent access to the lock.

(3) Submit a Pentagon Force Protection Agency (PFPA) Alarmed Space Access Request Form (refer to Figure 4-13) to DirAR (ARS) requesting to have the individual’s swipe access to Open Storage Secret (OSS) areas terminated.

(4) Cancel or hold in abeyance any Permanent Change of Station (PCS) orders per MARADMIN 659/09.

f. If after suspension of access, DODCAF adjudicates the reported information favorably, that information will no longer be the basis for continued suspension of access.

5. North Atlantic Treaty Organization (NATO) Access. Employees requiring access to NATO COSMIC or NATO Secret information must possess the equivalent final or temporary U.S. security clearance based upon the appropriate personnel security investigation, and have received and acknowledged a briefing (refer to Figure 4-6) on NATO security requirements.

6. Personnel Security Investigations. No individual will be given access to classified information or be assigned to sensitive duties unless a favorably personnel security determination has been made regarding his/her loyalty, reliability and trustworthiness. A Personnel Security Investigation (PSI) is conducted to gather information pertinent to these determinations. PSI requirements and definitions are as follows:

a. National Agency Check with Written Inquires (NACI). The NACI is the basic Executive Order (EO) 10450 investigative standard for Federal Government Civil Service Employment suitability determinations. A NACI consists of a NAC plus Written Inquires from former employers and supervisors, to references, and to schools covering the previous five years.

NACI’s are insufficient for determining personnel security clearance eligibility levels for access to classified information or assignment to sensitive duties.

b. Access NACI (ANACI). The ANACI is an OPM product that combines the NACI (for suitability of civilian employees within the Federal Government) and NACLC (for determine security clearance eligibility). The ANACI meets the investigative requirements for appointment to non-critical sensitive positions and for access to Confidential or Secret national security information, for civilian employees. The ANACI includes a NAC, credit check, and written inquiries covering the last five years to law enforcement agencies, former employers, supervisors, references, and schools. A previously conducted NACLC not beyond 10 years with a favorable eligibility determination will be used for Confidential and Secret access. The ANACI will be submitted to cover the scope of investigation for federal civilian employment.

c. National Agency Check with Local Agency and Credit Checks (NACLC). The NACLC is the basic EO 12968 standard for determination of eligibility to access to Confidential and Secret classified national security information. The NACLC also provides the basis for military suitability determinations for Navy and Marine Corps enlisted members and officers. The NACLC includes a NAC, credit bureau checks covering all locations where the subject has resided, been employed, or attended school for six months or more or the past 7 years, and inquiries of law enforcement where the subject has resided, been employed, or attended school within the last five years.

d. Single Scope Background Investigation (SSBI). The SSBI is the EO 12968 investigative standard for determinations of eligibility to access Top Secret classified national security information and SCI access eligibility determinations. The SSBI is also the basis for determinations of eligibility to occupy critical-sensitive or special-sensitive national security positions. The SSBI includes the NAC, verification of the subject’s date and place of birth, citizenship, education and employment, neighborhood interviews, developed character reference interviews, credit checks, local agency checks, public record checks (i.e., verification of divorce, bankruptcy, etc.), foreign travel, foreign connections and organizational affiliations, with other inquiries, as appropriate. A formal subject interview is conducted, as applicable, as well as the subject’s current spouse or cohabitant. The scope of an SSBI covers the most recent 10 years of the subject’s life or from the 18th birthday, whichever is the shorter period; however at least 2 years will be covered. No investigation is conducted prior to the subject’s 16th birthday.

7. Investigative Requirements for Clearance Eligibility. Only U.S. citizens are eligible for a security clearance. Security Clearance eligibility for access to classified information will be based on a PSI prescribed for the level of classification.

a. Top Secret

(1) The investigative basis for Top Secret clearance eligibility is a favorably completed SSBI, SSBI-Periodic Review (PR) or Phased Periodic Review (PPR). For those who have continuous assignment for access to Top Secret information, the SSBI must be updated every five years by a PR.

(2) Per reference (k), the SSBI/SBPR/PPR investigations will only be submitted to OPM for billets coded appropriately in the Total Force Structure Management System (TFSMS) or Military Occupational Specialty (MOS) designated.

b. Secret/Confidential. The investigative measurement for Secret or Confidential clearance eligibility is a favorably completed NACLC or ANACI. For Secret or Confidential clearance, the investigation is updated every 10 years and 15 years, respectively.

8. Notification E-mails

a. Per reference (a) a periodic reinvestigation (PR) must be submitted every 5 years to support access to Top Secret/SCI material, every 10 years for access to Secret material and every 15 years for access to Confidential material

b. As a courtesy, the DirAR (ARS) will send notification e-mails to individuals assigned to HQMC and Marine Corps Recruiting Command (MCRC) and the Staff Agency/Activity Security Coordinator 30 days before expiration. These emails allow the employee time to gather information and prepare all documents necessary for completion of the PR through the E-QIP system.

Security Coordinators are notified of requirement to ensure submission does not extend beyond 30 days.

c. Per reference (l), reinvestigations will not take place earlier than 30 days prior to expiration of the current investigation. Additionally, e-QIP system requires that once initiated by HQMC Security Office, the Personnel Security Investigation (PSI) must be completed within 30 days of the initial notification. Failure to comply for reasons that cannot be supported with proper documentation may result in the following:

(1) Suspension of access to classified information.

(2) Suspension of swipe access to office space.

(3) Deactivation of DoD building badge.

d. The provisions of reference (a) mandate that the submission of the PR is sufficient to maintain access based on previously assigned eligibility. The investigation does not have to be completed for access to be assigned or maintained.

e. Staff Agency/Activity Security Coordinators will receive all notification emails for General Officers (GO) and members of the Senior Executive Service (SES) assigned to their agency/activity. DirAR (ARS) recommends that all Staff Agencies/Activities discuss their internal notification process with the Executive Assistant (EA) in order to ensure the GO/SES population maintains a current background investigation.

9. Continuous Evaluation Program (CEP). When questionable or unfavorable information becomes available concerning an individual who has been granted access to classified information, or who has eligibility to classified information or is assigned to sensitive duties, this information will be reported to the HQMC Security Manager by the Security Coordinator.

a. Individuals are ultimately responsible to report to their supervisor or their staff agency/activity security coodinator and seek assistance for any incident or situation that could affect their continued elgilibity for access to classified information.

b. Co-workers have an obligation to advise their supervisor or Staff Agency/Activity Security Coordinator when they become aware of information with potenatial security clearance significance.

c. Supervisors and managers play a critical role in ensuring the success of the CEP. The goal is early detection of an individual’s problems. Supervisors are in a unique position to recoginize problems early and must react appropriately to ensure balance is maintained regarding the individual’s needs and national security requirements.

d. The following types of information will be reported:

(1) Involvement in activities or sympathetic association with a person which/who unlawfully practice, or advocate the overthrow or alteration of the United States Government by unconstitutional means.

(2) Foreign influence concerns/close personal association with foreign nationals or nations.

(3) Foreign citizenship (dual citizenship) or foreign monetary interest.

(4) Sexual behavior that is criminal or reflects a lack of judgment or discretion.

(5) Conduct involving questionable judgment, untrustworthiness, unreliability or unwillingness to comply with rules and regulations, or unwillingness to cooperate with the security clearance process.

(6) Unexplained affluence or excessive indebtedness.

(7) Alcohol abuse.

(8) Illegal or improper drug use/involvement.

(9) Apparent mental, emotional or personality disorder(s).

(10) Criminal conduct.

(11) Noncompliance with security requirements.

(12) Engagement in outside activities which could cause a conflict of interest.

(13) Misuse of Information Technology Systems.

e. Keys to a successful CEP are security education and positive reinforcement of reporting requirements in the form of management supporting confidentiality, and employee assistance referrals.

10. Check-ins. All personnel assigned to HQMC, who receive security service support, must check-in with the HQMC Security Section via PPICCS. Personnel assigned to Staff Agencies/Activities that do not have eligibility to access classified information are not authorized to work in Restricted Areas at any time. Security Coordinators will ensure that all required forms for the following services are completed within the PPICSS application and submitted to the Security Section:

a. Military. DoD Building Badge Pass Request (refer to Figure 4-1), HQ NAVMC 512 (Classified Information Access Authorization) (refer to Figure 4-2), SF 312…