Attachment_1_-_DD254_DRAFT.pdf

CLASSIFICATION (When filled in): Unclassified

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DEPARTMENT OF DEFENSE

CONTRACT SECURITY CLASSIFICATION SPECIFICATION

(The requirements of the National Industrial Security Program (NISP) apply to all security aspects of this effort involving classified information.)

OMB No. 0704-0567 OMB approval expires:

October 31, 2020

The public reporting burden for this collection of information, 0704-0567, is estimated to average 70 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Washington Headquarters Services, at whs.mc-alex.esd.mbx.dd-dod-information-collections@mail.mil. Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number.

RETURN COMPLETED FORM AS DIRECTED IN THE INSTRUCTIONS.

1. CLEARANCE AND SAFEGUARDING

a. LEVEL OF FACILITY SECURITY CLEARANCE (FCL) REQUIRED

(See Instructions)

Secret

b. LEVEL OF SAFEGUARDING FOR CLASSIFIED INFORMATION/

MATERIAL REQUIRED AT CONTRACTOR FACILITY

Secret

2. THIS SPECIFICATION IS FOR: (X and complete as applicable.)

a. PRIME CONTRACT NUMBER (See instructions.)

Request For Proposal, Not Valid For Performance

b. SUBCONTRACT NUMBER

c. SOLICITATION OR OTHER NUMBER

N00421-18-R-0009

DUE DATE (YYYYMMDD)

3. THIS SPECIFICATION IS: (X and complete as applicable.)

a. ORIGINAL (Complete date in all cases.)

DATE (YYYYMMDD)

20181206

b. REVISED (Supersedes all previous specifications.)

REVISION NO. DATE (YYYYMMDD)

c. FINAL (Complete Item 5 in all cases.) DATE (YYYYMMDD)

4. IS THIS A FOLLOW-ON CONTRACT? No Yes If yes, complete the following:

Classified material received or generated under (Preceding Contract Number) is transferred to this follow-on contract.

5. IS THIS A FINAL DD FORM 254? No Yes If yes, complete the following:

In response to the contractor's request dated , retention of the classified material is authorized for the period of:

6. CONTRACTOR (Include Commercial and Government Entity (CAGE) Code)

a. NAME, ADDRESS, AND ZIP CODE

Request For Proposal, Not Valid For Performance

b. CAGE CODE

N/A

c. COGNIZANT SECURITY OFFICE(S) (CSO) (Name, Address, ZIP Code, Telephone required; Email Address optional)

N/A

7. SUBCONTRACTOR(S) (Click button if you choose to add or list the subcontractors -- but will still require a separate DD Form 254 issued by a prime contractor to each subcontractor) Add Row Remove last Row Delete All Rows

a. NAME, ADDRESS, AND ZIP CODE

N/A

b. CAGE CODE

N/A

8. ACTUAL PERFORMANCE (Click button to add more locations.) Add Row Remove last Row Delete All Rows

a. LOCATION(S) (For actual performance, see instructions.)

b. CAGE CODE (If applicable, see Instructions.)

N/A

9. GENERAL UNCLASSIFIED DESCRIPTION OF THIS PROCUREMENT

Provide Contractor Owned and Contractor Operated (COCO) aircraft and personnel to support training for shipboard and aircraft squadron weapon systems operators and aircrew.

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10. CONTRACTOR WILL REQUIRE ACCESS TO: (X all that apply. Provide details in Blocks 13 or 14 as set forth in the instructions.)

a. COMMUNICATIONS SECURITY (COMSEC) INFORMATION f. SPECIAL ACCESS PROGRAM (SAP) INFORMATION

b. RESTRICTED DATA g. NORTH ATLANTIC TREATY ORGANIZATION

(NATO) INFORMATION

c. CRITICAL NUCLEAR WEAPON DESIGN INFORMATION (CNWDI) (If CNWDI applies, RESTRICTED DATA must also be marked.) h. FOREIGN GOVERMENT INFORMATION

d. FORMERLY RESTRICTED DATA i. ALTERNATIVE COMPENSATORY CONTROL MEASURES

(ACCM) INFORMATION

e. NATIONAL INTELLIGENCE INFORMATION:

(1) Sensitive Compartmented Information (SCI)

(2) Non-SCI

j. CONTROLLED UNCLASSIFIED INFORMATION (CUI) (See instructions.)

k. OTHER (Specify) (See instructions.)

Secure Telephone Equipment (STE) Secure FAX Machines

11. IN PERFORMING THIS CONTRACT, THE CONTRACTOR WILL: (X all that apply. See instructions. Provide details in Blocks 13 or 14 as set forth in the instructions.)

a. HAVE ACCESS TO CLASSIFIED INFORMATION ONLY AT

ANOTHER CONTRACTOR'S FACILITY OR A GOVERNMENT

ACTIVITY

(Applicable only if there is no access or storage required at contractor facility.

See instructions.)

b. RECEIVE AND STORE CLASSIFIED DOCUMENTS ONLY

c. RECEIVE, STORE, AND GENERATE CLASSIFIED

INFORMATION OR MATERIAL

d. FABRICATE, MODIFY, OR STORE CLASSIFIED HARDWARE

e. PERFORM SERVICES ONLY

f. HAVE ACCESS TO U.S. CLASSIFIED INFORMATION OUTSIDE

THE U.S.,PUERTO RICO, U.S. POSSESSIONS AND TRUST

TERRITORIES

g. BE AUTHORIZED TO USE THE SERVICES OF DEFENSE

TECHNICAL INFORMATION CENTER (DTIC) OR OTHER

SECONDARY DISTRIBUTION CENTER

h. REQUIRE A COMSEC ACCOUNT

i. HAVE A TEMPEST REQUIREMENT

j. HAVE OPERATIONS SECURITY (OPSEC) REQUIREMENTS

k. BE AUTHORIZED TO USE DEFENSE COURIER SERVICE

l. RECEIVE, STORE, OR GENERATE CONTROLLED UNCLASSIFIED

INFORMATION (CUI).

(DoD Components: refer to DoDM 5200.01, Volume 4 only for specific CUI protection requirements. Non-DoD Components: see instructions.)

m. OTHER (Specify) (See instructions.)

12. PUBLIC RELEASE

Any information (classified or unclassified) pertaining to this contract shall not be released for public dissemination except as provided by the National Industrial Security Program Operating Manual (NISPOM) or unless it has been approved for public release by appropriate U.S. Government authority.

Proposed public releases shall be submitted for review and approval prior to release to the appropriate government approval authority identified here with at least office and phone contact information and if available, an e-mail address. (See instructions)

DIRECT THROUGH (Specify below)

Transmissions by non-secure facsimile or E-mail is NOT authorized (by Prime or subcontractor(s))

Public Release Authority:

Submit ALL Public Releases to: PMA-226/1.3 Competency Code NAVAIR FORM 5720.10 must be completed and attached.

13. SECURITY GUIDANCE Add Signature Remove last Signature Delete All Signatures

The security classification guidance for classified information needed for this effort is identified below. If any difficulty is encountered in applying this guidance or if any other contributing factor indicates a need for changes in this guidance, the contractor is authorized and encouraged to provide recommended changes; to challenge the guidance or the classification assigned to any information or material furnished or generated under this contract;

and to submit any questions for interpretation of this guidance to the official identified below. Pending final decision, the information involved shall be handled and protected at the highest level of classification assigned or recommended.

(Fill in as appropriate for the classified effort. Attach, or forward under separate correspondence, any documents/guides/extracts referenced herein. The field will expand as text is added. When removing any expanded text area, use delete key or backspace key, then click out of the text field for it to shrink after the text has been deleted. Also allows for up to 6 internal reviewers to digitally sign. See instructions for additional guidance or use of the fillable PDF.)

Technical papers, briefings, presentations, either classified or unclassified to be presented at classified symposia must be submitted to AIR-7.4.1 for approval prior to presentation. Unclassified material submitted for public release (that is not to be presented at classified symposia) shall be forwarded for review prior to release as stated in item 12 above. All controlled unclassified and classified technical information shall be appropriately marked with distribution statements as specified in DoDI 5230.24 (Distribution Statements on Technical Documents) http://www.dtic.mil/whs/directives/corres/pdf/523024p.pdf.

Determination of need-to-know in connection with a classified visit is the responsibility of the individual/host who will disclose the classified information.

All contracts with non-Sensitive Compartmented Information and Non-Compartmented work that may reveal mission-related information of a sensitive activity or sensitive operation should be routed to the NAVAIR STILO for approval.

All instances of loss, compromise and electronic spillage of classified or controlled unclassified information shall be reported to the COR, PREVIOUS EDITION IS OBSOLETE. Page 3 of 5

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TPOC, and Government Security Office within 24 hours of the incident occurring.

10.a/11.h – Classified COMSEC material is not releasable to contractor employees who have not received a final security clearance at the appropriate level. Cryptologic keying materials and Controlled Cryptographic Items (CCI) are controlled by Department of the Navy, NISPOM, and National Security Agency (NSA) guidelines. The contractor shall be guided by NSA/CSS Policy Manual 3-16 in the control and protection of COMSEC material/information at their facilities. When access is required at Government facilities, contractor personnel will adhere to COMSEC rules and regulations as mandated by DoD 5520.22-M, EKMS 1 (series) and Command policy and procedures.

Written concurrence of the Technical Point of Contact identified in Block 16, or Contracting Officer Representative/Contracting Officer Representative for Security (as applicable) is required prior to subcontracting.

10e (2) – The contractor is authorized access to Non-SCI National Intelligence Information and/or Foreign Intelligence Information on behalf of Rebecca Ahne, NAVAIR Senior Intelligence Officer. A final security clearance at the appropriate level is required for access to Non-SCI National Intelligence Information and/or Foreign Intelligence information. Further security guidance for National Intelligence Information is stipulated in the attached NAVAIR Memorandum titled POLICY GOVERNING RELEASE OF INTELLIGENCE TO CONTRACTORS dated 06 NOVEMBER 2018.

10.g – A final security clearance at the appropriate level is required for access to NATO information. Written concurrence of the Technical Point of Contact/Contracting Officer Representative/ Contracting Officer Representative for Security (as applicable) is required prior to subcontracting.

10.h – Foreign Government Information (FGI) is not releasable to contractor employees who have not received a final security clearance at the appropriate level. Written concurrence of the Technical Point of Contact/Contracting Officer Representative identified in Block 16, or Contracting Officer Representative for Security (as applicable) is required prior to subcontracting.

10.j – Controlled Unclassified Information including For Official Use Only and Covered Defense Information (meeting the definition of 48 CFR 252.204–7012(a)) generated and/or provided under this contract shall be marked and safeguarded as specified in DoDM 5200.01 (DoD Information Security Program: Controlled Unclassified Information (CUI)) Vol. 4 (enclosure 3 pages 11-18) available at http:// www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001-V4p.pdf. Any product containing Covered Defense Information shall be assigned the appropriate distribution statement using the criteria set forth in DoDI 5230.24 (Distribution Statements on Technical Documents); and have this statement displayed per DoDI 5230.24, Enclosure 3-4.

All For Official Use Only (FOUO), Covered Defense Information (CDI), and program Controlled Unclassified Information (CUI) data transmitted and safeguarded via electronic means shall use approved encryption. The Contractor shall ensure that when transmitting FOUO/CDI, over non-secure e-mail (e.g. not connected to the Navy Marine Corps Intranet through Broadband Unclassified Remote Access System / Virtual Private network), those transmissions are encrypted using Department of Defense Public Key Infrastructure (PKI), or an approved DoD External Certificate Authority, in accordance with Public Key Infrastructure & Public Key Enabling, DoDI 8520.02, 24 May 2011.

10k -Use of Secure Terminal Equipment (STE) for transmission of classified U. S. Government information is authorized. Secure Facsimile: Receipt and transmission of Classified Information authorized via Secure Facsimile. Written concurrence of the Contracting Officer Representative/Technical Point of Contact, identified in Block 16, or Contracting Officer Representative for Security (as applicable), is required prior to subcontracting.

11.c- Information Systems (IS) shall be protected in accordance with DoDI 8510.01and/or per guidance in the DoD 5220.22-M, National Industrial Security Operating Manual (NISPOM).

Specific Security Classification Guidance (SCGs), to include subsequent upgrades/revision(s), applying to classified performance on this contract, shall be provided by the Contracting Officer Representative or Technical Point of Contact, identified in Blk 16, as Government Furnished Information (GFI); and shall be executed by the Contractor without obligation to modify this DD Form 254. If additional security classification is required, contact the COR identified in Blk 16d.

11.d-Contractor shall provide adequate storage at their facility for classified hardware. Classified shipments are not to exceed two cubic feet. Larger size shipments require prior coordination with the Facility Security Officer (FSO) to confirm facility storage capacity.

Preparation and transmission of material for shipment will be in accordance the DoD 5220.22-M, NISPOM, and the DoD 52001.01 V3, DoD Information Security Program Manual.

11.f –The contractor shall require access at various remote operating OCONUS bases in performance of this contract.

11.j – The contractor shall develop, implement, and maintain a facility level OPSEC Program to protect critical information to be used at the contractor facility during the performance of this contract. Contract data requirements list (CDRL) and data item description (DID-DI-

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MGMT-81999) are a component of the contract. A draft OPSEC Plan must be submitted to: Commander, Naval Air Systems Command, ATTN: PMA-226/1.3, Fleet Readiness Center (FRC) East, PSC Box 8026, Cherry Point, NC 28533-0021, within 90 days of contract award. A final OPSEC Plan is due 45 days from the date that the draft OPSEC Plan is approved. The Contractor shall be responsible for subcontractor implementation of the OPSEC Program requirements for this contract.

11.k – Contractor shall use the Defense Courier Service for delivery of all COMSEC information. The Contractor shall forward their USTRANSCOM IMT10 Defense Courier Account Record form to the COR/TPOC to verify clearances and sign Part II.

If additional security classification assistance is required, please contact the TPOC listed in block 16d.

************************************END DD254 ADDITIONAL DATA SHEET***************************************

List of Attachments [4] (All Files Must be Attached Prior to Signing, i.e., for any digital signature on the form)

Add Attachment View Selected Attachment Remove Selected Attachment

NAME & TITLE OF REVIEWING OFFICIAL

Kristine E Dennie-Young, Deputy SIO

SIGNATURE

14. ADDITIONAL SECURITY REQUIREMENTS

Requirements, in addition to NISPOM requirements for classified information, are established for this contract.

No Yes If Yes, identify the pertinent contractual clauses in the contract document itself, or provide an appropriate statement which identifies the additional requirements. Provide a copy of the requirements to the CSO. The field will expand as text is added or you can also use item 13. When removing any expanded text area, use delete key or backspace key, then click out of the text field for it to shrink after the text has been deleted.

(See instructions for additional guidance or use of the fillable PDF.)

OPSEC CDRL in contract

15. INSPECTIONS

Elements of this contract are outside the inspection responsibility of the CSO.

No Yes If Yes, explain and identify specific areas and government activity responsible for inspections. The field will expand as text is added or you can also use item

13. When removing any expanded text area, use delete key or backspace key, then click out of the text field for it to shrink after the text has been deleted.

(See instructions for additional guidance or use of the fillable PDF.)

16. GOVERNMENT CONTRACTING ACTIVITY (GCA) AND POINT OF CONTACT (POC)

a. GCA NAME

Naval Air Warfare Center Aircraft Division

b. ACTIVITY ADDRESS CODE (AAC) OF THE CONTRACTING OFFICE (See Instructions)

N00421

c. ADDRESS (Include ZIP Code)

FRC EAST

PSC Box 8026 Cherry Point, NC 28533-0021

d. POC NAME

Wendy McGrath

e. POC TELEPHONE (Include Area Code)

+1 (252) 466-4720

f. EMAIL ADDRESS (See Instructions) wendy.mcgrath@navy.mil

17. CERTIFICATION AND SIGNATURES

Security requirements stated herein are complete and adequate for safeguarding the classified information to be released or generated under this classified effort. All questions shall be referred to the official named below. Upon digitally signing Item 17h, no changes can be made as the form will be locked.

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a. TYPED NAME OF CERTIFYING OFFICIAL (Last, First, Middle Initial) (See Instructions)

Davis, Mark A

b. TITLE

Contracting Officer Representative For Security

c. ADDRESS (Include ZIP Code) Commander, Naval Air Warfare Center Aircraft Division Bldg. 2272, Rm. 074, Attn: 7.4.1 Security 47123 Buse Road, Patuxent River, MD 20670

d. AAC OF THE CONTRACTING OFFICE (See Instructions)

N00421

e. CAGE CODE OF THE PRIME CONTRACTOR

(See Instructions.)

N/A

f. TELEPHONE (Include Area Code)

+1 (301) 342-6045

g. EMAIL ADDRESS (See Instructions) mark.a.davis@navy.mil

h. SIGNATURE

i. DATE SIGNED (See Instructions)

18. REQUIRED DISTRIBUTION BY THE CERTIFYING OFFICIAL

a. CONTRACTOR

b. SUBCONTRACTOR

c. COGNIZANT SECURITY OFFICE FOR PRIME AND

SUBCONTRACTOR

d. U.S. ACTIVITY RESPONSIBLE FOR OVERSEAS SECURITY

ADMINISTRATION

e. ADMINISTRATIVE CONTRACTING OFFICER

f. OTHER AS NECESSARY (If more room is needed, continue in Item 13 or on additional page if necessary.)

Please See Item 13

NAVAIRINST 5720.10

NAVAIR 5720/1 REV. (08/2017) Page 1 of 2

PUBLIC RELEASE AUTHORIZATION REQUEST

Section 1 MATERIAL DESCRIPTION & PURPOSE

1. Requestor (Name/Position Title) 2. Company/Organization/Code

4. Telephone Number 5. Fax Number 6. E-mail Address

7. Work Address 8. Material Title

9. List all contributing organizations (Programs/Codes/Services) whose subject matter is discussed in this material

10. Information Category (Check all that apply) Brief Documents Press Release Thesis

Video Abstract Photo/Graphics/Display

Related Contract Number

Other (Specify)

11. Proposed Venue and Date(s), or Publication for which this material has been prepared

12. Does NAVAIR have primary release authority for this material?

If NO, you must identify and obtain Public Release Authorization from the command(s) contributing to this material.

NO

YES

Section 2 REQUESTOR I have reviewed all the applicable security classification guidance, contractual rights, MCTL, CPI list (if applicable) and other pertinent references related to this material. Based on my review, I have determined the material does not contain any classified, controlled unclassified, export controlled, trademarked or proprietary information and determined this material is suitable for public release. I have received release approval from other relevant organizations and am including documentation

c. Date Received d. Date Completed1. Print Name & Digitally Sign Below a. Organization b. Telephone Number

Tracking Number

Section 3 PRIMARY SPONSOR COMPETENCY ENDORSEMENT

c. Date Received d. Date Completed1. Primary Sponsor - Print Name & Digitally Sign Below a. Organization b. Telephone Number

I have reviewed all the applicable security classification guidance, contractual rights, MCTL, CPI list (if applicable) and other pertinent references related to this material. Based on my review, I have determined the material does not contain any classified, controlled unclassified, export controlled, trademarked or proprietary information and determined this material is suitable for public release.

Complete Sections 1 and 2 of this form. Submit to the appropriate Program Code point of contact to complete Sections 3 and 4. Upon authorization, the requestor and primary sponsor will receive notification stating the following: The "TITLE" material(s) submitted for public release has/have been approved. Distribution Statement A - Approved for public release; distribution is unlimited, as submitted under NAVAIR Public Release Authorization YY-(tracking number). Please retain the signed authorization for your records.

3. Desired Release Date

c. Date Received d. Date Completed2. Program Authorization - Print Name & Digitally Sign Below a. Organization b. Telephone Number

NAVAIR 5720/1 REV. (08/2017) Page 2 of 2

Section 3 (Cont.) SPECIAL INSTRUCTIONS OR ADDITIONAL REMARKS

Section 7 INFORMATION SECURITY APPROVAL I have reviewed and approve this material.

e. Comments

Section 4 LEGAL REVIEW (IF NEEDED) I have reviewed this material and verified the accuracy.

c. Date Received d. Date Completeda. Organization b. Telephone Number

Section 8 PUBLIC AFFAIRS APPROVAL I have reviewed and approved for public release.

c. Date Received d. Date Completed21. Print Name & Digitally Sign Below a. Organization b. Telephone Number

c. Date Received d. Date Completed20. Print Name & Digitally Sign Below a. Organization b. Telephone Number

17. Print Name & Digitally Sign Below

c. Date Received d. Date Completed18. Print Name & Digitally Sign Below a. Organization b. Telephone Number

Section 5 CONTRACT REVIEW (IF NEEDED) I have reviewed this material and verified the accuracy

Tracking Number

Recommend Legal Review Recommend Contract Review Recommend FMS Review

c. Date Received d. Date Completed19. Print Name & Digitally Sign Below a. Organization b. Telephone Number

Section 6 FMS APPROVAL (IF NEEDED) I have reviewed this material and verified the technical accuracy

NAVAIR 5720/1 REV. (08/2017)

Page of

PUBLIC RELEASE AUTHORIZATION REQUEST

Section 1 MATERIAL DESCRIPTION & PURPOSE

10. Information Category (Check all that apply)

12. Does NAVAIR have primary release authority for this material?

Section 2 REQUESTOR

I have reviewed all the applicable security classification guidance, contractual rights, MCTL, CPI list (if applicable) and other pertinent references related to this material. Based on my review, I have determined the material does not contain any classified, controlled unclassified, export controlled, trademarked or proprietary information and determined this material is suitable for public release. I have received release approval from other relevant organizations and am including documentation

Section 3 PRIMARY SPONSOR COMPETENCY ENDORSEMENT

I have reviewed all the applicable security classification guidance, contractual rights, MCTL, CPI list (if applicable) and other pertinent references related to this material. Based on my review, I have determined the material does not contain any classified, controlled unclassified, export controlled, trademarked or proprietary information and determined this material is suitable for public release.

Complete Sections 1 and 2 of this form. Submit to the appropriate Program Code point of contact to complete Sections 3 and 4. Upon authorization, the requestor and primary sponsor will receive notification stating the following: The "TITLE" material(s) submitted for public release has/have been approved. Distribution Statement A - Approved for public release; distribution is unlimited, as submitted under NAVAIR Public Release Authorization YY-(tracking number). Please retain the signed authorization for your records.

Section 3 (Cont.) SPECIAL INSTRUCTIONS OR ADDITIONAL REMARKS

Section 7 INFORMATION SECURITY APPROVAL I have reviewed and approve this material.

Section 4 LEGAL REVIEW (IF NEEDED) I have reviewed this material and verified the accuracy.

Section 8 PUBLIC AFFAIRS APPROVAL I have reviewed and approved for public release.

Section 5 CONTRACT REVIEW (IF NEEDED) I have reviewed this material and verified the accuracy

Section 6 FMS APPROVAL (IF NEEDED) I have reviewed this material and verified the technical accuracy

8.2.1.4029.1.523496.503679

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Fax:

Email:

Address:

Material_Title:

List:

Technical_Paper: 0

Presentation: 0

Abstract: 0

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DVD: 0

Brochure: 0

Graphics: 0

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Classified National Security Information Program for State, Local, Tribal and Private Sector Entities

Implementing Directive

February 2012

Department of Homeland Security Office of the Chief Security Officer

Washington, D.C. 20528

Janet Napolitano Secretary

Classified National Security Information Program for State, Local, Tribal, and Private Sector Entities Implementing Directive

Foreword

This directive is issued under the authority of Executive Order 13549, "Classified National Security Information Program for State, Local, Tribal, and Private Sector Entities."

The need to share actionable, timely, and relevant classified information among Federal, State, Local, Tribal, and Private Sector (SLTPS) partners in support of homeland security is self-evident. Equally evident is the need for a unified, consistent program for the application of standardized security processes and procedures for security clearance management and the safeguarding of classified information across the executive branch and in support of classified information sharing efforts with our partners in the SLTPS communities. To address these needs, on August 18, 2010, the President issued Executive Order 13549.

Under the authority of the Order, and through this implementing directive, a governance and oversight structure are put in place that will serve to instill and promote the uniform application of security standards within the executive branch and SLTPS communities while maintaining consistency with existing policies and standards as promulgated through statutes, executive orders, regulations, and other directives. This directive, which represents the combined and collaborative efforts of stakeholders within the Federal and SLTPS communities, will serve to lay a consistent security foundation across the information sharing enterprise and thereby further enhance the confidence necessary to support the sharing of classified information.

Users of this directive are encouraged to bring forth any concerns or questions with the guidance provided herein and recommend any changes that might improve the program. Communications on the directive can be addressed to:

State, Local, Tribal, and Private Sector Security Management Division

(SLTPS/SMD)

Washington D.C. 20528 Email: SLTPSSecurity@dhs.gov

Date: March 1, 2012

TABLE OF CONTENTS

CHAPTER 1, General Provisions and Requirements 5

1-100. Purpose 5 1-101. Authority 5 1-102. Scope 6 1-103. Responsibilities 6 1-104. Security Cognizance 8 1-105. Control of Information 8 1-106. State, Local, Tribal, and Private Sector Policy Advisory Committee 8 1-107. Directive Interpretations 9 1-108. Waivers to this Directive 9 1-109. Conflict Resolution 10 1-110. Security Liaison (SL) 10

CHAPTER 2, Personnel Security Clearances 11

2-101. General 11 2-102. SLTPS Positions Eligible for a Security Clearance 13 2-103. Processing SLTPS Security Clearances 14 2-104. Documenting and Tracking SLTPS Security Clearances 15

CHAPTER 3, Physical Security 16

3-101. General 16 3-102. Deployment of Secure Telephone Equipment (STE) 17 To Uncleared Private Sector Facilities 3-103. Criteria for Storage of Classified Information 18 3-104. Certification/Accreditation for Storage of Classified Information 22 3-105. Oversight and Inspection 22

CHAPTER 4, Access, Dissemination, and Safeguarding 24

4-101. General 24 4-102. Access 24 4-103. Dissemination 24 4-104. Safeguarding 25 4-105. Storage 28 4-106. Standards For Storage Equipment 28 4-107. Retention And Destruction 29 4-108. Mailing and Hand-carrying Classified Information 29

CHAPTER 5, Classification Management 33

5-101. General 33 5-102. Derivative Classification 33

5-103. Classification Challenges 35

CHAPTER 6, Security Training 37

6-101. General 37 6-102. Methodology 37 6-103. Roles And Responsibilities 37 6-104. Mandatory Training 38

CHAPTER 7, Security Incidents and Sanctions 41

7-101. General 41 7-102. Reportable Security Incidents 41 7-103. Other Reportable Occurrences 42 7-104. Sanctions 42

CHAPTER 8, Contracting for Classified Support 44

8-101. General 44 8-102. Applicability 44 8-103. Criteria 44 8-104. Limitations and Restrictions 45 8-105. Procedures 45

APPENDICES AND FORMS

Appendix 1: State, Local, Tribal Security Liaison Duties and Responsibilities Appendix 2: Multi-Use Security Survey Form for State, Local, Tribal and Private Sector Owned or Sponsored Activities or Equipment Appendix 3: State, Local, and Tribal (SLT) Security Construction Standard For Open Storage Areas Appendix 4: SLT Open Storage Survey Checklist Appendix 5: SLT Closed Storage Secure Video Teleconferencing Processing Area Survey Appendix 6: Request for Physical Storage and Associated Secure Capabilities at State, Local, or Tribal Facility Appendix 7: Security Standards Quick View Matrix Appendix 8: Sponsoring Federal Agency Agreement with State Contractor Appendix 9: Definitions

CHAPTER 1

General Provisions and Requirements

1-100. Purpose. This directive is issued in accordance with Executive Order 13549, “Classified National Security Information Program for State, Local, Tribal, and Private Sector Entities.”1 Its purpose is to instill uniformity and consistency in the application of security standards for state, local, tribal and private sector entities (SLTPS2) with whom classified information is shared and prescribes the processes and standards for providing access to and safeguarding of such information when shared with SLTPS entities.

1-101. Authority.

a. The Classified National Security Information Program for State, Local, Tribal, and Private Sector Entities, hereafter referred to as the SLTPS Program, was established by Executive Order (E.O.) 13549 to ensure that security standards governing access to and safeguarding of classified information shared with SLTPS entities are applied uniformly and consistently and in accordance with E.O. 13526 of December 29, 2009 (“Classified National Security Information”), E.O. 12968 of August 2, 1995, as amended (“Access to Classified Information”), E.O. 13467 of June 30, 2008 (“Reforming Processes Related to Suitability for Government Employment, Fitness for Contractor Employees, and Eligibility for Access to Classified National Security Information”), and E.O. 12829 of January 6, 1993, as amended, (“National Industrial Security Program”).

b. Pursuant to E.O. 13549., the National Security Advisor shall provide overall policy guidance for the SLTPS Program. The Secretary of Homeland Security is designated by the President as the Executive Agent (EA) for the SLTPS Program and shall implement and oversee its administration in consultation with the Director of the Information Security Oversight Office, the Director of the Office of Management and Budget, and the heads of affected agencies.

c. Further, the Secretary of Homeland Security is directed, pursuant to P.L. 111-258, “Reducing Over- Classification Act,” to designate a “Classified Information Advisory Officer,” who shall develop and administer training programs to assist SLTPS in developing plans and policies for communicating sensitive unclassified information3 to individuals who lack the appropriate security clearance, procedures for challenging the classification of information, and the means by which SLTPS personnel may apply for a security clearance.

1 As indicated in Appendix 9, Section EE, of this directive, “State” also includes U.S. Territories and the District of Columbia.

2 Throughout this directive, when referring to state, local, tribal, and private sector collectively the acronym is SLTPS. Where the acronym SLT is used alone it refers only to state, local and tribal. Where the acronym PS is used alone it refers only to private sector.

3 Pursuant to Executive Order 13556, “Controlled Unclassified Information (CUI),” and in accordance with implementing directives and implementation timelines to be issued by the CUI Executive Agent, CUI and its associated categories and subcategories will become, on a specific date yet to be determined, the exclusive designation for identifying unclassified information of a sensitive nature.

d. Nothing in this directive shall be construed to supersede or change the authorities of the Secretary of Energy or the Nuclear Regulatory Commission under the Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.); the Secretary of Defense under E.O. 12829, as amended; the Director of the Information Security Oversight Office under E.O. 13526 and E.O. 12829, as amended; the Attorney General under title 18 United States Code and the Foreign Intelligence Surveillance Act (50 U.S.C. 1801 et seq.); the Secretary of State under title 22, United States Code, and the Omnibus Diplomatic Security and Antiterrorism Act of 1986; or the Director of National Intelligence under the National Security Act of 1947, as amended, E.O. 12333, as amended, E.O. 12968, as amended, E.O. 13467, and E.O. 13526.

1-102. Scope.

a. This directive is applicable to all SLTPS personnel who have been sponsored for or granted a security clearance for access to classified information by a Federal agency under the SLTPS Program and each Federal agency that has or will sponsor an SLTPS individual for a security clearance and access to classified information. This directive is not applicable to PS personnel who have or will be granted a security clearance based on their employment or association with a company or other commercial entity that falls under the purview of E.O. 12829 and the National Industrial Security Program Operating Manual (NISPOM).

b. This directive is applicable to all SLT facilities owned or operated by an SLT entity where classified information is or will be physically stored, regardless of the media. Pursuant to E.O. 12829, as amended, the Secretary of Defense, or the cognizant security agency, shall provide program management, oversight, inspection, accreditation and monitoring of all PS facilities that physically store classified information.

c. Only to the extent that an action is not otherwise governed under E.O. 12829 and the NISPOM, this directive is also applicable to contractors, licensees, grantees and certificate holders performing on or who seek to perform on a contract or other legally binding instrument originated by and under the exclusive management and control of an SLT entity and whereby access to classified information by the contractor, licensee, grantee, or certificate holder is required in performance of the effort (See Chapter 8, Contracting for Classified Support). This directive shall only be applicable relative to the process and procedures for establishing a legally binding connection between the SLT entity, the contractor, and the Federal government that will allow the SLT entity to contract for classified support and the contractor to access classified information under the terms of the contract and under the cognizance of the National Industrial Security Program (NISP).

1-103. Responsibilities.

a. The Secretary of Homeland Security, as EA for the SLTPS Program, shall be responsible for:

(1) overall program management and oversight;

(2) accreditation, monitoring, and periodic inspection of all facilities owned or operated by SLT entities that have access to classified information, except when another agency has entered into an agreement with the Department of Homeland Security (DHS) to perform some or all of these functions;

(3) processing of security clearance applications by SLTPS personnel that are sponsored by DHS and, when requested by a sponsoring agency, processing the applications of the requesting sponsoring agency on a reimbursable basis unless otherwise determined by DHS and the sponsoring agency.

(4) documenting and tracking the final status of security clearances for all SLTPS personnel in consultation with the Office of Personnel Management (OPM), the Department of Defense (DOD), and the Office of the Director of National Intelligence (ODNI);

(5) developing and maintaining a security profile of SLT facilities that have access to classified information and making available to other agencies such information, upon request and as appropriate;

(6) developing training, in consultation with the SLTPS Policy Advisory Committee, for all SLTPS personnel who have been determined eligible for access to classified information, which shall cover the proper safeguarding of classified information and sanctions for unauthorized disclosure of classified information;

(7) issuing and maintaining this directive in consultation with affected executive departments and agencies, and with the concurrence of the Secretary of Defense, the Attorney General, the Director of National Intelligence, and the Director of the Information Security Oversight Office; and,

(8) designating an official to serve as the “Classified Information Advisory Officer” (CIAO), pursuant to P.L. 111-258, and notifying the Committee on Homeland Security and Governmental Affairs of the Senate and the Committee on Homeland Security of the House of Representatives, of the designation.

b. The head of each Federal agency that shares classified information with SLTPS entities shall:

(1) designate a senior official to direct and administer the agency's implementation and compliance with the SLTPS Program and provide designee contact information to the DHS, SLTPS Security Management Division (DHS SLTPS/SMD);

(2) ensure that agency implementing regulations, internal rules, and/or guidelines are consistent with this directive and updated as necessary;

(3) ensure that they or their designated senior official takes appropriate and prompt corrective action whenever a violation of this directive occurs;

(4) account each year for the costs within the agency associated with the implementation of this program. These costs shall be reported as directed by the Director of the Information Security Oversight Office (ISOO); and

(5) provide DHS SLTPS/SMD with applicable security clearance and other appropriate security records associated with SLTPS personnel and facilities. Such records shall be provided in a manner determined by the Secretary of Homeland Security or his/her designee.

c. SLTPS personnel with whom classified information is shared shall:

(1) safeguard all classified information to which they have knowledge or access in accordance with this directive and other applicable governing orders, regulations, and directives;

(2) execute agreements as cited in Section 3-101.e. of this directive, with DHS or other appropriate Federal agency, as applicable and in accordance with this directive, for the safeguarding of classified information stored at an SLT owned or operated facility and the acquisition and oversight of contractor services procured in support of a contract that includes access to classified information by contractor employees;

(3) complete security training as required by this directive; and,

(4) pursuant to Chapter 7 of this directive, immediately report any incident where classified information has been possibly compromised or disclosed to an unauthorized person.

1-104. Security Cognizance.

a. Each Federal agency that sponsors an SLTPS individual for the issuance of a security clearance and access to classified information shall maintain security cognizance over the individual in accordance with its respective procedures, to include application processing, investigation, adjudication, execution of a classified information non-disclosure agreement, training, continuing evaluation, and the determination of need-to-know requirements pursuant to E.O. 13526 and its implementing directives. An agency may transfer security cognizance to DHS upon execution of a written agreement between the agency and DHS. Such transfers shall be on a reimbursable basis unless determined otherwise by DHS and the applicable agency. Refer to Chapter 2, Personnel Security Clearances, for additional guidance.

b. DHS shall assume security cognizance of all SLT owned or operated facilities where classified information is stored; this cognizance shall include accreditation, monitoring, and periodic inspection.

An agency may retain security cognizance over such facilities that are under its exclusive sponsorship upon execution of a written agreement between the agency and DHS. Refer to Chapter 3, Physical Security, for additional guidance.

1-105. Control of Information.

a. Pursuant to section 892(e) of the Homeland Security Act of 2002 (6 U.S.C. 482(e)), as amended, all information provided to an SLTPS entity from a Federal agency shall remain under the control of the Federal Government. Any state or local law authorizing or requiring disclosure shall not apply to such information.

b. Information that is classified pursuant to E.O. 13526 or its predecessor or successor orders is the property of the U.S. Government and shall remain under the control of the Federal Government.

1-106. State, Local, Tribal, and Private Sector Policy Advisory Committee.

a. The SLTPS Policy Advisory Committee (Committee) is established as a forum to discuss SLTPS Program-related policy issues and make recommendations regarding the content of this directive;

consult on proposed changes to policies and procedures that will remove undue impediments to information sharing; and facilitate the resolution of disputes on matters governed by this directive.

b. The Committee shall be comprised of the following members: The Director, ISOO, who shall serve as Chair of the Committee; a DHS official designated by the Secretary of Homeland Security and a representative of SLTPS entities, who shall serve as Vice Chairs of the Committee; and representatives designated by the heads of the Departments of State, Defense, Justice, Transportation and Energy, the Nuclear Regulatory Commission (NRC), ODNI, the Central Intelligence Agency (CIA), and the Federal Bureau of Investigation (FBI). Additional members representing other agencies or SLTPS entities are appointed based on nomination by any Committee member and approval by the Chair.

c. The Committee is subject to the Federal Advisory Committee Act (FACA), the Freedom of Information Act (FOIA), and the Government in the Sunshine Act (GISA), and shall function in accordance with the charter and by-laws established as required for such Committees.

1-107. Directive Interpretations. All requests for interpretations of this directive, as well as questions, concerns, complaints, or other issues related to the Program, may be addressed to:

State, Local, Tribal, and Private Sector Security Management Division (SLTPS/SMD) Washington D.C. 20528

Email: SLTPSSecurity@dhs.gov

1-108. Waivers to this Directive.

a. SLTPS requests for waivers specific to the requirements cited in this directive and that are not governed by other orders, directives or regulations, shall be submitted through the applicable Federal agency sponsor to DHS SLTPS/SMD. The request shall specify in writing the reason why it is impractical or unreasonable to comply with the applicable requirement, the proposed duration for the waiver to remain in force, and appropriate alternative measures to achieve the same result as stipulated in this directive.

b. Federal agency requests for waivers specific to the requirements cited in this directive and that are not governed by other orders, directives or regulations, shall be submitted directly from the agency to the DHS SLTPS/SMD. The request shall specify in writing the reason why it is impractical or unreasonable to comply with the applicable requirement, the proposed duration for the waiver to remain in force, and appropriate alternative measures to achieve the same result as stipulated in this directive.

c. Where a waiver has a direct impact or association with the equities of other Federal agencies, DHS SLTPS/SMD shall coordinate approval of the waiver with the affected agencies.

d. Waivers from requirements governed by other orders, regulations or directives shall be processed in the manner prescribed by the applicable order, regulation, or directive. When such waivers affect the SLTPS Program as prescribed in this directive, the applicable agency shall first coordinate with DHS

SLTPS/SMD.

mailto:SLTPSSecurity@dhs.gov

1-109. Conflict Resolution.

a. Federal agencies that share classified information with SLTPS entities shall ensure that security processes and procedures prescribed in this directive and other applicable executive orders and regulations are applied to SLTPS entities in a uniform and consistent manner.

b. Any conflict arising between this directive and other orders, regulations, or directives, shall be resolved at the lowest level possible. Where resolution at a lower level is not possible it shall be referred to the DHS SLTPS/SMD, and if necessary and applicable, the CIAO, or the State, Local, Tribal, and Private Sector Policy Advisory Committee (PAC), which, pursuant to E.O. 13549, may act towards facilitating a resolution. If the matter cannot be resolved through the CIAO or the SLTPS PAC it shall be presented to the National Security Advisor or designee, for a final determination. Pending resolution of the conflict, the order, regulation, or directive with the most restrictive requirement shall be followed.

1-110. Security Liaison (SL). The senior-most SLT official with management and operational authority over each SLT owned or operated facility where classified information is or will be stored shall appoint, in writing, an SL. A copy of the SL appointment letter shall be provided to DHS SLTPS/SMD. The SL shall possess a security clearance at least equal to the level of classified information stored at the facility. The SL shall oversee and direct security measures necessary for implementing applicable requirements of this directive and related Federal requirements for classified information and shall complete security training as specified in Chapter 6, Security Training. Refer to Appendix 1, State, Local, Tribal Security Liaison Duties and Responsibilities, for a synopsis of SL responsibilities.

CHAPTER 2

Personnel Security Clearances

2-101. General.

a. Personnel Security Clearances (PCL) for SLTPS personnel shall be issued in accordance with this directive and consistent with the policies and procedures established pursuant to E.O. 12968, as amended, E.O. 13467, and Intelligence Community Directive (ICD) 704, “Personnel Security Standards and Procedures Governing Eligibility for Access to Sensitive Compartmented Information and Other Controlled Access Program Information,” as applicable, and their implementing directives.

b. A PCL and subsequent eligibility to access classified information is dependent upon the prior execution of a Standard Form (SF) 312, “Classified Information Non-disclosure Agreement,” or other approved non-disclosure agreement prescribed by ISOO or the Director of National Intelligence (DNI).

c. SLTPS personnel who are granted a security clearance shall comply with all reporting requirements and associated responsibilities that accompany the granting of access to classified information as required by statute, order, or regulation, and, the sponsoring Federal agency.

d. PCLs issued to SLTPS personnel shall be reciprocally accepted by all agencies and SLTPS entities.

e. PCLs may be issued to SLTPS personnel when the write-for-release principle that allows for the sanitization of classified information to the sensitive but unclassified level is inadequate to satisfy the effective integration of SLTPS personnel into a singular effort to protect the homeland. Those personnel selected for the granting of a security clearance shall have a demonstrated and foreseeable need for access to classified information and be in a position to capitalize on the value the classified information provides. In determining the need for the granting of a security clearance the following criteria shall apply:

1. The granting of security clearances shall be kept to the minimum necessary in support of mission activities where access to classified information by SLTPS personnel is essential to the national security.

2. Agencies shall take into consideration that pursuant to Executive Order 13526, under exigent circumstances classified information may be released by designated Federal officials to personnel who are not otherwise cleared for access. Therefore, the granting of a security clearance strictly in support of potential contingencies is not necessarily justified or warranted.

3. Security clearances shall not exceed the Secret level except in those situations where there is a demonstrated and foreseeable need and the person being considered for a higher level security clearance will perform a function as cited below.

(a) Top Secret security clearances may be granted on a case by case basis, when the person to whom the clearance is to be granted is officially designated and appointed as the State Homeland Security Advisor (HSA), or, the person will be an active and continuing participant in or…