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NASA Ball NASA
Procedural
Requirements
NPR 1600.3
Effective Date: May 31, 2012
Expiration Date: May 31, 2017
COMPLIANCE IS MANDATORY
Printable Format (PDF)

(NASA Only)

Subject: Personnel Security (Change 2, April 29, 2013)

Responsible Office: Office of Protective Services


| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | AppendixA | AppendixB | AppendixC | ALL |

Appendix A. Definitions

Access - The ability, opportunity, and authority to gain knowledge of classified information or gain authorized entry onto a NASA classified IT resource.

Adjudication - A fair and logical Agency determination, based upon established adjudicative guidelines and sufficient investigative information, as to whether or not an individual's access to classified information, suitability for employment with the U.S. Government, ability to perform work for or on behalf of the Government as a contractor employee or access to NASA facilities, information, or IT resources, is in the best interest of national security or efficiency of the Government.

Asset - A system, object, person, or any combination thereof that has importance or value; which includes contracts, facilities, property, records, unobligated or unexpended balances of appropriations, and other funds or resources.

Automated Record Checks (ARC) - A centralized and integrated set of IT services to request, collect, and validate electronically accessible, adjudicative-relevant data using the most efficient and cost-effective technology and methods available. ARC's are a lawfully acceptable replacement of legacy and non-automated record checks. Ultimately, ARC entails fully automatic machine-to-machine interaction to request, collect, and validate machine-readable data and inform subsequent steps in an end-to-end electronic case management system.

Center Chief of Security/Center Chief of Protective Services (CCS/CCPS) - The senior security official at a Center that is responsible for technical management of the Center security program.

Central Adjudication Facility (CAF) - Facility established at the OPS Security Management Division level responsible for adjudicating all requests for clearances to access CNSI.

Certification - A formal process used by the certifying official to ensure that an individual has met all established training requirements as necessary to perform their security responsibilities.

Classified Material - Any physical object on which is recorded, or in which is embodied, CNSI that shall be discerned by the study, analysis, observation, or other use of the object itself.

Classified National Security Information (CNSI) - Information that is protected against unauthorized disclosure and is marked to indicate its classified status when in documentary form.

Cohabitant - An individual with whom the applicant resides in a spouse-like relationship.

Compromise - The improper or unauthorized disclosure of or access to classified information.

Continuous Evaluation - Reviewing the background of an individual who has been determined to be eligible for access to classified information (including additional or new checks of commercial and Government databases and other lawfully available information) at any time during the period of eligibility to determine whether that individual continues to meet the requirements for eligibility for access to classified information

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

Core Duty - means a continuing responsibility that is of a particular importance to the relevant covered position or the achievement of an agency's mission.

Corroborate - Comparing information from any investigative source with that provided by the subject to confirm the information or identify discrepancies.

Covered Individual - A person who performs work for or on behalf of the executive branch, or seeks to perform work for or on behalf of the executive branch, but does not include the President or Vice President.

Covered Positions - These positions are as follows: position in the competitive service; positions in the excepted service where the incumbent can be noncompetitively converted to the competitive service, and career appointments to positions in the Senior Executive Service.

Credential - A Personal Identity Verification Card issued to an individual that contains stored biometric information so that the claimed identity of the cardholder can be verified against the stored information manually or by an automated process.

Critical Sensitive (CS) - One of the three levels for designating national security-related positions and the degree of risk involved. Includes any position involving access to Top Secret information; investigative requirements for this position are covered under National Security Directive 61.

Debarment - Official determination made in writing by the Center Director or Center Chief of Security that bars, for cause, an individual from accessing NASA property.

Denial - The adjudication that an individual's initial access to classified information would pose a risk to national security, after review procedures set forth in Executive Order 12968 have been exercised.

Electronic Questionnaires for Investigation Processing System (e-QIP) - A Web-based tool for self-reporting biographic details, declarations, clarifications, and mitigating information necessary to conduct investigations.

Enhanced Subject Interview - An in-depth discussion between a trained and certified investigator and the subject conducted as a required part of an investigation or to offer the subject an opportunity to explain, refute, or mitigate issue or discrepant information.

Excepted Service - those positions: (a) not in the competitive service, (b) not in the Career Senior Executive Service, and (c) not in the intelligence community unless covered by OPM appointing authorities.

Executive Order - Official documents, numbered consecutively, through which the President of the United States manages the operation of the Federal Government.

Federally Controlled Facility - has meaning prescribed in guidance pursuant to the Federal Information Security Management Act.

Fitness - The level of character and conduct determined necessary for an individual to perform work for or on behalf of a Federal agency as an employee in the excepted service (other than a position subject to suitability) or as a contractor employee

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

Foreign National - For the purpose of general security protection, considerations of national security, and access accountability: Any person who is not a citizen of the United States including lawful permanent resident (i.e., holders of green cards) or persons admitted with refugee status to the United States. See definition of Lawful Permanent Resident (LPR) in this chapter.

Formerly Restricted Data (FRD) - Information developed by the Department of Energy (DOE) related to national nuclear programs with strict access restrictions, "Restricted Data (RD)," but that has subsequently been downgraded to a lower level of control and accountability.

Immediate Family - The spouse, parents, siblings, children, and cohabitant of the subject. This includes any stepparents, half siblings and stepsiblings, and stepchildren of the subject.

Information Technology System (ITS) - An assembly of computer hardware, software, or firmware configured to collect, create, communicate, compute, disseminate, process, store, or control data or information.

Intelligence Community - The aggregate of the following executive branch organizations and agencies involved in intelligence activities: the Central Intelligence Agency; the National Security Agency; the Defense Intelligence Agency; offices within the Department of Defense for the collection of specialized national foreign intelligence through reconnaissance programs; the Bureau of Intelligence and Research of the Department of State; intelligence elements of the military services; the Federal Bureau of Investigation; the Department of Homeland Security; the Department of the Treasury; the Department of Energy; and staff elements of the Office of the Director of Central Intelligence.

Intergovernmental Personnel Act (IPA) - Individuals on temporary assignments between Federal agencies and state, local, and Indian Tribal Governments, institutions of higher education, and other eligible organizations.

Investigative Record - The official record of all data obtained on the subject from trusted information providers from suitability and/or security applications and questionnaires and any investigative activity conducted under Federal standards.

Lawful Permanent Resident (LPR) - Replaces the term "Permanent Resident Alien (PRA)" - A non-U.S. citizen, legally permitted to reside and work within the United States and issued the Resident Alien Identification (Green Card). LPRs are afforded all the rights and privileges of a U.S. citizen with the exception of voting, holding public office, employment in the Federal sector except for specific needs or under temporary appointments. (NOTE: LPRs are not prohibited from accessing export controlled commodities, but must still have a work related "need-to-know" and are still considered foreign nationals under immigration laws. LPRs shall be vetted, for credentials, exactly like a U.S. citizen.)

Logical Access - Access to federally controlled information systems and data.

NASA Employee - NASA civil service personnel.

National Security Positions - Positions that have the potential to cause damage to the national security. These positions require access to classified information and are designated by the level of potential damage to the national security:

a. Confidential - Information, the unauthorized disclosure of which reasonably could be expected to cause damage to national security that the Original Classification Authority (OCA) is able to identify or describe.

b. Secret - Information, the unauthorized disclosure of which reasonably could be expected to cause serious damage to national security that the OCA is able to identify or describe.

c. Top Secret - Information, the unauthorized disclosure of which reasonably could be expected to cause exceptionally grave damage to national security that the OCA is able to identify or describe.

Nondisclosure Agreement - Standard Form 312 (SF 312) is a non-disclosure agreement required under EO 13292 to be signed by employees of the U.S. Federal Government or one of its contractors when they are granted a security clearance for access to classified information. The form is issued by the Information Security Oversight Office of the National Archives and Records Administration and its title is "Classified Information Nondisclosure Agreement." SF 312 prohibits confirming or repeating classified information to unauthorized individuals, even if that information is already leaked. The SF 312 replaces the earlier forms SF 189 or the SF 189-A. Enforcement of SF-312 is limited to civil actions to enjoin disclosure or seek monetary damages and administrative sanctions, "including reprimand, suspension, demotion, or removal, in addition to the likely loss of the security clearance."

Periodic Reinvestigation (PRI) - The PRI consists of a National Agency Check, a credit search, a personal subject interview, selected record searches (for example, law enforcement, personnel security files, and official personnel files (OPF)). Coverage is for a 7-year period. A PRI is required for all high-risk positions.

Permanent Resident Alien (PRA) - A non-U.S. citizen, legally permitted to reside and work within the United States and issued the Resident Alien Identification (Green Card). PRA's shall be afforded all the rights and privileges of a U.S. citizen with the exception of voting, holding public office, employment in the Federal sector (except for specific needs or under temporary appointments), and access to CNSI. (NOTE: PRA's are not prohibited from accessing export controlled commodities, but must still have a work related "need-to-know" and are still considered foreign nationals under immigration laws. PRAs shall be vetted, for credentials, exactly like a U.S. citizen.)

Physical Access - Access to federally controlled facilities, other than on an occasion or intermittent basis.

Position Risk Designation - The assessment of the potential for adverse impact on the efficiency and integrity of the service and the degree to which, by the nature of the position, the occupant could bring about a material adverse effect on the national security.

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

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

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

Revocation - The removal of an individual's eligibility to access classified information based upon an adjudication that continued access to classified information poses a risk to national security and after review procedures.

Risk Acceptance - An official acknowledgement by management officials that they accept the risk posed by not implementing a recommendation, or requirement, designed to reduce or mitigate a risk.

Risk Assessment - The process of identifying internal and external threats and vulnerabilities, identifying the likelihood of an event arising from such threats or vulnerabilities, defining the critical functions necessary to continue an organization's operations, defining the controls in place or necessary to reduce exposure, and evaluating the cost for such controls.

Risk Management - A means for NASA management to implement select measures designed to reduce or mitigate known risks.

Security Clearance - A designation identifying an individual's highest level of allowable access to classified information, based upon a positive adjudication that the individual does not pose a risk to national security.

Security Violation - an act or action by an individual or individuals that is in conflict with NASA security policy or procedure such as a loss or compromise of CNSI, refusal to properly display NASA Photo-ID, violation of escort policy, or security area violations. (NOTE: Does not include incidents of criminal activity, theft, assault, DUI, and others.)

Senior Management Official - Agency or Center management personnel at Division Chief or higher level.

Sensitive Compartmented Information (SCI) - Classification level denoting information, generally intelligence related, requiring security clearances and physical/procedural security measures above those established for collateral classified information or SAP information.

Special Access Program (SAP) - Any program established and approved under Executive Order 12958 that imposes need-to-know or access controls beyond those normally required for access to collateral Confidential, Secret, or Top Secret information.

Suitability - Refers to identifiable character traits and past conduct which are sufficient to determine whether a given individual is or is not likely to be able to carry out the duties of a Federal job. Suitability is distinguishable from a person's ability to fulfill the qualification requirements of a job, as measured by experience, education, knowledge, skills, and abilities.

Suspension - The temporary removal of an individual's access to classified information, pending the completion of an investigation and final adjudication.

Trusted Information Provider - An authorized individual working for or on behalf of the Government who may contact references or otherwise corroborates or verifies subject data, such as citizenship, education, and former employment. These individuals may include Government and contract employees or military personnel, working in human resources or security offices, or equivalent organizations.

Unauthorized Disclosure - A communication or physical transfer of classified information to a recipient who does not have the appropriate credentials for access.

Verification - Validating at the actual source (an individual or place of record - such as employers, courts, law enforcement agencies - or their authorized repositories) the correctness and accuracy of information listed on the e-QIP/e-Application or provided by the subject or references to the trusted information provider.

Waiver - The approved continuance of a condition or process authorized by the AA, OPS, that varies from a mandatory requirement and implements risk management on the designated vulnerability being waived.



| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | AppendixA | AppendixB | AppendixC | ALL |
 
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