NASA Procedural Requirements

NPR 1600.3A Effective Date: August 03, 2020 Expiration Date: August 03, 2025

Subject: Personnel Security

Responsible Office: Office of Protective Services

Chapter 1. Introduction

1.1 Overview

1.1.1 This NASA directive establishes the policies and high-level procedures used throughout NASA to achieve consistency in personnel security. Strong, personnel security processes and practices, adhering to Federal requirements and guidance, support a secure environment where trusted individuals are granted appropriate access to approved assets in order to conduct business.

1.1.2 Personnel security processes and practices include all the activities necessary to investigate and adjudicate personnel security investigations, including position designations, reinvestigation, and continuous evaluation.

1.1.3 Personnel security investigations (PSI), also referred to as investigations, are used to evaluate the character and conduct of all NASA workers to determine suitability for Government employment, fitness for contractor employees, and eligibility for access to Federal facilities, federally controlled information systems, and classified national security information (CNSI), and eligibility to hold a sensitive position.

1.2 Scope

1.2.1 The policies and procedures identified within this document define the approved processes for NASA to manage a personnel security program. The personnel security program includes all investigations and adjudications for determining eligibility for access to non-sensitive and sensitive assets.

1.2.2 NASA requirements for suitability are covered by NPR 3730.1, NASA Suitability Program.

1.3 Roles and Responsibilities

1.3.1 The NASA Administrator shall implement a comprehensive and effective personnel security program for the Agency.

1.3.2 The Assistant Administrator, Office of Protective Services (AA, OPS) shall:

a. Establish and maintain an efficient, comprehensive, and effective personnel security program and associated personnel security policy, in accordance with Federal standards consistent with current personnel security/fitness policies, procedural requirements, and guidelines as established by the Office of the Director of National Intelligence (ODNI), and the Office of Personnel Management (OPM).

b. Serve as the Agency Advocate for the investigative and adjudicative systems of record.

c. Approve pre-appointment waivers for persons to occupy sensitive positions pending final investigation and adjudication.

1.3.3 The Director, OPS Security Management Division (OPS/SMD) shall:

a. Serve as the Agency administrator and primary point of contact to OPM and ODNI.

b. Execute the personnel security program established by the AA, OPS.

c. Oversee the suitability determinations for first-time NASA civil service employees occupying a sensitive position.

d. Oversee the fitness determinations of all NASA contractors.

e. Oversee the physical and logical access determinations of all NASA workers.

f. Manage and oversee the Agency capability for determining eligibility for access to CNSI and/or to occupy a sensitive position.

g. Review and assess Center compliance with personnel security requirements established in this policy through functional reviews and/or audits of Center personnel security programs.

1.3.4 The Office of the Chief Human Capital Officer (OCHCO) shall:

a. Establish policies and oversee activities related to determining risk and sensitivity for all NASA civil service employees.

b. Establish policies and oversee activities related to determining suitability for NASA civil service employees occupying low-risk and public trust positions.

c. Cooperate with security officials during security inquiries and investigations pertaining to the requirements of this policy.

1.3.5 The NASA Management Office (NMO) Director shall perform the role of Center Director at JPL for the purposes of this NPR.

1.3.6 Center Directors shall ensure full Center compliance with the provisions set forth in this NPR.

1.3.7 The Center Chief of Security (CCS)/Center Chief of Protective Services (CCPS) shall:

a. Oversee the personnel security program at their Center.

b. Designate a Federal civil service employee with a favorably adjudicated PSI to serve in the role of Program Manager for the investigative and adjudicative systems of record.

c. Ensure adjudications for credentialing is performed by senior personnel security specialists who have been trained and certified in accordance with Federal training standards.

1.3.8 Personnel Security Specialists shall:

a. Process and submit all PSI requests electronically using the investigative questionnaire system of record.

b. Ensure that a check of investigative and adjudicative systems of record are performed to validate any prior investigation or adjudication that will meet reciprocity standards before initiating a PSI.

c. Maintain close coordination with the investigative service provider (ISP) and process requests for PSIs.

d. Perform adjudications for credentialing, suitability, fitness, and access to CNSI.

e. Initiate requests for access to CNSI and/or to occupy a sensitive position for NASA workers under their jurisdiction.

f. Notify the Director, OPS/SMD, or designee, of any adverse information regarding any NASA workers at the Center that have access to CNSI or occupy a sensitive position.

g. Recommend suspension of a NASA worker’s eligibility for access to CNSI and/or to hold a sensitive position based on developed disqualifying adverse information, as detailed in this NPR.

h. Perform an annual review of NASA workers with access to CNSI and access requirements to ensure Center personnel security access needs are properly managed. The CCS/CCPS will develop and implement local procedures necessary to ensure the review is conducted.

i. In cooperation with OCHCO Resource Specialists, determine the risk and sensitivity of all positions requiring eligibility for access to CNSI.

j. Refer all developed adverse information for NASA civil service employees to OCHCO personnel for review.

k. Conduct National Criminal History Checks (NCHC) and other local records checks or automated record checks.

l. In cooperation with OCHCO, conduct local records checks or automated record checks to clarify, expand, or mitigate information that has been provided by the investigation provider or a Department of Justice, National Crime Information Center (NCIC) query, when requested.

m. Maintain, in accordance with the Privacy Act of 1974, 5 U.S.C. § 552a and existing NASA system of records, personnel security files on all investigated personnel.

n. Review reports with officials in the review process who make the determination relative to continued access or revocation of access privileges.

o. Inform all investigated personnel of their rights to request, in compliance with the Freedom of Information Act, 5 U.S.C. § 552 any documents, records, and reports upon which an investigation was conducted.

1.3.9 National Security Adjudicators shall:

a. Ensure that a check of investigative and adjudicative systems of record are performed to validate any prior investigation or adjudication that will meet reciprocity standards before initiating a PSI.

b. Maintain close coordination with the ISP and process requests for PSIs.

c. Process requests for access to CNSI for all NASA workers.

d. Determine suitability for NASA civil service employees occupying sensitive positions.

e. Perform adjudications to determine eligibility for access to CNSI and/or to occupy a sensitive position.

f. Suspend, revoke, or deny a NASA worker’s eligibility for access to CNSI and/or to occupy a sensitive position.

g. Maintain, in accordance with the Pub. L. 93-579 and existing NASA system of records, personnel security files on all personnel with access to CNSI and/or who occupy a sensitive position.

h. Coordinate and communicate with Center personnel security specialists regarding civil servant eligibility for access to CNSI.

1.3.10 Managers and supervisors shall ensure full compliance with the requirements established in this policy and OCHCO policy for suitability.

1.3.11 The NASA General Counsel or the Chief Counsel of each Center shall provide legal counsel as required within this policy.

1.3.12 Contract Management Officials (Contractor Management, Contracting Officer (CO), Contracting Officer’s Representative (COR), and Project Managers) shall:

a. Ensure full compliance with the requirements established in this policy.

b. Coordinate with the CCS/CCPS for the designation of risk and sensitivity, and the onboarding of contractor employees.

1.4 Violations of Security Requirements

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

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