Procedural
Requirements
Effective Date: August 03, 2020
Expiration Date: August 03, 2025
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NASA Procedural Requirements |
NPR 1600.3A Effective Date: August 03, 2020 Expiration Date: August 03, 2025 |
| | TOC | Preface | Chapter1 | Chapter2 | Chapter3 | AppendixA | AppendixB | AppendixC | ALL | |
3.1.1 The personnel security program will ensure that only loyal, trustworthy, and reliable people are granted access to CNSI or assigned to sensitive positions.
3.1.2 All NASA civil service employees occupying a sensitive position are investigated and adjudicated for eligibility to hold a sensitive position, consistent with Federal requirements.
3.1.3 All NASA employees requiring initial or continuing access to CNSI are investigated and adjudicated for eligibility to access CNSI, consistent with Federal requirements.
3.1.4 NASA contractors requiring access to CNSI will be processed in accordance with NPR 1600.2 and the requirements of E.O. 12829, the National Industrial Security Program Operating Manual (NISPOM) and NISPOM Supplement.
3.1.5 Foreign nationals requiring access to CNSI will be processed in accordance with NPR 1600.2 and the requirements of DOD Manual 5220.22, Vol. 2.
3.1.6 All NASA workers requiring access to Sensitive Compartmented Information (SCI) will be processed in accordance with this policy and NPR 1600.2.
3.1.7 OPS shall implement an annual revalidation of access to CNSI whereby personnel who have not had the need to access CNSI during the previous year will be given serious consideration for administrative withdrawal of their eligibility for access to CNSI as determined by supervisors during the revalidation process.
3.1.8 No individual will be given access to CNSI or assigned to a sensitive position unless a favorable eligibility determination has been made.
3.1.9 The NASA Central Adjudication Facility (CAF), in coordination with security office personnel and supervisors and OCHCO, shall make employment suitability determinations for individuals entering the Federal workforce and holding a sensitive position.
3.1.10 Subjects of adjudications are notified when an interim or final eligibility decision has been made, or reciprocity of an existing adjudication has been accepted.
3.1.11 Subjects of adjudications, including denial and revocation, may refute any information developed during the investigation process that may result in an ineligibility for access to CNSI.
3.1.12 Requests for access to CNSI will result in an adjudicative determination unless, unrelated to any potential adjudication factor, the need for access no longer exists (e.g., change of position, termination of employment, etc.).
3.1.13 The policies and procedures for suspension, denial, and revocation are not to be confused with the procedures for the removal of a NASA worker on national security grounds as set forth in 5 U.S.C. § 7532, Suspension and Removal. OPS will coordinate with OCHCO to pursue the removal of a NASA worker on national security grounds regardless of the NASA worker’s position sensitivity or access to CNSI.
3.2.1 Reciprocity will follow the requirements established in section 2.8, Reciprocity of Investigations and Adjudications.
3.2.2 Reciprocity will be granted in accordance with SEAD-7.
3.3.1 Adjudications follow all relevant Federal policies and regulations, including but not limited to the Security Executive Agent Directive (SEAD) 4.
3.3.2 Adjudications are fully documented and recorded in the subject’s security file and entered into the adjudicative system of record.
3.3.3 All reasonable efforts will be pursued to develop potential issue information, as well as potentially favorable or mitigating information.
3.3.4 Adjudications will be made by certified national security adjudicators in accordance with National Security Adjudication Standards.
3.3.5 Adjudications for first-time access are performed on closed investigations commensurate with the required access.
3.3.6 Adjudications will be evaluated continuously against all new information obtained subsequent to the initial national security adjudication and in compliance with Federal standards.
3.4.1 The AA, OPS, or designee, shall make all suspension determinations.
3.4.2 The CCS/CCPS shall propose suspensions of security clearances to the NASA CAF for cause based on developed adverse information.
3.4.3 The AA, OPS, or designee, shall make a final determination after consultation with the NASA CAF and the Office of the General Counsel (OGC).
3.4.4 The AA, OPS, or designee, shall suspend an individual’s security clearance when information is developed that suggests the individual’s continued access to CNSI is not in the interest of national security.
3.4.5 The subject of a suspension does not need to be provided with a reason or reasons for the suspension and will be notified.
3.4.6 Suspensions should not be open-ended. Every effort should be expended to complete subsequent investigations and adjudications as soon as practical. All suspension actions should be resolved as soon as practical from the date of the suspension.
3.4.7 Suspension of an individual’s access to CNSI allows the Agency sufficient time to investigate and adjudicate information that may affect the individual’s eligibility for access to CNSI.
3.4.8 The subject of a suspension will not be entitled to review procedures.
3.4.9 The NASA CAF shall determine whether to reinstate or revoke the clearance upon receipt of information containing documented facts relating to the suspension. Revocations will follow the requirements in section 3.5, Denial or Revocation.
3.5.1 In the event of a denial or revocation, the subject is entitled to obtain a review of the decision.
3.5.2 Only the AA, OPS, or designee, shall make a denial or revocation determination.
3.5.3 In the event of an unfavorable adjudication action, the NASA CAF shall propose documented reasons in a Letter of Intent (LOI) to deny or revoke eligibility for access to CNSI and/or to hold a sensitive position.
3.5.4 The Director, Security Management Division (DSMD), shall review the proposed unfavorable adjudicative action by CAF personnel and:
a. Remand the case for further work; or
b. Uphold the proposed adjudication of the information, and in consultation with the Office of the Inspector General (OIG), provide written notice to the subject of the denial or revocation through an OPS designee.
3.5.5 The employee shall acknowledge receipt of the LOI and respond within the time specified in the LOI or request an extension, if warranted. If the subject provides new information for consideration, the NASA CAF will review the new information provided. The NASA CAF will make a recommendation to the DSMD whether access to CNSI should be reinstated, revoked, or denied. If inadequate or no information is provided or no response is provided within the specified time allowed, the NASA CAF will continue with the denial or revocation process. Upon completion of the process, the subject will be notified by the DSMD of a final decision in a Letter of Notification (LON). The letter is served through the OPS designee.
3.5.6 The employee may request an appeal of the initial determination by the DSMD within the timeframe specified in the LON. The employee may submit an appeal in writing or request an in person or virtual hearing by the AA, OPS. The subject may seek private legal representation. The AA, OPS shall review the initial determination (LON or Revocation) and any information submitted by the subject on appeal. The AA, OPS shall ensure that the rights of the subject are protected and due process is accorded. The AA, OPS will document the process by means of a written summary, recording, or similar record, which will be made a part of the subject’s security record.
3.5.7 If the AA, OPS provides a notice of denial or revocation and the subject subsequently requests an appeal by a Security Adjudication Review Panel (SARP), the NASA Administrator, or designee, will appoint that body. The panel will be composed of three NASA civil service employees who have demonstrated reliability and objectivity in their official duties. Panel members will have a favorable Tier 5, and only one of the panel members may be a security professional. If use of a NASA security professional is not appropriate, a security expert from outside the Agency may be used on the panel. The subject may submit a written appeal to the SARP or they may choose to appeal in-person or virtually to the SARP. Any personal appearance before the SARP will be documented by means of a written summary or recording which will be made a part of the subject’s security record.
3.5.8 Prior to finalizing the SARP determination, a SARP panel member or the AA, OPS may refer the SARP proposed decision to the Administrator, or designee, for an additional level of review. If no referral is made to the Administrator, the SARP decision is final. If there is a referral to the Administrator, the Administrator’s decision is the final Agency decision.
3.5.8.1 Protecting Whistleblowers with Access to Classified Information.
3.5.8.1.1 Any allegations made by an employee in accordance with PPD-19 shall be forwarded to the OIG for review, under procedures as the OIG may separately prescribe. The employee may request an external review by a three-member Inspector General panel, which may be granted per PPD-19, section C in the sole discretion of the Inspector General of the Intelligence Community. The NASA Administrator, or designee, shall carefully consider the findings of and actions recommended by any external review panel.
3.5.8.1.2 In his sole discretion, the AA, OPS may await the review of the employee’s case prior to making a determination or may suspend or revoke the employee’s eligibility for access to CNSI and/or to hold a sensitive position pending a report by the NASA OIG or the external review panel. Any report provided will be considered by the AA, OPS, including consideration of reinstating a revoked or suspended eligibility for access to CNSI and/or to hold a sensitive position.
3.5.9 Upon determination that a revocation or denial has been upheld, the case will be referred to OCHCO for NASA civil servants.
3.6.1 All cleared individuals are subject to a continuous evaluation of their qualifications to meet the high standards of conduct expected of persons in sensitive positions.
3.6.2 Persons subject to a prior favorable personnel security determination who demonstrate behavior that places doubt on their loyalty, reliability, or trustworthiness or otherwise disqualifies that individual for continued access and/or eligibility will be subject to further scrutiny and possible suspension of access to CNSI.
3.6.3 OPS shall conduct fact finding of any reports of disqualifying conduct. Depending on the adverse impact to national security, an individual’s eligibility for access to CNSI and/or to occupy a sensitive position may be suspended for cause. A periodic assessment or other PSI to support the assessment of the NASA worker’s continued eligibility for access to CNSI and/or to occupy a sensitive position may be requested. The NASA CAF will determine if the individual continues to be eligible for access to CNSI and/or to occupy a sensitive position.
3.6.4 Foreign travel and contacts, both official and unofficial, are reported and tracked in accordance with NPR 1600.2.
3.6.5 Foreign travel and contacts, both official and unofficial, will be reviewed by the NASA CAF as part of the continuous evaluation program.
3.6.6 Information developed during the continuous evaluation process may not be shared with the Center OCHCO or management while the evaluation is pending. The AA, OPS, or designee, may override this principle, if, in their judgment, the information suggests that the subject poses an immediate and serious threat to the health or safety of other individuals, is a threat to a critical mission, or shall otherwise be ineligible for or lose continuation of Federal employment.
3.7.1 Candidates for access to SCI will occupy a position designated as special-sensitive.
3.7.2 Candidates for access to SCI will have a favorably adjudicated Top Secret (TS) investigation.
3.7.3 The NASA CAF shall manage and submit to the cognizant security authority all information required to make a determination of eligibility for access to SCI.
3.8.1 One-time access determinations will only be granted by the NASA CAF in accordance with Federal guidelines.
3.8.2 One-time access determinations will only be granted to individuals whose expertise offers specialized and important benefit and value to NASA.
3.8.3 One-time access determinations may be issued for up to one year.
3.8.4 Extensions will not be granted for one-time access determinations.
3.8.5 One-time access determinations will only be granted to U.S. citizens.
3.8.6 The NASA CAF shall maintain all records related to one-time access determinations.
3.9.1 Temporary access (also referred to as interim access) to CNSI will only be granted by the AA, OPS, or designee, in accordance with Federal guidelines.
3.9.2 Temporary access will only be granted during exceptional circumstances when official functions are performed, including meeting mission readiness requirements.
3.9.3 Temporary access will remain valid until the exceptional circumstances have abated, the access is no longer needed, the access is terminated, and/or the final eligibility is granted.
3.9.4 Temporary access will not exceed one year unless approved by the AA, OPS, or designee. Justification for approved temporary access exceeding one year will be recorded and maintained by the granting agency.
3.9.5 Temporary access will only be granted to U.S. citizens.
3.9.6 The NASA CAF shall maintain all records related to temporary access.
3.10.1 Access to RD and FRD requires clearance by the Department of Energy (DOE) or the Nuclear Regulatory Commission (NRC).
3.10.2 If such access is required solely for the performance of service for another agency, that agency will initiate the required investigation. The NASA CAF shall assist the other agency in obtaining and providing the required security documents.
3.10.3 When access to RD or FRD is required in the performance of NASA duties, a request for DOE access will be submitted in IdMAX and processed by the NASA CAF.
3.10.4 The NASA CAF shall report the granting of access to RD and FRD to the DSMD and the RD Management Official.
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