440.3 - National Security Information

2/15/91

OPR: Admin/Facilities and Management Services

1. Purpose. This chapter defines the policy for the national security information program and establishes policies and procedures in the U.S. Geological Survey (USGS) for safeguarding such information.

2. Authority.

A. Executive Order 12356, National Security Information.

B. Information Security Oversight Office, Directive No. 1, National Security Information.

C. Departmental Manual (442 DM), National Security Information.

3. Reference.

A. Memorandum of Understanding on the Security of Foreign Intelligence Furnished to the Department of the Interior by Member Agencies of the National Foreign Intelligence Board (NFIB).

B. Director of Central Intelligence Directive (DCID) No. 1/7, Control of Dissemination of Foreign Intelligence.

C. DCID No. 1/14, Minimum Personnel Security Standards and Procedures Governing Eligibility for Access to Sensitive Compartmented Information.

D. DCID No. 1/16, Security of Compartmented Computer Operations.

E. DCID No. 1/21, Manual for Physical Security Standards for Sensitive Compartmented Information Facilities.

F. Department of Energy (DOE) Order 5635.1A, Control of Classified Documents and Information.

G. Departmental Manual (443 DM), Industrial Security Program.

H. Department of Defense (DOD) Manual 5220.22-M, Industrial Security Manual for Safeguarding Classified Information.

I. DOD Regulation 5520.22-R, Industrial Security Regulation for Safeguarding Classified Information.

4. Definitions. A glossary of terms and definitions which relate to national security information is at Appendix A.

5. Policy.

A. Information classified under Executive Order 12356 and prior orders received by the USGS shall be handled and safeguarded in accordance with applicable national directives cited in paragraph 2.

B. Unnecessary access to classified information shall be prevented. A demonstrable need for access to classified information shall be established before initiating administrative clearance procedures, and the number of persons granted access to classified information shall be limited to the minimum consistent with operational and security requirements.

C. USGS participation in special access programs pursuant to the interagency agreement referenced in paragraph 3A shall be administered in accordance with the directives cited in paragraphs 3B through 3E.

6. Responsibilities. Specific areas of responsibility are as follows:

A. The Director is responsible for ensuring that classified information received by the USGS is safeguarded in conformance with national directives and for designating a USGS Security Officer and alternate to discharge these responsibilities.

B. Division Chiefs. The chief of each division, receiving classified information and materials, is responsible for:

(1) Ensuring that classified information requirements are carried out within their respective divisions; adequate resources are made available to implement and maintain the program; and responsible individuals focus adequately to assure non-security related

functions do not detract from their control functions.

(2) Designating, in writing, an appropriately cleared Division Security Officer and alternate responsible for implementing the national security information program.

(3) Designating, in writing, an appropriately cleared Top Secret Control Officer and alternate, if appropriate, as the sole point of receipt and control of Top Secret information.

(4) Designating, in writing, an appropriately cleared custodian and alternate custodian for each authorized Control Station for Secret and Confidential material.

(5) Designating, in writing, an appropriately cleared Special Security Officer (SSO) and alternate for each Cognizant Security Authority's accredited Sensitive Compartmented Information Facility (SCIF).

(6) Designating, in writing, an appropriately cleared Custodian, Foreign Intelligence Registry, and alternate for each SCIF.

C. The Chief, National Mapping Division. Designating in writing, an appropriately cleared Primary Security Officer, as established by reference 3A, to serve as the single point of contact for the coordination of all special access program operational activities within the USGS.

D. The USGS Security Officer, under the general supervision of the Chief, Office of Facilities and Management Services, Administrative Division, is responsible for:

(1) Providing staff coordination and oversight, and acts as bureau focal point for USGS national security information and special access programs.

(2) Representing USGS in dealings with other agencies on all national security information and special access matters.

(3) Publishing and maintaining bureauwide security management directives.

E. Division Security Officers are responsible for:

(1) Ensuring that an effective program is instituted for the safeguarding and accountability of classified material and that access to classified information is restricted to individuals having an appropriate security clearance and a need-to-know.

(2) Ensuring that division employees are aware of their responsibilities to safeguard and control classified documents and that employees who prepare and handle classified documents are given appropriate training in document control and accountability procedures.

(3) Ensuring that periodic inspections are conducted of each Division Top Secret Control Station, Classified Control Station, and Foreign Intelligence Registry in conjunction with the USGS Security Officer.

F. Special Security Officer (SSO).

(1) Administering the Special Access Program policies, controls, and procedures governing the Sensitive Compartmented Information (SCI) program of the assigned SCIF.

(2) Conducting an annual self-inspection of the Foreign Intelligence Registry to ensure compliance with applicable security policies and procedures.

G. Custodian, Foreign Intelligence Registry. The SSO, or a custodian under the supervision of a SSO, shall be responsible for the administration of all the requirements governing foreign intelligence materials and for control of the receipt and dissemination of intelligence materials.

H. Top Secret Control Officer.

(1) Receiving, dispatching, and maintaining accountability register of Top Secret material in an approved Top Secret Control Center.

(2) Conducting an annual self-inspection to ensure compliance with applicable security policies and procedures.

I. Custodian, Classified Control Station.

(1) Receiving, dispatching, and maintaining accountability register of Secret and Confidential material in an approved Classified Control Station.

(2) Conducting an annual self-inspection of the Classified Control Station to ensure compliance with applicable security policies and procedures.

J. Supervisors. Responsibility for the security of classified information rests with each supervisor to the same degree that the supervisor is charged with the functional responsibility for the organization unit. Supervisors shall ensure that classified material under the custody of their organization is handled in compliance with established security policies and procedures.

K. Individual. The basic responsibility for the security of classified information rests with each person having physical custody of the information, regardless of how obtained. It is the responsibility of the individual disseminating classified information to ensure the recipient of the classified information has the appropriate security clearance and need-to-know.

7. National Security Information Handbook. The USGS National Security Information Handbook, 440-3-H, supplements the provisions of the national directives cited in paragraphs 2 and 3A through 3I and establishes the procedures for the USGS National Security Information program.

8. Classified Projects Sponsored by Other Government Agencies. Classified projects undertaken by a USGS component for another Government agency may be carried out either under the security regulations of the sponsoring agency or this Survey Manual Chapter. Security measures to apply will be prescribed when the agreement or contract is made, and there will be no deviation from the agreement thereafter except with mutual consent of both the performing office and the sponsoring organization. A copy of any agreement or contract will be provided by the responsible project manager to the USGS Security Officer.

9. Special Access Programs. Within the USGS, the special access programs are directed by the USGS Security Officer and administered through the National Mapping Division Primary Security Officer and designated SSO's. The policy, controls, and procedures applicable to SCI security and personnel security are contained in references 3A through 3E and Chapter 10, USGS National Security Information Handbook 440-3-H.

10. Atomic Energy Material. Restricted Data (RD) and material designated as Formerly Restricted Data (FRD), in accordance with Public Law 83-703, Atomic Energy Act of August 30, 1954, as amended, shall be handled, protected, classified, downgraded, and declassified to conform with reference 3F.

11. Industrial Security Program. The DOD Industrial Security Program is administered by the Defense Investigative Service on behalf of all User Agencies, which by agreement includes the Department of the Interior (DOI). (See reference 3G.) The policies, practices, and procedures of the Industrial Security Program are contained in references 3H, 3I and Chapter 14, USGS National Security Information Handbook 440-3-H.

12. Automated Information Systems Processing. Special security measures are required before classified information can be stored, used, processed, or communicated by automatic data processing (ADP) systems or equipment. The USGS Security Officer in conjunction with the Information Resources Security Administrator, Information Systems Division, shall prescribe the required precautions and procedures to be followed prior to classified information being placed on ADP systems or equipment. See Chapter 11, USGS National Security Information Handbook 440-3-H.

13. Security Inspections/Evaluations. Recurring National Security Information program evaluations or inspections shall be conducted in each division receiving classified information and material. See Chapter 15, USGS National Security Information Handbook 440-3-H.

A. Program Evaluation. The USGS Security Officer shall conduct an annual program evaluation of each division's national security information program. A formal report shall be prepared and submitted to the appropriate division chief with a copy to the Chief, Division of Enforcement and Security Management (DESM), (DOI).

B. Security Inspections. The USGS Security Officer shall establish a program for recurring inspections of each Top Secret Control Station, Classified Material Control Station, and Foreign Intelligence Registry. A schedule of the activities to be inspected and the USGS or division security office responsible for conducting the inspection shall be coordinated with each Division Security Officer and annual notification provided to the appropriate regional manager by October 30. A formal report shall be prepared by the designated inspection official and submitted to the appropriate regional manager with copies provided to the Division Security Officer and USGS Security Officer.

C. Self-Inspections. Each Top Secret Control Officer, Classified Control Station Custodian, and SSO shall conduct an annual self-inspection of all security procedures applicable to their operation. A formal report shall be prepared and submitted to the appropriate manager, and copies provided to the Division Security Officer and USGS Security Officer.

14. Security Education. The Division Security Officer shall ensure that initial, refresher, and termination security briefings are conducted in accordance with Chapter 13, USGS National Security Information Handbook 440-3-H.

A. An employee who is approved for access to classified information must be briefed on the inherent responsibilities and proper procedures for handling national security information and must execute a Classified Information Nondisclosure Agreement, Standard Form 312 (SF 312), prior to the formal granting of a security clearance.

B. Annual refresher security briefing shall be made available to each employee with continuing access to classified information. Employees as a minimum shall attend refresher security training at least biennially.

C. Upon termination of the individual's security clearance, either by separation, transfer, or reassignment, each employee shall receive a security debriefing explaining the continuing responsibilities to protect the national security information to which the individual had access, and execute the SF 312 Debriefing Acknowledgement.

15. Administrative and Judicial Action.

A. Failure to comply with the provisions of this chapter or the USGS National Security Information Handbook 440-3-H can result in written notice of violation and other administrative remedy under the provision of Section 5.4 of Executive Order 12356. The Division Security Officer shall recommend administrative action with regard to any employee or contractor of USGS determined to have been responsible for any violation of these policies or procedures. Recommended disciplinary action for such violations shall be based on DM 752, Discipline and Adverse Actions. Where the action of an employee is also a violation of criminal statutes, the matter will be referred to the Office of Inspector General. Repeated violation actions by an employee or contractor that indicate a disregard for national security, as determined by the USGS Security Officer, can result in the administrative withdrawal of the individual's security clearance. See Chapter 9, USGS National Security Information Handbook 440-3-H for security violations and compromises procedures.

B. Knowing or willful violations of Executive Order 12356, shall be reported to the Director, Information Security Oversight Office, through the Chief, DESM, DOI, and the USGS Security Officer.

16. Reporting Requirement.

A. Any employee who discovers that a classified document is either missing, or subjected to unlawful disclosure or believed to be missing or subjected to unlawful disclosure must immediately report the discovery to the appropriate security officer.

B. Security officers, upon receiving a reported loss or unlawful disclosure, shall immediately provide the USGS Security Officer a report of the classification, subject matter, employee(s) and/or other individual(s) involved, assessment of damages, and the action initiated to conduct a preliminary investigation of the incident. A preliminary report shall be prepared and submitted within 24 hours in accordance with the provisions contained in Chapter 9, USGS National Security Information Handbook 440-3-H. The USGS Security Officer shall immediately relay the report to the Chief, DESM, DOI.

C. Reports indicated below shall be submitted by the Division Security Officers to the USGS Security Officer for consolidation and submission to the Chief, DESM, DOI, in accordance with the procedures contained in the USGS National Security Information Handbook 440-3-H:

(1) Classified Document Inventory (DOI-79-025) of all Top Secret, Secret, and Confidential documents shall be submitted semi-annually within four working days from the periods ending March 31 and September 30.

(2) Derivatively Classified Information. The number of derivatively classified documents generated (DOI-83-080) shall be reported annually by classification category within four working days from the period ending September 30.

(3) Agency Information Security Program Data, Standard Form 311. Division Security Officers shall establish a means within their respective organizations to retrieve the information required by the Information Security Oversight Office. SF-311 will be submitted annually within four working days from the period ending September 30.