# Presentation: 223687

## 2006 Security Awareness 
Special Interest Group
 (SASIG) Workshop 

Charleston, South Carolina
April 18-20, 2006

***Special Interest Group***
*** ******(SASIG) Workshop****** ***
*** ***
***Charleston, South Carolina***
***April 18-20, 2006***

## Office of Security and Safety Performance Assurance

**Office of Security **
**and Safety**
**Performance Assurance**

- SP-1

**Office of**
**Resource **
**Management**

- SP-1.2

- SP-1

**National**
**Training Center**

- SP-10

**Office Of**
**Security Training**
**Operations**

**Office of**
**Safety Training**
**Operations**

- SP-11

- SP-12

**Office of**
**Security**
**Operations**

- SP-20

- SP-21

**Office of**
**Headquarters**
**Security **
**Operations**

**Office of**
**Technology and**
**Field Assistance**

**Office of**
**Independent**
**Oversight**

**Office of**
**Classification**

**Office of**
**Security Policy**

**Office of**
**Material Control**
**and **
**Accountability**

- SP-30

- SP-31

- SP-32

**Office of**
**Technology**

**Office of**
**Field **
**Assistance**

- SP-40

- SP-41

- SP-42

- SP-43

- SP-44

**Office of**
**Security**
**Evaluations**

**Office of**
**Cyber Security**
**and**
**Special Reviews**

**Office of**
**Emergency**
**Management**
**Oversight**

- SP-50

- SP-51

- SP-52

- SP-53

**Office of**
**Quality**
**Management**

**Office of**
**Technical**
**Guidance**

**Office of**
**Document**
**Reviews**

- SP-60

- SP-61

- SP-22

**Office of**
**Personnel**
**Security**

**Office of**
**Policy**

- SP-70

- SP-62

**Office of**
**Foreign Visits**
**and Assignments**
**and FOCI**

- SP-23

**Office of**
**Special**
**Operations**

**Deputy Director**

- SP-1.21

**Office of**
**Business Operations**

**Office of**
**Mission Operations**

**Office of**
**Human Resources**
**and Administration**

- SP-1.22

- SP-1.23

- SP-1

**Congressional Liaison and Outreach Program Office**

** ****Director**

**Office of**
**Environment,**
**Safety and Health**
**Evaluations**

***Office of Security and Safety Performance Assurance***

## Office of Security and Safety Performance Assurance

- Safeguards and SecurityPolicies and Programs  - Technology Development  - Executive Protection  - Control of Nuclear Materials     and Classified Information  - Foreign Visits & Assignments  - Continuity of Operations  - Technical AssistanceIndependent Oversight of  - Safeguards and Security  - Cyber Security  - Emergency Management  - Environment, Safety, and Health

**Secretary of Energy**

- Deputy Secretary

- Under Secretary for
- Nuclear Security /
- NNSA

- Under Secretary for
- Energy, Science &
- Environment

- Defense Programs

- Defense Nuclear
- Nonproliferation

- Counter-Terrorism

- Emergency Operations

- Power Marketing
- Administrations

- Assistant Secretary
- Environment, Safety
- and Health

- Intelligence

- Environmental
- Management

- Fossil Energy

- Science

- Energy Efficiency &
- Renewable Energy

- Nuclear Energy,
- Science &
- Technology

- Civilian
- Radioactive Waste
- Management

***Office of Security and Safety Performance Assurance***

## Inspection Scope 

**Topical Areas Covered:**
-   **Program Management**
**  ****Physical Security Systems**
**  ****Protective Force Program**
**  ****Personnel Security**
**  ****Classified Matter Protection and Control**
**  ****Classification and Information Control**
**  ****Material Control and Accountability**
**  ****Cyber Security (Classified & Unclassified)**

## Inspection Scope (Cont’d) 

**Assess Progress Since Last Inspection**
**Evaluate Key Management Processes**
** **Program Direction
-  Threat Assessment
-  Risk Management
-  Readiness Assurance
-  Feedback and Improvement

## Inspection Approach

**Data Collection**
- Interview Managers, Staff, and Other Program Implementers
- Review Program Documents
- Conduct Performance Testing
**Validate (Daily) and Analyze Data **
**Report Writing**
**Factual Accuracy Review**
**Corrective Action Plan Review and Feedback**

## Site Inspection Sequencing

**On-Site**
**GTN**

***Site Inspection Sequencing***

**Report Finalized**

**Site Comment Period**

** ****Performance Testing/Report Writing/   Closeout Activities **

**Week 1**

**Planning/Data Collection/Performance Test Coordination**

** ****Weeks 7 & 8**

**Weeks 5 & 6 **

**Weeks 3 & 4**

**Week 2**

**Data Collection**

## Personnel Security Scope 

**Site Security Awareness Program (SSAP)**
**Personnel Security Clearance (PSC)**
**Foreign Visitors and Assignees (FV&A)**
**Human Reliability Program (HRP)**

## Personnel SecurityInspection Approach

_**SSAP**_
**Assess the Quality of Training, to Include:**
- Attend and Assess Briefing Presentations
- Evaluate Use of Supplemental Awareness Materials
- Tracking of Who Gets Briefed and When
**Conduct Performance Testing:**
- Administer a Security Awareness Questionnaire
- Check Removal of Terminated Employees from Access Control Systems
- Compare DOE Central Personnel Clearance Index (CPCI) Records with Site Termination Data
- Compare Badge Issuance Dates with Clearance Grant Dates and Completion of Security Briefings

## Personnel SecurityInspection Approach

_**PSC**_
**Assess Screening and Analysis Functions**
- Use of Pre-Employment Checks, as Required
**Review Caseloads and Impact**
- Assess the Adjudication Process
**Evaluate Timeframes Required to Process Cases**
**Assess Staff Size and Knowledge**

## Personnel SecurityInspection Approach

_**PSC (Cont’d)**_
**Assess Reporting of Information of Personnel Security Interest**
**Conduct Performance Testing**
- Review Randomly Selected Personnel Security Files (PSF) to Determine:
**Duties Justify Type of Clearance Requested/Granted**
**Initial Screening and Clearance (Grant) Notification are Completed Within 7 Days of Receipt (Clear Cases)**
**Appropriate Documentation Exists to Justify Clearance Suspension**

## Personnel SecurityInspection Approach

_**FV&A**_
**Evaluate Process Used to Request and Approve Visits and Assignments**
**Assess Host and Escort Training Programs**
**Evaluate Content and Adequacy of Generic and Specific Security Plans**
**Assess Site’s Ability to Assure Adherence to Security Plans**
**Conduct Performance Testing:**
**Randomly Select Files to Ensure All Required Actions are Documented**
**Determine if DOE Foreign Access Central Tracking System (FACTS) is Being Used Properly**
**Conduct Walk-Downs of Areas Wherein Foreign Visitors are Assigned and Assess Adequacy of Protection Measures**

## Personnel SecurityInspection Approach

_**HRP**_
**Assess Site Procedures to Identify HRP Positions**
**Evaluate Certification, Re-certification, Removal, and Reinstatement Processes **
**Assess the Site HRP Training Program **
**Evaluate the Drug/Alcohol Testing Programs, to Include:**
- Site Actions in Response to Positive Test Results
- Randomness, Unpredictability, and Non-Discriminatory Nature of Testing
- Specimen Handling Procedures and Testing Facilities

## Personnel SecurityInspection Approach

_**HRP (Cont’d)**_
**Conduct Performance Testing:**
- Observe and Evaluate Drug and Alcohol Tests
- Administer a Knowledge Questionnaire to Drug and Alcohol Testing Technicians
- Administer Knowledge Tests to HRP Incumbents and Supervisors

## SSAP

**Positive Attributes**
- Content and Presentation of Awareness Briefings
- Use of Supplemental Materials
- Individuals Knowledgeable of Security Responsibilities
**Areas Needing Attention**
- Proper Completion of DOE Forms 5631.29, Security Termination Statement
- Timely Retrieval of Badges of Terminated Employees
- Timely Completion of Annual Security Refresher Briefings** **

## PSC

**Positive Attributes**
- Clearance Processing Staff
- Timeliness and Accuracy of Requests
- Clearance Justifications
**Areas Needing Attention**
- Thoroughness of Pre-Employment Checks
- Reporting of Information of Personnel Security Interest

## FV&A

**Positive Attributes**
- Request and Approval Processes Effective
- Documentation of Visits /Assignments
**Areas Needing Attention**
- Specificity of Security Plans
- Control of Foreign National Visitors After Hours

## HRP

**Positive Attributes**
- Key Personnel Committed
- Documentation of Critical Processes
- Incumbents and Supervisors Knowledgeable
**Areas Needing Attention**
- Enrollment of Individuals with Recurring Access to Category I SNM
- Temporary Removals
- Randomness and Unpredictability of Drug/Alcohol Testing Selections

## In Closing

**Attributes Observed in Effective Site**
**Personnel Security Programs**
- Continuously Assess Their Work
- Streamline Their Processes
- Automate as Much as Possible
- Communicate Effectively Internally
**Independent Oversight Augmentee Program**

***“******We appreciate this technical exchange.”***

## Questions?