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1 Defence Security Manual DSM Part 2:41 Security for Projects and Capability Planning Version 3 ation date July 2015 Amendment list 24 Optimised for Screen; Print; Screen Reader Releasable to Compliance Requirements Defence personnel are, and external service providers subject to the terms and conditions of their contract may be, bound by security policy contained in the DSM and Information Security Manual (ISM). Failure to comply with the mandatory requirements of the DSM and ISM may result in action under the relevant contract provision or legislation including, but not limited to; the Defence Force Discipline Act 1982, the Service Act 1999, and the Crimes Act Mandatory requirements in the DSM and ISM are identified through the use of the terms must / must not and should / should not. Compliance with these requirements is mandatory unless the appropriate authority, if applicable, has considered the justification for non-compliance and accepted the associated risk through the granting of a dispensation. The terms recommend and may are used to denote a sensible security practice and noncompliance need not be approved or documented. Note: Non-compliance with a sensible security practice ought to be informed by sound risk management principles. The DSM compliance regime, including the authority to approve non-compliance with mandatory requirements, the use of dispensation indicators, and how to apply for a dispensation is detailed in DSM Part 2:1 Dispensations. Copyright Commonwealth of Australia 2010 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the Department of Defence. Requests and inquiries concerning reproduction and rights should be addressed to Defence Publishing Services, Department of Defence.
2 Introduction 1. Major, minor, infrastructure and services projects and Systems Project Offices (SPO) carry significant security responsibilities. Failure to adequately protect official information and any capability that is acquired or supported, both during the project phase and on the introduction into service of any new capability, has security and financial consequences for Defence. Failure to consider and forecast security requirements throughout the capability lifecycle, including assessing the security impacts on all Fundamental Inputs to Capability (FIC), could lead to: a. systemic security failings between support organisations and capability managers; b. project delays; c. increased security risk; and d. increased costs due to remediation activities. 2. Project managers and SPO need to incorporate security planning into project activities and the delivered capability lifecycle. This planning must also incorporate the expenditure required to deliver appropriate security measures; see the Defence Capability Development Manual for more information. 3. While the focus of this part is largely on capability, minor and infrastructure projects, many of the concepts should be implemented as good security practice for all Defence projects. 4. The purpose of Defence Security Manual (DSM) Part 2:41 is to detail security policy for projects and project management to ensure the protection of official information, assets and capability throughout the project and on introduction into service of new capabilities delivered by the project. Policy 5. Project managers are to establish measures to protect official information and resources commensurate with the sensitivity of the project information and systems and the associated security risks. 6. Projects and SPO that acquire, sustain or deliver capability are to plan for, and coordinate the implementation of, appropriate security measures across all FIC throughout the capability lifecycle. Project Security Planning Process 7. The project security planning process is used to identify and document the relevant security authorities, standards, specifications, procedures and practices necessary to comply with Defence security policy during the project. 8. This process is based on a risk management approach (for further information refer to DSM Part 2:2 Security Risk Management and Planning) and is maintained throughout the project lifecycle. For major capital projects, security risk will be recorded in the project s risk register in accordance with Capability Development Group and Defence Materiel Organisation business processes for managing risk. For smaller projects, security risks can be recorded in a separate register. A security plan for the project is developed from this process. Note: Security risk management and planning is an integral part of all Defence business. For projects, there are many planning approaches that can assist, ranging from the conduct of formal risk DSM Part 2:41 Page 2 of 12
3 assessments through to stakeholder engagement aimed at identifying the security problems that a smaller project will encounter. 9. The security planning process must be undertaken for: a. all major and minor acquisitions conducted under the Defence Capability Plan; b. any infrastructure project involving the establishment of new Defence facilities or major renovations and associated physical works to the Defence estate; c. collaborative engagements between industry and allies, including: (1) joint ventures; (2) research and development; and (3) services and support outsourcing arrangements. 10. The security planning processes are recommended for all other Defence projects. Project Security Working Group 11. The project manager must establish a Project Security Working Group (PSWG) for major capital projects, infrastructure projects involving new Defence facilities and major renovations to the Defence estate. A PSWG should be raised for minor capital and collaborative projects. 12. The PSWG is chaired by the project manager or their delegate. While the composition of each PSWG will depend on the project, membership can comprise representation from: a. the Defence Security and Vetting Service (DS&VS); b. the Service Security Authority (SSA); c. CIOG (COMSEC and Defence Information Environment architects); d. ICT and physical certification and accreditation authorities; e. business process owners and those who share project security risk; f. the Defence Support and Reform Group, particularly where there are extensive changes to the Defence estate; g. the Base Support Manager or Senior Australian Defence Force Officer at bases that house related facilities and assets; and h. contractor(s), when selected. Project Planning 13. Project security costs must be identified and resourced throughout the project. Where a project is acquiring or maintaining capability, security costs must be identified for all FIC through all stages of the capability system life cycle. Considering these costs early in project planning allows for more accurate costing and scheduling of important project security activity, including, but not limited to: a. project office and contractor security arrangements, including: DSM Part 2:41 Page 3 of 12
4 (1) gaining facility or ICT system accreditation; and (2) identifying the requirement for staff or external service providers to obtain personnel security clearances or DISP membership as appropriate; and b. asset and capability security lifecycle costs, including: (1) in-service security costs such as additional security clearances, physical security infrastructure and enhanced guarding requirements on introduction to service; and (2) disposal costs such as the destruction of security classified equipment or sanitisation of ICT resources prior to resale or disposal. 14. Where a PSWG is established, the minutes and other documentation produced by the group (such as agreements, security risk management plans) must be documented. Note: Good record keeping is essential for maintaining project security. It is particularly important that security related decisions and assumptions are documented and accessible when required. Failing to maintain good records may lead to failures of security and accountability and can often increase security costs as the original basis for a security treatment changes over the life of a project. This is particularly true for larger and more complex projects. Project Security Reviews 15. Project security reviews are to be conducted throughout the project. The purpose of a project security review is to confirm that security documentation is current and that all security risks are identified and appropriately treated. Regardless of the size or complexity of a project, the project s security related documentation must be updated regularly so that it is relevant to the project s activities. 16. For capital and intelligence projects, the project manager must conduct project security reviews at least annually, and in accordance with the following schedule: a. before first pass approval; b. during first pass if capability risk mitigation activities are being held, for example, a major trial; c. during second pass at least annually or: (1) prior to tender documentation being released; and (2) on acceptance of the preferred solution in order to identify any security implications of the proposed solution, including costing of security impacts, in preparation for contract negotiations; d. during the acquisition phase in order to ensure the implementation of agreed security measures by project managers and external service providers; e. immediately prior to the transition into service phase in order to ensure that capability owners have adequate security in place to take delivery; and f. prior to the disposal phase to ensure the secure disposal of classified resources and the return of all official information and assets from external service providers. 17. For research and projects other than major or minor capital projects and intelligence projects, the project managers: DSM Part 2:41 Page 4 of 12
5 a. should conduct a project security review of security risks and relevant project documentation prior to project approval in order to: (1) confirm compliance with security policy; (2) ensure adequate risk mitigation strategies are in place; and (3) confirm that security costs have been included in the project design and delivery. b. must conduct project security reviews at least annually after project approval. Note: For smaller projects a project security review may entail the development of a series of exploratory questions to determine levels of security preparedness (eg, Is classified infrastructure required? ; Are there enough security cleared staff available? ; Does the project have the room to store all of the documents it will be producing? ). Security Activities by Project Phase Project Initiation (Pre-First Pass) Phase 18. A security risk assessment should be conducted during the project initiation and planning stage in order to ensure that security costs are included in the design planning for the project and the introduction into service of the planned capability. 19. During the project initiation phase, the following security aspects should be addressed: a. classification of the existence of the project; b. security of project management activities; c. identification of the project; d. who is involved; e. where and how the project will be managed and/or developed; f. the requirement for secure communications capability between project stakeholders; g. schedule of security related activities such as accreditation of facilities and ICT systems; and h. the security of the capability to be acquired, including transition into service, in-service support and disposal. Note: This information may start out generically and be tailored as the project moves towards later acquisition phases. 20. For all major and minor projects, the project manager must provide to DS&VS the following security documents for approval: a. PID (the PID template on the Defence Security Portal is recommended for use); b. Security Classification and Categorisation Guide (SCCG) (the format of the SCCG can be sourced from DS&VS Security Operations - Projects and must be used; and Note: Projects acquiring assets which already have a Security Classification Guide provided by the vendor nation may incorporate it into the Australian SCCG as an annex. DS&VS is to be consulted in this instance. DSM Part 2:41 Page 5 of 12
6 c. PSI (the PSI template on the Defence Security Portal must be used). Exclusion: For projects with an Australian resident project team overseas, or which operate under a Bilateral or Multinational Cooperative Defence Program or Project Arrangement, the PSI template on the Defence Security Portal must be used. 21. For Defence intelligence agencies projects, the documents listed in a Project Identification Document (PID), SCCG and Program/Project Security Instruction (PSI) must be approved by Deputy Secretary Intelligence and Security, the head of the relevant intelligence agency or its senior management committee. 22. Project managers are to contact DS&VS for advice regarding projects with overseas components to ensure compliance with any international obligations. 23. Where the project has staff located overseas (eg as part of a Resident Project Team), a separate PSI covering the overseas components must be produced using the template on the Defence Security Portal. 24. Security classifications and Business Impact Levels are applied to the systems, sub-systems, components and project information via the SCCG (for further information refer to DSM Part 2:7 Business Impact Levels). The measures that are needed to protect the information and assets are then identified and documented in the PSI. 25. Research projects and projects other than capital and intelligence projects, are not required to submit any of the above documentation to DS&VS; however, the project manager must develop a SCCG if the project involves: a. a significant scientific breakthrough with implications for national security; b. a designated high technology area of research; or c. commercial sensitivities, including: (1) a development unique to Australia that might have marketing potential; (2) individuals or organisations outside of Defence, such as academic or commercial research and development specialists; and (3) a patent application. 26. Project managers are responsible for the production of security documentation. DS&VS can provide assistance in its development. Project Initiation (First Pass to Second Pass) Phase 27. During this phase the following security aspects are considered: a. trials and risk mitigation activities; b. tendering and tender response activities (including security requirements related to the release of project-specific official and classified information); and c. where multiple capability solutions are being compared, security aspects are considered for each solution: (1) solution specific risks, including capability risks and any shared risks introduced by a proposed solution; and (2) associated security costs. DSM Part 2:41 Page 6 of 12
7 28. Where a project involves trials and testing, a security plan covering these elements should be developed. 29. Where testing of equipment is conducted, the classification of information relating to the performance of equipment must be reviewed after the activity. This is because the achieved performance may be different from the performance anticipated at the beginning of the project and this may, in turn, affect the appropriate level of classification. 30. If changes are made during the second pass approval phase or during negotiations, the PID must be resubmitted to DS&VS before contract signature. Acquisition (or Development) Phase 31. DSM Part 2:40 Procurement addresses many security issues that projects will encounter during this phase. Immediately prior to the transition into service phase, the scheduled security review is to be conducted. The focus of this review is to ensure that capability owners have adequate security in place to take delivery. It is important that SCCG are reviewed prior to the introduction into service as this document will be used by the recipients of the capability to determine security for the delivered solution. Transition into Service Phase 32. During this phase, project managers are to monitor and review the security aspects of in-service support and, in conjunction with the capability users, regularly review SCCG to ensure adequate protection measures remain in place. In-Service Phase 33. During the in-service phase, the project office will either assume responsibility for logistics security and maintenance security of the delivered capability, or the project will be complete. Security procedures for the logistics security and maintenance security functions will require regular review to ensure that they remain effective. 34. Immediately prior to the disposal or project closure phase, the scheduled security review is to be conducted. The focus of this review is to ensure that classified material, including both assets and information, is correctly disposed of. Issues to consider are: a. security-protected assets are transferred, sanitised or destroyed as appropriate; b. appropriate security arrangements, including disposal arrangements for security-protected assets and classified information, are accepted by the capability manager responsible for the inservice operation of the delivered capability; c. the project s official and classified information is archived; and d. external service providers associated with the project have returned all official information to Defence or have destroyed it. Disposal Phase 35. During the disposal phase, the project will monitor the disposal and transfer of information and security-protected assets. Project Closure 36. During the project closure phase, project managers must: DSM Part 2:41 Page 7 of 12
8 a. review the project s security performance and provide a report to DS&VS, noting any outstanding security issues as well as any lessons learned during the conduct of the project; and b. confirm that in-service support agencies have appropriate security arrangements in place to enable compliance with applicable parts of the DSM. Roles and Responsibilities First Assistant Secretary Security and Vetting Service 37. The First Assistant Secretary Security and Vetting Service (FAS S&VS) is responsible for: a. providing protective security advice to project managers and security officers; b. registering PID; c. registering SCCG to ensure that assets and information will be protected throughout the entire capability lifecycle; and d. approving PSI to ensure that all project security requirements have been adequately considered and addressed. Group Heads and Service Chiefs 38. Group Heads and Service Chiefs are responsible for: a. the security of all projects managed by their respective Groups and Services; and b. the appointment of project managers who are responsible and accountable for a project s security. Note: It is recommended that commanders and managers who hold project management responsibilities have this formally identified in their performance agreements. Chief Defence Scientist 39. The Chief Defence Scientist (CDS) is responsible for the development of security policies and procedures to be applied to protect the research programmes and associated collaborative activities undertaken by Defence Science Technology Organisation (DSTO). Chief Information Officer 40. The Chief Information Officer (CIO) is, where appropriate, responsible for: a. providing ICT and Communications Security (COMSEC) advice to project managers and security officers; and b. reviewing SCCG and PSI to ensure that all ICT security and COMSEC recommendations have been adequately considered and addressed. Service Security Authorities 41. SSA are responsible for the provision of advice regarding project security compliance requirements for minor single service projects for their respective Services. DSM Part 2:41 Page 8 of 12
9 Project Manager 42. The project manager is responsible for: a. the security of all aspects of the project, including managing the security risk associated with the project; Note: External service providers, including DISP members, cannot accept security risks on behalf of the Commonwealth. Therefore, if DISP members or other external service providers are engaged, the project manager, via their contract manager, retains responsibility for managing all outsourced risks. b. ensuring that protective security requirements are considered and budgeted for throughout the project, including the consideration of security requirements associated with the capability to be delivered by the project prior to the introduction into service of the delivered capability; Note: Where a project is acquiring assets or building infrastructure, the project manager is responsible for security requirements planning and any related expenditure throughout the entire lifecycle of the assets or infrastructure. c. advising DS&VS of the nature of larger projects and anticipated security impacts so that DS&VS may provide advice; d. advising the Chief Information Officer Group (CIOG) of the nature of larger projects (with significant ICT infrastructure or accreditation requirements), and description of the ICT and COMSEC aspects of the project so that CIOG may provide advice; e. appointing a project security officer for large or sensitive projects; f. ensuring that facilities and ICT systems used by the project to store, process or communicate official or classified information or material are accredited prior to use in accordance with DSM Part 2:4 Facilities and ICT Systems Security Accreditation; g. ensuring that appropriate security classification guidance is available to all personnel associated with the project. To ensure proper coordination of all security matters within a project, the project manager is to determine the relevant Group or Service security authority for the project; h. ensuring compliance with Defence security policy within their project; and i. reviewing all security documentation, appointments and arrangements to ensure the ongoing security of the project, prior to commencement of the project. Systems Project Office Managers 43. In addition to the responsibilities of project managers, in respect of the capability that the SPO supports, the SPO manager is responsible for coordinating the implementation of common security measures across the FIC. Security Officers 44. Security officers may assist their project manager with the necessary administrative actions to enable compliance with this DSM part. This may include providing the project manager with security advice and support related to: a. the development, maintenance and review of project security documentation; DSM Part 2:41 Page 9 of 12
10 b. the determination of the project s ICT and physical accreditation requirements, refer to DSM Part 2:4 Facilities and ICT Systems Security Accreditation; and c. the need for secure communications capability between project stakeholders (for further information regarding the requirement for secure communications, refer to DSM Part 2:30 Classification and Protection of Official Information). 45. For small project teams, the project manager may fulfil the role of security officer for a project. Example: Capability Development Group projects prior to first pass approval. Defence Special Access Program Project Managers 46. Project managers responsible for Defence projects that include SAP activities are to maintain the special security requirements applicable to the SAP framework. DI(G) ADMIN 62-1 assigns responsibilities and prescribes security procedures for implementation and use in the management, administration and oversight of all Defence SAP. Project Security Working Group 47. The PSWG role is to provide a stakeholder forum that can advise the project manager on security matters. Whilst the chair may raise any security matters with the PSWG, such forums are useful for: a. developing and approving project security instructions that meet stakeholders needs; b. coordinating concurrent security activities across multiple projects and areas; c. identifying security risks and treatments; d. identifying security costs, including security costs and resources that will be required of areas outside the project manager s control; and e. engaging with accreditation authorities. Key Definitions 48. Project. A management environment that is created for the purpose of delivering one or more business products according to a specified business case. 49. Project manager. The person who holds responsibility for the project at that point in time. At some stages of a project, a project manager may not have been formally appointed. In this instance, the responsibilities of the project manager are performed by the person delegated day-to-day responsibility for the project activities. 50. Resident project teams. Defence personnel or external service providers based overseas with foreign prime contractors on Defence acquisition projects. 51. Capability. The power to achieve a desired operational effect in a nominated environment, within a specified time, and to sustain that effect for a designated period. Capability is generated by FIC comprising organisation, personnel, collective training, major systems, supplies, facilities, support, command and management. 52. Project Identification Document (PID). A document that provides information about the project or project phase. It indicates the anticipated level of protectively marked information and/or assets to be protected, in-country and overseas industry involvement, and likely ICT connectivity requirements. DSM Part 2:41 Page 10 of 12
11 53. Security Classification and Categorisation Guide (SCCG) 1. A document that records the security classification and Business Impact Level (BIL) given to each element of a project or asset. 54. Program/Project Security Instruction (PSI). A document that outlines how identified program/project security measures will be applied to the project. 55. Special Access Program (SAP). A high security, capability protection framework that imposes needto-know and access controls beyond those normally provided for access to PROTECTED, CONFIDENTIAL, SECRET, or TOP SECRET information. The level of controls is based on the criticality of the program to the Defence mission and the assessed hostile intelligence threat. The program may be an acquisition program, an intelligence program, or an operations and support program. Further Definitions 56. Further definitions for common DSM terms can be found in the Glossary. 1 SCCGs were previously known as Security Classification Grading Documents (SCGD). DSM Part 2:41 Page 11 of 12
12 Annexes and Attachments N/A This part currently has no annexes or attachments. DSM Part 2:41 Page 12 of 12