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Department of Defense

DIRECTIVE

NUMBER 5105.42

May 13, 1999

Certified Current as of November 21, 2003




DA&M

SUBJECT:  Defense Security Service (DSS)

References: (a)  Title 10, United States Code

(b)  DoD Directive 5105.42, "Defense Investigative Service (DIS)," June 14, 1985 (hereby canceled)

(c)  DoD Directive 5210.79, "Defense Personnel Security Research Center (PERSEREC)," July 9, 1992 (hereby canceled)

(d)  DoD Directive 5200.32, "Department of Defense Security Countermeasures (SCM) and Polygraph Education, Training, and Program Support," February 26, 1996 (hereby canceled)

(e)  through (o), see enclosure 1

1.  REISSUANCE AND PURPOSE

Pursuant to the authority vested in the Secretary of Defense by Section 113 and Chapter 8 of reference (a), this Directive redesignates the Defense Investigative Service as the Defense Security Service (DSS); assigns authority, direction, and control over the DSS to the Assistant Secretary of Defense for Command, Control, Communications, and Intelligence (ASD(C3I)); replaces references (b),  (c), and (d); and prescribes the DSS mission, organization and management, responsibilities, functions, relationships, and authorities.

2.  APPLICABILITY

This Directive applies to the Office of the Secretary of Defense, the Military Departments, the Chairman of the Joint Chiefs of Staff, the Combatant Commands, the Office of the Inspector General of the Department of Defense (IG, DoD), the Defense Agencies, and the DoD Field Activities (hereafter referred to collectively as "the DoD Components").

3.  MISSION

The DSS provides the Secretary of Defense, the DoD Components, other Federal Government Defense contractors, and other authorized recipients, with a full range of security support services, as permitted by law and Executive order.

4.  ORGANIZATION AND MANAGEMENT

The DSS is established as a Defense Agency of the Department of Defense.  The ASD(C3I) exercises authority, direction, and control over the DSS pursuant to Section 192 of reference (a).  The DSS shall consist of a Director and such subordinate organizational elements as are established by the Director, DSS, within the resources authorized by the Secretary of Defense.

5.  RESPONSIBILITIES AND FUNCTIONS

The DSS is responsible for personnel security investigations.  The DSS is also responsible for industrial security management; automated systems security; polygraph research, education, training, and examinations; and security research, education, and training.  In the exercise of these responsibilities, the Director, DSS, shall:

5.1.  Organize, direct, and manage the DSS and all assigned resources.

5.2.  Establish standards and procedures for certification and accreditation of DSS personnel assigned to perform personnel security investigative and industrial security duties.

5.3.  Provide for the training of DoD and other U.S. Government personnel, employees of U.S. Government contractors, and employees of selected foreign governments in the areas of industrial security, personnel security investigations, and information security.

5.4.  Provide for counterintelligence awareness training to the DoD-cleared contractor community.

5.5.  Program, budget, account for, and report the activities of the DSS in accordance with the policies and procedures established by the Secretary of Defense.

5.6.  Arrange, conduct, and participate in meetings, seminars, and conferences with industry, industrial and professional associations, international organizations, foreign governments, and the Department of Defense and other U.S. Government Agencies concerning all aspects of security functions cited herein.

5.7.  Conduct security education and training and provide professional development support services for the DoD Components, DoD contractors, and other Federal Agencies.

5.8.  Provide, as the sole DoD source, basic and advanced psychophysiological detection of deception (PDD) education and training for DoD polygraph examiners, continuing education certification of polygraph examiners, and quality assurance of polygraph programs; and conduct an aggressive research program to ensure the DoD PDD Program of Instruction takes advantage of the latest techniques and technology.  The DSS shall provide PDD support to other Federal Agencies on either a reimbursable or space available basis.  The DSS shall be the sole technical authority in determining the proper methods to be used in the conduct of polygraph examinations within the Federal Government.

5.9.  Provide personnel security research and analysis support for the DoD Components, members of the Intelligence Community, and other Federal Government Agencies.

5.10.  Administer and implement the Defense portion of the National Industrial Security Program pursuant to E.O. 12829 (reference (e)).

5.11.  Perform assigned functions for the Critical Asset Assurance Program pursuant to DoD Directive 5160.54 (reference (f)).

5.12.  Pursuant to DoD Directive O-5205.7 (reference (g)), and when directed, conduct specified surveys and reviews of those DoD contractors who perform work on Special Access Program contracts.

5.13.  Prepare and publish industrial security letters, industrial security bulletins, and other security-related implementation guidelines, as appropriate.

5.14.  Provide a single, centrally directed, personnel security investigative service to conduct personnel security investigations for the DoD Components within the United States and its Trust Territories and, when authorized by the ASD(C3I), for other U.S. Government Departments and Agencies.  The DSS shall request the Military Departments and, when appropriate, other U.S. Government activities, to accomplish investigative requirements assigned to it in other geographic areas.

5.15.  Conduct personnel security investigative operations in accordance with E.O. 12968 (reference (h)), DoD Directive 5200.27 (reference (i)), and DoD 5200.2-R (reference (j)).

5.16.  Manage the Defense Clearance and Investigations Index.

5.17.  Implement inspection policy and provide procedures essential to assess DoD contractor compliance with DoD physical security requirements for the protection of sensitive conventional arms, ammunition and explosives under DoD 5100.76-M (reference (k)).

5.18.  Provide support for counterintelligence and law enforcement investigations involving DoD personnel, facilities, or contractors conducted by authorized investigative agencies of the Military Departments; the IG, DoD; the Federal Bureau of Investigation; or other Federal investigative agencies, as authorized by the ASD(C3I) and pursuant to DoD Directive 5525.5 (reference (l)), when such investigations are relevant to the responsibilities and functions of the DSS.

5.19.  Conduct investigations of unauthorized disclosure of classified information not under the jurisdiction of the Military Departments and other investigations as the ASD(C3I) may direct.

5.20.  Review criminal history record information at police local, State, or Federal law enforcement agencies, and related record repositories, as required.

5.21.  Conduct surveys and prepare analyses and estimates, as appropriate.

5.22.  Support policy development and the implementation of DoD international security requirements and objectives pursuant to USD(P) policy direction, international agreements, and NATO security regulations.

5.23.  Administer classified export authorizations pursuant to the Department of State International Traffic in Arms Regulation, in accordance with 22 CFR Parts 120-130 (reference (m)).

5.24.  Perform such other functions as the Secretary of Defense may direct.

6.  RELATIONSHIPS

6.1.  In performing assigned functions, the Director, DSS, subject to the authority, direction, and control of the ASD(C3I), shall:

6.1.1.  Exercise authority, direction, and control over the DoD Polygraph Institute.

6.1.2.  Exchange information and advice, and coordinate actions with the Heads of other DoD Components having collateral or related functions, as appropriate.

6.1.3.  Maintain liaison with other DoD Components, Executive Branch entities, law enforcement agencies, industry, professional associations, academies, international organizations, foreign governments, and other agencies, as appropriate, for the exchange of information in the field of assigned responsibility and shall render assistance, as appropriate, within the limits of established policy and resources.

6.1.4.  Maintain a close working relationship with industrial representatives to encourage industry participation and cooperation in the furtherance of the National Industrial Security Program.

6.1.5.  To the extent permitted by law, use established facilities and services in the Department of Defense or other Federal Government Departments or Agencies, whenever practicable, to avoid duplication and achieve an appropriate balance of modernization, efficiency, and economy of operations.

6.2.  The Heads of the DoD Components shall:

6.2.1.  Provide access to information, and other appropriate assistance and support, to the Director, DSS, in their respective fields of responsibility and within available resources, as may be necessary to carry out the responsibilities and functions assigned to the DSS.

6.2.2.  Coordinate with the Director, DSS, on all matters concerning the mission, capabilities, responsibilities, functions, and operations of the DSS.

6.3.  The Secretaries of the Military Departments shall ensure prompt overseas military investigative agencies responses to DSS personnel security lead requests.

6.4.  The Secretary of the Army shall provide such facility, administrative, logistic, and practical examination support as may be required to support the DSS in the execution of its function as the sole DoD source for basic and advanced PDD education and training for DoD polygraph examiners.

7.  AUTHORITY

7.1.  The ASD(C3I) is delegated the authority to issue Instructions to the DoD Components to implement this Directive.  Instructions to the Military Departments shall be issued through the Secretaries of the Military Departments.  Instructions to the Combatant Commanders shall be issued through the Chairman of the Joint Chiefs of Staff.

7.2.  The Director, DSS, is specifically delegated authority to:

7.2.1.  Obtain reports, information, advice, and assistance, consistent with DoD Directive 4630.5 (reference (n)) and DoD Directive 8910.1 (reference (o)), as necessary, to carry out assigned functions.

7.2.2.  Communicate directly with the Heads of the DoD Components, and other Federal Government Departments and Agencies, as necessary, to carry out assigned functions.  Communications to the Combatant Commanders shall be coordinated, as appropriate, with the Chairman of the Joint Chiefs of Staff.

7.2.3.  Exercise the administrative authorities set forth in enclosure 2.

8.  ADMINISTRATION

8.1.  The Director, DSS, shall:

8.1.1.  Be appointed by the Secretary of Defense.

8.1.2.  Be authorized such personnel, facilities, funds, and other resources as the Secretary of Defense deems appropriate.

8.1.3.  Ensure that all allegations of wrongdoing directed against DSS employees are promptly and thoroughly reviewed, evaluated, and processed in accordance with applicable law, Office of Personnel Management regulations, and DoD Directives.  Refer any alleged criminal activity by DSS personnel to the Office of the IG, DoD, which, if appropriate, shall refer the matter to the Department of Justice (DoJ).  If the IG, DoD, or the DoJ decline investigative jurisdiction, the Director, DSS, shall assign DSS personnel to conduct an investigation and determine appropriate administrative action to be taken.

8.1.4.  Refer to the appropriate civilian and military investigative agency matters developed as a result of DSS investigations that involve alleged criminal misconduct or have a significant intelligence or counterintelligence aspect.

8.2.  The Military Departments shall assign military personnel to the DSS in accordance with approved Joint Manpower Program authorizations and procedures for assignment to joint duty.

9.  EFFECTIVE DATE

This Directive is effective immediately.

Signed by:  John J. Hamre, Deputy Secretary of Defense

Enclosures - 2

E1.  References, continued

E2.  Delegations of Authority

E1.  ENCLOSURE 1

REFERENCES, continued

(e) Executive Order 12829, "National Industrial Security Program," January 7, 1993

(f)  DoD Directive 5160.54, "Critical Asset Assurance Program (CAAP)," January 20, 1998

(g)  DoD Directive O-5205.7, "Special Access Program (SAP) Policy," January 13, 1997

(h)  Executive Order 12968, "Access to Classified Information," August 2, 1995

(i)  DoD Directive 5200.27, "Acquisition of Information Concerning Persons and Organizations not Affiliated with the Department of Defense," January 7, 1980

(j)  DoD 5200.2-R, "Personnel Security Program," January 1987

(k)  DoD 5100.76-M, "Physical Security of Sensitive Conventional Arms, Ammunition, and Explosives," September 1992

(l)  DoD Directive 5525.5, "DoD Cooperation with Civilian Law Enforcement Officials," January 15, 1986"

(m)  22 CFR Parts 120-130, "International Traffic in Arms Regulation"

(n)  DoD Directive 4630.5, "Compatibility, Interoperability, and Integration of Command, Control, Communications, and Intelligence (C3I) Systems," November 12, 1992

(o)  DoD Directive 8910.1, "Management and Control of Information Requirements," June 11, 1993

E2.  ENCLOSURE 2

DELEGATIONS OF AUTHORITY

E2.1.1.  Pursuant to the authority vested in the Secretary of Defense, and subject to the authority, direction, and control of the Secretary of Defense, and in accordance with DoD policies, Directives, and Instructions, the Director, DSS, or in the absence of the Director, the person acting for the Director, is hereby delegated authority, as required, in the administration and operation of the DSS to:

E2.1.1.1.  Exercise the authority vested in the Secretary of Defense by 5 U.S.C. 301, 302(b), 3101, and 5107, on the employment, direction, and general administration of DSS civilian personnel.

E2.1.1.2.  Fix rates of pay for wage-rate employees exempted from the Classification Act of 1949 by 5 U.S.C. 5102 on the basis of rates established under the Coordinated Federal Wage System.  In fixing such rates, the Director, DSS shall follow the wage schedule established by the DoD Wage Fixing Authority.

E2.1.1.3.  Administer oaths of office to those entering the Executive Branch of the Federal Government or any other oath required by law in connection with employment therein, in accordance with 5 U.S.C. 2903, and designate in writing, as may be necessary, officers and employees of the DSS to perform this function.

E2.1.1.4.  Maintain an official seal and attest to the authenticity of official DSS records under that seal.

E2.1.1.5.  Establish a DSS Incentive Awards Board, and pay cash awards to, and incur necessary expenses for, the honorary recognition of civilian employees of the Government whose suggestions, inventions, superior accomplishments, or other personal efforts, including special acts or services, benefit or affect the DSS, in accordance with 5 U.S.C. 4503, Office of Personnel Management (OPM) regulations, and DoD 1400.25-M, subchapter 451, "DoD Civilian Personnel Manual," December 1996.

E2.1.1.6.  Act as agent for the collection and payment of employment taxes imposed by appropriate statutes.

E2.1.1.7.  Establish advisory committees and employ temporary or intermittent experts or consultants, as approved by the Secretary of Defense, for the performance of DSS functions consistent with 10 U.S.C. 173; 5 U.S.C. 3109(b); and DoD Directive 5105.4, "Department of Defense Federal Advisory Committee Management Program," September 5, 1989.

E2.1.1.8.  In accordance with Executive Orders 10450, 12333, 12958, 12968, and DoD Directive 5200.2, "DoD Personnel Security Program," April 9, 1999, as appropriate:

E2.1.1.8.1.  Designate any position in the DSS as a "sensitive" position.

E2.1.1.8.2.  Authorize, in case of an emergency, the appointment of a person to a sensitive position in the DSS for a limited period of time and for whom a full field investigation or other appropriate investigation, including the National Agency Check, has not been completed.

E2.1.1.8.3.  Initiate personnel security investigations and, if necessary in the interest of national security, suspend a security clearance for personnel assigned, detailed to, or employed by the DSS.  Any action under this paragraph shall be taken in accordance with procedures prescribed in DoD 5200.2-R, "Department of Defense Personnel Security Program," January 1987.

E2.1.1.9.  Authorize and Approve:

E2.1.1.9.1.  Temporary duty travel for military personnel assigned or detailed to the DSS in accordance with Joint Federal Travel Regulations, Volume 1, "Uniformed Service Members."

E2.1.1.9.2.  Travel for DSS civilian employees in accordance with Joint Travel Regulations, Volume 2, "DoD Civilian Personnel."

E2.1.1.9.3.  Invitational travel to non-DoD personnel whose consultative, advisory, or other highly specialized technical services are required in a capacity that is directly related to, or in connection with, DSS activities, in accordance with 5 U.S.C. 5703 and Joint Travel Regulations, Volume 2, "DoD Civilian Personnel."

E2.1.1.9.4.  Overtime work for DSS civilian employees in accordance with 5 U.S.C., Chapter 55, Subchapter V, and applicable OPM regulations.

E2.1.1.10.  Approve the expenditure of funds available for travel by military personnel assigned or detailed to the DSS for expenses incident to attendance at meetings of technical, scientific, professional, or other similar organizations in such instances when approval of the Secretary of Defense, or designee, is required by 37 U.S.C. 412, and 5 U.S.C. 4110 and 4111.

E2.1.1.11.  Develop, establish, and maintain an active and continuing Records Management Program, pursuant to 44 U.S.C. 3102 and DoD Directive 5015.2, "Records Management Program," April 11, 1997.

E2.1.1.12.  Utilize the Government purchase card for making micropurchases of material and services, other than personal services, for the DSS, when it is determined more advantageous and consistent with the best interests of the Government.

E2.1.1.13.  Authorize the publication of advertisements, notices, or proposals in newspapers, magazines or other public periodicals, as required for the effective administration and operation of the DSS, consistent with 44 U.S.C. 3702.

E2.1.1.14.  Establish and maintain, for the functions assigned, an appropriate publications system for the promulgation of common supply and service regulations, instructions, and reference documents, and changes thereto, pursuant to the policies and procedures described in DoD 5025.1-M, "DoD Directives System Procedures," August 1994.

E2.1.1.15.  Enter into partnership, support, and service agreements with the Military Departments, other DoD Components, or other Federal Government Agencies, as required, for the effective performance of DSS responsibilities and functions.

E2.1.1.16.  Enter into and administer contracts, directly or through a Military Department, a DoD contract administration services component, or other Federal Agency, as appropriate, for supplies, equipment, and services provided or required to accomplish the mission of the DSS.  To the extent that any law or Executive order specifically limits the exercise of such authority to persons at the Secretarial level of a Military Department, such authority shall be exercised by the appropriate Under Secretary or Assistant Secretary of Defense.

E2.1.1.17.  Exercise the authority delegated to the Secretary of Defense by the Administrator of the General Services Administration on the disposal of surplus personal property.

E2.1.1.18.  Promulgate the necessary security regulations for the protection of property and places under the jurisdiction of the Director, DSS, pursuant to DoD Directive 5200.8, "Security of DoD Installations and Resources," April 25, 1991.

E2.1.1.19.  Establish and maintain appropriate property accounts for the DSS and appoint Boards of Survey, approve reports of survey, relieve personal liability, and drop accountability for DSS property contained in the authorized property accounts that has been lost, damaged, stolen, destroyed, or otherwise rendered unserviceable, in accordance with applicable laws and regulations.

E2.1.1.20.  Exercise the authority delegated to the Secretary of Defense for issuance of security clearances to contractor employees, pursuant to Executive Order 12829, "National Industrial Security Program," January 7, 1993.

E2.1.1.21.  Serve as the Designated Approving Authority for DSS automated information systems and networks for less than Acquisition Category (ACAT) 1A programs, or serve as the milestone decision authority (MDA) for ACAT 1A programs when delegated by the ASD(C3I).  The Director, DSS, shall exercise delegated MDA in accordance with DoD Directive 5000.1, "Defense Acquisition," March 15, 1996 and DoD 5000.2-R, "Mandatory Procedures for Major Defense Acquisition Programs and Major Automated Information System Acquisition Programs," March 1996.

E2.1.1.22.  Issue badges and credentials, as necessary and appropriate, to DSS employees or to other Federal Government personnel assigned or detailed to the DSS.

E2.1.2.  The Director, DSS, may redelegate these authorities, as appropriate, and in writing, except as otherwise provided by law or regulation.