First Highlight

                                 CHAPTER II

                       CERTIFICATION AND ACCREDITATION

1.  OVERVIEW.  In making the decision to accredit, the Designated
    Accrediting Authority (DAA) shall consider the security protections of
    the classified AIS as documented in the Classified AIS Security Plan,
    the results of the certification tests, the certification by the
    Classified AIS Security Site Manager (CSSM), and any risk of operating
    the classified AIS.

    a.   Certification.  Certification provides documentation stating that
         the classified AIS and its environment comply with requirements of
         the DOE Classified AIS Security Program (DOE 5639.6A and this
         Manual), as specified in the approved Classified AIS Security Plan.
         The CSSM certifies the classified AIS and provides a report of the
         results of the certification tests to the DAA to aid in the
         accreditation decision.

    b.   Accreditation.  Accreditation is the written formal management
         decision to approve and authorize an organization to operate a
         classified AIS to process, store, transfer, or provide access to
         classified information.  Accreditation remains in effect for 3
         years, unless there are modifications to the classified AIS that
         impact its security, that impact the security aspects of its
         environment, or that change the security requirements.

2.  CLASSIFIED AIS APPROVAL AND ACCREDITATION PROCESS.  All requests for
    approval and recommendations related to the accreditation of a
    Classified AIS shall proceed through the accreditation channels (see
    Figure II-1).

    a.   Preparation of the Classified AIS Security Plan.  To begin the
         accreditation process, the responsible Classified AIS Security
         Officer (CSSO) shall develop the Classified AIS Security Plan (see
         Chapter V) to define the manner in which the classified AIS and its
         information shall be protected.

    b.   CSSM Review of the Classified AIS Security Plan.  The completed
         Classified AIS Security Plan shall be reviewed by the CSSM and, if
         it is acceptable, forwarded to the Classified AIS Security
         Operations Manager (CSOM) for approval by the DAA.

    c.   Approval of the Classified AIS Security Plan.  The CSOM shall
         review the Classified AIS Security Plan within 30 days of receipt
         and, if acceptable, approve the plan.  If the CSOM is not the DAA,
         the CSOM shall forward the plan, if acceptable, to the DAA.  When
         the plan is approved, the written approval shall be forwarded
         through the accreditation chain for retention by the CSSM and the
         CSSO.  Review of Classified AIS Security Plans by the DAA shall be
         completed or refused within 30 days of receipt.  For a Classified
         AIS located within a Sensitive Compartmented Information Facility,
         see page II-6, paragraph 6f.

    d.   Security Performance Test Plan Approval.  Following approval of the
         Classified AIS Security Plan, the CSSO with the assistance of the
         CSSM shall develop a plan for testing the security features of the
         Classified AIS.  The test plan is forwarded through the
         accreditation chain to the DAA for approval or returned for
         recommended revision.  The test plan may be submitted for
         concurrent approval with the approval request for the Classified
         AIS Security Plan.

    e.   Certification Security Performance Testing.  After the Classified
         AIS Security Plan and the security performance test plan are
         approved and the classified AIS implementation is complete,
         certification testing shall be performed under the direction of the
         CSSM.  The CSSM shall evaluate and certify the implementation of
         the security features for the classified AIS and verify that the
         classified AIS operates in accordance with the approved Classified
         AIS Security Plan.  A summary of the certification test results and
         the certification shall be forwarded through accreditation channels
         to the DAA.  Classified information shall not be introduced into
         the AIS until the accreditation has been accomplished and
         documented by the DAA.

    f.   Independent Validation and Verification Support.  For classified
         AISs with a Protection Index of two or greater, the cognizant CSSM
         shall forward a request for Independent Validation and Verification
         of the classified AIS design and support for the certification
         testing.  The request shall be forwarded through the accreditation
         chain to the CSPM and shall provide for funding.

    g.   Accreditation.  The DAA shall review the certification and test
         result summary and formally issue a written accreditation accepting
         the risk of operating the classified AIS and authorizing its use to
         process classified information as documented in the Classified AIS
         Security Plan.  The written accreditation shall be returned through
         the accreditation chain for retention by the CSSM and the CSSO.
         Accreditation shall be completed or refused within 30 days of
         receipt of the certification by the DAA.

    h.   Accreditation of Similar Classified AISs.  Where two or more
         similar classified AISs are to be operated in the same operational
         environment (i.e., the Security Requirements Specifications are the
         same and the physical security requirements are similar), a
         Classified AIS Security Plan may be written and approved by the
         DAA, to cover all such Classified AISs (generally Personal
         Computers and standalone workstations).  Each such Classified AIS
         Security Plan shall contain the information described in Chapter V.
         The Classified AIS Security Plan for these classified AISs shall
         specify the information required for each certification for a
         Classified AIS to be accredited under this procedure.  The DAA
         shall accredit the first Classified AIS under the plan.  All the
         other individual classified AISs to be operated under such a
         Classified AIS Security Plan shall be tested by the CSSO and
         certified by the CSSM as meeting the conditions of the accredited
         Classified AIS Security Plan.  This certification, in effect,
         accredits the individual classified AISs to operate under the
         Classified AIS Security Plan.  A copy of each certification report
         shall be retained with the approved copy of the Classified AIS
         Security Plan.

3.  CLASSIFIED AIS SECURITY PLANS.  A Classified AIS Security Plan shall be
    developed by the CSSO following the subject headings shown in Chapter V.
    The Classified AIS Security Plan shall provide a basis for determining
    that the classified AIS correctly implements the Classified AIS Security
    Program.

    a.   Security Plan Contents.  The Classified AIS Security Plan shall
         describe the classified AIS, its interconnections, and the security
         protections and countermeasures.  It shall document the manner in
         which the requirements of this Manual are to be met for the
         classified AIS.  The requirements to be met for the protection of
         the classified AIS shall be based on the Protection Index and the
         classification levels and categories of the information to be
         processed.

    b.   Security Plan Approval.  Prior to certification of the classified
         AIS by the CSSM, each Classified AIS Security Plan shall be
         reviewed and approved by the cognizant DAA.

4.  SECURITY PERFORMANCE TESTING.  Certification security performance
    testing and ongoing security performance testing provide assurance that
    the classified AIS is operating in accordance with the approved
    Classified AIS Security Plan.  The certification test results, when
    satisfactory, provide the DAA with supporting documentation for the
    accreditation of the classified AIS.

    a.   Certification Security Performance Test Plans.  The CSSO, with the
         assistance and approval of the CSSM, shall develop the
         certification security performance test plan to assure that the
         classified AIS has been implemented and is operating in accordance
         with the Classified AIS Security Plan.  The certification security
         performance test plan shall be approved by the DAA.  If the
         security features of the classified AIS, as specified in the
         Classified AIS Security Plan, are expected to restrict user access,
         for example, these features shall be tested to ensure that they are
         implementing the specified security requirements.

    b.   Certification Security Performance Test Performance.

         (1)  CSSO Specified Testing.  For classified AIS with a Protection
              Index of zero or one, the CSSO shall assure that the specified
              tests are performed.

         (2)  Independent Validation and Verification Team Testing.  For
              classified AISs with a Protection Index of two or greater, an
              Independent Validation and Verification team, in coordination
              with the CSSM and CSSO, shall assist in the design phase for
              the AIS, assist in determining and developing the
              certification test requirements, assist in the testing, and
              evaluate the security of the classified AIS.

              (a)  The CSPM shall appoint and be responsible for the
                   direction of the Independent Validation and Verification
                   team.

              (b)  The Independent Validation and Verification team shall be
                   funded by the site.

              (c)  The CSSO shall assure that the specified tests are
                   performed.

         (3)  Independent Validation and Verification Team Planning.  The
              CSSM shall plan for three to six-person weeks of effort by the
              Independent Validation and Verification Team during the
              preliminary design phase for the AIS.  From this effort the
              Team will develop a management plan and cost requirement
              estimate to prescope the Team efforts during the design phase
              and the test plan review and the performance of the tests.
              The management plan and cost requirement estimate shall be
              approved by the CSSM, CSOM, DAA, and the CSPM prior to
              proceeding with the AIS implementation.

    c.   Ongoing Security Performance Testing.  Ongoing security performance
         testing of the classified AIS shall be conducted on a regular basis
         to ensure that the security features continue to function as stated
         in the Classified AIS Security Plan.  The plan for ongoing security
         performance testing shall be described in the Certification
         Security Performance Test Plan.  The ongoing security performance
         tests may include all or parts of the certification security
         performance test plan depending on the level of risk associated
         with the classified AIS and the decision of the DAA.

    d.   Vulnerabilities.  Should any vulnerabilities or failures be
         revealed during the certification security performance tests or the
         ongoing security performance tests, the CSSM shall ensure that
         necessary actions are taken to eliminate or minimize their impact.
         Any modifications, changes, or additions to the security measures
         of the classified AIS shall be included in a revised Classified AIS
         Security Plan (or a list of changes, if the DAA concurs), and the
         plan shall be submitted for approval as revised.  The classified
         AIS shall be retested as modified before the certification process
         is completed.

    e.   Documentation.  The results of certification tests and an analysis
         of the results shall be documented.

    f.   Additional Tests.  Following receipt of the certification
         documentation from the CSSM, the DAA may designate additional tests
         that shall be performed prior to meeting accreditation
         requirements.

5.  CERTIFICATION.  The CSSM shall evaluate the implementation of the
    classified AIS and the results of the certification tests to verify that
    the classified AIS has been implemented as described in the Classified
    AIS Security Plan and that the specified security controls are in place
    and operating properly.

    a.   Certification Statement.  After successful completion of
         certification testing, the CSSM shall issue a written certification
         statement that assures the DAA that all requirements have been met
         and that the classified AIS is ready for accreditation.

    b.   Certification Report.  The CSSM shall compile a certification
         report as supporting evidence for the certification statement.
         This report shall be forwarded through the accreditation chain.
         The report shall, at a minimum, be composed of the test plan, an
         analysis of the certification test results, the certification
         statement, and, at the discretion of the DAA, the approved
         Classified AIS Security Plan.

6.  DETERMINATION OF DESIGNATED ACCREDITING AUTHORITY.  The determination of
    the DAA shall be based on the factors described below.  The DAA and the
    certifying official (the CSSM) shall not be the same person.  For all
    classified AISs, the DAA shall be a DOE employee.  The DAA shall review
    the certification report of the classified AIS (including the results of
    the certification testing) and, if acceptable, shall formally accredit,
    in writing, the classified AIS to process classified information.

    a.   Classified AISs Operated Under the Jurisdiction of More Than One
         Operations Office.  For classified AISs to be operated under the
         jurisdiction of more than one Operations Office (including the
         Rocky Flats Office), the CSPM shall designate the DAA.  The
         selected DAA shall ensure the identification of security officials
         to be responsible for the implementation of the Classified AIS
         Security Plan at each DOE site.

    b.   Classified AISs for Which the DAA Cannot be Determined.  For
         classified AISs for which the DAA cannot be determined, the CSPM
         shall designate the DAA.

    c.   Classified AISs Operated With a Protection Index of Zero, One, Two,
         Three, or Four.  For classified AISs (including non-Sensitive
         Compartmented Information collateral intelligence AISs operated
         under the cognizance of a single Operations Office, or the Rocky
         Flats Office, that are not located within a Sensitive Compartmented
         Information Facility) that are to be operated with a Protection
         Index of zero, one, or two, the Operations Office Classified AIS
         Security Operations Manager (CSOM) shall be the DAA.  Classified
         AISs that are to be operated with a Protection Index of three or
         four are to be accredited by a senior management official,
         designated by the Operations Office Manager (or the Manager, Rocky
         Flats Office) as the DAA, in coordination with the CSPM.

    d.   Classified AIS Operated With a Protection Index of Five.  For
         classified AISs (including non-Sensitive Compartmented Information
         collateral intelligence AISs that are not located within a
         Sensitive Compartmented Information Facility) that are to be
         operated with a  Protection Index of five, the Operations Office
         Manager, or the Manager, Rocky Flats Office, in coordination with
         the Classified AIS Security Program Manager (CSPM), shall be the
         DAA.

    e.   Classified AISs Operated by the Headquarters.  For Classified AISs
         (including non-Sensitive Compartmented Information collateral
         intelligence AISs that are not located within a Sensitive
         Compartmented Information Facility) operated by:

         (1)  Heads of Headquarters Elements,

         (2)  Headquarters contractor organizations, and

         (3)  Organizations reporting to the Headquarters.

              (a)  With a Protection Index of zero, one, or two, the
                   Headquarters Operations Division, Office of Safeguards
                   and Security, CSOM shall be the DAA.

              (b)  With a Protection Index of three or four, the Director of
                   Headquarters Operations Division, Office of Safeguards
                   and Security, shall designate a senior management
                   official, of the Headquarters Operations Division, to be
                   the DAA, in coordination with the CSPM.

              (c)  With a Protection Index of five, the Director,
                   Headquarters Operations Division, Office of Safeguards
                   and Security, shall be the DAA, in coordination with the
                   CSPM.

    f.   Intelligence Information.  For classified AISs that process
         intelligence information and are located in a Sensitive
         Compartmented Information Facility, the cognizant CSOM and CSPM
         shall review the Classified AIS Security Plan and the certification
         of the classified AIS and, if acceptable, direct it to the Office
         of Intelligence, Office of Nonproliferation and National Security,
         CSSO, with a recommendation that the Classified AIS Security Plan
         and the certification be forwarded for approval or accreditation to
         the Director, Office of Intelligence, Office of Nonproliferation
         and National Security, DAA.

    g.   Director of Naval Reactors Program.  For classified AIS networks
         that are solely under the jurisdiction of the Director of Naval
         Reactors Program and whose external components extend into the
         jurisdiction of different Naval Reactor Offices, the Director of
         Naval Reactors Program shall designate one of the Naval Reactor
         Office senior managers to be the DAA.  Notification of the
         accreditation of a classified AIS with a Protection Index of two or
         greater shall be furnished to the CSPM.

7.  PROVISIONAL ACCREDITATION.  A DAA may grant provisional accreditation
    (temporary authority to operate) of a Classified AIS to meet documented
    programmatic requirements or to permit a major conversion of the
    classified AIS.  This provisional accreditation may be granted for up to
    180 days.  DAA-approved protection measures shall be in place and
    functioning during the period of provisional accreditation.  A copy of
    the provisional accreditation documents shall be forwarded to the CSPM.

8.  REACCREDITATION.  Following the intent of OMB Circular A-130,
    "Management of Federal Information Resources," each classified AIS shall
    be reaccredited by the DAA every 3 years at a minimum.  Reaccreditation
    shall also occur if there are to be modifications to a Classified AIS
    that impact its security, if the security aspects of its environment
    change, or if the applicable security requirements change.

    a.   Updated Classified AIS Security Plan.  The CSSO shall prepare an
         update to the Classified AIS Security Plan and forward it to the
         CSSM.

    b.   Review of the Classified AIS Security Plan.  The updated Classified
         AIS Security Plan shall be reviewed by the CSSM and, if it is
         acceptable, approved and forwarded to the CSOM.

    c.   Continuation of Reaccreditation Process.  From this point, the
         reaccreditation process should follow the certification and
         accreditation procedures as specified above.  In those cases where
         there have been no security related changes to the accredited
         classified AIS, the DAA may elect to accept a report of ongoing
         security performance testing in lieu of the certification security
         performance testing as sufficient for reaccreditation.

**** DATABASE NOTE:
     ATTACHMENT OF FIGURE II-1 - CLASSIFIED AIS SECURITY ACCREDITATION
     FLOWCHART (PAGE II-9 AND II-10) IS NOT INCLUDED IN DATABASE, DUE
     TO ITS FORMAT.