SEAD-3 Background
On December 14, 2016, the U.S. Director of National Intelligence (DNI) signed Security Executive Agent Directive (SEAD)-3, Reporting Requirements for Personnel with Access to Classified Information or Who Hold Sensitive Position, which establishes standardized reporting requirements across the federal government for all individuals who have access to classified information or hold a sensitive position. The full text of the SEAD-3 directive can be found here.
The reporting requirements outlined in SEAD-3 address the need for individuals to report relevant information, such as reportable foreign travel, foreign contacts, and conduct/behavior, to their department or agency in a timely manner, in order to strengthen the safeguarding of national security equities.
The reporting requirements are a direct result of recent national security breaches by trusted insiders who have disclosed classified information to news media or foreign entities causing significant harm to the interests of the United States.
Who Does the SEAD-3 Reporting Requirement Apply to?
The SEAD-3 Reporting Requirements applies to all persons at NIH that are in Sensitive Positions (see below chart) and/or who have an active National Security Clearance at NIH (i.e. Secret, Top Secret, SCI, etc.). Per the SEAD-3 Directive: “Covered individuals are not limited to government employees and include all persons, not excluded under paragraphs (a), (b), or (c) of this definition, who have access to classified information or who hold sensitive positions, including, but not limited to, contractors, subcontractors, licensees, certificate holders, grantees, experts, consultants, and government employees.”
If you are in a sensitive position at NIH or hold an active Security Clearance, this means YOU are required to report as you have a special continuing security obligation and a responsibility for recognizing, avoiding, and reporting personal behaviors of a potential security, counterintelligence, and/or insider threat concern. You must alert appropriate authorities should you become personally involved with or aware of certain activities that may be of potential security, counterintelligence, and/or insider threat concern!
How do I know if I am in a sensitive position at the NIH?
Please contact your Administrative Officer (AO) or program office if you do not know what your position designation is at NIH. For Federal Employees, this designation will be reflected on your Official Position Description (OF-8) and Position Designation Record (PDR). The NIH Division of Personnel Security and Access Control (DPSAC) administers annual SEAD-3 Reporting Requirements training to all individuals in sensitive positions at NIH. If you received this training, you are in a sensitive position. Please note: Position designation is not to be confused with Emergency Tier Designation.
| Positive Sensitivity Designation | Position Risk Designation | Type of Investigation | Form Type | Required to Report Under SEAD-3? |
|---|
| Special Sensitive | High Risk | Tier5+SCI (eligibility for access to Top Secret + Sensitive Compartmented Information)* | SF 86 | YES |
| Critical Sensitive | High Risk | Tier5 (eligibility for access to Top Secret)* | SF 86 | YES |
| Non-Critical Sensitive | Moderate Risk | Tier3 (eligibility for access to Secret)* | SF 86 | YES |
|
| Non-Sensitive Public Trust | High Risk | Tier4 | SF 85P | NO |
| Moderate Risk | Tier2 | SF 85P | NO |
| Non-Sensitive | Low Risk | Tier1 | SF 85
| NO |
* The background investigation should not be confused with access for a security clearance. Not every position designated at Tier 3 or Tier 5 will need a security clearance. Only those positions who have a bona fide need-to-know and who possess the requisite justification may be required to have access to classified information and a requisite security clearance. For more information on security clearances, please visit DCSA's website.
SEAD-3 Training Requirements
All persons at NIH who hold a sensitive position, have an active security clearance, or have access to classified information, also known as SEAD-3 covered personnel, must complete SEAD-3 reporting Requirements Training on an annual basis.
The NIH/ORS Division of Personnel Security administers this training from NationalSecurityTraining@mail.nih.gov and/or the HHS Learning Management System. The training consists of reading the SEAD-3 Awareness briefing materials and the instructions on when/how to report. Please be sure to also read up on the FAQ. For staff that have a security clearance, the SEAD-3 training will be combined with the annual training for National Security clearance requirements.
What to Report
Please see the list below consisting of examples of activities that must be reported under SEAD-3 (this list is not all inclusive). Please review the SEAD-3 Awareness Briefing, FAQ, and additional resources such as the Director of National Intelligence SEAD-3 interactive module for more information on what to report. This site provides additional information below on reporting foreign travel.
- Unofficial foreign travel and returning from official foreign travel (scroll down below for more specific information on travel reporting requirements)
- Foreign Contacts
- Actions by Others (i.e. reportable activities of other covered individuals)
- Foreign Activities
- Attempted elicitation, exploitation, blackmail, or coercion
- Media contacts
- Arrests
- Bankruptcy or over 120 days delinquent on any debt
- Alcohol and/or drug related treatment
- Financial Anomalies
- Foreign Roommates
- Cohabitants
- Marriage
How to Report?
The Department of Health and Human Services (DHHS) Office of National Security (ONS) has provided the following reporting mechanisms for individuals to use when reporting required information:
Please submit all forms and inquiries (HHS-845, HHS-846) to ONS_Global_Engagements@hhs.gov and PersonnelSecurity@hhs.gov. Please note: The mailbox International@hhs.gov no longer supports foreign travel.
Pre-Travel Requirements
All persons at NIH who hold a sensitive position, have an active security clearance, or have access to classified information, also known as SEAD-3 covered personnel, must report all unofficial personal foreign travel a minimum of 30 days prior to travelling by completing the HHS Pre-Travel Reporting Form.
In addition to completing the HHS SEAD-3 pre-travel form, please send a courtesy copy of your travel plans to the following emails:
Pre-Travel within the Continental United States does not need to be reported under SEAD-3.
Post-Travel Requirements
Please note that post-travel requirements apply to both personal and official international travel. All persons at NIH who hold a sensitive position, have an active security clearance, or have access to classified information, also known as SEAD-3 covered personnel, must submit the HHS 845 form no later than five days after your return from international travel (personal and or official travel).
Official International Travel
All NIH sponsored and official foreign travel must be approved in advance and reported through the CONCUR travel system through your Institute, Center or Office (ICO). However, official foreign travel does not need to be reported in advance under SEAD-3.
As stated above, all persons at NIH that hold a security clearance or sensitive position must complete the post-travel reporting within 5 days of returning from personal or official foreign travel.
For questions on SEAD-3 Travel Reporting Requirements, please contact ONS_Global_Engagements@hhs.gov.
Permanently issued Government Furnished Equipment (GFE) is not permitted on any foreign travel, official or personal. Only loaner GFE may be used during all travel to foreign countries. The 2021 HHS Policy for GFE Use During Foreign Travel governs the use of NIH-issued laptops, tablets and smartphones while on foreign travel. Any staff (employees, fellows, contractors) who have been issued GFE must comply with the HHS policy.
Useful references include these online resources:
- The Department of State Travel Advisory
- Overseas Security Advisory Council
- HHS Policy for GFE Use During Foreign Travel
- NIH Travel Policy Handbook
Please do not submit questions to the OFM Travel Mailbox on this subject matter. The NIH Defensive Counterintelligence and Insider Threat International Travel Team is ready to assist and answer any questions or concerns you may have. You may contact them by email at nih_international_travel@mail.nih.gov. The NIH Travel Policy Handbook will be updated to include the information above.
Resources
For more resources that provide further information on SEAD-3, please see below:
