Who Is Responsible For Protecting CUI

Controlled Unclassified Information (CUI) refers to sensitive information that requires safeguarding or dissemination controls, but is not classified under Executive Order 13526 or the Atomic Energy Act. Protecting CUI is critical for national security, corporate integrity, and the privacy of individuals. Given its importance, understanding who is responsible for protecting CUI is essential for compliance and effective information security management.

Understanding CUI

CUI encompasses a wide range of information types, including personally identifiable information (PII), proprietary business information, and sensitive but unclassified government data. The goal of CUI protection is to prevent unauthorized access and ensure that such information is handled with the necessary care.

Regulatory Framework

The regulatory framework for CUI is primarily established by the National Archives and Records Administration (NARA), which oversees the CUI Program. The foundational document for CUI is Executive Order 13556, signed in November 2010, which standardizes the way the Executive Branch handles unclassified information requiring protection.

The Code of Federal Regulations (CFR) at 32 CFR Part 2002 outlines the policies and guidelines for managing CUI. It provides detailed instructions on marking, safeguarding, disseminating, and decontrolling CUI.

Key Stakeholders in CUI Protection

1. Executive Branch Agencies
2. Contractors and Service Providers
3. Individual Employees
4. CUI Senior Agency Officials
5. Information System Security Officers (ISSOs)
6. Organizational Leadership

Each of these stakeholders plays a unique role in ensuring the protection of CUI.

Executive Branch Agencies

Executive Branch agencies are at the forefront of CUI protection. They are responsible for implementing the CUI Program within their operations and ensuring compliance with the relevant regulations. This includes:

• Identifying CUI: Agencies must identify information that qualifies as CUI and appropriately mark it according to the CUI Registry, which provides guidance on the categories and subcategories of CUI.
• Safeguarding CUI: Agencies must establish policies and procedures to safeguard CUI, including physical security measures, access controls, and cybersecurity protocols.
• Training and Awareness: Agencies must provide training to their employees on the proper handling and protection of CUI.

Contractors and Service Providers

Contractors and service providers who handle CUI on behalf of federal agencies are also responsible for protecting this information. They must:

• Adhere to Contractual Requirements: Contracts with federal agencies will often include specific requirements for protecting CUI. Contractors must comply with these requirements to ensure the integrity and confidentiality of the information.
• Implement Safeguards: Contractors must implement appropriate safeguards, both physical and cyber, to protect CUI. This includes measures like encryption, secure storage, and controlled access.
• Report Incidents: In the event of a security breach or unauthorized access to CUI, contractors must promptly report the incident to the relevant federal agency.

Individual Employees

Every individual employee within an organization that handles CUI has a responsibility to protect it. This includes:

• Following Procedures: Employees must follow established procedures for handling, marking, and safeguarding CUI.
• Maintaining Vigilance: Employees should be vigilant about security practices, such as not leaving CUI unattended, using secure communication methods, and reporting suspicious activities.
• Participating in Training: Regular participation in training and awareness programs is crucial for understanding the latest threats and best practices for CUI protection.

CUI Senior Agency Officials

Each Executive Branch agency appoints a CUI Senior Agency Official (SAO) responsible for overseeing the implementation and management of the CUI Program within the agency. Their responsibilities include:

• Program Oversight: Ensuring that the agency’s CUI policies and procedures comply with federal regulations.
• Training and Compliance: Overseeing the training programs for agency employees and ensuring compliance with CUI handling requirements.
• Incident Response: Coordinating responses to incidents involving CUI, including reporting and mitigating any damage caused.

Information System Security Officers (ISSOs)

ISSOs play a crucial role in the cybersecurity aspect of CUI protection. They are responsible for:

• Cybersecurity Measures: Implementing and maintaining cybersecurity measures to protect CUI within information systems.
• Monitoring and Auditing: Conducting regular monitoring and auditing of information systems to detect and respond to potential security threats.
• Incident Management: Managing cybersecurity incidents involving CUI and coordinating with other stakeholders to mitigate risks.

Organizational Leadership

Leaders within organizations that handle CUI, whether in the public or private sector, are ultimately responsible for creating a culture of security and compliance. This includes:

• Setting the Tone: Leaders must prioritize CUI protection and ensure that it is an integral part of the organization’s operations and culture.
• Resource Allocation: Providing the necessary resources, including funding, personnel, and technology, to implement effective CUI protection measures.
• Policy Development: Developing and enforcing policies that support the protection of CUI and compliance with relevant regulations.

Best Practices for Protecting CUI

To effectively protect CUI, organizations should adopt the following best practices:

1. Comprehensive Training: Regular training sessions for employees on CUI handling procedures, cybersecurity practices, and recognizing potential threats.
2. Access Controls: Implementing strict access controls to ensure that only authorized individuals have access to CUI.
3. Data Encryption: Using encryption to protect CUI both in transit and at rest.
4. Incident Response Plan: Developing and maintaining an incident response plan to address potential breaches or unauthorized access to CUI.
5. Regular Audits: Conducting regular audits and assessments to ensure compliance with CUI protection policies and identify areas for improvement.

Protecting Controlled Unclassified Information (CUI) is a shared responsibility that involves multiple stakeholders, including federal agencies, contractors, individual employees, and organizational leaders. By understanding their roles and adhering to best practices, these stakeholders can ensure the confidentiality, integrity, and availability of CUI, thereby safeguarding sensitive information and supporting national security objectives.