36C77019Q0173-008.pdf

Department of Veterans Affairs VA HANDBOOK 0710 Washington, DC Transmittal Sheet

May 2, 2016

PERSONNEL SECURITY AND SUITABILITY PROGRAM

1. REASON FOR ISSUE: This handbook establishes personnel security program responsibilities and procedural requirements for investigations, suitability adjudications, security clearance determinations, contractor fitness, and appeals of VA employees, appointees, volunteers, affiliates, health professions trainees and contractors set forth in

Department of Veterans Affairs (VA) Directive 0710, Personnel Security and Suitability

Program, June 4, 2010, in accordance with Title 5 Code of Federal Regulations (CFR) Part

731, Suitability, and 5 CFR 1400, Designation of National Security Positions.

2. SUMMARY OF CONTENTS/MAJOR CHANGES: This handbook:

a. Clarifies changes to 5 CFR 731 regarding designation of Public Trust positions and reinvestigation requirements for Public Trust positions, procedures and information on reciprocity (accepting other agencies’ favorably adjudicated background investigations) and fingerprint information based on Homeland Security Presidential Directive-12 (HSPD-12).

b. Introduces the Revised Federal Investigations Standards (FIS) 5 Tiered Investigations and National Training Standards for Suitability and National Security Adjudicators, as well as the changes to the designation of national security positions.

3. RESPONSIBLE OFFICE: Office of Operations, Security and Preparedness, Personnel

Security and Identity Management, Personnel Security and Suitability Service.

4. RELATED DIRECTIVE: VA Directive 0710, Personnel Security and Suitability Program.

5. RESCISSIONS: VA Handbook 0710, Personnel Suitability and Security Program, September 2004.

CERTIFIED BY:

/s/

BY DIRECTION OF THE

SECRETARY OF VETERANS

AFFAIRS:

/s/

LaVerne H. Council Assistant Secretary for Information and Technology

Kevin T. Hanretta Assistant Secretary for Operations, Security, and Preparedness

Distribution: Electronic Only

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TABLE OF CONTENTS

1. INTRODUCTION AND APPLICABILITY

2. FEDERAL INVESTIGATIVE STANDARDS

3. DELEGATION OF AUTHORITY

4. RESPONSIBILITIES

5. POSITION DESIGNATION

6. POSITION SUBJECT TO INVESTIGATION

7. INVESTIGATION REQUIREMENTS

8. INTERIM SUITABILITY DETERMINATION/PRE-SCREENING

9. INVESTIGATIVE PROCESS

10. ADJUDICATION

11. CONTRACTORS

12. PERSONNEL ACTIONS AND RIGHTS OF EMPLOYEES

13. NATIONAL SECURITY ELIGIBILITY ACTIONS

14. SECURITY FILES AND INVESTIGATION RECORD

15. CHILD CARE EMPLOYEE BACKGROUND INVESTIGATIONS

16. PIV CARD INVESTIGATIONS AND ADJUDICATIONS

17. APPENDIX A (SENSITIVITY AND RISK LEVELS AND TIERS)

18. APPENDIX B (REFERENCES AND DEFINITIONS)

19. APPENDIX C (REVISED FIS AND 5 TIER MODEL)

20. APPENDIX D (ACROYNMS)

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PERSONNEL SECURITY AND SUITABILITY PROGRAM

1. INTRODUCTION AND APPLICABILITY

a. The purpose of this handbook is to establish and implement policy, procedures, provide guidelines, delegate authority, and assign responsibilities regarding personnel security, suitability, and fitness for personnel within the Department of Veterans Affairs (VA) pursuant to the authority of parts 302, 731, and 1400 of Title 5, Code of Federal Regulations (CFR). This handbook is applicable to VA employees, contractors, affiliates, volunteers, and health professions trainees.

b. VA is responsible for implementing a comprehensive and effective Personnel Security and Suitability Program (PSS). The PSS program:

(1) Evaluates the character and conduct of Government applicants and appointees for the purpose of making suitability determinations for covered positions and continuous evaluation through ensuring timely reinvestigations of employees in positions of public trust as required by

Executive Order (EO) 13488, Granting Reciprocity on Excepted Service and Federal

Contractor Employee Fitness and Reinvestigating Individuals in Position of Trust, and 5 C.F.R.

part 731, Suitability.

(2) Evaluates the character and conduct of contractor employees by making fitness determinations for contractor employment per contractual requirements.

(3) Evaluates the character and conduct of Government employees for excepted service or other non-covered positions.

(4) Determines the eligibility of Federal employees for national security positions under

Executive Order 10450, Security Requirements for Government Employment, the eligibility for access classified information under Executive Order 12968, Access to Classified Information;

access to national security information and the issuance of a security clearance; continuous evaluation of individuals holding clearances; and 5 CFR 1400, Designation of National Security

Positions.

(5) Determines the eligibility under Federal Information Processing Standards, (FIPS 201), “Personnel Identity Verification (PIV) of Federal Employees and Contractors” August 2008, and

Homeland Security Presidential Directive 12 (HSPD-12), Policy for a Common Identification

Standard for Federal Employees and Contractors, for Personal Identity Verification for access to Federal facilities and Federally controlled information systems.

(6) To the extent consistent with standards and procedures set forth in regulations, laws, VA Handbook 0710 May 2, 2016 and Executive Orders, policies and procedures relating to suitability and fitness for Federal employment shall:

(a) Provide for reciprocal recognition of existing investigations and favorable adjudications;

(b) Be cost-effective, timely, and provide efficient protection of the national interest; and provide fair treatment of those upon whom the Federal Government relies to conduct the

Nation’s business in accordance with:

1 Executive Order (EO) 10450 Security Requirements for Federal Employment April 27, 1953, as amended, in Reference (e);

2 EO 13467, Reforming Processes Related to Suitability for Government Employment, Fitness for Contractor Employees, and Eligibility for Access to classified information June 30, 2008 in Reference (c);

3 EO 13488, Granting Reciprocity on Excepted Service and Federal Contractor

Employee Fitness and Reinvestigating Individuals of Public Trust January 16, 2009 in

Reference (d); and

4 Office of Personnel Management (OPM) and Office of the Director of National

Intelligence (ODNI) Directives and policy issuances.

(7) Agency heads are directed by 5 CFR 731 to designate risk levels for positions in the competitive service and Senior Executive Service filled by career appointments. Risk levels are designated as Tier 4/High Risk, Tier 2/Moderate Risk, or Tier 1/Low Risk as determined by the position’s potential for adverse impact on the integrity or efficiency of the service.

(8) Agency heads are directed by 5 CFR 1400 that all positions subject to investigation that could bring about an adverse effect on the national security or require access to classified information must also receive a sensitivity designation of Tier 5/Special-Sensitive, Tier

5/Critical-Sensitive, or Tier 3/Noncritical-Sensitive. This designation is in addition to the risk level determination and may have an impact on the position’s investigative requirement.

(9) VA requires every applicant to be screened and/or a Tier investigation conducted based on the requirements of VA Policy, 5 C.F.R. 731 and 1400 and the risk and sensitivity level determined for that position, and if needed access to classified information.

(10) The appointment of an applicant or appointee to a covered position is subject to a suitability determination. Administrations making suitability determinations shall grant

May 2, 2016 VA Handbook 0710 reciprocal recognition to a prior favorable fitness or suitability determination unless a new investigation is required by EO 13467 or EO 13488.

(11) Title 38 and Title 38 Hybrid positions are also subject to an investigation and the adjudicative guidelines established by 5 CFR 731.

(12) Personnel filling positions as defined by 5 CFR 1400, Designation of National Security

Positions, are subject to investigation and adjudication as established by EO 12968 and the

Position Designation and Automation Tool (PDT).

(13) The Office of Operations, Security, and Preparedness; Personnel Security and Identity

Management, Personnel Security and Suitability Service Program Management Office

(PSSPMO) conducts oversight and functional program reviews to evaluate compliance and implementation of this Handbook.

(14) The OPM Position Designation Automated Tool (PDT) will be used to determine position risk and sensitivity levels and to identify the background investigation required for the position. Positions that are exempt from the requirements of EO 10450 are also exempt from the requirements of using the PDT.

(a) The PDT will also be used to determine the background investigation levels required for

VA contract positions based on the terms of the contract.

1 Position descriptions should be evaluated for risk and sensitivity as part of the hiring process, prior to placement. If the PD has been modified, or position designation has not been conducted since the last review, an updated Position Designation Record (PDR) should be generated by the Servicing Human Resources Office (SHRO).

2 The PDT can be found at” Position Designation Automated Tool

(b) Adjudicative determinations, and any resulting actions, will be reported to OPM within

90 days of the close date of the investigation using the Clearance Verification System/

Personnel Investigations Processing System (CVS/PIPS).

(c) Information pertaining to suitability or fitness adjudications will be maintained in accordance with OPM policy.

(d) No negative inference may be raised solely on the basis of mental health counseling.

Such counseling may be a positive factor that, by itself, shall not jeopardize the rendering of eligibility determinations or temporary eligibility for access to national security information.

However, mental health counseling, where relevant to adjudication for a national security http://www.opm.gov/investigations/background-investigations/position-designation-tool/

VA Handbook 0710 May 2, 2016 position, may justify further inquiry to assess risk factors that may be relevant to the VA’s

Personnel Security Program.

(e) Discretionary judgments used to determine eligibility for national security positions are an inherently governmental function and shall be performed by appropriately trained and favorably adjudicated Federal government personnel or appropriate automated procedures.

(f) The VA shall not discriminate nor may any inference be raised on the basis of race, color, religion, sex, national origin, disability, or sexual orientation.

(g) No person shall be deemed eligible for a national security position merely by reason of

Federal service or contracting, licensee, or grantee status, or as a matter of right or privilege, or as a result of any particular title, rank, position, or affiliation.

(h) No person shall be appointed or assigned to a national security position when an unfavorable personnel security determination has been rendered.

(i) Information about individuals collected as part of the investigative and adjudicative process shall be managed in accordance with applicable laws, and VA policies, including those related to privacy and confidentiality, security of information, and access to information.

2. FEDERAL INVESTIGATIVE STANDARDS AND FIVE-TIERED INVESTIGATIVE MODEL

a. Revised Federal Investigative Standards (FIS) established requirements for conducting background investigations to determine eligibility for logical and physical access, suitability for

U.S. Government employment, eligibility for access to classified information or to hold a sensitive position, and fitness to perform work for or on behalf of the U.S. Government as a contractor employee.

b. The FIS align investigative elements at each tier to promote efficiency, consistency, and employee and contractor mobility across different governmental agencies thereby improving reciprocity and reducing program costs.

c. The standards at each level now build upon but do not duplicate each other. This ensures investigative requirements previously satisfied are not checked again just because an individual moves to a position requiring a higher level of investigation. The majority of VA positions are designated at Tier 1. The 5 tiers are as follows;

(1) Tier 1: Low Risk/Non-Sensitive Investigations conducted to this standard are for positions designated at low risk, non-sensitive, and for physical and/or logical assess, pursuant

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Directive-12, using Standard Form-85. This investigation is similar to the National Agency

Check with Inquiries (NACI).

(2) Tier 2: Investigations conducted to this standard are for non-sensitive positions designated is moderate risk public trust, using Standard Form-85P. This investigation is similar to the Moderate Risk (MBI) background investigation.

(3) Tier 3: Non-Critical Sensitive Investigations conducted to this standard are for positions designated as non-critical sensitive, and/or requiring eligibility for “L” access or access to

Confidential or Secret information. This is the lowest level of investigation acceptable for access to classified information, using Standard Form-86. Similar to the Access National

Agency Check with Inquiries (ANACI) and the National Agency Check with Law and Credit

(NACLC).

(4) Tier 4: Investigations conducted to this standard are for non-sensitive positions designated as high risk public trust, using Standard Form-85P. This investigation is similar to the Background Investigation (BI).

(5) Tier 5: Investigations conducted to this standard are for position designation as Critical

Sensitive, Special Sensitive, and/or requiring eligibility for “Q” access or access to Top Secret or Sensitive Compartmental Information (SCI), using Standard Form-86. This investigation is similar to the Single Scope Background Investigation (SSBI).

3. DELEGATION OF AUTHORITY

a. OPM has delegated to the Secretary of Veterans Affairs the authority to make suitability determinations and take suitability actions (including limited, agency-specific debarments) in cases involving applicants and appointees to covered positions in VA.

b. The Secretary of Veterans Affairs has delegated to the Assistant Secretary for

Operations, Security, and Preparedness (OSP) the authority to maintain a personnel security and suitability program as authorized by laws, regulations, Executive Orders, and Directives.

c. Veterans Health Administration, Veterans Benefits Administration, and National

Cemetery Administration will maintain responsibility for field operation of suitability programs within their respective organizations. Each Administration shall appoint a Personnel Security

Program Manager to coordinate departmental regulations and policies involved with the overall personnel security and suitability program and to coordinate with the Personnel Security and

Suitability Service.

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d. OPM retains jurisdiction to make final determinations and take actions in all suitability cases where there is evidence that there has been a material, intentional false statement, or deception or fraud in examination or appointment. OPM also maintains jurisdiction over all suitability cases involving a refusal to furnish testimony.

e. OPM also retains jurisdiction to take suitability action against employees and to debar

Government-wide.

4. RESPONSIBILITIES

a. Secretary of Veterans Affairs has overall responsibility for VA’s Personnel Security and Suitability Program, as directed in 5 CFR 731.103. The Assistant Secretary, Office of

Operations, Security, and Preparedness is delegated the responsibility to implement and manage the program.

b. Assistant Secretary for Operations, Security, and Preparedness (OSP) will ensure the appropriate implementation and operation of this program through the Director, Office of

Personnel Security and Identity Management (PS&IM). This includes, through the Deputy

Assistant Secretary for Emergency Management and Resilience, establishing departmental standards for eligibility for access to classified information and sensitive but unclassified information and maintaining a central index of department-granted security clearances.

c. The Director, Office of Personnel Security and Identity Management (PS&IM) is responsible for developing, coordinating, and overseeing the implementation of policy, programs, and guidance for the VA’s Personnel Security and Suitability Program. This includes but is not limited to:

(1) Developing departmental-wide personnel security and suitability policy, and conducting program oversight and reviews of VA Administrations and Staff Offices for implementation and compliance with VA personnel security policy and operating procedures.

(2) Developing a framework setting forth an overarching strategy identifying goals, oversight and assessment measures, roles and responsibilities, a communications strategy, training verification, and metrics to measure the quality of security investigations, suitability and fitness investigations and the corresponding adjudications, to ensure a sound VA personnel security program that will continue to meet the needs of VA per EO 13467.

(3) Recommending program enhancements through periodic evaluations and staff visits to ensure compliance with minimum Federal personnel security and suitability program standards.

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(4) Developing and maintaining a departmental wide Debarment Program.

d. Assistant Secretary for Information and Technology (AS/OI&T). The AS/OI&T will ensure the Office of Cyber Security develops and implements a Department wide Information

System Security Program, commensurate with the Federal Information Security Management

Act (FISMA), to protect information resources and to provide security measures commensurate with the risk and magnitude of harm that could result from the loss, misuse, or unauthorized access to or modification of VA’s information systems.

e. Office of Inspector General (OIG). The Inspector General Act of 1978 authorizes the

OIG to select, appoint, and employ officers and employees subject to the provisions of Title 5, U.S.C. The OIG will coordinate, initiate, and adjudicate all background investigations for OIG employees in public trust and Tier 1/Low Risk positions.

f. Assistant Secretary for Human Resources and Administration (AS/HR&A). The

AS/HR&A will collaborate with OSP to assist the Administrations and Staff Offices in maintaining an effective suitability program with timely adjudicative determinations.

g. Under Secretaries, Assistant Secretaries, and Other Key Officials will:

(1) Comply with the policies, guidance and direction set forth in VA Directive 0710, Personnel Security and Suitability Program, and the procedures set forth in this Handbook.

(2) Establish and maintain an effective suitability and fitness determination program using automated processes to the maximum extent practicable and taking actions to address and correct conditions that are non-compliant with the regulatory guidance.

(3) Fund investigations required to determine eligibility for employment or continued employment. Fund investigations required to determine fitness eligibility for contractor-employees who perform work for, or on behalf of, VA.

(4) Ensure an effective pre-investigative review (pre-screening) and adjudicative process within the organizational elements and ensure documentation is maintained and safeguarded in accordance with OPM guidelines.

(5) Ensure establishment of criteria for utilizing interim suitability and fitness determinations based on initial investigatory results to the maximum extent practical based on mission requirements and position designation. Minimum criteria shall include a favorable fingerprint check, and other appropriate reviews, prior to the completion of the standard investigative requirements. Additional information is contained in the Pre-Screening (section 8) section of this Handbook.

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(6) Ensure the appointment of individuals and their continued employment is consistent with the integrity and efficiency of the service and/or the interest of national security.

(7) Ensure encumbered positions are designated with the appropriate risk or sensitivity level in accordance with the PDT and ensure that each appointee and employee receives a background investigation commensurate with the position designation level. The position designation must also be recorded in Personnel and Accounting Integrated Data (PAID) HR

Smart, or subsequent human resources information systems.

(8) Ensure position risk and sensitivity level designations are reviewed by appropriate

Human Resources or Personnel Security officials to ensure that designations are consistently applied to all positions in accordance with 5 CFR Part 731, Suitability, and 5 CFR Part 1400, Designation of National Security Positions; and the VA information system security program and/or FISMA.

(9) When appropriate, refer appointees and employees in Public Trust and National

Security positions to the Security and Investigations Center (SIC) for initiation and adjudication of the investigation. The use of the SIC’s adjudication only product line enables servicing human resource offices to initiate their Public Trust investigations in e-QIP.

(10) Ensure a fingerprint Special Agreement Check (SAC) is conducted on all new appointees, employees, and affiliates who are exempt from the requirement to have a TIER

1/NACI or higher level investigation. Whenever possible, the SAC should be performed prior to the appointee’s entrance on duty.

(11) Ensure the SAC is adjudicated by appropriately trained personnel expeditiously after the results are received. The SAC results must be recorded in CVS/PIPS.

(12) Administrations and Staff Offices acting under this delegated authority to adjudicate background investigations conducted on Federal employees must ensure the training of adjudicators meet the requirements of the National Training Standards issued by the Office of

Personnel Management (OPM) and the Office of the Director of National Intelligence (ODNI).

This training requirement can be met by successfully completing with a passing grade, the

OPM Essentials of Suitability Adjudications Program (ESAP) course and/or the VA Suitability

Adjudicator Training 201, when the training development is completed. In addition to meeting the National Training Standards adjudicators must have, at a minimum, a favorable background investigation based on the results of a Tier 4/High Risk level investigation.

h. Office of Acquisition, Logistics, and Construction will:

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(1) Ensure appropriate language is included in applicable contracts so that the Statement of

Work (SOW), Task Order, and/or Performance Work Statement accurately reflect the requirements of this directive and other applicable VA directives. The SOW (or other defining documentation related to the contract) must be reviewed using the PDT and given the appropriate position risk and sensitivity level designation.

(2) Ensure the necessary requirements are met for contractor background investigations and referred to the SIC for initiation and adjudication of the appropriate level of investigation.

Failure to comply with background investigation requirements may result in a contractor being removed from VA facilities and denied a PIV credential.

(3) Ensure a SAC is completed on contractor employees and adjudicated at local facilities by a trained adjudicator, or at the VHA Service Center (VSC). Facilities may also utilize the

SIC to review and adjudicate contractor SACs. Any SAC submitted to the SIC must be accompanied by a SAC Request Worksheet to ensure the COR or Program Manager is notified of the results. The SAC Request Worksheet can be found on the SIC’s Resource

Page.

i. Information Security Officers (ISO) will manage the local information security program and serve as the principal advisor regarding system access for users.

j. Adjudicators will:

(1) Evaluate pertinent data in a background investigation, as well as any other available information that is relevant and reliable, to determine whether an individuals is suitable and/or fit to work for or on behalf of the government.

(2) Meet the requirements of the National Training Standards issued by the Office of

Personnel Management (OPM) and the Office of the National Director for Intelligence (ODNI) prior to rendering an adjudicative determination.

(3) Be familiar with the laws, regulations, standards and criteria governing suitability adjudication.

5. POSITION DESIGNATION

a. Proper position designation is the foundation of an effective and consistent personnel security and suitability program. Risk levels are designated as high, moderate, or low depending on the position’s potential for adverse impact to the integrity or efficiency of the service. Positions at the high and moderate risk levels are public trust positions. Low risk

VA Handbook 0710 May 2, 2016 positions involve duties and responsibilities with the potential for limited impact on the integrity or efficiency of the service.

(1) All positions subject to investigation must be designated with a risk and sensitivity level based on the documented duties and responsibilities contained within the Position Description

(PD) and based on the PDT review to determine the appropriate level of investigation for positions.

(2) Administrations and Staff Offices must ensure that human resources personnel receive sufficient training to be proficient at the task of assigning position risk and sensitivity designations. Only Human Resource Specialists and Personnel Security Specialists are authorized to determine position designation utilizing the PDT, with collaboration by the manager and/or supervisor (if warranted).

(3) The Program Manager/Contracting Officer/Contracting Officer Representative

(collectively referred to as the COR in this handbook), in collaboration with a Personnel

Security Specialist, designates contractor risk and sensitivity level for contractor positions required to fulfill the requirements of the contract and/or task order using the PDT.

(4) Risk levels are designated as Tier 4/High Risk, Tier 2/Moderate Risk, or Tier 1/Low Risk depending on the potential for adverse impact to the integrity or efficiency of the service.

(5) Positions at the Tier 4/High Risk and Tier 2/Moderate Risk levels are Public Trust positions.

(6) Tier 1/Low Risk positions involve duties and responsibilities with the potential for limited impact on the integrity or efficiency of the service.

(7) See Appendix A for an illustration of the Tiered Level Investigations and Risk levels.

(8) Sensitivity levels are designated Tier 5/Special-Sensitive, Critical-Sensitive, and Tier 3/

Noncritical-Sensitive, depending on the potential for adverse impact to national security

(including access to classified information). See Appendix A for an illustration of the sensitivity level designations.

(9) After risk and sensitivity designation, the PDT will produce the Position Designation

Record (PDR). This PDR will be associated with each position description (PD) and copies will be maintained by the Servicing Human Resources Offices (SHRO) or the COR. Position designation data must be reflected in the PAID, HR Smart, or subsequent data systems for all

VA employees.

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b. Servicing Human Resources Office (SHROs), or appropriate designated officials, will:

(1) Ensure that job announcements and notices of personnel action clearly state the requirements for suitability and fitness determination and any specific requirement to obtain and maintain eligibility for access to classified information.

(2) Ensure that adjudicative determinations are reflected in PAID, HR Smart, or subsequent data systems.

(3) Ensure careful review is taken place whenever an employee is moved from one position description (PD) to another, either by promotion, demotion or re-assignment, to verify the risk and sensitivity level of the position. If the risk or sensitivity level of the position has changed and the incumbent’s background investigation is insufficient for the new designation, a new investigation must be initiated within 14 days of the change.

6. POSITIONS SUBJECT TO INVESTIGATION

a. Unless an exception exists elsewhere in this handbook, regulation, or law, the following positions are subject to investigation in VA:

(1) Covered positions, as defined by 5 CFR 731:

(2) Title 5 competitive service,

(3) Title 5 positions in the excepted service where the incumbent can be noncompetitively converted to the competitive service, and

(4) Career appointments to the Senior Executive Service.

b. Additional positions subject to the provisions of 5 CFR 731:

(1) Title 5 excepted service,

(2) Title 5/Title 38 hybrid excepted service, and

(3) Employees appointed under 38 USC Chapters 3 (except the Under Secretary for

Health), 71, and 78.

c. Additional positions subject to the criteria of 5 CFR 731: the Under Secretary for Health and employees appointed under 38 USC Chapters 73 and 74.

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d. National security positions, as defined by 5 CFR 1400: positions with national security sensitivity in the competitive service and the Senior Executive Service where filled by career appointments.

e. Additional positions subject to the provisions of 5 CFR 1400:

(1) Title 5 excepted service,

(2) Title 5/Title 38 hybrid excepted service, and

(3) Employees appointed under 38 USC Chapters 3 (except the Under Secretary for

Health), 71, and 78.

f. All positions requiring eligibility for access to classified information.

g. VA contractor positions performing duties under contract to VA in accordance with the terms of the contract.

h. A position may be subject to investigation under multiple authorities. Proper position designation is necessary to determine the correct investigation.

i. VA requested and received permission from OPM to exempt certain Tier 1/low-risk, non-sensitive positions from the investigative requirements of EO 10450, provided the VA conducts such checks as appropriate to ensure employment and retention are consistent with national security interests. This only applies to Tier 1/low-risk, non-sensitive positions. Personnel who are exempted from the investigative requirements of EO 10450 will be issued Non-PIV cards, instead of PIV cards. Exempt categories include:

(1) Intermittent, seasonal, per diem, or temporary, and

(2) Do not exceed an aggregate of 180 days per year in either a single continuous appointment or series of appointments.

(3) Without Compensation (WOC) healthcare practitioners who work for less than an aggregate of 180 days per year in either a single continuous appointment or series of appointments;

(4) Medical consultants who are appointed for 1 year or less and are not to be reappointed;

(5) Medical consultants who are appointed for more than 1 year or reappointed after 1 year with no break in service, but work less than 30 days per calendar year;

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(6) Purchase and hire employees appointed for 6 months or less; and

(7) Employees appointed in either a single continuous appointment or series of appointments that do not exceed an aggregate of 180 days.

(8) Physicians appointed as medical residents are exempt from this requirement provided they do not exceed 1 year of continuous service at a VA facility, regardless of the durations of the residency program.

(9) Exemptions to investigation in this part do not change the Homeland Security

Presidential Directive -12 (HSPD-12) minimum requirements for issuance of a PIV card, as opposed to a Non-PIV card. Affiliates who are required to receive a PIV card must meet the minimum investigative requirements for issuance of their PIV card which includes a favorable fingerprint check (SAC) and a favorable background investigation at the Tier 1/Low Risk - Non-

Sensitive level. An employee does not have to serve a new probationary period solely because his or her appointment is subject to investigation.

7. INVESTIGATIVE REQUIREMENTS

a. SHROs, or designated officials, must ensure the appropriate level and type of background investigation is requested and adjudicated to determine suitability or fitness for

Federal employment of applicants and appointees to covered positions.

b. SHROs will, to the maximum extent practical, ensure that required investigations are initiated prior to appointment, if not prior, no later than 14 calendar days after entrance-on-duty

(EOD).

c. The level of investigation required will be identified based on the results of the Position

Designation System and Automated Tool (PDT) on the Position Designation Record.

d. Applicants shall be informed that their appointment is subject to the completion of a favorable suitability determination.

e. If the position is designated Tier 5/ Critical-Sensitive, the investigation should be completed before appointment. This requirement may be waived in case of an emergency by approval from the Deputy Assistant Secretary for Emergency Management and Resilience following a review of the e-QIP submission, Optional Form (OF) -306, and a completed SAC.

The investigation must then be initiated within 14 days of the waiver.

f. If the position is designated Tier 5/Special-Sensitive, the investigation must be complete before placement. This requirement cannot be waived.

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g. A change in position risk/sensitivity level requires a new background investigation at the required level. Reinvestigations and new investigations as a result of a position change

(position designation modification) require the completion and submission of a new OF-306, Declaration for Federal Employment. In addition to the requirement of paragraph 7h below.

h. Within 14 days of the position risk or sensitivity level change, the SHRO or COR will submit the higher investigation request to the SIC, or the SHRO will initiate the case for an employee if using the adjudication only services offered by the SIC for employee background investigations.

i. The individual may remain in the position pending the completion of the new/higher background investigation.

j. The standards for suitability and national security are different; an investigation which satisfies one standard may not satisfy the other. A favorable suitability or fitness determination does not mean an individual is automatically eligible to hold a national security and/or sensitive position. A favorable national security adjudicative determination does not provide for automatic eligible to occupy a public trust or Tier 1/Low Risk position per 5 CFR 731.

k. Suitability and fitness requirements for employment are separate and distinct from job qualifications (e.g., education or experience requirements). A favorable suitability or fitness determination does not mean that the individual is automatically eligible for a job nor is a person who is qualified for a job automatically suitable for employment. Generally, suitability or fitness determinations are made after finding the person qualified for the position.

l. When an individual with a prior, favorably adjudicated investigation moves to a new position, either by a transfer from another Federal department or agency, or by promotion, demotion or reassignment, a new investigation is not required if the conditions below are met.

(1) The existing investigation is current.

(2) The existing investigation is equal or higher than the investigation required for the new position.

(3) The existing investigation revealed no issues incompatible with the core duties of the new position.

(4) No break in service of 24 months or more since the last investigation.

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m. Post Appointment Arrest reports should be reviewed and adjudicated based on the employment status of the subject. For probationary appointees, reports should initially be reviewed by a trained Suitability Adjudicator for possible suitability action. For non-probationary employees, the reports should be referred to the local Employee Relations staff for possible adverse action.

8. PRE-SCREENING/INTERIM SUITABILITY DETERMINATIONS

a. Part of an effective suitability and fitness determination includes pre-screening. An effective pre-screening process is essential to the identification and resolution of suitability or fitness issues early in the application process, prior to the initiation of the required investigation.

b. The pre-screening involves the review of applications, position description, and other employment related documents, the OF 306, Declaration for Federal Employment, as well as the results of the fingerprint Special Agreement Check (SAC).

c. SHROs shall use interim suitability determinations to the greatest extent practicable, based on the apparent absence of significant suitability issues using information from fingerprint checks, information on the OF-306, security forms, and investigative information available from OPM’s CVS/PIPS.

d. The applicant may be presented with a tentative (conditional) employment offer when no derogatory information was identified in review of information provided by the applicant. In such cases, applicants will be informed that their appointment is subject to the completion of a favorable suitability or fitness determination. SHROs are encouraged to establish procedures to address, clarify, and potentially mitigate issues arising during the pre-employment process, prior to extending a firm offer of employment.

9. INVESTIGATIVE PROCESS

a. Fingerprinting/Special Agreement Check

(1) Every effort should be made to have applicants (new hires, contractors, and affiliates, etc.) fingerprinted prior to the applicant’s entrance on duty (EOD). If this is not possible, fingerprints will be captured within 5 days of EOD.

(2) Fingerprint Special Agreement Checks (SACs) must be submitted to OPM electronically. The following information is required when submitting a SAC: Position/

Occupation and reason for fingerprinting (PIV card issuance or background investigation) when fingerprinting Health Professions Trainees, use “Medical Trainee” in the

Position/Occupation section.

VA Handbook 0710 May 2, 2016

(3) Employee SACs may be adjudicated by the SHRO or the Security and Investigations

Center (SIC). Contractor SACs may be adjudicated by the facility submitting the SAC and/or the SIC. VHA contractor SACs may be adjudicated by the VHA Service Center (VSC).

(4) Care should be taken when adjudicating SACs for PIV purposes only. The OPM

HSPD-12 Credentialing Criteria is to be used as the adjudicative methodology for PIV only

SACs. Use the hyperlink to access OPM’s Decision Making Guide:

http://www.opm.gov/investigate/resources/decision_making_guide.pdf.

(5) SACs that result in a record must be adjudicated and the results recorded in

CVS/PIPS. This is for all types, employees, contractors, affiliates and volunteers.

(6) Personnel with favorably adjudicated SACs do not require a new fingerprint screening unless:

(a) They are appointed to a new position that requires a higher level of background investigation (change in risk level), or;

(b) They require an initial PIV Credential Issuance.

(c) They require PIV Credential renewal during time of expiration (or for contractors, at the end of the Period of Performance or end of Contract).

(7) A new SAC is not required when:

(a) Issuing replacement PIV credentials (lost, stolen, damaged, or when an applicant has a name change).

(b) VA employees transfer within VA (inter-agency transfers) and shall not be taken unless

(6) (a) above applies.

b. Employee Tier 1/Low Risk/Non-Sensitive Positions

(1) Every effort should be made to initiate new hires for their investigations using the OPM

Electronic Questionnaire for Investigations Processing (e-QIP) prior to their EOD. Ideally, all pre-employment suitability documentation should be completely reviewed and submitted to

OPM prior to granting a firm offer or arranging an EOD date. If not able to initiate/review e-QIP pre-EOD, SHROs will initiate the TIER 1/NACI or higher level investigation within 14 calendar days of an employee’s appointment. If requested, SHRO may also utilize the SIC for their Tier

1/Low Risk/Non-Sensitive initiated and adjudicated. NOTE: Delays in background investigation submissions can also delay issuance of a PIV Credential.

http://www.opm.gov/investigate/resources/decision_making_guide.pdf

May 2, 2016 VA Handbook 0710

(2) An appointee’s background investigation shall be completed and suitability determination made within the first year of the appointee’s service.

(3) Once the investigation has been completed and returned from OPM, the trained suitability adjudicator will review the report of investigation (ROI), using the OPM guidance, and make an adjudicative determination. Additional information regarding adjudication determinations adjudications is in section 10 of this handbook.

(4) Upon a favorable determination, the Certificate of Investigation (COI) is signed and a copy is placed in the employee’s electronic Official Personnel Folder (e-OPF).

(5) The SHRO must record the decision in CVS/PIPS within 90 days of the closed date of the investigation.

(6) The adjudicative determination must also be entered into PAID or HR Smart as appropriate.

(7) The COI and Report of Agency Adjudicative Action (INV 79A) are retained locally.

(8) If the subject of an investigation separates or is no longer being considered for appointment, the investigation must be discontinued.

c. Employee Tier 2/Moderate and Tier 4/High Risk/Non-Sensitive Positions

(1) The SHRO may utilize the “Adjudication Only” service provided by the SIC and initiate

Tier 2/Moderate and Tier 4/High Risk level investigations and review and release the case to

OPM.

(2) The SHRO must send a complete investigation request worksheet, marked

“Adjudication only,” to the SIC to establish or update the individual’s security file.

(3) Upon receipt of the ROI, the SIC will review and provide either a final adjudicative determination, or identify the actionable issues and forward the complete Report of

Investigation (ROI), along with a summary of the issues, to the SHRO for review. Additional information regarding adjudications is in section 10.

(4) Prior coordination with the SIC is required for adjudication only requests.

(5) If the SHRO is not utilizing the “adjudication only” service of the SIC, the SHRO may submit a request to the SIC for Tier 2/Moderate or Tier 4/High Risk employee background investigations, within 5 days of the event that triggers the investigation (new hire, promotion, VA Handbook 0710 May 2, 2016 etc.). Use the following website for investigation requests sent to the SIC:

https://vaww.visn16.portal.va.gov/sites/lit/vasic/default.aspx.

(6) The SIC will initiate the required investigation in e-QIP within five days of receiving a valid request and completed supporting documents. The SHRO and employee/appointee will be notified of the initiated investigation and provided instructions on the methods of completing the required background investigation.

(7) The employee must complete and release the e-QIP questionnaire, and provide all supporting documents, within five days of initiation notification. SHRO’s should consider disciplinary, adverse or probationary actions for those who refuse to timely complete their investigation requirements. The SIC will review the completed e-QIP package and release the case to OPM or inform the employee and SHRO of any errors within five days of receipt of the completed e-QIP.

(8) The SIC will publish and maintain procedures for requesting background investigations for Tier 2/Moderate and Tier 4/High Risk positions within the VA.

d. Employee Tier 3/Non-Critical Sensitive and Tier 5/Critical Sensitive National

Security Investigations

(1) Individuals in Tier 3 and Tier 5 (national security and or sensitive positions) who do not require access to classified information (eligibility only) are processed the same as Tier 2, and

4 level investigations as stated above in paragraph 9.c..

(2) Individuals in Tier 3 and Tier 5 level positions who require access to classified information cannot be initiated until the need for the access is validated. SHROs must follow their administration’s internal guidance when submitting the following documents to the Special

Security Officer (SSO), via the Operations and National Security Service (ONSS) to obtain the approval and validation:

(a) Investigation Request

(b) Justification for the Requested Security Clearance

(c) Position Description

(d) Position Designation Record

(e) OF 306, Declaration for Federal Employment

(f) Personal résumé https://vaww.visn16.portal.va.gov/sites/lit/vasic/default.aspx

May 2, 2016 VA Handbook 0710

(g) Proof of current fingerprint check

(3) The SSO will review the requested package to ensure there is a valid need for access to classified information. The SSO will also review the position sensitivity level to ensure the

PD is classified at the proper level. SSO will have 5 days from receipt of the request package to return it to the SHRO or forward it to the SIC. Upon receiving the complete investigation request, the SIC will initiate and process the investigation.

(4) SSO will notify the SIC when an employee no longer requires access due to a position change or separation from the VA. Upon notification, the SIC will remove the employee’s national security access status from the OPM Central Verification System (CVS).

(5) The SIC will notify SSO when an employee requires a 5-year re-investigation (for

National Security Clearances) at the 4 ½ year mark. All requests for reinvestigation of National

Security Clearances (Top Secret, Secret, and Confidential) must be reviewed and approved by

SSO to ensure all requirements are met to validate the position sensitivity levels. Any changes to an employee’s access to classified information will be communicated to the SIC by the SSO.

The SIC will remove the employee’s clearance from OPM’s Central Verification System. The

SF-312 will be retained by the SSO.

(6) All persons who have access to classified information will complete an SF-312 Non-

Disclosure Debriefing immediately upon leaving a position of access to classified information.

The SSO will ensure that the signed SF-312 De-Brief is retained in SSO files.

e. Contractor Investigations

(1) All contract personnel assigned to work for or on behalf of VA must undergo a background investigation commensurate with the risk and sensitivity level designation associated with the work to be performed, at the level indicated in the contract through the use of the Position Designation Tool.

(2) The investigation is required regardless of the location of the work. This includes contractor employees who use technology for remote access to VA facilities or VA information technology systems as well as those who have direct physical access to any VA data outside of any VA facility.

(3) The COR must submit a background investigation request and supporting documents for all contractors in Non-Sensitive positions to the SIC within five calendar days of the contract award. If the SIC cannot apply reciprocity for previously adjudicated background investigations, they will initiate the investigation within five days of receiving all required, complete documentation associated with the request. Administrations can develop their own internal

VA Handbook 0710 May 2, 2016 procedures for processing contractor investigations, but the final adjudication of contractor investigations must be determined by the SIC.

(4) The contractor will have five days to complete e-QIP and certify and release the required documentation to the SIC. After the contractor returns a complete, valid e-QIP package, the investigation will be submitted to OPM for processing within five days.

(5) Failure of the contractor to complete the background investigation process, to include e-QIP and submission of fingerprints and all required documents in a correct and legible form, will result in the revocation of access and removal of the specified noncompliant individual from the contract until such time as the background investigation is scheduled at OPM.

(6) VA is not currently a member of the National Industrial Security Program (NISP) and does not have the authority to enter into any national security classified contracts. Approval of any potential classified contracts must be made by the Director, Office of Operations and

National Security.

f. Child Care Workers

(1) Child care workers must undergo a Childcare National Agency Check with Inquiries

(CNACI). The CNACI includes state criminal history checks which are not normally included in the NACI.

(2) If the child care worker has been charged with a sex crime, an offense involving a child victim, a drug felony, or other crime bearing on the safety or well-being of children, the employer shall immediately restrict the worker’s contact with children until the case is resolved.

See Appendix B for additional information.

g. Reinvestigations

(1) Individuals Public Trust positions (Tier 2/Moderate Risk and Tier 4/High Risk) will be subject to reinvestigations at least once every five years. The SHRO or COR should request the reinvestigation within four months of the anniversary of the previous investigation’s completion date. Prior to submitting the request (or initiating the investigation locally) the

SHRO and COR must ensure the individual still occupies a position of public trust. The COR must also ensure the contractor is still working for or on behalf of VA prior to requesting the reinvestigation. Although the SHRO may initiate in e-QIP reinvestigations for Tier 2/Moderate and Tier 4/High Risk, the investigations must be adjudicated by the SIC. VA Police Officers occupy Moderate Risk positions and require a reinvestigation every five years.

May 2, 2016 VA Handbook 0710

(2) Individuals in a national security position requiring…