09.05_Attachment 8 - ICE Suitability Screening Requirements.pdf

u.s. IMMIGRATION AND CUSTOMS ENFORCEMENT ICE Policy System

DISTRIBUTION:

DIRECTIVE NO.:

ISSUE DATE:

EFFECTIVE DATE:

REVIEW DATE:

SUPERSEDES:

ICE

6-S.0 May 29, 200S May 29, 200S May 29, 2011 See Section 3 Below.

DIRECTIVE TITLE: ICE SUITABILITY SCREENING REQUIREMENTS FOR

CONTRACTOR PERSONNEL

1. PURPOSE and SCOPE. This Directive establishes policy and procedures used to detennine a person's suitability to work for contractors providing services to u.s.

Immigration and Customs Enforcement (ICE). This Directive applies to all ICE contractor personnel.

2. AUTHORITIESIREFERENCES.

2.1. Office of Management and Budget (OMB) Circular No. A-l30, App. III, "Security of Federal Automated Infonnation Resources," November 28, 2000.

2.2. Department of Homeland Security (DHS) Management Directive (MD) 11080, "Security Line of Business Integration and Management," January 3,2006.

2.3. DHS Sensitive Systems Handbook 4300A, Version 5.5. September 30,2007, or latest version. (See also Attachment J to 4300A, "Requesting Exceptions to Citizenship Req uirement.")

2.4. DHS Sensitive Systems Policy Directive 4300A, Version 5.5. September 30,2007, or latest version.

2.5. DHS MD 11042.1, "Safeguarding Sensitive but Unclassified (For Official Use Only) Infonnation," January 6, 2005.

2.6. Executive Order (E.O.) 12829, "National Industrial Security Program (NISP)."

2.7. DHS Acquisition Regulation (HSAR), Section 3052.204-71 (codified at 48 CFR § 3052.204-71 ).

2.S. Department of Defense (DOD) 5220.22-M, "National Industrial Security Program Operating Manual (NISPOM)," January 1995, with supplements, dated July 1997 and February 2001. NISPOM replaces DOD Industrial Security Manual for Safeguarding Classified Infonnation, January 1991.

2.9. DHS MD 11035, "Industrial Security Program (lSP)," dated February 10, 2005.

ICE Suitability Screening for Contractor Personnel

2.10. Title 5, United States Code (U.S.C), § 552, "The Freedom ofInformation Act," as amended.

2.11. 5 U.S.C. § 552(a), "The Privacy Act of 1974," as amended.

2.12. Title 5, Code of Federal Regulations (CFR), Part 736, "Personnel Investigations."

2.13. Homeland Security Presidential Directive-l 2 (HSPD-12) "Policy for a Common Identification Standard for Federal Employees and Contractors," dated August 27, 2004.

2.14. Office of Personnel Management (OPM)," Investigations Service, Investigator's Handbook," July 2007.

2.15. ICE Directive 5-2.0, "Safeguarding Law Enforcement Sensitive Information," March 23, 2007.

3. SUPERSEDED/CANCELLED POLICY/SUMMARY OF CHANGES. This Directive is the originating and establishing directive for Suitability Screening Requirements for Contractors.

4. BACKGROUND. The provisions of this Directive define the suitability screening standards for contractor personnel requiring regular, ongoing, and unescorted access to ICE-owned facilities; access to ICE-controlled facilities, or commercial facilities operating on behalf of ICE; access to ICE information technology (IT) systems and the systems' data; and access to Sensitive Information.

5. DEFINITIONS. The following definitions are provided for the purposes of this Directive.

5.1. Access. The ability to enter and/or pass through an area or a facility; or the ability or authority to obtain information, monetary or material resources. In relation to classified information, it means the ability, authority, and/or opportunity to obtain knowledge of classified information.

5.2. Adjudication. An examination of a person's conduct over a sufficient period of their life designed to make an affirmative determination as to their suitability for employment, eligibility for access to classified information, materials and areas, or for their retention in Federal employment.

5.3. Background Investigation. A term generically used to describe various types of investigations into an applicant's or employee's personal history that are used to determine the individual's suitability for Federal employment and/or to make a determination as to whether an individual is eligible for access to classified information at the appropriate level for the position. These investigations are conducted using a variety of methods, which include completion of questionnaires, electronic inquiries, written or telephone inquiries, or through personal contact with references. See Section

5.13 below for the various types of background investigations and their scope.

5.4. Contract. As defined in the Federal Acquisition Regulations, a contract is a mutually binding legal relationship obligating the seller to furnish the supplies or services (including construction) and the buyer to pay for them. It includes all types of commitments that obligate the Government to an expenditure of appropriated funds and that, except as otherwise authorized, are in writing. In addition to bilateral instruments (undertaken by or affecting two sides equally or binding on both parties), contracts include, but are not limited to, awards and notices of awards; job orders or task letters issued under basic ordering agreements; letter contracts; orders, such as purchase orders, under which the contract becomes effective by written acceptance or performance; and bilateral contract modifications. Contracts do not include grants and cooperative agreements covered by 31 U .S.C. § 630 I, et seq.

5.5. Contracting Officer (CO). A person with the authority to enter into, administer, and/or terminate contracts, and make related determinations and findings. The CO maintains a strong relationship with the COTR.

5.6. Contracting Officer's Technical Representative (COTR). A person who has been delegated authority by a contracting officer to perform specific functions in managing a contract and/or business arrangement. The COTR provides technical direction within the confines of the agreement, monitoring performance, ensuring requirements are met within the terms of the contract, and maintaining a strong relationship with the CO. The CO and COTR work together to ensure the contract requirements are clearly communicated to the contractor.

5.7. Contractor Personnel. An agent or employee of an entity that provides supplies or services to ICE pursuant to a contract.

5.8. Entry on Duty Determination (EO D). All contractor personnel assigned to work in positions requiring access to ICE facilities, information or IT positions are required to undergo a pre-employment background check to determine their suitability for employment. If the completed pre-employment background check results are favorable, prospective contractor personnel are allowed to enter on duty prior to completion and adjudication of the more in-depth personnel security investigation.

5.9. Electronic-Questionnaire for Investigations Processing (e-QIP). A web-based automated system that allows individuals to electronically enter, update, and transmit their personal investigative data over a secure Internet connection.

5.10. ICE Facility. ICE-owned buildings or leased space, whether for single or multi-tenant occupancy, and its grounds and approaches, any portion of which or all are under the jurisdiction, custody or control of ICE; ICE-controlled commercial space shared with non-government tenants; ICE-owned contractor-operated facilities; and facilities under a management and operating contract such as for the operation, maintenance, or support of a Government-owned or controlled research, development, special production, or testing establishment.

5.11. Information Technology (IT). As defined by 40 U.S.C. § 11101(6) ("Clinger-Cohen Act"), any equipment, or interconnected system or subsystem of equipment used in the automatic acquisition, storage, analysis, evaluation, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by ICE.

5.12. IT Systems. Information technology systems that are (1) owned, leased, or operated by ICE; (2) operated by a contractor on behalf ofICE; or (3) operated by another Federal, state or local government agency on behalf of ICE.

5.13. Personnel Security Investigations (PSI) for Contractor Personnel at ICE.

Investigations conducted on contractor personnel that serve as the basis for determinations of suitability for employment and eligibility for access to ICE facilities and sensitive information. These investigations focus on an individual's character and past conduct that may have an impact on the integrity and efficiency of ICE. Types of investigations are as follows.

1) Background Investigation (BI): Coverage period is 10 years. Consists of a National Agency Check (NAC) (see Section 5.13(5) below); a personal Subject Interview and source interviews; employment (5 years); education (5 years and most recent degree);

residence (3 years); law enforcement agency checks (5 years); and a credit check (5 years).

2) Child Care National Agency Check and (written) Inquiries: An enhanced National Agency Check with Inquiries (NACI) (see Section 5.13(6) below) that, to meet special investigation requirements for those in child care provider positions, searches records of State Criminal History repositories of the state where the subject resides.

3) Limited Background Investigation (LBI): Coverage period is 10 years. Consists of a NAC (see Section 5.13(5) below); a personal Subject Interview and source interviews; employment, education and residence (3 years); law enforcement agency checks (5 years); and credit check (5 years).

4) Minimum Background Investigation (MBI): Coverage period is 5 years. Consists of a NAC (see Section 5.13(5) below), a personal Subject Interview, employment, education and degree(s) (5 years); residence (3 years); law enforcement agency checks (5 years); and credit check (5 years). Other than the subject interview, there are no source interviews conducted during this investigation.

5) National Agency Check (NAC): Consists of records searches in the OPM Security/Suitability Investigations Index (SII); Federal Bureau of Investigation (FBI) Identification Files; FBI National Criminal History Fingerprint File; Defense

Clearance and Investigations Index (DC II); and other sources, as necessary, to cover specific areas of a subject's background. It is an integral part of all investigations.

6) National Agency Check with Inquiries (NACI): Coverage period is 5 years. Consists of a NAC, employment checks (5 years); education checks and degrees (5 years);

residence checks (3 years); law enforcement agency checks (5 years); and personal reference checks. Pursuant to the requirements of the HSPD-12, a NACI must be initiated and a favorable fingerprint check completed prior to the issuance of a Personal Identity Verification (PIV) Card.

7) Single Scope Background Investigation (SSBI): Consists of a NAC (Section 5.13(5) above), a spouse or cohabitant NAC, a personal Subject Interview, and citizenship, education, employment, residence, law enforcement, and record searches covering the most recent ten (10) years or since the 18th birthday, whichever is shorter.

8) Investigation Exception: An exception to the above investigations may be granted for contractor personnel requiring physical access to ICE facilities for short-term periods of time. A fingerprint-based criminal history check and a citizenship check are required for building access only and will be handled on a case-by-case basis.

5.14. Personnel Investigations Processing System (PIPS). A database used by OPM to manage its investigations program.

5.15. Public Trust Positions. Positions defined under 5 CFR 731 that may involve policy making, major program responsibility, public safety and health, law enforcement duties, fiduciary responsibilities, or other duties demanding a significant degree of public trust;

and positions involving access to, operation of, or control of financial records with a significant risk for causing damage or realizing personal gain.

5.16. Risk Levels Applied to Contractor and Public Trust Positions.

1) Low Risk: Positions have the potential for limited impact on the integrity and efficiency of ICE. The positions involve duties and responsibilities of limited relation to an agency or program mission.

2) Moderate Risk: Positions have the potential for moderate to serious impact on the integrity and efficiency of the service. These positions involve duties that are considerably important to the agency or program mission with significant program responsibility or delivery of service.

3) High Risk: Positions have the potential for exceptionally serious impact on the integrity and efficiency of the service. These positions involve duties that are especially critical to the agency or program mission with a broad scope of responsibility and authority.

5.17. Sensitive Information. Any infonnation the loss, misuse, disclosure, or unauthorized access to or modification of which could adversely affect the national or homeland security interest, or the conduct of Federal programs, or the privacy to which individuals are entitled under 5 U.S.C. § 552(a), The Privacy Act of 1974, as amended, but which has not been specifically authorized under criteria by an Executive Order or an Act of Congress to be kept secret in the interests of national defense, homeland security, or foreign policy. This definition includes the following categories of infonnation.

1) Protected Critical Infrastructure Infonnation (PCII) as described in the Critical Infrastructure Infonnation Act of2002, 6 U.S.C. § 211-224; its implementing regulations, 6 CFR 29; or the applicable PCII Procedures Manual.

2) Sensitive Security Infonnation (SSI) as described in 49 CFR 1520.

3) Sensitive But Unclassified Infonnation (SBU) consists of any other infonnation, which, if provided by the government to the contractor and/or contractor personnel is marked in such a way as to place a reasonable person on notice of its sensitive nature and is designated "sensitive" in accordance with subsequently adopted homeland security infonnation handling requirements.

5.18. Staff-like Access. Unescorted or unaccompanied access by contractor personnel in a manner similar to access by a Federal employee to ICE-owned or controlled facilities, infonnation systems, security systems, or products containing SSI or SBU.

5.19. Standard Form 8SP (SF 8SP), Questionnaire for Public Trust Positions. Used to collect infonnation for public trust positions.

5.20. Standard Form 86 (SF 86), Questionnaire for National Security Positions. Used to collect infonnation for national security positions.

5.21. Suitability. A detennination based on an individual's character and/or conduct that may have an impact on the integrity and/or efficiency of the individual's employment. A suitability determination is required for all positions and is a process separate and distinct from a security detennination which determines an individual's eligibility for assignment to, or retention in, a sensitive national security position.

5.22. Suitability Screening. The process of determining a person's suitability for employment to work or provide services as a contractor or contractor personnel to ICE.

6. POLICY. All contractor personnel positions within ICE shall be screened for suitability to ensure organizational integrity and efficiency throughout the ICE workforce. All ICE contractors, subcontractors, consultants, licensees, and grantees requiring access to classified information shall be investigated commensurate with the risk levels as described in the OPM Public Trust Designation Model or pursuant to E.O. 12829, NISP, and DHS MD 11035, ISP.

7. RESPONSIBILITIES.

7.1. The Office of Professional Responsibility (OPR) Director is also the designated ICE Chief Security Officer (CSO) and is responsible for administering the Personnel Security and Suitability Program.

7.2. The OPR Personnel Security Unit (PSU), Unit Chief, under the direction of the ICE CSO, is responsible for implementing the minimum standards required by this Directive.

These requirements are to ensure and maintain integrity in the workforce. The PSU is responsible for the following actions:

1) Working with ICE program offices to develop specific procedures for incorporating contractor personnel suitability screening requirements into the procurement and contract oversight process;

2) Documenting the process by which a risk-level assessment is made;

3) Receiving and processing security forms to initiate required suitability investigations of contractor personnel;

4) Adjudicating the results of pre-employment and suitability investigations and advising the COTR and other offices on a need-to-know basis of the adjudication;

5) Conducting or arranging for additional investigation, when necessary, to resolve suitability issues;

6) Providing contractor personnel an opportunity to respond to unfavorable information developed during an investigation prior to taking any unfavorable action based on that information;

7) Notifying the COTR (or ifnone assigned, the CO), as appropriate, in writing to deny access to contractor personnel who are found unsuitable for access to ICE facilities, sensitive information, or IT systems;

8) Tracking suitability screening investigations and maintaining security files on contractor personnel;

9) Determining, in consultation with the ProgramlProject Manager or COTR (if assigned), which contracts require security investigations of contractor personnel;

10) Developing, in coordination with the Office of Acquisition (OAQ) Management, the appropriate language for inclusion in solicitations, contracts, and agreements; and

11) Coordinating, as appropriate, with the COTR (if assigned) or the CO on actions to take whenever reasonably credible information is received that appears to raise a question concerning the suitability of contractor personnel.

7.3. The Office of Acquisition Management and ICE Program Offices are responsible for the following:

1) The Program/Project Manager or originator of the procurement request is responsible for coordinating with the OAQ Management and PSU to ensure that all proposed solicitations and contracts are reviewed to determine whether contractor personnel will require access to ICE facilities, and/or sensitive IT systems;

2) The OAQ Management is responsible for ensuring that whenever a solicitation, contract, or agreement requires investigation of any contractor personnel, the document contains language sufficient to achieve this objective in an orderly and expeditious manner. The document shall also contain language to allow ICE to deny contractor personnel access to ICE facilities, sensitive information, or IT systems if the PSU determines the contractor personnel is unsuitable;

3) The OAQ Management and the Program/Project Manager are responsible for ensuring that the PSU and the COTR are notified whenever there is a change in the status (e.g., replaced, extended, defaulted, terminated, etc.) ofan existing contract that makes contractor personnel subject to investigation;

4) The Program/Project Manager is responsible for notifying the COTR and OAQ of any reasonably credible information received that may raise a question about the suitability of any contractor personnel;

5) The COTR or (if none assigned) the Contracting Officer is responsible for notifying PSU of any reasonably credible information received that may raise a question about the suitability of any contractor personnel;

6) The Program/Project Manager is responsible for ensuring that the PSU is advised of any contracts in which access to ICE facilities, sensitive information, or IT systems will be completed in 90 days or less;

7) The Program/Project Manager is responsible for coordinating with the security office to establish risk levels for all positions;

8) The COTR or (if none is assigned) the Contracting Officer is responsible for notifying the PSU if the status of contractor personnel changes in any way; and

9) The Program/Project Manager is responsible for ensuring the contracting company is notified of the results of the suitability screening for individual contractor personnel.

7.4. The Office of the Chief Information Officer (OCIO) is responsible for ensuring that all IT systems acquisition documents, including existing contracts, include appropriate IT security requirements and comply with DHS and ICE IT security policies.

7.5. The Program/Project Manager is responsible for coordinating with the OPR PSU to detennine the applicable contractor personnel suitability and security investigative requirements needed under a particular contract prior to the Contracting Officer's issuance of the solicitation prospective. This requirement applies to any proposed agreements with outside parties that could result in non-ICE personnel having access to ICE facilities, sensitive information, or IT systems.

7.6. The COTR is responsible for the following:

I) Ensuring that the contract company submits completed security forms and information on behalf of each of its contractor personnel (including prospective subcontract employees) subject to a security investigation as required by the applicable contract;

2) Ensuring that the PSU is notified whenever contractor personnel have completed the work as required under the contract or leave their position with the contractor;

3) Ensuring the forms required for investigations of contractor personnel are completed and submitted to the PSU prior to granting contractor personnel or subcontractor personnel access to ICE facilities, sensitive information, or IT systems;

4) Coordinating with the Contracting Officer to ensure, at the direction of the PSU, that appropriate actions are taken to address any questions that arise regarding the suitability of any contractor personnel. Appropriate actions may include, but are not limited to, temporarily denying the contractor personnel access to ICE facilities, sensitive information, or IT systems pending resolution of the issue(s) raising a question of suitability;

5) Ensuring, at the direction of the PSU, that appropriate action which may involve excluding the contractor personnel from working on any aspect of the ICE contract is taken when contractor personnel are found unsuitable for access to ICE facilities, sensitive information, or IT systems; and

6) Ensuring the OPR PSU is notified when derogatory information which may affect the status of any contractor personnel is revealed, discovered, or reported.

8. PROCEDURES.

8.1. General Investigative Standard for Contractor Personnel.

I) Prior to commencement of any work under a contract with ICE, all contractor personnel will be evaluated for suitability for access to ICE facilities, sensitive information, and IT resources. This screening process is required for every position;

is conducted by personnel security specialists; and serves to protect the interests of ICE. The type of PSI necessary under this process will be commensurate with the nature and the risk level of the positions as described in the Investigations Matrix

(see attachment). ICE reserves the right to restrict contractor personnel access to ICE facilities, sensitive information, and IT systems.

2) A security clearance determination of whether contractor personnel should be eligible for access to classified information is a process separate and distinct from the suitability determination and is conducted in accordance with OHS MD 11035, ISP.

3) ICE will afford fair, impartial, and equitable treatment to all contractor personnel through the consistent application of suitability standards, criteria, and procedures as specified in applicable laws, regulations, and orders.

4) The minimum investigation standard for ICE contractor personnel requiring unescorted facility access on a recurring basis will be the NACI. This investigative standard will meet the requirements of HSPO-12. Prior to being given access to ICE facilities, sensitive information, or IT systems, contractor personnel must first have received a favorably adjudicated suitability determination as described in Section

8.1.1 above. The suitability determination may be conducted prior to or concurrently with a NACI investigation.

5) For contractor personnel processed in accordance with OHS MO 11035, ISP, the investigative standard for access to secret classified information will be an MBI. The minimum investigative standard for access to top secret classified information will be an SSBI.

6) Exception: An exception may be granted for contractors, subcontractors, vendors and others who do not require access to IT systems, but require temporary (less than 6 months), unescorted facility access, in which case they shall undergo a fingerprint based criminal history records check and a citizenship check. This is considered the only exception to HSPO-12 investigative requirements.

8.2. EOD Determinations. A favorable EOO determination allows contractor personnel to commence work before the required personnel security investigation is completed. The EOO determination does not substitute for the required personnel security investigation.

In addition, if contractor personnel for a High Risk IT position (for example, system administrator, programmer, hardware technician, or firewall manager) receive a favorable EOO determination, the contractor personnel may only perform duties equivalent to Moderate Risk positions until the required background investigation is completed.

8.3. Risk Assessment.

I) The PSU and the Program/Project Manager shall determine the risk level for each contractor personnel position. The risk level is based on an overall assessment of the damage an untrustworthy contractor personnel could cause to the efficiency and/or integrity of ICE operations. When determining risk levels, the duties of contractor personnel may be compared to those of ICE employees in similar positions.

2) Contractor personnel having access to ICE facilities, IT systems, or Sensitive Information will receive an appropriate suitability screening based on the risk level of the position. See Section 5.16 above for descriptions of Risk Levels.

8.4. Adjudication Criteria. Suitability determinations are to be made in accordance with the following criteria:

1) Specific factors. When making a suitability determination, the following may be considered a basis for finding contractor personnel unsuitable:

a) Misconduct or negligence in employment;

b) Criminal or dishonest conduct;

c) Material, intentional false statement or deception, or fraud in examination or appointment;

d) Refusal to furnish testimony;

e) Alcohol abuse of a nature and duration which suggests that the contractor personnel would be prevented from performing the duties of the position in question, or would constitute a direct threat to the property or safety of others;

f) Illegal use of narcotics, drugs, or other controlled substances, without evidence of substantial rehabilitation;

g) Knowing and willful engagement in acts or activities designed to overthrow the U.S. Government by force; and/or

h) Any statutory or regulatory bar which prevents the lawful employment of the contractor personnel involved in the position in question.

2) Additional considerations. In making a suitability determination, ICE shall consider the following additional considerations to the extent OPR PSU deems them pertinent to the individual case:

a) The nature of the position for which contract personnel are applying or are employed;

b) The nature and seriousness of the conduct;

c) The circumstances surrounding the conduct;

d) The recency of the conduct;

e) The age at the time of the conduct;

f) The contributing societal conditions; and/or

g) The absence or presence of rehabilitation or efforts toward rehabilitation.

3) A contractor personnel's eligibility may be cancelled or they may be denied employment or removed if there is an unsuitability determination.

8.5. Citizenship and Residency Requirements.

1) Only U.S. citizens are eligible for employment on contracts requiring access to ICE IT systems or involvement in the development, operation, or management of ICE IT systems, unless an exception is granted in accordance with the procedures set forth in section 8.10 (2) of this directive. Exceptions to this policy must be obtained for any non-U.S. citizens, including Foreign Nationals (FN's) and Foreign Service Nationals (FSN's) for whom access to ICE or DHS systems is needed. Lawful permanent residents are not U.S. citizens.

2) Any contractor personnel who has resided outside of the United States for more than two of the last five years preceding their employment with ICE, must provide ICE with references, all of whom must be U.S. citizens, who can verify her or his reportable activities (for example, places of residence, educational institutions attended, etc.) outside the United States during this period. Sufficient information must be available to permit an investigation to be conducted to the same standard as would be required ifthe contractor personnel resided within the United States or the contractor personnel will be ineligible to work on the contract. Exceptions to the residency requirement may be made if the contractor personnel work or worked for the United States overseas in a Federal or Military capacity or was a dependent of a Federal or Military employee serving overseas during the period in question.

8.6. Retroactive Effect.

1) Contractor personnel who have been investigated and approved by ICE prior to the issuance of this Directive, but whose investigation is not commensurate with the risk level indicated in the "Investigations Matrix" (see attachment), must be scheduled for an updated investigation not later than twelve (12) months after the issuance of this Directive. Such contractor personnel are eligible to maintain access for one (1) year or less provided performance is under the existing contract (to include exercise of options) and the risk-level ofthe assigned position does not change.

a) These contractor personnel cannot perform work under a different contract or at a different risk level when performing under the same contract until the investigative requirements set forth in the "Investigations Matrix" (see attachment) are met.

b) After a re-compete and award on the same contract, contractor personnel must meet the required background investigation standards as set forth in the

Investigations Matrix (see attachment) that is commensurate with the risk level of their position.

2) Contractor personnel currently working on an ICE contract who have not been investigated prior to the issuance of this Directive must meet the investigative standard. The required personnel security investigation on these individuals must be scheduled not later than six months after issuance ofthis Directive. Contractor personnel may continue to work while the investigation is in process.

3) Lawful permanent residents who have been investigated and approved by ICE prior to the issuance of this Directive to work on unclassified contracts that involve access to or assisting in the development, operation, management, or maintenance of ICE IT systems may remain in the present position. However, they are not eligible to (I) transfer between contracts; (2) transfer to another position at a higher risk level; or (3) remain on a contract after a re-compete and award unless a waiver is granted in accordance with Section 8.10.

8.7. Reinvestigations. Contractor personnel in High Risk positions will be reinvestigated every 5 years or more frequently as circumstances warrant. Contractor personnel in Moderate or Low Risk positions are required to be reinvestigated every 10 years, unless specific derogatory information is received that would warrant an earlier reinvestigation.

8.8. Standards for Using Previous Investigations. Whenever practical, ICE will use previous investigations conducted by DHS components to reduce the number of investigation requests, associated costs, and unnecessary delays.

I) ICE will use previous investigations conducted at the same risk levels, subject to the 5-year and 10-year reinvestigation requirements, by other DHS components with appropriate updates to documentation on file for transfers within DHS. Previous investigations will be obtained and/or reviewed in conjunction with other appropriate checks to make a suitability decision for employment. If the investigation is unavailable for review, a new and appropriate investigation will be completed.

2) Any investigation conducted by or for another Federal agency on a contractor that is of the same or higher type and scope as the one required is sufficient to meet the investigative requirements if it was conducted within the past 5 years. The investigation will be obtained and/or reviewed in conjunction with pre-employment checks to make a suitability decision for employment. If that investigation is unavailable, new security forms will be obtained, preliminary checks will be completed and a new and appropriate investigation will be completed.

8.9. Adverse Information and Revocation of Access.

1) When adverse information is uncovered in the course of an investigation, the scope of the inquiry will normally be expanded to the extent necessary to obtain such additional information as may be required to determine whether the contractor's personnel may be granted unescorted access to ICE facilities and/or sensitive information.

2) Contractor personnel on whom unfavorable or derogatory information has been uncovered must be presented with the information and offered an opportunity to refute, explain, clarify, or mitigate the information in question. If a determination of ineligibility is made, the individual will be formally notified and informed of the reason(s).

3) Adverse information may not be disclosed to the employer of the contractor personnel. When a final determination has been made, the employer shall be informed, simultaneously with notification to the affected individual, that the contractor personnel is ineligible to render services or otherwise perform under the contract.

8.10. Waivers and Exceptions.

1) Operational, physical, or unforeseen circumstances may prevent or preclude the implementation in a timely manner of some of the requirements of this Directive. In such cases a waiver or exception to the stated requirements may be requested. The waiver or exception request must be in writing and addressed to the ICE Chief Security Officer (CSO) and identify a compelling reason for issuance of a waiver or exception. Access will not be granted under the waiver or exception process until the waiver or exception is approved by the ICE CSO.

2) Exceptions to the U.S. citizenship requirement noted in section 8.5 (1) of this directive are treated separately from standard exceptions and waivers. Since access for foreign nationals is normally a long-term commitment, citizenship exceptions may only be granted by the Assistant Secretary or their designee, with the concurrence of both the DHS CSO and DHS CIO or their designees. In order for the exception to be granted:

a) The individual must be either a Lawful Permanent Resident of the United States or a citizen of any nation on the Allied Nations List maintained by the Department of State.

b) All required security forms specified by DHS and any necessary background check must be satisfactorily completed.

c) There must be a compelling reason for using the individual as opposed to a U.S. citizen.

d) The exception must be in the best interest of DHS.

Requests for exceptions must be in writing utilizing Attachment J of the DHS 4300A Sensitive Systems Handbook.

3) Requests for waivers or exceptions to any other requirement set forth herein, to include surge support and resource issues, must be submitted in writing to the ICE CSO. Waiver or exception requests must include a justification and will be considered on a case-by-case basis.

9. ATTACHMENT. Investigations Matrix.

10. NO PRIVACY RIGHT STATEMENT. This Directive is an internal policy statement of ICE. It is not intended to, and does not create any rights, privileges, or benefits, substantive or procedural, enforceable by any party against the United States; its departments, agencies, or other entities; its officers or employees; or any other person.

Approved:

. Myers Ass tant Secretary U.S. Immigration and Customs Enforcement

SECURITY

RISK LEVEL FORMS

REQUIRED

HIGH

-SF 8SP

-FD 258

-Credit Release Form

-SF 8SP-S·

-OF 306

MODERATE

-SF-8SP

-FD-2S8

-Credit Release LOW) Form

-OF 306

ATTACHMENT

Investigations Matrix

TYPE OF INVESTIGATION

REQUIRED

IT Positions Non-IT

Positions

Background Background Investigation Investigation

(BI)2 (BI)

Minimum Minimum Background Background Investigation Investigation

(MBI) (MBI)

NACI

Favorable

Not applicable Review of Forms

No IT positions are Fingerprint "Low Risk" and Name

Check

PRELIMINARY CHECKS

REQUIRED FOR EOD

DETERMINATION

IT Positions Non-IT Positions

Favorable Review Favorable Review of Forms of Forms

Favorable Favorable fingerprint & fingerprint & credit credit

Scheduling of the Submission of the

BI BI

(Only eligible for access to the

Moderate Risk Level)

Favorable Review Favorable Review of Forms of Forms

Favorable Favorable fingerprint & fingerprint & credit credit

Scheduling of the Submission of

MBI MBI

Favorable Review

Not applicable of Forms

Favorable No IT positions fingerprint & are "Low Risk" credit Submission of

NACe

I Only Weapons-Carrying Contract Guards must complete the SF 8SP-S in addition to SF SSP.

2 IT Positions or detail assignments that require access to Sensitive But Unclassified information or Law Enforcement Sensitive Information. i.e. TECS.

J NACI must be initiated and a favorable fingerprint check completed prior to the issuance of a DHS Personal Identity Verification (PIV) Card.